ASTM E2365-14

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:

4.2 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.

4.3 The guide helps the user to realize the benefits of environmental compliance. These benefits may include but not be limited to:

4.4 Users may consider various benefits of environmental compliance performance assessment.

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.

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.”

1.3 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.