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Self Assessment Tools

This is your one stop resource for federal, state, and local environmental checklists and audit protocols.  These checklists and protocols are designed to help small and large business alike determine their compliance with environmental regulations as well as identify best management practices and pollution prevention opportunities to "go beyond compliance" and become environmental leaders.  

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 By Statute
(e.g. Clean Air Act)
By Industry Sector
(e.g., dry cleaners)

 

General Regulatory Self-Assessment Tools

Environmental Self-Audit For Small Businesses Exit EPA disclaimer This document was developed in 1993 by the New York State Department of Environmental Conservation to help small businesses in New York State with limited resources, perform a preliminary self-audit to identify areas of possible environmental compliance problems in the general regulatory categories of air, water, land use, petroleum and chemical storage tanks, solid waste and hazardous materials. Though not comprehensive, the environmental self-audit can prove worthwhile as a preventive strategy. A companion pollution prevention and compliance guide for businesses and local governments Exit EPA disclaimer is also available that was revised in January 1998.

EPA's Multi-Media Investigation Manual This manual was developed by EPA's National Enforcement Investigations Center in cooperation with EPA Regional Offices in 1992 to serve as a guide for investigators who conduct multi-media environmental compliance investigations of facilities that discharge, emit, prepare, manage, store, or dispose of pollutants controlled by Federal, State, or local environmental laws and regulations.

EPA's Process-Based Investigation Guide This guide was developed by EPA's National Enforcement Investigations Center in 1997 to introduce and define the concept of "process-based" investigations, discuss the usefulness of this "tool" and provide a "road map" to planning and conducting these types of investigations. The process-based investigation includes tracking raw materials through the industrial operations, identifying by-product, co-product and products, identifying wastes generated, and determining how these wastes are ultimately managed.

EPA New England Inspector's Multi-Media Checklist This checklist is used by EPA inspectors in New England as a screening tool during inspections to determine area of concerns where more detailed follow-up may be required.

EPA Region 2's Inspector's Multi-Media Checklist This checklist is used by EPA inspectors in New York, New Jersey, Puerto Rico and the U.S. Virgins Islands as a screening tool during inspections to determine area of concerns where more detailed follow-up may be required.

 

Statute-Specific Self-Assessment Tools

Emergency Planning and Community Right-To-Know Act

Safe Drinking Water Act

 

 

Sector-Specific Self-Assessment Tools

Chemical Industry

Fleet Maintenance Facilities

Transportation Industry

 

Auto Service & Repair

Consolidated Screening Checklist for Automotive Repair Facilities Guidebook Exit EPA disclaimer was developed by EPA to highlight key federal environmental requirements as they apply to the automotive service and repair industry.

New York State Environmental Compliance, Pollution Prevention, and Self-Assessment Guide for Vehicle Maintenance Shops Exit EPA disclaimer was originally published by the New York State Department of Environmental Conservation in 1998 and revised in 2003 to assist vehicle maintenance shops in New York State with environmental regulations, better waste management and waste minimization methods. It includes an environmental self-assessment checklist.

For additional information on environmental regulations impacting colleges and universities, please visit EPA Region 2's Auto Service & Repair Website.

Chemical Industry    

Process-Based Self Assessment Tool for the Organic Chemical Industry This tool was developed by EPA's Office of Compliance in 1998 to help small- to medium-sized organic chemical manufacturing facilities perform a multimedia self-assessment to evaluate compliance with environmental regulations. It not only includes general steps for planning, conducting, and following up on multi-media self-assessments but also provides industry-specific process and regulatory information.

Inspection Tool for the Miscellaneous Organic Chemical Manufacturing NESHAP -This inspection tool was developed by EPA's Office of Compliance in 2006 to provide guidance on performing inspections under Part 63 of the Clean Air Act (CAA) at facilities subject to 40 CFR Part 63 Subpart FFFF. The Tool includes applicability flow charts and procedures for conducting inspections of emissions points for process vents, storage tanks, transfer racks, wastewater, heat exchangers, equipment components and devices used to comply with the standards. The Tool also provides checklists for determining compliance with the record keeping and reporting provisions of the rule. These procedures are fundamental for ensuring compliance with the standards under the CAA.

Inspection Checklist for the Pharmaceuticals MACT Standard (40 CFR Part 63)  This checklist was developed by EPA in 2001 to be used by USEPA, State and Local agency inspectors, as well as the pharmaceutical industry, for the purposes of a facility compliance inspection or a self audit.

Inspection Manual: Federal Equipment Leak Regulations for the Chemical Manufacturing Industry This inspection manual was developed by EPA's Office of Compliance in 1998 to enhance an inspector’s ability to conduct more complete and effective inspections at facilities in the chemical industry that are subject to Federal equipment leak regulations. Equipment leak standards are designed to reduce or eliminate emissions of volatile organic compounds (VOCs), volatile hazardous air pollutants (VHAPs), and organic HAPs from the miles of piping and numerous components found in chemical manufacturing processes. This document is divided into three volumes. The first volume is a manual for inspectors. The second volume tackles the equipment leak regulations applicable to the chemical manufacturing industry and is divided into eight appendices (A-B, C, D-H). Finally, the third volume describe regulations that apply to the petroleum refining industry.

EPA Hazardous Organic NESHAP (HON) Inspection Tool - This document was developed by EPA's Office of Compliance in 1997 to assist federal, state, and local regulatory personnel with enforcement of the process vent, transfer operation, storage vessel, and wastewater provisions of 40 CFR Part 63 Subpart G. This document is organized in two volumes. Volume I contains descriptions of the background information on emission points and control technologies. These descriptions cover process vents, transfer operations, storage vessels, and wastewater provisions. Volume I also includes an overview of the HON and a section on the applicability of the rule. Volume II contains checklists to assist the inspector during the actual inspection.

For additional information on environmental regulations impacting the chemical industry, please visit ChemAlliance Exit EPA disclaimer , the national compliance assistance center for the chemical industry.

Colleges/Universities

New York State's Environmental Self-Audit for Campus-Based Organizations Exit EPA disclaimer This self-audit checklist was developed the New York State Department of Environmental Conservation in 2000 to serve as a basic diagnostic tool for campus-based organizations (centralized schools, colleges/universities, correctional facilities, mental health institutions, etc.) to evaluate possible compliance problems relating to air, water, land use, solid waste and hazardous materials. A companion environmental compliance and pollution prevention training manual Exit EPA disclaimer was also developed.

Audit Checklists developed by Rutgers, State University of New Jersey Exit EPA disclaimer In 2001, Rutgers University became the first university in the nation to enter a voluntary audit agreement with EPA. Under this agreement, the university developed these checklists which cover laboratory activities, hazardous waste management, universal waste regulations, spill prevention, control, and countermeasure requirements, asbestos, PCBs, lead paint, and underground storage tanks.

Construction Industry

Managing Your Environmental Responsibilities: A Planning Guide for Construction and Development is a guidance manual developed by EPA to provide a general overview of the federal environmental requirements for the construction industry and includes self-audit checklists.

For more resources to help the construction industry comply with environmental regulations and improve their environmental footprint, please visit the Construction Industry Compliance Assistance Center. Exit EPA disclaimer

Dry Cleaning Industry  

EPA Multi-Media Inspection Checklist for Dry Cleaning Facilities - This checklist is used by EPA Region 2 to conduct compliance assistance visits of dry cleaners.

For more resources to help dry cleaners comply with environmental regulations and improve their environmental footprint, please visit EPA Region 2's dry cleaning website.

Fleet Maintenance Facilities

Consolidated Screening Checklist for Fleet Maintenance Facilities Guidebook - This checklist was created in 2003 by the U.S. Environmental Protection Agency to help fleet maintenance facilities comply with federal environmental requirements that are applicable to the automotive service and repair industry.

For more resources to help fleet maintenance facilities comply with environmental regulations and improve their environmental footprint, please visit EPA Region 2's fleet maintenance website.

HealthCare

New York State's Environmental Self-Assessment For Health Care Facilities Exit EPA disclaimer This checklist was developed by the New York State Department of Environmental Conservation in 2001 to assist New York State Health Care Facilities in the development of an effective pollution prevention program or improve programs which may already be in place.

EPA-New England Hospital Environmental Assessment Template This checklist was developed for an Office of Environmental Compliance and Assistance (OECA) grant which was given to the University of New Hampshire Pollution Prevention Program. It is not all-inclusive and it does not include all Federal hospital requirements or preferable practices. In addition, you should also always check with your state for any additional state requirements.

For more resources to help health care facilities comply with environmental regulations and improve their overall environmental footprint, please visit EPA Region 2's health care website.

Local Governments

Checklist for Public Works Facilities - This checklist was developed by EPA New England to help public works facilities achieve and maintain compliance with federal environmental, fire, and health and safety requirements.

Other compliance assistance resources can be obtained by visiting the local government environmental assistance network. Exit EPA disclaimer

Metal Finishing Industry 

Clean Air Act Inspection Guidance and Checklists for Chromium Electroplating and Anodizing Facilities  This guidance document and accompanying checklists were developed by EPA to enhance an inspector's ability to determine whether chromium electroplating and chromium anodizing facilities are complying with 40 CFR Part 63 Subpart N.

New York State's Environmental Self-Assessment for the Metal Finishing Industry Exit EPA disclaimer This checklist was developed by the New York State Department of Environmental Conservation in 2001 to help small metal finishers identify possible opportunities for pollution prevention. It is meant to be used in conjuction with New York State's environmental compliance and pollution prevention guide Exit EPA disclaimer to the metal finishing industry.

For more information to help metal finishers comply with environmental regulations as well as improve their overall environmental footprint, please visit the national metal finishing resource center. Exit EPA disclaimer

Transportation Industry

Environmental Screening Checklist and Workbook for Short Line Railroads This checklist and workbook was developed by EPA's Office of Compliance in 2000 to assist the short line railroad industry in complying with applicable federal environmental regulations. This checklist and workbook are intended for use with the Environmental Compliance Handbook for Short Line Railroads Exit EPA disclaimer .

Environmental Screening Checklist and Workbook for Water Transportation Industry This checklist and workbook was developed by EPA's Office of Compliance in 2000 to assist the water transportation industry in complying with applicable federal environmental regulations.

Environmental Screening Checklist and Workbook for Airport and Tenant Operations This checklist and workbook was developed by EPA's Office of Compliance in 2000 to assist the air transportation industry in complying with applicable federal environmental regulations.

Environmental Screening Checklist and Workbook for the Trucking Industry This checklist and workbook was developed by EPA's Office of Compliance in 2000 to assist the trucking industry in complying with applicable federal environmental regulations.

For more information to help the transportation industry comply with environmental regulations as well as improve their overall environmental footprint, please visit TranSource Exit EPA disclaimer , the national transportation resource center.

 


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