Cornell University
Policy Library -- Policy 2.9
ENTITIES AFFECTED BY THIS POLICY
Introduction and Scope of this Policy
Coordination of Environmental Activities
Implementation of Voluntary Environmental and Sustainable Campus Initiatives
Teaching and Research
Cost to Units
General Questions
Purview
Cornell Management System for the Environment and Chemical Management (CMS)
Environmental Compliance
Responsibilities for Policy Administration
Responsibilities for Environmental Compliance
Responsibilities for Voluntary Environmental Initiatives
APPENDIX A: LIST OF MAJOR FEDERAL ENVIRONMENTAL LAWS
APPENDIX B: ADMINISTRATION OF MAJOR FEDERAL ENVIRONMENTAL LEGISLATION AT CORNELL UNIVERSITY
Administration of Major Federal Environmental Legislation at Cornell University
APPENDIX C: SPECIAL REQUIREMENTS FOR CONSTRUCTION PROJECTS AND SIMILAR ACTIVITIES
Introduction
Environmental Compliance Reviews
Environmental Submittals
Modification of University Environmental Standards
Environmental Remediation Activities
APPENDIX D: THE CORNELL MANAGEMENT SYSTEM FOR THE ENVIRONMENT
AND CHEMICAL MANAGEMENT (CMS)
APPENDIX E: EXCERPTS FROM THE DEPARTMENT OF JUSTICE
2001 FEDERAL SENTENCING GUIDELINES
APPENDIX F: SUMMARY OF RESPONSIBILITIES FOR ENVIRONMENTAL COMPLIANCE
Allocation of Responsibility for Key Elements of Environmental Compliance
APPENDIX G: WHAT EVERYONE SHOULD KNOW ABOUT THIS POLICY-FREQUENTLY ASKED QUESTIONS
How do I comply with this policy?
Where can I get information on the laws and regulations that I need for this policy?
My work is not located at the Ithaca campus. Does this policy apply to me?
What is the Cornell Management System for the Environment and Chemical Management (CMS)?
Is there anything I need to do for the CMS?
I'm interested in doing more to help the environment. How can I get more involved?
Cornell University is committed to protecting the environment by complying
with regulations and striving for continuous improvement in environmental stewardship.
This policy formalizes Cornell University's tradition of responsible environmental
stewardship. Given the increasing complexity of environmental regulations and
issues and the generally decentralized structure of the university, the policy
is intended to clarify the roles, responsibilities, and strategy for achieving
and maintaining university-wide environmental compliance. The policy is also
needed to establish an official and university-wide forum for identifying, prioritizing,
and conducting voluntary environmental initiatives.
| University Documents | Other Documents |
| Note: Major federal environmental laws affecting Cornell University are listed in Appendix A to provide an overview of the scope of environmental legislation. The list is not comprehensive and other federal, state, and local laws and regulations may apply depending on the activity or location involved. Other requirements would be applicable to activities outside the United States. |
| Subject | Contact | Telephone | Email/URL |
| General Policy Clarification and Interpretation | Director, Environmental Compliance Office (ECO) | (607) 255-6643 | |
| Cornell Management System for the Environment and Chemical Management (CMS) | Director, Environmental Compliance Office (ECO) | (607) 255-6643 | cu_eco@cornell.edu
http://www.cms.cornell.edu/ |
| Voluntary Environmental Initiatives | Director, Environmental Compliance Office (ECO) | (607) 255-6643 |
These definitions apply to these terms as they are used in this policy.
Table 3| Cornell Management System for the Environment and Chemical Management (CMS) | A set of management processes and procedures that integrate Cornell's environmental compliance into day-to-day decisions and practices to benefit organizational performance. The CMS formalizes the distribution of responsibility throughout the university, monitors performance and identifies the need for preventative and corrective actions (see "Appendix D"). |
| Environmental Compliance | Meeting the requirements specified by government regulations that protect the air, water, natural resources, and other environmental media. |
| Environmental Media | Regulated areas such as air, water, and wetlands. |
| Environmental Compliance Program Administrator (ECPA) | The office or other unit of the university designated to conduct the central administration of an environmental program that enables the university or a part of the university to comply with environmental requirements for one or more environmental media. (This is in contrast to the management of an environmental compliance program at the college or division level.) |
| Environmental Standard Operating Procedure (ESOP) | A template (see "Forms") for developing the operating procedure for the responsible college or division that includes sections for information required for environmental compliance. |
| Voluntary Environmental Initiative or Undertaking | An activity that promotes environmental stewardship that is not required by federal, state, or local laws. Includes "beyond compliance," "sustainable future," and/or "greening" activities. |
A primary goal of this policy is to identify and clarify the roles, responsibilities, and strategy needed to effectively and efficiently achieve, maintain, and document environmental compliance. Compliance will be achieved and maintained by a collaborative effort of the Environmental Compliance Office (ECO) and the operating units. This policy establishes the basic structure and procedures for developing and implementing the Cornell Management System for the Environment and Chemical Management (CMS).
The information included in this policy is intended to enhance coordination of environmental activities and initiatives between university operating units-from major utilities to residence halls, from laboratories to farms and other research and academic facilities. The policy applies to all facilities that the university operates and controls.
This policy is designed to be flexible in its implementation regarding these initiatives, allowing for variations over time, and by college or division, in the scope of environmental undertakings.
Nothing in this policy is intended to directly affect teaching and research activities beyond that which is required for environmental compliance, unless specifically approved by the Responsible Executive on a case-by-case basis.
With the exception of some of the requirements identified in "Appendix C: Special Requirements for Construction and Similar Activities," the basic services of the ECO identified in this policy are intended to be provided without fee to the unit.
"Appendix H, What Everyone Should Know About this Policy" addresses general questions about this policy.
Note: University Policy 2.4, Health and Safety addresses regulatory compliance with respect to the management of the following substances: hazardous chemicals; pesticides; biological agents; medical waste; radioisotopes; and materials considered to be reproductive hazards. The Weill Cornell Medical College Office of Environmental Health and Safety is responsible for environmental, health, and safety programs at the medical campus.
Where there is a release or potential release of these materials to the natural environment that creates a compliance and/or significant environmental concern, Environmental Health and Safety (EH&S), ECO, and the units will work cooperatively to address the situation and achieve compliance, on the basis of the following understanding: Environmental Health and Safety is the lead unit for worker protection, and for unplanned incidents and spills. The Environmental Compliance Office is the lead unit for environmental compliance and protection.
This policy establishes the basic structure and procedures for developing and implementing the Cornell Management System for the Environment and Chemical Management (CMS). ECO and other ECPAs will centrally administer environmental programs that support each college or division's efforts to achieve and maintain environmental compliance. The CMS that is being developed and implemented for the university addresses regulations that are covered by both this policy and hazardous chemical and pesticide components covered by University Policy 2.4, Health and Safety.
Cornell University will create and maintain a consistent and user-friendly system that will enable compliance with environmental regulations and integrate environmental compliance programs into everyday decisions and practices of the Cornell community. Development and implementation of the CMS will be led by the Director of ECO. "Appendix D" contains additional information on the CMS.
Given the potential consequences of non-compliance, ECO and each responsible college or division must have an "effective program to prevent and detect violations of law," as described in the Department of Justice 2001 Federal Sentencing Guidelines. "Appendix E" contains excerpts from these guidelines. The CMS will include provisions that meet the minimum requirements of such a program.
The responsibility for environmental compliance is shared between Environmental Compliance Program Administrators (ECPAs) and the college or division.
Note: "Appendix B" identifies Environmental Compliance Program Administrators (ECPAs) for major federal laws covered by this policy and selected laws covered by Policy 2.4 on Health and Safety.
In general, the primary roles of ECPAs are to:
- support the colleges and divisions by determining and interpreting applicable regulations, providing training, establishing communications and Environmental Standard Operating Procedures (ESOPs) for university-wide issues, and facilitating compliance by providing technical and regulatory expertise;
- maintain university-wide permits and inventories, and act as liaison with the government regulators;
- assess the compliance status of each college and division.
In general, the college or division's primary role is to:
- operate in compliance with permits and applicable regulations;
- gather all required data and prepare and submit required reports;
- prepare college- or division-specific Environmental Standard Operating Procedures (ESOPs)and provide college- or division -specific training.
"Appendix G" provides additional information on the roles of the ECPAs and the colleges and divisions. Practically, the actual role played will be somewhat case specific.
"Appendix C" contains special requirements for construction projects and similar activities.
Note: This policy will be revised as needed to incorporate procedures established through the development and implementation of the CMS.
| Vice President for Administration, the Provost, and the Provost for Medical Affairs | Assume overall responsibility for the implementation of this policy at all facilities that the university operates and controls. |
| College or Division Head |
Assume overall responsibility for the implementation of this policy at all facilities under their control. Assign a Dean, Director or other designated high-level official as the College or Division Environmental Official to oversee and enforce compliance with this policy within the college or division and to sign and/or certify required documentation for the college or division. |
| Director, ECO | Administer this policy and advise the university community of its responsibilities regarding this policy. |
| College or Division Environmental Official | Implement
and enforce this policy in all facilities and operations under his or her
control. Designate and empower a facility manager or equivalent employee as the College or Division Environmental Representative to serve as the primary liaison with the ECO for the policy. Environmental Representatives may also be designated at the department level, at the discretion of the College or Division Environmental Official. Inform all individuals in the college or division, including but not limited to principal investigators, regular and temporary employees, visiting scholars, and students, of this policy. |
| College or Division Environmental Representative | Coordinate
the implementation of this policy for university practices and programs
for the college or division. Serve as the day-to-day environmental contact and college or division representative for this policy. |
| All |
Comply with environmental laws. Inform a supervisor or instructor of any environmental compliance issues of concern in the workplace, classroom, or laboratory |
| Director, ECO |
Be responsible for environmental compliance at the university. Certify environmental compliance for the university for actions that involve more than one college or division. Review and approve all reports, designs, permits, and other documents required for environmental compliance for the programs administered by ECO Establish generic ESOPs and management practices for the programs administered by ECO. Mandate and approve college or division-specific ESOPs and management practices when there is a potential for significant environmental harm. Mandate modifications to facilities that are needed for environmental compliance when there is a potential for significant environmental harm Assess implementation of designs, ESOPs, management practices, and other reports, permits, and environmental documents Serve as the Director of the CMS. Develop and implement the CMS. Conduct a periodic evaluation of each environmental compliance program and college or division to assess overall conformance with the CMS process and to document any areas needing improvement. |
| Environmental Compliance Program Administrator (ECPA) |
Centrally administer environmental compliance programs that are college- or division-implemented, to ensure all university facilities and operations comply with the laws that protect the natural environment. Coordinate with other ECPAs to provide an effective and efficient comprehensive environmental compliance program for the university. Identify, interpret, and effectively communicate existing or proposed environmental requirements to the College or Division Environmental Representative or the Responsible Officers of this policy, as appropriate. Anticipate, track, and communicate new regulations. Recommend programs, ESOPs, best management practices, and other actions for compliance. Maintain university-wide environmental databases and inventories. Monitor compliance with environmental statutes and regulations, through self-assessments and other means, which may include coordinating audits by the University Audit Office or assessments conducted by outside consultants. Assessments will be coordinated with the college or division. Provide training for College or Division Environmental Representatives and open training for generic environmental compliance. Note instances of noncompliance and recommend improvements; submit these to the College or Division Environmental Official and the College or Division Environmental Representative. Interact with governmental entities on behalf of the university on environmental issues related to regulatory development, interpretation and negotiation of environmental compliance conditions (e.g., permits, inspections, enforcement actions). Communicate with the colleges and divisions through the College or Division Environmental Official or the College or Division Environmental Representative. Alternatively, communication may be either directly with college or division personnel in consultation with the College or Division Environmental Representative. |
| College or Division Environmental Official |
Ensure that environmental compliance requirements for his or her college or division are met, and that necessary training is provided. Commit the college or division and the resources necessary to carry out environmental compliance activities. Certify all legal reports and submit materials required for environmental compliance, at the college or division level. Take all reasonable steps to respond to noncompliance incidents, to prevent recurrences. Notify the ECPA immediately of any noncompliance incidents. Establish and implement an appropriate college or division-specific management system in conformance with university requirements for the CMS. Exceptions to this are possible, at the discretion of the director of the CMS. Incorporate environmental compliance requirements and responsibilities into each appropriate job description. Ensure compliance with applicable environmental laws and regulations for operations conducted outside of the United States. |
| College or Division Environmental Representative |
Communicate effectively to all college or division personnel and students, as appropriate, the standards and procedures required for compliance. Communicate environmental requirements to on-site service providers and contractors, identifying alternate channels for communication when direct communication is not possible (e.g., through State University Construction Fund contacts or through the Contract Colleges Facilities office.) Collect and maintain required monitoring and/or inventory data. Submit required reports to regulatory agencies after approval by the Director of ECO or the appropriate ECPA. (This approval may be waived through procedures established in the CMS.) Copy the ECPA on all report submittals unless deemed unnecessary by the ECPA. Immediately notify the ECPA of any inspection or enforcement activity, and involve the ECPA as a regulatory liaison. Notify the appropriate ECPA when changes in operation occur that may invoke additional regulations. Serve as the day-to-day contact and college or division representative for the CMS. Work with the CMS staff in ECO to develop and implement the CMS and appropriate compliance programs for the college or division. Coordinate environmental compliance activities with all individuals in the college or division, including but not limited to principal investigators, regular and temporary employees, visiting scholars, and students. Coordinate college and division compliance assessments with the ECPA's. Communicate for the college or division with ECO and other ECPAs on issues regarding environmental compliance. Communication may be either directly through the College or Division Environmental Representative or directly with college or division personnel in consultation with the College or Division Environmental Representative. |
| Faculty Member, Principal Investigator, and Supervisor |
Ensure that environmental compliance requirements are met for university practices and programs under their supervision or control. Communicate and coordinate with the College or Division Environmental Representative on environmental compliance requirements and issues. Identify and ensure compliance with applicable environmental laws and regulations for operations conducted outside of the United States. |
| Director, ECO | Maintain the Cornell Sustainable Campus website to illustrate the various voluntary environmental initiatives undertaken by campus units. |
| Provost | In concert with the Executive Vice President, determine which voluntary environmental initiatives will be undertaken by the university. |
| Provost for Medical Affairs | Determine which significant voluntary environmental initiatives will be undertaken by the medical campus. |
| College or Division Environmental Official | Commit the college or division and the resources necessary to carry out voluntary environmental activities when desired by the college or division or required by the Responsible Executives for this policy. |
| College or Division Environmental Representative | Communicate information on voluntary environmental initiatives to the college or division, as appropriate. |
Executive Vice President |
In concert with the Provost, determine which voluntary environmental initiatives will be undertaken by the university. |
| Form | URL |
| Environmental Standard Operating Procedure (ESOP) Template | http://www.cms.cornell.edu/ |
Major federal environmental laws and regulations affecting Cornell University are listed below. As noted in the body of the policy, this list is intended to provide an overview of the scope of environmental legislation covered by this policy and is not comprehensive. Summaries of these laws are available at the EPA website, at: http://www.epa.gov/epahome/laws.htm.
Table 8| Law or Regulation | Full Text Version |
| National Environmental Policy Act of 1969 (NEPA); 42 United States Code (U.S.C.) 4321-4347 | http://ceq.eh.doe.gov/nepa/regs/nepa/nepaeqia.htm |
| Chemical Safety Information, Site Security and Fuels Regulatory Relief Act Public Law 106-40, Jan. 6, 1999; 42 U.S.C. 7412(r)Amendment to Section 112(r) of the Clean Air Act | http://yosemite.epa.gov/oswer/CeppoWeb.nsf/content/csissfrra.htm |
| The Clean Air Act (CAA); 42 U.S.C. s/s 7401 et seq. (1970) and amendments | http://yosemite.epa.gov/oswer/CeppoWeb.nsf/content/caa112r.htm |
| The Clean Water Act (CWA); 33 U.S.C. s/s 1251 et seq. (1977) | http://www.epa.gov/region5/water/cwa.htm |
| Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA or Superfund) 42 U.S.C. s/s 9601 et seq. (1980) | http://www.epa.gov/superfund/action/law/cercla.htm |
| The Emergency Planning & Community Right-To-Know Act (EPCRA); 42 U.S.C. 11011 et seq. (1986) | http://yosemite.epa.gov/oswer/CeppoWeb.nsf/content/epcra_law.htm |
| The Endangered Species Act (ESA); 7 U.S.C. 136; 16 U.S.C. 460 et seq. (1973) | http://www.epa.gov/region5/defs/html/esa.htm |
| Federal Insecticide, Fungicide and Rodenticide Act (FIFRA); 7 U.S.C. s/s 135 et seq. (1972) | http://www.epa.gov/region5/defs/html/fifra.htm |
| The Oil Pollution Act of 1990 (OPA); 33 U.S.C. 2702 to 2761 | http://www.epa.gov/region5/defs/html/opa.htm |
| The Pollution Prevention Act (PPA); 42 U.S.C. 13101 and 13102, s/s et seq. (1990) | http://www.epa.gov/region5/defs/html/ppa.htm |
| The Resource Conservation and Recovery Act (RCRA); 42 U.S.C. s/s 321 et seq. (1976) | http://www.epa.gov/region5/defs/html/rcra.htm |
| The Safe Drinking Water Act (SDWA); 42 U.S.C. s/s 300f et seq. (1974) | http://www.epa.gov/region5/defs/html/sdwa.htm |
| The Occupational Safety and Health Act (OSHA); 29 U.S.C. 651 et seq. (1970) | http://www.epa.gov/region5/defs/html/osha.htm |
| The Superfund Amendments and Reauthorization Act (SARA); 42 U.S.C. 9601 et seq. (1986) | http://www.epa.gov/superfund/action/law/sara.htm |
| The Toxic Substances Control Act (TSCA); 15 U.S.C. s/s 2601 et seq. (1976) | http://www.epa.gov/region5/defs/html/tsca.htm |
|
LAW
|
Compliance Program Administrator
|
Applicable University Policy #
|
Included within the CMS?
|
| Laws for Hazardous Chemical Management | |||
|
EH&S
|
2.4
|
Yes
|
|
EH&S
|
2.4
|
Yes
|
|
EH&S
|
2.4
|
Yes
|
|
CALS
|
2.4
|
Yes
|
| Laws for Protection of the Natural Environment | |||
|
ECO
|
2.9
|
Yes
|
|
ECO
|
2.9
|
Yes
|
|
ECO
|
2.9
|
Yes
|
|
ECO
|
2.9
|
Yes
|
|
ECO
|
2.9
|
Yes
|
|
ECO
|
2.9
|
Yes
|
|
ECO
|
2.9
|
Yes
|
|
ECO
|
2.9
|
Yes
|
| Other Laws | |||
|
EH&S
|
2.4
|
No
|
|
EH&S
|
2.4
|
No
|
|
EH&S
|
2.4
|
No
|
|
EH&S
|
2.4
|
No
|
Key to Abbreviations:
1) EH&S: Department of Environmental Health & Safety
2) CALS: College of Agriculture & Life Sciences
3) ECO: Environmental Compliance Office
4) University Policy
2.4: Health and Safety
5) University Policy 2.9:
Environmental Compliance & Voluntary Environmental Initiatives
6) CMS: Cornell Management System for the Environment & Chemical Management
Until an approved CMS program is in place at the college or division level, the requirements listed in this Appendix shall be mandated for the college or division's activities as described herein. Once approved, the CMS may delegate some of the ECO responsibilities and authorities listed below to the college or division level as appropriate, and thereby supersede portions of these policy requirements.
For each of the activities indicated below, ECO may provide additional management, design, coordination, advisory, or assessment support as a service to the college or division. For example, ECO may complete, manage, or coordinate environmental impact or regulatory assessments, manage analytical support work; or coordinate remediation. However, the discretion as to additional roles of ECO, beyond the review and approval roles specifically mandated below, shall be by the college or division having jurisdiction, and shall be based on the college or division's need to balance cost, quality, and timeliness.
For all levels of ECO involvement, colleges and divisions shall provide funding for ECO's services as incurred so that the general purpose budget is not required to appropriate funds that are more appropriately borne by the college or division causing the cost to be incurred.
Regulatory compliance reviews shall be completed by ECO to review all projects
with potentially significant environmental impacts to the outdoor (natural)
environment. Projects requiring such reviews include, but are not limited to,
those involving new or modified wastewater or air discharges; wetlands issues;
bulk petroleum or chemical storage; significant changes in land use; stormwater
impacts during or following construction; or any project which by its nature
justifies a Long Assessment Form under SEQRA
In addition, as determined based on regulatory compliance reviews, some additional requirements may result, as follows:
- ECO may determine that environmental engineering assessments are necessary to verify compliance. These assessments, which estimate impacts of proposed new or modified discharges to air or water, may include, but are not limited to, air dispersion calculations, drainage studies, or water/wastewater studies. All such assessments shall be reviewed and approved by ECO as a condition of approval of the action.
- ECO may determine that an activity requires specific post-activity documentation or actions to assure compliance with environmental regulations. Where such actions are specified by ECO, review and approval of such documentation or actions shall be a condition of occupancy or use of the project. Typically these conditions will only be required on projects with permanent storm water management systems, wastewater treatment or pre-treatment systems, exhaust systems requiring specific environmental controls, or similar permanent features for prevention of pollution. Required actions may include collection of equipment certifications or test reports, operational testing, start-up documentation, sampling and analysis of discharges, training requirements, or similar activities.
Environmental Impact Assessments, environmental studies, and completed local, state (State Environmental Quality Review Act, or SEQRA) or federal (National Environmental Policy Act, or NEPA) forms or certifications shall be submitted to ECO concurrent with submission to any external agency. In addition to reviewing the content of these documents, ECO will maintain file copies of these documents and share this information with appropriate project managers to help ensure consistency in the descriptions and assessments of impacts.
All contracts that include Cornell's General Conditions and General Requirements shall include the applicable environmental general requirements (General Requirements specification Sections 01351 through 01356) and these standards must be implemented in all such contracts. Changes to Sections 01351 through 01356 must be approved by ECO.
All environmental remediation activities anywhere on property owned by Cornell shall be subject to the review and approval of ECO. Environmental remediation activities are defined as those instances where the clean-up of a site is regulated under the USEPA or the New York State Department of Environmental Conservation, Division of Environmental Remediation (or equivalent agency outside of New York State) and the classification of the site as an emergency response (as defined by OSHA 29 CFR Part 1910.38) is no longer in effect.
Cornell's environmental management system is adapted from the U.S. Environmental Protection Agency, Region 2 model. The CMS includes the following elements:
1. Environmental Policy: The policy will serve as the foundation for the CMS and provide a unifying vision of environmental concern by the entire university.
2. Structure, Responsibility, and Accountability: The CMS will identify and define duties, roles, responsibilities, and authorities of key environmental program personnel in implementing and sustaining the CMS.
3. Communications: The third element of the CMS is the establishment of a system for communicating environmental issues and information internally to all employees, on-site service providers, and contractors and externally to customers, regulatory agencies, neighbors and other interested parties and a system for receiving and addressing their concerns. Effective internal communications require mechanisms for information to flow top-down and bottom up.
4. Environmental Impacts: The CMS will contain an ongoing process for assessing the university's activities and services as well as those of its contractors and on-site service providers for the purposes of determining how these activities and services interact with and impact the environment as well as determining the significance of these impacts.
5. Environmental Requirements: The CMS will provide a means to identify, interpret, and effectively communicate environmental requirements to affected employees, on-site service providers, and contractors.
6. Operational Control: The CMS will include a process for identifying activities where documented environmental standard operating procedures (ESOPs) are needed and it will define a uniform process for developing, approving, and implementing these ESOPs.
7. Corrective/Preventative Action and Emergency Response: The CMS will establish procedures for preventing, detecting, investigating, correcting, and reporting any occurrence that may cause Cornell to deviate from its environmental policy.
8. Monitoring/Measurement: At a minimum, the monitoring and measurement program will include:
- Monitoring key characteristics of activities that can have significant environmental impacts;
- Tracking environmental and system performance (including how well an organization is meeting its environmental goals; and
- Evaluating compliance with environmental requirements (including periodic compliance audits by an independent auditor(s)).
9. Training, Awareness and Competence: The CMS will establish procedures to ensure that all students and personnel (including employees, on-site service providers, and contractors) whose responsibilities affect the ability of the university to achieve its CMS goals have been trained and are capable of carrying out these responsibilities.
10. Organizational Decision-Making and Planning: In order for the university to translate its environmental policy into action, the CMS will set specific objectives and targets and develop action plans to achieve these objectives and targets.
11. Records Management and Document Control: The CMS will establish procedures for determining:
- what records will be kept;
- who maintains them and where;
- how long they are kept, taking into account record retention requirements in applicable environmental regulations;
- how they are accessed; and
- how they are disposed.
12. Continuing Program Evaluation and Improvement: Periodic CMS conformance assessments will establish whether or not the CMS is being carried out in the specified manner (CMS conformance is the adherence to the methods and structures prescribed by the CMS). Improvements can then be recommended.
An "effective program to prevent and detect violations of law" means a program that has been reasonably designed, implemented, and enforced so that it generally will be effective in preventing and detecting criminal conduct. Failure to prevent or detect the instant offense, by itself, does not mean that the program was not effective. The hallmark of an effective program to prevent and detect violations of law is that the organization exercised due diligence in seeking to prevent and detect criminal conduct by its employees and other agents. Due diligence requires at a minimum that the organization must have taken the following types of steps:
(1) The organization must have established compliance standards and procedures to be followed by its employees and other agents that are reasonably capable of reducing the prospect of criminal conduct.
(2) Specific individual(s) within high-level personnel of the organization must have been assigned overall responsibility to oversee compliance with such standards and procedures.
(3) The organization must have used due care not to delegate substantial discretionary authority to individuals whom the organization knew, or should have known through the exercise of due diligence, had a propensity to engage in illegal activities.
(4) The organization must have taken steps to communicate effectively its standards and procedures to all employees and other agents, e.g., by requiring participation in training programs or by disseminating publications that explain in a practical manner what is required.
(5) The organization must have taken reasonable steps to achieve compliance with its standards, e.g., by utilizing monitoring and auditing systems reasonably designed to detect criminal conduct by its employees and other agents and by having in place and publicizing a reporting system whereby employees and other agents could report criminal conduct by others within the organization without fear of retribution.
(6) The standards must have been consistently enforced through appropriate disciplinary mechanisms, including, as appropriate, discipline of individuals responsible for the failure to detect an offense. Adequate discipline of individuals responsible for an offense is a necessary component of enforcement; however, the form of discipline that will be appropriate will be case specific.
(7) After an offense has been detected, the organization must have taken all reasonable steps to respond appropriately to the offense and to prevent further similar offenses -- including any necessary modifications to its program to prevent and detect violations of law.
A typical environmental compliance program comprises the elements listed in the Table 10, which follows. The table shows the distribution of responsibility as it would exist in a "mature" program, i.e., a program that has been developed and implemented at a given college or division for an extended period of time.
Using the "triangle" illustration of the CMS (below) integrating the roles and activities, these responsibilities can be visualized as being located across a continuum formed by the base of the triangle. In the early stages of the implementation of a program at a given college or division, much of the responsibility may fall close to the "Program Administration" end of the line. As the program matures, the weight of responsibility for some elements will move from that position, through being equally shared by the Environmental Compliance Program Administrator (ECPA) and the college or division representative, towards the "College or Division" end of the line.
These changes will probably be most apparent in three elements: operating in compliance; data collection and reporting to regulators; and liaison with regulators. For example, ECPAs may assist in design of data collection methods, but the ongoing responsibility for routine data collection and validation rests with the college or division. ECPAs will provide assistance, if needed initially, in preparation of regulatory reports, but their long-term role is to provide review and approval of reports prior to certification by College or Division Environmental Officials and submission to regulatory agencies.
Depending on the nature of an operation and the specific compliance program under consideration, routine liaison with regulators will generally be shared between the ECPA and the college or division, as mutually agreed upon. ECPAs will always take primary responsibility in cases of changing regulatory liability, noncompliance, enforcement, or university-wide permits.
| Compliance Program Element | Responsibilities of Environmental Compliance Program Administrator (ECPA) | Responsibilities of College or Division |
| Determination of applicable requirements | Identify, interpret and effectively communicate existing or proposed environmental requirements to the college or division | Notify ECPA of operational changes that might invoke additional regulations |
| Operating in compliance | Assist college or division representative by providing generic ESOPs, and review and approval of college or division ESOPs | Ensure that all operations and processes are conducted in compliance with regulations. This includes development of written ESOPs as required and assuring that personnel are appropriately trained |
| Assessment of compliance with applicable regulations | Conduct assessments of compliance with applicable regulations, in coordination with colleges or divisions | Coordinate with ECPA to assess operations and procedures for compliance |
| Corrective action for noncompliance | Assist colleges and divisions in determining appropriate corrective actions. Monitor correction of noncompliance | Correct non-compliances identified during assessment and report changes to ECPA |
| Data collection; preparation and submission of regulatory reports | Monitor data collection and report preparation by colleges or divisions; review and approve all reports to regulators. Prepare university-wide reports. Maintain university-wide databases and inventories. | Collect monitoring and other data required by regulation; prepare reports to regulators and provide to ECPA for review and approval prior to submission, unless otherwise arranged with ECPA |
| Liaison with regulators | Share responsibility with college or division environmental representative at a level appropriate to the program and expertise of the individuals involved | Share responsibility with ECPA at a level appropriate to the program and expertise of the individuals involved |
The Policy on Environmental Compliance and Voluntary Environmental Initiatives is directed toward managers, supervisors, and those who are directly involved in environmental activities. This appendix is directed toward the numerous people at Cornell who don't need to read the entire policy, but should be aware of it and may have questions about it.
What do I need to know about University Policy 2.9, Environmental Compliance and Voluntary Environmental Initiatives?
- It is everyone's responsibility to comply with environmental laws and regulations.
- This policy sets up a management system, the Cornell Management System for the Environment and Chemical Management (the CMS) to assist with compliance university-wide, and each college or division has a role to play in its development.
- The policy also establishes the Environmental Stewardship Council to coordinate and promote environmental stewardship activities that are not legally required.
How do I comply with this policy?
- You need to understand what's required to be in environmental compliance for your activities.
- If environmental compliance requirements for your work result in the collection of data and preparation of reports or other documents, these may need to be submitted to or approved by the Environmental Compliance Program Administrator that is responsible for university-wide compliance in specific environmental areas. Your college or division's Environmental Representative can help you identify when this is necessary.
- Special requirements for construction and similar activities are identified in Appendix C. There are instances when you are required to obtain approval from the Environmental Compliance Office (ECO) or submit documents to them before proceeding. Review Appendix C early in the development of your project.
Where can I get information on the laws and regulations that I need for this policy?
- If you are a student or staff member, your instructor or supervisor is the first place to go. Your college or division's Environmental Representative can also assist with identifying requirements, including training.
My work is not located at the Ithaca campus. Does this policy apply to me?
- Yes, University Policy 2.9, Environmental Compliance and Voluntary Environmental Initiatives covers all university operations, no matter where they are located. If your work is located outside the United States, it is the responsibility of you and your college or division to identify environmental requirements.
What is the Cornell Management System for the Environment and Chemical Management (CMS)?
- The CMS is a management system that integrates Cornell's environmental compliance into day-to-day decisions and practices. ECO and other Environmental Compliance Program Administrators will centrally administer environmental programs that support each college or division's efforts to achieve and maintain environmental compliance.
Is there anything I need to do for the CMS?
- Each college and division must develop and implement a plan for conformance to the CMS. You probably won't be directly involved or affected by this process. However, you may be involved in the development of Environmental Standard Operating Procedures (see Form A) for your activities, if needed.
I'm interested in doing more to help the environment. How can I get more involved?
- See opportunities listed on the Cornell Sustainable Campus website.
Whom should I contact for more information?
-Your college or division has an Environmental Representative who can give you more specific information on compliance and other environmental stewardship activities. Contact your college or division's administrative office to identify your environmental representative.