Within
this Section, certain terms are defined representing
personnel who have roles in environmental compliance
matters. However, the terms may
not be used by each LO/SO component of NOAA. The specific terms are:
Designated Responsible Official; Facility Environmental Coordinator; Line Office
Environmental Compliance Officer; Principle Investigator; Safety and Environmental
Compliance Officer; and Special Project Manager. Because of organizational
and management differences, LOs and SOs may have adopted different “titles” for
their environmental personnel and, in some cases, may not have individuals
performing the functions associated with each of the defined terms. Readers
of this Order should review the functions described in the definitions of
these specific terms to determine whether the terms are applicable to their
organization.
.02 Terms and Definitions.
a. Annual Operation and Maintenance Costs. These costs include
environmentally required items and activities such as annual tank testing,
permit fees, training costs, annual service fees, disposal of hazardous wastes,
spill containment and cleanup (spills that are due to operational activities),
and incidents which are the direct result of operating a facility. These
costs includes activities necessary to correct notices of violation received
from regulating agencies (excluding historical contamination).
b. Capital Costs. These costs include items and activities such
as designing, constructing, and installing pollution abatement systems and
equipment; designing, constructing, and implementing remedial environmental
projects; and the studying, managing, and monitoring associated with designing
and constructing corrective/remedial measures and equipment. This definition
is consistent with the definitions and policies established by the Office
of Management and Budget (OMB) in Circular A-11 and the FEDPLAN (see Section
3.06
of this Order).
c. Chief Financial Officers (CFO) Act. The CFO Act of 1990, as
amended by the Government Management Reform Act of 1994, requires audited financial
statements covering all accounts and associated activities of each office,
bureau, and activity of all Executive Branch offices. These acts require
NOAA's Environmental Compliance Program to identify contaminated sites and
estimate cleanup costs. These sites and costs are considered environmental
liabilities and are disclosed in NOAA's annual financial statement.
d. Designated Responsible Official. The Designated Responsible
Official (DRO) at every NOAA facility is the senior NOAA official on-site. This
official has authority over operations or activities which are subject to environmental
statutes. The responsibility of the DROs is inherent in their position
and need not be formally designated or ascribed.
e. Facility Environmental Coordinator. The Facility Environmental
Coordinator (FEC) is responsible for ensuring the activities carried out at
a facility are conducted in accordance with Federal, state, and local environmental
regulations. Typically, each NOAA facility will have a designated FEC
who is also responsible for compliance with occupational safety and health
requirements.
f. Federal Agency Environmental Management Program Planning - Project
Report (FEDPLAN). This is a U.S. Environmental Protection Agency (EPA)
form required as part of a process established by E.O. 12088 and also required
by OMB Circular A-11. The main purposes of FEDPLAN are to ensure that
Federal agencies identify needed environmental projects and their costs,
and target adequate resources to address those projects.
g. Line Office Environmental Compliance Officer. The Line Office
Environmental Compliance Officer (LECO) is responsible for assisting the LO
managers, including the DROs, Safety and Environmental Compliance Officers
(SECOs), and FECs, with environmental compliance responsibilities. The
LECOs are knowledgeable of Federal, state, and local regulations affecting
facilities within their LO.
h. NOAA Environmental Compliance Network. The
NOAA Environmental Compliance Network includes the
Headquarters Environmental Compliance Staff
(including Regional Environmental Compliance Officers (RECOs)), LECOs, SECOs,
and FECs.
i. NOAA Environmental Compliance Program. The purpose of the NOAA
Environmental Compliance Program (NECP) is to assure adherence and compliance
with environmental laws established by Federal, state, and local governments
as well as internal NOAA policies. The NECP includes policies/guidance
development, training, standard operating procedures, organizational structure,
financial management, and lines of communication. The Environmental Compliance
Staff, reportable to NOAA's Chief Financial Officer/Chief Administrative Officer
(CFO/CAO), is responsible for carrying out the NECP. The Chief of the
Environmental Compliance Staff is the NECP manager.
j. Principle Investigator. “Principle Investigator” (PI)
is a term common in the research community. A PI is an individual having
primary responsibility for planning a specific NOAA research activity, project,
or program, and for managing the associated people and funds throughout its
life cycle. A PI may incur environmental compliance responsibilities
associated with the activity, project, or program.
k. Program Management Costs. These costs include items and activities
necessary to provide a service, such as compliance auditing, training, project
management, or chemical inventory management to NOAA-wide customers. Specific
management programs typically have three phases: concept, prototype and implementation. NOAA-wide
programs are developed when services are needed or requested by NOAA LO and/or
Staff Office (SO) personnel. Management programs are developed by the
Environmental Compliance Staff in consultation with targeted clients interested
in the specific service or program.
l. Project Prospectus Form. The Project Prospectus Form is used
to initiate the environmental compliance project planning, programming, and
budgeting process. The form is initiated by the FEC, transferred to
the RECO for cost validation, and then sent to the Environmental Compliance
Staff
for final validation and inclusion in the NOAA Project List and FEDPLAN.
m. Regional Environmental Compliance Officer. The Regional Environmental
Compliance Officers (RECO) assist NOAA managers with their environmental compliance
responsibilities. The RECOs are knowledgeable of Federal, state, and
local regulations affecting facilities within their region and assist in implementation
of the NECP at the local level. The RECO positions are formally matrixed
from NOAA's Environmental Compliance Staff to the four Administrative Support
Centers (ASCs).
n. Safety and Environmental Compliance Officer. The Safety and
Environmental Compliance Officers (SECO) are responsible for advising LO directors,
DROs, managers, and other personnel within their respective region of the various
safety, health, and environmental compliance requirements applicable to their
operations and/or facilities. Additionally, they provide assistance
to ensure all LO operations are conducted in a safe and environmentally compliant
manner.
o. Special Project Manager. Special project managers are individuals
that conduct various activities on NOAA’s behalf. Among those included
in this category are construction project managers and individuals conducting
major LO programmatic initiatives off-site. Special project managers
may incur environmental compliance responsibilities associated with project
or initiative.
p. Strategic Planning. This is a formal plan required by the Government
Performance and Results Act of 1993 (GPRA) to improve the internal management
of the Federal Government. The strategic plan is used to align the organization
and budget with mission, goals, and objectives. In accordance with
OMB Circular A-11, the strategic plan serves as a guide for formulating and
executing
budgets for programs, projects, and activities.
.02 The
Under Secretary for Oceans and Atmosphere shall ensure that funds made available
through appropriations from Congress for the prevention,
control, and abatement of environmental pollution are not used for any other
purpose unless permitted by law and specifically approved by OMB.
.03 Incidents involving the release of an oil or hazardous substance
in reportable quantities, as defined by Section 302 of title 40 of the Code
of Federal Regulations (40 CFR 302), shall immediately be reported to the designated
regulatory agency identified in the facility spill contingency plan as well
as to the appropriate LECO and RECO. Additionally, all areas of non-compliance
and inability to meet environmental requirements, and all Notices of Violation
received from a Federal, state, and/or local regulating agency, shall be reported
to the designated LECO and RECO within five (5) days of receipt or at such
time as the FEC, Special Project Manager, SECO, or DRO becomes aware of any
compliance deficiency. The RECO shall notify the NECP manager of the
deficiency or violation and will work with the LECO, DRO, and FEC to address
and resolve the issue.
.04 In the event that the NECP manager determines or becomes aware that
an LO or SO is unable to carry out the compliance measures required by any
law or regulation, the NECP manager shall advise the Deputy Under Secretary
(DUS) and the CFO/CAO. Such notice to senior management shall include
a recommendation for action to address the issue at hand. The CFO/CAO
shall, in accordance with Section 1-101 of E.O. 12088, and on a cost reimbursable
basis, initiate appropriate measures to ensure that necessary actions are taken
to address any deficiencies specifically raised. The purpose of such
measures is to prevent, control, and abate environmental pollution at facilities
under the control of NOAA.
.05 Environmental compliance responsibilities shall be incorporated
into senior NOAA management performance criteria. The NECP manager shall
provide feedback to the DUS regarding senior management’s performance
of environmental compliance duties and responsibilities. This information
will be used by the DUS in assessing management’s fulfillment of the
environmental compliance performance criteria.
.06 The NOAA Environmental Compliance Staff shall establish guidance
for implementing the policies established in this Order. This guidance
shall be developed with full participation by LOs and SOs and shall be issued
under the signature of the Chief, Environmental Compliance Staff. Topics
covered in this guidance include, but are not limited to, project management,
audits, funding, corrective actions, property transfers, and cleanup activities.
.07 NOAA shall sustain environmental compliance by following the Code
of Environmental Management Principles (CEMP), an environmental management
system for Federal agencies and their facilities (see the October 16, 1996,
Federal Register). The CEMP is composed of five broad environmental management
principles: 1) Management Commitment, 2) Compliance Assurance and Pollution
Prevention, 3) Enabling Systems, 4) Performance and Accountability, and 5)
Measurement and Improvement. These principles are presented in detail
in EPA’s Implementation Guide for the Code of Environmental Management
Principles for Federal Agencies (CEMP) (March 1997). The Environmental
Compliance Strategic Plan implements the CEMP for NOAA.
a. The
Under Secretary for Oceans and Atmosphere shall strive
to ensure that sufficient funds are requested
and allocated for the NECP which include
capital costs, annual operations and maintenance costs, and program management
costs.
b. NOAA's Office of General Counsel
shall provide legal advice and counsel on environmental
compliance
issues.
c. NOAA’s CFO/CAO shall
develop policies and institute a program to ensure
environmental compliance
throughout NOAA.
d. The NOAA Environmental Compliance Staff shall oversee, monitor, and
provide technical assistance and training concerning environmental compliance
to DROs, Special Project Managers, PIs, and the NOAA Environmental Compliance
Network. The NECP shall provide funds within the limits of its allocation
from NOAA’s Congressional appropriation for compliance projects where
financial responsibility goes beyond the funding capabilities of the DRO, Special
Project Manager, and LO. The NECP funding will typically cover violations
and cleanup of past NOAA operations.
d. Heads of LOs and SOs shall plan, develop, and implement programs
and activities to prevent or minimize adverse impacts to human health and the
environment. This includes incorporating environmental compliance responsibilities
into performance plans for those who manage or handle hazardous materials
and incorporating environmental compliance as an element in existing and
new programs
and activities.
e. The day-to-day responsibility for protecting the environment is a
responsibility of every NOAA employee. DROs, FECs, Special Project
Managers, and PIs shall be responsible for the day-to-day environmental compliance
of
their facilities and activities.
.02 Program Responsibilities. Environmental compliance is a responsibility
shared among NOAA components. Failure to take actions necessary to abate
environmental problems once they have been discovered can lead to personal
legal liability. Following are organizational responsibilities for
administering the NECP.
a. The Environmental Compliance
Staff is responsible for:
1. developing NOAA-wide programs
and guidance for implementing environmental compliance
policies
through the strategic planning process;
2. formulating multi-year budgets
in consultation with the NOAA Environmental Compliance
Network and
the LOs and SOs;
3. executing the NECP in accordance
with annual appropriations;
4. setting project priorities,
establishing performance measures, and developing
annual spending
plans in consultation with LOs and SOs;
5. disseminating environmental
compliance technical assistance and information to
all NOAA operations;
6. providing functional management
support, training, funding, and supervisory oversight
to the
RECO positions matrixed to the ASCs;
7. establishing training standards,
providing training guidance, and sponsoring training
classes
for LOs and SOs on:
(a) hazardous material and waste
management,
(b) best environmental compliance
management practices,
(c) environmental laws for managers,
and
(d) specific training classes
(upon request from an LO or SO);
8. overseeing program implementation,
evaluating performance against stated goals, and
providing program
reports as required;
9. managing the facility audit
and survey program to assess the compliance status
of NOAA facilities
and operations;
10. managing the environmental
management system audits to assess the effectiveness
of programs at the
facility and
management levels;
11. providing technical assistance
on compliance with the National Environmental Policy
Act (NEPA) for
construction-related
projects;
12. determining environmentally-regulated
contamination at NOAA- owned properties and providing
data annually
on financial environmental liabilities
to support NOAA's financial statement as required by the CFO Act of 1990;
13. maintaining the NECP project
list and providing the annual NOAA FEDPLAN submittal
to OMB and EPA; and
14. elevating environmental compliance
issues to senior management with recommendations
for resolution
as necessary to
ensure compliance.
b. The technical assistance and field component of the NECP is conducted
by the RECOs. The RECOs, who are physically located at the ASCs, have
day-to-day responsibility for addressing environmental concerns with their
respective NOAA regional clients. RECOs are responsible for:
1. supporting the NECP strategic
plan;
2. formulating the regional environmental
compliance budget requirements in cooperation with
the DROs, Special
Project Managers, and the NOAA Environmental
Compliance Network;
3. providing technical information
on Federal, state, and local
environmental compliance requirements;
4. participating in facility
condition surveys, environmental audits, surveys,
environmental management
system audits, and site
studies;
5. providing technical support
in developing pollution abatement and prevention
plans;
6. providing technical support
in the cleanup of contaminated site conditions;
7. maintaining contact with appropriate
Federal, state, and local government and regulatory
officials;
8. providing the results and
assisting with the close-out of findings from audits,
surveys, reviews,
or other assessments
performed within their respective regions;
9. providing assistance on the completion of NEPA documents for construction
projects within their region. Assistance will be provided in accordance
with the requirements of NAO 216-6, Environmental Review Procedures for Implementing
the National Environmental Policy Act;
10. assisting with the preparation
of Project Prospectus Forms, including cost estimates,
and submitting
the forms to the Headquarters Environmental
Compliance Staff;
11. creating and updating environmental
liability project files in accordance with the requirements
of
implementing policy guidelines;
12. providing assistance to LOs
and SOs on environmental compliance status reports
for NOAA Headquarters;
13. elevating environmental compliance
issues to Headquarters Environmental Compliance Staff
with
recommendations for resolution as necessary to ensure
compliance; and
14. maintaining environmental
compliance performance measurements for the assigned
region.
c. LO and SO officials are responsible
for:
1. supporting the NECP strategic
plan;
2. incorporating plans for environmental
compliance in programs and activities that require
the decommissioning
of facilities or vessels;
3. formulating budget requests
for annual maintenance and operating costs related
to environmental compliance;
4. ensuring that funds appropriated
and apportioned for the prevention, control, and
abatement of environmental
pollution are used for their specifically
intended purpose, and are consistent with E.O.s and this Order;
5. preparing and submitting the
Project Prospectus Forms for environmental compliance
projects to their
LOs and providing copies to the servicing ASC;
6. ensuring that all appropriate
personnel are trained in accordance with assigned
responsibilities
and legal mandates and that the personnel are
certified, as applicable;
7. ensuring DROs have, to the
extent practical, adequate staffing to assure environmental
compliance;
8. ensuring LECOs, SECOs, and
FECs receive periodic environmental compliance training
to maintain currency
with regulatory requirements;
9. participating in the environmental
compliance audit and survey program, and closing
out findings
as noted; and
10. elevating environmental compliance
issues to LO senior management with recommendations
for resolution
as necessary to ensure compliance.
d. The DROs are responsible for:
1. ensuring that facility operations
and activities are conducted in compliance with environmental
requirements;
2. ensuring that on-site personnel
are aware of environmental requirements and are appropriately
trained; and
3. elevating environmental compliance
issues to LO senior management with recommendations
for resolution
as necessary to ensure compliance.
e. Special Project Managers and
PIs are responsible for:
1. assuring that activities associated
with their projects are conducted in compliance with
environmental
requirements; and
2. assuring that project personnel
are aware of environmental requirements and are appropriately
trained.
03. Financial Responsibilities.
a. The Under Secretary for Oceans and Atmosphere is responsible for
requesting and allocating sufficient funds for NOAA's environmental compliance. The
NECP is the focal point in NOAA for the identification, correction, and prevention
of environmental problems at NOAA facilities. The NECP will provide
funds, within appropriations, for correcting historical environmental cleanup
problems.
b. The NECP manager shall submit a budget request covering NOAA's anticipated
funding requirement to establish and operate an environmental compliance program. The
NECP budget request shall include projects from the project list, capital costs,
program management costs, personnel and administrative costs, and interagency
joint ventures. Irrespective of the existence of this specific program
and budget to oversee the NECP, ultimately, each manager is responsible for
environmental compliance associated with the organization’s operations. Responsibility
for funding required environmental compliance program activities is not limited
by the extent of funds made available for this purpose. NECP funding
will be allocated to projects based on priority ranking criteria established
under EPA guidelines (FEDPLAN). However, beyond the limitations of NECP
funding, LOs will be responsible for ensuring that funds are made available
to correct any significant environmental compliance problems associated with
that Office’s operations.
c. Program Costs.
1. Capital Costs. Central funding from the NECP will be used for
capital costs of structure and equipment, but not for annual operation and
maintenance costs. In a case where NOAA acquires property where an environmental
problem is later found to exist, the Environmental Compliance Staff, with the
assistance of General Counsel, will attempt to obtain funding from the previous
property holders. If that effort is unsuccessful, the Environmental
Compliance Staff will seek funds for the cleanup.
2. Annual Operation and Maintenance Costs. Annual operation and
maintenance costs associated with environmental compliance are defined as those
costs that are a result of doing business. These costs are not capital
costs, and thus should not be funded from the NECP. Funding for annual
operation and maintenance aspects of environmental compliance is the responsibility
of each LO within the limits of its allocation from NOAA's Congressional
appropriations.
3. Program Management Costs. Central funding from the NECP willbe
used to initiate NOAA-wide environmental compliance programs. Centralized
funding will be used to develop a program from concept through the piloting
phases. At the time of nationwide implementation, the LO and Environmental
Compliance Staff, in consultation with NOAA's Management and Budget Staff,
will determine the LO cost sharing for the specific program. Cost sharing
will be on a case-by-case basis and will be determined annually. The
cost sharing requirement will be provided before LO budget submission for
the Fiscal Year when the specific program will be implemented.
d. Special Situations. There
are other special cases as well that affect funding:
1. Facility Closure/Modification. Some environmental cleanup actions
may become necessary where NOAA program decisions affect the establishment,
alteration, closure, or decommissioning of NOAA facilities. Where such
actions can be anticipated, their costs should be incorporated into the program
budget of the LO as part of the overall project cost.
2. Special Funding (Emergencies). When a situation develops that
requires extensive and immediate action, the LO and the Environmental Compliance
Staff will jointly determine the priority of the project required to correct
the situation and will jointly determine funding for the project from their
existing programs. If the project requires funding beyond the capabilities
of their programs, funding will be requested from others sources in the following
order: NOAA sources, Department sources, and supplemental Congressional appropriations. The
Environmental Compliance Staff and the LO will jointly prepare such requests
for funding the required project.
