ASTM E2365-21

Standard Guide for Environmental Compliance Performance Assessment

SIGNIFICANCE AND USE
4.1 This guide may be used for environmental compliance performance assessment in the United States in a wide variety of applications and is not particularly limited to one type of user. The following groups of users may find the guide particularly helpful:  
4.1.1 Small businesses or enterprises;  
4.1.2 Service industries;  
4.1.3 Federal, state or local facilities and regulators, including departments of health and fire departments;  
4.1.4 Financial and insurance institutions;  
4.1.5 Waste managers, including liquid and solid waste haulers, treatment, recycling, disposal and transfer;  
4.1.6 Consultants, auditors, inspectors and compliance assistance personnel;  
4.1.7 Educational facilities;  
4.1.8 Property, buildings and grounds management, including landscaping;  
4.1.9 Non-regulatory government agencies, such as the military; and  
4.1.10 Specific industrial sectors such as dry cleaners, printers, photo processors, laboratories, health care, and vehicle fueling, maintenance and delivery.  
4.2 This guide is intended as a first step in crafting simplified management goals for assessing compliance with a wide variety of multimedia environmental performance standards. The framework describes a process by which the user may categorize current waste management, air quality, water, and release prevention practices in order to manage the risks associated with noncompliance. The technique classifies common environmental performance standards into tiers based on relative risks to human health, the environment and business operations. The tier classifications found in this guide reflect the general requirements of State, Federal and local compliance and enforcement programs. These authorities generally classify groups of similar environmental performance standards according to the significance of any noncompliance within each group of standards.
Note 1: Users in the United States are encouraged to review the EPA’s Audit Policy Program: Frequently Asked...
SCOPE
1.1 Overview—This guide is an organized collection of information and series of options for industry, regulators, auditors, consultants and the public, intended to measure compliance with environmental performance standards against established benchmarks. It focuses on compliance with air, water, waste prevention, waste management, and toxic reduction standards for facilities in the United States. While the guide does not recommend a specific course of action, it establishes a tiered framework of essential components, beginning with those standards where a deviation presents the greatest potential public health, environmental, and business risks. In each identified pathway, at each tier or step of analysis, the guide outlines ways to identify compliance options and reduce pollution in iterative steps. The goal in using the guide is to lower environmental, public health and business risks from Tiers 1 and 2 to Tiers 3 and 4, by evaluating the performance standards described in this guide. While this guide provides a simplified framework of explicit steps for users, a qualified professional should conduct detailed, site-specific risk analysis. This guide may act as a starting point for organizations with limited experience in systematic environmental assessment. As facilities develop their specific plan framework, they will find that risk is weighted by more than just a few parameters. For each facility risk is the complex interaction among location, size, history, surrounding community and ecological zones.  
1.2 Differences Among Standards—This guide focuses on compliance with environmental performance standards in the United States. As such it includes a unique, risk-based method to analyze specific groups of legal requirements, as well as risk reduction techniques, sometimes called “pollution prevention.”  
1.2.1 Use of this guide provides a system to evaluate the relative priority of compliance and pollution preven...

General Information

• Status: Published
• Publication Date: 31-May-2021
• ICS: 13.020.10 - Environmental management
• Technical Committee: E50 - Environmental Assessment, Risk Management and Corrective Action
• Drafting Committee: E50.05 - Environmental Risk Management

Relations

• Refers: ASTM E1990-14 - Standard Guide for Performing Evaluations of Underground Storage Tank Systems for Operational Conformance with 40 CFR, Part 280 Regulations
• Effective Date: 01-Jan-2014
• Refers: ASTM F1127-07 - Standard Guide for Containment of Hazardous Material Spills by Emergency Response Personnel
• Effective Date: 01-Nov-2007
• Refers: ASTM F1127-01(2007) - Standard Guide for Containment by Emergency Response Personnel of Hazardous Material Spills
• Effective Date: 01-Apr-2007
• Refers: ASTM E2107-06 - Standard Practice for Environmental Regulatory Compliance Audits
• Effective Date: 15-Oct-2006
• Refers: ASTM E1990-98(2005) - Standard Guide for Performing Evaluations of Underground Storage Tank Systems for Operational Conformance with 40 CFR, Part 280 Regulations
• Effective Date: 15-May-2005
• Refers: ASTM E1609-01 - Standard Guide for Development and Implementation of a Pollution Prevention Program (Withdrawn 2010)
• Effective Date: 10-Nov-2001
• Refers: ASTM E1609-94 - Standard Guide for Development and Implementation of a Pollution Prevention Program
• Effective Date: 10-Nov-2001
• Refers: ASTM F1127-88(1996) - Standard Guide for Containment by Emergency Response Personnel of Hazardous Material Spills
• Effective Date: 10-Oct-2001
• Refers: ASTM F1127-01 - Standard Guide for Containment by Emergency Response Personnel of Hazardous Material Spills
• Effective Date: 10-Oct-2001
• Refers: ASTM E2107-00 - Standard Practice for Environmental Regulatory Compliance Audits
• Effective Date: 10-Oct-2000
• Refers: ASTM E1990-98 - Standard Guide for Performing Evaluations of Underground Storage Tank Systems for Operational Conformance with 40 CFR, Part 280 Regulations
• Effective Date: 10-Oct-1998

Overview

ASTM E2365-21: Standard Guide for Environmental Compliance Performance Assessment provides a flexible, risk-based framework for assessing environmental compliance in various facilities across the United States. Developed by ASTM International, this standard serves as a practical guide for organizations seeking to evaluate their compliance with key environmental performance standards, specifically for air, water, waste prevention, waste management, and toxic reduction. The guide is widely applicable and valuable for small businesses, service industries, government agencies, consultants, and property managers, helping them identify environmental risks and prioritize compliance and pollution prevention activities.

Key Topics

• Risk-Based Tiered Approach: The guide introduces a four-tier classification system based on the relative risks to human health, the environment, and business operations:

  • Tier 1: Imminent hazards requiring immediate response (highest risk, e.g., major pollutant releases)
  • Tier 2: Significant requirements for approval of pollutant discharges or environmental modifications
  • Tier 3: Operational, maintenance, and monitoring controls for pollution sources
  • Tier 4: Recordkeeping and documentation requirements for environmental management

• Environmental Pathways: The document focuses on major environmental media:

  • Air quality management
  • Water protection and wastewater standards
  • Solid and hazardous waste
  • Release prevention and spill response
  • Pollution prevention and toxic use reduction

• Alignment with Regulatory Programs: The standard reflects compliance expectations from the US EPA, state and local agencies, and references integration with Environmental Management Systems (EMS), such as those outlined in ISO 14001:2015.

• Practical Guidance: While not endorsing a specific compliance solution, it provides a structured, step-by-step process for compliance assessment, enabling both experienced and less-experienced practitioners to identify compliance gaps and pollution prevention opportunities.

Applications

ASTM E2365-21 finds practical value in a variety of business and governmental settings, including:

• Small Businesses & Service Sectors: Assists in understanding and meeting compliance requirements without significant prior experience or resources, reducing regulatory and liability risks.
• Regulators & Inspectors: Offers a systematic and objective approach to assessing facility compliance and prioritizing enforcement actions.
• Consultants & Auditors: Serves as a foundation for conducting compliance audits and environmental risk assessments, helping clients implement cost-effective corrective actions.
• Facilities Management & Educational Institutions: Provides a benchmarking tool for internal environmental programs, improving operational practices and documentation.
• Industrial Sectors: Useful for specific industries (e.g., dry cleaners, printers, healthcare, laboratories) to identify high-priority compliance tasks and integrate pollution prevention into routine operations.

Key benefits of using ASTM E2365-21 include:

• Enhanced ability to prioritize environmental compliance actions
• Improved risk management and liability assessment
• Streamlined recordkeeping and reporting processes
• Greater competitiveness through proactive environmental stewardship
• Support for pollution prevention initiatives and cost reductions

Related Standards

Organizations implementing ASTM E2365-21 often reference complementary standards and guidelines to strengthen their environmental compliance programs, such as:

• ASTM E2107: Practice for Environmental Regulatory Compliance Audits
• ASTM E2681: Guide for Environmental Management of Underground Storage Tank Systems
• ISO 14001:2015: Environmental Management Systems - Requirements with guidance for use
• ASTM E1990: Guide for Performing Evaluations of Underground Storage Tank Systems for Operational Conformance
• EPA Audit Policy Program: Guidance on environmental self-auditing and compliance performance assessments

By leveraging ASTM E2365-21 alongside these references, organizations can develop robust, risk-informed environmental compliance management systems that address regulatory requirements, support pollution prevention, and demonstrate meaningful stewardship to stakeholders.

Keywords: ASTM E2365-21, environmental compliance, performance assessment, environmental risk management, pollution prevention, tiered compliance, regulatory requirements, environmental management, EMS, air and water quality, waste management, ISO 14001.

Standards Content (Sample)

This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: E2365 − 21
Standard Guide for
Environmental Compliance Performance Assessment
This standard is issued under the fixed designation E2365; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
INTRODUCTION
This guide provides a framework for the development of an environmental compliance assessment
program. It integrates environmental compliance, environmental risk classification and business risk
management for use in decision-making. It provides a flexible, technically defensible framework to
prioritize environmental compliance and associated pollution prevention, with a wide applicability to
a range of facilities and environmental pathways. The facilities that may find an environmental
compliance performance assessment program useful and appropriate are domestic establishments that
perform work for consumers, business, government and other organizations.These include public and
commercial establishments, but they generally exclude individual households. This guide may not be
appropriate where a primary manufacturing facility has already implemented a site-specific environ-
mental management system (EMS). This guide could be used as a tool in conjunction with an EMS,
to evaluate compliance and pollution prevention.
1. Scope framework, they will find that risk is weighted by more than
just a few parameters. For each facility risk is the complex
1.1 Overview—This guide is an organized collection of
interaction among location, size, history, surrounding commu-
information and series of options for industry, regulators,
nity and ecological zones.
auditors, consultants and the public, intended to measure
compliance with environmental performance standards against 1.2 Differences Among Standards—This guide focuses on
established benchmarks. It focuses on compliance with air, compliance with environmental performance standards in the
water, waste prevention, waste management, and toxic reduc- United States.As such it includes a unique, risk-based method
tion standards for facilities in the United States. While the to analyze specific groups of legal requirements, as well as risk
guide does not recommend a specific course of action, it reductiontechniques,sometimescalled“pollutionprevention.”
establishes a tiered framework of essential components, begin- 1.2.1 Use of this guide provides a system to evaluate the
ning with those standards where a deviation presents the relative priority of compliance and pollution prevention activi-
greatest potential public health, environmental, and business ties. Unlike environmental management systems, it provides a
risks. In each identified pathway, at each tier or step of framework to triage critical issues, based on consideration of
analysis, the guide outlines ways to identify compliance actual risk of harm to public health and the environment.
options and reduce pollution in iterative steps. The goal in 1.2.2 Environmental regulatory requirements in the United
using the guide is to lower environmental, public health and States are administered primarily by the United States Envi-
businessrisksfromTiers1and2toTiers3and4,byevaluating ronmental Protection Agency (USEPA) and the parallel State
the performance standards described in this guide. While this and Local Agencies with similar regulatory authority. Certain
guide provides a simplified framework of explicit steps for
other Federal regulatory agencies and State and local counter
users, a qualified professional should conduct detailed, site- partsmayalsohavelegalrequirementsrelatingtoenvironmen-
specific risk analysis.This guide may act as a starting point for
tal performance standards. Examples include the Departments
organizations with limited experience in systematic environ- of Transportation (DOT) and Agriculture (USDA) and the
mental assessment. As facilities develop their specific plan
OccupationalSafetyandHealthAdministration(OSHA).Simi-
lar to the ISO 14001:2015 standard, this guide uses the major
groups of environmental regulatory standards in the United
States for air and water quality, waste management, release
ThisguideisunderthejurisdictionofASTMCommitteeE50onEnvironmental
Assessment, Risk Management and CorrectiveAction and is the direct responsibil-
prevention, and toxic materials use reduction, in order to
ity of Subcommittee E50.05 on Environmental Risk Management.
organize the compliance analysis framework.
Current edition approved June 1, 2021. Published September 2021. Originally
1.2.3 This guide derives general information about regula-
approved in 2005. Last previous edition approved in 2014 as E2365–14. DOI:
10.1520/E2365-21. toryrequirementsfromcommonelementsofFederal,Stateand
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E2365 − 21
local programs, including statutes, regulations, guidance and E1526 Practice for Evaluating the Performance of Release
policies. Since agencies may have overlapping authorities and Detection Systems for Underground Storage Tank Sys-
different emphasis for particular issues such as waste tems (Withdrawn 2002)
management, the user should consult the applicable program E1609 Guide for Development and Implementation of a
for detailed interpretation of specific requirements in a particu- Pollution Prevention Program (Withdrawn 2010)
lar jurisdiction. E1990 Guide for Performing Evaluations of Underground
1.2.4 Pollution prevention generally refers to source reduc- Storage Tank Systems for Operational Conformance with
tion as a preferred option as opposed to other less preferable 40 CFR, Part 280 Regulations
alternatives, such as, re-use, recycling, treatment, or disposal/ E2107 Practice for Environmental Regulatory Compliance
release. ISO 14001:2015 Clause 8.1 requires that “consistent Audits
with a life cycle perspective”, the organization shall take a E2681 Guide for Environmental Management of Under-
number of actions as a part of operational controls and ground Storage Tank Systems Storing Regulated Sub-
planning activities including establishing controls, determining stances
its environmental requirements for procurement, communicat- F1127 Guide for Containment of Hazardous Material Spills
ing its relevant environmental requirements as well as consid- by Emergency Response Personnel
ering the need to provide information about potential signifi-
2.2 International Standard:
cant environmental impacts, inter alia. Further, ISO
ISO 14001:2015 Environmental Management Systems—
14001:2015 Clause 9.1.2 explicitly requires that “…organiza-
Specification with Guidance for Use
tion shall establish, implement, and maintain the process(es)
needed to evaluate fulfillment of its compliance obligations…” 3. Terminology
This guide compliments and supports actions required under
3.1 Definitions:
ISO 14001:2015 by establishing a well-documented process
3.1.1 accumulation, v—short term containment of a hazard-
for environmental compliance performance assessment.
ous waste in the control of the person who generated such
1.2.5 Pollution prevention is a specific term used in United
waste in a manner which does not constitute disposal, which is
States environmental compliance management programs. The
in containers at or near the point of generation in the process,
termusuallyreferstosourcereductionactions.Unliketheterm
and which otherwise complies with Federal Regulations.
“preventionofpollution,”whichisusedincertaininternational
3.1.2 air, n—the natural, gaseous environmental medium
environmental management standards, pollution prevention
containedinthetropospherethatissharedincommonandused
does not generally include end-of-pipe or top-of-stack control
for several purposes including breathing, cooling, combustion
actions.
and as a sink for pollutants. The quality of this pathway is
1.3 Limitations of this Guide—Given the variability of the
regulatedthroughrestrictionsonemissions,controlsandmoni-
different types of facilities that may wish to use this guide, and
toring. Many programs require best or maximum available
the existence of State and Local regulations that may impose
control technologies to restrict air emissions.
requirements greater than those required by USEPA, it is not
3.1.3 approval, n—any required license, permit, certificate,
possible to address all the relevant standards that might apply
formal determination, registration, plan review, variance, ex-
to a particular facility. This guide uses generalized language
emption or other authorization. Regulatory agencies typically
and examples to guide the user. If it is not clear to the user how
require such authorization to address releases, discharges, or
to apply standards to their specific circumstances, it is recom-
disposal of material and certain business practices and activi-
mended that users seek assistance from qualified professionals.
ties.
An Environmental Regulatory Compliance Audit, such as
3.1.4 beneficial uses of water, n—extraction or in place use
Practice E2107, may assist a facility with areas of non-
ofwaterfordomesticpurposes(forexample,drinking,bathing,
complianceandpotentialliabilities.Thiscanbeastartingpoint
boating or fishing), or commercial, agricultural, or industrial
for development of facility specific environmental compliance
purposeswhichwillnotharmpublichealthortheenvironment.
management programs.
3.1.5 best management practices (BMPs), n—schedules of
1.4 This international standard was developed in accor-
activities, prohibitions of practices, maintenance procedures,
dance with internationally recognized principles on standard-
and other management practices that prevent or reduce the
ization established in the Decision on Principles for the
pollution of water. They include treatment goals, operating
Development of International Standards, Guides and Recom-
procedures, and practices to control plant site runoff, spillage,
mendations issued by the World Trade Organization Technical
or leaks, of sludge, waste disposal, or drainage from raw
Barriers to Trade (TBT) Committee.
material storage.
2. Referenced Documents
3.1.6 CARB, n—the California Air Resources Board is an
organization that creates some state air quality standards, such
2.1 ASTM Standards:
2 3
For referenced ASTM standards, visit the ASTM website, www.astm.org, or The last approved version of this historical standard is referenced on
contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM www.astm.org.
Standards volume information, refer to the standard’s Document Summary page on Available fromAmerican National Standards Institute (ANSI), 25 W. 43rd St.,
the ASTM website. 4th Floor, New York, NY 10036, http://www.ansi.org.
E2365 − 21
as those which regulate petroleum storage tanks. These stan- illness or pose a substantial present or potential hazard to
dards may or may not legally apply, depending upon the human health, safety, welfare or the environment when im-
jurisdiction. The standards are useful in addressing many properly treated, stored, transported, used, disposed of or
pollution prevention issues, especially in motor vehicle fuel otherwise managed. This definition varies from one jurisdic-
dispensing. tion to another and may or may not include waste petroleum.
3.1.7 cargo tank motor vehicle, n—as used in this standard, 3.1.18 high priority violation, n—contravention of a regu-
a truck that carries gasoline or other volatile hydrocarbon fuels latory limitation, which, by its nature, concentration, extent or
in bulk, for delivery to dispensing stations. duration, warrants formal enforcement.
3.1.8 compliance assessment, n—an evaluation of environ- 3.1.19 media, n—environmental pathways or locations
mental regulatory requirements. The evaluation identifies and through which pollution can travel or accumulate, or both. For
classifies requirements applicable to the individual facility, example, air, water, or soil.
group of facilities or industry sector.
3.1.20 pollution prevention “P2”, n—the act of reducing or
3.1.9 criteria air pollutants, n—a group of very common air eliminating the use, release, or generation of a pollutant or
pollutants regulated by EPA on the basis of criteria (informa- potential pollutant through source reduction, recycling, reuse,
tion on health or environmental effects of pollution, or both). reclamation, or modification of operating practices. It should
Criteria air pollutants are widely distributed all over the be noted that ASTM’s definition of “pollution prevention,” as
country. The six current criteria pollutants are Sulfur Dioxide contained in Guide E1609, is different from the definition used
(SO ), Nitrogen Dioxide (NO ), Ozone (O ), Carbon Monox- by the Environmental ProtectionAgency. See, for example, 58
2 2 3
ide (CO), Particulate Matter (PM ) and Lead (Pb). Fed. Reg. 6478 (Jan 29, 1993, Council on Environmental
Quality), and 58 Fed. Reg.41,981 (Aug. 6, 1993, Executive
3.1.10 entity, n—a facility with regulatory requirements or
Order).
potential requirements. The facility has a specific geographic
location and owners and operators who may be public or 3.1.21 release prevention, n—activities that reduce the risk
private. of human and environmental exposure to petroleum or hazard-
ous substances. In the United States, underground storage tank
3.1.11 environmental compliance benchmarks, n—industry
(UST) and toxic materials use reduction regulations are ex-
specific performance standards, which measure attainment of
amples of such requirements.
pollution control and prevention requirements.
3.1.22 reportable quantity releases, n—the concentration or
3.1.12 environmental management system (EMS), n—an
amount of oil or hazardous materials, in or released to soil,
Environmental Management System (EMS) is a framework
groundwater, air or surface water which requires notification to
that helps a company achieve its environmental goals through
the local, state or federal authority.
consistent control of its operations. The assumption is that this
increased control will improve the environmental performance 3.1.23 self-certification, n—a program designed for facili-
of the company. ties to comply with a set of environmental performance
standards in lieu of permitting or other direct approval.
3.1.13 environmental performance standards, n—regulatory
Certificationisreviewedandcanberenewedannuallybasedon
requirements, which, if violated, may result in enforcement by
the results of reports from and multimedia inspections of the
a regulatory agency.
facility
3.1.14 facility, n—a location or building where regulated
3.1.24 service facilities—domestic establishments that per-
activity occurs.
form work for consumers, businesses, governments, and other
3.1.15 hazardous air pollutants (HAPs), n—EPA definition
organizations. These include public and commercial establish-
of certain chemical emissions regulated by the Federal Gov-
ments doing business, but excluding manufacturing and indi-
ernment.
vidual households.
3.1.16 hazardous substance, n—any material in whatever
3.1.25 significant noncompliance, n—contravention of a
form which because of its quantity, concentration, or physical,
regulatory limitation on facility operations, which, by its
chemical, infectious or radioactive characteristics, either sepa-
nature, concentration, extent or duration, warrants enforce-
rately or in combination with any substance or substances,
ment.
constitutes a present or potential threat to human health, safety,
3.1.26 small business, n—the federal government defines
welfare or to the environment when improperly stored, treated,
small businesses as facilities that have less than 100 full time
transported, disposed of, used or otherwise managed. Note that
equivalent employees. Some states define small businesses as
this term is further defined as a hazardous substance pursuant
facilities that have less than 10 full-time equivalent employees.
to CERCLA (42 USC §9601(14)), as interpreted by EPA
regulations and the courts, and does not include petroleum. 3.1.27 storage, n—thecontainmentofhazardouswastefora
temporary period in a manner which does not constitute
3.1.17 hazardous waste, n—any discarded material, not
disposal, at the end of which period, the hazardous waste will
exempted under Federal Regulations, which because of its
be used, treated, disposed of, transported or stored elsewhere.
quantity, concentration, or physical, chemical or infectious
characteristics may cause or significantly contribute to an 3.1.28 toxic air contaminants, n—EPA has defined hazard-
increase in serious irreversible or incapacitating reversible ous air pollutants (see 3.1.15) as chemicals that can cause
E2365 − 21
serious health or environmental hazards. Various state pro- of applications and is not particularly limited to one type of
grams may also define this term. The user should consult the user. The following groups of users may find the guide
local air pollution control agency for a specific definition of particularly helpful:
this term. 4.1.1 Small businesses or enterprises;
4.1.2 Service industries;
3.1.29 Tier 1 performance standards, n—the first step of
4.1.3 Federal, state or local facilities and regulators, includ-
analysis identifies standards that prevent or require a response
ing departments of health and fire departments;
to those imminent hazards which would likely cause actual
4.1.4 Financial and insurance institutions;
harmtohumanhealthortheenvironment.Failuretomeetthese
4.1.5 Waste managers, including liquid and solid waste
standards carries the highest liability for both harm to third
haulers, treatment, recycling, disposal and transfer;
parties, as well as government fines and penalties.
4.1.6 Consultants, auditors, inspectors and compliance as-
3.1.30 Tier 2 performance standards, n—the second step
sistance personnel;
identifies significant, high priority requirements, approval for
4.1.7 Educational facilities;
releases, emissions, discharges or potential releases to the
4.1.8 Property, buildings and grounds management, includ-
environment. A facility should evaluate these benchmarks
ing landscaping;
immediately after Tier 1, since they manage potential risk to
4.1.9 Non-regulatory government agencies, such as the
human health and the environment. These requirements, if not
military; and
met, are considered serious violations of environmental stan-
4.1.10 Specific industrial sectors such as dry cleaners,
dards.
printers, photo processors, laboratories, health care, and ve-
3.1.31 Tier 3 performance standards, n—operation, hicle fueling, maintenance and delivery.
maintenance, repair and monitoring of controls on emissions,
4.2 This guide is intended as a first step in crafting simpli-
discharges, releases or prevention devices are some standards
fied management goals for assessing compliance with a wide
instepthree.Regularcheckingandadjustmentofairandwater
variety of multimedia environmental performance standards.
pollution control devices, management of hazardous waste
The framework describes a process by which the user may
storage areas and similar activities are the third set of bench-
categorize current waste management, air quality, water, and
marks evaluated by the facility.These requirements, if not met,
release prevention practices in order to manage the risks
are considered serious because repeat violations of environ-
associated with noncompliance. The technique classifies com-
mental regulations for pollution control systems could result in
mon environmental performance standards into tiers based on
actual or increased releases to the environment.
relative risks to human health, the environment and business
3.1.32 Tier 4 performance standards, n—the final step to
operations. The tier classifications found in this guide reflect
complete the analysis includes record keeping or other require-
the general requirements of State, Federal and local compli-
ments that demonstrate the performance of controls on
ance and enforcement programs. These authorities generally
emissions, discharges, releases, and prevention devices. Reten-
classify groups of similar environmental performance stan-
tion and review of pollution management records may also
dards according to the significance of any noncompliance
help the facility analyze its opportunities for pollution within each group of standards.
prevention, a reduction or elimination of regulatory require-
NOTE 1—Users in the United States are encouraged to review the EPA’s
ments and a reduction in costs to the facility. 5
Audit Policy Program: FrequentlyAsked Questions (2021) for additional
guidance on the Agency’s expectations of compliance performance
3.1.33 waste—discardedsolidorliquidmaterials(otherthan
assessments.
materials applied to a beneficial use that does not constitute
4.3 The guide helps the user to realize the benefits of
sham recycling) that may require management controls con-
environmental compliance. These benefits may include but not
sistent with federal, state or local regulations.
be limited to:
3.1.33.1 Discussion—Solid and hazardous waste require
4.3.1 Abilitytosetprioritiesforenvironmentalmanagement
controls on handling, transport, storage treatment and disposal.
activities;
3.1.33.2 Discussion—Materials slated for recycling may be
4.3.2 Marketing environmental awareness and sensitivity;
subject to state or local regulation.The user should verify rules
4.3.3 Assessing compliance with permits and other require-
that apply under solid waste, air and water regulations.
ments;
3.1.34 water, n—an environmental medium regulated
4.3.4 Risk management, underwriting; loss control and
throughrestrictionsondrinkingsupplies,withdrawalsforother
history; premiums and claims;
purposes, waste discharges and alteration of wetlands.
4.3.5 Liability assessment and qualifications for loans;
3.1.35 waters of the United States, n—waters as defined by
4.3.6 Standardization, consistency and certification of facil-
the United States Environmental Protection Agency (USEPA)
ity specific evaluations;
in its rules at 40 CFR 122.2 and as construed by the Federal
4.3.7 Educating employees, clients and customers;
Judiciary.
4.3.8 Generating multi media and cross medium informa-
tion;
4. Significance and Use
4.1 This guide may be used for environmental compliance
performance assessment in the United States in a wide variety https://www.epa.gov/compliance/epas-auditpolicy
E2365 − 21
4.3.9 Evaluating vendors; and modifications to the environment, where repeat noncompliance
4.3.10 Reducing costs and preventing pollution. could represent a risk. Tier 4 Standards represent the lowest
direct risk from noncompliance; however, they are still impor-
4.4 Users may consider various benefits of environmental
tant for documenting environmental management, the details
compliance performance assessment.
of the compliance record, environmental compliance costs and
4.4.1 This guide is a basic primer on environmental com-
pollution prevention measurements.
pliance and may serve to introduce the subject for organiza-
tions unfamiliar with requirements.
5. Tiered Approach to Compliance Measurement
4.4.2 Many government enforcement agencies, fiduciaries
5.1 The essential principles of this guide are:
and business organizations publish environmental compliance
5.1.1 Environmental assessment by objective;
records over the internet. The public will soon have the
5.1.2 Compliance with requirements;
systematic ability to access environmental compliance infor-
5.1.3 Pollution prevention;
mation on individual businesses. Therefore, businesses need
5.1.4 First steps in environmental stewardship; and
guidance on how to assess the nature and potential risks of
5.1.5 Priority planning.
environmental non-compliance, and a programmatic approach
5.1.6 Over the years, environmental agencies have grouped
for reducing or eliminating those risks through pollution
statutory and regulatory requirements into classes. Both statu-
prevention and other proactive management systems.
tory and policy principles identify performance standards for
4.4.3 Reduced operation and maintenance costs and paper-
environmental protection in classes.
work may be realized through a tiered evaluation of environ-
5.1.6.1 Tier 1 Standards generally govern the prevention
mental compliance and pollution prevention opportunities.
and response to direct, actual pollutant releases and modifica-
4.4.4 Compliance may be streamlined and simplified so that
tions to the environment.
all levels in an organization may participate in environmental
5.1.6.2 Tier 2 Standards ensure the appropriate approvals
management.
are in place for existing releases of pollutants to the environ-
4.4.5 Some enterprises may be more competitive in the
ment or for modifications that require controls. Significant
marketplace with improved environmental compliance pro-
releasesormodificationsaboveapprovedlevelsareincludedin
grams.
Tier 2 Standards.
4.4.5.1 The State of Minnesota allows small firms with an
5.1.6.3 Tier 3 Standards encompass the operation, mainte-
environmental management system to operate under a flexible
nance and monitoring of source control systems and reporting
air permit.
for environmental pollutants or environmental modifications.
4.4.5.2 Firms in Indiana with an Environmental Manage-
Releasesormodificationsaboveapprovedlevels,butwhichare
ment System are eligible to participate in the state’s Environ-
of low concentration and duration, may be grouped in Tier 3,
mental Stewardship Program which provides regulatory flex-
for corrective action in operation and maintenance.
ibility.
5.1.6.4 Tier 4 standards document pollution control man-
4.4.5.3 Firms operating in Wisconsin that develop and
agement and management of environmental records.
implement an environmental management system may be
eligibletoapplytotheDepartmentofNaturalResourcesGreen
NOTE 2—Recordkeeping violations are the most frequently cited
violation by federal, state, and local regulatory agencies.
Tier program. Green Tier can offer eligible companies flexibil-
ity in state issued permits and compliance methods.
5.2 Facilities should focus on environmental performance
4.4.5.4 International firms and organizations may have sig-
standards in a systematic way. The guiding principle for most
nificant competitive advantages through implementation of an
compliance programs is pollution prevention. By evaluating
environmental management system that conforms to ISO
and implementing pollution prevention steps for each class of
14001:2015.
standards, facilities will reduce both costs and impacts on the
4.4.6 Setting priorities can allow planning and evaluation of environment. Tier 1 and 2 standards generally show the
new environmental requirements.
greatest pollution prevention opportunities. In many cases,
pollution prevention may reduce or eliminate the risks and
4.5 This guide establishes a framework of common, envi-
economic and environmental impacts addressed by the envi-
ronmental risk management requirements in the United States
ronmental performance standards described as follows.
and will allow the user to evaluate the potential level of risk
fromnon-compliance.Compliancerequirementswouldthenbe 5.3 The tiered compliance and pollution prevention analysis
evaluated for pollution prevention opportunities in order to is shown in Fig. 1. This is an iterative process that first
continually reduce the risks from non-compliance. identifies the highest priority environmental performance stan-
dards in all media. Next, the user evaluatesTier 1 standards for
4.6 Noncompliance withTier 1 Environmental Performance
pollution prevention opportunities to eliminate or reduce the
Standards represents the highest risk because Tier 1 Standards
risk of non-compliance.The user evaluates all standards in this
prevent, mitigate or respond to imminent hazards for human
iterative fashion until all requirements are addressed at all tiers
health or the environment. Tier 2 Standards address areas of
of analysis.
significant risk, where noncompliance could result in penalties,
primarily for failure to obtain required approval for releases or 5.4 Tier 1 Standards generally require the following:
modifications to the environment. Tier 3 Standards require 5.4.1 Prevent direct release of pollutants to the environment
operation and maintenance of approved controls on releases or and prevent harm to public health;
E2365 − 21
FIG. 1 Sample Flow Chart for Compliance Analysis
5.4.2 Respond promptly to actual risks from releases or standards according to the environmental concern: air quality;
modifications to the environment; and wastewater;waste;andreleaseprevention.Tier1Standardsare
5.4.3 Promptly report all accidental, unpermitted releases
designed to help a facility manage the actual or potential threat
and discharges of hazardous waste and materials.
a release may pose to human or environmental health. Due to
thisriskmanagementandminimizationaspectofthestandards,
5.5 Tier 1 Standards highlight methods by which actual or
they should be the first standards evaluated and complied with
potentialreleases,emissions,ordischargesofchemicalscanbe
by a particular facility. Compliance with these standards not
prevented or which require a response. Table 1 classifies
E2365 − 21
TABLE 1 Sample Classification of Performance Standards
Tier 1
Tier 2
Medium Preventing and responding to Tier 3
Required permits and approvals Tier 4
or actual releases, emissions, Operating conditions and best
for releases or alterations to Managing environmental records
Program discharges or alterations to management practices
the environment
the environment
Waste Reporting and response to a Obtaining required approval for Identify, label and mark wastes. Technical completeness and
hazardous waste or material release or disposal of material into Waste sampling and analysis. retention of records.
release. the environment. Maintain storage areas and Written documentation of required
Required approval for treatment, vehicles. notifications.
storage, management, transport, Complete waste manifests in Timely reporting.
receipt or delivery of wastes. accordance with Federal hazardous Financial audits.
Meeting conditions and limits of materials transportation regulations.
required approvals.
Air Reporting and response to excess Approval for emissions, Inspections and reports of pollution Record keeping, manuals and test
air emissions. detection and conditions within limits control equipment, report result retention.
of approval. Approved installation of compliance status. Document management.
emission monitoring devices. Emission testing and monitoring. Timely reporting of emissions.
Report excess emissions.
Water Reporting and response to an actual Required approval for water Water quality discharge reports. Registering wetlands work.
unpermitted release or water supply resource activity such as a Recording conditions on wetlands Retaining monitoring results for
contamination incident, including discharge, filling, drinking water work. discharges and water supply.
notification to the public. analysis or withdrawal. Treatment plant operator licensing.
Maintaining conditions within Correct sampling and monitoring
approved limits. procedures.
Reporting discharge above Routine water quality reports.
approved limits. Pretreatment preventative
Approval for public, community or maintenance.
industrial water supplies.
Prevention Root cause analysis following an Required approval for storage of Measures to reduce potential for Toxic use reduction cost and
actual release. petroleum or hazardous materials. harm or risk. alternatives analysis.
Design with safety systems to detect Installation of secondary Toxic use reduction and Records on installation and
deviations and initiate safe shut containment and alarm systems for documentation. maintenance of vapor recovery,
down to prevent release Design with air and hazardous materials storage. Maintenance of vapor recovery and drainage and tank systems.
adequate system capacity to Disclosure of hazardous materials. drainage systems. Integrated contingency plan address
manage a range of operations Approvals for vapor recovery and Tank maintenance. hazard evaluations and accident
Use less toxic materials with drainage systems. Operate within design and permit prevention and response
reduced consequence(s) if released. Obtain approvals prior to initiating limits Permit applications and permits
Use inherently safer design process installation, construction, and Calibrate measurement systems issued
such as process safety managemen operations. Understand consequences of Documented feasibility evaluations
Manage construction performance to deviation from design and permit for toxics use reduction
design limits Inspection, maintenance and
Perform system testing and startup Schedule and conduct preventive monitoring records
evaluations maintenance Reports submitted to regulatory
Renew permits prior to expiration Maintain critical spare parts on-hand agencies
Manage design or operating
changes and re-permit as needed
Contingency planning and drills
only mitigates risk, but also facilitates compliance with stan- wastewater from entering surface or groundwater at concen-
dards in subsequent tiers of analysis. Noncompliance with trations that exceed applicable water quality standards, are
these standards is considered a serious violation and may be likelytocauseacuteaquatictoxicityorwhichimpairbeneficial
groundsforhigher-levelenforcement.Promptactiontocomply uses. For example, permits and standards may regulate dis-
with Tier 1 Standards can minimize high costs and subsequent charge of total dissolved solids, metals, flammable and corro-
liability. sive liquids, or water above a certain temperature or volume.
5.5.1 Air Quality Tier 1 Standards—Air Quality Tier 1 Prompt response to unauthorized discharge of wastewater into
Standards are designed to control the emission of criteria air surfaceorgroundwater,orslugdischargestomunicipalsewers,
pollutants, HAPs and emissions of other regulated substances that could pose a potential threat to public health or the
into the air. For example, standards may regulate emission of environment and public notification are considered “front line”
volatile organic compounds, oxides of nitrogen and benzene. requirements. Other regulations cover the withdrawal volume
These standards require prompt response, including reporting and quality of irrigation or drinking water.
and public notification, for unauthorized discharge of air 5.5.3 Solid and Hazardous Waste Tier 1 Standards—Solid
contaminants that could pose a potential public health risk. In and Hazardous Waste Tier 1 Standards are designed to prevent
some cases Tier 1 standards require emergency planning and wastes from contaminating environmental media, and include
evaluation of potential off-site consequences for extremely release prevention criteria. Generally, unpermitted releases of
hazardous substances. hazardous substances, in amounts equal to or greater than the
5.5.2 Water Quality Tier 1 Standards—Industrial Wastewa- reportable quantity, require prompt notification to government
ter Tier 1 standards are designed to prevent pollutants in agencies. Most jurisdictions also require Tier 1 release
E2365 − 21
prevention, including containment for underground and above- for drinking or irrigation generally requires a permit from the
ground storage tanks holding petroleum products and hazard- appropriate regulatory agency.
ous substances (see Guide E2681). Tier 1 standards require
5.7.3 Hazardous and Solid Waste Tier 2 Standards:
prompt response to actual releases of petroleum and hazardous
5.7.3.1 Facilities may be required to obtain both State and
substances in order to minimize environmental and public
USEPA generator ID numbers if they generate hazardous
health impacts by implementation of contingency plans, com-
waste. These ID numbers are site specific and correspond to a
mitment of resources and implementation of emergency re-
generating status of the facility.
sponse operations.
5.7.3.2 Depending upon the jurisdiction, hazardous waste
generators are generally classified into the following three
5.6 Tier2standardsspecifytheapprovalrequiredforcertain
groups, depending on the quantity of hazardous waste gener-
types of releases or modifications to the environment.
ated: conditionally exempt small quantity generators
5.6.1 Obtain required approvals for releases, discharges,
(CESQG), small quantity generators (SQG) and large quantity
emissions or disposal of material into the environment, or
generators ( LQG). If the facility generates more waste than
modification of the environment.
specified by their status, they are required to meet additional
5.6.2 Meet technical standards or limitations that are con-
requirements and may be required to notify the appropriate
ditions of a required approval.
regulatory agency.
5.6.3 Prevent unauthorized emissions or discharges.
5.7.3.3 Generators shall properly classify and segregate
5.6.4 Obtain permits, licenses or approvals required for
hazardous waste from non-hazardous waste to minimize the
engaging in a regulated business or activity.
quantity of hazardous waste generated. Certain incompatible
5.6.5 Maintain necessary structural, engineering, opera-
hazardoussubstancesshallalsobesegregatedtoavoidpossible
tional and management controls to prevent, mitigate and
reaction.
respond to releases of petroleum products and hazardous
5.7.3.4 Wastes shall be kept in containers that are in good
substances.
physical condition and are constructed of material appropriate
5.7 Tier 2 Standards:
for the waste being stored.
5.7.1 Air Quality Tier 2 Standards—Equipment that emits
5.7.3.5 Most jurisdictions have some Tier 2 requirements
air contaminants generally requires a permit prior to operating.
for managing solid waste.
For example, permits for combustion equipment may specify
5.7.3.6 Filing plans with the Local Emergency Planning
nitrogen oxides (NOx), volatile organic compounds (VOC),
Committee is generally required for the storage of hazardous
carbon monoxide (CO) and particulate matter (PM ) emission
substances above certain threshold quantities, including con-
limits. Some regulatory agencies may waive certain permitting
tingency plans for responses to releases, pursuant to SARA
requirements if the facility purchases equipment that the
Title III or equivalent state regulations.
manufacturer has certified will meet certain emission limits,
5.7.3.7 Although licenses or permits are generally required
and this equipment is listed on a regulatory agency pre-
for storage, transfer, treatment or disposal of hazardous waste,
certification list. For facilities using VOCs, the standards may
generators are generally authorized to accumulate hazardous
specify the VOC content of manufacturing materials, storage
waste for a limited time, below specified volumes and at
of VOC-containing materials in closed containers, recovery of
specified locations without a specific permit. For example, 90
VOC emissions and control of leaks from process equipment
days is the usual time limitation for generator storage of
using VOC-containing materials. Standards may also describe
hazardous waste without a specific license.
emission control equipment that should be in place to limit
5.7.3.8 Standards may also apply for the proper manage-
emissions to allowable levels. Methods for controlling fugitive
ment of universal or special wastes such as used oil and oil
dust may be specified for construction sites. Filing of a Risk
filters, asbestos-containing material, fluorescent lights, etc.
Management Plan may be required for storage of extremely
hazardous substances above threshold quantities (that is, 5.8 Tier 3 Performance Standards are concerned with the
ammonia, chlorine) pursuant to Federal Clean Air Act or operation and maintenance of pollution control and monitoring
equivalent state regulation requirements. equipment and the management of hazardous or other waste
5.7.2 Water Quality Tier 2 Standards—Facilities should accumulation areas.They usually require notification of excess
obtain the appropriate permits prior to discharge of wastewater emissions or discharges over permitted amounts, except for
to the environment. For example, discharge to a Publicly those instances where immediate reporting is required (Tier 1
OwnedTreatmentWorks (POTW) generally requires an Indus- Standards). Tier 3 Standards also set timelines for monitoring
trial Wastewater Permit. Discharge to waters of the United and testing of equipment, accumulation areas, and potential
States generally requires a National Pollution Discharge Elimi- physical points of release. These standards ensure that ap-
nation System (NPDES) permit.Apermit may also be required proved release control strategies, outlined in Tier 2, do not fail
for discharge of wastewater to land. Discharge limits of certain and that programmatic environmental protection goals are met.
key surface and groundwater pollutants are specified by the Accordingly, Tier 3 Standards are an important step towards
standards. Additionally, general and specific prohibitions are compliance. Noncompliance with these standards may be
outlined. If wastewater is stored onsite prior to offsite disposal, serious because they often make up the bulk of repeat
wastewater should be stored in aboveground storage tanks or violations of a facility. Repeat violations could potentially lead
Department of Transportation (DOT) approved containers that to actual or increased releases to the environment. Tier 3
are in good condition in a secure location.Withdrawal of water Standards generally require the following:
E2365 − 21
5.8.1 Compliance with operating conditions or prescribed permit authorizing longer storage, or the facility is condition-
best management practices to prevent actual or potential harm ally exempt because it is a very small quantity generator.
to public health, safety, or the environment, as required by
5.9.3.3 Containers in hazardous waste storage areas shall be
statute, regulation, license, permit or other approval.
inspected weekly using the inspection requirements found in
Federal hazardous waste regulations. Containers that hold
5.8.2 Reporting of releases, disposal or discharges of pol-
hazardous waste shall be compliant with Federal hazardous
lutants to the environment not otherwise required to be
material transportation requirements. The containers shall be
immediately reported, when required by statute, regulation, or
labeled with the words “hazardous waste,” the contents of the
license. Reportable quantity releases are addressed in Tier 1
container, the hazard(s) associated with the waste, and the
Standards.
accumulation start date. Containers shall be kept sealed and
5.8.3 Maintain requirements, such as monitoring systems,
underthecontroloftheoperatorunlesswasteisbeingaddedor
designed to detect potential threats to public health, safety,
removed. Once the container(s) is/are ready for shipment, the
welfare and the environment.
appropriate Uniform Waste Manifest shall be signed by the
5.8.4 Meet essential statutory or regulatory program goals,
generator. The material shall then be shipped by a licensed
such as toxic materials use reduction.
waste transporter to a facility permitted to accept that waste
5.9 Tier 3 Standards: stream.
5.9.1 Air Quality Tier 3 Standards—Air Quality Tier 3 5.9.3.4 FacilitiesshallalsohaveanEmergencyContingency
Standards address monitoring of potential physical points of Plan. This plan should include training for employees in the
release. Examples include periodically testing the performance handling of waste and spill response. One employee should be
of vapor control systems, periodic stack testing of combustion designated as an emergency coordinator. Communication
equipment and implementation of Leak Detection and Repair should also be established between the facility and local
Plans. Peri
...

This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of what changes have been made to the previous version. Because
it may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current version
of the standard as published by ASTM is to be considered the official document.
Designation: E2365 − 14 E2365 − 21
Standard Guide for
Environmental Compliance Performance Assessment
This standard is issued under the fixed designation E2365; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
INTRODUCTION
This guide provides a framework for the development of an environmental compliance assessment
program. It integrates environmental compliance, environmental risk classification and business risk
management for use in decision-making. It provides a flexible, technically defensible framework to
prioritize environmental compliance and associated pollution prevention, with a wide applicability to
a range of facilities and environmental pathways. The facilities that may find an environmental
compliance performance assessment program useful and appropriate are domestic establishments that
perform work for consumers, business, government and other organizations. These include public and
commercial establishments, but they generally exclude individual households. This guide may not be
appropriate where a primary manufacturing facility has already implemented a site-specific environ-
mental management system (EMS). This guide could be used as a tool in conjunction with an EMS,
to evaluate compliance and pollution prevention.
1. Scope
1.1 Overview—This guide is an organized collection of information and series of options for industry, regulators, auditors,
consultants and the public, intended to measure compliance with environmental performance standards against established
benchmarks. It focuses on compliance with air, water, waste prevention, waste management, and toxic reduction standards for
facilities in the United States. While the guide does not recommend a specific course of action, it establishes a tiered framework
of essential components, beginning with those standards where a deviation presents the greatest potential public health,
environmental, and business risks. In each identified pathway, at each tier or step of analysis, the guide outlines ways to identify
compliance options and reduce pollution in iterative steps. The goal in using the guide is to lower environmental, public health
and business risks from Tiers 1 and 2 to Tiers 3 and 4, by evaluating the performance standards described in this guide. While this
guide provides a simplified framework of explicit steps for users, a qualified professional should conduct detailed, site-specific risk
analysis. This guide may act as a starting point for organizations with limited experience in systematic environmental assessment.
As facilities develop their specific plan framework, they will find that risk is weighted by more than just a few parameters. For
each facility risk is the complex interaction among location, size, history, surrounding community and ecological zones.
1.2 Differences Among Standards—This guide focuses on compliance with environmental performance standards in the United
States. As such it includes a unique, risk-based method to analyze specific groups of legal requirements, as well as risk reduction
techniques, sometimes called “pollution prevention.”
1.2.1 Use of this guide provides a system to evaluate the relative priority of compliance and pollution prevention activities. Unlike
environmental management systems, it provides a framework to triage critical issues, based on consideration of actual risk of harm
to public health and the environment.
This guide is under the jurisdiction of ASTM Committee E50 on Environmental Assessment, Risk Management and Corrective Action and is the direct responsibility
of Subcommittee E50.05 on Environmental Risk Management.
Current edition approved Jan. 1, 2014June 1, 2021. Published February 2014September 2021. Originally approved in 2005. Last previous edition approved in 20052014
as E2365–05.–14. DOI: 10.1520/E2365-14.10.1520/E2365-21.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E2365 − 21
1.2.2 Environmental regulatory requirements in the United States are administered primarily by the United States Environmental
Protection Agency (USEPA) and the parallel State and Local Agencies with similar regulatory authority. Certain other Federal
regulatory agencies and State and local counter parts may also have legal requirements relating to environmental performance
standards. Examples include the Departments of Transportation (DOT) and Agriculture (USDA) and the Occupational Safety and
Health Administration (OSHA). Unlike certain international standards, Similar to the ISO 14001:2015 standard, this guide uses the
major groups of environmental regulatory standards in the United States for air and water quality, waste management, release
prevention, and toxic materials use reduction, in order to organize the compliance analysis framework.
1.2.3 This guide derives general information about regulatory requirements from common elements of Federal, State and local
programs, including statutes, regulations, guidance and policies. Since agencies may have overlapping authorities and different
emphasis for particular issues such as waste management, the user should consult the applicable program for detailed interpretation
of specific requirements in a particular jurisdiction.
1.2.4 Pollution prevention generally refers to source reduction as a preferred option as opposed to other less preferable
alternatives, such as, re-use, recycling, treatment, or disposal/release. ISO 14001:2015 Clause 8.1 requires that “consistent with a
life cycle perspective”, the organization shall take a number of actions as a part of operational controls and planning activities
including establishing controls, determining its environmental requirements for procurement, communicating its relevant
environmental requirements as well as considering the need to provide information about potential significant environmental
impacts, inter alia. Further, ISO 14001:2015 Clause 9.1.2 explicitly requires that “…organization shall establish, implement, and
maintain the process(es) needed to evaluate fulfillment of its compliance obligations…” This guide compliments and supports
actions required under ISO 14001:2015 by establishing a well-documented process for environmental compliance performance
assessment.
1.2.5 Pollution prevention is a specific term used in United States environmental compliance management programs. The term
usually refers to source reduction actions. Unlike the term “prevention of pollution,” which is used in certain international
environmental management standards, pollution prevention does not generally include end-of-pipe or top-of-stack control actions.
1.3 Limitations of this Guide—Given the variability of the different types of facilities that may wish to use this guide, and the
existence of State and Local regulations that may impose requirements greater than those required by USEPA, it is not possible
to address all the relevant standards that might apply to a particular facility. This guide uses generalized language and examples
to guide the user. If it is not clear to the user how to apply standards to their specific circumstances, it is recommended that users
seek assistance from qualified professionals. An Environmental Regulatory Compliance Audit, such as Practice E2107, may assist
a facility with areas of non-compliance and potential liabilities. This can be a starting point for development of facility specific
environmental compliance management programs.
1.4 This international standard was developed in accordance with internationally recognized principles on standardization
established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued
by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
2. Referenced Documents
2.1 ASTM Standards:
E1526 Practice for Evaluating the Performance of Release Detection Systems for Underground Storage Tank Systems
(Withdrawn 2002)
E1609 Guide for Development and Implementation of a Pollution Prevention Program (Withdrawn 2010)
E1990 Guide for Performing Evaluations of Underground Storage Tank Systems for Operational Conformance with 40 CFR,
Part 280 Regulations
E2107 Practice for Environmental Regulatory Compliance Audits
E2681 Guide for Environmental Management of Underground Storage Tank Systems Storing Regulated Substances
F1127 Guide for Containment of Hazardous Material Spills by Emergency Response Personnel
2.2 International Standard:
ISO 14001:199614001:2015 Environmental Management Systems—Specification with Guidance for Use
For referenced ASTM standards, visit the ASTM website, www.astm.org, or contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM Standards
volume information, refer to the standard’s Document Summary page on the ASTM website.
The last approved version of this historical standard is referenced on www.astm.org.
Available from American National Standards Institute (ANSI), 25 W. 43rd St., 4th Floor, New York, NY 10036, http://www.ansi.org.
E2365 − 21
3. Terminology
3.1 Definitions:
3.1.1 accumulation—accumulation, v—short term containment of a hazardous waste in the control of the person who generated
such waste in a manner which does not constitute disposal, which is in containers at or near the point of generation in the process,
and which otherwise complies with Federal Regulations.
3.1.2 air—air, n—the natural, gaseous environmental medium contained in the troposphere that is shared in common and used for
several purposes including breathing, cooling, combustion and as a sink for pollutants. The quality of this pathway is regulated
through restrictions on emissions, controls and monitoring. Many programs require best or maximum available control
technologies to restrict air emissions.
3.1.3 approval—approval, n—any required license, permit, certificate, formal determination, registration, plan review, variance,
exemption or other authorization. Regulatory agencies typically require such authorization to address releases, discharges, or
disposal of material and certain business practices and activities.
3.1.4 beneficial uses of water—water, n—extraction or in place use of water for domestic purposes (for example, drinking, bathing,
boating or fishing), or commercial, agricultural, or industrial purposes which will not harm public health or the environment.
3.1.5 best management practices (BMPs)—(BMPs), n—schedules of activities, prohibitions of practices, maintenance procedures,
and other management practices that prevent or reduce the pollution of water. They include treatment goals, operating procedures,
and practices to control plant site runoff, spillage, or leaks, of sludge, waste disposal, or drainage from raw material storage.
3.1.6 CARB—CARB, n—the California Air Resources Board is an organization that creates some state air quality standards, such
as those which regulate petroleum storage tanks. These standards may or may not legally apply, depending upon the jurisdiction.
The standards are useful in addressing many pollution prevention issues, especially in motor vehicle fuel dispensing.
3.1.7 cargo tank motor vehicle—vehicle, n—as used in this standard, a truck that carries gasoline or other volatile hydrocarbon
fuels in bulk, for delivery to dispensing stations.
3.1.8 compliance assessment—assessment, n—an evaluation of environmental regulatory requirements. The evaluation identifies
and classifies requirements applicable to the individual facility, group of facilities or industry sector.
3.1.9 criteria air pollutants—pollutants, n—a group of very common air pollutants regulated by EPA on the basis of criteria
(information on health or environmental effects of pollution, or both). Criteria air pollutants are widely distributed all over the
country. The six current criteria pollutants are Sulfur Dioxide (SO ), Nitrogen Dioxide (NO ), Ozone (O ), Carbon Monoxide
2 2 3
(CO), Particulate Matter (PM ) and Lead (Pb).
3.1.10 entity—entity, n—a facility with regulatory requirements or potential requirements. The facility has a specific geographic
location and owners and operators who may be public or private.
3.1.11 environmental compliance benchmarks—benchmarks, n—industry specific performance standards, which measure attain-
ment of pollution control and prevention requirements.
3.1.12 environmental management system (EMS)—(EMS), n—an Environmental Management System (EMS) is a framework that
helps a company achieve its environmental goals through consistent control of its operations. The assumption is that this increased
control will improve the environmental performance of the company.
3.1.13 environmental performance standards—standards, n—regulatory requirements, which, if violated, may result in enforce-
ment by a regulatory agency.
3.1.14 facility—facility, n—a location or building where regulated activity occurs.
E2365 − 21
3.1.15 hazardous air pollutants (HAPs)—(HAPs), n—EPA definition of certain chemical emissions regulated by the Federal
Government.
3.1.16 hazardous substance—substance, n—any material in whatever form which because of its quantity, concentration, or
physical, chemical, infectious or radioactive characteristics, either separately or in combination with any substance or substances,
constitutes a present or potential threat to human health, safety, welfare or to the environment when improperly stored, treated,
transported, disposed of, used or otherwise managed. Note that this term is further defined as a hazardous substance pursuant to
CERCLA (42 USC §9601(14)), as interpreted by EPA regulations and the courts, and does not include petroleum.
3.1.17 hazardous waste—waste, n—any discarded material, not exempted under Federal Regulations, which because of its
quantity, concentration, or physical, chemical or infectious characteristics may cause or significantly contribute to an increase in
serious irreversible or incapacitating reversible illness or pose a substantial present or potential hazard to human health, safety,
welfare or the environment when improperly treated, stored, transported, used, disposed of or otherwise managed. This definition
varies from one jurisdiction to another and may or may not include waste petroleum.
3.1.18 high priority violation—violation, n—contravention of a regulatory limitation, which, by its nature, concentration, extent
or duration, warrants formal enforcement.
3.1.19 media—media, n—environmental pathways or locations through which pollution can travel or accumulate, or both. For
example, air, water, or soil.
3.1.20 pollution prevention “P2”—“P2”, n—the act of reducing or eliminating the use, release, or generation of a pollutant or
potential pollutant through source reduction, recycling, reuse, reclamation, or modification of operating practices. It should be
noted that ASTM’s definition of “pollution prevention,” as contained in Guide E1609, is different from the definition used by the
Environmental Protection Agency. See, for example, 58 Fed. Reg. 6478 (Jan 29, 1993, Council on Environmental Quality), and
58 Fed. Reg.41,981 (Aug. 6, 1993, Executive Order).
3.1.21 release prevention—prevention, n—activities that reduce the risk of human and environmental exposure to petroleum or
hazardous substances. In the United States, underground storage tank (UST) and toxic materials use reduction regulations are
examples of such requirements.
3.1.22 reportable quantity releases—releases, n—the concentration or amount of oil or hazardous materials, in or released to soil,
groundwater, air or surface water which requires notification to the local, state or federal authority.
3.1.23 self-certification—self-certification, n—a program designed for facilities to comply with a set of environmental
performance standards in lieu of permitting or other direct approval. Certification is reviewed and can be renewed annually based
on the results of reports from and multimedia inspections of the facility
3.1.24 service facilities—domestic establishments that perform work for consumers, businesses, governments, and other
organizations. These include public and commercial establishments doing business, but excluding manufacturing and individual
households.
3.1.25 significant noncompliance—noncompliance, n—contravention of a regulatory limitation on facility operations, which, by
its nature, concentration, extent or duration, warrants enforcement.
3.1.26 small business—business, n—the federal government defines small businesses as facilities that have less than 100 full time
equivalent employees. Some states define small businesses as facilities that have less than 10 full-time equivalent employees.
3.1.27 storage—storage, n—the containment of hazardous waste for a temporary period in a manner which does not constitute
disposal, at the end of which period, the hazardous waste will be used, treated, disposed of, transported or stored elsewhere.
3.1.28 toxic air contaminants—contaminants, n—EPA has defined hazardous air pollutants (see 3.1.15) as chemicals that can cause
serious health or environmental hazards. Various state programs may also define this term. The user should consult the local air
pollution control agency for a specific definition of this term.
E2365 − 21
3.1.29 Tier 1 performance standards—standards, n—the first step of analysis identifies standards that prevent or require a response
to those imminent hazards which would likely cause actual harm to human health or the environment. Failure to meet these
standards carries the highest liability for both harm to third parties, as well as government fines and penalties.
3.1.30 Tier 2 performance standards—standards, n—the second step identifies significant, high priority requirements, approval for
releases, emissions, discharges or potential releases to the environment. A facility should evaluate these benchmarks immediately
after Tier 1, since they manage potential risk to human health and the environment. These requirements, if not met, are considered
serious violations of environmental standards.
3.1.31 Tier 3 performance standards—standards, n—operation, maintenance, repair and monitoring of controls on emissions,
discharges, releases or prevention devices are some standards in step three. Regular checking and adjustment of air and water
pollution control devices, management of hazardous waste storage areas and similar activities are the third set of benchmarks
evaluated by the facility. These requirements, if not met, are considered serious because repeat violations of environmental
regulations for pollution control systems could result in actual or increased releases to the environment.
3.1.32 Tier 4 performance standards—standards, n—the final step to complete the analysis includes record keeping or other
requirements that demonstrate the performance of controls on emissions, discharges, releases, and prevention devices. Retention
and review of pollution management records may also help the facility analyze its opportunities for pollution prevention, a
reduction or elimination of regulatory requirements and a reduction in costs to the facility.
3.1.33 waste—discarded solid or liquid materials (other than materials applied to a beneficial use that does not constitute sham
recycling) that may require management controls consistent with federal, state or local regulations.
3.1.33.1 Discussion—
Solid and hazardous waste require controls on handling, transport, storage treatment and disposal.
3.1.33.2 Discussion—
Materials slated for recycling may be subject to state or local regulation. The user should verify rules that apply under solid waste,
air and water regulations.
3.1.34 water—water, n—an environmental medium regulated through restrictions on drinking supplies, withdrawals for other
purposes, waste discharges and alteration of wetlands.
3.1.35 waters of the United States—States, n—waters as defined by the United States Environmental Protection Agency (USEPA)
in its rules at 40 CFR 122.2 and as construed by the Federal Judiciary.
4. Significance and Use
4.1 This guide may be used for environmental compliance performance assessment in the United States in a wide variety of
applications and is not particularly limited to one type of user. The following groups of users may find the guide particularly
helpful:
4.1.1 Small businesses or enterprises;
4.1.2 Service industries;
4.1.3 Federal, state or local facilities and regulators, including departments of health and fire departments;
4.1.4 Financial and insurance institutions;
4.1.5 Waste managers, including liquid and solid waste haulers, treatment, recycling, disposal and transfer;
4.1.6 Consultants, auditors, inspectors and compliance assistance personnel;
4.1.7 Educational facilities;
4.1.8 Property, buildings and grounds management, including landscaping;
E2365 − 21
4.1.9 Non-regulatory government agencies, such as the military; and
4.1.10 Specific industrial sectors such as dry cleaners, printers, photo processors, laboratories, health care, and vehicle fueling,
maintenance and delivery.
4.2 This guide is intended as a first step in crafting simplified management goals for assessing compliance with a wide variety of
multimedia environmental performance standards. The framework describes a process by which the user may categorize current
waste management, air quality, water, and release prevention practices in order to manage the risks associated with noncompliance.
The technique classifies common environmental performance standards into tiers based on relative risks to human health, the
environment and business operations. The tier classifications found in this guide reflect the general requirements of State, Federal
and local compliance and enforcement programs. These authorities generally classify groups of similar environmental performance
standards according to the significance of any noncompliance within each group of standards.
NOTE 1—Users in the United States are encouraged to review the EPA’s Audit Policy Program: Frequently Asked Questions (2021) for additional
guidance on the Agency’s expectations of compliance performance assessments.
4.3 The guide helps the user to realize the benefits of environmental compliance. These benefits may include but not be limited
to:
4.3.1 Ability to set priorities for environmental management activities;
4.3.2 Marketing environmental awareness and sensitivity;
4.3.3 Assessing compliance with permits and other requirements;
4.3.4 Risk management, underwriting; loss control and history; premiums and claims;
4.3.5 Liability assessment and qualifications for loans;
4.3.6 Standardization, consistency and certification of facility specific evaluations;
4.3.7 Educating employees, clients and customers;
4.3.8 Generating multi media and cross medium information;
4.3.9 Evaluating vendors; and
4.3.10 Reducing costs and preventing pollution.
4.4 Users may consider various benefits of environmental compliance performance assessment.
4.4.1 This guide is a basic primer on environmental compliance and may serve to introduce the subject for organizations
unfamiliar with requirements.
4.4.2 Many government enforcement agencies, fiduciaries and business organizations publish environmental compliance records
over the internet. The public will soon have the systematic ability to access environmental compliance information on individual
businesses. Therefore, businesses need guidance on how to assess the nature and potential risks of environmental non-compliance,
and a programmatic approach for reducing or eliminating those risks through pollution prevention and other proactive management
systems.
4.4.3 Reduced operation and maintenance costs and paperwork may be realized through a tiered evaluation of environmental
compliance and pollution prevention opportunities.
https://www.epa.gov/compliance/epas-auditpolicy
E2365 − 21
4.4.4 Compliance may be streamlined and simplified so that all levels in an organization may participate in environmental
management.
4.4.5 Some enterprises may be more competitive in the marketplace with improved environmental compliance programs.
4.4.5.1 The State of Minnesota allows small firms with an environmental management system to operate under a flexible air
permit.
4.4.5.2 Firms in Indiana with an Environmental Management System are eligible to participate in the state’s Environmental
Stewardship Program which provides regulatory flexibility.
4.4.5.3 Firms operating in Wisconsin that develop and implement an environmental management system may be eligible to apply
to the Department of Natural Resources Green Tier program. Green Tier can offer eligible companies flexibility in state issued
permits and compliance methods.
4.4.5.4 International firms and organizations may have significant competitive advantages through implementation of an
environmental management system that conforms to ISO 14001:2015.
4.4.6 Setting priorities can allow planning and evaluation of new environmental requirements.
4.5 This guide establishes a framework of common, environmental risk management requirements in the United States and will
allow the user to evaluate the potential level of risk from non-compliance. Compliance requirements would then be evaluated for
pollution prevention opportunities in order to continually reduce the risks from non-compliance.
4.6 Noncompliance with Tier 1 Environmental Performance Standards represents the highest risk because Tier 1 Standards
prevent, mitigate or respond to imminent hazards for human health or the environment. Tier 2 Standards address areas of significant
risk, where noncompliance could result in penalties, primarily for failure to obtain required approval for releases or modifications
to the environment. Tier 3 Standards require operation and maintenance of approved controls on releases or modifications to the
environment, where repeat noncompliance could represent a risk. Tier 4 Standards represent the lowest direct risk from
noncompliance; however, they are still important for documenting environmental management, the details of the compliance
record, environmental compliance costs and pollution prevention measurements.
5. Tiered Approach to Compliance Measurement
5.1 The essential principles of this guide are:
5.1.1 Environmental assessment by objective;
5.1.2 Compliance with requirements;
5.1.3 Pollution prevention;
5.1.4 First steps in environmental stewardship; and
5.1.5 Priority planning.
5.1.6 Over the years, environmental agencies have grouped statutory and regulatory requirements into classes. Both statutory and
policy principles identify performance standards for environmental protection in classes.
5.1.6.1 Tier 1 Standards generally govern the prevention and response to direct, actual pollutant releases and modifications to the
environment.
5.1.6.2 Tier 2 Standards ensure the appropriate approvals are in place for existing releases of pollutants to the environment or for
modifications that require controls. Significant releases or modifications above approved levels are included in Tier 2 Standards.
5.1.6.3 Tier 3 Standards encompass the operation, maintenance and monitoring of source control systems and reporting for
E2365 − 21
environmental pollutants or environmental modifications. Releases or modifications above approved levels, but which are of low
concentration and duration, may be grouped in Tier 3, for corrective action in operation and maintenance.
5.1.6.4 Tier 4 standards document pollution control management and management of environmental records.
NOTE 2—Recordkeeping violations are the most frequently cited violation by federal, state, and local regulatory agencies.
5.2 Facilities should focus on environmental performance standards in a systematic way. The guiding principle for most
compliance programs is pollution prevention. By evaluating and implementing pollution prevention steps for each class of
standards, facilities will reduce both costs and impacts on the environment. Tier 1 and 2 standards generally show the greatest
pollution prevention opportunities. In many cases, pollution prevention may reduce or eliminate the risks and economic and
environmental impacts addressed by the environmental performance standards described as follows.
5.3 The tiered compliance and pollution prevention analysis is shown in Fig. 1. This is an iterative process that first identifies the
highest priority environmental performance standards in all media. Next, the user evaluates Tier 1 standards for pollution
prevention opportunities to eliminate or reduce the risk of non-compliance. The user evaluates all standards in this iterative fashion
until all requirements are addressed at all tiers of analysis.
5.4 Tier 1 Standards generally require the following:
5.4.1 Prevent direct release of pollutants to the environment and prevent harm to public health;
5.4.2 Respond promptly to actual risks from releases or modifications to the environment; and
5.4.3 Promptly report all accidental, unpermitted releases and discharges of hazardous waste and materials.
5.5 Tier 1 Standards highlight methods by which actual or potential releases, emissions, or discharges of chemicals can be
prevented or which require a response. Table 1 classifies standards according to the environmental concern: air quality; wastewater;
waste; and release prevention. Tier 1 Standards are designed to help a facility manage the actual or potential threat a release may
pose to human or environmental health. Due to this risk management and minimization aspect of the standards, they should be the
first standards evaluated and complied with by a particular facility. Compliance with these standards not only mitigates risk, but
also facilitates compliance with standards in subsequent tiers of analysis. Noncompliance with these standards is considered a
serious violation and may be grounds for higher-level enforcement. Prompt action to comply with Tier 1 Standards can minimize
high costs and subsequent liability.
5.5.1 Air Quality Tier 1 Standards—Air Quality Tier 1 Standards are designed to control the emission of criteria air pollutants,
HAPs and emissions of other regulated substances into the air. For example, standards may regulate emission of volatile organic
compounds, oxides of nitrogen and benzene. These standards require prompt response, including reporting and public notification,
for unauthorized discharge of air contaminants that could pose a potential public health risk. In some cases Tier 1 standards require
emergency planning and evaluation of potential off-site consequences for extremely hazardous substances.
5.5.2 Water Quality Tier 1 Standards—Industrial Wastewater Tier 1 standards are designed to prevent pollutants in wastewater
from entering surface or groundwater at concentrations that exceed applicable water quality standards, are likely to cause acute
aquatic toxicity or which impair beneficial uses. For example, permits and standards may regulate discharge of total dissolved
solids, metals, flammable and corrosive liquids, or water above a certain temperature or volume. Prompt response to unauthorized
discharge of wastewater into surface or groundwater, or slug discharges to municipal sewers, that could pose a potential threat to
public health or the environment and public notification are considered “front line” requirements. Other regulations cover the
withdrawal volume and quality of irrigation or drinking water.
5.5.3 Solid and Hazardous Waste Tier 1 Standards—Solid and Hazardous Waste Tier 1 Standards are designed to prevent wastes
from contaminating environmental media, and include release prevention criteria. Generally, unpermitted releases of hazardous
substances, in amounts equal to or greater than the reportable quantity, require prompt notification to government agencies. Most
jurisdictions also require Tier 1 release prevention, including containment for underground and aboveground storage tanks holding
petroleum products and hazardous substances. substances (see Guide E2681). Tier 1 standards require prompt response to actual
releases of petroleum and hazardous substances in order to minimize environmental and public health impacts by implementation
of contingency plans, commitment of resources and implementation of emergency response operations.
E2365 − 21
FIG. 1 Sample Flow Chart for Compliance Analysis
5.6 Tier 2 standards specify the approval required for certain types of releases or modifications to the environment.
5.6.1 Obtain required approvals for releases, discharges, emissions or disposal of material into the environment, or modification
of the environment.
5.6.2 Meet technical standards or limitations that are conditions of a required approval.
E2365 − 21
TABLE 1 Sample Classification of Performance Standards
Tier 1
Tier 2
Medium Preventing and responding to Tier 3
Required permits and approvals Tier 4
or actual releases, emissions, Operating conditions and best
for releases or alterations to Managing environmental records
Program discharges or alterations to management practices
the environment
the environment
Waste Reporting and response to a Obtaining required approval for Identify, label and mark wastes. Technical completeness and
hazardous waste or material release or disposal of material into Waste sampling and analysis. retention of records.
release. the environment. Maintain storage areas and Written documentation of required
Required approval for treatment, vehicles. notifications.
storage, management, transport, Complete waste manifests in Timely reporting.
receipt or delivery of wastes. accordance with Federal hazardous Financial audits.
Meeting conditions and limits of materials transportation regulations.
required approvals.
Air Reporting and response to excess Approval for emissions, Inspections and reports of pollution Record keeping, manuals and test
air emissions. detection and conditions within limits control equipment, report result retention.
of approval. Approved installation of compliance status. Document management.
emission monitoring devices. Emission testing and monitoring. Timely reporting of emissions.
Report excess emissions.
Water Reporting and response to an actual Required approval for water Water quality discharge reports. Registering wetlands work.
unpermitted release or water supply resource activity such as a Recording conditions on wetlands Retaining monitoring results for
contamination incident, including discharge, filling, drinking water work. discharges and water supply.
notification to the public. analysis or withdrawal. Treatment plant operator licensing.
Maintaining conditions within Correct sampling and monitoring
approved limits. procedures.
Reporting discharge above Routine water quality reports.
approved limits. Pretreatment preventative
Approval for public, community or maintenance.
industrial water supplies.
Prevention Reporting and response to releases Required approval for storage of Measures to reduce potential for Toxic use reduction cost and
of hazardous materials, such as petroleum or hazardous materials. harm or risk. alternatives analysis.
petroleum. Installation of secondary Toxic use reduction and Records on installation and
Restoration of containment following containment and alarm systems for documentation. maintenance of vapor recovery,
an actual release. air and hazardous materials storage. Maintenance of vapor recovery and drainage and tank systems.
Response to petroleum vapor Disclosure of hazardous materials. drainage systems.
emissions. Approvals for vapor recovery and Tank maintenance.
drainage systems.
Prevention Root cause analysis Required approval for storage of Measures to reduce potential for Toxic use reduction cost and
following an actual release. petroleum or hazardous materials. harm or risk. alternatives analysis.
Design with safety systems to detect Installation of secondary Toxic use reduction and Records on installation and
deviations and initiate safe shut containment and alarm systems for documentation. maintenance of vapor recovery,
down to prevent release Design with air and hazardous materials storage. Maintenance of vapor recovery and drainage and tank systems.
adequate system capacity to Disclosure of hazardous materials. drainage systems. Integrated contingency plan address
manage a range of operations Approvals for vapor recovery and Tank maintenance. hazard evaluations and accident
Use less toxic materials with drainage systems. Operate within design and permit prevention and response
reduced consequence(s) if released. Obtain approvals prior to initiating limits Permit applications and permits
Use inherently safer design process installation, construction, and Calibrate measurement systems issued
such as process safety managemen operations. Understand consequences of Documented feasibility evaluations
Manage construction performance to deviation from design and permit for toxics use reduction
design limits Inspection, maintenance and
Perform system testing and startup Schedule and conduct preventive monitoring records
evaluations maintenance Reports submitted to regulatory
Renew permits prior to expiration Maintain critical spare parts on-hand agencies
Manage design or operating
changes and re-permit as needed
Contingency planning and drills
5.6.3 Prevent unauthorized emissions or discharges.
5.6.4 Obtain permits, licenses or approvals required for engaging in a regulated business or activity.
5.6.5 Maintain necessary structural, engineering, operational and management controls to prevent, mitigate and respond to releases
of petroleum products and hazardous substances.
5.7 Tier 2 Standards:
5.7.1 Air Quality Tier 2 Standards—Equipment that emits air contaminants generally requires a permit prior to operating. For
example, permits for combustion equipment may specify nitrogen oxides (NOX),(NOx), volatile organic compounds (VOC),
carbon monoxide (CO) and particulate matter (PM ) emission limits. Some regulatory agencies may waive certain permitting
E2365 − 21
requirements if the facility purchases equipment that the manufacturer has certified will meet certain emission limits, and this
equipment is listed on a regulatory agency pre-certification list. For facilities using VOCs, the standards may specify the VOC
content of manufacturing materials, storage of VOC-containing materials in closed containers, recovery of VOC emissions and
control of leaks from process equipment using VOC-containing materials. Standards may also describe emission control equipment
that should be in place to limit emissions to allowable levels. Methods for controlling fugitive dust may be specified for
construction sites. Filing of a Risk Management Plan may be required for storage of extremely hazardous substances above
threshold quantities (that is, ammonia, chlorine) pursuant to Federal Clean Air Act or equivalent state regulation requirements.
5.7.2 Water Quality Tier 2 Standards—Facilities should obtain the appropriate permits prior to discharge of wastewater to the
environment. For example, discharge to a Publicly Owned Treatment Works (POTW) generally requires an Industrial Wastewater
Permit. Discharge to waters of the United States generally requires a National Pollution Discharge Elimination System (NPDES)
permit. A permit may also be required for discharge of wastewater to land. Discharge limits of certain key surface and groundwater
pollutants are specified by the standards. Additionally, general and specific prohibitions are outlined. If wastewater is stored onsite
prior to offsite disposal, wastewater should be stored in aboveground storage tanks or Department of Transportation (DOT)
approved containers that are in good condition in a secure location. Withdrawal of water for drinking or irrigation generally
requires a permit from the appropriate regulatory agency.
5.7.3 Hazardous and Solid Waste Tier 2 Standards:
5.7.3.1 Facilities may be required to obtain both State and USEPA generator ID numbers if they generate hazardous waste. These
ID numbers are site specific and correspond to a generating status of the facility.
5.7.3.2 Depending upon the jurisdiction, hazardous waste generators are generally classified into the following three groups,
depending on the quantity of hazardous waste generated: conditionally exempt small quantity generators (CESQG), small quantity
generators (SQG) and large quantity generators ( LQG). If the facility generates more waste than specified by their status, they are
required to meet additional requirements and may be required to notify the appropriate regulatory agency.
5.7.3.3 Generators shall properly classify and segregate hazardous waste from non-hazardous waste to minimize the quantity of
hazardous waste generated. Certain incompatible hazardous substances shall also be segregated to avoid possible reaction.
5.7.3.4 Wastes shall be kept in containers that are in good physical condition and are constructed of material appropriate for the
waste being stored.
5.7.3.5 Most jurisdictions have some Tier 2 requirements for managing solid waste.
5.7.3.6 Filing plans with the Local Emergency Planning Committee is generally required for the storage of hazardous substances
above certain threshold quantities, including contingency plans for responses to releases, pursuant to SARA Title III or equivalent
state regulations.
5.7.3.7 Although licenses or permits are generally required for storage, transfer, treatment or disposal of hazardous waste,
generators are generally authorized to accumulate hazardous waste for a limited time, below specified volumes and at specified
locations without a specific permit. For example, 90 days is the usual time limitation for generator storage of hazardous waste
without a specific license.
5.7.3.8 Standards may also apply for the proper management of universal or special wastes such as used oil and oil filters,
asbestos-containing material, fluorescent lights, etc.
5.8 Tier 3 Performance Standards are concerned with the operation and maintenance of pollution control and monitoring
equipment and the management of hazardous or other waste accumulation areas. They usually require notification of excess
emissions or discharges over permitted amounts, except for those instances where immediate reporting is required (Tier 1
Standards). Tier 3 Standards also set timelines for monitoring and testing of equipment, accumulation areas, and potential physical
points of release. These standards ensure that approved release control strategies, outlined in Tier 2, do not fail and that
programmatic environmental protection goals are met. Accordingly, Tier 3 Standards are an important step towards compliance.
Noncompliance with these standards may be serious because they often make up the bulk of repeat violations of a facility. Repeat
violations could potentially lead to actual or increased releases to the environment. Tier 3 Standards generally require the
following:
E2365 − 21
5.8.1 Compliance with operating conditions or prescribed best management practices to prevent actual or potential harm to public
health, safety, or the environment, as required by statute, regulation, license, permit or other approval.
5.8.2 Reporting of releases, disposal or discharges of pollutants to the environment not otherwise required to be immediately
reported, when required by statute, regulation, or license. Reportable quantity releases are addressed in Tier 1 Standards.
5.8.3 Maintain requirements, such as monitoring systems, designed to detect potential threats to public health, safety, welfare and
the environment.
5.8.4 Meet essential statutory or regulatory program goals, s
...