Developing An EPA Refrigerant Regulations Compliance Program

Is Your Organization Prepared?
by Robert Johnson, Environmental Support Solutions, Mesa, AZ

Developing A Refrigerant Compliance Program

Ozone Depletion Threatens our Health and Food Supply

Ozone depleting substances destroy our stratospheric ozone layer, which cumulatively causes the quantity of UV-B radiation reaching the earth's surface to increase. This radiation increase results in potential health and environmental risks including increased incidences of certain skin cancers and eye cataracts, suppression of the body's immune system, damage to plants and food crops, and reduced aquatic life growth.

Environmental Concerns Spur New EPA Refrigerant Regulations

Title VI, Stratospheric Ozone Protection, of the Clean Air Act Amendments of 1990 (Public Law 101-549), signed November 15, 1990, established among other things a production phase out schedule and yearly reduction percentages for ozone-depleting chemicals. One of the primary applications of these chemicals is refrigerant for air conditioning and refrigeration equipment in buildings, homes, supermarkets, and automobiles. This amendment requires recycling; bans the intentional venting or releasing of refrigerants during maintenance, service, repair, or disposal; restricts emission of refrigerants; and establishes strict control over their use. These requirements are intended to reduce the emissions of ozone-depleting substances until their eventual complete phase out. EPA is responsible for federal regulations concerning the protection of stratospheric ozone and has issued numerous regulations and requirements to insure compliance. EPA regulations include equipment certification requirements, maintenance and service practices, refrigerant reclaiming requirements, training, and record keeping on the purchase, use, sale, and transfer, and disposal of these substances.

The Regulations are Expanding to Include Non-Ozone Depleting Refrigerants

The EPA is amending the regulations on refrigerant recycling and required service practices under section 608 of the Clean Air Act for chlorofluorocarbon (CFC) and (HCFC) refrigerants. This act will extend regulations to the new substitutes including HFC and PFC refrigerants, including HFC 134a. These regulations will supplement a self-effectuating prohibition on venting substitute refrigerants to the atmosphere that became effective on November 15, 1995. Effective November 15, 1995, section 608(c)(2) of the Clean Air Act prohibits the knowing release of substitutes for CFC and HCFC refrigerants during the maintenance, service, repair, or disposal of air-conditioning and refrigeration equipment.

By establishing requirements regarding the maintenance, service, repair, and disposal of appliances containing HFC and PFC refrigerants, EPA believes that this rule will help to minimize any environmental harm that might result from the transition away from ozone-depleting chemicals including increased global warming. In addition, the rule will reduce emissions of ozone-depleting refrigerants by establishing a consistent regulatory framework for all halocarbon refrigerants and by lowering leak rates for appliances containing ozone-depleting refrigerants. EPA believes that the establishment of a consistent regulatory framework will also facilitate compliance with Section 608 by simplifying and clarifying regulatory requirements.

Your Air Conditioning and Refrigeration Systems Containing Refrigerants are Now Regulated

This means that virtually all commonly used commercial refrigerants in air conditioning and refrigeration, other than ammonia, are, or soon will be, regulated substances. Organizations that own or manage facilities with air conditioning and/or refrigeration equipment, including manufacturers, education, healthcare, government, food distribution, and so on, must insure they are in compliance with EPA Refrigerant Regulations.

Penalties for Non-Compliance are Severe

Violations of these regulations and requirements can result in fines up to $27,500 per day per violation. Intentional violations can result in criminal penalties of up to five years imprisonment. Submission of false or misleading information, or failure to submit required records can result in criminal penalties, including two years imprisonment.

The gravity of a violation is determined by examining the potential environmental harm, the risk of (or actual) refrigerant loss and the extent of deviation from the regulations. In addition, other factors not directly related to the violation can affect the penalty assessment. These include good faith efforts to comply, previous violations, and/or payment of any previously assessed penalties for earlier violations.

Unannounced inspections can be and are conducted routinely by the EPA to evaluate compliance and also to respond to violation reports.

Citizen Reward Program (Bounty Hunters)

EPA pays individuals up to $10,000 for turning in a violator that results in a conviction under the Citizen Reward program. In one case, a citizen’s videotape of a contractor venting refrigerants was used as evidence.

Develop an EPA Refrigerant Regulations Compliance Program

Developing and implementing an EPA Refrigerant Regulations Compliance Program is vital to every affected organization to insure successful compliance. The ideal compliance plan minimizes capital expenditures and operating costs while achieving full compliance with applicable laws and requirements.

Designate a Corporate Refrigerant Compliance Manager

The first step in developing an EPA Refrigerant Regulations Compliance Plan is to appoint an individual or team the responsibility and authority to create a plan and to oversee its successful implementation. Title VI of the Clean Air Act provides information on the responsibilities and characteristics of the "Responsible Official" concerning compliance issues. This individual performs policy or decision making functions and is a general partner or proprietor, a principal executive officer or ranking elected official, or a designated representative responsible for the overall operation of manufacturing, production, or operating facilities. Coordinating the plan across all company functions and departments is essential. The corporate refrigerant compliance manager will become the focal point for program activities. He should have the authority and budget to effect change, be current on the organization's HVAC/R operations, industry standards, and related regulations; and be able to communicate successfully with other departments.

Develop an Accurate and Complete Refrigerant Systems Assessment

Before a refrigerant compliance program is formulated, a comprehensive refrigerant systems assessment should be performed. All equipment containing refrigerants and the quantity of refrigerant each piece contains should be identified, and an accurate and complete database should be established. This will help you to evaluate and benchmark the current situation and help to develop a refrigerant compliance management plan or improve an existing one.

Evaluate Existing Work Processes and Procedures

The corporate refrigerant compliance manager will need to understand, evaluate, and institute required administrative controls, policies, and procedures to verify compliance. Required forms must be completed and sent to the EPA, as well as any necessary permits. Organization's must define their existing work processes and modify them accordingly to insure compliance to EPA requirements. This includes operating and maintenance practices, refrigerant recovery, recycling, and reclamation procedures. All current processes and procedures should be examined for gaps and potential compliance failure points. New policies and procedures may have to be established to insure complete accountability from initial refrigerant acquisition through final disposal.

Producing an organization specific refrigerant regulations compliance program is an important step to effective compliance. This should describe how EPA regulations and requirements would be integrated into the organization's existing work processes, using flow charts and work statements for illustration as required. It should define the organization's specific policies and procedures for refrigerant handling, from purchase through final disposal, including establishing uniform record keeping methods.

Training for Compliance

A "Roll Out" implementation training process should be conducted to insure everyone affected receives a copy of the compliance program and any other information they need to insure success. This is also a good time to express commitment to organizational compliance. After the training you can have employees sign a statement of understanding that compliance is a condition of their employment. In order to insure ongoing compliance, regularly scheduled compliance update training should be conducted. (Minimum of once per year). This will reinforce the importance of compliance and further demonstrate the organizations "intent to comply".

Senior Management Commitment is Vital

Senior management's visible commitment will have a significant impact on the success of the refrigerant regulations Compliance Program. Congress recognized this when they designated "senior level management" as responsible in criminal enforcement resulting from violations in the 1990 CAA amendments. This responsibility "cannot" be delegated away. Management's defensible position can be strengthened however, by demonstrating intent to comply.

Checklist For Refrigerant Compliance Management

Our "Best Practices" checklist was developed with information gathered from working with organizations throughout the country developing and implementing EPA Refrigerant Regulations compliance programs. It contains both EPA "must do" requirements as well as industry Best Practices "should do" recommendations. The Best Practices recommendations are included to help organizations implement a framework, procedures, systems, and information that will help insure that the "must do" requirements are met.

See How Your Organization Stacks Up With "Best Practices" In Refrigerant Regulations Compliance Management

In order to ensure that your organization is adequately prepared to meet compliance requirements, you need a well-defined and documented "Refrigerant Compliance Program". Perform a self-check by answering the following Refrigerant Compliance Management checklist questions:

• Do you have copies, and a complete understanding of the various "EPA regulations and requirements" applying to refrigerants and their usage?
• Do you have copies, and a complete understanding of the "penalties and enforcement actions" EPA can impose on your organization for non-compliance?
• Does your organization have a written "Mission Statement" for EPA Refrigerant Regulations Compliance specifically documenting your "intent to comply" with EPA regulations?
• Does your organization have a written "job description" for a Facility Refrigerant Manager, responsible for Refrigerant Management and Compliance to regulations, (as EPA recommends in the Action Guide)?
• Has someone in your organization been officially designated as your "Refrigerant Compliance Manager"? (EPA will want to speak to this person at a refrigerant compliance inspection).
• Has your designated Refrigerant Compliance Manager been formally trained in "EPA Refrigerant Regulations Compliance Management" to insure effective and complete implementation of your Refrigerant Compliance Program?
• Has your designated Refrigerant Compliance Manager been given the "financial resources and authority" to implement your organizations Refrigerant Compliance Program?
• Does your organization have a written policy for "EPA required refrigerant usage record keeping", including a defined and uniform method of collecting, maintaining, and making them available to EPA inspectors upon request?
• Does your organization have copies of "EPA certifications" for all in house and contractor technicians working at your facility to insure they are properly certified and to present to EPA upon request?
• Do you have a written "unintentional refrigerant venting, leaking, and reporting policy" for your refrigerant appliances, equipment, and refrigerant inventory?
• Do you have a written "refrigerant purchase policy" and a designated "certified" technician or contractor responsible for all purchases?
• Do you have a written "appliance servicing policy" including EPA compliance requirements and specific refrigerant handling procedures?
• Do you have a written "labeling policy" for refrigerant cylinders and appliances using refrigerants per EPA requirements?
• Do you have a written "refrigerant inventory and storage policy" incorporating national and state regulations and building codes?
• Does your organization have a written "leak testing process" and defined service procedures for positive-pressure equipment to insure EPA compliance?
• Does your organization have a written "leak testing process" for low-pressure equipment and defined service procedures for positive-pressure equipment to insure EPA compliance?
• Does your organization have a written "policy for disposal of refrigerant equipment and parts"?
• Does your organization have a written "policy for disposal of used refrigerant lubricants"?
• Does your organization have a written "policy for shipping and/or transportation of refrigerants", both into and out of your facility?
• Does your organization have a written "refrigerant inventory management policy" including disbursement, cradle to grave record keeping, and audit tracking of all refrigerants?
• Does your organization have a written "refrigerant safety policy" for handling of all refrigerants including required safety equipment and procedures?
• Do you have a written "Refrigerant Emergency Response Plan" for your organization including major venting incidents, maximum exposure levels, and evacuation procedures?
• Do you have written "Contractor EPA Refrigerant Compliance Requirements" language included in your service maintenance agreements to insure your contractors are not exposing you to any liability?
• Does your organization provide all maintenance personnel with written "EPA refrigerant compliance policies and procedures manuals"?
• Has your organization's EPA Refrigerant Compliance policies and procedures been "effectively communicated to all affected personnel" through "documented" compliance training sessions?
• Do you have copies and a complete understanding of "all" of the various updates, amendments, and changes EPA has issued on the original refrigerant regulations since 1993?
• Have you established an "on-going" process and infrastructure to collect, distribute, and communicate the various refrigerant regulations updates and amendments issued by EPA?
• Do you conduct ongoing EPA Refrigerant Regulations training for your technicians and other affected personnel that include the updates, amendments, and changes issued by EPA?
• Do you have a written "policy for conducting annual internal Refrigerant Compliance GAP Analysis Surveys" to insure your organization is in compliance with all EPA requirements?

Implementing the above "Best Practices" will confirm your organizations "intent to comply" with EPA Refrigerant Regulations Compliance requirements!

Contact Information:

If you answered "No" to any of the EPA Refrigerant Regulations Compliance "Best Practices" questions, you may have a gap in your organization's compliance program and be exposed to violations.

All of these valuable documents, including a " free" EPA refrigerant compliance checklist are available at Environmental Support Solutions web site, http://www.environ.com.

Environmental Support Solutions, Mesa, Arizona, provides refrigerant record keeping software, compliance training, and refrigerant compliance plans to organizations affected by EPA refrigerant regulations. They can be reached at 800-289-6116 ext. 8 or at info@environ.com.

Useful Documents:

Compliance Guidance for Industrial Process Refrigeration Leak Repair
Regulations Under Section 608 of the Clean Air Act, EPA 300-B-95-010, CMA
No.:023001.

Self Audit Checklist for Industrial Process Refrigeration Leak Repair
Regulations Under Section 608 of the Clean Air Act, EPA 300-B-96-002, CMA
No.:023002.

Training Module for Industrial Process Refrigeration Leak Repair
Regulations Under Section 608 of the Clean Air Act, EPA 300-B-96-001, CMA
No.:023002. Co-developed with Environmental Support Solutions.

Responsible Practices: Servicing and Disposing of Refrigeration Equipment,
EPA 305-V-97-001.