1. Using the Directives Process to Track EMS Requirements Department of Energy EMS Training Workshop Columbus, OH March 7-8, 2005 Daniel L. McCollum, Quality Assurance Manager National Energy Technology Laboratory

2. EMS Training – DLM/ES&H Division/March 7-8, 2005 4.3.2 – Legal and Other Requirements procedureidentifyhave access legal and other requirements organization subscribesapplicable The organization shall establish and maintain a procedure to identify and have access to legal and other requirements to which the organization subscribes, that are applicable to the environmental aspects of its activities, products and services. ISO 14001:1996 Standard

3. EMS Training – DLM/ES&H Division/March 7-8, 2005 Implementation Philosophy  Use existing process where they work  Build separate process if needed  Converge the multiple processes later if possible  What process exists that could be used to maintain the list of legal and other requirements?

4. EMS Training – DLM/ES&H Division/March 7-8, 2005 History  Worksmart Standards  Identified all legal, DOE, consensus standards which applied to NETL  ISM  Converted WS standards to ISM-related standards  EMS  Use of ISM identified standards and their relation to EMS – called the FOCUSED STANDARDS LIST

5. EMS Training – DLM/ES&H Division/March 7-8, 2005 Focused Standards List  DOE Directives  Other DOE Requirements  Executive Orders  Federal laws/regulations  State laws/regulations  Local ordinances  ES&H References (consensus) Standards

6. EMS Training – DLM/ES&H Division/March 7-8, 2005 The Challenge: How to Maintain the FSL?  Bi-weekly regulatory updates  OSHA  EPA  DOE  State/Local/Reference Standards  Rely on the program manager who is the subject matter expert  Relationships with local regulators  Directives Process  References and requirements are captured in directives

7. EMS Training – DLM/ES&H Division/March 7-8, 2005 Directives Process  Four Tiers of documents  Tier 1: Policy  Orders  Notices  Tier 2: Strategy/Implementation  Operating Plans  Procedures  Tier 3: Operational Control  Standard Operating Procedures  Tier 4: EMS Records  Forms  Other records Directives Process

8. EMS Training – DLM/ES&H Division/March 7-8, 2005 Example 450.1, Environmental Management System 450.1-1, Environmental Media Release Management 450.1-1, Ambient Air Quality Management 450.1-2, Groundwater Quality Management 450.1-3, Surface Water Quality Management 450.1-4, Industrial Wastewater Management 450.1-5, Spill Prevention and Control Management 450.1-9, Waste Handling, Storage and Disposal 450.1-10, Waste Minimization, Pollution Prevention, and Recycling Program POLICY STRATEGY IMPLEMENTATION

9. EMS Training – DLM/ES&H Division/March 7-8, 2005 Reference Section  In each directive (order/notice, operating plan, procedure)  DOE Directives (orders, policy, manuals, guides)  Regulations (state, local, CFR, USC)  Consensus standards (ANSI, ASME)  This makes up the universe of our legal and other requirements for all ES&H programs

10. EMS Training – DLM/ES&H Division/March 7-8, 2005 Groundwater Procedure 3. REFERENCES. a. DOE Order 225.1, Accident Investigations. b. DOE Order 231.1, Environmental, Safety and Health Reporting. c. DOE Order 414.1, Quality Assurance. d. DOE Order 450.1, Environmental Protection Program. e. NETL Order 450.1, Environmental Management System (EMS). f. NETL Operating Plan 151.1-1, Comprehensive Emergency Management System. g. NETL Operating Plan 450.1-1, Environmental Media and Release Management. h. NETL Operating Plan 450.4-1, Integrated ES&H Management Plan. i. NETL Procedure 151.1-1, Comprehensive Emergency Management System Administration. j. NETL Procedure 421.1-1, R&D Safety Analysis and Review System.

11. EMS Training – DLM/ES&H Division/March 7-8, 2005 Groundwater Procedure k. Statutory ES&H Standards: (1) 33 U.S.C. 1251, Federal Water Pollution Control Act, as amended. (2) 42 U.S.C. 300, Safe Drinking Water Act, as amended. (3) 40 Code of Federal Regulations (CFR) 141, National Primary Drinking Water Regulations. (4) 40 CFR 142, National Primary Drinking Water Regulation Implementation. (5) 40 CFR 143, National Secondary Drinking Water Regulations. (6) Pennsylvania Clean Streams Law (35 §§ 691.1-691.801). (7) Pennsylvania Act 610, Water Well Driller License Act. (8) West Virginia Code, Chapter 16, Article 1, Series III, Water Well Design Standards. (9) West Virginia Code, Chapter 20, Article 5A, Water Pollution Control Act. (10) West Virginia Code, Chapter 20, Article 5M, West Virginia Groundwater Protection Act. (11) West Virginia Code, Chapter 22, Article 6, Section 19, Continuance During Life of Well; Dry and Abandoned Wells. (12) WV Title 33 Code of State Rules, Series 23 (33 CSR 23), Groundwater Protection Standard. (13) WV 46 CSR 12, Requirements Governing Groundwater Standards. (14) WV 47 CSR 55, Groundwater Protection Act Fee Schedule. (15) WV 47 CSR 58, Groundwater Protection Regulations. (16) WV 47 CSR 59, Monitoring Well Regulations. (17) WV 47 CSR 60, Monitoring Well Design Standards.

12. EMS Training – DLM/ES&H Division/March 7-8, 2005 Groundwater Procedure l. DOE Policy ES&H Standards: (1) Executive Order 12088, Federal Compliance With Pollution Control Standards, 10/13/78. m. References: (1) “Groundwater Protection Management Plan at NETL-Pittsburgh” (2) “Groundwater Protection Management Plan at NETL-Morgantown” (3) “Handbook for Analytical Quality Control in Water and Wastewater Laboratories,” (EPA-600/4-79-019), latest edition, EPA. (4) “Handbook for Sampling and Sample Preservation of Water and Wastewater,” (EPA-600/4-76-049), latest edition, EPA. (5) “Methods for Chemical Analysis of Water and Wastewater,” U.S. EPA Technology Transfer (1974). (6) “Standard Methods for the Examination of Water and Wastewater,” Sixteenth Edition; APHA, AWWA, WPCF, current edition. (7) “Test Methods for Evaluating Solids Waste - Physical/Chemical Methods,” SW-846, 3rd Edition, U.S. EPA. (8) PADEP Groundwater Monitoring Guidance Manual, current edition.

13. EMS Training – DLM/ES&H Division/March 7-8, 2005 The Process Directive is created by subject matter expert Directive is approved by approving authority Entered into Tracking System FSL is updated

14. EMS Training – DLM/ES&H Division/March 7-8, 2005 Tracking System NumberTitleReferences 151.1Comprehensive Emergency Management System DOE Order 151.1A, Comprehensive Emergency Management System 231.1Environment, Safety, and Health Reporting DOE Order 231.1, Environment, Safety, and Health Reporting. DOE Manual 231.1-1, Environment, Safety, and Health Reporting Manual. DOE Manual 231.1-2, Occurrence Reporting and Processing of Operations Information. 440.1Safety and Health ProgramDOE Order 440.1, Worker Protection Management for DOE Federal and Contractor Employees. DOE Policy 450.1, Environment, Safety and Health Policy. DOE Policy 450.5, Line Environment, Safety and Health Oversight. DOE Policy 454.1, Use of Institutional Controls. NETL Order 421.1, Safety Analysis and Review System. NETL Order 450.1, Environmental Management System (EMS). NETL Order 450.4, NETL Integrated Safety Management Program. NETL Operating Plan 440.1-1, Industrial Hygiene and Occupational Medicine Program. NETL Operating Plan 440.1-2, Chemical Hygiene Program. NETL Operating Plan 440.1-3, Construction and Maintenance Safety. NETL Operating Plan 440.1-4, General Workplace Safety Program. NETL Operating Plan 440.1-5, Fire Protection Program. NETL Operating Plan 440.1-6, Indoor Air Quality and Ventilation Operating Plan. NETL Operating Plan 450.4-1, Integrated ES&H Management Plan. DOE F 5484.3, Individual Accident/Incident Report. Statutory ES&H Standards: (1) 29 CFR 1910, Occupational Safety and Health Standards. (2) 29 CFR 1910.119, Subpart H, Process Safety Management of Highly Hazardous Chemicals. (3) 29 CFR 1926, Safety and Health Regulations for Construction. (4) 29 CFR 1960, Federal Occupational Safety and Health Program.

15. EMS Training – DLM/ES&H Division/March 7-8, 2005 Example  New Water Quality Standard is issued:  40 CFR XXX  Directive is revised  450.1-2, Groundwater Quality Management  References Section is updated to include new standard  Directive is entered into tracking system  FSL is updated  Includes hyperlink to new standard, if available  Order hardcopy if hyperlink is not available

16. EMS Training – DLM/ES&H Division/March 7-8, 2005 Lessons Learned  The FSL meets ISO 14001 requirements  Forces the SME to be more judicious in choosing references  Each one must be tracked  Used an existing process to meet a new need  One contractor maintains the directives process and the FSL  Virtually no additional cost  FSL is accurate and timely