Instructions for DTSC Form 1151 "Tiered Permitting Phase I Environmental Assessment Checklist" - California

This document contains official instructions for DTSC Form 1151, Tiered Permitting Phase I Environmental Assessment Checklist - a form released and collected by the California Department of Toxic Substances Control. An up-to-date fillable DTSC Form 1151 is available for download through this link.

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Download Instructions for DTSC Form 1151 "Tiered Permitting Phase I Environmental Assessment Checklist" - California

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TIERED PERMITTING PHASE I ENVIRONMENTAL
ASSESSMENT CHECKLIST
INSTRUCTIONS
Purpose of this Checklist: This environmental assessment checklist was developed by the
Department of Toxic Substances Control (DTSC) to satisfy Health and Safety Code (HSC), Division
20, section 25200.14. It has been written for owners and operators (owner/operator) of facilities
applying for or operating under the Permit-by-Rule (PBR) or Conditional Authorization (CA) permit
tiers. The Checklist will assist these owners or operators in identifying potentially contaminated areas of
their facilities which require further investigation or remediation. This Checklist has been written to
assist the owner/operator of the business operating under PBR or CA (facility) to (1) evaluate the
property on which the facility is located for areas of possible or documented contamination such as spill
locations, leaking equipment, and regulated or non-regulated hazardous or nonhazardous waste
management units and (2) determine if the documented or potential contamination requires further
investigation to determine its existence, nature, or extent. After completing an examination of the
facility's property, the owner/operator certifies that the facility does or does not require further
investigation. The questions in this Checklist have been constructed to lead the facility owner/operator
through a series of steps to identify all documented and potential releases. The completed Checklist
will then be used by the DTSC to confirm that further investigation will or will not be necessary to
determine the existence or extent of contamination on the facility.
A facility would be certified as requiring further investigation in several situations. If the owner
or operator is aware of a past release that was more than a very small quantity, the owner or operator
would certify that the facility required further investigation unless that past release had been investigated
and is being remediated or has been certified clean by an appropriate agency. If the assessment reveals
the presence of old waste management units such as landfilled material or old surface impoundments
that had not been certified as properly closed by an appropriate agency, the facility would be certified
as needing further investigation. If the assessment reveals areas where hazardous materials have been
used where those areas appear stained or have chemical odors, the facility would be certified as
needing further investigation. Please note that this is not a complete list of those situations that would
require further investigation.
Previously Completed Assessments and Exemptions: HSC, section 25200.14, the statute
establishing the Phase I Environmental Assessment, contains the provisions for a facility for completing
the assessment by using previously completed assessments, and an exemption from remediating
contamination under DTSC oversight:
1. Use of Previous Assessments: A previously completed assessment may be used to comply with
DTSC 1151 (06/99) - Instructions
Page 1
TIERED PERMITTING PHASE I ENVIRONMENTAL
ASSESSMENT CHECKLIST
INSTRUCTIONS
Purpose of this Checklist: This environmental assessment checklist was developed by the
Department of Toxic Substances Control (DTSC) to satisfy Health and Safety Code (HSC), Division
20, section 25200.14. It has been written for owners and operators (owner/operator) of facilities
applying for or operating under the Permit-by-Rule (PBR) or Conditional Authorization (CA) permit
tiers. The Checklist will assist these owners or operators in identifying potentially contaminated areas of
their facilities which require further investigation or remediation. This Checklist has been written to
assist the owner/operator of the business operating under PBR or CA (facility) to (1) evaluate the
property on which the facility is located for areas of possible or documented contamination such as spill
locations, leaking equipment, and regulated or non-regulated hazardous or nonhazardous waste
management units and (2) determine if the documented or potential contamination requires further
investigation to determine its existence, nature, or extent. After completing an examination of the
facility's property, the owner/operator certifies that the facility does or does not require further
investigation. The questions in this Checklist have been constructed to lead the facility owner/operator
through a series of steps to identify all documented and potential releases. The completed Checklist
will then be used by the DTSC to confirm that further investigation will or will not be necessary to
determine the existence or extent of contamination on the facility.
A facility would be certified as requiring further investigation in several situations. If the owner
or operator is aware of a past release that was more than a very small quantity, the owner or operator
would certify that the facility required further investigation unless that past release had been investigated
and is being remediated or has been certified clean by an appropriate agency. If the assessment reveals
the presence of old waste management units such as landfilled material or old surface impoundments
that had not been certified as properly closed by an appropriate agency, the facility would be certified
as needing further investigation. If the assessment reveals areas where hazardous materials have been
used where those areas appear stained or have chemical odors, the facility would be certified as
needing further investigation. Please note that this is not a complete list of those situations that would
require further investigation.
Previously Completed Assessments and Exemptions: HSC, section 25200.14, the statute
establishing the Phase I Environmental Assessment, contains the provisions for a facility for completing
the assessment by using previously completed assessments, and an exemption from remediating
contamination under DTSC oversight:
1. Use of Previous Assessments: A previously completed assessment may be used to comply with
DTSC 1151 (06/99) - Instructions
Page 1
Phase I Environmental Assessment Checklist
Instructions
the requirements of HSC, section 25200.14, if it meets the following criteria:
a.
The entire property under the control of the owner/operator of the facility was assessed; and
b.
The assessment was completed no earlier than three (3) years before the date that the facility is
required to submit a Phase 1 Environmental Assessment; and
c.
The alternative assessment is supplemented by any relevant updated information reasonably
available to the owner/operator describing any releases since the previous assessment was
completed; and
d.
An addendum to the investigation is attached, if necessary, to comply with requirements of this
Checklist which were not addressed by the substitute assessment.
NOTE: A prior assessment that does not meet the above criteria may still be used as part of a
complete assessment for the areas and time period covered by the previous assessment.
Orders Qualifying for full or partial exemption: Facilities subject to the following orders are not
required to complete a Phase I Environmental Assessment for portions of a facility that are subject to
specified orders by State and federal environmental agencies. These orders are summarized in HSC,
section 25200.14. The pertinent part is repeated below:
"25200.14. (a)...
(h)(i)The department shall not require a phase I environmental assessment pursuant to
this section for those portions of a facility subject to a corrective action order issued pursuant to
Section 25187, a cleanup and abatement order issued pursuant to Section 13304 of the Water
Code, or a corrective action required under subsection (u) of Section 6294 of Title 42 of the
United States Code or subsection (h) of Section 6928 of Title 42 of the United States Code."
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Phase I Environmental Assessment Checklist
Instructions
2. Other Agency Oversight: A facility is exempt from the followup work specified in HSC, section
25200.14(b) if that facility is being remediated in compliance with an order from a Regional Water
Quality Control Board or other State or federal environmental enforcement agency. This followup
work results from a Phase I Environmental Assessment in the case that the Phase I Environmental
Assessment identifies a need for further investigation to determine the existence, nature, and extent of a
release. The following points must be considered:
a.
This exemption applies only to the followup work that results from an assessment. It is not an
exemption from completing a Phase I Environmental Assessment. However, the property
assessment that triggered the order may be used to substitute for the Phase I Environmental
Assessment to the extent that it meets the criteria of 1. above.
b.
The exemption applies only to areas addressed by the order. Any portions of the property that
are not subject to remediation under the order are not covered by the exemption. The full
process must be completed for these areas.
c.
The exemption applies only to work addressed by the order. For example, if a cleanup order
only addresses air dispersion of contamination, the exemption only applies to the issue of air
dispersion and not to soil and groundwater remediation.
3. Claiming Exemption: To claim exemption from all or part of the assessment or the followup
work, please follow this procedure:
a.
On the Signature and Certification Page, check the space provided for claiming exemption.
Write a short explanation of what your are exempt from (ie: Completing the Checklist and/or
the followup work).
b.
Attach documentary evidence of exemption to the Checklist. Also attach information regarding
releases in the period since any substitute study was completed. This information can consist of
Area of Concern Data Sheets for each release since the substitute study was completed, a
signed certification that there have been no releases since the substitute study was completed,
or other documents that satisfy the intent of the Checklist (to determine if there have been/may
have been releases which require further investigation to determine their existence, nature,
and/or extent). Regardless of whatever type of documentary evidence is supplied, please
include a clear narrative description of what you are claiming exemption for and the scope of
the substitute assessment and/or remedial order. Documentary evidence can consist of:
-
The summary and/or conclusions page of a study that will substitute for all or part of the
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Phase I Environmental Assessment Checklist
Instructions
Phase I Environmental Assessment.
-
A full text copy of the study or order that substitutes for the completion of the
assessment and/or the followup work.
-
Letters from the author of the study or the agency conducting a study or issuing an
order which set forth the conclusions of the study and/or the terms and scope of the
order.
Methodology: The following information may be useful in completing this Checklist: facility records,
historical information, site maps, and a walk-through-inspection. Historical information concerning the
property can be obtained from the following: historical societies, property tax records, fire insurance
maps, recorded land title records, local street directories, building/planning DTSC records, aerial
photographs, zoning/land use records, and the personal recollection of longtime employees, neighbors,
and past owners and operators. Information on sources for aerial photos can be obtained from local
telephone directories and the Earth Sciences Information Center in Los Angeles, Menlo Park, and San
Francisco.
The facility property must be investigated carefully. Signs of documented and potential releases
include but are not limited to: unusual stains around drains, on floors, walls, and surface soil; unusual
odors originating from drains, floors, or surface soil; and vegetation that appears unhealthy or dying
without a reasonable explanation (ie: lack of water). Drains, piping around tanks and process
equipment, and older aboveground or underground storage tanks without secondary containment are
some of the possible sources of releases and should be checked carefully. Any signs of possible
releases should be more closely evaluated to determine if further investigation, such as sampling and
chemical analysis, may be required.
Due Diligence: HSC, section 25200.14(d) states that sampling and analysis are not required as part
of this assessment. Additionally, HSC, section 25200.14(a) states that the checklist will be based on
an owner/operator's "...reasonably available knowledge of the facility...".
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Phase I Environmental Assessment Checklist
Instructions
Records Retention: A business must retain all documents pertaining to the Phase I Environmental
Assessment of their property (and all other documents pertaining to the permitted hazardous waste
treatment units). These documents include all the information used by the facility to arrive at the
conclusion they reach in completing this assessment and include all documentation pertaining to any
remediation of contamination. Records retention in the PBR and CA tiers is required as follows:
1.
Permit by Rule: Title 22, California Code of Regulations (Cal. Code or Regs.), section
67450.3(c)(8)(J) requires that these documents be maintained at the facility as long as the
treatment unit operates under PBR. This section also requires that specified documents,
including those pertaining to the corrective action program, be made available for inspection by
any federal, state, or local environmental enforcement agency and be sent to the DTSC when
requested.
2.
Conditional Authorization: HSC, section 25200.3(c)(7) requires that all records pertaining to
a grant of CA, including all documents pertaining to the Phase I Environmental Assessment of
their property or any remedial activities at the facility, be retained for five (5) years and be
made available upon inspection.
Requirements for Followup Work: Both HSC, sections 25200.3 and 25200.14 and the DTSC's
Permit by Rule regulations contain requirements for followup for a Phase I Environmental Assessment
where a need for further investigation is identified.
1.
Section 25200.14: This section requires followup work as follows:
"25200.14
(a)...
(e)(1) If the results of the phase I environmental assessment conducted pursuant to
subdivision (b) indicate that further investigation is needed in order to determine the
existence or extent of a release from a solid waste management unit or hazardous waste
management unit, the facility shall submit a schedule, within 90 days of submission of the
phase I environmental assessment to the department, for that further investigation to the
department. If the department determines, based upon a review of the phase I
environmental assessment or other site specific information in its possession, that further
investigation is needed to determine the existence or extent of a release from a solid
waste management unit or hazardous waste management unit, in addition to any further
action proposed by the owner or operator of the facility, or determines that a different
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