REFRIGERANT MANAGEMENT
and Regulations Compliance
A best-practices approach
compliance programs, a task made especially challenging
By ROBERT JOHNSON, President,
because it involves the modification of human and organi-
Environmental Support Solutions,
zational behaviors, routines, and attitudes developed
Mesa, Ariz.
through many years of working with unregulated refriger-
C
oncern about ozone depletion has caused govern- ants. What鈥檚 more, the consequences of non-compliance
ments around the world to take strong, immedi- are severe. Violations can result in criminal enforcement
ate actions to prevent further damage. In the actions, including up to five years in prison. In addition,
United States, this has resulted in the Clean Air civil enforcement involves fines of $27,500 per day. In
Act amendments of 1990 and subsequent Environmental many instances, however, this amount is dwarfed by the
Protection Agency (EPA) regulations. costs related to negative public relations resulting from
In a few short years, refrigerants used in a multitude of ev- media exposure.
eryday applications have become federally controlled sub-
stances. This has impacted industries and organizations in- ROADBLOCKS TO COMPLIANCE
volved with air-conditioning and refrigeration equipment in Obstacles facing organizations that are developing and
several ways. First, enormous investments of human effort implementing responses to environmental regulations in a
and money have been made to identify, test, and bring to previously unregulated area are confusion about new work
market large volumes of substitute refrigerants. Secondly, processes, confusion over responsibility, and inexperience
significant capital outlays have been made to address exist- in regulated industry.
ing-equipment issues. Confusion about new work processes
Thirdly, and perhaps most significantly, sizable invest- Revising specific work processes to incorporate perma-
ments of capital and training have been made to develop nent and ongoing compliance requirements can be espe-
HPAC 41
Heating/Piping/AirConditioning 鈥? December 1999
ENGINEERING
REFRIGERANT MANAGEMENT
The 鈥淏est-Practices鈥? Solution
he following 鈥渂est-practices鈥? checklist was developed using information gathered through working with organizations through-
T out the United States and Canada in the development and implementation of effective refrigerant-management and regula-
tions-compliance programs. It contains both EPA 鈥渕ust-do鈥? regulatory requirements and industry 鈥渟hould-do鈥? recommendations.
Transportation (DOT) requirements?
The checklist is as follows:
Does your organization have a refrigerant-inventory and
Do you have copies and an understanding of Clean Air Act
storage policy incorporating national and state regulations and
Title VI amendments of 1990 and EPA regulations and require-
building codes?
ments applying to refrigerants used in your organization?
Does your organization have a leak-testing process and
Do you have copies and an understanding of the penalties
defined service procedures for positive-pressure and low-
and enforcement actions the EPA can impose on your organiza-
pressure appliances to insure EPA compliance and to
tion for non-compliance?
minimize emissions?
Does your organization have a mission statement for EPA
Does your organization have a policy and defined proce-
refrigerant-regulations compliance specifically documenting your
dures for disposal of refrigerant appliances, equipment, oils, and
intent to comply with all requirements and to minimize harmful
parts to insure EPA compliance and to minimize emissions?
refrigerant emissions?
Does your organization have a policy and defined proce-
Does your organization have a formal job description for a
dures for shipping and/or transportation of refrigerants into
refrigerant-compliance manager? The EPA will want to speak
and out of your facility to insure compliance with EPA and
with this person during a refrigerant-compliance inspection.
DOT requirements?
Has your organization developed and implemented a refrig-
Does your organization have a refrigerant-inventory-man-
erant-management and regulations-compliance plan? If so, does
agement policy and defined procedures for disbursements,
it include standard procedures to evaluate and verify compli-
transfers, usage reporting, and scheduled audits?
ance? Is it updated regularly to insure applicability?
Does your organization have a refrigerant-handling safety
Has your refrigerant-compliance manager been formally
policy that includes defined procedures? Are Material Safety
trained in EPA refrigerant-regulations-compliance management
Data sheets for all refrigerants used available to your service
and refrigerant-emission control to insure effective and complete
technicians? Do you have sufficient refrigerant-safety
implementation of your refrigerant-management program?
equipment, including personal-protection equipment, self-
Has your refrigerant-compliance manager been given the
contained breathing apparatus, and leak monitors?
financial resources and authority to implement your organiza-
Does your organization have a refrigerant-emergency-
tion鈥檚 refrigerant-management program?
response plan for major venting incidents, maximum-exposure
Has your organization conducted a detailed inventory of
levels, and evacuation procedures?
equipment and refrigerants, noting manufacturer, model, serial
Do your organization鈥檚 service-maintenance agreements
number, year installed, capacity in tons, charge size, leak rates,
include EPA refrigerant-compliance and emission-reduction re-
refrigerant type, and location?
quirements language to insure that your contractors are not
Does your organization handle environmentally harmful re-
exposing you to liability?
frigerants as a 鈥渃ontrolled substance,鈥? as recommended by the
Does your organization provide all affected personnel with
EPA? Do you track and control refrigerants and minimize
refrigerant-management policies and procedures manuals to
emissions from acquisition through final disposal?
insure their adherence to the refrigerant-management program?
Does your organization have a policy for EPA-required re-
Has your organization鈥檚 refrigerant-management and com-
frigerant recordkeeping, including a defined and uniform method
pliance program been effectively communicated to all affected
of collecting and maintaining records and making them available
personnel through documented training sessions?
to EPA inspectors upon request?
Do your affected personnel have copies of all updates and
Does your organization have copies of EPA certifications for
amendments to Title VI regulations and requirements issued by
all in-house and contractor technicians working at your facility to
the EPA since 1993?
insure that they are properly certified and to present to the EPA
Has your organization established a process and infrastruc-
upon request?
ture for collecting, distributing, and communicating updates and
Does your organization have a policy and defined proce-
amendments issued by the EPA?
dures for rapid internal response to material emissions from your
Does your organization conduct ongoing refrigerant-regula-
refrigerant appliances, equipment, and refrigerant inventory?
tions-compliance training for affected personnel?
Does your organization have a refrigerant-purchase policy
Do you have a policy for conducting annual internal refriger-
and a designated certified technician or contractor responsible
ant-compliance GAP analysis surveys to insure that your organi-
for all purchases?
zation is in compliance with all EPA requirements and is minimiz-
Does your organization have an appliance-servicing policy
ing refrigerant emissions?
that includes EPA-compliance requirements and specific refriger-
If you answered no to any of these questions, your organiza-
ant-handling procedures to reduce refrigerant emissions?
tion may have a gap in its compliance program and be suscepti-
Does your organization have a labeling policy for refrigerant
ble to violations.
cylinders and appliances using refrigerants per EPA and Dept. of
HPAC
42 December 1999 鈥? Heating/Piping/AirConditioning
ENGINEERING
cially difficult in large organizations with multiple
departments and/or contract maintenance. Because the reg-
ulations are relatively new, compliance information is not as
abundant as information on more traditional environmental
issues. As a result, additional research often is required to de-
velop specific policies and procedures. Poorly designed and
undefined organizational policies and procedures can result
in non-compliance.
Confusion over responsibility
Because refrigerant typically has been a facility-opera-
tions issue, rather than an environmental issue, there often
are responsibility-crossover issues, egos, and structural-pro-
cess issues to overcome. Unclear definitions of roles and re-
sponsibilities from the management level to the employees
handling refrigerants can result in non-compliance. Em-
ployees need to know who is accountable for various issues,
what is expected of them, and who to turn to for help.
Inexperience in regulated industry
In many cases, individuals working with refrigerants
have little or no past experience dealing with federally reg-
ulated substances. The regulations and subsequent EPA re-
quirements are tough, while the consequences for non-
compliance are severe. Many do not understand the
magnitude of the ramifications they and their organization
face for violations. Unavailability of written procedures,
guidance, and management support can result in non-com-
pliance.
STEPS TO SUCCESSFUL COMPLIANCE
An effective refrigerant-management and regulations-
compliance program involves the development of an organi-
zation-specific plan, the standardization of compliance man-
agement, the documentation of the organization鈥檚 intent to
comply, and the protection of refrigerant assets.
Develop an organization-specific plan
A refrigerant-management and regulations-compliance
plan should describe how requirements will be integrated
into existing work processes, with flow charts and work
statements used for illustration as required. The plan should
define the organization鈥檚 policies and procedures for han-
dling refrigerants from purchase through final disposal.
Successful compliance requires the establishment of stan-
dardized, uniform, and consistent policies and procedures
that are coordinated across all company functions and de-
partments and communicated to all affected personnel.
Without a plan, it is highly unlikely that environmental
compliance can be maintained.
The EPA/CMA (Chemical Manufacturers Association)
Root Cause Analysis Project Final Report1 identified the
following factors as either root causes or contributing causes
of non-compliance in environmental-management
programs:
Environmental aspects of facility processes and opera-
tions are not identified by management.
Procedures are unclear.
Interpretations of state and/or federal regulations are
contradictory.
Written procedures are unavailable.
HPAC 43
Heating/Piping/AirConditioning 鈥? December 1999
ENGINEERING
REFRIGERANT MANAGEMENT
The facility is unaware of the applicability of a Document the organization鈥檚 intent to comply
regulation. A well-written and implemented refrigerant-compliance-
Checks or audits are non-existent or insufficient. management plan formally describes and communicates all
Factors identified as primary contributing causes of opera- aspects of how refrigerants are to be handled by employees.
tions and maintenance non-compliance were: It insures that consistent and uniform policies and proce-
Management support or guidance is not provided. dures will be used across the organization, reducing the risk
Definitions of roles and responsibilities are unclear. of non-compliance and subsequent violations.
The report identified corporate policies, goals, targets, Protect valuable refrigerant assets
and guidelines as having a strong influence on environmen- A refrigerant-compliance plan will aid in the manage-
tal performance. Factors identified as contributing to suc- ment and protection of valuable refrigerant assets and mini-
cessful environmental compliance included: mize losses due to emissions. If an organization has CFC re-
frigerants, refrigerant management is even more critical,
because rising costs due to new taxes and production phase-
The ideal compliance plan minimizes out mean that the organization鈥檚 refrigerant inventory is
rapidly increasing in value.
capital expenditures and operating costs DEVELOPING THE PLAN
while achieving full compliance with Developing a refrigerant-regulations-compliance plan
involves the designation of a corporate refrigerant-compli-
applicable laws and requirements. ance manager, the development of an accurate and com-
plete assessment of refrigerant systems, the evaluation of
existing work processes and procedures, and the introduc-
Clearly defined commitment to management tools de- tion of an implementation-training process.
veloped by the facility and corporate staff. Designate a corporate
Accurate standard operating procedures that employees refrigerant-compliance manager
can understand. Title VI of the Clean Air Act provides information on
Training of employees. the responsibilities and characteristics of the 鈥渞esponsible
A comprehensive, well-integrated, and clearly articulated official鈥? regarding compliance issues. This individual, who
plan would play a large role in improving compliance. performs policy or decision-making functions, is a general
partner or proprietor; a principal executive officer or rank-
Standardize compliance management
A refrigerant-compliance plan defines exactly how an or- ing elected official; or a designated representative responsi-
ganization integrates regulations and requirements into or- ble for the overall operation of manufacturing, production,
ganizational structure and processes. Also, it defines respon- or operating facilities. This individual should have the au-
sibility and accountability so employees know who to turn thority and budget to affect change; be current on the or-
to for answers. The plan鈥檚 policies and procedures provide ganization鈥檚 HVACR operations, industry standards, and
guidance to all affected personnel, insuring that they know related regulations; and be able to communicate success-
what is required of them and how they are expected to do it. fully with other departments.
The ideal compliance plan minimizes capital expenditures Develop an accurate and complete
and operating costs while achieving full compliance with refrigerant-systems assessment
applicable laws and requirements. Before a refrigerant-compliance program is formulated, a
Refrigerants Under CAA Title VI Section 608,
Useful Information www.environ.com/EPA_Regs_Resource_Pages/EPA_
Proposed_Regulations_for_Recycling_of_Substi-
tute_Refrigerants_under_Section_608_copy(1).htm
ll of the following documents are available on the
A World Wide Web:
Compliance Guidance for Industrial Process Refriger- Information on the following related topics also can be
ation Leak Repair Regulations Under Section 608 of the found on the World Wide Web:
Clean Air Act, EPA鈥檚 Stratospheric Protection Division,
www.epa.gov/ozone/title6/608/compguid/guidance.pdf www.epa.gov/spdpublc/desc.html
EPA Stratospheric Ozone Protection Regulations, Ozone-protection regulations,
Title VI of the Clean Air Act, Section 608: Leak Repair www.epa.gov/spdpublc/title6/usregs.html
Requirements, National Recycling and Emission List of ozone-depleting chemicals,
Reduction Program, www.epa.gov/spdpublc/ods.html
www.environ.com/EPA_Regs_Resource_Pages/leak.html EPA鈥檚 links to non-EPA ozone-related information,
EPA Proposed Regulations for Recycling of Substitute www.epa.gov/spdpublc/othlinks.html#policy
HPAC
44 December 1999 鈥? Heating/Piping/AirConditioning
ENGINEERING
comprehensive assessment of refrigerant systems should be
performed. All equipment containing refrigerant and the
quantity of refrigerant that each piece contains should be
identified and an accurate and complete database should
be established.
Evaluate existing work
processes and procedures
The corporate refrigerant-compliance manager will
need to understand, evaluate, and institute required ad-
ministrative controls, policies, and procedures to verify
compliance. Required forms, as well as any necessary per-
mits, must be completed and sent to the EPA. Organiza-
tions must define their existing work processes and mod-
ify them accordingly to insure compliance with EPA
requirements. This includes operating and maintenance
practices, refrigerant recovery, recycling, and reclama-
tion procedures. All processes and procedures should be
examined for gaps and potential compliance-failure
points. New policies and procedures may have to be es-
tablished to insure complete accountability from refriger-
ant acquisition through disposal.
Training for compliance
A 鈥渞oll-out鈥? implementation-training process should
be developed to insure that everyone affected receives a
copy of the compliance program and any other informa-
tion they need to achieve success. After the training, the
organization could have employees sign a statement of
understanding to reinforce that compliance is a condition
of their employment. To insure ongoing compliance and
to further demonstrate the organization鈥檚 intent to com-
ply, regularly scheduled (at least once a year) compli-
ance-update training and self-audits or surveys should be
conducted. These can be performed using internal re-
sources or contracted to professional consultants special-
izing in refrigerant-regulations-compliance management.
Senior management鈥檚 visible commitment will have a
significant impact on the success of a refrigerant-regula-
tions-compliance program. Congress recognized this when it
designated 鈥渟enior-level management鈥? responsible in crimi-
nal-enforcement proceedings resulting from violations of
the 1990 Clean Air Act amendments. This responsibility
cannot be delegated away. Management鈥檚 defensible posi-
tion can be strengthened, however, by demonstrating intent
to comply.
CONCLUSION
Most refrigerants used for air conditioning and refriger-
ation contribute to global warming and/or ozone
depletion. Therefore, it is important that all organiza-
tions using refrigerants implement an ongoing refriger-
ant-management and regulations-compliance program to
minimize emissions and reduce the risk of violations.
REFERENCES
1) EPA/CMA Root Cause Analysis Project Final Report,
May 1999, available at es.epa.gov/oeca/ccsmd/rootcause/
rootcauseanalysis2.pdf. HPAC
HPAC 45
Heating/Piping/AirConditioning 鈥? December 1999
ENGINEERING
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