AFI_32-7047-Attachment_1.pdf

BY ORDER OF THE

SECRETARY OF THE AIR FORCE

AIR FORCE INSTRUCTION 32-7047

15 FEBRUARY 2012

Civil Engineering

ENVIRONMENTAL COMPLIANCE,

RELEASE, AND INSPECTION REPORTING

COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

ACCESSIBILITY: Publications and forms are available on the e-Publishing website at http://www.e-publishing.af.mil for downloading or ordering.

RELEASABILITY: There are no releasability restrictions on this publication.

OPR: AF/A7CAN

Supersedes: AFI32-7047, 8 April 2004

Certified by: AF/A7CA

(Col Barton Barnhart)

Pages: 27

This publication implements Air Force Policy Directive (AFPD) 32-70, Environmental Quality.

It applies to tracking, reporting, and managing Enforcement Actions (EAs) and Host Nation

Enforcement Actions (HNEAs) issued by federal, state, local, and host nation regulatory agencies. It also applies to reporting and tracking of spills or releases, regulatory inspections, and compliance agreements (CAs). This Instruction defines the roles of applicable organizations within the Air Force (AF) as they pertain to environmental compliance, release, and inspection reporting. Unless otherwise noted, the procedures outlined in this Instruction apply to all AF installations [including Base Realignment and Closure (BRAC) installations] within the United

States (US), its territories, and in overseas locations. In the case of BRAC installations that have been transferred or where AF is a tenant, the agency responsible for environmental management shall also be responsible to report and track compliance. Additionally, the Instruction applies to all Major Commands (MAJCOMs), Field Operating Agencies (FOAs), Direct Reporting Units

(DRUs), and the Air National Guard (ANG). Tenant organizations on AF installations and Joint

Bases with an AF supporting component shall also comply with this Instruction. Ensure that all records created as a result of processes prescribed in this publication are maintained in accordance with Air Force Manual (AFMAN) 33-363, Management of Records, and disposed of in accordance with the AF Records Disposition Schedule (RDS) located at https://www.my.af.mil/afrims/afrims/afrims/rims.cfm. Recommendation for change of this publication shall be submitted through the proper channels, to Headquarters, United States Air

Force (USAF), Office of the Civil Engineer, Asset Management and Operations Division, Environmental Branch (AF/A7CAN), at AF/A7CAN Workflow

A7CAQ.Workflow@pentagon.af.mil. Any MAJCOM, FOA, DRU, or the ANG may supplement this Instruction and shall send a final copy of each supplement to AF/A7CAN within thirty (30) days of issue.

http://www.e-publishing.af.mil/ https://www.my.af.mil/afrims/afrims/afrims/rims.cfm mailto:A7CAQ.Workflow@pentagon.af.mil.

2 AFI32-7047 15 FEBRUARY 2012

SUMMARY OF CHANGES

This document is substantially revised and must be completely reviewed. This revision supersedes Air Force Instruction (AFI) 32-7047, Environmental Compliance Tracking and

Reporting, 8 Apr 04, in its entirety and any associated policy memoranda and interim change memoranda. The revisions in this AFI include updates to many of the roles, responsibilities, and reporting requirements for EAs /HNEAs, spills or releases, regulatory inspections, and CAs.

Chapter 1—INTRODUCTION 3

1.1. Introduction

1.2. Goals

1.3. Objectives

1.4. Roles & Responsibilities

Chapter 2—MANAGEMENT AND REPORTING REQUIREMENTS 12

2.1. Reporting and Tracking Inspections

2.2. Reporting and Tracking Spills/Releases

2.3. Reporting Non-Compliance Related Issues

2.4. Identifying EAs/HNEAs

2.5. Reporting and Tracking of EA/HNEA

2.6. Compliance Agreement (CA)

2.7. Fines and Penalties

Chapter 3—ENFORCEMENT ACTION, HOST NATION ENFORCEMENT ACTION, AND

COMPLIANCE AGREEMENT RESOLUTION 18

3.1. Closing EAs

3.2. Closing HNEAs

3.3. Closing CAs

Attachment 1—GLOSSARY OF REFERENCES TERMS AND SUPPORTING

INFORMATION 20

Attachment 2—SAMPLE 60-DAY CLOSEOUT LETTER 27

AFI32-7047 15 FEBRUARY 2012 3

Chapter 1

INTRODUCTION

1.1. Introduction. This Instruction is intended to provide requirements to report, track, and resolve non-compliance with environmental laws, regulations, and standards. It also provides requirements for the reporting and tracking of environmental releases, inspections, and fines and penalties associated with non-compliance. The Environmental Reporting Playbook is available online to provide additional, non-directive guidance regarding implementation of this Instruction.

This Instruction is part of the Environmental Management System (EMS) mandated by

Executive Order (EO) 13423, Strengthening Federal Environmental, Energy, and Transportation

Management, and expanded by EO 13514, Federal Leadership in Environmental, Energy, and

Economic Performance; Department of Defense Directive (DoDD) 4715.1E, Environment, Safety, and Occupational Health (ESOH); DoDI 4715.17, Environmental Management System;

and AFI 32-7001, Environmental Management. It also contributes to AF compliance with Title

10 United States Codes (U.S.C.) Section (§) 2706: Annual Reports to Congress, which requires

The Secretary of Defense submit to Congress each year, a report on the progress made in carrying out activities under the environmental quality programs of the DoD and the military departments.

1.2. Goals. For installations within the United States and its territories, achieve and maintain compliance with applicable federal, state, local, and AF environmental laws and regulations. For installations in overseas locations, achieve and maintain compliance with applicable international agreement requirements and Final Governing Standards (FGS), or if no FGS exists, the Overseas

Environmental Baseline Guidance Document (OEBGD). All AF installations shall acquire and report accurate and reliable information on the status of AF compliance in order to help achieve these goals. Key factors in attaining these goals are acquiring and reporting accurate and reliable information on the status of AF compliance with such standards.

1.3. Objectives. Identify and proactively address circumstances that may lead to the issuance of new Enforcement Actions (EAs) and Host Nation Enforcement Actions (HNEAs). Place management emphasis on oversight and execution of proper practices. Encourage leadership to vigorously pursue a return to compliance and closure of existing EAs/HNEAs. Achieve objectives by providing standardized and timely information to leaders and program managers so that they can assess the overall health of the AF environmental compliance program, demonstrate progress made toward AF compliance goals, and identify areas for improvement.

1.4. Roles & Responsibilities.

1.4.1. The Assistant Secretary of the Air Force for Installations, Environment, &

Logistics (SAF/IE) through the Deputy Assistant Secretary of the Air Force for

Environment, Safety & Occupational Health (SAF/IEE):

1.4.1.1. Promulgates and oversees implementation of policy for compliance reporting and tracking, including final settlement, throughout the AF as part of an integrated EMS.

1.4.1.2. Serves as the principal AF representative on all compliance-related issues with the Office of the Secretary of Defense (OSD) staff, other federal agencies, and Congress.

4 AFI32-7047 15 FEBRUARY 2012

1.4.1.3. Reports AF-wide compliance metrics and trends to the AF ESOHC and OSD as requested.

1.4.1.4. Reviews and makes final EA decision in the event that existing policy is insufficient to allow A7CAN to make a final EA decision when consensus cannot be reached between MAJCOM, DRU, FOA, or ANG Civil Engineer (CE), Environmental

Elements; Air Force Legal Operations Agency, Environmental Law and Litigation

Division, Regional Counsel Office (AFLOA/JACE-RCO); and the Air Force Center for

Engineering and the Environment (AFCEE) Regional Environmental Office (REO).

1.4.1.5. Coordinates AF compliance reporting and tracking procedures with the other

Services to explore common areas of interest and prevent duplication of effort.

1.4.1.6. Determines when notifications to congressional delegations are appropriate and approves the release of responses to congressional or media inquiries.

1.4.2. The General Counsel of the Air Force (SAF/GC), through the Deputy General

Counsel, Environment & Installations (SAF/GCN):

1.4.2.1. Serves as the principal legal adviser to SAF/IE and SAF/IEE on environmental compliance policy, including resolution of final enforcement action decisions, settlement of punitive fines and penalties and determinations of invocation or waiver of federal sovereign immunity.

1.4.2.2. Serves as the principal AF legal representative on all compliance-related issues involving the OSD office of General Counsel or the General Counsel offices of other federal agencies.

1.4.3. The Deputy Chief of Staff for Logistics, Installations and Mission Support (AF A4/7) through The Civil Engineer’s (AF/A7C) Asset Management and Operations Division

(AF/A7CA), Environmental Branch (AF/A7CAN):

1.4.3.1. Prepares and issues guidance for executing approved environmental compliance program policy and guidance, advocates for resources, and oversees execution of environmental reporting and tracking requirements throughout the AF as part of an integrated EMS.

1.4.3.2. Coordinates environmental reporting and tracking guidance as required by AFI

33-360, Publications and Forms Management.

1.4.3.3. Prepares and provides a monthly report with current, detailed data for all new and outstanding High Visibility EAs by the end of the subsequent month, and forwards this report to SAF/IEE.

1.4.3.4. Evaluates overall AF environmental performance and reports the results to the

Assistant Deputy Under Secretary of Defense (Installations and Environment)

(ADUSD(I&E)) through SAF/IE. Ensures status and trends of established AF environmental metrics are regularly reported to the AF Environment, Safety, and

Occupational Health Council (ESOHC) and corrective actions are implemented as necessary.

AFI32-7047 15 FEBRUARY 2012 5

1.4.3.5. Identifies and prioritizes resources through the Planning, Programming, and

Budgeting Execution (PPBE) process to implement environmental reporting and tracking procedures throughout the AF.

1.4.3.6. Designates lead organizations for specific environmental reporting and tracking projects and studies.

1.4.3.7. Reviews and makes final EA decision when consensus cannot be reached among: MAJCOM, DRU, FOA, or ANG Civil Engineer (CE), Environmental Elements;

Air Force Legal Operations Agency, Environmental Law and Litigation Division, Regional Counsel Office (AFLOA/JACE-RCO); and the Air Force Center for

Engineering and the Environment (AFCEE) Regional Environmental Office (REO). If unable to make EA decision, notifies SAF/IEE for resolution and, when appropriate, notifies SAF/GCN if and why consensus was not achieved.

1.4.3.8. Reports environmental compliance status, identifies trends, and reports results to the AF ESOH Steering Committee in support of scheduled ESOH Steering Committee meetings and to the AF ESOHC during annual EMS Management Review.

1.4.3.9. Provides immediate notification upon discovery to SAF/IEE of spills over 1000 gallons or violations with fines or penalties that have the potential to exceed $100,000.

1.4.4. The Judge Advocate General (AF/JA) through the Air Force Legal Operations

Agency, Environmental Law and Litigation Division (AFLOA/JACE):

1.4.4.1. Gives legal advice that promotes consistency throughout the AF regarding compliance with environmental obligations and resolving EAs/HNEAs.

1.4.4.2. Provides legal advice on regional issues through the RCO that supports each

REO. The RCO:

1.4.4.2.1. Reaches consensus with MAJCOM, DRU, FOA, or ANG CE, Environmental Elements and REO to determine whether written notice of non-compliance from a regulatory agency meets the criteria identified in the EA definition. If it is an EA, MAJCOM, DRU, FOA, or ANG CE, Environmental

Elements, RCO, and REO shall also designate the classification of the EA. If only two parties agree to track as an EA, the dissenting party may request a review of that decision by AF/A7CAN.

1.4.4.2.2. Assists the installation legal offices by providing policy, guidance, advice, and representation on EAs.

1.4.4.2.3. Consults with Environmental Law Field Support Center (ELFSC) and the

Environmental Liaison Officer (ELO) embedded within the MAJCOM/JA, and when appropriate, the JACE Litigation Center, regarding significant legal issues and EA settlements to promote consistency throughout the AF. Where there are significant legal issues associated with a settlement, JACE shall consult with SAF/GCN before giving AF/JA advice.

1.4.4.3. Provides legal advice and service in possible litigation, administrative actions, fines, and penalties resulting from EAs. The AFLOA/JACE Division Chief shall approve all payments of fines, penalties, and supplemental environmental projects (SEPs). When

6 AFI32-7047 15 FEBRUARY 2012

appropriate, the JACE Division Chief will consult SAF/GCN before approving payments of fines, penalties, and SEPs.

1.4.5. The Surgeon General (AF/SG):

1.4.5.1. Is the office of primary responsibility for Safe Drinking Water Act (SDWA) distribution system surveillance compliance.

1.4.5.2. Ensures Air Force Medical Support Agency Bioenvironmental Engineering

Division (AFMSA/SG3PB) support to A7/CAN with respect to SDWA compliance reporting and tracking.

1.4.5.3. Adequately funds AFMSA/SG3PB to execute required SDWA or OEBGD drinking water distribution system compliance sampling, analysis and monitoring for AF-owned public water systems as per AFI 48-144, Drinking Water Surveillance Program.

1.4.6. MAJCOMs, DRUs, FOAs, and ANG:

1.4.6.1. MAJCOM, DRU, and ANG Civil Engineer (CE), Environmental Elements:

1.4.6.1.1. Executes guidance for and oversight of the implementation of compliance reporting and tracking, release reporting and tracking, and inspection programs at their installations.

1.4.6.1.2. Assists installations in identifying and eliminating circumstances that may lead to situations of non-compliance.

1.4.6.1.3. Reaches consensus with the REO and RCO to determine whether written notice of non-compliance from a regulatory agency meets the criteria identified in the

EA definition and utilizes the Enforcement Actions, Spills, and Inspections (EASI) database (or current AF approved database) to record the decision. Notifies the installation of determination. If it is an EA, coordinate with RCO and REO to also designate the classification of the EA. If only two parties agree to track as an EA, the dissenting party may request a review of that decision by AF/A7CAN. For installations in overseas locations, Environmental Branch coordinates with

MAJCOM/JA to determine whether written correspondence from host nation governmental authority (HNGA) meets the minimum criteria identified in the HNEA definition.

1.4.6.1.4. Assists installations in the management of EAs/HNEAs.

1.4.6.1.5. Assists installations in complying with all applicable federal, state, local, and AF environmental standards. Assists installations in overseas locations to comply with applicable international agreement requirements, FGS, and if no FGS exist, the OEBGD.

1.4.6.1.6. Monitors compliance data posted on regulatory agency websites, such as

EPA’s Online Tracking Information System (OTIS), Enforcement & Compliance

History Online (ECHO) and other regulatory databases and tracking systems containing AF compliance data to include the SNC and HPV listings.

1.4.6.1.7. Assists installations with resolving discrepancies of regulatory records and facilitating US Environmental Protection Agency’s (EPA) concurrence to remove the

AFI32-7047 15 FEBRUARY 2012 7

installation from the Significant Non-Compliance (SNC) list and/or the High Priority

Violator (HPV) list.

1.4.6.1.8. Notifies the REO and installations when inconsistencies exist between AF and regulatory records related to environmental compliance.

1.4.6.1.9. Monitors open EAs/HNEAs through the EASI database and assists the installation with correcting and obtaining closure in a timely manner.

1.4.6.1.10. Performs reviews of EAs/HNEAs (until closure) to ensure information is current and complete and validates data in the EASI database by the fifth (5 th business day of each month. This includes the status on federal, state, and local compliance agreements (CAs), settlement agreements, consent, and other orders pertaining to environmental compliance activity.

1.4.6.1.11. Teams with representatives from the installation, REO, and RCO to represent the AF in all environmental compliance matters with local, regional, and/or federal environmental regulatory authorities.

1.4.6.1.12. Programs, budgets, and allocates resources to execute this Instruction.

1.4.6.1.13. Distributes all cross-feed information to installations as it is received.

1.4.6.1.14. Reports environmental compliance status, identifies trends, and reports results to the MAJCOM ESOHC and during annual EMS Management Review.

1.4.6.2. Command Bioenvironmental Engineering (BE):

1.4.6.2.1. Assists in resolving AF drinking water violations and other potential health risk issues associated with the SDWA.

1.4.6.2.2. Assists installations in identifying and eliminating circumstances that may lead to SDWA situations of non-compliance.

1.4.6.2.3. Notifies AFMSA/SG3PB of non-compliance situations based on potable water quality sampling at installation level within one (1) business day of being notified by the installation Bioenvironmental Engineer (BEE) or other installation authority.

1.4.7. Installations: The Installation Commander is ultimately responsible for ensuring compliance with all applicable environmental requirements, as well as timely reporting and tracking of environmental compliance inspections, releases, EAs/HNEAs, assessed fines and penalties, CAs, and orders entered into or agreed to as the result of non-compliance.

1.4.7.1. Civil Engineer, Asset Management Flight, Environmental Branch (CEAN or equivalent):

1.4.7.1.1. Assists organizations to identify and eliminate circumstances that may lead to situations of non-compliance. CEAN may fund elimination activities only when/if allowed by Environmental Quality (EQ) funding guidance.

1.4.7.1.2. Notifies the Installation Commander (via chain of command), the installation Staff Judge Advocate (SJA), and MAJCOM, DRU, FOA, or ANG CE, Environmental Branch of any written notice of non-compliance from regulatory agencies.

8 AFI32-7047 15 FEBRUARY 2012

1.4.7.1.3. Creates a new entry, upon receipt of a written notice of non-compliance from a regulator, and uploads the written notice in the EASI database.

1.4.7.1.4. Provides additional required data in the EASI database (once MAJCOM, DRU, FOA, or ANG CE, Environmental Branch classifies the non-compliance as an

EA/HNEA) and provides real-time status updates until officially closed or rescinded.

1.4.7.1.5. Notifies the Installation Commander that the written notice of non-compliance is an EA/HNEA.

1.4.7.1.6. Consults with installation SJA first, then MAJCOM, DRU, FOA, or ANG

CE, Environmental Branch; BE; RCO; and REO, as appropriate, prior to providing a response to the regulatory agency.

1.4.7.1.7. Initiates prompt action to ensure timely closure of all EAs/HNEAs, to include facilitating EPA concurrence to remove the installation from the SNC and/or

HPV listings.

1.4.7.1.8. Monitors installation compliance data posted on regulatory agency websites, such as EPA’s OTIS, ECHO and other regulatory databases and tracking systems containing AF compliance data to include the SNC and HPV listings and identifies and initiates resolution of inconsistencies in regulatory records.

1.4.7.1.9. Reports environmental compliance status, identifies trends, and reports results to the installation ESOHC and during annual EMS Management Review.

1.4.7.1.10. Conducts a detailed root cause analysis in accordance with Root Cause

Analysis guidance provided in the Environmental Reporting Playbook.

1.4.7.2. Staff Judge Advocate (SJA):

1.4.7.2.1. Reports all actual or potential environmental litigation to the ELO for the appropriate MAJCOM, DRU, FOA, or ANG, and the appropriate RCO according to

AFI 51-301, Civil Litigation.

1.4.7.2.2. Reports the issuance of any written notice of non-compliance or knowledge of potential non-compliance to the installation CEAN and the RCO within one (1) business day.

1.4.7.2.3. Provides the installation CEAN assistance on an appropriate response to the EA/HNEA and advises on all relevant enforcement issues.

1.4.7.2.4. Coordinates with the RCO on all CAs/orders and other dispute resolution issues.

1.4.7.3. Bioenvironmental Engineering (BE):

1.4.7.3.1. Jointly supports CEAN and CE Operations in resolving installation drinking water violations per AFI 48-144, Drinking Water Surveillance Program.

1.4.7.3.2. Assists installations in identifying and eliminating circumstances that may lead to the issuance of new EAs/HNEAs related to drinking water.

AFI32-7047 15 FEBRUARY 2012 9

1.4.7.3.3. Notifies installation CEAN and Command BE of non-compliant situations, including notices of violation, based on potable water quality sampling at installation level within one (1) business day.

1.4.7.3.3.1. Consults with the Installation Drinking Water Working Group (or

CEAN at minimum), and immediately implements the public notification procedures described by the primary agency when drinking water analytical results indicate a potential public health threat or result in non-compliance with applicable regulations and standards.

1.4.7.3.3.2. Coordinates information with the Public Affairs Office in the preparation of Public Notifications.

1.4.8. Air Force Civil Engineer Support Agency (AFCESA):

1.4.8.1. Provides MAJCOMs, DRUs, FOAs, ANG, and installations with infrastructure system, building system, installation operation, and pest management related technical guidance, field assistance, and consultant support.

1.4.8.2. Finds technical solutions to recurring infrastructure and facility systems compliance problems and, working with other services, incorporates the appropriate requirements into Unified Facility Criteria (UFC) operations and maintenance documents.

1.4.8.3. Finds management solutions to recurring installation operations and pest management compliance problems and seeks to have appropriate requirements incorporated into appropriate guidance documents.

1.4.8.4. Provides guidance and information on performance work statements and service contract management to ensure environmental compliance.

1.4.8.5. Analyzes deficiencies and develops corrective actions for civil engineering training and management related to compliance with environmental laws and regulations.

1.4.9. Air Force Center for Engineering and the Environment (AFCEE):

1.4.9.1. Technical Division (TD): Supports AF/A7CAN in the collection and analysis of environmental data including reporting and tracking EAs/HNEAs, spills/releases, and inspections in order to achieve AF-wide objectives and targets and AF performance measures. Also provides AF/A7CAN direct support in preparing and issuing guidance for executing the environmental compliance program and associated tracking and reporting, advocating for resources, and overseeing environmental reporting and tracking requirements throughout the AF.

1.4.9.1.1. Provides AF-wide standardized reporting capabilities.

1.4.9.1.2. Supports Higher Headquarters (HHQs) data calls (e.g., Defense

Environmental Programs Annual Report to Congress).

1.4.9.1.3. Analyzes compliance data from the EASI database and other environmental information from MAJCOMs, DRUs, FOAs, and ANG and reports as requested.

10 AFI32-7047 15 FEBRUARY 2012

1.4.9.1.4. Provides quarterly cross-feeds to pertinent AF organizations to prevent similar non-compliance at other installations.

1.4.9.2. Regional Environmental Office (REO): Represents the AF, on a regional basis, in dealing with federal, regional, state, and local environmental regulatory agencies. The Eastern REO covers EPA Regions 1-4; the Central REO covers EPA

Regions 5-8; and the Western REO covers EPA Regions 9-10. The REOs do not interact with host nation environmental regulatory agencies, but can provide technical assistance to overseas installations on HNEAs.

1.4.9.2.1. Prepares Enforcement Vulnerability Assessments (EVAs) to assist in development of focused Environment, Safety, and Occupational Health Compliance

Assessment and Management Program (ESOHCAMP) teams. It also helps identify and eliminate circumstances that may lead to situations of non-compliance.

1.4.9.2.2. Reaches consensus with MAJCOM, DRU, FOA, or ANG CE, Environmental Branch and RCO to determine whether written notice of non-compliance from a regulatory agency meets the criteria identified in the EA definition. If it is an EA, MAJCOM, DRU, FOA, or ANG CE Environmental

Branch, RCO and REO shall also designate the classification of the EA. If only two parties agree to track as an EA, the dissenting party may request a review of that decision by AF/A7CAN.

1.4.9.2.3. Assists MAJCOMs, DRUs, FOAs, ANG, and installations in initiating actions to ensure timely closure of all EAs and assists in obtaining formal closure of

EAs from the regulator.

1.4.9.2.4. Produces monthly cross-feeds to AFCEE/TD to prevent similar non-compliance at other installations.

1.4.9.2.5. Prepares and disseminates environmental-related alerts as well as legislative and regulatory activity summaries to SAF/IEE, AF/A7CAN, MAJCOM, DRU, FOA, or ANG CE, Environmental Elements, and installations.

1.4.9.2.6. Monitors compliance data posted on regulatory agency databases and notifies MAJCOM, DRU, FOA, or ANG CE, Environmental Branch, and installations of any inconsistencies discovered between AF and regulatory records.

Upon request, provides installation with assistance to ensure resolution of inconsistencies in regulatory records and/or timely closure of all EAs/HNEAs, to include facilitating EPA concurrence to remove the installation from the SNC and/or

HPV listings.

1.4.9.2.7. Meets with federal, regional, state, and local regulatory agencies and legislators to discuss AF environmental status and other issues that may affect AF environmental programs.

1.4.9.2.8. Advises SAF/IEE, AF/A7CAN, MAJCOM, DRU, FOA, or ANG CE, Environmental Branch, and installations of federal, regional, state, and local regulatory proposals and other initiatives that may affect AF environmental programs.

AFI32-7047 15 FEBRUARY 2012 11

1.4.9.2.9. Analyzes compliance data from the EASI database and other environmental information from MAJCOM, DRU, FOA, or ANG CE, Environmental

Elements and reports as requested by AFCEE, AF/A7CAN, or SAF/IEE.

1.4.9.2.10. Determines when EAs and CAs are complete and ready to close or has been rescinded by the issuing agency and indicates “closed” or “rescinded,” as is appropriate, in the EASI database. The REO makes these determinations in accordance with the requirements of Chapter 3.

12 AFI32-7047 15 FEBRUARY 2012

Chapter 2

MANAGEMENT AND REPORTING REQUIREMENTS

2.1. Reporting and Tracking Inspections. Installations shall report regulatory inspections within five (5) business days of the start of an inspection using the EASI database, Inspections

Module. Installations shall complete all data fields and upload all inspection reports to the EASI database. A single media or multi-media inspection shall be tracked as one (1) inspection per media area inspected regardless of length or duration.

2.2. Reporting and Tracking Spills/Releases. Installations and MAJCOM, DRU, FOA, or

ANG CE shall execute all release notification and reporting requirements according to applicable federal, state, and local laws and regulations and in accordance with AFI 10-2501, Air Force

Emergency Management (EM) Program Planning and Operations, AFI 10-206, Operational

Reporting, and AFMAN 32-4013, Hazardous Material Emergency Planning & Response Guide.

For overseas installations, release notification and reporting requirements shall be accomplished in accordance with the country-specific FGS, or if no FGS exists, the OEBGD. All installations shall also report spills and releases within one (1) business day using the EASI database, Spill

Module (also known as the Spill Incident Release Internet System [SIRIS]).

2.2.1. Immediate Release Notification. Installations shall report using the Air Force

Operations Reporting System, Operational Event/Incident Report (OPREP-3) according to

AFI 10-206. Installations shall report required information through the EASI database, Spill

Module, within one (1) business day if any release meets one (1) or more of the following criteria. In addition, when releases meet one (1) or more of the criteria reported in paragraphs 2.2.1.1 through 2.2.1.6, the MAJCOM, DRU, FOA, or ANG CE, Environmental

Elements shall notify AF/A7CAN, by telephone or email as soon as possible but no more than one (1) business day after a spill/release is reported by the installation.

2.2.1.1. Results in injury or loss of life.

2.2.1.2. Results in loss of aircraft or facility.

2.2.1.3. Causes interruption of flying operations.

2.2.1.4. Causes environmental contamination extending beyond installation boundaries.

2.2.1.5. Creates potential of financial impact exceeding $50,000.

2.2.1.6. Results in or may result in litigation, publicity, or media coverage.

2.2.1.7. Contaminates a body of water and/or waters of the US.

2.2.1.8. Involves 25 gallons or more of petroleum, oils, or lubricants (POL) or the release of POL causes a film or sheen on nearby surface water.

2.2.1.9. Is estimated to be equal to or greater than a Reportable Quantity (RQ).

2.2.1.10. Involves sewage and one (1) or more of the following conditions apply:

2.2.1.10.1. The release may cause imminent and substantial threat to public health, safety, or the environment.

2.2.1.10.2. A release in any amount reportable to a regulatory or permitting authority.

AFI32-7047 15 FEBRUARY 2012 13

2.2.1.10.3. A release of 1,000 gallons or more.

2.2.1.11. Overseas installations shall also report as required in accordance with the country specific FGS, or if no FGS exists, the OEBGD.

2.2.2. Follow-up Release Reporting. Installations shall provide follow-up reports on incidents meeting any of the criteria listed in paragraph 2.2.1 to their MAJCOM, DRU, FOA, or ANG CE, Environmental Branch by telephone, email, OPREP-3 (see AFI 10-2501), and updating the EASI database, as required by the situation. MAJCOM, DRU, FOA, or ANG

CE, Environmental Branch shall submit follow-up information to AF/A7CAN by telephone or email. Installations shall continue to update the Spill Module and close each incident upon completion of corrective action.

2.3. Reporting Non-Compliance Related Issues. Installations shall report all written notices, e-mail messages, field citations, and other correspondence from regulatory agencies pertaining to non-compliance within one (1) business day through the EASI database. Installations in overseas locations shall report such correspondence from Host Nation (HN) officials as directed in applicable country specific FGS, or if no FGS exists, the OEBGD, within one (1) business day through the EASI database. All organizations shall utilize the EASI database to capture the required data. In addition, installations shall aggressively pursue the closure of open

EAs/HNEAs while taking proactive measures to prevent any new EAs/HNEAs from being issued.

2.4. Identifying EAs/HNEAs. MAJCOMs, DRUs, FOAs, or ANG CE, Environmental

Elements, RCOs, and REOs shall decide by consensus whether or not a written notice of non-compliance issued by a regulatory agency shall be designated as an EA. MAJCOM, DRU, FOA, or ANG CE, Environmental Branch, RCO and REO have one (1) business day to determine whether written notice of non-compliance from a regulatory agency meets the criteria identified in the EA definition. If it is an EA, MAJCOM, DRU, FOA, or ANG CE, Environmental Branch, RCO and REO shall also designate the classification of the EA. If only two parties agree to track as an EA, the dissenting party may request a review of that decision by AF/A7CAN.

AF/A7CAN notifies SAF/IEE and, when appropriate, SAF/GCN if and why consensus was not achieved. For overseas installations MAJCOM, DRU, FOA, or ANG CE, Environmental Branch coordinates with the MAJCOM/JA to determine whether a written notice of non-compliance issued by a HNGA meets the minimum criteria identified in the HNEA definition. The responsibility for identifying HNEAs may be delegated to the Numbered Air Force

(NAF)/A7AV and NAF/JA upon approval of the MAJCOM ESOHC, but any delegation shall be in writing and a copy of the delegation document shall be provided to MAJCOM, DRU, FOA, or

ANG CE, Environmental Branch, MAJCOM/JA, AF/A7CAN, and ELFSC.

2.4.1. Enforcement Action (EA). A formal, written notification by the EPA or other authorized federal, state, inter-state, regional or local environmental regulatory agency of violation of any applicable statutory or regulatory requirement. Sub-paragraphs 2.4.1.1 through 2.4.1.7 shall be followed when determining what type of written notification does and does not constitute an EA.

2.4.1.1. A formal, written notification may include letters, inspection reports, field citations, e-mail messages, unilaterally issued compliance orders, and other written correspondence sent from a regulatory agency by a person authorized to issue notices of violation and other incidences of non-compliance.

14 AFI32-7047 15 FEBRUARY 2012

2.4.1.2. The content of the letter (not the subject line or title on the letter) shall determine whether a formal, written notification is an EA. For example, if the subject line or title states “potential,” “possible” or “alleged” violation, but the text of the letter clearly states the installation is not in compliance with a regulatory requirement, then it shall be labeled an EA.

2.4.1.3. The written notification need not cite the specific standard or criteria of the applicable statutory or regulatory requirement to be met. The written notification need not request or direct the installation take corrective action.

2.4.1.4. EAs include notifications of violation of applicable permits, consent agreements, and compliance orders. They also include warning letters or similarly titled formal written notifications referring to violations of applicable permits, agreements, orders, or releases of contaminants onto the land, into water and/or to the atmosphere.

2.4.1.5. EAs do not include warning letters that do not cite a violation of an environmental law or regulation, informal notices of deficiencies (e.g., field inspection notes versus field citations) or notices of deficiencies to permit applications.

2.4.1.6. One (1) written notice, regardless of the number of individual violations, findings, or citations listed in it, counts as one (1) EA, if all violations cited relate to a single environmental law or regulation. If the written notification cites violations of more than one (1) environmental law or regulation then it is counted as multiple EAs, one (1) under each applicable environmental law or regulation.

2.4.1.7. Internal or other DoD component review, compliance review, audit, or

ESOHCAMP findings that identify a violation of any applicable statutory or regulatory requirement are not to be counted as an EA. Any written correspondence from a regulatory agency addressing Resource Conservation and Recovery Act (RCRA, 42

U.S.C. §§ 6901 to 6992k) Corrective Actions or Comprehensive Environmental

Response, Compensation, and Liability Act (CERCLA, 42 U.S.C. §§ 9601 to 9675) requirements which will be corrected using Environmental Restoration Account (ERA) funds are to be excluded from external EA reporting, but will be tracked internal to the

AF. However, if RCRA or CERCLA cleanup activities themselves generate an EA that is issued under some authority other than CERCLA or RCRA's Corrective Action provisions, the EA shall be included in external EA reporting.

2.4.2. Host Nation Enforcement Action (HNEA). A formal, written notification by the appropriate HNGA to an installation located outside the US and its territories indicating non-compliance with the requirements of a treaty, international agreement, host nation statute, or host nation regulation. Because of the sensitive nature of operating in a host nation, installations located outside the US and its territories shall report all notices of non-compliance from HNGAs. This does not mean the installation shall comply with all host nation requirements. Compliance with host nation requirements is determined by international agreements, OEBGD, country-specific FGS, and/or other applicable agreements. Installations should consult with the MAJCOM, DRU, FOA, or ANG CE, Environmental Branch and MAJCOM/JA to determine if compliance with specific host nation requirements is mandatory. Installations reporting outside of the AF should go through SAF/IE.

AFI32-7047 15 FEBRUARY 2012 15

2.4.2.1. One (1) written notice, regardless of the number of individual violations, findings, or citations listed in it, counts as one (1) HNEA if all violations cited relate to a single environmental media. If the written notification cites violations of more than one

(1) environmental media (e.g., air, waste water, drinking water, hazardous waste, etc.), then count it as multiple HNEAs, one (1) under each applicable media area.

2.4.2.2. Items found to be out of compliance during an internal or other DoD Component review, compliance review or audit, are not to be counted as (included in this definition

of) HNEAs.

2.4.3. Classification of EA/HNEA. The REO, RCO and MAJCOM, DRU, FOA, or ANG

CE, Environmental Branch have one (1) business day to determine and report to the installation the classification of the written correspondence. These parties shall also determine if the EA meets the criteria for High Visibility as defined in the Environmental

Reporting Playbook. For overseas installations, MAJCOM, DRU, FOA, or ANG CE, Environmental Branch coordinates with the MAJCOM/JA to determine the classification and whether an HNEA meets the criteria for a High Visibility HNEA.

2.4.3.1. Administrative (A): Any non-compliance relating to incomplete paperwork or lack of detail, such as, but not limited to, failing to: complete forms in their entirety; note dates on forms; note land-ban information; keep logs up to date; or document required training.

2.4.3.2. Operational (O): Any non-compliance relating to how business is conducted, such as, but not limited to: failing to make proper notifications, obtain required permits before conducting operations that require permits, or submit required samples in a timely manner; storing hazardous waste beyond allowed timeframes; lacking training or certification required by law; or transporting hazardous waste without a manifest.

2.4.3.3. Project (P): Any non-compliance requiring the initiation of a project to fund the work and/or significant construction and/or demolition, such as but not limited to when permit standards are exceeded and substantial facility repairs, modifications, or upgrades must be made to regain compliance.

2.5. Reporting and Tracking of EA/HNEA. Installations and MAJCOM, DRU, FOA, or

ANG CE, Environmental Elements shall utilize the EASI database for data management, reporting and tracking. MAJCOM, DRU, FOA, or ANG CE, Environmental Branch shall input the EA determination into the EASI database within one (1) business day after the consensus designation that the written notice of non-compliance is an EA/HNEA. Once the installation is notified by their MAJCOM, DRU, FOA, or ANG CE, Environmental Branch of the EA determination, the installation shall immediately notify the Installation Commander and input all required information into the EASI database within three (3) business days. Overseas installations should consult the DoD Lead Environmental Component and Department DoDI

4715.5, Management of Environmental Compliance at Overseas Installations, for any additional reporting requirements. Installations shall upload an electronic copy of any correspondence between the AF and the regulating agency regarding the EA/HNEA into the EASI database within three (3) business days of receipt to include closure documentation.

2.5.1. EA/HNEA Status. MAJCOM, DRU, FOA, or ANG CE, Environmental Branch, in consultation with the AFCEE REOs and the RCO shall determine the status of the EA and

16 AFI32-7047 15 FEBRUARY 2012

report through the EASI database. In overseas locations, MAJCOM/A7AV and

MAJCOM/JA shall determine the status of an HNEA and report through the EASI database.

2.5.1.1. Unresolved EA/HNEA. An EA/HNEA for which the deficiency(ies) is not yet corrected.

2.5.1.2. Pending EA/HNEA. An EA/HNEA for which the deficiency(ies) has been corrected, but remains open pending agreement by the regulator that it is closed or rescinded.

2.5.1.3. Disputed EA/HNEA. An EA/HNEA for which the AF disagrees that there is non-compliance or disagrees that the requirement is applicable to the installation and is working with the regulator toward resolution. A disputed EA/HNEA does not include an

EA/HNEA in which only the fine or penalty is in dispute or being negotiated. A disputed

EA/HNEA shall be tracked, but not reported outside of the AF until the dispute is resolved.

2.5.1.4. Rescinded EA. Formal, written correspondence from a regulating agency classified as an EA that, for one reason or another, is revoked by the issuing agency.

2.5.2. Updates to the EASI database. Installations shall provide real time updates to EA entries into the EASI database. In the event that no changes have occurred, this shall be annotated at least monthly. MAJCOM, DRU, FOA, or ANG CE, Environmental Branch shall validate data in the EASI database by the fifth (5 th

) business day of each month. All offices shall meet the suspense date to their HHQ so that AF/A7CAN can review and forward monthly data to SAF/IEE. A root cause code and corrective action details resulting from the root cause analysis for the EA/HNEA shall be entered in the EASI database. The purpose of the codes is to identify the underlying cause for violations or incidents and to aid in trend analysis and creating solutions to prevent recurrence.

2.6. Compliance Agreement (CA). A multi-party agreement, consent order, interagency agreement, or other compliance document negotiated between a regulatory agency located in the

US or a US territory and the installation. Upon receipt of a proposed CA, installation personnel shall notify the installation SJA and CEAN immediately. Within one (1) business day, the installation shall report receipt of the proposed CA to MAJCOM, DRU, FOA, or ANG CE, Environmental Branch, REO and RCO of the CA. The REO shall initiate a CA entry in the

EASI database. Once a CA is signed by all parties, it in no way negates the need to close EAs, in accordance with paragraph 3.1 of this Instruction, and complete corrective actions associated with those EAs. The CA cannot be closed until the corrective actions are complete. Installations track CA updates using the EASI database until all findings from the associated EA(s) are closed. The REO shall close or, if applicable, rescind all EA entries and CA entries in the EASI database. Paragraph 3.3 of this Instruction specifies closure requirements for CAs.

2.6.1. Installation SJA and appropriate CEAN personnel negotiate CAs or orders in consultation with MAJCOM, DRU, FOA, or ANG CE, Environmental Branch, RCO, REO, and others (e.g., AF/A7CAN and ELFSC) as appropriate.

2.6.2. To facilitate closing EAs, CAs or orders need to establish mutually agreeable milestones for resolving issues of non-compliance and clearly state criteria for closure of the

EA.

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2.6.3. Proposed mutual CAs or orders, or their equivalent shall be consistent with agreements or orders signed by other AF installations and do not establish an unfavorable precedent. MAJCOM, DRU, FOA, or ANG CE, Environmental Branch shall send initial and subsequent drafts of proposed CAs or orders, along with copies of other relevant correspondence, to the appropriate POC at the REO, RCO, ELFSC, and AF/A7CAN for review. AF/A7CAN (through AF/A7C or through counsel) shall coordinate the review of any precedent setting or contentious CAs/orders with SAF/IEE to ensure appropriate visibility. Installations shall not sign agreements until coordination with appropriate AF agencies has been completed. Only Installation Commanders may sign CAs on behalf of the

AF. This authority may not be delegated.

2.6.4. Installations provide real time updates to the EASI database. MAJCOM, DRU, FOA, or ANG CE, Environmental Branch shall validate data in the EASI database by the fifth (5 th business day of the month. All offices shall meet the suspense date to their HHQ so

AF/A7CAN can review and forward monthly data by mid-month to SAF/IEE.

2.7. Fines and Penalties. Civil fines or penalties levied against AF installations as the result of environmental EAs are the funding responsibility of that installation. Commanders shall determine the specific internal funding realignment necessary to fund these costs. Commanders shall ensure that the correct appropriation is used to fund these costs. Although environmental

Operation & Maintenance (O&M) funds may be used, funded Level 0 or Level 1 environmental programs or projects shall not be displaced or deferred to fund fines, penalties, or SEPs. SEPs are projects performed in-lieu of fines and penalties levied by the EPA or other regulatory agencies. The Air Force views SEPs as equivalent to paying a fine; therefore, the funding guidance for fines and penalties also applies to SEPs. Installations shall seek, through their

MAJCOM, DRU, FOA, or ANG CE, Environmental Branch and RCO, AFLOA/JACE Division

Chief approval a minimum of ten (10) business days prior to paying a fine or penalty (including a SEP) to a regulatory agency as part of a mutual or unilateral compliance order or settlement.

Under no circumstance shall a fine or penalty (including a SEP) be paid until coordination with the appropriate MAJCOM, DRU, FOA, or ANG CE, Environmental Branch, and AFLOA/JACE

Division Chief gives approval. When appropriate, the AFLOA/JACE Division Chief will consult SAF/GCN before approving payments of fines, penalties, and SEPs.

18 AFI32-7047 15 FEBRUARY 2012

Chapter 3

ENFORCEMENT ACTION, HOST NATION ENFORCEMENT ACTION, AND

COMPLIANCE AGREEMENT RESOLUTION

3.1. Closing EAs. An EA is considered closed or, if applicable, rescinded if any of these conditions exist:

3.1.1. Regulator revokes or rescinds the action in writing.

3.1.2. Regulator issues written notice (to include email notification) that the action is closed.

3.1.3. Regulatory agency who issued the EA does not respond within sixty (60) days following written notice (sent via certified mail or other delivery confirmation receipt method) informing the regulator that the installation is in full compliance concerning the matters cited in the EA. (See Attachment 2 for sample 60-day closeout letter).

3.1.3.1. Sixty (60) day closeout letters may be sent after it is determined by the installation and MAJCOM, DRU, FOA, or ANG CE, Environmental Branch that all actions necessary to close the EA have been taken but a formal response by the regulator has not been received.

3.1.3.2. If the regulator responds within the sixty (60) day window with additional requirements, the EA may need to stay open. If the regulator responds after sixty (60) days with additional requirements to close the EA, the original EA is reopened.

3.1.4. Satisfaction of the terms of closure specified in a signed agreement or order. (See

2.6.2)

3.1.5. Discovery and verification by the REO that the EA is not open on regulatory agency records. The REO notifies the MAJCOM, DRU, FOA, or ANG CE, Environmental Branch and installation in writing if they learn the regulator has closed the EA or verifies with the issuing regulating agency that there is no further action required.

3.2. Closing HNEAs. An HNEA is considered closed or, if applicable, rescinded if any of these conditions exist:

3.2.1. HNGA issues written notification stating that it is satisfied with the actions taken to resolve the cited violation(s).

3.2.2. The HNGA revokes or rescinds the action in writing.

3.2.3. The HNGA does not respond within sixty (60) days following written notice (sent via certified mail or other delivery confirmation receipt method) that includes the following:

3.2.3.1. Notification to the HNGA that the installation is in full compliance concerning the matters cited in the HNEA.

3.2.3.2. Request written confirmation from the HNGA that the EA is closed. [NOTE:

Installations shall consult with MAJCOM, DRU, FOA, or ANG CE, Environmental

Branch and the appropriate DoD Lead Environmental Component on the proper method to notify HNGA prior to sending a 60-day closeout letter to the HNGA. In many cases, this communication must be routed through a host nation military agency rather than being directly addressed to the HN Environmental Agency. Written notice (60-day

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closeout letter) is only sent after it is determined by the installation and their MAJCOM, DRU, FOA, or ANG CE, Environmental Branch that any necessary project has been fully developed to correct all violations associated with an HNEA, and funding for the project(s) has been allocated in full.]

3.2.3.3. Notification to the HNGA that, in absence of confirmation, the installation shall deem the EA closed within sixty (60) days of the HNGA receipt of the letter. [NOTE: If the HNGA responds to the 60-day window with additional requirements, the EA may need to stay open. If the HNGA responds after 60 days with additional requirements to close the EA, the original EA is reopened.]

3.3. Closing CAs. The REO shall close or, if applicable, rescind all CA entries in the EASI database in accordance with this paragraph. A CA may not be closed until all corrective actions associated with EAs covered by the CA are complete, all milestones under the CA have been met, and at least one of the following occurs:

3.3.1. Regulator issues written closure notice…