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United States Environmental Protection Agency Enforcement and Compliance Assurance (2224A) EPA-305-B-97-002 December 1997 ECDIC-1998-092 Process-Based Self-Assessment Tool for the Organic Chemical lIndustry EPA Office of Compliance Chemical Industry Branch Printed on paper that contains at least 20 percent postconsumer fiber. Background: The organic chemical manufacturing industry is subject to numerous Federal regulations that have been enacted to protect human health and the environment. A complex web of requirements results from the fact that little correlation exists among regulations that target the same medium or activity. Industrial facilities are responsible for understanding and complying with these requirements. Historically, EPA has relied on a command and control approach to regulate industrial facilities, but now is combining its traditional method with innovative compliance assessment techniques such as self-assessments and facility management systems. Many industrial facilities have found that using a complete facility Environmental Management System (EMS) approach uncovers cost effective solutions for tackling all the requirements as a whole instead of as individual components. In line with this discovery, EPA is encouraging self-assessments as part of a complete facility EMS approach to evaluate compliance with environmental regulations. A facility’s drive to identify cheaper, more effective ways to achieve compliance is consistent with EPA’s mission of clarifying and simplifying environmental regulatory control. Purpose of document: This guide is a resource on Federal environmental regulations for small- to medium-sized organic chemical manufacturing facilities. The purpose of this manual is two-fold: 1) to provide a general approach for performing a multimedia self-assessment to evaluate compliance with environmental regulations, and 2) to provide industry-specific process and regulatory information necessary for conducting an assessment at an organic chemical manufacturing facility. The general approach section describes the steps for planning, conducting, and following up a multimedia self-assessment. Industry-specific information is given to supplement the generic selfassessment approach. This document describes processes found throughout the chemical manufacturing industry and identifies potential releases from each process and the environmental legislation associated with them. Additional regulatory requirements (such as applicability, exemptions, monitoring, record keeping, and reporting) potentially affecting organic chemical manufacturers are summarized by statute in the appendices. Approach: The self-assessment tools and statutes are described in the following sections: C Module 1 - Process-Based Self-assessment Approach: This module addresses process-based self-assessments and facility management systems. Because every organic chemical manufacturing facility is unique, a general assessment protocol is provided which can be adapted to an individual facility. The protocol gives the steps for completing a process-based self-assessment. These steps include defining the objectives and scope of the assessment, identifying the assessment team, compiling and evaluating background information, and preparing the assessment plan or strategy. Sample worksheets and templates are included to help develop and conduct the assessment. C Module 2 - Assessment Tool for Production Unit Processes: This section identifies many of the common unit processes performed at organic chemical manufacturing facilities and lists possible releases and their related regulations. The unit processes include materials handling, reactions, heat transfer, and separation. The materials handling segment covers equipment such as pipes, pumps, and storage tanks while the reactions section describes various reactors. Heat transfer equipment such as heat exchangers, condensers, and evaporators are covered, along with separation techniques like distillation, ion exchange, filtration, drying, crystallization, centrifugation, and extraction. C Module 3 - Assessment Tool for Waste Treatment Operations: This module describes waste treatment operations for air, water, and solid waste and identifies potential releases and associated regulatory concerns. Baghouses, wet scrubbers, thermal incinerators, flares, adsorption, boilers, cyclones, and electrostatic precipitators are discussed for air emissions. Primary, secondary, and tertiary wastewater treatment processes are summarized for water, and landfills, sludge incineration, halogen acid furnaces, and surface impoundments are described for solid waste. C Appendix A - Clean Air Act (CAA):Clean Air Act Titles I, III, V, and VI are summarized in this appendix. Topics include NAAQS, NESHAPs, MACTs, permitting, chemical accident protection, and stratospheric ozone protection. This appendix also includes a section on assessment considerations that should be evaluated during the on-site facility assessment. Regulatory summaries are provided for performance standards, national emission standards, provisions for prevention of chemical accidents, and protection of stratospheric ozone. C Appendix B - Safe Drinking Water Act (SWDA):This appendix describes the public water system program, underground injection control program, considerations for assessors, and regulatory requirements. Detailed descriptions of the regulatory requirements include national primary and secondary drinking water regulations which may be applicable to facilities that produce their own potable water and the underground injection control program. C Appendix C - Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA): This appendix summarizes the registration, reporting and packaging requirements for pesticides and identifies key site assessment considerations. FIFRA regulations described herein that may apply to organic chemical manufacturers include registering pesticides and producers of pesticides, labeling and packaging pesticides, submitting reports, and keeping records. C Appendix D - Resource Conservation and Recovery Act (RCRA): The RCRA appendix delineates the requirements for generation, transportation, treatment, storage, and disposal of hazardous waste. Land disposal restrictions and underground storage tank regulations are also discussed. The appendix also contains a section detailing specific RCRA assessment considerations. RCRA legislation summarized for organic chemical manufacturers includes classification of generators; requirements for hazardous waste generators and transporters; regulations for hazardous waste treatment, storage, and disposal; and restrictions on land disposal and underground storage tanks. C Appendix E - Emergency Planning and Community Right-to-Know Act (EPCRA): This appendix describes four regulatory programs applicable to organic chemical manufacturers: hazardous substance notification, emergency planning and notification, hazardous chemical reporting to the community, and toxic chemical release inventory. The section also suggests key areas to evaluate during compliance assessments. Regulatory summaries are included for the following: designation, notification, and reportable quantities of hazardous substances; emergency planning and notification; and reporting of hazardous chemicals and toxic chemical releases. C Appendix F - Clean Water Act (CWA):This appendix includes effluent limit guidelines, categorical pretreatment standards, NPDES and pretreatment programs, effluent trading, spills and pollution prevention of oil and hazardous substances, and reportable quantities of hazardous substances. The appendix also includes a section on assessment considerations for water treatment and summaries of regulations pertaining to the pretreatment and discharge of effluent, discharge and pollution prevention of oil, and designation of hazardous substances and their reportable quantities. Legislation specific to wastewater discharges from the manufacture of organic chemicals, plastics, synthetic fibers (OCPSF), pesticides, pharmaceuticals, and gum and wood chemicals are also detailed. C Appendix G - Toxic Substances Control Act (TSCA): The TSCA appendix explains the requirements behind testing, premanufacture notices, significant new use reporting, and specific hazardous substances and mixtures such as water treatment chemicals. Record keeping and reporting are delineated, including reporting requirements for significant adverse reactions, health and safety data, and substantial risks. Applicable regulations for exporters and importers, premanufacture notification, significant new uses, and protection against unreasonable risks are identified along with suggestions of areas to target in a self-assessment. Chemical-specific regulations are also described. C Appendix H - References and Resources:This appendix includes references relating to process operations and waste treatment, pollution prevention, environmental regulations, inspection procedures, and other relevant materials. A list of resources for information about performing facility self-assessments is also given. This manual may not include all the Federal environmental regulations that an organic chemical manufacturer must comply with, but it should serve as a starting point. Site assessors should be aware that, in many instances, State or local regulations may be more stringent than Federal requirements. Also, site-specific Federal, State, or local permits may contain additional requirements beyond those specified in the regulations. As such, part of a facility’s EMS should be to check Federal, State, and local regulations regularly and keep abreast of pending legislation that may impact the facility. DISCLAIMER This document is intended as an aid to compliance with federal regulatory requirements. The document does not, however, substitute for EPA’s regulations, nor is it a regulation itself. Thus, it cannot impose legally binding requirements on EPA, States, or the regulated community. Because circumstances vary, this document may not apply to a particular situation based on the circumstances, and facilities may be subject to requirements that are different from or in addition to those described in this document. EPA may change this guidance in the future, as appropriate. NOTES TO USERS OF THIS DOCUMENT This document contains both internal and external hyperlinks. Internal links, noted with magenta text, link the reader to the applicable section, figure, appendix, etc. being referenced. External links, noted with blue text, link the reader directly to a page on the Internet (for readers with access to the Internet), consistent with the information being described in this document. In addition, selecting the bookmark option from the top menu in the Adobe Acrobat Reader software provides the user with a point and click table of contents to simplify navigation in the document. ACKNOWLEDGMENTS This document was prepared under the direction and coordination of Mr. Jeffery KenKnight of the U.S. Environmental Protection Agency (U.S. EPA), Office of Compliance, Chemical Industry Branch under Contract Number 68-C4-0072. EPA would like to acknowledge the support of the following individuals: George Jett Daniel Fort Conrad Simon Robert Kramer Gerald Fontenot Ken Garing Gene Lubieniecki David Mahler Hugh Finklea U.S. EPA Office of Water U.S. EPA Office of Pollution Prevention and Toxics U.S. EPA Region 2 U.S. EPA Region 3 U.S. EPA Region 6 U.S. EPA National Enforcement Investigations Center U.S. EPA National Enforcement Investigations Center Vista Chemical Company Ciba-Geigy Corporation In addition, acknowledgment is given to the many industry representatives, through the Synthetic Organic Chemical Manufacturers Association, Inc. (SOCMA) and the Chemical Manufacturers Association (CMA) that contributed their comments. Photo credits for cover photography by S.C. Delaney/U.S. EPA. Cover photograph courtesy of Vista Chemical Company, Baltimore, Maryland. TABLE OF CONTENTS Module 1. Process-Based Self-Assessment Approach 1.1 1.2 1.3 1.4 1.5 1.6 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1 Process-Based Self-Assessments and Facility Management Systems . . . . . . . . . . . . . 1-2 Preparing for a Process-Based Self-Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4 Conducting the Self-Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-11 Assessment Follow-Up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-20 Environmental Management System Case Study: Ciba-Geigy Corporation . . . . . . 1-22 Module 2. Assessment Tool for Production Unit Processes 2.1 Materials Handling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-5 2.2 Reactions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-16 2.3 Heat Transfer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-21 2.4 Separation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-30 Module 3. Assessment Tool for Waste Treatment Operations 3.1 Air Emission Treatment Processes/ Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2 3.2 Wastewater Treatment Residuals and Applicable Regulations . . . . . . . . . . . . . . . . 3-21 3.3 Solid Waste Treatment and Disposal Processes/Equipment . . . . . . . . . . . . . . . . . 3-45 i LIST OF APPENDICES Appendix A. Clean Air Act National Primary and Secondary Ambient Air Quality Standards . . . . . . . . . . . . . . . . . . A-2 National Emissions Standards for Hazardous Air Pollutants (NESHAP) and Maximum Achievable Control Technology (MACT) Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . A-6 Permitting Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-7 Stratospheric Ozone Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9 CAA Assessment Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-10 CAA Regulatory Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-12 Appendix B. Safe Drinking Water Act Public Water Supply Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B-1 Underground Injection Control Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B-2 SDWA Assessment Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B-3 SDWA Regulatory Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B-4 Appendix C. The Federal Insecticide, Fungicide, and Rodenticide Act Registration of Pesticides and Pesticide-Producing Establishments . . . . . . . . . . . . . . . . . C-1 FIFRA Assessment Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C-2 FIFRA Regulatory Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C-3 Appendix D. Resource Conservation ands Recovery Act Requirements Hazardous Waste Generation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-2 Hazardous Waste Transportation Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-7 Hazardous Waste Treatment, Storage, and Disposal Regulations . . . . . . . . . . . . . . . . . . D-7 Land Disposal Restrictions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-8 Underground Storage Tank Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-9 RCRA Assessment Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-11 RCRA Regulatory Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-12 Appendix E. Emergency Planning and Community Right-to-Know Act Hazardous Substance Notification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E-1 Emergency Planning and Notification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E-1 Hazardous Chemical Reporting: Community Right-to-Know . . . . . . . . . . . . . . . . . . . . . . E-2 Toxic Chemical Release Inventory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E-2 EPCRA Assessment Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E-3 ii EPCRA Regulatory Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E-4 Appendix F. Clean Water Act Effluents Limitations Guidelines and Categorical Pretreatment Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F-2 NPDES Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F-7 Pretreatment Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F-11 Policy on Effluent Trading in Watersheds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F-13 Spills of Oil and Hazardous Substances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F-14 Oil Pollution Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F-14 Reportable Quantities for Hazardous Substances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F-15 CWA Assessment Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F-15 CWA Regulatory Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . F-17 Appendix G. Toxic Substances Control Act (TSCA) Testing - §4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Pre-Manufacturing Notice Requirements - §5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Significant New Uses of Chemical Substances - §5(a)(2) . . . . . . . . . . . . . . . . . . . . . . . . Hazardous Chemical Substances and Mixtures - §6 . . . . . . . . . . . . . . . . . . . . . . . . . . . Record Keeping and Reporting Requirements - §8(a) . . . . . . . . . . . . . . . . . . . . . . . . . . Significant Adverse Reactions - §8(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Health and Safety Data Reporting - §8(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Notification of Substantial Risks - §8(e) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chemical Exports and Imports - §§12 and 13 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . TSCA Assessment Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . TSCA Regulatory Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G-1 G-3 G-3 G-4 G-5 G-6 G-6 G-7 G-7 G-8 G-9 Appendix H References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . H-1 Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . H-7 iii iv