Chapter 3
Environmental Program Management
1. Scope. This chapter establishes U.S. Geological Survey (USGS or Bureau) policy and responsibilities for compliance with the statutory and procedural requirements that pertain to environmental program management. Effective program management enables USGS organizations and facilities to achieve and maintain environmental compliance and protection nationwide. In addition, this chapter provides overall direction and consistency for environmental compliance and protection programs, along with technical, legal, and data management support.
A. Applicability.
(1) This chapter applies to all USGS facilities and organizations.
(2) The major Federal environmental statutes contain waivers of sovereign immunity that require USGS facilities to comply not only with Federal but also with State and local procedural requirements.
(3) State and local regulatory programs may establish regulations that are more stringent than the Federal requirements. Each USGS facility should obtain copies of its respective State and local regulations to determine if the facility is subject to requirements that go beyond the Federal laws and regulations.
B. Background.
(1) USGS environmental programs protect the health of USGS staff working at USGS facilities and protect the environmental quality of the facility and adjacent communities to support future activities. Environmental programs strengthen USGS relationships with regulatory agencies and the public and reduce the long-term costs of maintaining and operating facilities by avoiding penalties, cleanup costs, and the risk of future liability.
(2) Federal agencies must comply with applicable environmental compliance requirements. The major environmental statutes contain waivers of sovereign immunity that require compliance with Federal, State, and local requirements. The fundamental test of a "requirement" is that it is an objective, quantifiable standard and is subject to uniform application. The application of sovereign immunity waivers varies somewhat across states and localities.
(3) The USGS faces a difficult challenge in its effort to achieve compliance with Federal, State, and local laws, rules, and regulations that affect USGS facilities. Contributing to the challenge is the fact that environmental compliance is an area of continuous change. New requirements can emerge from many sources, and the regulatory priorities of Federal, State, and local agencies can vary. The USGS must implement a methodical approach to achieving compliance, which involves the following:
(a) Identifying environmental requirements applicable to USGS facilities.
(b) Implementing programs to achieve compliance.
(c) Conducting assessments at USGS facilities to identify areas, in which improvements are needed, prioritizing implementation and abatement actions to correct deficiencies, and monitoring overall compliance performance.
2. Authorities/References.
A. National Environmental Policy Act (NEPA) of 1969 (42 U. S. C. 4321 et seq.)
B. Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) of 1980, as Amended (42 U. S. C. 9601 et seq.)
C. Clean Air Act (CAA) of 1970, as amended (42 U. S. C. 7401 et seq.)
D. Federal Water Pollution Control Act of 1972, as amended (33 U. S. C. 1251 et seq.)
E. Clean Water Act (CWA) of 1977, as amended (Public Law 95-217, 33 U. S. C. 1251 et seq.)
F. Resource Conservation and Recovery Act (RCRA) of 1976, as amended (42 U. S. C. 6901 et seq.)
G. Endangered Species Act of 1973 (16 U. S. C. 1531 et seq.)
H. Toxic Substances Control Act (TSCA) of 1976 (15 U. S. C. 2601 et seq.)
I. Pollution Prevention Act (PPA) of 1990 (42 U. S. C. 13101 et seq.)
J. Executive Order (EO), 13148, Greening the Government Through Leadership in Environmental Management, April 2000
3. Requirements.
A. General. The USGS will:
(1) Actively protect and enhance the quality of the environment through strict compliance with all applicable regulatory requirements through a process of continual improvement.
(2) Assess the potential environmental impact of the proposal in the earliest stages of formulating plans, actions, and programs. NEPA provides a mechanism for considering environmental compliance and protection issues as embodied in appropriate statutory, regulatory, and USGS policy guidelines.
(3) Promote environmental training and education, pollution prevention, and the integrated management of natural resources as the long-term strategy for achieving and maintaining environmental compliance.
(4) Ensure the protection, conservation, and management of watersheds, wetlands, natural landscapes, soils, forests, fish and wildlife, and other natural resources.
(5) The number of environmental regulations has increased dramatically in recent years. USGS facilities are regulated by a wide array of Federal, State, regional, and local agencies. Requirements and interpretations vary greatly. To ensure consistent responses to the various agencies and to avoid adverse precedents, particularly those with funding implications, facilities must coordinate permit conditions, demand for payment of USGS funds, compliance agreements, settlements, negotiations, and responses to Notices of Violation (NOV) from environmental agencies with the Bureau Safety and Environmental Management Branch (BSEMB).
B. Environmental Management System (EMS).
(1) Purpose of the EMS. To establish what an organization needs to do in order to manage itself so as to meet its environmental, economic and sustainable development goals. Such a system will decide what the goals, policies, and strategies should be for implementation and will create the necessary linkages between environmental concerns and the economic considerations.
(2) Background.
(a) In August 1993, EO 12856, "Federal Compliance with Right-to-Know Law and Pollution Prevention," required the EPA to "establish a 'Federal Government Environmental Challenge Program." One component was to "challenge Federal agencies - to agree to a code of environmental principles to be developed by EPA, in cooperation with other agencies, that emphasizes pollution prevention, sustainable development and state-of-the-art environmental management program."
(b) EO 13148, "Greening the Government through Leadership in Environmental Management," was signed in April 2000 requiring Federal agencies to develop and implement EMS's. The EMS should "ensure that strategies are established to support environmental leadership programs, policies, and procedures and the agency senior level managers explicitly and actively endorse these strategies."
(3) EMS Implementation. USGS facilities and organizations will:
(a) Management Commitment. Make a written commitment to improved environmental performance by establishing policies that emphasize the need to comply with environmental requirements and pollution prevention.
(b) Compliance Assurance and Pollution Prevention. Implement proactive programs that aggressively identify and address potential compliance problem areas and use pollution prevention approaches to correct deficiencies and improve environmental performance.
(c) Enabling Systems. Develop and implement the necessary measures to enable personnel to perform their functions consistent with regulatory requirements, USGS policies, and the overall organizational mission.
(d) Performance and Accountability. Develop measures to address employee environmental performance and full accountability of environmental functions.
(e) Measurement and Improvement. Utilize, implement, and fully support the Environmental Compliance Auditing program to assess its progress toward meeting its environmental goals and use the results to improve environmental performance.
(4) Management Reviews. The Bureau will conduct an environmental management review of Regional Headquarters on a 3-year rotating cycle.
C. Environmental Compliance Audit Program.
(1) The Bureau Environmental Manager shall conduct regional environmental program and compliance audits every 3 years. Regional Environmental Coordinators shall conduct and document environmental management and compliance program evaluations of regional discipline level programs and regional discipline field locations that fall under the EMS or baseline audit location umbrella every 4 years. All other field level environmental compliance audits will be conducted based on compliance risk and past program deficiencies. All deficiencies noted and audit at least annually.
(2) The Environmental Assessment Management (TEAM) Guide, State Supplements, 29CFR1910 and 1926, and agency-specific supplements (see Appendix A for Department of the Interior environmental compliance auditing policy) provide the basis for external environmental compliance audits and this Handbook will be the basis for the annual self-audits.
D. Pollution Prevention. The preferred method of environmental protection is to eliminate or control the pollutant source. Responsible parties must identify means and methods for the elimination or minimization of pollutants and, where possible, incorporate them at the earliest stages of planning, design, and procurement of facilities, equipment, and material. Dedicated efforts are necessary to eliminate or minimize the use of hazardous material (HM) and the generation of hazardous waste (HW).
(1) When assessing solutions to compliance requirements, facilities will make use of the environmental management hierarchy. The Pollution Prevention Act (PPA) of 1990 established the following order of preference for the environmental management hierarchy:
(a) Source reduction
(b) Material recycling
(c) Treatment
(d) Disposal
(2) Each USGS organization will make every effort to meet or exceed the goals published in the Strategic Plan for Greening the Interior Through Waste Prevention, Recycling, and Federal Acquisition.
E. Personal Liability For Violation of Environmental Laws. In most cases, Federal employees are named as defendants in their official capacities because the actions in question are usually undertaken by virtue of their official authority. These cases generally proceed without risk of personal liability for the employee. In some cases, however, a Federal employee may be sued in his/her individual capacity for injuries or damages to persons or property. Individuals who violate environmental laws or who injure or damage the persons or property of others as a result of carelessness may be personally liable for the consequences. Environmental cases involving the USGS may be brought against the USGS itself, some smaller component, or individual employees. The individual employees may be named because the USGS can act only through its employees.
(1) Personal Liability for Injuries or Damages to Persons or Property. Where the actions of a Federal employee cause injuries or damage to the person or property of another, the injured party may bring an action to recover the cost of the damage.
(a) In such cases, the Department of Justice may substitute the United States for the individual if it determines that the individual was acting within the scope of official duties. An individual exercising official authority to carry out Bureau business per applicable USGS regulations normally is determined to be acting within the scope of official duties.
(b) Any employee who is served with a complaint, subpoena, or other legal paper relating to activities undertaken pursuant to official duties must immediately report this information to the Safety and Environmental Management Branch for guidance on how to proceed.
(2) Civil Liability for Fines. Many of the environmental statutes impose civil penalties for the violation of requirements. Some of the statutes, such as the Clean Air Act (CAA), the Clean Water Act (CWA), and the Safe Drinking Water Act (SDWA), provide varying degrees of immunity from civil penalties to individual Federal employees. Liability under other statutes is not as clearly delineated. However, it appears that Federal officials who have made good faith efforts to know and to comply with environmental requirements and who act within the scope of their employment do not face the likelihood of civil penalties imposed under Federal law.
(3) Criminal Liability. Most of the environmental statutes impose criminal liability for willful or knowing violations. Some statutes impose criminal liability for negligent violations. Individual Federal employees may be charged with criminal liability if their actions or inactions meet the requirements for imposing liability. Federal or State prosecutors may bring criminal charges. Liability often does not depend on knowledge of, or personal participation in, the acts made criminal. With respect to violations that occur, the term "knowing" is defined as knowledge that the requirement or regulation exists, more so than to actual knowledge of specific violations. The Supreme Court has said "where dangerous or noxious waste materials are involved, the probability of regulation is so great that anyone who is aware that he is in possession of them must be presumed to be aware of the regulations."
F. Reporting Notices of Violation (NOV). Immediately upon discovery of failure or potential failure to comply with the requirement of the law, all USGS personnel must report these matters to the next highest USGS authority. USGS policy is to complete prompt corrective action or the coordination of a plan for such corrective action with regulatory authorities regarding areas not in compliance with applicable requirements. Such prompt attention is the best approach to avoiding possible criminal charges or individual penalties.
G. Site Inspections. Upon the presentation of proper credentials, authorized EPA, State, or local regulators or representatives must be allowed to enter a USGS facility at reasonable times to examine or copy records, inspect monitoring equipment, or sample any effluents or emissions that the officials have the authority to regulate. Such inspections will comply with the information and facility security requirements.
H. Information Security. Periodically, representatives of Federal, State, and local agencies who are exercising their regulatory authority under environmental laws visit USGS facilities. Particular attention is needed to ensure that facilities comply with directives governing the control and protection of sensitive information. Before permitting access, it is important for the information holder to ensure that the recipient understands and complies with applicable security regulations governing the dissemination and protection of the information.
I. Government-Owned/Contractor-Operated (GO/CO) Facilities. USGS offices or facilities sponsoring GO/CO facilities must oversee facility use or management contracts to ensure:
(1) The operating contractor complies with the environmental regulations
(2) The operating contractor participates in the USGS Environmental Compliance Auditing program. USGS facilities sponsoring GO/CO facilities should also encourage GO/CO facilities to assess and implement pollution prevention solutions using the environmental management hierarchy.
J. Operations, Facility Use, or Lease Agreements. The owner of facilities leased or rented by the USGS or a USGS contractor is responsible for ensuring that the facilities comply with all applicable environmental requirements. Contractors must advise the USGS of any permit and its conditions, must provide periodic compliance status reports as required by the managing USGS office, and must participate in the USGS Environmental Compliance Auditing Program.
K. Community Programs. The USGS supports its employees' participation in community programs to address pollution and waste management issues. Such participation may include advisory functions or the planning of pollution control facilities where USGS facilities contribute to the problem in question. Before committing to participation, USGS facilities should consult and seek the advice of management and the BSEMB.
L. Environmental Manager and USGS Organization and Tenant Coordination. USGS facilities should develop Memorandums of Agreement or similar mechanisms to detail responsibilities of USGS organizations and tenants on the facility. The USGS facilities should maintain close coordination with tenants to ensure that the USGS organization and tenants meet the requirements of the support agreements, maintain compliance with all applicable environmental requirements, and participate in the host Environmental Compliance Auditing Program.
M. Release of Information.
(1) The senior management official at the USGS facility has the authority to release facility-specific information to Government agencies.
(2) Release of information regarding the USGS to the news media or the general public must be coordinated with the public affairs office.
(3) Public requests for information should be coordinated with the public affairs and/or Freedom of Information Act (FOIA) offices to ensure that these requests are handled expeditiously and in accordance with established procedures.
N. Records Disposition.
(1) Destroy hazardous substance records required by CERCLA when they are 50 years old.
(2) Retain all documentation in support of management plans mandated in this Handbook until obsolete or superseded, whichever is later.
(3) Destroy all reports, documentation, correspondence, and forms not covered by the paragraphs above after they are 10 years old.
(a) Such records include:
(i) Environmental assessments (EA);
(ii) Environmental impact statements (EIS);
(iii) Life-cycle cost analyses;
(iv) Documentation of compliance/noncompliance;
(v) Site inspections;
(vi) Communications with Federal, State, local, and foreign environmental authorities;
(vii) All other documentation required by law, regulation, and Executive Order, including reports to the EPA.
(b) Such records will cover the effects of USGS activities on:
(i) Air quality;
(ii) Tideland and freshwater wetland resources;
(iii) Wildlife;
(iv) Protected, threatened, and endangered species;
(v) Woodland resources;
(vi) Coastal contiguous zone waters;
(vii) Noise levels;
(viii) Farm land;
(ix) Private property;
(x) Land or property of historic/archaeological value;
(xi) Toxic waste sites.
O. Management's Environmental Statement. The Director will publish an environmental statement outlining the USGS policy on compliance and other environmental policy issues. Based on the Director's statement, each level of management will publish a statement delineating the manager's policy to achieve and maintain compliance with the applicable environmental requirements to preserve our facilities. This document should be prepared in a manner similar to other policy statements.
P. Standard Operating Procedures (SOP's).
(1) Facility managers will publish an environmental compliance and protection SOP. The instructions contained in the SOP need not contain all USGS organizational functions, but they must be sufficiently clear, completely applicable at the organizational level, and sufficiently detailed to ensure that each facility organization can perform in an environmentally protective manner. The SOP should be a guide to the method of response and management plans which may apply to the uses, along with specific facility-or organizational-unique requirements not covered by these plans.
(2) Facility managers are encouraged to publish a single SOP instead of multiple SOP's. A single SOP ensures continuity of effort and prevents conflicts in policies between various environmental media programs.
(3) SOP's will be prepared in a manner complementary or supplementary to, but not repetitive of, this Handbook.
4. Responsibilities.
A. Designated Agency Safety and Health Official (DASHO).
(1) Exercises the authority of the Director for the management and administration of the USGS environmental program.
(2) Directs USGS environmental program activities through a USGS Safety and Environmental Manager and ensures that adequate resources are provided to the Safety and Environmental Management Branch to develop and administer the program.
(3) Promulgates policy, directives, and alternate or supplemental standards applicable for implementation of an effective environmental program.
B. Bureau Safety Manager.
(1) Issues environmental planning policies and procedures to ensure that decision makers are informed of the consequences, alternatives, costs, and mitigating factors that must be considered regarding decisions that have potentially significant environmental impacts. Ensures that decision makers consider constraints imposed by applicable Federal, State, and local environmental laws and regulations.
(2) Includes in all environmental policies and procedures specific provisions that encourage facilities to engage in environmental planning, including the development of environmental baseline information.
(3) Develops the long-range forecast necessary for planning, programming, and budgeting for USGS environmental requirements.
(4) Prepares annual reports to DOI on the status of environmental compliance and protection.
(5) Manages a Bureau-wide environmental management system and environmental compliance auditing programs and oversees the development of planned activities to correct environmental management and compliance deficiencies promptly.
(6) Identifies and conducts special environmental compliance and protection studies in areas where little information has been assembled to be used in establishing policy or initiating actions.
(7) Participates as the USGS representative on intraagency and interagency committees and working groups. Coordinates and cooperates with the heads of DOI Bureaus regarding environmental issues of common interest.
(8) Coordinates with EPA Headquarters and other Federal and State agency representatives on USGS environmental compliance and protection issues.
(9) Develops an environmental campaign plan to outline long-term objectives and special environmental compliance and protection goals for the USGS.
(10) Ensures that environmental protection and pollution prevention alternatives are considered in the decision making process for USGS actions.
C. Bureau Environmental Protection Specialist.
(1) Develops and periodically updates this Handbook. This Handbook is the primary USGS policy document, guiding USGS facilities and organizations in complying with Federal, State, and local environmental laws.
(2) Provides support to USGS facilities and organizations in:
(a) Interpreting Federal, State, and local environmental regulatory requirements and in uniformly applying USGS policy as set forth in this Handbook;
(b) Assisting facilities with resolving disputes with Federal, State, and local regulatory agencies as required;
(c) Supporting outreach processes for environmental planning and analysis and other environmental areas.
(3) Notifies USGS facilities and organizations of available environmental training.
D. Regional Directors.
(1) Provide oversight for the Regional Program and assist Regional Safety Officers, organizational managers, supervisors and employees in program implementation.
(2) Provide annual executive summaries of regional activities, success stories, and issues to the Bureau.
(3) Ensure the consistent interpretation and application of environmental policies at USGS facilities within their region.
E. Regional Safety Managers, Regional Safety Officers, Regional Environmental Protection Specialists.
(1) Advise and support regional organizational management in carrying out environmental management responsibilities.
(2) Serve as the focal point for information and the coordination of issues related to USGS activities in the region.
(3) Monitor and coordinate the consistent application of environmental policies at USGS facilities within their region and elevates issues of interest to the SEMB.
(4) Coordinate and/or conduct an environmental management system assessment to identify shortfalls or "gaps" in the current system. Recommend appropriate actions to correct deficiencies.
(5) Provide, as a region's technical environment management and compliance advisor, assistance and guidance to regional and field management in implementation of an effective environmental management and compliance program.
(6) Recommend program policies, directives, alternate or supplemental standards, and guidelines for adoption at the Bureau level.
(7) Serve as a region's principal representative to the EPA and other agencies on technical matters pertaining to Regional environmental programs.
(8) Coordinate the identification, development and conduct of general and specialized environmental training to meet regional needs programs aimed at large audiences across the region.
(9) Coordinate regional management and provide collateral environmental coordinator support.
(10) Develop and maintain regional environmental protection promotional programs aimed at providing information to large target audiences, to include making available and recommending training materials, journals, reference documents, posters, signs, etc.
F. Organizational Managers and Supervisors.
(1) Implement program requirements within the scope of their authority.
(2) Provide and/or secure appropriate environmental training for employees.
(3) Monitor the consistent application of environmental policies within the scope of their authority region and elevate issues of interest to the appropriate Regional Safety Officer or Manager.
(4) Implement an environmental management system assessment to identify shortfalls or "gaps" in their respective current organizational environmental management system. Recommend appropriate actions to correct deficiencies.
(5) Coordinate the implementation of an environmental awareness campaign that includes an award and recognition program.
G. Collateral Duty Environmental Program Coordinators.
(1) Coordinate the environmental management and compliance program of their organizations.
(2) Advise management on matters related to implementation of this policy.
(3) Coordinate an environmental management system assessment to identify shortfalls or "gaps" in their respective current organizational environmental management system.
(4) Provide program coordination with the regional, State, and Federal regulators as needed.
(5) Coordinate the implementation of an environmental awareness campaign that includes an award and recognition program.
5. Additional Resources.
A. Office of Environmental Policy and Compliance
B. Environmental Protection Agency (EPA)
C. EPA Rules and Regulations
D. Federal Facilities Enforcement Office (FFEO)
E. EPA Office of Federal Activities - NEPA Review and International Enforcement/Compliance
F. The Yellow Book: Guide to Environmental Enforcement and Compliance at Federal Facilities