NOAA Environmental Corrective
Action Resolution Policy
December 5, 1997
NOAA Environmental Compliance Policy 98-02
1.0 Policy
1.1 The National Oceanic and Atmospheric Administration (NOAA) is committed
to operating facilities in full compliance with environmental law.
1.2 NOAA will correct all environmental findings that identify regulatory
violations or potential threats to human health and the environment.
1.3 This policy paper discusses the types of findings possible in the
environmental compliance program, and the appropriate actions necessary
for their resolution.
2.0 Definitions
2.1 Environmental compliance findings can be categorized into three
general types.
2.1.1 Significant or Class 1 findings require immediate action. Such
a finding poses, or has a high likelihood of posing, a direct and immediate
threat to human health, safety, the environment, or the program mission.
A significant or class 1 finding indicates that a facility is currently
out of compliance; has received an enforcement action from the Environmental
Protection Agency (EPA), a State, or local authority; and/or has signed
a compliance agreement or received a consent order. Some administrative
issues can be categorized as significant. For example, failure to insure
that hazardous waste is destined for a permitted facility, failure to
report when required, of failure to meet a compliance schedule, are all
potentially significant findings.
2.1.2 Major or Class 2 findings require action, but not necessarily
immediately. This category of finding identifies conditions that usually
result in a notice of violation from regulatory agencies. In this finding,
the facility is not presently out of compliance, but will be in the relatively
near future if projects or actions are not implemented prior to some
established deadline. Major or Class 2 findings may pose a future threat
to human health, safety, the environment, or the ability to accomplish
the mission. Immediate threats must be categorized as significant.
2.1.3 Minor or Class 3 findings are mostly administrative in nature.
They identify a need to respond to important environmental activities
not related to immediate compliance requirements, but necessary to address
time sensitive environmental concerns. They may also involve temporary
or occasional instances of noncompliance with regulatory agency requirements.
2.2 In addition to purely environmental findings, NOAA has determined
that the close relationship of certain Occupational Safety and Health
standards with EPA regulations makes it desirable to audit and track
these standards at NOAA facilities.
2.2.1 The OSHA-type issues that NOAA tracks are the proper maintenance
of Material Safety Data Sheets, compressed gas cylinder storage, chemical
hygiene plans, and incompatible storage.
2.2.2 These OSHA-type issues can be categorized in a similar manner
as the environmental findings described in paragraph 2.1. NOAA does not
currently categorize all OSHA findings.
3.0 Procedures
3.1 Since regulatory noncompliance can result in large fines and penalties
and may endanger NOAA employees or the environment, NOAA is compelled
to develop and implement corrective action plans to track and correct
findings. NOAA's corrective action plan process is described in NOAA
Environmental Compliance Policy 97-01.
3.2 Environmental compliance findings typically can be categorized into
two groups--those that can be corrected quickly and those that require
a longer-term solution.
3.2.1 Findings that can be corrected quickly should be resolved as soon
as appropriate actions are agreed upon and funded.
3.2.2 Findings that require longer-term solutions may necessitate formal
action plans. Examples of long-term corrective actions include the following
types of activities: media sampling and analysis, air or groundwater
modeling, engineering designs, effluent or waste treatment, contaminant
removal, and management plans.
3.3 NOAA's policy is to correct all significant (class 1) and major
(class 2) environmental findings. To assure that corrective action occurs,
in most cases a corrective action plan will be implemented.
3.3.1 The Line Office designee will prepare, track, and report the status
of applicable corrective action plans.
3.3.2 The pertinent RECO will provide technical assistance to the Line
Office designee to ensure that appropriate actions are taken to resolve
the finding issue and steps are taken to avoid a recurrence of the finding.
3.3.3 When corrective measures have been completed, the Line Office
designee will report the completion to the servicing RECO.
3.3.4 The pertinent RECO will verify appropriate completion of the finding
and propose closure of the finding to the NOAA Headquarters Environmental
Compliance Staff (ECS).
3.3.5 The Chief, ECS, will validate the proposal and report the finding
as closed at the next NOAA quarterly review.
3.3.6 The finding will be considered closed.
3.4 Since minor (class 3) findings are administrative in nature, they
are not seldom based on regulation and do not involve noncompliance.
Instead they include recommendations for reducing environmental risks
and improving environmental management practices, as well as suggesting
areas requiring additional study. If the recommended management practices
are followed, they will help the facility remain in compliance.
3.5 It is NOAA's policy to correct minor (class 3) findings whenever
practicable.
3.6 There will be, however, circumstances where corrective action may
not be practicable or cost effective. For example, a finding may recommend
the development and implementation of a pollution prevention plan at
a facility which will be relocating within a year or two. The development
of the plan may cost thousands of dollars, only to be rendered invalid
by the subsequent move.
3.6.1 In cases where a the implementation of an administrative action
or best management practice is considered impracticable or not cost effective,
the Line Office designee will submit, in writing, the case for not conducting
a corrective action of a minor (class 3) finding to the servicing RECO.
3.6.2 The RECO will review the case submitted by the Line Office designee
and add a written endorsement or opinion of nonconcurrence memorandum,
forwarding it to the audit program manager at NOAA Headquarters ECS.
3.6.3 Based on the evidence presented and any other information available,
the audit program manager will determine if the minor (class 3) finding
has been appropriately considered and merits removal from the list of
those findings still considered to be opened.
3.6.4 The Chief, ECS, will brief the Facility Council on any minor (class
3) findings recommended for removal from the list of open findings and
present the case for such removal.
3.6.5 The Chief, ECS, will write a Memorandum for the Record indicating
the reason for removing the particular finding from further consideration. |
