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     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 informa-
      tion storage and retrieval system, without permission
      in writing from the Publisher.
Library of Congress Catalog Card Number: 95-24875
ISBN 0-8155-1390-9
Printed in the United States

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

1 987654 32 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.
           ISBN 0-8155-1390-9
            1. Environmental law--United States. 2 Industrial safety--Law
     and legislation--United States. 3 Industrial hygiene-law and
     legislation--United States. I. Graffia, Madelyn, 1962-
     I . Title
     KF3775C47 1995
     [347.30446]                                               95-24875
To the best of our knowledge the information in this pub-
lication 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 determ-
ination 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 pro-
cedures mentioned in this publication should satisfy himself as
to such suitability, and that he can meet all applicable safety
and health standards.


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


  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

  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
      State Superfund . . . . . . . . . . . . . . . . . . . . . . . . . . . . .      36
      Comprehensive Environmental Response. Compensation.
        and Liability Act . . . . . . . . . . . . . . . . . . . . . . . . . . .      36
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
        The Lender Liability Rule . . . . . . . . . . . . . . . . . . . . . .              47
        What Are Defenses Against Liabilities? . . . . . . . . . . . . . 50
      State "Superfund" Programs and Property Transfer
        Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .       51
        Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .       51
        The New Jersey Spill Compensation and Control Act . . . 51
        New York State Toxic Cleanup Law . . . . . . . . . . . . . . . 53
        The 'Super Lien" Laws . . . . . . . . . . . . . . . . . . . . . . . .              55
        The (New Jersey) Industrial Site Recovery Act . . . . . . . . 59
      Summary of Federal Regulations . . . . . . . . . . . . . . . . . . 67
        Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .       67
        SARA Title 111 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .         67
        The Resource Conservation Recovery Act                       . . . . . . . . . . . 70
        A Comparison of RCRA and CERCLA . . . . . . . . . . . . . 71
        Underground Storage Tanks . . . . . . . . . . . . . . . . . . . . .                72
        Liability and Enforcement Actions Under RCRA . . . . . . 75
        Clean Water Act (Federal Water Pollution Control
          Act) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .     76
        NPDES Permit for Storm Water Discharges . . . . . . . . . . 78
        Industrial Storm Water Dischargers . . . . . . . . . . . . . . . . 80
        Industry-Specific Minimum National Effluent
           Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .       80
        Publicly-Owned Treatment Works (POTWs) . . . . . . . . . 81
        Requirements for Indirect Discharges (National Pretreat-
           ment Standards for Industrial Users of POTWs) . . . . . 81
        Asbestos Regulations . . . . . . . . . . . . . . . . . . . . . . . . .             82
        Federal Regulations Controlling Asbestos (Non-School
           Setting) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .      87
                                                                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

   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

  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
     Special Circumstances . . . . . . . . . . . . . . . . . . . . . . . .      247
     Containers That Do Not Need to be Labeled . . . . . . . . 248
     Products and Substances That Do Not Require
        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 . . . . . . . 260
        Measurement and Evaluation of Exposure . . . . . . . . . . 266
          Industrial Hygiene Monitoring . . . . . . . . . . . . . . . . . . 266
          Air Samples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   266
          Other Sampling Methods . . . . . . . . . . . . . . . . . . . . . .          267
          Sampling Devices . . . . . . . . . . . . . . . . . . . . . . . . . . .      267
          Planning Sampling . . . . . . . . . . . . . . . . . . . . . . . . . .       268
        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

      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

   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

   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

   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
      Personal Use Factors . . . . . . . . . . . . . . . . . . . . . . . . .      435
      Donning an Ensemble . . . . . . . . . . . . . . . . . . . . . . . .         436
      Respirator Fit Testing . . . . . . . . . . . . . . . . . . . . . . . .      436
      In-Use Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . .       439
      Doffing an Ensemble . . . . . . . . . . . . . . . . . . . . . . . . .       439
      Clothing Reuse . . . . . . . . . . . . . . . . . . . . . . . . . . . . .    440
      Inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  441
      Storage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445
      Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   445
                                                                      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

MANAGERS       ....................................                                 489

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


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
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
     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.


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.
4   Environmental and Health

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

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
                       Managing the Environmental Regulations and Safety     5

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


      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
     Chemical Manufacture              Federal Food, Drug, and Cosmetic
       and Use                         Act
                                       Federal Insecticide, Fungicide, and
                                       Rodenticide Act
                                   0   Toxic Substance Control Act
                                   0   Superfund Amendments and
                                       Reauthorization Act
     Transportat ion               0   Hazardous Materials Transportation
                                       Act     .
                                   0   Resource Conservation and Recovery
     Cleanup Actions               0   Comprehensive Environmental
                                       Response, Compensation, and
                                       Liability Act (as amended by
6   Environmental and Health

    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
        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
                   Managing the Environmental Regulations and Safety    7

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.
8   Environmental and Health

     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
                   Managing the Environmental Regulations and Safety   9

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
10   Environmental and Health

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.
                   Managing the Environmental Regulations and Safety     11

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
    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 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 pesticidesjudged 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
12   Environmental and Health

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
     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
                  Managing the Environmental Regulations and Safety    13

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
14   Environmental and Health

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
     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.
                  Managing the Environmental Regulations and Safety   15

    CERCLA also requires that spills or discharges of over 700 sub-
stances 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
    0   Remedial actions to permanently remove toxic and hazardous

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 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   Environmental and Health
Managing the Environmental Regulations and Safety   17
18   Environmental and Health
Managing the Environmental Regulations and Safety   19
20   Environmental and Health
              0     0           m a .   0   .   0   0   0
Managing the Environmental Regulations and Safety   21
. ..... .
22   Environmental and Health
                   Managing the Environmental Regulations and Safety    23

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,
24   Environmental and Health

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.
                  Managing the Environmental Regulations and Safety     25

    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
     Negligence is conduct that "falls below the standard established by
law for the protection of others against unreasonable risk or harm. 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
26   Environmental and Health

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.
                   Managing the Environmental Regulations and Safety      27

     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
28   Environmental and Health

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.
                   Managing the Environmental Regulations and Safety      29

    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
    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
30   Environmental and Health

statutes, for example, address making false official statements to federal
     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 re-
quirements and never knowingly violate them.


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. 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
32   Environmental and Health

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 hun-
dreds 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

     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.
34   Environmental and Health

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.
              Managing Facilities, Due Diligence and Facility Transfers   35

     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.



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
36   Environmental and Health

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
             Managing Facilities, Due Diligence and Facility Transfers   37

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.
38   Environmental and Health

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

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
              Managing Facilities, Due Diligence and Facility Transfers   39

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 exis-
tence 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 condi-
tions. 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
40   Environmental and Health

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 gener-
ally 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
             Managing Facilities, Due Diligence and Facility Transfers   41

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.
    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
42    Environmental and Health

contaminant level (MCL) goals established under the federal Safe
Drinking Water Act (SDWA) and water quality criteria established under
    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.
        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
    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
             Managing Facilities, Due Diligence and Facility Transfers   43

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

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
44   Environmental and Health

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
    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.
             Managing Facilities, Due Diligence and Facility Transfers   45

    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

    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.
46   Environmental and Health

Lender Liability and the Security Interest Exemption

The term "owner or operator, 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.
             Managing Facilities, Due Diligence and Facility Transfers   47

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 participa-
tion 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 sub-
        stance handling or disposal practices.
48   Environmental and Health

         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 compli-
         ance, 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
     The rule also addresses post-foreclosure 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:

     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
             Managing Facilities, Due Diligence and Facility Transfers   49

     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
    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
50   Environmental and Health

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: 10-23.11). 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 avail-
able 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:
             Managing Facilities, Due Diligence and Facility Transfers   51

    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
    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 special-
ized 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 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 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
             Managing Facilities, Due Diligence and Facility Transfers   51

    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
    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 special-
ized 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 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 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
52   Environmental and Health

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
     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 "puni-
tive" 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]
              Managing Facilities, Due Diligence and Facility Transfers   53

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 Stat. AA. 5
58: 10-23.11.1.

New York State Toxic Cleanup Law

In 1978, the state legislature passed a measure directing 1 le New York
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
54   Environmental and Health

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 contami-
nated 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 respon-
sible 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.
             Managing Facilities, Due Diligence and Facility Transfers   55

    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
    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.
56    Environmental and Health

    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: 10-23.1lf(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: 10-23.1lf(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
             Managing Facilities, Due Diligence and Facility Transfers   57

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
58   Environmental and Health

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.
             Managing Facilities, Due Diligence and Facility Transfers   59

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 contaminatedproperties, 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
60   Environmental and Health

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
    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 respec-
tive 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.
             Managing Facilities, Due Diligence and Facility Transfers   61

        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.
62   Environmental and Health

                                   TABLE 1
 SIC Code                       Industry Description
               Manufacturing Groups
     22        Textile Mill Products
     23        Apparel and Other Finished Products Made from Fabrics and Other
                 Similar Materials
     24        Lumber and Wood Products, except Furniture
     25        Furniture and Fixtures
     26        Paper and Allied Products
     27        Printing, Publishing, and Allied Products

     28        Chemicals and Allied Products
     29        Petroleum Refining and Related Industries
     30        Rubber and Miscellaneous Plastics Products
     31        Leather and Leather Products
     32        Stone, Clay, Glass, and Concrete Products
     33        Primaly Metals Industries

     34        Fabricated Metal Products, except Machinery and Transportation

     35        Machinery, except Electrical
     36        Electrical and Electronic Machinery, Equipment, and Supplies
     37        Transportation Equipment
     38        Measuring, Analyzing, and Controlling Instruments;
                 Photographic, Medical and Optical Goods; Watches
                 and Clocks
     39        Miscellaneous Manufacturing Industries

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

     46        Pipe Lines, except Natural Gas
     47        Transportation Services
     48        Communication
     49        Electric, Gas, and Sanitary Services

               Wholesale Trade Groups
     51        Wholesale Trade, Nondurable Goods

               Services Group
     76        Miscellaneous Repair Services
             Managing Facilities, Due Diligence and Facility Transfers   63

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 o 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 possi-
bility 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
64   Environmental and Health

     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 flexi-
bility 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 back-
ground 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 require-
ments, 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 compara-
tively 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.
             Managing Facilities, Due Diligence and Facility Transfers   65

    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
66   Environmental and Health

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.
               Managing Facilities, Due Diligence and Facility Transfers   67



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 penal-
ties and removal of the offending activity. This chapter provides an
overview of the federal regulations that may impact on a property trans-
action. 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
               Managing Facilities, Due Diligence and Facility Transfers   67



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 penal-
ties and removal of the offending activity. This chapter provides an
overview of the federal regulations that may impact on a property trans-
action. 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   Environmental and Health
Managing Facilities, Due Diligence and Facility Transfers   69
70   Environmental and Health

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 compre-
hensive "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
    RCRA contains the official definition of hazardous waste; certain
solid wastes are exempted under 40 C.F.R. Q 261.4 and include the
             Managing Facilities, Due Diligence and Facility Transfers   71

        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

    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
72   Environmental and Health

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.
               Managing Facilities, Due Diligence and Facility Transfers                    73

                                       TABLE 3
                    RCRA AND CERCLA COMPARISON
                 RCRA                                        CERCLA
Purpose:                                      Purpose:

To regulate all applicable hazardous waste    To perform remedial action on NPL sites.
management activities.

To protect human health and the               To protect human health and the
environment.                                  environment.

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

Only specified TSD components can be          Aimed at any threat to human health and
regulated. These are:                         the environment due to release of hazardous
   0    Incinerators.
   0    Landfills.
        Land Treatment Units.
   0    Surface Impoundments.
   0    Waste Piles.

HSWA also regulates solid waste units on
TSD facilities.

Incinerator operation is subject to minimum   Standards are interpretative, health based,
acceptable performance standards.             and set on a case-by-case basis.

Cost effectiveness is not a consideration     According to 42 U.S.C. 8 9604(c)
under this program.                           (CERCLA), remedial actions must be cost
74    Environmental and Health

                                  TABLE 3 (continued)
                       RCRA AND CERCLA COMPARISON
                    RCRA                                       CERCLA
  Purpose:                                      Purpose:

  Regulated material includes hazardous         Regulated material includes substances
  waste, and all listed and designated wastes   designated in the following sections:
  per 40 C.F.R. part 261.
                                                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, com-
                                                pound, 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.
             Managing Facilities, Due Diligence and Facility Transfers   75

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

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 environ-
ment 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
76    Environmental and Health

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

    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
              Managing Facilities, Due Diligence and Facility Transfers   77

regulatory basis for defining and enforcing treatment controls and
strategies beyond the national standards based on technology (discussed
     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-basedlimits. 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., recre-
ational waters are subject to more stringent standards than industrial
     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
     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
78   Environmental and Health

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."
            Managing Facilities, Due Diligence and Facility Transfers    79

                              TABLE 4
                          (as of July 1, 1990)
40 C.F.R. Industrial Category        40 C.F.R. Industrial Category
Part                                 Part

467    Aluminum Forming              432    Meat Products
427    Asbestos Mfg.                 433    Metal Finishing
46 1   Battery Mfg.                  464    Metal Molding & Casting
43 1   Builders’ Paper & Board       436    Mineral Mining &
       Mills                                Processing
407    Canned and Preserved Fruits   42 1   Nonferrous Metals
       & Vegetables Processing              Manufacturing
408    Canned and Preserved          47 1   Nonferrous Metals Forming
       Seafood Processing                   & Metal Powders
458    Carbon Black                  435    Oil & Gas Extraction
411    Cement Mfg.                   440    Ore Mining and Dressing
434    Coal Mining                   414    Organic Chemicals
465    Coil Coating                  446    Paint Formulation
468    Copper Forming                443    Paving and Roofing
405    Dairy Products                       Materials
469    Electrical and Electronic     455    Pesticide Chemicals
       Components                    419    Petroleum Refining
413    Electroplating                439    Pharmaceutical Mfg.
457    Explosives Mfg.               422    Phosphate Mfg.
412    Feedlots                      459    Photographic
418    Fertilizer Mfg.               463    Plastics Molding and
424    Ferroalloy Mfg.                      Forming
426    Glass Mfg.                    466    Porcelain Enameling
406    Grain Mills                   430    Pulp, Paper and Paperboard
454    Gum and Wood Chemicals        428    Rubber Mfg.
460    Hospital                      417    Soap and Detergent Mfg.
447    Ink Formulation               423    Steam Electric Power
415    Inorganic Chemicals                  Generating
420    Iron and Steel Mfg.           409    Textile Mills
425    Leather Tanning and           429    Timber
80   Environmental and Health

   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
             Managing Facilities, Due Diligence and Facility Transfers   81

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 capabili-
ties 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
82    Environmental and Health

     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

     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
         Manufacturing applications such as cloth, cord, wicks, tape,
         twine rope, etc.
             Managing Facilities, Due Diligence and Facility Transfers   83

    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. "Friableasbestos 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.
    0    1978: all spray-applied asbestos coatings intended for decorative
        purposes banned; use of asbestos as an ingredient in Spackle and
        joint compounds banned.

     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,
84   Environmental and Health
Managing Facilities, Due Diligence and Facility Transfers   85
        ~   b   m   r   n   m   ~                55-2
86   Environmental and Health
             Managing Facilities, Due Diligence and Facility Transfers   87

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
    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.   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
88   Environmental and Health

procedures to be followed in the disposal of asbestos-containing waste
    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
              Managing Facilities, Due Diligence and Facility Transfers   89

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 manufac-
turing, 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" ( 4  4 Fed. Reg.
31514) regulated all PCBs to 50 ppm. This legislation bans the manufac-
ture 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, 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
90     Environmental and Health

                                  TABLE 6
                          EPA PCB DEFINITIONS
                            (40 C.F.R. part 761)

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

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

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

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

    PCB transformer        Any transformer containing 500 ppm, or
                           greater, PCB.

    PCB-contaminated       Any transformer containing 50-499 pprn PCB.

    Non-PCB transformer    Any transformer containing less than 50 ppm
                           PCB as determined by manufacturer certifi-
                           cation or laboratory analysis.

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

    Small capacitor        Any capacitor containing less than three pounds
                           of PCBs.

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

     Leak                  Any substance in which a PCB unit has any
I                          PCBs on any portion of its external surface.
             Managing Facilities, Due Diligence and Facility Transfers   91

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

    0   Barrier remediation to prevent radon from seeping into the
    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 carcino-
gen. 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. TSCA requires:

    0   Rigorous testing of new chemicals prior to commercial
    0   Reporting of any chemical that presents a substantial risk to
        human health or the environment.
    0   Maintenance of records by manufacturers that process or
        commercially distribute chemicals (records must document any
        possible adverse health reactions to the chemicals).
    0   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
92   Environmental and Health

         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 "imminenthazard. 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
             Managing Facilities, Due Diligence and Facility Transfers   93

        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

    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 sub-
stantially 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
94   Environmental and Health

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

    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).
     0   Nitrogen dioxide (NO,).
     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
              Managing Facilities, Due Diligence and Facility Transfers   95

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


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
    -- 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

    -- 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?
96   Environmental and Health

       -- 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. 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" de-

       -- The American Land Title Association Forms Committee has
          standardized chain-of-title disclosure forms for use at
       -- 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)
             Managing Facilities, Due Diligence and Facility Transfers    97

       -- 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 environ-
            mental 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-
98    Environmental and Health

            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.

     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.
 Managing Facilities, Due Diligence and Facility Transfers   99

-- 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 transac-

    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.


        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.
100   Environmental and Health

       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   All hazardous or other regulated materials and wastes
               relating to current and prior uses.
           0   All hazardous or other regulated materials and wastes
               relating to the operation, including information on their
               treatment, storage and disposal.
           0   All offsite waste handling facilities and transportation
               used by the operation.
           0   All PCBs, asbestos or lead currently or historically used
               by the operation.
           0   All aboveground and underground storage tanks ever
           0   Characterization of all air and water releases by the
               operation and associated permits.
           0   All notifications, registrations, applications, etc., filed by
               the operation, and all inspections, notices, citations,
               penalties, etc. , received by the operation.
           0   Descriptions of all spills, leaks or other uncontrolled
               releases of any hazardous substance to air, ground or
               surface water and land.
           0   Any pending or threatened claims or complaints with re-
               spect to operations at the facility, or any reasonable basis
               for claims or complaints.
           0   A statement that the facility is in full compliance with all
               applicable state, federal and local legal requirements,
               with any exceptions described in detail.
           0   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-
    Managing Facilities, Due Diligence and Facility Transfers   101

   disclosure followed by liability inevitably leads to costly

4. Environmental Agreements

   Sometimes the seller keeps responsibility for resolution for
   specific problems, such as onsite contamination. An envi-
   ronmental 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

   An environmental agreement defining seller's responsibilities

   1. Describe the "environmental problems.      'I

   2. Allocate responsibility for defined "remedial measures.

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

   4. Design communication with responsible authorities.

   5 . Provide needed indemnification.

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

   7. Provide for claims and resolution of disputes.
102     Environmental and Health

             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 re-
quirements is truly a dynamic, certainly not static. The following
circumstances could occur:

         Bankruptcy by buyer/user and/or seller.
         Total use redesign.
         Death of principals involved, placing assets and liability in
         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
    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
           Managing Facilities, Due Diligence and Facility Transfers   103

       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
104   Environmental and Health

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 con-
tamination, 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 environ-
ment" 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.
            Managing Facilities, Due Diligence and Facility Transfers   105


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.
106   Environmental and Health

     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-footmanufacturing 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.
             Managing Facilities, Due Diligence and Facility Transfers   107

                                 TABLE 7
  1.   In-house Senior Staff Member #1
       $                      (salary dollars per day) x 4 =

 2. In-house Staff Member #2
    $                      (salary dollars per day) x 3 =

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

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


    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 circum-
stances 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
108   Environmental and Health

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
    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 manage-
ment 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
             Managing Facilities, Due Diligence and Facility Transfers   109

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
    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.
110   Environmental and Health

                                 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                                          $


      Air Fare
      Car Rental
      Meals ($            per day)
      Purchase of ReportdMaps
      Telephone Charges
      Courier (overnight delivery)
      Reproduction of draft/final report

      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: compliance and risk. The
environmental compliance audit investigates whether a plant is in
compliance with all environmental regulations as of a particular date.
            Managing Facilities, Due Diligence and Facility Transfers   111

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 hun-
dred pages of detailed approaches used to identify air, water, soil
     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.
112   Environmental and Health

     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 spe-
cialist, 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 regula-
tions 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
     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
            Managing Facilities, Due Diligence and Facility Transfers   113

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 prin-
cipal 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
114   Environmental and Health

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.
            Managing Facilities, Due Diligence and Facility Transfers   115

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
    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 pro-
cess 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, be-
cause consultants could sue a company under unfair trade practice
regulations if vague reasons for restricting access to the contract are
    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.
116   Environmental and Health

                                 TABLE 9
        Score                                   Weight         Score
        Location of office doing work
        Number and background of staff
        Amount of directly related

        Company reputation based on
          verification of references

        Company organization


        Other Relevant Factors
        About Consultant A

  Prepared by:

    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
             Managing Facilities, Due Diligence and Facility Transfers   117

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
118    Environmental and Health

                                     TABLE 10
                           TYPICAL COST PROPOSAL
                             AUDIT OF XYZ COW.
  Labor                                 Hours     Rate      Total ($)
  Task 1 Processing/regulatory
         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

  TOTAL LABOR                            84                    4,380

 Two roundtrip airfare
   Philly                                                       500
 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
 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
             Managing Facilities, Due Diligence and Facility Transfers    119

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 insur-
ance 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
120    Environmental and Health

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 con-
sultant 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.
            Managing Facilities, Due Diligence and Facility Transfers   121

    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
122    Environmental and Health

     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

   Total Labor Charge


   Air Fare
   Car Rental
                   Managing Facilities, Due Diligence and Facility Transfers                      123

                                            TABLE 12
                     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 $                      . This cost includes all expenses.
          Please countersign this letter if you accept this proposal. ABC can submit a report to you
     no later than                , 1-
                                     9       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

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

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.



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

        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
        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.


The proposal sets the contractual tone between the consultant and his or
her perspective client. The typical proposal consists of the following
            Managing Facilities, Due Diligence and Facility Transfers   125

    0   Cover letter.
    0   Project summary.
    0   Proposal outline.
    0   Introduction.
    0   Scope of work.
    0   Experience on similar projects.
    0   costs.
    0   Schedule.
    0   Confidentiality agreement.
    0   Resumes of key personnel.
    0   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.
126       Environmental and Health

           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
           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 o 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.


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.


The project budget must contain the consultant’s profit on labor and
other direct costs (ODCs). The budget must also contain funds set aside
            Managing Facilities, Due Diligence and Facility Transfers   127

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.
128   Environmental and Health

     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 state-
ments 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

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.
            Managing Facilities, Due Diligence and Facility Transfers   129

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:
130     Environmental and Health

      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 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 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
            Managing Facilities, Due Diligence and Facility Transfers   131

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 con-
tract, 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

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
132    Environmental and Health

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 f r 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 in-
volves 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.
            Managing Facilities, Due Diligence and Facility Transfers   133

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 dam-

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

        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.
134   Environmental and Health

    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.



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
            Managing Facilities, Due Diligence and Facility Transfers   135

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

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.
136     Environmental and Health

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/defenseshelps 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

    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 contam-
ination problem, while still maintaining coverage for pollution which
            Managing Facilities, Due Diligence and Facility Transfers   137

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

        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
138     Environmental and Health

             person or organization for whom you may be legally re-
          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

      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-
            Managing Facilities, Due Diligence and Facility Transfers   139

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

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

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
             Managing Facilities, Due Diligence and Facility Transfers     141

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 trigger-
ing 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
    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
    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)
142     Environmental and Health

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

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

    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
            Managing Facilities, Due Diligence and Facility Transfers   143

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

    Earlier policies did not contain such a clause. Consequently sub-
stantial 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 oc-
currences. 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
     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
144    Environmental and Health

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 sub-
stantial 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.


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.


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.
146   Environmental and Health

                                 TABLE 1

  Color                                Octanol/water partition
  Odor                                               K,
                                         coefficient ()
  Physical state at 20°C               BOD,
  Molecular weight (MW)                ThOD
  Chemical formula                     Fire point
  Melting point (MP)                   Auto-ignition temperature
  Boiling point                          (point)
  Vapor pressure (VP)                  Flashpoint
  Density                              Explosive limits
  Vapor density (VD)                   Heat content
  Specific gravity (SG)                Threshold limit value (TLV)
  Solubility (water; other solvents)

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
                              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.
148   Environmental and Health

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
                               The Chemistry of Hazardous Materials     149

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.
150   Environmental and Health

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
                              The Chemistry of Hazardous Materials    151

applicable solely to ionic compounds, Le., primarily inorganic

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
152   Environmental and Health

characterization: (1) reactivity, (2) ignitability/flammability, (3) cor-
rosivity, 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.


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
                                The Chemistry of Hazardous Materials       153

 [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 114.
     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:
154    Environmental and Health

                                  TABLE 2


          Perchloric acid              HClO,                I
          Sulfuric acid                HW4                  C
          Hydrochloric acid            HCl                  e
          Nitric acid                  HNO,                 S
          Phosphoric acid              H3PO4                n
          Hydrofluoric acid            HF                   C
          Acetic acid                  CH,COOH              d
          Carbonic acid                HW3                   t
          Hydrocyanic acid             HCN                  e
          Boric acid                   H3BO3                g

      Reaction with metals:
         2A1 + 6NaOH + 2Na3A10,             +   3H2 t
         (reaction goes slowly)
                                  The Chemistry of Hazardous Materials     155

      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.     These acids are highly soluble in water.

 b. Concentrated solutions are highly corrosive and will attack materials
    and tissue.

 C.     If spilled on skin, flush with lots of water.

 d. Sulfuric and nitric acids are strong oxidizers and should not be
    stored or mixed with any organic material.

 e.     Sulfuric, nitric, and hydrochloric acids will attack metals upon
        contact and generate hydrogen gas which is explosive.

 f.     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.

 g. Breathing the concentrated vapors of any of these acids can be
    extremely harmful. Wear appropriate equipment.

 h. When mixing with water, always add acids to water, never water to
156   Environmental and Health

                                 TABLE 4

                        COMMON BASES
 Bases (Caustics)--Sodium Hydroxide, Ammonium Hydroxide,
 Calcium Hydroxide (Slaked Lime), Calcium Oxide (Ouick Lime)

 a.   These bases are highly soluble in water.

 b. Concentrated solutions are highly corrosive. They are worse than
    most acids because they penetrate the skin (Saponification reactions).

 C.   If spilled on skin, flush immediately with lots of water.

 d. When mixed with water, they generate a significant amount of heat--
    especially sodium hydroxide and calcium oxide.

 e.   Unless unavoidable, do not store or mix concentrated acids and
      bases, as this gives off much heat--dilute, then mix.

 f.   Do not store or mix ammonium hydroxide with other strong bases.
      It can release ammonia gas which is extremely toxic.

 g. Do not store or mix ammonium hydroxide with chlorine compounds
    (Le., sodium hypochlorite). It can release chlorine gas which is
    extremely toxic.


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
                             The Chemistry of Hazardous Materials   157

bonding between carbon atoms and between carbon and hydrogen atoms
in organic compounds.

Hydrocarbons--chemical compounds consisting primarily of carbon and

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
158   Environmental and Health

     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 Chemistry of Hazardous Materials   159
160   Environmental and Health

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
                              The Chemistry of Hazardous Materials     161

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 B s s (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.


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
162   Environmental and Health

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.
                             0           0
                             11          11

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.


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
                              The Chemistry of Hazardous Materials    163

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

   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   Environmental and Health
                                 0 %
                                 + a
                                 O 3
                                 W      A
                                 a L4
                                  Z J
                             The Chemistry of Hazardous Materials     165

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

                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
166   Environmental and Health

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
   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"
                                The Chemistry of Hazardous Materials   167

                                TABLE 7

                         LEL     UEL        Flashpoint      Vapor
      Compound          -
                        t        56             "F          Density

 Acetone                 2.15     13           -4            2.0
 Acetylene               2.50     100          Gas           0.9

 Ammonia, anhydrous       16      25           Gas            0.6

 Benzene                 1.30     7.1          12             7.8

 Carbon monoxide         12.4     74           Gas            1.o

  Gasoline               1.4      7.6          -45            3-4

 Hexane                  1.1      7.5           -7            3.0

 Toluene                 1.2      7.1          40             3.1

 Vinyl chloride          3.6      33           Gas            2.2

  pxylene                1.o      6.0          90             3.7

    The combustible category are those petroleum liquids having flash
points above 100°F. Examples are:

                   Kerosene        100+"F Flash Point
                   Fuel Oils       100" - 140"
                   Diesel Oil      130"
                   Lubricating Oil 300"
                   Asphalt         400"
                   Motor Oils      450"

     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
168    Environmental and Health

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.
                               The Chemistry of Hazardous Materials     169

    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

        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.


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.
170     Environmental and Health

   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
    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
                                 The Chemistry of Hazardous Materials   171

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

        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
172   Environmental and Health

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.


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
    Oxidizing agents are generally recognizable by their structures or
names. They tend to have oxygen in their structures and often release
                              The Chemistry of Hazardous Materials     173

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

        Fluorine                           Chlorine
        Ozone                              Sulfuric acid (concentrated)
        Hydrogen peroxide                  Oxygen
        Hypochlorous acid                  Metallic iodates
        Metal chlorates                    Bromine
        Lead dioxide                       Ferric salts
        Metallic permanganates             Iodine
        Metallic dichromates               Sulfur
        Nitric acid (concentrated)         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 or toxic substances cross the broad spectrum of chemical classes.
Presented are general characteristics of a few important classes of toxics.
174   Environmental and Health

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
     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
                               The Chemistry of Hazardous Materials     175

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--Pesticidesinclude 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 incompatibility is often associated with fires, explosions,
extreme heat, evolution of gas (both toxic and nontoxic), and
176     Environmental and Health

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
                              The Chemistry of Hazardous Materials    177

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


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.
178   Environmental and Health

    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
    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
     Human response to chemicals may be described by two types of
biological effects--acute and chronic. An acute effect generally results
                               The Chemistry of Hazardous Materials    179

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
     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-

    Hepatotoxins . . . .   ....,.       Chemicals which produce liver
    Signs and Symptoms . . . . .        Jaundice; liver enlargement
    Chemicals . . . . . . . . . . . .   Carbon tetrachloride; nitrosamines
180     Environmental and Health

      Nephrotoxins . . . . . . . . . .    Chemicals which produce kidney
      Signs and Symptoms . . . . .        Edema; proteinuria
      Chemicals . . . . . . . . . . . .   Halogenated hydrocarbons; ura-

      Neurotoxins . . . . . . . . . . .   Chemicals which effect the central
                                          nervous system
      Signs and Symptoms . . . . .        Narcosis: behavioral changes; de-
                                          crease in motor functions
      Chemicals . . . . . . . . . .       Mercury; carbon disulfide

      Hematopoietic Agents . . .          Chemicals that attack blood cells
      Signs and Symptoms . . . .          Decreases hemoglobin function;
                                          deprive body tissues of oxygen;
                                          Cyanosis; loss of consciousness
      Chemicals . . . . . . . . . . . .   Carbon monoxide; cyanides

      Pulmonary Agents . . . . . .        Chemicals which irritate or
                                          damage the pulmonary tissue
      Signs and Symptoms . . . . .        Cough; tightness in chest; short-
                                          ness of breath
      Chemicals . . . . . . . . . . . .   Silica; asbestos

      ReproductiveToxins . . . . .        Chemicals which affect the re-
                                          productive capabilities including
                                          chromosomal damage (mutations)
                                          and effects on fetuses (terato-
      Signs and Symptoms . . . . .        Birth defects; sterility
      Chemicals . . . . . . . . . . . .   Lead; KEPONE

      Cutaneous Hazards . . . . . .       Chemicals which affect the dermal
                                          layer of the body
      Signs and Symptoms . . . . .        Defatting of the skin; rashes;
      Chemicals . . . . . . . . . . . .   Ketones; chlorinated compounds
                           The Chemistry of Hazardous Materials   181

Eye Hazards     ..........          Chemicals which effect the eye or
                                    visual capacity
Signs and Symptoms . . . . .        Conjunctivitis; corneal damage
Chemicals . . . . . . . . . . . .   Organic solvents; acids


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
    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.
184       Environmental and Health

           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.


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 en-
vironments 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.
186   Environmental and Health
                       Safety Management Practices for Laboratories   187

    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.
188       Environmental and Health

           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:

      0    Flammability

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                          Location            Background
      Information                       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
                       Safety Management Practices for Laboratories   189

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 non-
flammable) are inhalation and skin
contact.     Acute inhalation of a
solvent may cause irritation of the
                                        Figure 1. Illustrates a label and
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.

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
190   Environmental and Health
                   1        CI   N   0
                                 N   0
                            CI   N   0
                       Safety Management Practices for Laboratories   191

material. If a solvent contains chlorine, e.g., trichloroethylene, it is
referred to as a "chlorinated" solvent.

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                          Ethyl ether
             Amyl acetate                     Formaldehyde
             Amyl alcohol                     Heptanes
             Butyl alcohol                    Methyl alcohol
             Carbon disulfide                 Mineral Spirits
             Cumene                           Nitrobenzene
             Cycloheptane                     Pentanes
             Dimethyl sulfate                 Petroleum ether
             Ethyl acetate                    Toluene
             Ethyl alcohol                    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.
192     Environmental and Health


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 infor-
mation to insure that
required product packaging        Purchase chemicals in small
and safety information are        quantities to reduce:
     Typically, the quan-         0   The occurrence of contamination of
tities of most chemicals and          open containers.
hazardous materials used in           The cost of disposal of unwanted
the laboratory are small.             chemicals.
Therefore, to ensure that             Exceedances of shelf lives of
materials are used prompt-            chemicals.
ly, purchased volumes             0   Abating the storage and safety
                                      concerns associated with large
should be relatively small.
This helps to eliminate        1
the possibility of opened
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.
                       Safety Management Practices for Laboratories    193

    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
     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
     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.
194     Environmental and Health

    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
    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
    Standard operating procedures for receiving hazardous materials are
important to prevent releases and ensure the identification and proper
                       Safety Management Practices for Laboratories    195

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

    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
    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
        Log all samples delivered to the laboratory. Assign laboratory
        sample numbers and issue receipts of the delivery person.
196       Environmental and Health

           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
     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
                       Safety Management Practices for Laboratories   197

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
198       Environmental and Health

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 Management Practices for Laboratories   199
200     Environmental and Health

guide for storage procedures. A chemical compatibility chart may be
readily designed utilizing the template chart given in Figure 2 and its
accompanying Table 4.

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.
      Safety Management Practices for Laboratories   201
202   Environmental and Health
     Safety Management Practices for Laboratories   203
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204     Environmental and Health

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
    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.
                       Safety Management Practices for Laboratories     205

    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
    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
206       Environmental and Health

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

   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.
                       Safety Management Practices for Laboratories   207

    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
    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.
208    Environmental and Health

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.


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.
                       Safety Management Practices for Laboratories    209


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
        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
     Dispensing of chemical may be safely performed through adherence
to the following procedures:
210       Environmental and Health

      0    Dispensing chemicals within hood or well ventilated areas.
      0    Hand pumping flammables from drums (do not pour).
      0    Limiting source of ignition in dispensing areas.
      0    Limiting volumes of dispensed materials to the smallest quantity
      0    Adding acids to water only.
      0    Dispensing to compatible containers only.
      0    Sealing containers when dispensing is completed.
      0    Dispensing into clean, dry containers.


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   Evacuate the area as necessary.
    0   Notify the area supervisor.
    0   Verify the identity of the spilled material.
    0   Prevent spread of the material, especially into drains, sewers,
    0   Don all necessary protective equipment prior to spill clean-up.
    0   Remove or de-energize sources of ignition as necessary.
    0   Absorb the spilled chemical with an approved compatible
        absorbent agent.
    0   Thoroughly clean the area with a suitable cleaning agents.
    0   Place the spilled material and all clean-up debris into a
        compatible, secure container.
    0   Label the container with the name of the spilled material and the
        date, in accordance with hazardous waste storage procedures.
    0   Remove the container to the hazardous waste storage area.

    If the spill presents a fire,
explosion, or off-site release              EMERGENCY ASSISTANCE
risk, or if laboratory resources                     LIST
are not commensurate with the          FIRE:
required spill response, notify        POLICEISECURITY:
the facility emergency                 ENVIRONMENTAL:
response group immediately.
                                    I SUPERVISOR:
                                       SAFETY OFFICE:
    To facilitate immediate            AMBULANCE:
assistance in response to              SPILL RESPONSE:
laboratory spills (and other
emergencies) placarding of an
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.
212   Environmental and Health

                                 TABLE 5

                                                            Phone #
  ON-SITE:                                 Name            (Extension)
  Spill Response
  Fire Brigade
  Health Clinic
  Security Environmental
  Area Supervisor
      Shift 1
      Shift 2
      Shift 3
  Department Supervisor
 Division Supervisor
 Safety Office

 Fire Department
 Spill Response Contractors


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
                       Safety Management Practices for Laboratories    213

personnel, unique spill clean-up requirements , and locations of clean-up
    The plan should also include identification of the environmental
professional responsible for reportable spill notifications. A com-
prehensive 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   Chemical name.
    0   Class.
    0   Location and quantities (including storage container size).
    0   Hazards (TWA, PEL, IDLH).
    0   Flammability.
    0   Reactivity.
    0   Incompatibility.
    0   Spill response equipment and location.
    0   Spill response procedure.
    0   Fire response.
    0   First aid.
    0   Waste disposal.
    0   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

    Name                                 Publisher
    CHRIS Hazardous Chemical             U.S. Gov. Printing Office
    U.S. Coast Guard                     Commandant Instruction
214    Environmental and Health

      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 face-
shields), gloves and protective clothing (such as lab coats and plastic or
rubber aprons), and foot protection (such as rubber boots or plastic shoe
    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
    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
    To determine the level of protection necessary and commensurate
type of PPE, each job function should be reviewed by a trained safety
                       Safety Management Practices for Laboratories   215

and health professional. Generally, typical levels of PPE for several job
categories follow:

    0   Transportation.
        - disposable chemical resistant gloves
        - faceshields
        - aprons
    0   Laboratory personnel.
        - goggles
        - lab coats
        - gloves
        - aprons, faceshields, goggles and gloves when dispensing
        - respirators as necessary
    0   Spill Response.
        - goggles and faceshields
        - gloves, boots
        - full body coveralls
        - splash jackets with hoods
        - respirators--chemical cartridge or air supplied respirators as

    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
    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
216       Environmental and Health

OSHA standards. This person would also be responsible for equipment
maintenance, storage, and recordkeeping.


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.
                       Safety Management Practices for Laboratories     217

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

     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.
218       Environmental and Health

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 radio-
           active/hazardous wastes.


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
    Congress enacted the Resource Conservation and Recovery Act

    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 kilo-
grams 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).
220       Environmental and Health

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.        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


To be a "hazardouswaste" 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" if it exhibits a hazardous
   Resource Conservation and Recovery At and Waste Analysis Plans
                                       c                                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" "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.
222       Environmental and Health

Reactivity - EPA Hazardous Waste Number DO03

A waste is reactive if

      a    It is normally unstable and readily undergoes violent change
           without detonating.
      a    It reacts violently with water.
      a    It forms a potentially explosive mixture with water.
      a    It generates toxic gases, fumes, or vapors when mixed with
      a    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.
      a    It is capable of detonating or exploding when subjected to a
           strong initiating sources or if heated under confinement.
      a    It is readily capable of detonation or explosive decomposition or
      a    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.
  Resource Conservation and Recovery Act and Waste Analysis Plans          223

                                TABLE 1

   EPA Hazardous                                        Maximum
   Waste Number               Contaminant              Concentration
                                                      (milligrams per liter)

        DO04                  Arsenic                         5 .O
        D005                  Barium                          100.0
        D006                  Cadmium                         1.o
        DO07                  Chromium                        5 .O
        DO08                  Lead                            5 .O
        DO09                  Mercury                         0.2
        DO10                  Selenium                        1.o
        DO1 1                 Silver                          5 .O
        DO12                  Endrin                          0.02
        DO13                  Lindane                         0.4
        DO14                  Methoxychlor                    10.0
        DO15                  Toxaphene                       0.5
        DO16                  2,4-D                           10.0
        DO17                  2,3,5-TP Silvex                 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 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 "F" waste category before that waste can be classified as
224   Environmental and Health

                                    TABLE 2

                   AND REGULATORY LEVELS
  HWNO and Contaminant                 C s No.
                                        a          Regulatory Level
 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
 DO16 - 2,4-D (2.4-Dichloro-
          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
 DO32 - 1,l -Dichloroethylene          75-35-4         0.1
 DO33 - 2,4-Dinitrotoluene             121-14-2        0.13
 DO12 - Endrin*                        72-20-8         0.003
 DO34 - Heptachlor (and its
           hydroxide)                  76-44-8         0.001
 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
 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
   Resource Conservation and Recovery Act and Waste Analysis Plans                         225

                                  TABLE 2 (continued)

                    AND REGULATORY LEVELS
  HWNO and Contaminant                         Cas No.               Regulatory Level

  DO44 - Pyridine                              110-86-1                     5 .O
  DO10 - Selenium*                             7782-49-2                    1.o
  DO11 - Silver*                               7440-22-4                    5.0
  DO45 - 1,l. 1,2-Tetrachloroethane            630-20-6                     10.0
  DO46 - 1,1,2,2-Tetrachloroethane             19-34-5                      1.3
  DO47 - Tetrachloroethylene                   127-18-4                     0.1
  DO48 - 2,3,4,6-Tetrachlorophenol             58-90-3                      1.5
  DO49 - Toluene                               108-88-3                     14.4
  DO15 - Toxaphene*                            8001-35-2                    0.07
  DO50 - 1,1,l-Trichloroethane                 71-55-6                      30
  DO51 - 1,1,2-Trichloroethane                 79-00-5                      1.2
  DO52 - Trichloroethylene                     79-01-6                      0.07
  DO53 - 2,4,5-Trichlorophenol                 95-95-4                      5.8
  DO54 - 2,4,6-Trichloropheno1                 88-06-2                      0.30
  DO17 - 2,4,5-TP (Silvex)*                    93-76-5                      0.14
  DO55 - Vinyl chloride                        75-01-4                      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. The reader should carefully check the definition of "F"
wastes before classifying the waste as hazardous.


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
226       Environmental and Health

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 treat-
           ment/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.
   Resource Conservation and Recovery A t and Waste Analysis Plans
                                       c                               227

   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.

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
    Conditionally exempt small quantity generators are:

    0   Exempt from all RCRA notification, reporting and manifesting
        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 per-
        mitted, 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.


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.
228       Environmental and Health

    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:

           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:

           ment requirements per         A small quantity generator
           40 CFR 265 are                can accumulate waste up to
           ed .                          270 days if waste must be
           The amount Of                 shipped more than 200 miles
           mulated hazardous waste       away.
           does not exceed 6000 kg.

    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
      0    The facility does not accumulate at any time more than 1000 kg
           of hazardous waste.
   Resource Conservation and Recovery Act and Waste Analysis Plans     229


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
230       Environmental and Health

    However, when the
container is full, it must               Satellite Accumulation Area
be moved to the central
storage area within                      Accumulate <55 gallons for more
                                         than 90 days
72 hours. The satellite
                                         When 55-gallon limit is exceeded
accumulation area may                    move to storage area within 3 days
contain more than one                0   Containers must be labeled and in
waste container provided                 good condition
that each container is

      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.
   Resource Conservation and Recovery Act and Waste Analysis Plans    231


A generator must make a hazardous waste determination on &      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
232     Environmental and Health

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

      3. Basis for hazardous designation.

      4. Concentrations of the constituents of concern for that listed

    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

      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-trichloro-
      ethane; (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-trichloroethaneis 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.
     Resource Conservation and Recovery Act and Waste Analysis Plans    233

                                    TABLE 3

                                                    Basis for Hazard
                Waste                Hazard           Designation
    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
1   4. Vinyl chloride sludge       Ignitable    Flashpoint is 6°F
    5. Pickle liquor sludge        Corrosive,   ph of 1.0, EP toxic
                                   EP toxic     Lead 26.5 ppm. Cr (VI)
                                                 7.8 ppm
    6. Metal grindings             EP toxic     EP toxic, Lead 32.8 ppm,
                                                  Cr (VI) 38.7 ppm
    7. Metal hydroxide sludge      EP toxic     EP toxic, Lead 118.2 ppm
                                                  Cr (VI) 47.1 ppm

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
234   Environmental and Health

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
   Resource Conservation and Recovery Act and Waste Analysis Plans    235

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 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.   The parameters for which each hazardous waste will be analyzed
        and the rationale for the selection of these parameters.

   2.   The sampling methods which will be used to obtain a
        representative sample of the waste to be analyzed.

   3.   The analytical procedures which will be used.

   4.   The frequency with which the initial analysis of the waste will be
        reviewed or repeated to ensure that the analysis is accurate and

   5.   For offsite facilities, the waste analyses that hazardous waste
        generators have agreed to supply.

   6.   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.
236   Environmental and Health

          b. The waste analysis requirement for owners or operators of

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.
   Resource Conservation and Recovery At and Waste Analysis Plans
                                       c                              237

     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 regu-
lations. 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
     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
238   Environmental and Health

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
     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.

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:


    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.


    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?
240     Environmental and Health


         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


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

             Hazardous Substances - Basically, if you’re
             using a material that has a Material Safety Data
             Sheet provided with it, that substance is likely

             Physical agents - These physical agents require
             an evaluation; heat noise, ionizing radiation
             (i.e., x-rays) and non-ionizing radiation (i.e.,
                                           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.


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
    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.
242       Environmental and Health


All shipping containers holding a hazardous substance must be marked

      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.


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
           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
           Respirator fitting, use, and care.
                                            Hazard Communication     243

   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
                Substance Fact Sheets, Right-To-Know Survey
            2. Form of the substance
                a. solids                e. vapors
                b. dusts                 f. gases
                c. fumes                 g. mists
                d. liquids
            3. Use of your senses - odors, sight, sounds, recurring
        B. Evaluation of Hazard Seriousness
            1 . Amount and concentration of the substance (dose)
            2. Length of exposure
            3. Route of exposure
                a. ingestion
                b. inhalation
                c. absorption
            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
244     Environmental and Health

             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
             2 . Exposure limits
                  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
                  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
                                          Hazard Communication     245

           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


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.


            NAME                                    CAS #
            HYDROQUINONE                            123-31-9
            PARAF'ORMALDEHYDE                       30525-69-4
            TRIETHYLENE GYCOL                       112-27-6
            WATER                                   7732-18-6
246    Environmental and Health

    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.


 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:

                                           CAS #
             Paraformaldehyde            30525-89-4
             Water                       7732-83-7
             Sodium Sulfite              7757-83-7
             TSRN 43891OOO-5002~
             TSRN 80000001-5103~
                                             Hazard Communication      247

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

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."
248     Environmental and Health

      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

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.


          Ammunition                     Pills and capsules
          Bars of soap                   Photocopier toners and developers
          Chalk, pastels and charcoal       in self-contained cartridges
          Crayons                        Polaroid film
          Flashlight batteries           Sorbent sample tubes
          Glue sticks                    Thermometers
          Grinding wheels                Pens and pencils
                                           Hazard Communication     249

   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
       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
       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
250      Environmental and Health

      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))

                                           Hazard Communication     251

    Containers containing hazardous waste material that are labeled
pursuant to the Federal Resource Conservation and Recovery Act


   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).



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:
252     Environmental and Health

      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, flam-
         mability, 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

      6 . The potential routes and symptoms of exposure to the hazardous

      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.
                                            Hazard Communication     253

In contrast, we would find that there is a separate HSFS for each
individual ingredient.


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
        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.


Materials can take many forms. The form can impact on your exposure
risk and the type of protection.
254   Environmental and Health

   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


Eye irritation - Be aware of abnormal eye irritation, especially entering
the work area.
                                              Hazard Communication       255

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

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).
256     Environmental and Health

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
                                             H z r Communication        257

        information for numerous hazardous substances. This infor-
        mation 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

        Industrial Hygiene Sampling R s l s 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.


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
258       Environmental and Health

           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 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
                                                         H z r Communication
                                                          aad                          259

                  ~~             ~
                                          TABLE 1
     Inhalation                                 LD, - wtlkg               4 Hr.
      Toxicity             Descriptive       Single Oral Dose   -       LC, - PPm
       Rating                Term                   Rats                   Rats

         1.            Extremely Toxic       1 mg OR LESS           <   10
         2.            Highly Toxic          1 - 50 mg              10- 100
         3.            Moderately Toxic      50 - 500 mg            100-1,Ooo
         4.            Slightly Toxic        0.5 - 5 g              1,Ooo - 10,Ooo

         5.            Practically Non-      5-15g                  10,Ooo - 100,Ooo

         6.            Relatively Harmless   15 g OR MORE           >   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
260       Environmental and Health

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
           2. Causes systemic effects
           3. Local irritation or dermatitis involves skin contact only (not
           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
      0    Others

     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
                                            Hazard Communication      261

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
262    Environmental and Health

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
     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.
                                             H z r Communication      263

    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
264    Environmental and Health

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
                                            Hazard Communication     265

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
                     respiratory tract
        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,
                          nitrogen, carbon dioxide
        2. Chemical Asphyxiants
             Examples: carbon monoxide, cyanides
        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
        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
266       Environmental and Health


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

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.
                                            Hazard Communication     267

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
     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
    The sampling method used depends on the physical form of the

    0   Dusts - The sampling device is a filter of plastic or paper in a
    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.
268       Environmental and Health

    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.


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.
                                              H z r Communication      269

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.
270   Environmental and Health

U i s 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,
                                            H z r Communication       271

       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

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
       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

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
       Employees should be made aware of the general methods of
       testing, including testing equipment and normal values of the
       Employees should be made aware of the limitations of medical
       testing, both the sensitivity of the tests and the conditions being
272       Environmental and Health

           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 infor-
           mation may be sent to a designated physician or other
           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    Medical opinions, diagnoses, and recommendations.
      0    Employee medical complaints.
           Originals of x-rays plus interpretation.
                                           Hazard Communication     273


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.
274       Environmental and Health

           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.


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

           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
                                             Hazard Communication       275

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
    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
276    Environmental and Health

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
    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.
                                            H z r Communication       277

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 con-
        taminated 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                         > 500
              Moderately toxic                       100 - 500
              Highly toxic                           < 100
278   Environmental and Health

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.


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
                                             Hazard Communication     279


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 radio-
active 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.
280    Environmental and Health

    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.
    Electromagnetic radiation (X, Y): 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.

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.
                                            Hazard Communication     281

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 ( M E ) 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.
282   Environmental and Health

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
                                                   ~~            ~~

                                                Rems per quarter
  (a) Whole body; head and trunk;                       1-114
      blood-forming organs; lens of
      eyes or gonads

  (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.


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.

    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
284       Environmental and Health

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


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 H z r Analysis
                                                    aad               285

           chronic or irreversible tissue change, or impairment of
        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

     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.
286   Environmental and Health

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 o Chemistry and Physics, CRC Press.
        Perry 's Chemical Engineer's Handbook, McGraw-Hill.
        Handbook o Industrial Hazard Assessment Techniques, The
        World Bank.
        Fire Protection Handbook, National Fire Protection Association
        Dangerous Properties o 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
                     Process Technology Safety and Hazard Analysis   287

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

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

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
288   Environmental and Health

        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 o Industrial Materials ( a ) 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 inter-
connections 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.
                     Process Technology Safety and Hazard Analysis    289

    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
    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. These and similar MSDS entries should be verified from

another MSDS from a different supplier or from another reference


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:
290       Environmental and Health

           Description of the feedstocks and their required amounts or flow
           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.
                     Process Technology Safety and Hazard Analysis     291

    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 multi-
disciplinary 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
292    Environmental and Health

a documented set of results that can be used to aid in both the reduction
and communication of risk.


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

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.
                     Process Technology Safety and H z r Analysis
                                                    aad               293

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/flangesand equipment design cri-
        teria, including selection of materials; standards for engineering
        ASTM: standard testing methods and acceptable test results;
        definition of metallic and non-metallic materials.
        NFPA: electrical area classifications and requirements; fire pro-
        tection 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 hydro-
        carbon 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.
294     Environmental and Health

~                                  TABLE 1

    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
    Underwriter’s Laboratory (UL)
    Military Standards & Military Specifications/Departmentof 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.
                     Process Technology Safety and Hazard Analysis    295

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:
296       Environmental and Health

      a    All components, including spares with their identification or tag
      a    All piping regardless of size, including instrument tubing, and
           the location and size of pipe size reducers and expanders.
      a    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.
      a    Piping specification breaks, including description of the piping
           design classes.
      a    Flow directions.
      a    Symbols and identification of each instrument, including symbols
           denoting readout location, types of alarms, interlocks and trip
      a    All valves, including the fail position of non-manual valves.
      a    Representation of insulation and steam or heat tracing for all
           piping and equipment, where installed.
      a    Auxiliary equipment such as steam traps, filters and strainers.
      a    Elevations of all equipment and important nozzle connections.
      a    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).
      a    All connections to other systems, including all mechanical utility
           and waste treatment systems, and safety systems such as flares
           and depressuring systems.
      a    Depiction of all mechanical safety equipment, such as safety
           relief valves, including setpoints.
      a    Important notes relating to piping slope, pocketing and critical

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.
                      Process Technology Safety and Hazard Analysis    297

    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.


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
298       Environmental and Health

           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 re-
           quirement in New Jersey.


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
                      Process Technology Safety and Hazard Analysis      299

named in the standard must conduct a process hazard analysis for the
equipment and process in which the material is present (55 CFR 29164
    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
300   Environmental and Health

a group, answered, and the consequences and preliminary recom-
mendations 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.
                     Process Technology Safety and Hazard Analysis      301

    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
     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.
302       Environmental and Health


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
                     Process Technology Safety and Hazard Analysis     303

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.


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
     An important note should be made of the need for consistency in
hazard analyses. Consistency must be maintained on two levels: within
304   Environmental and Health

the study of each process and between various studies of different
    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.


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
        Documents the proposed remedial measures or actions
        undertaken with respect to the recommendations.
                     Process Technology Safety and H z r Analysis
                                                    aad               305

    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, recom-
mendations 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
306   Environmental and Health

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.


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.
                      Process Technology Safety and Hazard Analysis     307


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
     The pre-startup safety review follows management o 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:
308       Environmental and Health

           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


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:
308       Environmental and Health

           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


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:
                    Process Technology Safety and Hazard Analysis     309

       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:        "What can go wrong?"
   Evaluate the hazards:        "What are all the causes?"
                                "How bad can it be?"
   Control the hazards:         "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
310   Environmental and Health

                                 TABLE 2

      Hazard Assessment                    Process Risk Review
      Hazard Study                         Process Risk Survey
      Predictive Hazard Evaluation         Process Safety Review
      Process Hazard@)Analysis             Risk Assessment
      Process Hazard@)Review               Risk 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
    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
                     Process Technology Safety and Hazard Analysis    311

                               TABLE 3

      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.
312    Environmental and Health

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,
                      Process Technology Safety and Hazard Analysis     313

                                TABLE 4

 Research,                Detailed Engineering     Plant Modification

 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
     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.
314   Environmental and Health

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

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
                      Process Technology Safety and Hazard Analysis      315

through" the process technology, P&IDs or proposed operating
     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
     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
        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:
316    Environmental and Health

        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
                      Process Technology Safety and Hazard Analysis    317

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
    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, or "Needsmore 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
    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
318   Environmental and Health

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
     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
                      Process Technology Safety and H z r Analysis
                                                     aad                319

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.
320       Environmental and Health

    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.
                      Process Technology Safety and Hazard Analysis    321

    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

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
322   Environmental and Health

constrain themselves to phrasing their contributions in the form of a
"what i f . . 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.
                      Process Technology Safety and Hazard Analysis     323

    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
324   Environmental and Health

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
                      Process Technology Safety and Hazard Analysis        325

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

  Guide Word"              ParameteP                 Deviation'

  No                       Flow                      No Flow
  Less                     Temperature               Lower Temperature
  More                     Pressure                  High Pressure
  Part Of                  Composition               One Component

  As Well As               Phase                     Two Phase Mixture
  Reverse                  Pressure                  Vacuum
  Other Than               Operation                 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,
326   Environmental and Health

    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
                    Process Technology Safety and Hazard Analysis     327

                              TABLE 6

                    CONSIDERED IN AN FMEA
 Eauiument Item                     Failure Mode

 Control valve                      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

 Transmitter                        Gives erroneously high reading
                                    Gives erroneously low reading
                                    Fails to respond to process change

 Heat Exchanger                     Leaks from process to service side
                                    Leaks from service side to process
                                    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
328   Environmental and Health

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
     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
     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.
                      Process Technology Safety and Hazard Analysis      329

    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
330   Environmental and Health

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.
                      Process Technology Safety and Hazard Analysis      331

     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.
332   Environmental and Health

    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.
                     Process Technology Safety and Hazard Analysis      333

    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
        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?
334       Environmental and Health

      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
    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 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
                     Process Technology Safety and H z r Analysis
                                                    aad                335

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.
336   Environmental and Health

    Finally, one particular incident may pose the potential for particularly
grave consequences, warranting an even closer examination using FTA.


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


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
338   Environmental and Health

                                 TABLE 1


 General Information 49 CFR 171
 Hazardous Materials                       49 CFR 172
    Tabulation Listing                          Subpart   B
    Shipping Papers                             Subpart   C
    Container Marking                           Subpart   D
    Container Labeling                          Subpart   E
    Placarding                                  Subpart   F

 General Shipping Requirements             49 CFR 173
    Materials Classification                    Subparts C - 0
 Dual Classification                       173.2
 Small Quantity Exception                  173.4

 Transporter Requirements :
     Rail                                  49   CFR   174
     Aircraft                              49   CFR   175
     Vessel                                49   CFR   176
     Highway                               49   CFR   177

 Container Specifications                  49 CFR 179- 79
 Transportation by Pipeline                49 CFR 190- 95


 Hazardous Waste Generator Regulation      40 CFR 262
    Manifests                                   Subpart B
    Pretransport Requirements                   Subpart C

 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 impor-
tant 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

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
340   Environmental and Health

                                 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 110-gallon capacity)
      0   Combustible liquid (in containers of 110-gallon capacity or less)

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.


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
                                     Hazardous Waste Transportation    341

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 pla-
carding 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
342   Environmental and Health
                                 P ) .
                                 z g
                                 Q 3
                                 g i
                                 U W
Hazardous Waste Transportation   343
344   Environmental and Health
                                 m   m
                                 2   2
                                    Hazardous Waste Transportation     345

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.


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.


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.
346   Environmental and Health

Figure 2. Uniform Hazardous Waste Manifest
                                     Hazardous Waste Transportation    347

  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:
348      Environmental and Health

    "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

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


l   Types of Containers

    DM     = metal drums, barrels, kegs
                                                      Units of Measure

                                                      G   = gallons (liquids
    DW     = wooden drums, barrels, kegs                      only)
    DF     = fiberboard or plastic drums,             P   =   pounds
              barrels, kegs                           T   =   tons (2000 Ibs)
    TP      = tanks portable                          T   =   cubic yards
    TT      = cargo tanks (tank trucks)               L   =   liters (liquids
    TC      = tankcars                                      only)
    DT      = dumptruck                               K   = kilograms
    CY      = cylinders                               M   = metric tons (lo00
    CM      = metal boxes, cartons, cases                     kg)
              (including rolloffs)                    N   = cubic meters
    CW      = wooden boxes, cartons, cases
    CP      = fiber or plastic boxes, cartons,
    BA      = burlap, cloth, paper or plastic
                                     Hazardous Waste Transportation    349

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


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.
350   Environmental and Health


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 can-
not 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.
                                   Hazardous Waste Transportation    351


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.


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

    1. Regulatory Framework
    2. Waste Minimization and Onsite Treatment
    3. Use of Commercial Facilities


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.
354   Environmental and Health

     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
     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
     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.


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. The hazardous waste system requires much specific paperwork
        which a company could do in a simpler fashion.
    2. Companies that are generators are subject to more frequent
        inspections and enforcement actions under RCRA.
    3. Disposal of hazardous waste tends to be significantly more
        expensive than disposal of nonhazardous waste.
    4. Companies who have TSD permits are susceptible to corrective
        action requirements on any solid waste management unit on their
    5 . 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.
    6 . The time constraints for removing the waste can be difficult for
        some operations to manage.
    7. 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.
356     Environmental and Health

     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

      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.
  Treatment, Disposal and Waste Minimization Management Practices      357

    5 . Direct Discharges to Surface Waters
        Wastewater treatment regulated under the Clean Water Act is
        exempt from the RCRA hazardous waste treatment permit.


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
     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
     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)
            In some instances, should it prove necessary, requests can be
        made for federal records under the Freedom of Information Act
358     Environmental and Health

         (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
              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.
  Treatment, Disposal and Waste Minimization Management Practices        359

        Check with your other plants to see what they are doing.
           Does the facility routinely check chemical composition of
        wastes received at the gate? Does the facility turn back
        unacceptable loads?

    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
360   Environmental and Health

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.


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).
  Treatment, Disposal and Waste Minimization Management Practices     361

    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
362       Environmental and Health

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
    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)).
Treatment, Disposal and Waste Minimization Management Practices   363
364       Environmental and Health

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
     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
  Treatment, Disposal and Waste Minimization Management Practices   365

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

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

Transfer of Knowledge. Waste reduction techniques learned in one part
of the organization or company might have utility in another part.
366   Environmental and Health

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

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
  Treatment, Disposal and Waste Minimization Management Practices    367

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.


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
368        Environmental and Health

            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


Leaking Underground Storage Tanks (UST) have become an increasing
source of groundwater contamination. Corrosion and improper instal-
lation 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

EPA established hazardous waste standards applicable to accumulation
tank systems, interim status tank systems, and permitted tank systems.
370     Environmental and Health

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

    Basic requirements for existing tank systems that do not have
secondary containment include the following requirements:

      1. Undergo integrity checks to determine that the tank system is not
         leaking or is unfit for use.

      2. 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.

      3. 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. Ensure proper handling procedures are adhered to in order to
      prevent damage to the system during installation.

   3. Ensure clean, noncorrosive backfill is used during installation
      and compacted so that the tank and piping are uniformly

   4. Conduct tightness testing on tanks and ancillary equipment prior
      to covering with backfill.

   5 . Provide corrosion protection as recommended by an independent
       corrosion expert.

   6. Maintain all records associated with the installation, certification,
      operation, etc. of the hazardous waste tank system.


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.
372     Environmental and Health

      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. Aboveground piping that is visually inspected for leaks on a
         daily basis.

      2. Welded joints and connections that are visually inspected daily.

      3. Pumps without seals or magnetic coupling pumps that are
         visually inspected daily.

      4. Pressurized aboveground piping systems with automatic shutoff

    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.


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.
                             Managing Underground Storage Tanks      373

    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.


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. Discontinue the flow of waste into the tank and inspect for leaks.

    2. Remove waste from the tank or secondary containment system.

    3. Contain any visible release of waste to the environment.

    4. Initiate notification reports to the Regional Administrator within
       24 hours.

    5 . Initiate repairs in accordance with 40 CFR 264.196(e)(2) through
        (4) or 265.196(e)(2) through (4).

    6. Obtain certification from an independent professional engineer
       that the repaired system is capable of handling hazardous waste.


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
374     Environmental and Health

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
          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.
                             Managing Underground Storage T n s    375

   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.


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. Farm or residential tanks of 1100 gallons or less, used for
       storing motor fuel for noncommercial purposes.

   2. Tanks used for storing heating oil for consumptive use on the
      premises where stored.

   3. Septic tanks.

   4. Pipeline facilities.

   5 . Surface impoundments, pits. ponds, or lagoons.

   6. Stormwater or wastewater collection systems.

   7. Flow-through process tanks.

   8. Liquid traps or associated gathering lines related to oil or gas
      production and gathering operations.

   9. 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).
376     Environmental and Health

    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

      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

      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.
                             Managing Underground Storage Tanks    377

   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.    Constructed of fiberglass reinforced plastic.
       b.    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
       d.    Designed and constructed to prevent the release of a
             regulated substance and is equally protective of the

   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.
378     Environmental and Health

         g.    Provide swing joints or flexible connectors at the
               beginning and end of each line, as well as where lines
               change direction.
         h.    Assure installation of tank and piping as in accordance
               with the manufacturer’s instructions and specifications.
         i.    Provide for tank and piping tightness testing after backfill
               is installed and before the system is operational.

      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/operatorsof 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

      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.
                          Managing Underground Storage Tanks      379

   b.     Ensure that a person is present at all times during transfer
          to observe the transfer.

2. 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
   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 280.31(b).
   c.    Must maintain records of corrosion protection to document
   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.     It passed the vacuum test.
    b.     The lining material is compatible with the regulated
380     Environmental and Health

          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
         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.
         f.    Adequate records must be maintained which document
               compliance with the repair requirements.

      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

      2. Installed, calibrated, operated, and maintained in accordance with
         the manufacturer’s instructions.
                               Managing Underground Storage Tanks      381

    3. Capable of meeting the performance standards in 40 CFR

    4. Sampled, tested, or checked for releases at least every thirty

    If an external release detection method is to be used, a site
assessment must be performed prior to installation.
    Existing UST systems must comply with the following schedule for
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
382     Environmental and Health

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

      1. Sampling or monitoring results from leak detection which
         indicate that a release may have occurred.

      2. Unusual operating conditions which may be indicative of a

      3. Impacts in the surrounding area such as evidence of substances
         or vapors in the soil, sewers, utility lines, basements, or nearby
         surface water.

      4. 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
    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:
                              Managing Underground Storage T n s     383

    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.    Check inventory records to detect any discrepancies.
      b.    Retesting of tank and piping system separately within
            seven days.
      c.    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

    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.
384     Environmental and Health

    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

CorrectiveAction 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

      1. Immediately stop the flow of substance into the tank of
         secondary containment and inspect to determine the cause of the

      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.
                             Managing Underground Storage Tanks      385

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

   When a UST system is taken out of service for longer than
24 months, it must be permanently closed according to the following:

    1. Notify the implementing agency.

    2. Assess the excavation area for potential releases. This may be
       done by soil sample analysis and/or groundwater monitoring.

    3. Tanks must be emptied and removed from the ground or filled
       with inert solid material.

   4. Releases discovered during closure and subject to corrective
      action requirements.

    5 . Adequate records must be maintained to demonstrate compliance
       with all closure procedures.
386   Environmental and Health

    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.


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
     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
     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.
388    Environmental and Health


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


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).
    There are two basic classes of pesticide applicators. 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


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.


This section sets forth the procedure for changing classification, or
suspension, or cancellation of registration if the Administrator has reason
390    Environmental and Health

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
    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.


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 w s produced must appear somewhere on the pesticide


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
                   Federal Insecticide, Fungicide and Rodenticide Act    391

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.


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


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

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.
392   Environmental and Health

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
    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

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.
                   Federal Insecticide, Fungicide and Rodenticide A t
                                                                   c    393


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

        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
394     Environmental and Health

             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.
           Federal Insecticide, Fungicide and Rodenticide Act    395

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
    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.
396   Environmental and Health

            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.


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.
398      Environmental and Health

                                          TABLE 1

                      OSHA STANDARDS FOR USE OF PPE

     Type of
    Protection           Regulation                              Source
  General              29 CFR               41 CFR Part 50-204.7 General Requirements for
                       Part 1910.132        Personal Protective Equipment.

                       29 CFR               41 CFR Part 50-204.50, except for Table 2-2, the
                       Part 1910.1000       source of which is American National Standards
                                            Institute. 237 series'.

                       29 CFR               OSHA Rulemaking
                       Part 1910.1001

  Eye and Face         29 CFR               ANSI 287.1-1968' Eye and Face Protection.
                       Part 1910.133(a)

  Noise Exposure       29 CFR               41 CFR Part 50-204.10 and OSHA Rulemaking.
                       Part 1910.95

  Respiratory          29 CFR               ANSI 288.2-1969' Standard           Practice        for
                       Part 1910.134        Respiratoly Protection.

  Head                 29 CFR               ANSI Z89.1-1969' Safety Requirements for
                       Part 1910.135        Industrial Head Protection.

  Foot                 29 CFR               ANSI 24 1.1- 1967" Men's Safety Toe Footwear.
                       Part 1910.136

  Electrical           29 CFR               ANSI 29.4-1968. Ventilation and Safe Practices
  Protective           Part 1910.137        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.


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:

    0   A survey of each site to ensure compliance with regulations
        applicable to the specific site involved.
    0   The number of person-hours that workers wear various
        protective ensembles.
    0   Accident and illness experience.
    0   Levels of exposure.
    0   Adequacy of equipment selection.
    0   Adequacy of the operational guidelines.
    0   Adequacy of decontamination, cleaning, inspection, maintenance,
        and storage programs.
    0   Adequacy and effectiveness of training and fitting programs.
    0   Coordination with overall safety and health program elements.
    0   The degree of fulfillment of program objectives.
    0   The adequacy of program records.
    0   Recommendations for program improvement and modification.
    0   Program costs.
400       Environmental and Health

The results of the program evaluation should be made available to
employees and presented to top management so that program adaptations
may be implemented.


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

      0    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.
      0    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
a separate air source. Instead, they utilize ambient air which is
"purified" through a filtering element prior to inhalation.
    SCBAs, SARs, and air-purifying respirators are further differentiated
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-
                    Managing Worker Personal Protective Equipment       401

        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.
402   Environmental and Health

Figure 1. Types of Atmosphere-Supplying Respirators

Figure 2. Types of Air-Purifying Respirators
 Managing Worker Personal Protective Equipment   403
0 . 0
404   Environmental and Health
                    Managing Worker Personal Protective Equipment      405

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-
    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 f o 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
406   Environmental and Health

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 11.80, all compressed
breathing gas cyclinders must meet minimum U.S. Department of
Managing Worker Personal Protective Equipment   407
408   Environmental and Health
                   Managing Worker Personal Protective Equipment     409

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

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
410   Environmental and Health

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      411

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
412    Environmental and Health

                                  TABLE 4

          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

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]).
                    Managing Worker Personal Protective Equipment     413

     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
     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
     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.
414       Environmental and Health


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.
           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:

      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
                     Managing Worker Personal Protective Equipment      415

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
416   Environmental and Health
Managing Worker Personal Protective Equipment   417
418   Environmental and Health
Managing Worker Personal Protective Equipment   419
420   Environmental and Health
Managing Worker Personal Protective Equipment   421
422   Environmental and Health
Managing Worker Personal Protective Equipment   423
424   Environmental and Health

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 manu-
facturers. 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.
                    Managing Worker Personal Protective Equipment       425

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

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

    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?
426       Environmental and Health

      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

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.


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
    Managing Worker Personal Protective Equipment   427
e                                      e    e
le         e   .   .   .   g e e e..
428   Environmental and Health
Managing Worker Personal Protective Equipment   429
430   Environmental and Health
                                 m   e
                     Managing Worker Personal Protective Equipment      431

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


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.
                     Managing Worker Personal Protective Equipment      431

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


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.
432       Environmental and Health

      0    Donning.
      0    In-Use monitoring.
      0    Doffing.
      0    Storage.
      0    Maintenance.

Inadequate attention to any of these areas could compromise the
protection provided by the PPE.


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
      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
      0    The human factors influencing PPE performance.
      0    Instruction in inspecting, donning, checking, fitting, and using
                    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
        The user’s responsibility (if any) for decontamination, cleaning,
        maintenance, and repair of PPE.
        Emergency procedures and self-rescue in the event of PPE
        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.
        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:
434       Environmental and Health

      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
      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,
                    Managing Worker Personal Protective Equipment      435

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
    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
436   Environmental and Health

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

1. Inspect the clothing and respiratory equipment before donning (see
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
5 . Put on chemical-resistant safety boots over the feet of the suit.
    Tape the leg cuff over the tops of the boots.
    -- If additional chemical-resistant boots are required, put these on
    -- Some one-piece suits have heavy-soled protective feet. With
        these suits, wear short, chemical-resistant safety boots inside the
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
    -- 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.
438     Environmental and Health


                                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],
1910.1025[fl[3][ii] , and 1910.1045D][3][iii] [B]) .
                    Managing Worker Personal Protective Equipment      439

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   Degradation of the protective ensemble.
    0   Perception of odors.
    0   Skin irritation.
    0   Unusual residues on PPE.
    0   Discomfort.
    0   Resistance to breathing.
    0   Fatigue due to respirator use.
    0   Interference with vision or communication.
    0   Restriction of movement.
    0   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

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.
440     Environmental and Health

                                    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
     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
                    Managing Worker Personal Protective Equipment     441

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


An effective PPE inspection program will probably feature five different

        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.
    Records must be kept of all inspection procedures. 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
442       Environmental and Health

                                     TABLE 9


 Before use:
      Determine that the clothing material is correct for the specified task
      at hand.
   0 Visually inspect for:
      -- 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.


      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.
                        Managing Worker Personal Protective Equipment        443

                              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

      0 Inspect SCBAs:
        -- 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@.).
1     0 Check faceshields and lenses for:
        -- cracks
        -- crazing
        -- fogginess

    Supplied-Air Respirators
      0 Inspect SARs:
        -- 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.
444   Environmental and Health

                          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:
      -- signs of pliability
      -- signs of deterioration
      -- signs of distortion
    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
      Check material conditions for:
      -- signs of pliability
      -- signs of deterioration
      -- signs of distortion
   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

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'
                      Managing Worker Personal Protective Equipment     445


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.


    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
    0     Protective clothing should be folded or hung in accordance with
          manufacturers' recommendat ions.


          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.


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
446       Environmental and Health

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.


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     Lack of physical fitness.
      0     Lack of acclimatization.
      0     Age.
      0     Dehydration.
      0     Obesity.
      0     Alcohol and drug use.
      0     Infection.
      0     Sunburn.
      0     Diarrhea.
      0     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
                     Managing Worker Personal Protective Equipment       447

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.


Because the incidence of heat stress depends on a variety of factors, all
workers, even those not wearing protective equipment, should be

    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
    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.
448   Environmental and Health

             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-0.25lb 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.


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.
                           Managing Worker Personal Protective Equipment                      449

                                           TABLE 10


         Adjusted                         Normal Work                    Impermeable
       Temperatureb                        Ensemble'                      Ensemble
  90°F (32.2"C) or                After each 45 minutes            After each 15 minutes
  above                           of work                          of work

  87.5" - 90°F                    After each 60 minutes            After each 30 minutes
  (30.8" - 32.2"C)                of work                          of work

  82.5" - 87.5"F                  After each 90 minutes            After each 60 minutes
  (28.1" - 30.8%)                 of work                          of work

  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
           -- Mandate work slowdowns as needed.
           -- Rotate personnel: alternate job functions to minimize
              overstress or overexertion at one task.
           -- Add additional personnel to work teams.
450       Environmental and Health

           -- 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
           -- 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
           -- 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

      Heat rash may result from continuous exposure to heat or humid
  0   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
  0   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

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.
452       Environmental and Health

   The physiological factors may affect worker ability to function using
PPE include:

           Physical condition.
           Level of acclimatization.
      0    Gender.

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
                     Managing Worker Personal Protective Equipment        453

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
    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.


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.


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
454   Environmental and Health

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.


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

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.

A C G M -- 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.)
456    Environmental and Health

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 (18 percent or lower).
Asphyxiation is one of the principal potential hazards of working in confined

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

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.
458    Environmental and Health

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 P r 102 (licensed veterinary biological products), Title 21 CFR
 at                                     at
P r 601 (licensing) or Title 42 CFR P r 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.
                                               Glossary of EH&S Terms        459

Boiling Point ( . . -- 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

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 air-
borne substance, not to be exceeded even momentarily. (See also "PEV" and

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").
460    Environmental and Health

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 m 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.
                                                Glossary of EH&S Terms         461

Compressed G s -- Material packages in a cylinder, tank, or aerosol under
pressure exceeding 40 psi at 70°F or other pressure parameters identified by

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, I S 0 -- 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.
462    Environmental and Health

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 a 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 f o of items f o 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 o 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 o 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

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

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
464     Environmental and Health

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. Determinationof 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 per-
         cent) 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
                                               Glossary of EH&S Terms         465

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

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

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

O F -- Degrees Fahrenheit.
466     Environmental and Health

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 CosmeticAct. (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

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

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
                                              Glossary of EH&S Terms        467

up 99 percent or more of the total volume of the mixture (Title 29 CFR

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
468    Environmental and Health

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.
                                               Glossary of EH&S Terms        469

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

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.
470    Environmental and Health

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.
                                              Glossary of EH&S Terms         471

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
472        Environmental and Health

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 P r 72. (Also, see Biologically Hazardous

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

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.
                                               Glossary of EH&S Terms        473

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

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 Organizationfor Standardization.

kg -- Kilogram. A metric unit of weight, about 2.2 United States pounds.
474    Environmental and Health

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

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.)
                                                Glossary of EH&S Terms         475

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

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

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.
476    Environmental and Health

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

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 TransportationBureau (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 Standardsfor Hazardous Air Pollutants. CAA
Section 112 also refers to chemicals regulated under this program.
                                              Glossary of EH&S Terms         477

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 Institutefor 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
478   Environmental and Health

NPTN -- National Pesticide TelecommunicationsNetwork. 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

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

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
                                              Glossary of EH&S Terms        479

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

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

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
P r 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.
480    Environmental and Health

Packing -- Assembly of items into a unit, intermediate, or exterior pack with
necessary blocking, bracing, cushioning, weather-proofing, reinforcement and

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

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.
                                                 Glossary of EH&S Terms          481

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

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

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).
482    Environmental and Health

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
                                               Glossary of EH&S Terms         483

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 (CWA 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.
484    Environmental and Health

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 117.3, 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

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.
                                               Glossary of EH&S Terms         485

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 (1974).

Secondary Materials -- Spent materials, sludges, by-products, scrap metal and
commercial chemical products recycled in ways that differ from their normal

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.
486    Environmental and Health

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

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 s u m of their separate effects.
                                                Glossary of EH&S Terms         487

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.

T -- Transport Index. Applicable to radioactive materials. (See Title 49 CFR

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 (1976).

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.
488    Environmental and Health

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.

U P S -- 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.
                  EH&S MANAGERS

ACGIH      American Conference of Governmental Industrial Hygienists
ALARA      As low as reasonably achievable
ALR        Allergenic effects
ANSI       American National Standards Institute
API        American Petroleum Institute
AQTX       Aquatic toxicity
ASTM       American Society for Testing and Materials
atm        Atmosphere
BAL        British-Anti-Lewisite
Be         Baume
BE1        Biological exposure indexes
BLD        Blood effects
BP         Boiling point
BtU        British thermal unit
C          Continuous exposure
c (deg)    Celcius
ca         circa (about)
CAA        Clean Air Act
CAR        Carcinogenic effects
CAS        Chemical Abstract Service
cc         Cubic centimeter
490    Environmental and Health

cc             Closed cup
CERCLA         Comprehensive Environmental Response, Compensation,
               and Liability Act

CFC            Chlorofluorocarbon
CFR            Code of Federal Regulations
CHEMTREC Chemical Transportation Emergency Center
cm3            Cubic centimeter
CNS            Central nervous system
co             Carbon Monoxide
CO,            Carbon Dioxide
COC            Cleveland open cup
conc           Concentration
COR            Corrosive effects
CP             Centipose
CPS            Centimeter per second
CPSC           Consumer Product Safety Commission
cstk           Centistoke
CUM            Cumulative effects
cvs            Cardiovascular effects
CWA            Clean Water Act
D              Day
decomp         Decomposition
DOT            Department of Transportation
EC50           Effective concentration
EP             Extreme pressure
 EPA           Environmental Protection Agency
 EPCRA         Emergency Planning and Community Right-to-Know Act
 F (de@        Fahrenheit
           Abbreviations Commonly Used by EH&S Managers            491

F/cc    Fibers per cubic centimeter of air
FP      Flash point
FR      Federal Register
FY      Fiscal year
GI      Gastrointestinal
gm      Gram
GRAS    Generally recognized as safe
H       Hour
HEPA    High-efficiency particulate air purifying respirator equipment
HMIS    Hazardous materials identification system
hr6)    Hour@)
HW      Hazardous waste under RCRA
I       Intermittent
IARC    International Agency for Research on Cancer
IDLH    Immediately dangerous to life and health
IMDG    International maritime dangerous goods
IMO     International Maritime Organization
inhl    Inhalation
insol   Insoluble
IRDS    Primary irritation dose
J       Joule
Kg      Kilogram
L       Liter
LC50    Lethal concentration to 50% of those tested
LCL,    Lowest published lethal concentration by inhalation
LD50    Lethal dose to 50% of those tested by ingestion
LDL,    Lowest published lethal dose
LEL     Lower explosive limit
492    Environmental and Health

LFL            Lower flammable limit
LFM            Linear feet per minute
M              Minute
m3             Cubic meter
MESA           Mining Enforcement & Safety Administration
mg             Milligram
mgm            Milligrams per kilogram
MLD            Mild irritation effects


               Millimeters of Mercury
               Millions of particulates per cubic foot of air (mg/m3)
MSDS           Material safety data sheet
MSHA           Mine Safety & Health Administration
MSK            Muscular-skeletal effects
MUT            Mutagen
MW             Molecular weight
n-             normal
NA             Not applicable; not available
NCI            National Cancer Institute
 ND            Not determined
 NE0           Neoplastic effects
 NFPA          National Fire Protection Association
ng             Nanogram
NIOSH          National Institute of Occupational Safety and Health
 NOC           Not otherwise classified
 NOEL          No effect level
 NOS           Not otherwise specified
 NO,           Oxides of Nitrogen
          Abbreviations Commonly Used by EH&S Managers         493

NPCA    National Paint and Coatings Association
NTIS    National Technical Information Service
NTP     National Toxicology Program
OEL     Occupational Exposure Limit
ORM     Other regulated material
OSHA    Occupational Safety and Health Administration
PAH     Polycyclic aromatic hydrocarbons
PCB     Polychlorinated biphenyl
PEL     Permissible exposure limit
PH      Negative logarithm of the hydrogen ion concentration
PIN     Product identification number
PMCC    Pensky-Martens closed cup
PNS     Peripheral nervous system effects
pox     Oxides of phosphorus
PPb     Parts per billion, by volume
PPE     Personal protective equipment
PPm     Parts per million, by volume
PPt     Parts per trillion, by volume
psia    Pounds per square inch
PSY     Psychotropic, acting on the mind
PUL     Pulmonary systems effect
RBC     Red blood cell effects
RCRA    Resource Conservation and Recovery Act
REL     Recommended exposure limit
RQ      Reportable quantity
RTECS   Registry of Toxic Effects of Chemical Substances
SARA    Superfund Amendments and Reauthorization Act
SCBA    Self-contained breathing apparatus
494    Environmental and Health

SCBAF         Self-contained breathing apparatus with full facepiece
SCC           SETAFLASH closed cup
SETA           SETAFLASH closed tester
SKN            Skin effects
soh            Solution
sox            Oxides of Sulfur
STEL           Short-term exposure limit
STEV           Short-term exposure value
sus            Saybolt universal seconds
SYS            Systemic effects
TCC            Tagged closed cup

TCL,           Toxic concentration low
TDL            Toxic dose level
TER            Teratogen
TFX            Toxic effects
TLm            Median tolerance limit
TLV            Threshold limit value
TOC            Tag open-cup
Torr           mm Hg pressure
 TSCA          Toxic Substances Control Act
 TWA           Time weighted average
 TXDS          Qualifying toxic dose
 UEL            Upper explosive limit
 UFL            Upper flammable limit

 ug             Microgram
 uv             Ultraviolet
 voc            Volatile organic compounds
 VP             Vapor pressure

               A                           asbestos regulations 82
                                           ASME 287
accidental discharges 51                   ASTM Phase I11 protocol 104
acclimatization     452                    ASTM protocol 96
acetone 166                                audit buget form 110
ACGIH 178, 284, 447                        audit costs 106
acids 152, 154                             audit program 108
activity 280                               audit report preparations 127
acts and omissions 132                     auditing reports 121
administering agency 7                     auto-ignition temperature 148
administrative measures 278
adsorption 151                                            B
air purifying respirators 400,             bases 152, 154
   41 1                                    Best Available Technology
air supply consumption 433                   Economically Achievable 8
alcohols 161                               bioaccumalators 175
aldehydes 162                              biochemical oxygen demand 149
aliphatics 157                             biohazards 184
alkaline solutions 171                     biological agents 206
alkanes 160                                block f o diagram 289
alkenes 161                                bodily injury 137
American Petroleum Institute 6             boiling point 146
ammunition 248                             breach of contract 131
analysis teams 302
analytical methods 268                                    C
ARARs 41
aromatics 160                              cancer 11
arsenic 71, 174                            carbon monoxide 94
asbestos containing material               carbonic acid 154
   removal 88                              cause-consequence analysis 33 1
asbestos containing materials 87           Ceiling value TLV 259

496    Environmental and Health

cement kiln dust 71                corrosivity 185
CERCLA 2, 4, 14,                   cost control 109
  29, 35, 37, 96, 382              cradle to grave 10
chain of custody 144               crude oil 166, 168
Chamber of Commerce 112            cutaneous hazards 180
checklist analysis 316, 322        cyanides 174
chemical characteristics 145       cylinder gases 198
chemical compatibility 175, 200
chemical hazards 176                               D
chemical inventory 196
chemical manufacture 5             defences against liabilities 50
chemical manufacturing 5, 10       degradation 415
chemical properties 145            density 147
chemical protective clothing 414   Department of Environmental
chemical purchasing 192               Protection 5 1
chemical stability data 287        Department of Health 54
chemical storage practices 204     Department of Justice 29
CHRIS 213                          Department of Transpor-
claims made policies 141              tation 13, 89, 337
Class IV wells 9                   design codes 293
Clean Air Act 2, 93, 111           diesel oil 167
Clean Water Act 2, 4,              dilution airflow 278
  8, 42, 76, 111                   dilution ventilation 274, 275, 277
cleanup actions 5                  dioxin 99
cleanup operations 39              direct point source discharges 77
combustible liquids 186            disclosures 98, 99
complex hydrides 173               disposal of pesticides 393
compressed gases 205               doffing an ensemble 439
concentration 150                  domestic waste 71
consultant issues 105              donning procedures 438
consultant liabilities 124         dose 280
containers 247                     due diligence 31, 95
contingency plans 212              dust clouds 255
contract issues 114, 126           duty to defend 142
contract negotiations 133
contract terminology 128                           E
contractural cures to property
   transfers 97                    East Asiatic Co suit 46
control of exposure 272            ECRA 32, 59
corrective action 104, 383         effects analysis 326
corrosion protection 380           effluent guidelines 79
corrosive chemicals 152            effluent standards 1
                                                     Index      497

energy balances 294             FMECA 334
environmental agreements 101    friable asbestos materials 83
environmental impact            functional groups 157
   statements 113
environmental impairment                         G
   liability 138
environmental site              gasoline   166
   assessments 33
EP toxicity 10                                   H
EPA 7, 29
EPA identification number 227   half life 280
esters 161                      halides 172
ethers 161, 166                 hazard analysis 283
event tree analysis 330         hazard communication 239
expected and intended           hazard control 207
   damages 138                  hazard evaluation 257
experimental use permits 389    hazard evaluation techniques 308
exposure 281                    Hazard Materials Transportation
exposure evaluation 266           Act 337
exposure trigger 139            hazard warning labels 208
eye hazards 181                 Hazardous Discharge Site
                                  Remediation Fund 61
              F                 Hazardous Materials
                                  Transportation Act 2
failure modes 326, 327, 328     Hazardous Substance Fact
fault tree analysis 291, 329      Sheets 251
FFDCA 4, 11                     hazardous substances,
FIFRA 4, 11, 387                  definitions 37
FIFRA labels 250                hazardous wastes 1, 9
fire extinguishers 210          hazards evaluation
fire point temperature 148        techniques 310
Fire Protection Handbook 286    HAZOP 291, 311, 334, 335
fires and flammability 163      HAZOP studies 323
flammability 184, 189           heat content 148, 165
flammability limits   148       heat exchangers 327
flammable liquids 169, 185      heat stress 446
flammable solvents 191          hematopoietic agents 180
flammables 162                  hepatotoxins 179
flashpoint temperature 148      human reliability analysis 33 1
Fleet Factors suit 46           hydrazine 173
fluorine 173                    hydrides 170
FMEA 328, 334                   hydrocarbons 157
498   Environmental and Health

hydrochloric acid     154            leak detection 371
hydrogen sulfide      175            lender liability 46
                                     lender liability rule 47
                 I                   LEPC 13, 67
                                     lethal concentration 284
IDLH 259, 406                        lethal dose 282
ignitability 221                     liabilities 44, 45
indemnity provisions 129             liability issues 134
indirect point source                liability theory 27
   discharges 77                     local exhaust ventilation 274
industrial categories of wastes 79   Love Canal 9, 34
ingestion of chemicals 260           lower explosion limit 287
inorganic chlorides 171
insurance 130                                       M
insurance coverage issues 136
insurance coverage litigation 135    manifest tracking 348
insurance policy limits 144          material balances 294
inventory control      364           Material Safety Data Sheets 187
inventory supplies 197               MCL 42
inverse square law 282               medical surveillance 270
isolation 204                        medical records 272
isomers 157                          medical waste 218
ISRA 31, 58                          melting point 146
ISRA compliance 63                   Merck Index 285
                                     mercury 174
                 J                   metal hydrides 173
                                     metallic azides 173
joint liability 3 1                  metals 170
                                     methanol 166
                 K                   molecular weight 165
                                     motor oils 167
kerosine 167                         MSHA 413
ketones 162                          multiple occurence 143

                 L                                  N
labels 239                           NA shipping number
labels and labeling 245                designation 339
Labor Department 5                   NAAQS 91
laboratories 183                     naptha 166
lead 94
                                                          Index     499

National Ambient Air Quality        organic peroxides 162
   Standards 7, 8                   organic sufonic acids 161
National Contingency                OSHA 4, 6, 185, 285
   Plan 15, 45                      OSHA 200 logs 253
National Effluent Standards 80      Otherwise Regulated
National Treatment Standards for      Materials 339
   POTWs 81                         oxidants 198
natural ventilation 276             oxidation 153
negative pressure respirators 401   oxidation-reduction reactions   172
nephrotoxins 180                    oxidizing agents 172
NESHAPS 7, 87                       ozone 94
neurotoxins      180
neutralization 153                                  P
New York Sate Toxic Cleanup
   Law 53                           particulates 94
New Jersey Spill Act 55             pathways of exposure 41
New Jersey Spill Compensation       PCB definition 90
   and Control Act 34, 51           PEOSHA 272
NFPA 166