Navy Commanding Officer's Guide to Environmental Compliance

Navy Commanding Officer's Guide to Environmental Compliance Navy Commanding Officer's Guide to ------------------------------ Environmental Compliance September 1995

printed on recycled paper Naval Facilities Engineering Service Center 1100 23rd Street Port Hueneme, CA 93043-4370 (805) 982-9120, DSN 551-9120 FOREWORD One of our most important jobs is to support the Navy's efforts to protect the environment and comply with environmental laws and regulations. One of the best ways to accomplish this is to keep our personnel informed on new and changing environmental rules, regulations, and policies. As a result, we are publishing this updated Navy Commanding Officer's Guide to Environmental Compliance. There have been many changes since this guide was originally issued in 1991. We have included new regulations and the policies resulting from these new regulations, including those contained in the Navy's Environmental and Natural Resources Program Manual, OPNAVINST 5090.1B. The guide is designed to provide basic environmental program information to commanding officers. It's structured around questions commanding officers should easily answer with an awareness of issues that will confront them. With this basic knowledge, and a professional environmental staff, commanding officers will be able to develop and maintain an effective environmental program. I urge wide distribution and use of this document as a means of nurturing a Navy wide environmental protection ethic. ////SIGNED//// L. F. SCHRIEFER Rear Admiral, U.S. Navy Director, Environmental Protection, Safety and Occupational Health Division Office of the Chief of Naval Operations

Table of Contents What Is Environmental Management and Why Is It Important? Introduction You Need to Know Keep These Things in Mind Moving On What About Overseas Facilities? Commanding Officer's Checklist - Overseas What Is Compliance? What Is Pollution Prevention? What Is Cleanup? What Is Conservation? What Is Cultural Resources Management? What Is Environmental Planning? What Has to be Done at the Facility Level? Here Is a Checklist of Things You Should Do File Those Reports What Is Base Realignment and Closure and What Happens if My Facility Is Selected? The Process What Next How Do I Know If I Am In Compliance? What Happens If I Am Not In Compliance? What Are My Liabilities? Potential Criminal Penalties Under Selected Environmental Laws What Can I Do To Attain Compliance? What Are Navy Regional Environmental Coordinators? Navy Area and Regional Environmental Coordinators by EPA Region The Navy's Environmental Organization The Navy's Environmental Support Organization Where Do I Get Resources?

Budgeting for Environmental Compliance What Questions Should I Ask My Facility Staff? Overall Facility Program Hazardous Waste Management Program Pollution Prevention Program Environmental Restoration Other Environmental Programs Questions for Your Public Affairs Office Questions for Your Legal Office Questions for Your Navy Occupational Safety and Health Office Questions for Your Natural Resources Manager How Do I Handle Public Relations? Here Are the Reasons The Public Remember Restoration Advisory Boards Tips For Working With the Community Elected Officials What About Training? Where Do I Go For Help? Engineering Field Divisions and Engineering Field Activities Regional Environmental Coordinators U.S. Environmental Protection Agency Environmental Helplines, Hotlines, and Clearinghouses Naval Environmental Protection Support Services Specialty Offices What Additional Information Would I Find Useful? Supplemental Reading What Do These Environmental Terms / Acronyms Mean? What is Environmental Management and Why Is It Important? Introduction... Environmental management is the means of conserving, protecting and restoring our environment and natural and cultural resources while accomplishing the military mission.

While your command extends across all aspects of your mission, there is one area of responsibility that impacts virtually every action and operation: the environment. The Department of the Navy, Office of the Chief of Naval Operationsí policy, stated in a 17 February 1993 memorandum, emphasized that the Navy is fully committed to strict compliance with all applicable environmental requirements and establishment of goals that "go well beyond compliance with existing standards." To comply with these environmental requirements, we need a sound environmental management program that "makes day-to-day environmental management an integral part of, not an addition to, our normal method for doing business throughout the Navy." Proper environmental management and coordination are necessary to comply with federal, state, local and host nation regulations. Good environmental management can enhance your mission accomplishment by preventing time delays or operational shutdowns. As an additional benefit, good environmental management will improve your community and public relations. Our environmental strategy is to lead in protecting our environment and conserve natural resources for present and future generations. You need to know... The Navy's environmental program consists of the following components: Cleanup we must repair the damage caused by past substance releases and waste disposal practices. Under the Defense Environmental Restoration Program (DERP) and the Base Realignment and Closure (BRAC) programs we identify, assess and remediate hazardous waste sites from past operations at naval commands. DERP remediates hazardous waste sites at active commands, while the BRAC program remediates hazardous waste sites at closing installations. Compliance we must ensure that our operations meet federal, state, local and host nation environmental requirements. Areas affected include operations such

as wastewater discharge, sewage treatment, noise abatement, endangered species and wetlands management, air quality attainment, historic properties management, and solid and hazardous waste management. Navy guidance is contained in OPNAVINST 5090.1B, "Environmental and Natural Resources Program Manual." Conservation or Natural and Cultural Resources Management we must protect and enhance the life sustaining quality of the land and waterways under our protection. We must manage, conserve and restore the land and renewable natural resources such as fish, wildlife and forests as well as protect historic and archaeological resources. OPNAVINST 5090.1B, NAVFACINST 11010.70, and NAVFACENGCOM Manual P-73, Vol. II cover most regulations in this area. Pollution Prevention we must eliminate pollution. We must reduce pollution at its source and reduce or eliminate the creation of pollutants through increased efficiency in the use of raw materials, energy, water, or other resources. Examples of Pollution Prevention techniques include: improved hazardous materials management, input substitution, product reformulation, process redesign or modification, improved operation and maintenance, and integrated recycling. We must consider the possible environmental and occupational, safety and health impacts of future operations and activities through pre-planning. We must document these considerations and develop methods to avoid or reduce as many adverse effects as possible, and as required under the National Environmental Policy Act (NEPA), OPNAVINST 5090.1B, OPNAVINST 4110.2, and OPNAVINST 5100.23D. Communication we must communicate the importance of using sound environmental processes. These components cannot exist as unrelated elements of your environmental program. Your environmental management responsibilities include complying with rule-based laws and regulations as well as planning requirements. The environmental program relies on your leadership skills. You must prepare yourself with proper planning, training, and adequate staffing and resources. Find out who your environmental managers are and work with them to

promote good environmental practices. It's everyone's responsibility to use environmentally sound management processes. This is the key to a successful environmental program. Keep these things in mind... Moving on... Environmental laws and regulations affect a vast number of your operations and actions. As commanding officer, you are ultimately responsible for compliance with all applicable environmental laws and regulations within your command. This includes responsibility for your tenant commands. The National Environmental Policy Act (NEPA) is the national charter for protection of the environment. It establishes policy, sets goals and provides a means for carrying out environmental policy. NEPA requires that you consider the possible environmental impacts of your mission during the planning, training and operational decision making processes. The emphasis you, as the commanding officer, place on the command's environmental program will determine its overall success. The consequences of not adhering to environmental compliance requirements can be severe. Civil and criminal penalties may be imposed. Ultimately, noncompliance can delay or halt your mission and can adversely impact your community relations. Your most valuable asset in achieving and maintaining compliance is your command environmental management team. Accomplishing the mission is, and always will be, the top priority. However, successfully blending the military mission with the environmental challenge is equally important. Successful environmental management is the first line of defense for the heritage of future generations. Return to Contents

What About Overseas Facilities? Although this guide is geared towards naval shore facilities within the United States; including the Commonwealth of Puerto Rico; Canal Zone; Virgin Islands; Commonwealth of the Northern Marianas Islands; Guam; America Samoa; and the Trust Territories of the Pacific Islands, much of the information is useful to commanding officers and naval personnel at overseas locations. The environmental situation of an overseas facility or activity will depend on the requirements and standards set by the host country and Status of Forces Agreements (SOFAs). However, the Department of Defense (DoD) requires all overseas facilities and activities to conduct their operations in an environmentally safe manner. This requirement pertains to environmental and natural resources protection, as well as occupational health and safety. The DoD Overseas Environmental Baseline Guidance Document (OEBGD) provides guidance, procedures and criteria for environmental compliance outside the U.S. This document is used for host countries where DoD facilities are located. In addition, DoD has designated DoD Executive Agents to coordinate environmental efforts overseas. The Executive Agents have issued Final Governing Standards (FGS) which take host nation law into account with the Overseas Environmental Baseline Guidance Document. If Final Governing Standards have been issued for your host country, they will apply as your standards. Major directives that apply to or specifically address overseas issues include the following: Department of Defense Directive 4120.14,"Environmental Pollution, Prevention, Control and Abatement." OPNAVINST 5090.1B,"Environmental and Natural Resources Program Manual." Executive Order (EO) 12114,"Environmental Effects Abroad of Major Federal Actions." Department of Defense Directive 6050.16,"Establishment and Implementation of Environmental Standards at Overseas Installations," 20 September 1991. Department of Defense,"Overseas Environmental Baseline Guidance Document," October, 1992. A revised Overseas Cleanup Policy is nearing completion as this document goes to press. Commanding officers of overseas installations should verify that they have the latest version.

If you are an overseas commanding officer or anticipate orders to become one, you must familiarize yourself with either the Overseas Environmental Baseline Guidance Document or the Final Governing Standards, whichever apply. Contact your major claimant's environmental staff for assistance. Commanding Officers Checklist Overseas Standards Do we have a copy of the current: [ ] OPNAVINST 5090.1B? [ ] Final Governing Standards? [ ] Overseas Environmental Baseline [ ] Guidance Document? [ ] DoD Overseas Compliance Policy? [ ] DoD Overseas Cleanup Policy? Contacts Do we have a contact for: [ ] DoD Executive Agent? [ ] Unified Command? [ ] Major Claimant? [ ] Chief of Naval Operations (N45)? Budgeting [ ] Do we have a current copy of the approved Program Objectives Memorandum (POM) projects? [ ] When does the next Program Review begin? Other [ ] Have we incorporated Final Governing Standards or Overseas Environmental Baseline Guidance Document into new construction projects on our activity? Return to Contents

What is Compliance? Environmental compliance is a facility's status with respect to the many requirements of federal, state, local or host-nation environmental regulations. Your compliance status can, and often does, vary according to the regulated environmental medium. For example, you could be in compliance with water quality regulations but be out of compliance with hazardous waste regulations. Another example of noncompliance is not having an Army Corps of Engineers (COE) permit for projects that result in degradation of wetlands. While total, continuous, environmental compliance should be your ultimate goal, this objective is often illusive. Only a regulatory agency [usually the state and the U.S. Environmental Protection Agency (EPA)] or advisory agency [the State Historic Preservation Officer (SHPO) and the Advisory Council on Historic Preservation (ACHP)] can determine the facility's legal compliance status. This is normally done through inspections. However, many environmental regulations are designed to be"self regulating." These regulations require you to monitor your program and to notify the regulatory agency when you suspect that you are not "in compliance." The Navy has an Environmental Compliance Evaluation Program to assist installation commanding officers in determining their installation's compliance status prior to inspections by regulators. The national environmental regulatory enforcement strategy for pollution control is documented in the EPA publication "Federal Facility Compliance Strategy," of November 1988. This publication is also known as the EPA "Yellow Book." The strategy stresses strengthening compliance monitoring activities at federal facilities by ensuring that EPA or the state's presence is demonstrated at all facilities which have the potential for environmental impact. To maintain compliance you must carefully review your ongoing actions in light of changing environmental regulations. You must assure that program improvements necessary to meet the more stringent limitations and more detailed monitoring requirements are accomplished. Return to Contents What is Pollution Prevention?

Pollution Prevention is the name of a comprehensive Department of Defense (DoD) environmental program. The goal of the program is to reduce, through source reduction, the amount of toxic chemicals entering any waste stream, including releases to the environment; to recycle any waste generated to the maximum extent practicable; and to assure that any wastes remaining are treated or disposed of in a manner protective of public health and the environment. Executive Order 12856 of August 1993 established a DoD goal of 50 percent reduction in the release or off site transfer of toxic chemicals by 31December 1999, using 1994 as the baseline year. Aside from being an executive mandate and"the right thing to do," Pollution Prevention makes good business sense. In most cases, a significant cost savings is realized by conducting operations and maintenance in a manner that results in less waste or fewer releases of toxic pollutants. This is attributed to a reduction in the procurement and management of hazardous materials and the reduction in the management and disposal of hazardous wastes. Other benefits include a more healthful work environment, reduced future liabilities from waste disposal, and an improved public perception of the Navy's impact and the Navy's attitude towards the environment. Additional information on the Navy's Pollution Prevention program is provided in the Supplementary Reading section. Return to Contents What is Cleanup? Our cleanup program is called DERP, which stands for Defense Environmental Restoration program. This program, also called Installation Restoration, or IR, is a comprehensive Department of Defense (DoD) site cleanup program. Its goals are to identify, assess and clean up past hazardous waste sites on DoD installations. IR is DoD's program for meeting its responsibilities under the comprehensive Environmental Response, Compensation and Liability Act (CERCLA) of 1980, as amended by the Superfund Amendments and Reauthorization Act (SARA) of 1986, and Executive Order 12580. The IR program is funded by a special appropriation known as the Defense Environmental Restoration Account (DERA). The Naval Facilities Engineering Command executes the cleanup program for the Navy and Marine Corps. The IR

program process includes: preliminary assessment (PA); site inspection (SI); remedial investigation and feasibility study (RI/FS); and remedial design and remedial action (RD/RA). DERA is not available to fund cleanup overseas. The IR program differs from the Environmental Compliance program in that it focuses on past operations. Hazardous waste remediation at closing installations is provided for under the Base Realignment and Closure (BRAC) program. Guidance for cleanup at BRAC installations is provided in the BRAC Cleanup Plan Guidebook of Fall 1993, issued by Deputy Under Secretary of Defense (Environmental Security) memorandum of 14 September 1993. More about the IR program is provided in the Supplementary Reading section. Return to Contents What is Conservation? Conservation, or Natural Resources Management, is the protection and use of land, water, vegetation and wildlife. It requires a multi-disciplinary approach. The goal is to identify, protect and use natural resources to provide optimum public benefit and support of the military mission for present and future generations. The Navy's Natural Resources Management program will assure the Navy meets legal requirements for resource protection and will be able to provide long-term, sustainable use of the resources in support of the Navy's mission. At the facility level, it is important to develop and maintain an integrated Natural Resources Management Plan (NRMP). This plan should locate and identify regulated resources and provide guidelines for their protection and enhancement. It should also integrate mandates for protection of resources with optimum use of resources for military purposes, and provide for uses such as agriculture, forestry, wildlife and outdoor recreation, as appropriate. Only by careful stewardship of natural resources can we assure mission access for the future.

Requirements for management of natural resources are discussed in the Natural Resources Management Supplementary Reading section. Return to Contents What is Cultural Resources Management? Cultural Resources Management is the protection of historic and archeological resources and documents associated with them. These resources include all buildings, districts, sites, structures and objects of significance in American history, archeology, architecture, engineering or culture. Management of these sites consists of identifying them and preparing a Historic and Archeological Resources Protection (HARP) Plan. Historic buildings are generally adapted for reuse, while archeological sites are generally avoided. Management decisions regarding repairs, alterations, new construction, and other projects likely to affect cultural resources must always start with consultation with the State Historic Preservation Office (SHPO) and the Advisory Council on Historic Preservation (ACHP). The Navy reserves the right to decide whether or not to follow the preservationists' advice. However, the advice must be sought, following specific consultation procedures detailed in 36 Code of Federal Register (CFR), Part 800. This legally mandated interagency consultation is a routine part of cultural resources management. It may be viewed as providing an opportunity to receive expert preservation advice at no cost. Additional information about Cultural Resources Management is provided in the Supplementary Reading section. Return to Contents What is Environmental Planning? The National Environmental Policy Act (NEPA) is the national charter for protection of the environment. It establishes policy, sets goals and provides a means for carrying out environmental policy. This law applies to commanding officers and their actions. It requires federal officials to analyze potential environmental impacts of proposed actions and alternatives prior to making decisions. NEPA also requires documentation of the

process and provides for public involvement. The NEPA process ensures that environmental impacts are considered when deciding whether or how to implement a proposed action. It requires the planning and decision processes to address the environmental impacts of activities such as basing, training, research and development (R&D), testing, acquisition and operations. The extent of the consideration given in the evaluation is dependent on many factors, including the proposed action itself, the level of public involvement and concern, and any existing or potential environmental impacts. There are three degrees of environmental consideration each requiring a specific type of documentation: Categorical Exclusion (CE) or (CATEX) Is applicable to actions which do not have, under normal circumstances, individually or cumulatively, a significant effect on the human environment. Also, the action must not result in a significant change to existing conditions at the site and its effect must be primarily economic or social. Additionally, it must be for an action for which neither an Environmental Assessment (EA) nor an Environmental Impact Statement (EIS) is required. A list of categorical exclusions, i.e., projects that have been pre-determined to not require more detailed analysis or documentation, is provided in OPNAVINST 5090.1B. Designation of a proposed action for a categorical exclusion is the only discretionary decision-making opportunity a commanding officer has in the NEPA process. Environmental Assessment (EA) Required for proposed actions that have the potential for adverse impacts on the environment. An EA is conducted to determine if a more detailed study is necessary. It is an early assessment of the extent of environmental impacts and whether or not they are significant. Construction projects may require an EA. When a proposed action will have obvious environmental impacts, and especially when there is some foreseen environmental controversy or public concern, an EA will probably not be sufficient. It is wisest at this point to begin with the most detailed analysis and documentation, the Environmental Impact Statement (EIS). Contact your engineering field division (EFD) for guidance. Environmental Impact Statement (EIS) Required to ensure that NEPA policies and goals are incorporated early in the process for extensive projects. The EIS must contain a full, unbiased, yet concise discussion of all significant

environmental impacts relating to a proposed action and alternatives. An EIS can be a very time consuming and expensive process and is often performed by a contract administered by the responsible engineering field division. The format and required information for these documents is outlined in OPNAVINST 5090.1B. Other documents such as a Notice of Intent (NOI), a Record of Decision (ROD), and a Finding of No Significant Impact (FONSI) are additional elements of the NEPA process. Despite its complexity, the purpose of NEPA is not to generate more paperwork; in fact, it has provisions to reduce it. Instead, the NEPA process is intended to help public officials make decisions based on an understanding of environmental consequences and directs them as to the appropriate action. Consider NEPA as a process, that, when begun at the earliest possible time and when the work is limited to only what is necessary, and is done accurately, will provide the most efficient method of protecting, restoring and enhancing the environment while achieving the Navy mission. Read more about NEPA in the Supplementary Reading section. Return to Contents What Has to be Done at the Facility Level? As commanding officer, you must provide leadership and develop a strong, active environmental program at your facility. This includes providing adequate staffing and funding to your environmental office and staff. You must also place the proper emphasis on the environmental program at all levels within your command. It is essential to remember that the execution and success of your environmental program requires full commitment from everyone not just your environmental staff. Your responsibilities for directing the facility environmental program are outlined in OPNAVINST 5090.1B. You should be aware of these responsibilities. Here is a checklist of things you should do Meet with your environmental management team: the environmental coordinator, public affairs officer, legal advisor, safety and occupational health manager, resource manager, land manager, public works staff, your engineering field division (EFD) or engineering field activity (EFA) representatives, and

Regional Environmental Coordinator (REC). Some questions to ask are provided in the section"what questions should I ask my environmental staff?" Be familiar with and adhere to the policies issued in OPNAVINST 5090.1B. Cooperate with federal, state, and local regulatory agencies and with their applicable procedural requirements. Visit your regulators. Develop good working relationships. Coordinate important environmental and natural and cultural resources matters, especially violations, agreements and permit conditions, with your EFD or EFA, major claimant, and regional environmental coordinator. Review your host/tenant agreements and know your responsibilities with regard to environmental issues. Meet with the heads of your tenant commands. Seek their support and involvement in all aspects of the environmental program. Tour your base frequently. Ensure that environmental compliance requirements are integrated into all levels of activity management through the application of program management procedures including oversight, identification, mitigation and expenditure of sufficient resources to support the programs. Ensure that environmental compliance is a factor in both military and civil service personnel performance evaluations. Apply for all federal, state, and local permits, where appropriate, and coordinate permit conditions with all affected tenant commands. Obtain a list of the permits held by your base and a description of the operations affected by the permits. File those reports... An important part of building an installation environmental program is making sure you take care of the numerous regulatory and Navy reporting requirements. Reporting varies depending on the program area, i.e., hazardous substance spills must be reported when they exceed certain quantities, while other reports are submitted annually. Reporting requirements will vary from state to state and territory to territory. Within the Navy there are several reports you must provide to higher commands. Your major claimant may have additional reporting requirements. Examples of these reports include the following: Report of Receipt of Notice of Violation or Noncompliance, Report Symbol OPNAV 5090-4. Air, Water, Solid Waste, Noise, Pesticide, and Radiation Pollution Control (A- 106) Report, Report Symbol DD-A&T(A) 1383(5090). Environmental Compliance Evaluation Report, Report Symbol OPNAV 5090-5. Annual Solid and Hazardous Waste Reports, Report Symbol DD- A&T(SA)1485(5090).

Annual PCB Inventory, Report Symbol OPNAV 5090-1. Oil Spill Report, Report Symbol OPNAV 5090-2. Hazardous Substance Release Report, Report Symbol OPNAV 5090-3. Status of Elimination of Ozone Depleting Substances (ODSs) in Specifications and Standards, Report Symbol OPNAV 5090-7. Annual Pest Management Data Systems Report for Indoor and Outdoor Operations, Report Symbol DD-M(A&R)1080. Your environmental staff or engineering field division representative can provide more information on these and other reporting requirements. Further guidance on these reports is provided in OPNAVINST 5090.1B. Return to Contents What is Base Realignment and Closure and What Happens if My Facility is Selected? The process... In an effort to downsize, bases have been selected for realignment or closure. This is being accomplished in accordance with the provisions of the Defense Authorization Amendments and the Base Closure and Realignment Act (BRAC) of 1988, Public Law 100-526, and the Defense Base Closure and Realignment Act of 1990, Public Law 101-510. BRAC selections were conducted in 1988, 1991, 1993 and 1995. What next... A commanding officer's responsibilities to comply with environmental laws do not end when his or her facility is slated for closure. In fact, being under such conditions will involve certain additional procedures. If your facility is slated for closure, several actions related to environmental compliance and planning will be required. The Naval Facilities Engineering Command (NAVFACENGCOM) will retain responsibility as program manager for the restoration program. An exception to this is that the U.S. Marine Corps is the budget submitting office for Marine Corps BRAC installations. NAVFACENGCOM will assume responsibility for compliance requirements that are associated with transferring the property outside of the Department of the Navy. The installation commander retains responsibility for mission-related compliance requirements as

well as one-time compliance requirements associated with terminating the operational mission at a closing base. An example would be cleanup of sludge from oil-water separators at a 90-day hazardous waste storage site. The onetime compliance requirements must be completed prior to the operational closure of the installation. Specific program responsibilities are spelled out in the Navy Comptroller budget guidance, usually available in March of each year. The environmental aspects of base closure requires the close coordination between many members of a commanding officer's staff and others including: the BRAC Environmental Coordinator; the BRAC Cleanup Team; the Local Redevelopment Authority or reuse activity; the Restoration Advisory Board; contracting support staffs; contractors; and others. The tasks associated with base closure are complex, dynamic, and challenging. They require a high level of interest and liaison to ensure Navy installations are cleaned up to meet regulatory compliance requirements; that the active participation of the local community is sought; funding is adequate; and the closure is properly tied to reuse needs and local economic development. The BRAC Environmental Coordinator (BEC) executes all environmental cleanup programs related to the transfer of the base or parcels. The BEC should be an engineering field division or engineering field activity employee. Designation of the BEC will be made jointly by the closing base commanding officer and the EFD or EFA commanding officer. The purpose of the BRAC Cleanup Team (BCT) is to enhance environmental decision making at BRAC bases where property will be available for transfer to the community. The BCT consists of the BEC and representatives from the Environmental Protection Agency (EPA) and state environmental regulatory agencies. In addition, other members can include the remedial project manager, EPA and state remedial project managers, representatives from other services, and others. This team approach is intended to foster partnering, accelerate the cleanup process, and expedite timely, cost effective, and environmentally responsible disposal and reuse decisions.

The Restoration Advisory Board (RAB) provides a forum for the exchange of information regarding cleanup between the closing base, regulatory agencies and the community. It also provides an opportunity for stakeholders to participate in the cleanup process and provide input to decision makers. If your facility has been identified for closure or realignment, you should establish liaison with your engineering field division or engineering field activity to ensure all aspects of the process are properly addressed, including compliance with all federal, state and local requirements. Return to Contents How Do I Know If I Am In Compliance? The Navy has established the Environmental Compliance Evaluation (ECE) program to help you determine your environmental compliance status. This can be done in three ways: Self evaluations, Tier 1; Major claimant conducted environmental compliance evaluations (ECEs), Tier 2, and; Navy Inspector General (IG) environmental compliance inspections, Tier 3. The purpose of this program is to provide a means to monitor, achieve, and maintain compliance with environmental and natural resources regulations. It involves a multi-media examination of a facility's environmental programs to identify possible compliance deficiencies. Naval facility commanding officers must conduct self ECEs annually unless they are exempted from this requirement by the major claimant. These evaluations are required regardless of whether or not the facility had a major claimant ECE or IG environmental compliance inspection that year. The result of the self ECE is an environmental staff report to the commanding officer that allows you to evaluate your own environmental and natural resources compliance posture and your overall environmental management.

The major claimant ECE and IG Environmental Compliance Inspection are similar to the self ECE and also result in a report to the commanding officer. The difference is that now you are getting your information from the top down! Major claimants must conduct ECEs of their shore facilities at least once every three years, and no later than six months after an activity has been cited as a "significant non-complier" by a regulatory agency. The state or EPA will generally notify you of their intent to inspect your facility. However, by law, regulatory agencies are authorized to inspect federal facilities at any time. These regulatory inspections normally concentrate on one particular program area, such as hazardous waste management. Under the EPA Federal Facility Compliance Strategy (Yellow Book), inspection frequency guidelines have been established. For example, inspections for hazardous waste facilities under the Resource Conservation and Recovery Act (RCRA) generally occur annually. Inspections in other program areas may occur at different intervals. Once the inspection is completed, the regulatory agency will provide you with an exit briefing summarizing their findings. The regulatory agency normally does not produce a written report. Instead, you will receive a letter, usually within three to six months after the inspection, defining any non-compliance situations. This letter is often referred to as a Notice of Violation (NOV) or Notice of Noncompliance (NON). The letter will document your compliance status, based on the inspection, and request you to provide a response detailing your corrective action plan. If the regulatory agency finds you in compliance, you may or may not receive written confirmation. After three to four months, you may wish to contact the agency to determine the facility's compliance status. It is a good idea to get to know your regulators. Invite them to your base. Give them a tour of your operations. Let the regulator know what your

facility does. Develop a good working relationship with them. This may prove useful when, or if, it becomes necessary to negotiate fines, fees, penalties, compliance agreements or consent orders. Return to Contents What Happens If I Am Not In Compliance? When a regulatory inspection results in one or more findings of noncompliance, the regulatory agency will issue you a Notice of Violation (NOV)/Notice of Noncompliance (NON). The NOV/NON will prescribe what you must do, but not how to do it, and the timelines to meet compliance. Generally, you will have 30 days to respond to the regulatory agency. (The type of NOV/NON you receive and the timetable to respond may vary by program area.) Most NOVs/NONs can, and should, be negotiated and resolved between the facility and the regulatory agency. Remember, Navy policy requires you to immediately notify the Chief of Naval Operations (CNO) by message, with information copies to your chain of command, Navy Office of General Counsel's (OGC) Environmental Law Office, the appropriate engineering field division, and the Naval Facilities Engineering Service Center (NFESC) when you receive an NOV/NON. The message format and additional guidance is provided in Appendix B of OPNAVINST 5090.1B. The EPA or the state will seek to negotiate a Compliance Agreement or Consent Order if you fail to adequately respond to the NOV/NON or if you are late in responding. They may also seek a Compliance Agreement or Consent Order immediately if they feel there is an imminent and substantial endangerment to human health or the environment. The negotiated Compliance Agreement or Consent Order will specify what must be done and when. Thus, Compliance Agreements or Consent Orders are a mutually agreed upon corrective action plan. Under provisions of the Federal Facility Compliance Act (FFCA), regulatory agencies can impose administrative fines for noncompliance

related to hazardous waste and other media-specific matters. Such fines, while subject to negotiation with the agencies, must be paid from your operating budget. Your wisest course of action is to obtain and maintain compliance so that fines will not detract from or interfere with your overall environmental program objectives. Before paying any fine, consult with your environmental counsel. At Government-owned, Contractor-operated (GOCO) installations, the EPA may seek enforcement action against both you and the contractor. If you determine, through self-inspection or some other means, that you have compliance deficiencies, you should contact your major claimant and engineering field division representatives to determine your course of action. You should develop a corrective action plan to address deficiencies resulting from an ECE just as you would for an NOV/NON. If noncompliance is determined as a result of a citizen suit or regulatory authority investigation, you may face penalties for violations such as illegal disturbance of endangered species or filling of wetlands without an Army Corps of Engineers (COE) permit. Return to Contents What Are My Liabilities? The nation's concerns for environmental compliance, conservation, protection, and restoration are reflected in the civil and criminal provisions of federal and state environmental laws. There are several civil and criminal penalties associated with improper environmental management. This ultimate responsibility encompasses violations resulting from actions taken by Navy personnel, civilian and military, all tenants, including dependents living in base housing, and contractors working for the Navy on or within your facilities. Violations of federal and state environmental statutes can result in both civil and criminal penalties. Federal prison terms for violating these statutes range up to 15 years. One-time fines range up to $250,000 and additional cumulative fines can be as high as $50,000 per day of violation.

Federal officials are not immune from criminal prosecution. However, the Federal Facility Compliance Act does exempt agents, employees, and officers of the U.S. from personal liability for any civil penalty arising from acts or omissions within the scope of their official duties. The commanding officer who does not act promptly to correct environmental violations that he or she is aware of, or should be aware of, may be subject to prosecution even though he or she had no direct or even indirect involvement in the violation. If violations of the law occur, your best course of action as commanding officer is to inform the appropriate regulatory authorities immediately, and to engage in good faith efforts to come into compliance. You can best avoid criminal penalty by being 100 percent committed to compliance with the law. Your best course towards lawful compliance begins with familiarity with the various statutes. While there are several score of environmental laws, the following are those which are most relevant to you on a daily basis: The Resource Conservation and Recovery Act (RCRA) establishes federal programs to regulate and manage treatment, storage, transport, and disposal of nonhazardous solid wastes and hazardous waste from "cradle to grave." The Federal Facility Compliance Act (FFCA) clarifies that federal facilities are subject to civil and administrative fines and penalties for violations of federal, state, and local laws dealing with the handling and disposal of solid and hazardous wastes. In many cases, the facility will be required to use its Operations and Maintenance (O&M) account to pay a hazardous waste fine or penalty. The Comprehensive Environmental Response, Compensation and Liability Act (CERCLA), or Superfund, of 1980, as amended by the Superfund Amendments and Reauthorization Act (SARA) of 1986 establishes a series of programs and measures to clean up hazardous waste disposal and spill sites nationwide. The 1986 amendment made the law applicable to federal facilities. The Clean Air Act (CAA) sets national primary and secondary ambient air quality standards and requires states to develop implementation plans to attain compliance with the standards. It also sets national emission standards for various air toxics and bans, regulates and restricts substances believed to deplete the earth's stratospheric ozone.

The Clean Water Act (CWA) sets federal limits, through the National Pollutant Discharge Elimination System (NPDES), on the amounts of specific pollutants that are discharged to surface waters so as to restore and maintain the chemical, physical, and biological integrity of the water. Section 404 of the CWA regulates actions affecting wetlands. The Endangered Species Act (ESA) requires federal agencies to: determine the effects of their actions on such species (of fish, wildlife, or plants); the act prohibits the importation, exportation, and "taking" of endangered and threatened species and their critical habitat; and take steps to conserve and protect these species. The Marine Mammal Protection Act (MMPA) protects marine mammals and establishes a marine mammal commission. Subject to limited exceptions, prohibits the "taking" of marine mammals in the United States or on the high seas. "Taking" includes any harm or harassment. The Toxic Substances Control Act (TSCA) regulates polychlorinated biphenyls (PCBs); asbestos; and other toxic substances. It requires testing of chemical substances entering the environment and regulates releases. The National Historic Preservation Act (NHPA) requires federal agencies to determine the effect of their actions on cultural resources and to take steps to ensure that these resources are located, identified, evaluated, and protected. The National Environmental Policy Act (NEPA) is the national charter for protection of the environment. It establishes policy, sets goals and provides a means for carrying out environmental policy. NEPA requires that you consider the possible environmental impacts of your mission during the planning, training and operational decision-making processes. The following table indicates major civil and criminal provisions of selected environmental laws. Civil penalties may arise either from "citizen suit;" provisions in the laws; or from administrative actions by regulatory agencies. A trend, epitomized by the Federal Facility Compliance Act (FFCA), is to subject individuals to criminal liabilities for their failure to adhere to environmental law requirements. Return to Contents What Can I Do To Attain Compliance? If you determine that you are out of compliance, you should: Notify the Chief of Naval Operations (CNO) and your major claimant. Negotiate with the regulatory agency to set compliance requirements and timetables.

Coordinate or seek assistance from technical support services which may include your regional environmental coordinator, regional engineering field division (EFD) and the NEPSS specialty offices. Develop a corrective action plan. Prepare and submit a report for each project requirement via the Office of Management and Budget (OMB) A-106 process. (See the Where Do I Get Resources, Page 28 for an explanation of the OMB A-106 process.) Take action to implement your corrective action plan. To achieve and maintain environmental compliance, you must develop a strong facility environmental program. Your most important asset for achieving and maintaining compliance is a strong, active environmental coordinator, supported by your facility staff and your full endorsement of the environmental program. Notifying your major claimant of program requirements is critical to receiving the resources necessary to achieve and maintain compliance. You should review your command's A-106 submission before it is forwarded to your major claimant. Funding requirements identified in the A-106 must match those identified in your Program Objective Memorandum (POM) and related budget submissions (funded and unfunded requirements). Any discrepancies may result in a loss of funds. Over time, the three most important actions you can take to achieve and maintain compliance are as follows: Establish an active environmental and natural and cultural resources training program; Establish standard operational procedures which incorporate environmental considerations; and Establish internal enforcement mechanisms. Return to Contents What are Navy Regional Environmental Coordinators (RECs)? The Navy established the Navy Regional Environmental Coordinator (REC) network to help focus on the growing number of regional, state and local requirements affecting installations. OPNAVINST 5090.1B explains the role of the Navy Regional Environmental Coordinator as the lead coordinating body for environmental matters within their area of responsibility. The Navy RECs are flag officers located across the nation to provide senior leadership on key environmental issues. RECs are identified, along with their primary contacts, on Page 44 of this guide. Regional Environmental Coordinators are assigned by area environmental coordinators.

Regional Environmental Coordinators are the primary interface with regional federal and state regulatory agencies. A key function of the REC is to monitor state environmental legislation and regulations for impact on Navy operations, and to ensure that agreed upon positions are presented to state lawmakers and federal, state and local regulatory officials. The RECs keep affected installations and other Navy commands informed on the status of state legislation and regulations. RECs also ensure consistent positions, agreements, permit conditions, and responses to regulatory agencies within their region. They coordinate closely with affected shore facilities, major claimants and engineering field divisions and engineering field activities. The Department of Defense (DoD) has also established a DoDwide system for regional coordination. The Army, Navy and Air Force have been assigned as the DoD Regional Environmental Coordinators for specific EPA regions. The Navy is designated as the lead service for EPA regions I, III and IX. The Army is the lead for regions IV, V, VII and VIII, and the Air Force leads within regions II, VI, and X. The purpose of these DoD Regional Environmental Coordinators is to coordinate environmental issues among the services and defense components. Navy RECs are the focal point for issues and discussions with the other services within their regions. Return to Contents The Navy's Environmental Organization

Return to Contents The Navy's Environmental Support Organization Return to Contents Where Do I Get Resources?

You must program and budget for all funds needed to meet your environmental compliance, conservation, restoration and pollution prevention requirements, just as you would program and budget for any other mission requirement. The commanding officer is responsible for ensuring that requirements are clearly identified, appropriately prioritized, and included in the planning, programming and budgeting system (PPBS). Host commands are encouraged to charge customers for the full cost of the service of assuring legally mandated environmental compliance for day-to-day work. Host commands incur many environmental compliance costs which should be apportioned to all customers including water and air discharge permits and fees, compliance monitoring costs and preparation of comprehensive environmental studies. CNO has distributed an "environmental cookbook" of legal requirements that provides cost estimates for the spectrum of projects that can be expected at naval activities. The Naval Facilities Engineering Command's engineering field divisions and Navy major claimants can assist you in adapting the "cookbook" projects for your installation. The cookbook is used for identifying environmental requirements for each activity and estimating the compliance costs. A Baseline Assessment Memorandum (BAM) is compiled annually, using the guidelines set forth in the cookbook. This assessment is used to support the Navy budgetary process. Costs for all types of project funding, including military construction (MILCON) and claimant level special projects, should be included in the BAM submission, even though MILCON and special projects are submitted to major claimants for approval through separate processes. The Office of Management and Budget (OMB) Circular A-106 requires federal agencies to develop pollution abatement plans and submit an annual project status report. All Navy environmental costs, no matter how funded, are entered into the A-106 system. This applies to costs associated with both ship and shore compliance and pollution prevention. Additionally, it includes all costs, regardless of the type of appropriation, and encompasses Defense Base Operating Funds (DBOF) and nonapproporiated funds. Reporting is done using software produced and distributed by the Defense Environmental Security Corporate Information

Management (DESCIM) program office. More information on A-106 reporting is provided in the Environmental Data Management section. You may also be able to supplement your environmental programs with the proceeds from qualified recycling programs. Up to 50% of the proceeds, after funding all costs to run the program, can be used for pollution abatement, energy conservation, and occupational safety and health. The balance can support Morale, Welfare, and Recreation (MWR) activities. Refer to the "Qualified Recycling Program (QRP) Development Guide," NFESC UG-2003-ENV, for information on establishing a MWR recycling program. Environmental restoration, base realignment and closure (BRAC) environmental cleanup, and BRAC transfer-related environmental compliance requirements are planned, programmed and budgeted by the Naval Facilities Engineering Command (NAVFACENGCOM) for Navy and Marine Corps installations. BRAC environmental restoration funds used to restore closing bases are also managed by NAVFACENGCOM. NAVFACENGCOM also centrally manages Other Procurement, Navy (OPN) funds that are used for oil spill equipment procurement and procurement of other centrally managed pollution prevention equipment. Your staff should be consulted as these requirements are developed. Budgeting for Environmental Compliance... Shore activities and afloat commands shall report annual environmental budget requirements on Navy Comptroller (NAVCOMPT) ENV32A/B/C/D in accordance with NAVCOMPT guidance. Under Executive Order (EO) 12088 (Federal Compliance with Pollution Standards), funds appropriated for environmental compliance and environmental restoration can be used only for the purposes specified unless otherwise permitted by law and specifically approved by OMB.

Return to Contents What Questions Should I Ask My Facility Staff? Overall Facility Program... What is our compliance status? Is the environmental management program sufficiently staffed and funded to ensure environmental compliance? What NOVs/NONs did we received during the past year? What NOVs/NONs are still outstanding? Do we have any Compliance Agreements or Consent Orders? What is our working relationship with the regulatory agencies? What environmental projects have we submitted? Which of these are critical, must-fund projects and why? What environmental and natural and cultural resources training programs do we have? What environmental and natural and cultural resources projects are underway or scheduled? Have NEPA requirements been considered? When was our last ECE performed? By whom? What deficiencies were found? What is being done to correct those deficiencies?

Are we currently receiving environmental support from other Navy agencies? Do we need support? How do we obtain support? What permits do we have? Who are our regulators? Hazardous Waste Management Program... How much hazardous waste do we generate each month? How much hazardous waste did we generate in each of the last three years? Do we generate low level radioactive waste? Where and how much hazardous material is stored on our installation? What type of hazardous waste storage do we have (accumulation, 90 day, or permitted)? What are our hazardous waste disposal costs? What is the status of our hazardous waste inventory? How do we dispose of our hazardous waste? Do we use the Defense Reutilization and Marketing Office (DRMO)? Have there been any liability problems with our hazardous waste disposal company? Do we have a RCRA Part B permit or is a RCRA Part B permit application pending approval? What storage, treatment, or disposal units are on the permit? Are there other storage, treatment, or disposal units that should be included on the permit (or permit application)? How many Solid Waste Management Units (SWMUs) are on the Part B permit? Do we have a corrective action requirement to fulfill under the RCRA Part B permit? Who is responsible for this and when is it due? Do we have a designated responsible action official for hazardous waste?

What is the status of the Facility Hazardous Waste Management Plan (FHWMP)? Do we have a list of designated contacts from each tenant for the FHWMP? Are periodic meetings held to discuss requirements and problems? Are there any problems with tenant organizations complying with our facility requirements? Do we have any property leased to commercial firms? Do they generate hazardous waste? How is it disposed? Pollution Prevention Program... Are we in full compliance with the Emergency Planning and Community Right-to-Know Act requirements? Are we required to submit a Toxic Release Inventory (TRI) report? If so, what are the results? Do we have an Affirmative Procurement Program? Do we have a Qualified Recycling Program? Who manages the program and how are program receipts distributed? What is the status of our Ozone Depleting Substances (ODS) conversion plan? Will we meet the CNO mandated dates for phaseout of all non-mission critical applications of Class I ODSs? Have we completed our Pollution Prevention Plan? Is it being updated annually? What is the status of its implementation? What progress are we making toward reducing our releases of toxic chemicals and our generation and disposal of hazardous and nonhazardous wastes? Have potential substitutes been reviewed from a safety and health perspective? What measures are we taking to reduce or eliminate pollution from our base?

Is there good coordination and communication between host and tenant commands on issues like TRI reporting, pollution prevention planning, and ODS phase-out? What cost avoidance or savings have we achieved as a result of pollution prevention? Environmental Restoration... Is our facility on the National Priorities List (NPL)? Do we have any sites on the facility being addressed under the Defense Environmental Restoration Program? How many sites? What is the status of these sites? Have we completed the Preliminary Assessment/Site Inspection (PA/SI)? Is a Remedial Investigation/Feasibility Study (RI/FS) underway? Do we have an Interagency Agreement (IAG)? Has a technical review committee (TRC) been established? Is there a community relations plan (CRP)? What is the regulatory relationship between the state and the EPA? Other Environmental Programs... Are we properly controlling radioactive material licensed by the Navy Radiation Safety Committee or controlled by the Radiological Affairs Support Program? What is the quality of our drinking water? Are we in compliance with the Safe Drinking Water Act? How do we obtain our drinking water? Do we provide drinking water to anyone off the facility? Do we have any cooperative environmental programs with other organizations (such as resource recovery or recycling)? Who is our representative to the Local Emergency Planning Committee (LEPC)?

Do we have any air pollution control permits? What is their status? Do we operate a wastewater treatment facility? If so, what is the plant's condition, operating record and status of qualified operator personnel? Do we have any wastewater discharge permits? How many compliance points? What is the status of the permits? Do we meet our permit discharge limitations? Do we have a pest management plan? Do we have a Natural Resources Management Plan? Do we have a Historic and Archaeological Resources Protection Plan? Do we have a current, approved Spill Prevention Control and Countermeasures (SPCC) Plan? When was the SPCC Plan last tested? What deficiencies were noted during the test? What is the status of corrective actions? How many reportable spills have we had the past year? Were all spills reported properly? Have we analyzed the number and size of spills? Is there a trend? What is our PCB inventory? How many underground storage tanks (USTs) do we have? What is their status? Have funds been budgeted for testing/removing tanks and possible cleanups? Do we have any environmental noise problems? Do we have proper operating permits for our landfills? Has all regulatory mandated training been completed and records retained? How many people need training? Do we have an environmental awareness training program?

Have all buildings been inspected for asbestos? Do any buildings require abatement? How many buildings have been tested for radon? Do any require remediation? Questions for your Public Affairs Office... How is our environmental program perceived in the community? What is our relationship with local officials regarding environmental issues? What is our relationship with the media on environmental issues? What types of communication are used to inform the public and military dependents living in our housing areas about our environmental program? Are there good news stories from the Environmental Office that can be released to the local newspaper or our major claimant? Do we have a public involvement and response plan? Is it being activated? Are NEPA documents being thoroughly coordinated? Is the Public Affairs Officer (PAO) actively participating? What actions are being taken to increase environmental awareness of the workforce? Does each new military and civil service employee receive a welcome aboard briefing and does it cover environmental programs? Are any organized environmental groups interested in our facility? Who are they and what is our relationship with them? Questions for your Legal Office... Is there coordination with key environmental personnel, i.e., installation environmental coordinator, counsel for the engineering field division, to ensure timely coordination of environmental issues?

How are our environmental permits reviewed by the legal office? Are there hazardous waste sites on the facility not in compliance with environmental statutes? Has the legal office coordinated the Navy's remedy with the EPA? Is the legal office involved in negotiations for Compliance Agreements and Consent Orders? How does the legal office learn of regulatory changes (local, state and federal)? Will I receive prompt briefings on changes? Is there coordination with Regional Environmental Coordinators counsel to keep current on changing state and local requirements? Questions for your Navy Occupational Safety and Health (NAVOSH) Office... Have all appropriate personnel received the required Occupational Safety and Health Administration (OSHA) training? How are the Hazard Communications (HAZCOM) and other OSHA programs coordinated with the environmental plans and programs for hazardous waste? Does this command have an official policy which requires training prior to visiting or working at a hazardous waste or hazardous materials site? Does the NAVOSH policy instruction contain specific requirements for the personnel safety aspects of the environmental program? What involvement does the NAVOSH office and cognizant industrial hygienist have in reviewing potential or actual pollution prevention process changes? Does the NAVOSH Office have the list of locations and operations that require the use of personal protective equipment (PPE)? Do training records substantiate training for the proper use of PPE? Do these lists and records include hazardous waste and emergency

response personnel? Are there adequate local procedures for stocking and issuing PPE? What are the results of the last NAVOSH Oversight Inspection? Results of the major claimant NAVOSH Management evaluation? Are there deficiencies identified in the hazardous material, hazardous waste or emergency response programs? Are there any environmental-related health complaints on file? What is the resolution status? Is there an environmental office representative on the Commanding Officer's Safety and Health Council? Who is reviewing the environmental contracts for safety and health requirements? Is the safety office reviewing contractor submissions for compliance with OSHA standards and contract requirements? Who coordinates and provides our industrial hygiene support? Are all of our designated personnel in a medical surveillance program? Questions for your Natural Resources Manager... Do we have an approved Integrated Natural Resources Management Plan? Do we have any agricultural leases or forestry programs? Is there a possibility of environmental contamination on these parcels? Are endangered species inventories complete? Are there mission conflicts with endangered species or marine mammals? Is there a plan or mechanism for resolving such conflicts? Is there coordination with the U.S. Fish and Wildlife Service (USFWS) and state wildlife agency? Do we have hunting, fishing or natural resources-based outdoor recreation programs?

Is there adequate coordination between land use decision makers and natural resources managers? How are natural resource programs funded? Do we have soil erosion or sediment non-point pollution problems? Do we have an Erosion Control Plan? Do we have a wetlands inventory? Do we have conflicts between mission and no net loss of wetland requirements? For those installations with a flying mission, do we have a current Bird/Aircraft Strike Hazard Reduction Plan? Return to Contents How Do I Handle Public Relations? The best way to approach environmental issues with your neighbors is to redefine "public relations." "Public affairs" in environmental programs is really "public relations" or "community relations." The terms appear interchangeable, but they are not. "Public affairs" is commonly misconstrued to mean "community relations." Here's the difference: Public affairs is a planned effort to influence opinion through socially responsible performance, based on satisfactory two-way communication. Community relations is a planned effort to involve citizens in the decisionmaking process and to prevent or resolve citizen conflict through two-way communication. There are several common elements of public affairs and community relations. The importance of public participation as an integral part of the facility environmental program cannot be over emphasized. Many tough lessons have been learned, which include negative news coverage, citizen-

generated Congressional interest, and adverse public reaction. All of these reflect inadequate or nonexistent public participation. While negative news coverage, irate political representatives, and adverse public reaction are not desirable, these aspects are not the primary reasons the Navy actively seeks public participation. Here are the reasons... It's critical for mission accomplishment. Whether the environmental issue is storage of hazardous waste or building a new office complex, the goal is to get the job done in an environmentally sound manner. Citizen reaction has stopped many projects, either through political pressure or through the court system. It's the law. Virtually every environmental law provides for some type of public participation. Requirements vary and some are more extensive than others. Commanding officers are ultimately responsible for complying with all requirements. The public... Typically, the reason citizens become involved with environmental issues is because they feel left out of the decision-making process. Where citizens are involved in the environmental process, few projects grind to a halt. When adverse public reaction occurs, resources needed to accomplish the task are diverted to addressing public outcry, hence delaying project completion. Most citizens' concerns can be managed through public participation. A proactive community relations program prevents delays and assists with reaching goals.