United States

Environmental Protection

Agency

Office of Solid Waste

and Emergency Response

Office of Enforcement

and Compliance Assurance

EPA 550-B00-002

May 2000

www.epa.gov/ceppo/

RMP SERIES

Chemical Emergency Preparedness and Prevention Office Printed on recycled paper

GUIDANCE FOR

IMPLEMENTATION 

OF THE GENERAL 

DUTY CLAUSE

CLEAN AIR ACT 

SECTION 112(r)(1)
Table of Contents

1.0 Introduction .............................................................. 2

1.1. Objective of this Document ................................................ 3

1.2. Background on Other Chemical Safety Programs ................................ 3

1.3. Approaches towards Implementing the General Duty Clause ...................... 5

1.4 Facility/Industry Selection ................................................. 7

1.5 Facility/Industry Sector Background Information ............................... 7

2.0. The General Duty Clause . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

2.1. Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

2.2. Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

2.3. Obligations under the General Duty Clause . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

2.3.1. Has the owner and operator identified hazards which may result from accidental

releases? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

2.3.2. Has the owner and operator designed and maintained a safe facility? . . . . . . . . . . . . 14

2.3.3. Has the owner and operator minimized the consequences of a release? . . . . . . . . . . 16

3.0. Evaluating Prevention and Release Mitigation Programs . . . . . . . . . . . . . . . . . . . . . . . 19

3.1. Measure of Prevention and Preparedness/Compliance with the General Duty Clause . . . 19

3.2. Hazard Identification Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

3.3. Facility Design/Maintenance Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

3.4. Consequence Minimization Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

4.0. Authorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

4.1. Information Collection/Entry and Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

4.2. Imminent/Substantial Endangerment Order Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

4.3. Other Investigative Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Appendix 1 - Sample CAA Judicial Warrant for Site Access, Sampling . . . . . . . . . . . . . . . . . . 29

Appendix 2 - Sample Request to File Warrants Under Seal . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Appendix 3 - Sample Order to Seal Warrants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

Appendix 4 - CAA/CERCLA Sample Administrative Warrants . . . . . . . . . . . . . . . . . . . . . . . . 32

Appendix 5 - Sample Application for an Administrative Warrant . . . . . . . . . . . . . . . . . . . . . . . 33

Appendix 6 - Sample Emergency Order under CAA Section 303 . . . . . . . . . . . . . . . . . . . . . . . . 35

Appendix 7 - Sample Clean Air Act Section 114 Information Request Letters . . . . . . . . . . . . . 37

Appendix 8 - Sample CERCLA Section 104(e) Information Request Letter . . . . . . . . . . . . . . . 44

Appendix 9 - Sample Site Safety Plan For On-Site Activities . . . . . . . . . . . . . . . . . . . . . . . . . . 48

Appendix 10- Sample Inspection Information Material . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

Notice: This document is intended solely for the guidance of government personnel. It is not

intended and cannot be relied upon to create rights, substantive or procedural, enforceable

by any part in litigation with the United States. The Agency reserves the right to act at

variance with this guidance and change it at any time without public notice.
1

Chapter 1: Introduction
2

1.0 Introduction

Public awareness of the potential danger from accidental releases of hazardous substances has

increased over the years as serious chemical accidents have occurred around the world. Public

concern intensified following the 1984 release of methyl isocyanate in Bhopal, India, which killed

more than 2,000 people. A similar chemical release in Institute, West Virginia, sent more than

100 people to the hospital and made Americans aware that such incidents do happen in the United

States. These incidents, among others, increased congressional awareness of the threat posed by

chemical releases. As a result, Congress enacted legislation to help prevent accidents from

occurring, and to promptly report and respond to accidents that do occur.

In 1986, Congress enacted the Emergency Planning and Community Right-to-Know Act

(EPCRA) to require state and local governments to prepare to respond to accidental chemical

releases. In 1990, Congress amended the Clean Air Act (CAA) and added Section 112(r). Section

112(r) of the CAA requires that owners and operators of stationary sources identify hazards, and

prevent, and minimize the effects of accidental releases whenever extremely hazardous substances

are present at their facility. The general duty clause in Section 112(r)(1) and regulations issued

pursuant to other provisions of Section 112(r) define these requirements and establish the

deadlines for compliance. 

Specifically, Section 112(r)(1) states:

(r) Prevention of Accidental Releases

(1) Purpose and General Duty - It shall be the objective of the regulations and

programs authorized under this subsection to prevent the accidental release and to

minimize the consequences of any such release of any substance listed pursuant to

paragraph (3) or any other extremely hazardous substance. The owners and

operators of stationary sources producing, processing, handling or storing such

substances have a general duty, in the same manner and to the same extent as

section 654, title 29 of the United States Code, to identify hazards which may result

from such releases using appropriate hazard assessment techniques, to design and

maintain a safe facility taking such steps as are necessary to prevent releases, and

to minimize the consequences of accidental releases which do occur. 

The general duty clause has been in effect and enforceable since November 15, 1990. It applies

to any facility where extremely hazardous substances are present. The general duty clause is a

performance based authority recognizing that owners and operators have primary responsibility in

the prevention of chemical accidents. As part of this responsibility, many industries have

developed standards and generally recognized safe practices to manage the risks associated with

extremely hazardous substances. EPA believes that owners and operators who have these

substances must adhere, at a minimum, to recognized industry standards and practices (as well as

any government regulations) in order to be in compliance with the general duty clause. The

Agency recognizes that unique circumstances may make a particular standard inapplicable. Also,

there may be instances in which a facility must address specific conditions that are not addressed

by industry standards, practices, or government regulations. Such a facility must nevertheless

address its specific conditions in order to be in compliance with the general duty clause. Finally,

there may be situations in which an existing industry standard or practice is simply inadequate to

prevent accidents, and here the Agency may exercise its authority to require an owner or operator

to implement additional measures to address the hazard.
3

1.1. Objective of this Document

This guidance focuses on the general duty clause of Section 112(r)(1) and its implementation to

promote safe operating practices and prevent chemical accidents. The objective of the Agency’s

Section 112(r) program is to have owners and operators take responsibility for chemical accident

prevention and mitigation. This guidance is for use by EPA inspectors/auditors/investigators to

develop programs to increase compliance with the general duty clause in Section 112(r)(1) of the

CAA. 

 This document will introduce the concept of the general duty clause, suggest approaches for

increasing compliance, and provide examples of tools for conducting an investigation and

evaluating prevention programs. Before discussing in detail the general duty clause, Section 1.2

of this document will briefly describe other programs implemented previously by the Agency to

address chemical safety and explain their relationship with Section 112(r) of the CAA. These

programs included chemical safety audits, risk management program regulations and other audits

and investigations. The remainder of this guidance will then lay out in detail approaches to

implement the general duty clause; elaborate upon the statutory requirements of the general duty

clause; and, describe how to assess compliance with the general duty clause.

1.2. Background on Other Chemical Safety Programs

Historically, the Agency has worked with sources to improve their safety management

programs, assisted communities in risk reduction activities with facilities in their communities,

and assisted with emergency preparedness and response to chemical accidents. Implementation of

a program to help sources improve their safety management begins with an understanding of how

and why accidents occur, how industry identifies chemical and process hazards, how industry

designs, maintains, and operates a safe facility, and how the consequences of accidents that do

occur can be minimized. Industry is responsible for having the expertise to ensure that all the

elements of safe operation (procedures, training, maintenance, etc.) are brought together and

managed day-after-day. But, government can help sources by analyzing their safety management

programs, comparing them to successful practices used by other sources, and stimulating

improvements.

In additional to the general duty clause, EPA has several tools with which to work with owners

and operators to prevent chemical accidents. While the focus of this document is on the general

duty clause, we wanted to briefly describe other tools. Each is designed to help identify the

causes of accidental releases and the means to prevent them from occurring. Additionally, these

activities should be used to promote coordination within the community and initiatives throughout

the industry. 

a. Chemical Safety Audits Conducted by EPA

Chemical Safety Audits provide EPA an opportunity to:

• visit sources handling hazardous substances to learn about safety practices and

technologies;

& heighten awareness of the need for, and to promote, chemical safety among sources

handling hazardous substances, as well as in communities where chemicals are located;

and

& build cooperation among sources, agencies, and other authorized parties.
1

For further information concerning the Chemical Safety Board, visit the web site at

http://chemsafety.gov or http://csb.gov

4

In the past, these audits were frequently voluntary and promoted the goal of identifying and

characterizing the strengths and weaknesses of specific chemical accident prevention program

areas to highlight the elements of effective programs, and to share information on successful

practices and recommend safety improvements. With the enactment of the general duty clause

and the Risk Management Program (RMP), EPA recognizes that the chemical safety program will

continue. However, chemical safety audits generally should no longer be conducted on processes

covered by the risk management program because it would be inappropriate to conduct a

voluntary review of processes which are subject to federal regulation. Further, these audits should

not be conducted at a source which is subject to a pending enforcement action. (For additional

information concerning chemical safety audits, see the technical assistance section.)

b. Accident Investigations

Chemical accident investigations help to determine why an accident occurred, by examining the

facts and circumstances surrounding an event. Ideally, such investigations determine the root

cause or system failures that contributed or led to the accident. This information can then be used

to reduce the likelihood of recurrence, minimize the consequences associated with accidental

releases, and make chemical production, processing, handling, and storage safer. Along with the

root cause, the investigation looks at contributing factors of the event that may have broad

applicability to industry, and the potential to develop recommendations and lessons learned to

prevent future accidents of this type. 

Section 112(r)(6) of the Clean Air Act established an independent safety board known as the

Chemical Safety and Hazard Investigation Board (“the Chemical Safety Board”). One of the

objectives of the Chemical Safety Board, as directed by the Clean Air Act, is to investigate,

determine and report to the public, the facts, conditions, circumstances, and cause or probable

cause of any accidental release resulting in fatality, serious injury or substantial property damage. 

The Chemical Safety Board began operating in November, 1997 when it was funded by Congress. 

EPA and the Chemical Safety Board have developed a Memorandum of Understanding which

addresses the respective authorities of each organization to investigate chemical accidents.1

 To

view this MOU, see www.epa.gov/ceppo/pubs/csbepa.pdf. The conclusions, findings or

recommendations of the Chemical Safety Board may not be admitted as evidence or used in any

action or suit for damages; however, that does not preclude EPA from conducting its own

investigation for violations of the general duty clause.

c. Risk Management Plan Audits

Section 112(r)(7) of the CAA directed EPA to promulgate regulations for sources to develop

and implement a risk management program. These regulations, found in 40 C.F.R. Part 68,

establish three elements of a risk management plan (RMP) : hazard assessment, prevention and

response. As part of this program, the implementing agency must “periodically audit” RMPs to

review their adequacy and require revisions when necessary, 40 C.F.R. §68.220. As stated in the

preamble to the Risk Management Program regulation, “...EPA intends to use the audit process as

a way to verify the quality of the program summarized in the RMP. When it is appropriate, EPA

will require sources to make modifications to the RMP that may lead to quality improvements in

the underlying program.” 
5

Prior to determining whether modifications to an RMP are required, a Regional inspector must

determine whether a stationary source is covered by the general duty clause or the Risk

Management Program. There may be instances in which a stationary source may be subject to

both. For example, a source may have certain processes that are subject to RMP but may have

others that are not, or may have hazards not addressed by the RMP regulations. In order to

determine which authority to apply in that situation, a Regional inspector should first apply the

specific RMP regulatory requirements. If none are applicable, the Regional inspector should

perform the analysis outlined in this guidance to determine if there is a general duty clause

violation.

d. Conducting audits and investigations

Each agency, whether federal, state, or local, must determine what authorities it presently has to

conduct chemical safety audits, accident investigations, general duty clause enforcement actions

or RMP audits. Most will find that their present authorities are sufficient but in case of any

question, the implementing agency should consult with their general counsel or appropriate legal

authority to determine the most effective use of their authorities. 

It is also important to note that these activities mentioned above are not mutually exclusive. 

Many times, a combination of activities may be employed to achieve the results sought by the

agency. For example, a Region may choose to conduct an accident investigation following a

chemical accident at a source. This investigation may determine a root cause; however, the

Region may also conduct a chemical safety audit later to confirm safe practices are in place to

reduce the risk of future accidents. Additionally, the Region may choose to pursue violations of

the general duty or RMP nature, if circumstances warrant. 

1.3. Approaches towards Implementing the General Duty Clause

As previously stated, the focus of the remainder of this guidance document will be upon

implementing the general duty clause and the approaches available to the Regions. These

approaches include compliance outreach, technical assistance, and enforcement. This guidance is

relevant to all of these agency functions.

a. Compliance Outreach

Compliance outreach involves communicating hazards, lessons learned from accident

investigations, prevention/mitigation information and enforcement actions to an industry sector

through an open letter, an alert or other means to provide this information. 

EPA’s Chemical Emergency Preparedness and Prevention Office (CEPPO) continues to prepare

and distribute safety alerts which educate regulated industries of hazards posed by specific

chemicals or chemical processes. See www.epa.gov/ceppo/ap-chsa.htm for examples of these

alerts. EPA’s Office of Regulatory Enforcement (ORE) also prepares and distributes enforcement

alerts to inform and educate the public and regulated communities of important environmental

enforcement issues, recent trends and significant enforcement actions. See

www.epa.gov/oeca/ore/enfalert for examples of these alerts. 

There are also numerous non-governmental entities which provide guidance documents

addressing process safety management. These non-governmental entities include the Center for

Chemical Process Safety, industry trade associations (e.g. Chemical Manufacturers Association,

American Petroleum Institute, Chlorine Institute), and education institutions (e.g., Mary K.
6

O’Connor Safety Center at Texas A & M University).

b. Technical Assistance

Technical assistance involves helping owners and operators evaluate their hazard identification,

prevention, and mitigation programs. There are many forms of technical assistance available to

aid the owner/operator to comply with the general duty clause. Since 1989, EPA has conducted

Chemical Safety Audits. In the past, these audits have focused on steps facilities might

voluntarily implement to enhance their ability to prevent and mitigate chemical accidents. While

the focus remains on the ability to prevent and mitigate chemical accidents, the chemical safety

audits may now provide useful compliance assistance by helping identify ways that companies can

comply with the general duty clause or the regulatory requirements of the risk management

program. Deficiencies in a source’s safety program may now be considered violations of the

general duty clause or if the deficiencies are associated with a process covered by to 40 C.F.R.

Part 68, there may be a violation of the risk management program. 

In some circumstances, Regional personnel may work with the facility, the community and local

emergency planning committees to reduce the risk of accidents or to help improve responses to

accidents should they occur. This local dialogue should assist the local community to better

prevent, prepare for and respond to accidents involving the stationary source. For this reason, the

general duty clause contacts in the EPA Regions should involve the RMP and EPCRA program

contacts in their Regions since these programs work closely with local communities and

emergency response personnel.

c. Civil and Criminal Enforcement

Enforcement by EPA includes inspecting facilities to evaluate for compliance and/or to inspect

facilities in order to identify deficiencies in the accidental release prevention and mitigation

programs. Pursuant to Section 114(a)(1) and (2) of the Clean Air Act, Regional inspectors may

require an owner/operator to provide information to EPA to determine whether the facility is in

compliance with the general duty clause of Section 112(r) of the Act. In situations with a release

or threat of a release of hazardous substances, pollutants and contaminants, CERCLA 104(e) may

also be used to gather information.

EPA may also pursue enforcement actions to require and/or improve accidental release

prevention and mitigation programs by seeking penalties and/or injunctive relief for violations of

the general duty clause. Pursuant to Section 113(d) of the Clean Air Act, EPA Regional personnel

may issue an administrative penalty order or pursuant to Section 113(a)(3) of the Clean Air Act,

EPA Regional personnel may issue an administrative compliance order requiring an

owner/operator to comply with the general duty clause. EPA may also bring a civil judicial action

pursuant to Section 113(b) of the Act for violations of the general duty clause or request that the

Attorney General commence a criminal action in accordance with Section 113(c) of the Clean Air

Act against owners/operators for knowing violations of the general duty clause. 

Pursuant to Section 112(r)(9) of the Clean Air Act, EPA may also order any action necessary to

abate a danger or threat if the Agency determines that there may be an imminent and substantial

endangerment to human health or welfare or the environment because of an actual or threatened

accidental release of a regulated substance. 
7

1.4 Facility/Industry Selection

Regions may choose among compliance outreach, technical assistance or enforcement when

basing their approach towards a particular stationary source or industry. Each Region has

flexibility to determine where it is most appropriate to exercise general duty clause authority

consistent with the statute and taking this guidance document into account. As a guide, Regional

personnel may consider the factors listed below:

• stationary source has an accident (or a “near miss” that could have been an accident) that

warrants an investigation

• stationary source appears on Agency databases for having repeated releases

• industry hazard identified after a similar source has had a major accident

• request from a state or local government official or other members of a community for

assistance with a particular source

• request from a source for assistance regarding a particular hazard

• stationary sources with a significant quantity of an extremely hazardous chemical in close

proximity to population centers or sensitive population (e.g. schools, hospitals, etc.)

1.5 Facility/Industry Sector Background Information

Before a site visit, the inspector should gather information on the facility, which may include:

& Type of process to be inspected

& Chemicals that are part of the process

& Hazards associated with the chemicals in the process (including accident history)

& Potential for runaway reactivity/explosivity

& Temperatures/pressure factors in the process

& Possible critical contamination (e.g. water, metals) to the process

& Industry practices to manage the hazards of the chemicals or this type of process
8

Type of Information Sources of Information

Accident History # ERNS Database

# Acute Hazards Events Database

# Accidental Release Information Program

# Large Property Damage Losses in the HydrocarbonChemical Industries; A Thirty Year Review,

 J & H Marsh & McLennan

# Major Hazard Incidents Data Service (MHIDAS) database

(at www.epa.gov/ceppo/ap-chan.htm)

# Major Accident Reporting Center (MARS)(at

www.epa.gov/ceppo/ap-chan.htm)

Chemical Hazards # Electronic MSDSs (e.g. Vermont SIRI at www.hazard.com)

# NIOSH Pocket Guide

# EHS Chemical Profiles

# CAMEO RIDS

# Chemfinder Webserver (http://chemfinder.camsoft.com)

# Chemical Reactivity Worksheet

(http://response.restoration.noaa.gov/chemaids/react.html)

# [See “Use Multiple Data Sources for Safer Emergency

Response” Alert (www.epa.gov/ceppo)

# Bretherick’s Handbook of Reactive Chemical Hazards

Process Hazards # EPA Sector profiles, if available

# Kirk-Othmer Encyclopedia of Chemical Technology

# Chemical Safety Alerts (www.epa.gov/ceppo)

# Hazard Reviews performed by the source or industry

# Chemical Safety Audit Database

Accident Prevention

Information

# Chemical safety audit/accident investigation performed by

the Agency on a similar process (Chemical Safety Audit

database available through CEPPO in EPA Headquarters)

# Chemical Safety Audit Program’s Status Reports (annually

since FY1996)

# NFPA Codes

# Brochures/Alerts from Trade Association

# Center for Chemical Process Safety Publications

# Loss Prevention in the Process Industries (Frank Lees)

# RMP Info (www.epa.gov)

Community Involvement # LEPC and SERC

# EPCRA Sections 311, 312 and 313 reports

# Community’s emergency plan under Section 303 of EPCRA

Unless otherwise noted, the preceding information sources are available through the Chemical

Emergency Preparedness and Prevention Office at EPA Headquarters.
9

Chapter 2: The General Duty Clause
2

The legislative history of the 1990 Clean Air Act Amendments indicates that the term

accidental release does not include releases which are authorized by a permit or are subject to an

emission limitation or standard under the Clean Air Act or other Federal law. The legislative

history states that accidental releases would not include releases from vents and releases resulting

from process upsets that are planned and are designed to prevent catastrophic events. Further,

the legislative history indicates that an accidental release is one which causes or may cause

immediate (or near term) death, serious injury or substantial property damage as the result of

exposure to an extremely hazardous substance over limited periods of time. It does not include

releases, when even accidental, where the potential impact on public health is a measurable

increase in probability of death, illness or adverse effects which are normally associated with

“chronic” exposures over a long period of time. Senate Report at p. 210-211 

3

Although there is no definition for extremely hazardous substances, the legislative

history of the 1990 Clean Air Act Amendments suggests criteria which EPA may use to

determine if a substance is extremely hazardous. The Senate Report stated the intent that the

term "extremely hazardous substance" would include any agent "which may or may not be listed

or otherwise identified by any Government agency which may as the result of short-term

exposures associated with releases to the air cause death, injury or property damage due to its

toxicity, reactivity, flammability, volatility, or corrosivity" (Senate Committee on Environment

and Public Works, Clean Air Act Amendments of 1989, Senate Report No. 228, 101st Congress,

1st Session 211 (1989) - "Senate Report"). Further, the Senate Report states, "the release of any

10

2.0. The General Duty Clause

2.1. Jurisdiction

The general duty clause reflects Congressional intent that the owners and operators of stationary

sources/facilities have the primary responsibility for the prevention of accidents. EPA has

jurisdiction to implement and enforce the general duty clause through Sections 113 and 114 of the

Clean Air Act at any facility where extremely hazardous substances are present. Owners and

operators have been subject to the general duty clause since November 15, 1990. 

2.2. Applicability

The general duty clause applies to "owners and operators of stationary sources producing,

processing, handling or storing any extremely hazardous substances."

# "Stationary source" is defined in Section 112(r)(2)(C) as "any buildings, structures,

equipment, installations or substance emitting stationary activities (I) which belong to the

same industrial group, (ii) which are located on one or more contiguous properties, (iii)

which are under the control of the same person (or persons under common control), and

(iv) from which an accidental release may occur."

# “Accidental release” is defined in Section 112(r)(2)(A) as "an unanticipated emission of a

regulated substance or other extremely hazardous substance into the ambient air from a

stationary source."2

# "Extremely hazardous substances" are not defined in Section 112(r). They are not

limited to the list of regulated substances listed under Section 112(r) nor the extremely

hazardous substances under EPCRA.3 
substance which causes death or serious injury because of its acute toxic effect or as a result of an

explosion or fire or which causes substantial property damage by blast, fire, corrosion or other

reaction would create a presumption that such substance is extremely hazardous." Senate Report

at 211. 

4

The standard for applying the general duty clause of the OSH Act was described in

Secretary of Labor v. Duriron Company, Inc. 11 OSHC 1405. According to the legislative

history of the CAA general duty clause, Duriron is cited as a guide for EPA’s application of the

general duty clause. In accordance with the general duty clause of OSH Act, an employer must

render a workplace free of a hazard; the hazard must be recognized either by the employer or

generally within the employer’s industry; the hazard causes or was likely to cause death or

serious harm; and, it was feasible for the employer to have eliminated or materially reduced the

hazard, Secretary of Labor v. Duriron Co., 11 OSHC at 1407. For purposes of complying with

the CAA general duty clause, owners and operators must maintain a facility that is free of a

hazard, the hazard must be recognized by the owner/operator or recognized by the

owner/operator’s industry, the hazard from an accidental release was likely to cause harm, and

that the owner/operator could have eliminated or reduced the hazard. 

5

The Risk Management Program requirements of 40 CFR Part 68 are enforceable as of

June 21, 1999. After June 21st, EPA Regional inspectors should analyze whether the

requirements of the general duty clause or the RMP, or both, are applicable. 

11

Reference sources which may be used to establish that a substance may be extremely hazardous

include: EPA’s Toxic Substances Control Act Inventory (see www.epa.gov) , National Institute

of Occupational Safety and Health (see www.cdc.gov/niosh/homepage), Occupational Safety

Health Administration (see www.osha.gov), American Conference of Governmental Industrial

Hygienists (see www.acgih.org), Agency for Toxic Substances Disease Registry (see

www.cdc.gov/atsdrhome), Centers for Disease Control (see www.cdc.gov) and National Fire

Protection Association (see www.nfpa.org).

# “[H]ave a general duty in the same manner and to the same extent as section 654, title

29 of the United States code” means owners and operators must comply with the general

duty clause in the same manner and the same extent as employers must comply with the

Occupational Safety Health Act administered by OSHA.4 

2.3. Obligations under the General Duty Clause

The general duty clause imposes the following primary obligations on the owners and operators

of stationary sources:5

 

# Identify hazards which may result from accidental releases using appropriate hazard

assessment techniques,

# Design and maintain a safe facility taking such steps as are necessary to prevent releases,

and

# Minimize the consequences of accidental releases which do occur.
12

Each of these obligations requires that a series of measures be taken by the owners and

operators but the general duty clause does not prescribe these measures. Each measure should

achieve a level of quality, accuracy, and completeness in order to prevent releases and to mitigate

any actual releases. 

As stated in Section 112(r)(1), the objective of Section 112(r) of the Clean Air Act is to prevent

the accidental release of extremely hazardous substances (EHS) and minimize the consequences

of a release if one occurs. The general duty clause does not require the development of a list of

chemicals subject to this requirement, nor does it require the promulgation of regulations defining

how to meet the general obligations established by the clause. As a result, EPA will look to

hazards identified by the facility or industry rather than a specific list of chemicals; this is

consistent with many industry standards that do not contain a specific list of chemicals. Likewise,

the Agency will look, in part, to industry practices and standards for addressing a hazard in

determining how each regulated entity should comply with the general duty clause.

Accordingly, to evaluate compliance with the general duty clause, the Agency must assess the

extent to which owners and operators have implemented hazard assessment, design, process

hazard analysis, maintenance, operation and mitigation measures that meet or exceed any

applicable industry practices or standards, or state or federal regulations. If no industry practice,

standard, or regulatory requirement exists for the substance or process, or if the practice or

standard is not protective of public health and the environment, the owners or operators are

responsible for identifying hazards and taking appropriate measures to prevent releases and

minimize the consequences of a release. 

For example, in order to prevent a release from a storage vessel, the owners and operators

should not only identify the intrinsic hazards of the substance in the vessel, they should also

identify the hazards of the process in which the substance is used. The facility should design and

maintain the process equipment (which includes the vessel) and instrumentation in order to

minimize the risk of release. To meet this obligation, they should identify and implement

appropriate equipment/vessel design and maintenance practices, codes, or standards that are

relevant to the process and the substance involved.

In addition, the owners and operators should operate the process/equipment in a safe manner

(e.g., keep volumes, temperatures, pressures, flows, concentrations, pH within specified limits).

The owner or operator should comply with all applicable state and local regulations; meeting or

exceeding the applicable industry practices, codes or standards for that process; and, following all

recommended practices of the process equipment manufacturers. They should also be prepared to

minimize the effects on the public and the environment if a release should occur by identifying atrisk receptors in the event of the maximum possible release and other probable releases as may be

identified in the appropriate hazard analysis/review. In addition, the mitigation activities should

include coordination between facility management, employees and the local response agencies.

The following subsections describe basic current practices and may be utilized as a guide for

EPA personnel to assess compliance with the general duty clause obligations.

2.3.1. Has the owner and operator identified hazards which may result from accidental

releases?

The owners and operators are responsible for determining the intrinsic hazards of the chemicals
13

used in the processes, the risks of accidental releases from the processes through possible release

scenarios, and the potential effects of these releases on the public and the environment.

Although the general duty clause does not specify how the owner/operator should identify

hazards, the hazard assessment, when concluded, should result in the following information.

# The hazards associated with the EHS and the process,

# potential release scenarios developed from site specific hazard analysis/review and

facility/industry historical data and 

# the consequences of the release in each case.

The hazards of the substance will include not only the flammability and toxicity of the EHS but

also the conditions of the specific process. These include temperature and pressure of processing

along with human factors and process siting.

A sufficient hazard assessment should include the type, rate and duration of potential releases. 

Modeling or an applicable dispersion analytical technique should be used to determine the

potential impact of the releases. Models or analytical techniques selected for this activity should

be appropriate for the material released and the process, atmospheric, and geographic conditions

for the particular release scenario. Use of an inappropriate model will not provide accurate

information for release prevention or emergency plan development and evaluation.

A hazard assessment should also include approximate downwind or down gradient concentrations

and how these factors impact the effect of the release on affected populations, systems and

environments.

In order to have a comprehensive hazard assessment, the scenario identification methods used

by industry typically fall into one of the following categories: experience, analytical and creative. 

When reviewing hazard assessments, Regional inspectors should determine whether the

assessment performed falls into one or more of these categories. These categories are described as

follows.

a. Scenario Identification Method - Experience

Collective experience is provided in safety newsletters, standard engineering designs based on

records of earlier problems, and design codes produced collaboratively by users, suppliers and

technical bodies such as the American Society for Testing and Materials, the American National

Standards Institute, the National Fire Protection Association and others.

An additional source of information is the EPA ERNS database. 

The experience of the specific process can be developed from the accident history of the

facility. All key elements should be included in the incident investigation of prior releases and

those incidents which might have led to releases. 

b. Scenario Identification Method - Analytical

In the chemical industry, the most common of the formal hazard analysis method is the Hazard

and Operability (HAZOP) study. The HAZOP analysis assumes that the process is safe as long as

the parameters of the process remain within their designed limits. The HAZOP analysis uses
14

guide words to assess how deviations of each element (vessel, pipe, valve, controller, and human)

may result in an accidental release or other operational failures or inefficiencies. 

Logic trees as methods of formal hazard assessment are more common to non-chemical

industries. The most developed and widely used of the logic trees is called a fault tree. In this

approach, a hazardous occurrence, such as a fire or vessel rupture, is defined as the top event. The

logical combination of faults which can lead to this top event would require the simultaneous

presence of a flammable substance, an oxidant and a source of ignition.

A similar type of tree structure using a complementary approach is called an event tree. It

works opposite to a fault tree, beginning with an initial event and exploring whether a "top event"

could result.

The simplest form of structured hazard analysis to develop a scenario is the checklist. The

checklist can only identify those hazards that are associated with a general process. It is not

applicable to processes that are one-of-a-kind or have unique components or uses. 

c. Hazard Identification Method - Creative

The “What-if” method is quick and easy. This question is asked by the team members for each

piece of equipment and each process step. This method may allow the discovery of hazards that

would not be identified in any of the more formal methodologies. 

Brainstorming is also quick and can give new perspectives on safety problems. A team tries to

identify as many ways as possible that an event (e.g., a release) could occur. The owners and

operators should consider whether and how processes adjacent to processes involving EHS’s may

contribute or provoke a release of an EHS. For example, vessels may be designed following all

appropriate safety codes for the application but there may be a possibility that external forces

(shrapnel, lightning, etc.) may cause them to release an EHS.

Either of these creative methodologies may be used alone for simple projects (evaluation of one

Standard Operating Procedure) or as an adjunct to a more structured method. Once the release

scenario has been developed and the accidental release characterized (EHS, quantity, duration,

etc), the consequences of the potential release should be determined. This includes the modeling

of the discharge plume and the identification of the possible receptors that may be affected. Many

modeling programs are free and easily available to the public (ARCHIE, ALOHA, RMP*Comp,

Degadis, etc). Facilities may use proprietary programs that are more chemical or site specific. A

Region may want to consider the assumptions of the scenario that make up the model as part of

the investigation. 

2.3.2. Has the owner and operator designed and maintained a safe facility?

a. Design a Safe Facility

EPA considers the requirement to design a safe facility to include construction of a new facility

or the design of modifications at existing facilities. EPA Regional inspectors should review the

safety information and information gathered in the process hazard analysis (PHA) to assess

whether owners and operators based design considerations upon applicable design codes, federal

and state regulations, and recognized industry practices. EPA Regional inspectors should also

assess whether owners and operators had an obligation to exceed these design consideration

parameters if the parameters were not adequate to prevent releases or minimize their impacts. The
15

following discussion provides examples of information sources that EPA Regional inspectors may

review to assess whether an owner/operator met its statutory obligation to design a safe facility. 

Codes: The owners and operators should design the process and the hardware in order to

minimize the risks of a release; that is, identify, research and apply design safety codes applicable

to the substance and the process. Designs should also consider risks from adjacent processes,

which may pose a threat to the process involving extremely hazardous substances, even if the

adjacent processes do not involve extremely hazardous substances themselves. Owners and

operators must update equipment to current codes and standards, as appropriate (e.g. state

regulation, past accident history, generally accepted industry practices).

Chemicals: The owners and operators should try to substitute less hazardous substances for

extremely hazardous substances or minimize inventories when possible. This is usually the most

effective way to prevent accidents and should be the priority of a prevention program. 

Equipment: The owners and operators should implement a quality control program to ensure

that components and materials meet design specifications and to construct the process equipment

as designed. The owners and operators should apply the same standard of care when modifying or

repairing the facility. Safety equipment and inherently safer technology can be used to lessen the

hazards posed by an extremely hazardous substance. Making vessels containing flammable

materials inert, using alternate processes that require lower temperatures or pressures, installing

relief systems, determining process siting, installing anti-static devices and other equipment are

common mechanisms to lessen the hazards. Owners and operators should consult trade

associations, industry consultants (e.g., Center for Chemical Process Safety, others) and safety

engineers to determine standards and safety equipment employed at facilities.

b. Maintain a Safe Facility

An aspect of maintaining a safe facility is a review of information developed to ensure the safe

operation of the facility. The Regional inspector should request and review standard operating

procedures, evaluate the existence and implementation of employee training programs, review

managing change procedures and evaluate the effectiveness of a facility’s incident investigation

program. The following provides a description of these types of documents.

Standard Operating Procedures: The owners and operators are responsible for ensuring that the

process and equipment are operated within safe limits. To achieve this, standard operating

procedures (SOPs) should be written for every aspect of the processes. These procedures should

identify safe upper and lower limits for process variables and identify corrective measures and

emergency situations. These procedures should be correct and accurate, clear, concise, and

written at the appropriate reading level for the operator. SOPs should include the various phases

of operation, including pre-startup checks, startup, normal operations, temporary operations,

normal shutdown and emergency shutdown. SOPs should also address receiving, storing,

transferring and shipping of extremely hazardous substances to minimize the likelihood of a

release from other than chemical process areas. These procedures should clearly warn about

conditions/practices likely to cause a release as identified in the PHA and steps that the

employee/operator must take to prevent a release if these conditions are encountered.

Training Programs: The owners and operators should implement and evaluate programs for

training employees on the hazards of the substances, any additional hazards presented by the

processes, proper process operations (including the significance of process variable changes and

consequences), proper maintenance procedures, and procedures for receiving, storing, transferring
16

and shipping hazardous substances. Training programs should contain clear and concise

objectives and the owners and operators should ensure that evaluation of trainee competence is

included in the program.

Managing Changes: When changes in the processes are planned, the owners and operators

should evaluate how those changes will affect the hazards identified in the PHAs. These changes

should be evaluated to determine if hazards, materials of construction, operating and maintenance

procedures, and prevention programs need to be updated.

Incident Investigation Program: When an incident occurs that results in a release or that could

have escalated into a release, the owners and operators should investigate the cause of the

incident/accident. The investigation should result in recommendations designed to prevent future

similar occurrences. The owners and operators should document how these recommendations

were evaluated and implemented or why recommendations were not implemented. Investigation

findings should be evaluated to ensure that any new information is included in periodic PHA

reviews, changes in procedures, and changes in operation and maintenance programs.

Self Audits: The owners and operators should practice self auditing of the facility’s prevention

programs. Generally a self audit would involve a third party evaluating the effectiveness of a

facility’s prevention and mitigation program.

Preventive Maintenance Programs: Maintenance requirements should have been identified in

the design phase of a process. However, as facilities are operated, experience may provide a more

realistic picture of maintenance requirements. The owners and operators should ensure that a

preventive maintenance program is implemented that maintains the mechanical integrity of the

process equipment and the safety mechanisms. This program should, at a minimum, meet

guidelines from standard industry sources such as the American Petroleum Institute (API),

American Society of Mechanical Engineers (ASME), National Association of Corrosion

Engineers (NACE), American National Standards Institute (ANSI), and the American Institute of

Chemical Engineers (AIChE). At a minimum, the maintenance program should include schedules

for replacement, repairs, or regular maintenance (cleaning, lubrication, other) to the equipment,

quality requirements for spare parts, installation and repair procedures, testing, quality controls,

replacement in kind controls, and maintenance enforcement procedures. Reasonably detailed

maintenance records should be kept for periodic maintenance program evaluation.

2.3.3. Has the owner and operator minimized the consequences of a release?

In order to assess whether an owner and operator has minimized the consequences of an

accidental release, the Regional inspector should, at a minimum, review the emergency response

plan at the facility. The emergency response plan should include the following elements:

planning, coordination with local officials, training and exercises. 

a. Planning

An owner/operator should develop an emergency response plan that specifically addresses

release scenarios developed from the PHAs and historical information. The potential releases

identified in the PHAs should be used in preparing the emergency response plans. Planning and

preparation includes identifying populations, systems and environments that may be impacted,

and specific procedures for employees to follow to stop further chemical releases and/or mitigate

the effects of the substances released. The plan should also identify emergency response
17

equipment that is available for response activities and state whether the equipment is located at

the facility or its location within the community.

Guidance such as the "one plan" guidance can be used to determine the necessary elements of

an emergency plan for a specific industry. At a minimum, the plan should contain the following

elements:

& Anticipation of the types of releases that may occur from the process.

& Mitigation process.

& Notification process to local responders.

& Local responder involvement.

b. Coordination with Local Officials

The facility should open communications with local emergency planning and response officials,

including the local emergency planning committee (LEPC), if one exists. Involvement in the

activities of the LEPC can have positive effect on the facility’s emergency response program. The

facility should provide the LEPC with draft versions of any emergency response program related

to local emergency planning efforts. The facility should coordinate with the LEPC, local response

organizations, local hospitals, and other response organizations upon completion of the emergency

response plan for the facility.

c. Training

All employees need to be trained on recognizing circumstances which are "out of the norm"

(i.e., how to immediately recognize that an accident is occurring), as well as what to do in the

event of an accident. This training would be specific to the facility and include relevant SOP’s

and emergency plans.

d. Exercises

Once plans have been developed, training needs identified and met, and equipment has been

identified and obtained; the owners and operators should conduct periodic exercises to ensure that

the plan is adequate to address the identified emergency scenarios.

The owners and operators should include local and state emergency response and management

agencies in the planning process as well as in exercises designed to test and evaluate the

emergency response plan. Because much of the specific knowledge and skills necessary to handle

hazardous chemicals resides at the facility and may be lacking in the response community, the

owners and operators may decide to provide training specific to the hazardous chemicals and

mitigation techniques to state and local response personnel.

Depending on the hazards of the chemical and the potential impact of a chemical release, the

owners and operators should evaluate the need for and the effectiveness of warning systems,

evacuation procedures, and/or shelter-in-place procedures that protect employees. The owners

and operators should plan mock emergencies to practice procedures on a regular basis to test

workers’ ability to perform in the event of an emergency.
18

Chapter 3: Evaluating Prevention and Release Mitigation Programs
19

3.0. Evaluating Prevention and Release Mitigation Programs

As discussed in Section 2, the owners and operators shall identify the hazards; take steps to

prevent releases; and be prepared to mitigate any actual releases. The following steps and

parameters may be utilized by EPA Regional inspectors to evaluate hazard identification,

prevention and release mitigation programs. The objective of the evaluation conducted by EPA

Regional inspectors is to determine whether owners and operators complied with the general duty

clause requirements and to assess the adequacy of these programs. The evaluation of prevention

and release mitigation programs will be the same whether initiated by a chemical safety audit, a

compliance inspection, or an accident investigation. However, in the case of accident

investigations, the evaluation of the programs will generally occur after additional work has taken

place at the scene of the accident.

The following lists contain elements which may be considered when evaluating a prevention /

release mitigation program. Each item may be expanded as needed to examine any of the

elements of the program in more detail.

3.1. Measure of Prevention and Preparedness/Compliance with the General Duty Clause

When investigating possible violations of the general duty clause, EPA Regional inspectors

should seek answers to the following questions:

Has the owner or operator of the source complied with the following three elements of the

general duty clause?

# Did the owner or operator identify all chemical and process hazards associated with

extremely hazardous substances?

# Did the owner or operator design and maintain a safe facility taking necessary steps to

prevent releases?

# Did the owner or operator take necessary steps to minimize the effects of releases?

In order to answer fully the three questions posed above, EPA Regional inspectors may conduct

a two step investigation. First, Regional inspectors should obtain documentation corresponding to

each element and determine its quality, appropriateness, correctness and effectiveness. This task

may be accomplished before visiting a facility. Second, if Regional inspectors determine that a

facility visit is appropriate, once on site, EPA Regional inspectors should determine if the actions

described in the documentation previously provided are being effectively implemented at the

facility. 

The following questions are designed to assist Regional inspectors when assessing compliance

with the three obligations imposed by the general duty clause. They are not intended to be

comprehensive of all applicable requirements. 

3.2. Hazard Identification Checklist

& Have the owners and operators completed Process Hazards Analyses (PHA) for each process

involving extremely hazardous substances (EHSs)?
20

& Did the owners and operators use appropriate hazard assessment techniques?

& Are the PHAs complete, accurate, correct, and do they

& identify the intrinsic hazards of the substances and the processes?

& identify the potential releases from the processes?

& identify the potential impacts on the public and the environment? Are these impacts

realistic, accurate, correct?

3.3. Facility Design/Maintenance Checklist

a. Design

& Are design documents for each EHS process correct, accurate, and current?

& Do designs minimize risks of releases based on PHA’s?

& Evaluation of design documents:

& Are design codes used in the design identified and appropriate to the processes?

& Was the facility constructed or modified according to design specifications?

& Are there quality control procedures to ensure construction materials meet design

specifications?

& Do critical process components have redundant systems installed?

& Has the facility design been updated to current codes and standards?

& Are there remote monitoring and remote control capabilities for dealing with upsets?

b. Maintenance

& Are there preventive maintenance procedures to ensure the mechanical integrity of the

process equipment?

& Do the maintenance procedures and preventive schedules follow generally accepted

engineering practices?

& Are maintenance personnel trained on the intrinsic hazards of the chemicals, the processes,

and in the maintenance procedures?

& Does training include understanding and proficiency evaluation?

& Is there a maintenance supplies and parts inventory that corresponds with maintenance

schedules, especially for critical components that affect process safety?

& Is there a quality control program to ensure spare parts meet specifications, and is it

implemented and working?

• How has the facility minimized the possibility of an unauthorized entry?

c. Operations

• Are there Standard Operating Procedures (SOPs) for each process? Are the SOPs current?

& Do SOPs cover each phase of each process (startup, normal operations, shut down,

emergency shut down)?

& Are SOPs clear, concise, correct, and written at the appropriate level of understanding for the

operator?

& Do SOPs identify upper and lower limits for operating parameters like temperatures,

pressures, flows, volumes, levels, pH, concentrations, etc.?

& Do limits for parameters agree with those identified in the PHAs?

& Are process equipment components such as valves, gauges, pumps, vessels clearly marked

and do the labels match SOP nomenclature?

& Are SOPs revised periodically? Are SOPs revised after incidents or process changes?
21

d. Training

& Are employees trained and tested for competence on the safe operating procedures for the

processes they operate?

& Is training adequate?

& Are employees trained on the intrinsic hazards of the substances and the process, and the

consequences of deviation from the limits for process parameters?

& What is the frequency of the training?

& Are there communication procedures to ensure that instructions given are clear and

understood correctly (i.e., “repeat back” the instructions)?

& Are employees trained to recognize emergency situations and are they authorized to take

actions to prevent them or mitigate them?

& Does training reflect current operations?

3.4. Consequence Minimization Checklist

& Do the hazard assessments identify potential release scenarios and their potential impacts on

the public and the environment?

& Is there an emergency response plan to respond to emergency situations based on the

accidental release scenarios?

& Does the plan clearly identify responsibilities, functions, and contacts for emergency

response?

& Does the plan include coordination with local emergency responders?

& Are employees trained on emergency response actions?

& Are routine exercises conducted to practice emergency response?

& Are employees trained to recognize emergency situations and are they empowered to take

actions to prevent them or mitigate them?

& Is the plan revised as processes change?
22

Chapter 4: Authorities
23

4.0. Authorities

The purpose of this section is to provide a listing of authorities which are available to Regional

enforcement personnel while conducting inspections or making general duty clause compliance

determinations. These statutory tools include provisions regarding entry and access, information

collection, and abatement of imminent and substantial endangerment situations pursuant to the

Clean Air Act and Comprehensive Environmental Response Compensation and Liability Act.

4.1. Information Collection/Entry and Access

The following information collection and site entry and access provisions are available under

the Clean Air Act (CAA) and the Comprehensive Environmental Response, Compensation and

Liability Act (CERCLA). 

CAA Section 114(a), 42 U.S.C. § 7414(a)

For the purposes...(iii) of carrying out any provision of this Act...

(1) the Administrator may require any person who owns or operates any emission

source...to...provide such information as the Administrator may reasonably require and

(2) the Administrator or authorized representative, upon presentation of credentials shall

have a right of entry to...any premises of such person...and may at reasonable times have

access to and copy any records...

CERCLA Section 104(e), 42 U.S.C. § 9604

(2) Any officer, employee, or representative...may require any person who has or may have

information relevant to any of the following to furnish, upon reasonable notice, information

or documents relating to such matter...

(A) identification, nature and quantity of materials which have been or are generated, treated,

stored or disposed of at a vessel or facility or transported to a vessel or facility

(B) the nature or extent of a release or threatened release of a hazardous substance or 

pollutant or contaminant at or from a vessel or facility

(C) information relating to the ability of a person to pay or to perform a clean up.

(3) Any officer, employee, or representative...is authorized to enter at reasonable times...

(A) Any vessel, facility, establishment, or other place or property where any hazardous

substance or pollutant or contaminant may be or has been generated, stored, treated,

disposed of, or transported from.

(B) Any vessel, facility establishment, or other place or property from which or to which a

hazardous substance or pollutant or contaminant has been or may have been released.

 (C) Any vessel, facility, establishment, or other place or property where such release is or

may be threatened.
24

4.2. Imminent/Substantial Endangerment Order Authority

The following order authorities to be used for situations which may pose an imminent and

substantial endangerment to public health, welfare and the environmental are available under the

Clean Air Act and the Comprehensive Environmental Response Compensation and Liability Act. 

CAA Section 112(r), 42 U.S.C. § 7412

(9) Order Authority

(A)...When the Administrator determines that there may be an imminent and substantial

endangerment to the human health or welfare or the environment because of an actual or

threatened release of a regulated substance, the Administrator may secure such relief as is

necessary to abate such danger or threat...The Administrator shall take action under section

303...whenever the authority of such section is adequate to protect human health and the

environment.

CAA Section 303, 42 U.S.C. § 7603

Emergency Powers

...[T]he Administrator upon receipt of evidence that a pollution source or combination of

sources (including moving sources) is presenting an imminent and substantial

endangerment to public health or welfare or the environment may bring suit on behalf of

the United States...to immediately restrain any person causing or contributing to the alleged

pollution to stop the emission of air pollutants causing or contributing to such pollution or

to take such other action as may be necessary...Any order issued by the

Administrator...shall be effective upon issuance and shall remain in effect for a period of

not more than 60 days unless the Administrator brings an action...before the expiration of

that period. Whenever the Administrator brings such an action within the 60-day period,

such order shall remain in effect for an additional 14 days or for such longer period as may

be authorized by the court in which such action is brought.

CERCLA Section 106, 42 U.S.C. § 9606

Abatement Actions

(a)...[W]hen the President determines that there may be an imminent and substantial 

endangerment to the public health or welfare or the environment because of an actual or

threatened release of a hazardous substance from a facility, he may require the Attorney

General...to secure such relief as may be necessary to abate such danger or threat... 

There are statutory authorities under Resource Conservation Recovery Act (RCRA), Safe

Drinking Water Act (SDWA), Clean Water Act (CWA)and Toxic Substances Control Act

(TSCA) addressing situations which may pose an imminent and substantial endangerment. 

RCRA Section 7003, 42 U.S.C. § 6973

Authority of Administrator
25

...[U]pon receipt of evidence that the past or present handling, storage, treatment,

transportation or disposal of any solid waste or hazardous waste may present an imminent

and substantial endangerment to health or the environment, the Administrator may bring

suit on behalf of the United States in the appropriate district court against any person

(including any past or present generator, past or present transporter, or past or present

owner or operator of a treatment, storage, or disposal facility) who has contributed or who

is contributing to such handling, storage, treatment, transportation, or disposal to restrain

such person from such handling, storage, treatment, transportation, or disposal, to order

such person to take such other action as may be necessary, or both... 

CWA Section 504, 33 U.S.C. § 1364

Emergency Powers

...[t]he Administrator upon receipt of evidence that a pollution source or combination of

sources is presenting an imminent and substantial endangerment to the health of persons or

to the welfare of persons where such endangerment is to the livelihood of such persons,

such as inability to market shellfish, may bring suit on behalf of the United States in the

appropriate district court to immediately restrain any person causing or contributing to the

alleged pollution to stop the discharge of pollutants causing or contributing to such

pollution or to take such other action as may be necessary.

SDWA Section 1431, 42 U.S.C. § 330i

Emergency Powers

(a) ...[t]he Administrator, upon receipt of information that a contaminant which is present

in or is likely to enter a public water system or an underground source of drinking water

may present an imminent and substantial endangerment to the health of persons, and that

appropriate State and local authorities have not acted to protect the health of such persons,

may take such actions as he may deem necessary in order to protect the health of such

persons. To the extent he determines it to be practicable in light of such imminent

endangerment, he shall consult with the State and local authorities in order to confirm the

correctness of the information on which action proposed to be taken under this subsection

is based and to ascertain the action which such authorities are or will be taking. The action

which the Administrator may take may include (but shall not be limited to) (1) issuing such

orders as may be necessary to protect the health of persons who are or may be users of such

system (including travelers), including orders requiring the provision of alternative water

supplies by persons who caused or contributed to the endangerment, and (2) commencing a

civil action for appropriate relief, including a restraining order or permanent or temporary

injunction.

TSCA Section 7, 15 U.S.C. § 2606

Actions authorized and required

(a) The Administrator may commence a civil action in an appropriate district court of the

United States–

(A) for seizure of an imminently hazardous chemical substance or mixture or any article

containing such a substance or mixture,
26

(B) for relief...against any person who manufactures, processes, distributes in commerce,

or uses, or disposes of, an imminently hazardous chemical substance or mixture or any

article containing such a substance or mixture or

(C) for both such seizure and relief. 

4.3 Other Investigative Tools

The following general investigative authorities may be used in lieu of or in conjunction

with the information collection authorities cited above. These authorities are available under the

Clean Air Act and the Comprehensive Environmental Response, Compensation and Liability Act. 

CAA Section 113(a)(3), 42 U.S.C. § 7413

EPA Enforcement of Other Requirements

...[w]henever, on the basis of any information available to the Administrator, the

Administrator finds that any person has violated, or is in violation of any other requirement

or prohibition of this title, section 303, of title III, title IV, title V, or title VI, including but

not limited to, a requirement or prohibition of any rule, plan, order, waiver, or permit

promulgated, issued or approved under those provisions or titles, or for the payment of any

fee owed to the United States under this Act (other than Title II), the Administrator may - 

(A) issue an administrative penalty order in accordance with subsection (d)

(B) issue an order requiring such person to comply with such requirement or 

prohibition

(C) bring a civil action in accordance with subsection (b) or section 305, or

(D) request the Attorney General to commence a criminal action in accordance with 

subsection (c).

CAA Section 307(a), 42 U.S.C. § 7607

Administrative Subpoenas

...for purposes of...any investigation, monitoring, reporting requirement, entry, compliance

inspection, or administrative enforcement proceeding under this chapter (including but not

limited to section 113, 114, 120, 124, 167, 205, 206, 208, 303, or 306), the Administrator

may issue subpoenas for the attendance and testimony of witnesses and the production of

relevant papers, books and documents, and he may administer oaths. Except for emission

data, upon a showing satisfactory to the Administrator by such owner or operator that such

papers, books, documents or information or particular part thereof, if made public would

divulge trade secrets or secret processes of such owner or operator, the Administrator shall

consider such record, report or information or particular portion thereof confidential in

accordance with the purposes of section1905 of title 18, except that such paper, book,

document, or information may be disclosed to other officers, employees, or authorized

representatives of the United States...Witnesses summoned shall be paid the same fees and

mileage as are paid witnesses in the courts of the United States. In case of contumacy or

refusal to obey a subpoena served upon any person...the district court of the United States

for any district in which such person is found or resides or transacts business, upon

application by the United States and after notice to such person, shall have jurisdiction to
27

order requiring such person to appear and give testimony before the Administrator to

appear and produce papers, books and documents before the Administrator, or both and any

failure to obey such order of the court may be punished by such court as a contempt

thereof.

CERCLA Section 104(b), 42 U.S.C. § 9604(b)

Investigations, monitoring, etc. by President

(1) Information, studies and investigations

Whenever the President is authorized to act pursuant to subsection (a) of this section or

whenever the President has reason to believe that a release has occurred or is about to

occur, or that illness, disease, or complaints thereof may be attributable to exposure to a

hazardous substance, pollutant or contaminant and that a release may have occurred or be

occurring, he may undertake such investigations, monitoring, surveys, testing, and other

information gathering as he may deem necessary or appropriate to identify the existence

and extent of the release or threat thereof, the source and nature of the hazardous

substances, pollutants or contaminants involved, and the extent of danger to the public

health or welfare or to the environment. In addition, the president may undertake such

planning, legal, fiscal, economic engineering, architectural, and other studies or

investigations as he may deem necessary or appropriate to plan and direct response actions,

to recover the costs thereof, and to enforce the provisions of this chapter.
28

Appendices 
29

Appendices

Appendix 1 - Sample CAA Judicial Warrant for Site Access, Sampling

UNITED STATES DISTRICT COURT

NAME OF JUDICIAL DISTRICT

 

In re Ex Parte Application for an Administrative Warrant for the ADMINISTRATIVE WARRANT

United States Environmental Protection Agency to Enter and Inspect UNDER THE CLEAN AIR ACT

the premises at Company Address, Owned and Operated by 

Company Name, a/k/a Other Names, Pursuant to Section 114 

of the Clean Air Act

 

TO ANY AUTHORIZED EMPLOYEE OR REPRESENTATIVE OF THE UNITED STATES

ENVIRONMENTAL PROTECTION AGENCY: 

Upon the annexed Application of the United States of America, submitted pursuant to Section 114 of the Clean Air

Act, 42 U.S.C. § 7414, on behalf of the United States Environmental Protection Agency (EPA) and the supporting

Affidavit of EPA Official and the exhibits annexed thereto, demonstrating sufficient justification for right of entry to,

upon, or through the premises of Company Name, located at Company Address (the Premises) for carrying out the

objectives of the Clean Air Act, including without limitation, enforcing 42 U.S.C. § 7545;

YOU ARE HEREBY AUTHORIZED TO:

1. Have a right of entry to, upon, or through the Premises during business hours for the purpose of inspecting,

taking of samples, taking of photographs, collecting information and copying records relating to Company Name

sale and delivery of diesel fuel in non-compliance of 40 CFR § 80.29-30, during the period beginning October 1,

1993 through the present, including, but not limited to: documents relating to Company Name business

transactions, policies and practices regarding the diesel regulations, documents relating to Company Name sale

or offering for sale, dispensing, supplying or offering for supply, or transporting of diesel fuel for use in motor

vehicles, such as invoices, delivery records, bills of lading, driver delivery logs or other documents describing

the sale and delivery of non-complying diesel fuel for use in motor vehicles; documents for reporting to any

other federal or state governmental agency (including tax records) which contain information regarding

Company Name sale or offering for sale, dispensing, supplying or offering for supply, or transporting of diesel

fuel; records relating to Company Name corporate ownership, structure, financing and employees. Such

documents include those which are in the form of automated data. The inspection may include collecting

information, taking photographs, taking samples and copying records, including those which are in the form of

automated data and the copying of records off the premises, provided that, if such records are copied off

premises, (1) any such records so removed shall be properly receipted for by the representatives of the EPA, and

(2) such records shall be returned within 72 hours of the time they are first removed from the premises; and

2. Bring sampling devices and equipment, bottles, cameras and safety gear onto the Premises to effectuate said

purpose. The United States Marshal for the Judicial District is HEREBY AUTHORIZED AND DIRECTED

to assist in such manner as may be reasonably necessary and required to execute this Warrant and all the

provisions contained herein. The entry and activities authorized by this Warrant must take place within 24 hours

from the date of this Warrant. During this time period, the property may be entered and re-entered as needed.

Upon execution of this Warrant, a copy of this Warrant shall be left at the premises.

Dated:

 

HONORABLE ____________________

UNITED STATES MAGISTRATE JUDGE

JUDICIAL DISTRICT

Appendix 2 - Sample Request to File Warrants Under Seal
30

UNITED STATES DISTRICT COURT

NAME OF JUDICIAL DISTRICT

 

IN THE MATTER OF: )

)

Company Name ) APPLICATION TO FILE 

Company Address ) DOCUMENTS UNDER SEAL

)

 )

TO: THE HONORABLE UNITED STATES MAGISTRATE OF THE 

 JUDICIAL DISTRICT

The United States of America Environmental Protection Agency (EPA), through the Assistant United States

Attorney for the Judicial Distrct, hereby applies for an order that the Application For Warrant To Enter, Inspect,

Collect Information, Copy Records and Take Photographs, the Affidavit of EPA Official in support thereof and the

Warrant issued thereon be filed under seal until such time as the warrant is executed. The purpose in having all the

documents filed under seal is to insure that no records are destroyed prior to the inspection being conducted. It is

anticipated that if the warrant is approved on Date, it will be executed on Date. Thus, the duration of the order

placing the documents under seal is reasonable. 

Respectfully submitted,

______________________

United States Attorney

 By: Name

Assistant United States Attorney
31

Appendix 3 - Sample Order to Seal Warrants

IN THE UNITED STATES DISTRICT COURT

FOR THE NAME OF JUDICIAL DISTRICT

 

IN THE MATTER OF: )

)

Company Name ) Magistrate No. 

Company Address )

 )

ORDER TO SEAL

ON THIS DAY came on for consideration the government's motion to seal (1) Application and Affidavit for search

Warrant filed herein on Date, (2) Search Warrant signed in this case on Date, (3) government's Motion to Seal filed

herein on Date, and (4) this Order. Upon consideration of said Motion, the Court is of the opinion that said Motion is

meritorious and should be granted. 

Now, therefore, is ORDERED that the four documents described above, including this order, be sealed by the

Clerk of the Court until the Search Warrant is executed.

SIGNED this day of Month, 20__.

 

United States Magistrate

Month , 20__.
32

Appendix 4 - CAA/CERCLA Sample Administrative Warrants

IN THE UNITED STATES DISTRICT COURT

FOR THE NAME OF JUDICIAL DISTRICT

 

IN THE MATTER OF: )

)

COMPANY NAME ) Case No. _____________________

ADMINISTRATIVE SEARCH WARRANT

 

TO: EPA Personnel Name

Title

Office

United States Environmental Protection Agency, Region XXX

Application has been made and reasonable cause has been shown for the entry and inspection of property where

hazardous substances may be present and which is owned by _______________________, , County/City Name,

State. The property is the facility located at ____________.

IT IS HEREBY ORDERED that, pursuant to the Comprehensive Environmental Response, Compensation, and

Liability Act of 1980, as amended by the Superfund Amendments and Reauthorization Act of 1986, 42 U.S.C. §§

9601, et seq., (CERCLA), and the Clean Air Act, 42 U.S.C. §§ 7401, et seq., YOU AND/OR YOUR DULY

DESIGNATED REPRESENTATIVES are authorized to enter the above-described property during the daytime (7:00

a.m. to 7:00 p.m.) and to search for, inspect, investigate, take records, and take samples from said site where

hazardous substances, pollutants, contaminants or debris may have been stored or disposed, dumped, spilled or

buried; in all areas related to the storage, disposal, spillage, dumping or burial of said materials; in all pertinent

structures, soils, creeks, ditches, containers and facilities; and in all things thereon at the site. The activities

authorized by this warrant include: (1) sampling to fully identify and quantify the amount of hazardous substances

within the facility; (2) sampling to identify any releases of hazardous substances from the facility; (3) photographing

the facility;(4) obtaining any records necessary to complete the inspection; (5) removing quantities of materials found

within the facility for the purpose of sampling; (6) determining the need for a response and, if necessary, effectuating

an emergency response to a release or threatened release of hazardous substances at the facility; and (7) sampling

debris resulting from the Date, incident/accident at the facility.

IT IS FURTHER ORDERED, that the United States Marshall is hereby authorized and directed to assist you and

representatives of the United States Environmental Protection Agency in such manner as may be reasonably necessary

and required to execute this warrant.

IT IS FURTHER ORDERED that a return shall be made to this Court showing that the inspection has been

completed. This authorized inspection shall be completed within thirty (30) days of issuance of this warrant, and a

return shall be made to the Court within fifteen (15) days of the completion of the inspection.

Dated: ____________________ By: ______________________________

United States Magistrate

Judicial District
33

Appendix 5 - Sample Application for an Administrative Warrant

IN THE UNITED STATES DISTRICT COURT

FOR THE NAME OF JUDICIAL DISTRICT

IN THE MATTER OF: )

)

COMPANY NAME ) Case No. ________________

 

 

APPLICATION FOR ADMINISTRATIVE SEARCH WARRANT COMES NOW the Regional Administrator of the

United States Environmental Protection Agency (EPA) Region ____, by and through the United States Attorney, and

applies for an Administrative Warrant to enter property, search for hazardous substances, contaminants or pollutants,

take photographs, and collect samples in order to identify the nature and extent of contamination on the property

owned by Company Name located __________________. Brief description of facility and location.

This warrant is for the purpose of inspecting and sampling the Company Name property so that EPA can identify the

existence and extent of a release or threat of a release of a hazardous substance, contaminant or pollutant; and

determine the need for response action(s) under the Comprehensive Environmental Response, Compensation, and

Liability Act (CERCLA), as amended by the Superfund Amendments and Reauthorization Act of 1986 (SARA), 42

U.S.C. §§ 9601, et seq., and to determine what steps were taken by Company Name to design and maintain a safe

facility to prevent releasing and to minimize the consequences of accidental releases which do occur, pursuant to

Section 112(r) of the Clean Air Act ("CAA") 42 U.S.C. § 7412.

This entry is requested pursuant to the authority granted to the President by Section 104(b) and (e) of CERCLA, 42

U.S.C. § 9604(b) and (e), delegated to the Administrator of EPA by Executive Order No. 12580, § 2(g) and (I), 52

Fed. Reg. 1923 (1987), and further delegated to the Regional Administrator of EPA by EPA Delegation No. 14-6.

Section 104(b) of CERCLA, 42 U.S.C. § 9604(b), provides, in part:

Whenever the President is authorized to act pursuant to subsection (a) of this section, or whenever the President has

reason to believe that a release has occurred or is about to occur, he may undertake such investigations, monitoring,

surveys, testing, and other information gathering as he may deem necessary or appropriate to identify the existence

and extent of the release or threat thereof, the source and nature of the hazardous substances, pollutants or

contaminants involved, and the extent of danger to the public health or welfare or to the environment.

Section 104(e) of CERCLA, 42 U.S.C. § 9604(b) provides, in part:

Any [authorized person as defined in Section 204(e)(1)] is authorized to inspect and obtain samples from any facility,

establishment, or other place or property [from which or to which a hazardous substance or pollutant or contaminant

has been or may have been released] or from any location of any suspected hazardous substance or pollutant or

contaminant.

Further, pursuant to 40 C.F.R. § 300.400(d), the United States has the authority to enter any property to determine the

need for a response to a release or threatened release of hazardous substances. 40 C.F.R. § 300.415(a)(2) gives EPA

the authority to determine whether the responsible parties "can and will perform the necessary removal action

promptly and properly."

Section 114 of the CAA, 42 U.S.C. § 7414, permits EPA to enter and conduct inspections as follows:

(a) For the purpose ... (iii) [of] carrying out any provision of this Act --

(1) the Administrator may require any person who is subject to any requirement of this Act (other than a

manufacturer) to (G) provide such other information as the Administrator may reasonably require; and

 

(2) the Administrator or his authorized representative, upon presentation of his credentials--

 

(A) shall have a right of entry to, upon, or through any premises of such person ..., and

 

(B) may at reasonable times have access to and copy any records.
34

The United States requests that the warrant sought by this application be issued to any employee of EPA who is

assigned to EPA Personnel, Name and Title. As the EPA Personnel Title, pursuant to 40 C.F.R. § 300.120 and

300.400(d), EPA Personnel Name is authorized to direct and coordinate response actions by authorized EPA

representatives as may be necessary at the Company Name property.

Description of facility, process, and chemical accident, including environmental

EPA seeks access to the Company Name property in order to conduct sampling activities. Sampling activities at the

Company Name facility will consist of obtaining ________________________________.

EPA attempted to obtain access voluntarily from the owners of the Company Name facility on Date. The access

sought was for sampling activities and inspection of the Company Name facility. The owners denied access to EPA. 

The efforts made by EPA to obtain access are documented in the affidavits of EPA Personnel Name, attached as

Exhibit 4.

The requested access to the Company Name facility is for a reasonable period of time. EPA seeks access to take

samples from the Company Name property in order to determine the need for a response action to address the release

or threatened release of hazardous substances and to determine what steps were taken by Company Name to design

and maintain a safe facility to prevent releases and to minimize the consequences of accidental releases which do

occur, pursuant to Section 112(r) of the Clean Air Act, 42 U.S.C. § 7412. The sampling should require approximately

no more than thirty (30) working days to complete.

Pursuant to Section 104(e) of CERCLA, 42 U.S.C. § 9604, and Section 114 of the Clean Air Act, 42 U.S.C. § 7414,

and based upon the evidence described above and the attached Exhibit 1, incorporated by reference herein, the United

States believes that it has the statutory authority and sufficient cause to merit entry to the Company Name property. 

The United States requests that its Application for an Administrative Warrant be granted.

 

Respectfully submitted,

Name

United States Attorney

___________________________________

Name

Assistant U.S. Attorney 
35

Appendix 6 - Sample Emergency Order under CAA Section 303

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

REGION XX

In The Matter of: 

COMPANY NAME )

)

Proceedings Pursuant to ) Docket No.

Section 303 of the Clean Air Act, )

As Amended, ) CLEAN AIR ACT EMERGENCY ORDER

42 U.S.C. §§ 7401 et seq. )

42 U.S.C. § 7603. )

___________________________________

The Regional Administrator for Region XX of the United States Environmental Protection Agency ("EPA") makes

the following Findings of Fact, reaches the following Conclusions of Law, and Issues the following Order:

FINDINGS OF FACT

The Administrator of EPA delegated the authority vested in her by Section 303 of the Clean Air Act ("the Act" or

"CAA") as amended, 42 U.S.C. § 7603, to the Regional Administrator for Region XX.

1. Section 303 of the Act, 42 U.S.C. § 7603, provides that, upon receipt of evidence that a pollution source or

combination of sources is presenting an imminent and substantial endangerment to public health or welfare or

the environment and after consultation with appropriate State and local authorities to confirm the accuracy of the

information on which the action proposed to be taken is based, the Administrator may issue such order as may

be necessary to protect public health or welfare or the environment. 

2. Respondent Company Name has discharged from its facility located at Company Address substantial amounts of

hydrogen sulfide ("H2S") and other gases into the ambient air. Such discharges have caused numerous

individuals to be hospitalized or seek medical treatment, and further discharges of this kind would present an

imminent and substantial endangerment to the public health or welfare or the environment.

3. Authorities from the jurisdiction/county/city/state which has jurisdiction over the industrial park where the

Company Name facility is located, have diligently attempted to decrease the level of contamination into the

atmosphere. The threat of further discharges from the facility remains, however.

4. It is not practicable to assure prompt protection of public health or welfare or the environment in the jurisdiction

to await commencement of a civil action in United States District Court.

On August 26, 1994, my staff and I discussed the threat posed by Company Name air emissions with officials from

jurisdiction, with officials of the jurisdiction, and with other local officials. All of them confirmed my findings and

supported my decision to issue this Order based upon the risk of releases and upon their knowledge of Company

Name operation and maintenance procedures.

CONCLUSION OF LAW

1. The Regional Administrator for Region XX is vested with the authority of the Administrator under Section 303

of the Act, 42 U.S.C. § 7603.

2. The Company Name facility has been found by the Regional Administrator to be presenting an imminent and

substantial endangerment to the public health or welfare or the environment and to be an appropriate subject for

the issuance of an order under Section 303 of the Act.

ORDER

1. The Regional Administrator for Region XX hereby orders that Company Name, its agents, servants, employees,
36

and attorneys and all persons in active concert or participation with them to start, Date, a safe shutdown of all

manufacturing operations. All on-going reactions must be terminated in the safest manner possible, and no new

manufacturing operations may begin. All operations necessary to prevent air emissions and to maintain the

integrity of chemicals and equipment at the facility must continue. Furthermore, Company Name must make

reports by telephone by 3 p.m. each day (including weekends) to EPA Official of the Regional XX office at

phone number on the status of shutdown efforts. This reporting requirement shall remain in effect until the

shutdown of manufacturing operations is completed. 

2. This order shall be effective for a period of not more than 60 days unless the United States files a civil action in

the appropriate United States district court to immediately restrain any person causing or contributing to the

alleged pollution to stop the emission of air pollutants causing or contributing to such pollution or take such

other actions as may be necessary.

3. This Order is effective immediately upon receipt by defendants. The Regional Administrator for Region XX

hereby issues the above-identified Order which shall become effective as provided therein.

_______________ ____________________________

Date EPA Official

Regional Administrator
37

Appendix 7 - Sample Clean Air Act Section 114 Information Request Letters

Sample Letter #1

Plant Manager

Company Name

Address

Dear Plant Manager:

Section 112(r)(1) of the Clean Air Act (Act) states that "[t]he owners and operators of stationary sources

producing, processing, handling or storing such [extremely hazardous] substances have a general duty in the same

manner and to the same extent as Section 654, Title 29 of the United States Code, to identify hazards which may

result from such releases using appropriate hazard assessment techniques, to design and maintain a safe facility taking

such steps as are necessary to prevent releases, and to minimize the consequences of the accidental releases which do

occur." 

Pursuant to Section 114(a) of the Act, 42 U.S.C.§ 7414(a), the Administrator of EPA is authorized to require any

person who owns or operates any emission source, or who is subject to any requirement of the Act, to establish and

maintain such records, make such reports, and provide such other information as she may reasonably require, for the

purposes of determining whether such person is subject to or in violation of any provision of this Act.

Therefore, in accordance with Section 114(a)(1) of the Act, 42 U.S.C.§ 7414(a)(1) you are hereby required to

provide the following information:

1. A Full Facility Layout diagram (such as a site map).

2. Piping and Instrumentation Diagram for the Name of process Plant.

3. Piping and Instrumentation Diagram for the Name of process Plant.

4. Name of process Plant Layout, including both the Plan and Elevation views. 

5. Name of process Plant Layout, including both the Plan and Elevation views. 

6. Standard Operating Procedures (SOPs) for the name of processes Plants including SOPs for startup, shutdown,

emergency shutdown and normal operation for each Plant.

7. Feedstock Quality Control measurements for the name of process plant including: substance name chemistry

(hydrocarbon content, water content, etc); substance name chemistry (hydrocarbon content, metals contents,

anion content); and substance name chemistry (hydrocarbon content, metals, anion content).

8. Daily Production Reports for the name of process plant for the preceding 30 days from the date of this letter.

9. Operation Logs for the name of process plant for the preceding 30 days from the date of this letter including:

a. Equipment X, Y, and C temperature

b. Equipment X, Y, and C pH

c. Equipment X, Y, and C capacities and levels

d. Substance name and substance name input flow-rates

e. Final product flow rates.

Note: If process equipment listed in items a and b above is different or known by different names, please provide the

required information for the equivalent equipment.

10. Maintenance records for the name of process for the previous six months.

11. Management-of-Change Plans for the name of process plant.

12. Date of the last turn-around of the name of process plant.
38

13. The facility personnel organizational chart.

14. A description of the name of process training procedure.

15. The control system record for the name of process and name of process plants for the preceding seven (7) days

from the date of this letter.

16. Names of the following Personnel: Plant Manger, Production Supervisor, Engineering Supervisor, Health and

Safety Officer, Plant engineers for both the AN and NA plant, Environmental Officer, Maintenance Supervisor,

Representatives from all levels of AN operations staff, and Instrumentation engineer or technician.

The above information must be submitted within ten (10) days from receipt of this letter to the following address:

U.S. Environmental Protection Agency

Office

Division

Address

ATTN: EPA Personnel Contact

Any request for an extension must be made in writing within five days of your receipt of this letter.

Please note that pursuant to regulations located at 40 C.F.R. Part 2, Subpart B, you are entitled to assert a business

confidentiality claim covering any part of the submitted information as defined in 40 C.F.R. § 2.201(c). Asserting a

business confidentiality claim does not relieve you from the obligation to fully respond to this letter. Failure to assert

such a claim makes the submitted information subject to public disclosure upon request and without further notice to

you, pursuant to the Freedom of Information Act, 5 U.S.C.§ 552. Information subject to a business confidentiality

claim may be available to the public only to the extent set forth in the above cited regulation. EPA has the authority

to use the information requested herein in an administrative, civil, or criminal action. In addition, EPA has not

waived any rights to take enforcement action for past or future violations.

Failure to comply with this letter may result in enforcement action being taken in accordance with Section 113 of

the Act, 42 U.S.C. § 7413. This may include civil and administrative penalties of up to $25,000 per day of

noncompliance, pursuant to Sections 113(b)(2) and 113(d) of the Act, 42 U.S.C. §§ 7413(b)(2) and 7413(d). In

addition, the submission of knowingly false or misleading statements may be punished by a fine pursuant to Title 18

of the U.S. Code, or by imprisonment for not more than two years, or both.

This letter in no way affects your obligation to comply with other local, State and federal laws and regulations. In

addition, nothing in this letter shall be construed to be a waiver by EPA of any rights or remedies under the Clean Air

Act.

If you have any questions, please contact EPA Personnel (Counsel) of my staff at phone number.

Sincerely,

Authorized EPA Personnel, Title

Division

Office
39

Sample Letter #2

Plant Manager

Company Name

Address

Dear Plant Manager:

Section 112(r)(1) of the Clean Air Act (Act) states that "[the owners and operators of stationary sources producing,

processing, handling or storing such [extremely hazardous] substances have a general duty in the same manner and to

the same extent as Section 654, Title 29 of the United States Code, to identify hazards which may result from such

releases using appropriate hazard assessment techniques, to design and maintain a safe facility taking such steps as are

necessary to prevent releases, and to minimize the consequences of the accidental releases which do occur."

Pursuant to Section 114(a) of the Act, 42 U.S.C. § 7414(a), the Administrator of EPA is authorized to require any

person who owns or operates any emission source, or who is subject to any requirement of the Act, to establish and

maintain such records, make such reports, and provide such other information as she may reasonably require, for the

purposes of determining whether such person is subject to or in violation of any provision of this Act.

Therefore, in accordance with Section 114(a)(1) of the Act, 42 U.S.C. § 7414(a)(1) you are hereby required to

provide the following information:

1. Hazardous Operations Manuals:

a. A copy of the Hazardous Operations Manual (i.e., any form of process hazard analyses) for the name of

process, name of process, name of process, and name of process plants, areas, or processes.

b. The dates on which the most recent Hazardous Operations Manuals required in item (a) above were

completed.

c. A complete list of references of information relied upon in formulating the manuals required in item (a)above.

d. If any of the manuals required in item (a) above is less than two years old, please provide copies of previous

Hazardous Operations Manuals for the plant, area, or processes described in (a) above.

2. For each name of process plant, area, or process, please provide copies of training materials, or a summary of

such materials, used to train employees during the last five years. Please provide information for each of the

following procedures:

a. Start up

b. Shutdown

c. Emergency shutdown

d. Normal operation

e. Maintenance, and 

f. Emergency response.

These training materials or their summary shall include the following information:

a. Description of training subject matter 

b. Description of training contents

c. Whether training was required or optional.

3. For each employee in the name of process plant, area, or process, please provide an employee training profile

for the last five years, containing the following information:

a. Employee Name

b. Employee’s current position/title

c. Employee’s time in current position

d. Employee’s time with facility

e. All training received by the employee, answering the following for each course or session:

f. Dates training completed

g. Was employee competence-tested?; please submit a representative test for each course

h. Did employee pass the test?

I. If employee failed the test, describe follow up actions taken.
40

4. A printout of control system records for the name of process plants/areas/processes for seven days prior to the

day of receipt of this letter.

5. Copies of results and findings, including descriptions of recommendations, of any safety audits conducted in the

last five years for the entire facility (all plants/processes/areas).

6. Copies of work orders, management of change records, and the dates on which recommendations from these

safety audits were implemented.

7. Current P&ID and process Flow Diagrams for the name of process plants/areas. If the diagrams dating to 19__

which were submitted in response to EPA’s inspection last MM are current and represent the plant as it is

currently built and operating, please state so on your response. Otherwise, please submit current documents.

The above information must be submitted within twenty (20) days from receipt of this letter to the following address:

U.S. Environmental Protection Agency

Office

Division

Address

ATTN.: EPA Personnel Name

Any request for an extension must be made in writing within five (5) days of your receipt of this letter.

Please note that pursuant to regulations located at 40 C.F.R. Part 2, Subpart B, you are entitled to assert a business

confidentiality claim covering any part of the submitted information as defined in 40 C.F.R. § 2.201(c). Asserting a

business confidentiality claim does not relieve you from the obligation to fully respond to this letter. Failure to assert

such a claim makes the submitted information subject to public disclosure upon request and without further notice to

you, pursuant to the Freedom of Information Act, 5 U.S.C. § 552. Information subject to a business confidentiality

claim may be available to the public only to the extent set forth in the above cited regulation. EPA has the authority

to use the information requested herein in an administrative, civil, or criminal action. In addition, EPA has not

waived any rights to take enforcement action for past or future violations.

Please be advised that Company Name has a continuing obligation to supplement their answers if additional or

different information is found.

Failure to comply with this letter may result in enforcement action being taken in accordance with Section 113 of

the Act, 42 U.S.C. § 7413. This may include civil and administrative penalties of up to $25,000 per day of

noncompliance, pursuant to section 113(b)(2) and 113(d) of the Act, 42 U.S.C. §§ 7413(b)(2) and 7413(d). In

addition, the submission of knowingly false or misleading statements may be punished by a fine pursuant to Title 18

of the U.S. Code, or by imprisonment for not more than two years, or both.

This letter in no way affects your obligation to comply with other local, State and federal laws and regulations. In

addition, nothing in this letter shall be construed to be a waiver by EPA of any rights or remedies under the Clean Air

Act.

If you have any questions, please contact EPA Personnel (Counsel) of my staff at phone number.

Sincerely,

Authorized EPA Personnel, Title

Division

Office
41

Sample Letter #3

Plant Manager

Company Name

Address

Dear Plant Manager:

In a letter dated ________, pursuant to Section 114(a)(1) of the Clean Air Act (Act), 42 U.S.C.§ 7414(a)(1), EPA

requested from you a series of documents pertaining to your facility. After an extension was granted by EPA, most of

these documents have been received by EPA.

However, as of date, the following items have not been submitted by Company Name as requested by EPA:

Item 1(c). A complete list of references of information relied upon in formulating the Hazardous Operations Manuals

required in item 1(a) of the date letter.

Item 1(d). Because the Hazardous Operations Manuals submitted by Company Name for the name of process and

plants in response to item 1(a) of the date letter are less than two years old, Company Name was required

to provide copies of previous Hazardous Operations Manuals for these plants.

Section 112(r)(1) of the Act states that "[the owners and operators of stationary sources producing, processing,

handling or storing such [extremely hazardous] substances have a general duty in the same manner and to the same

extent as Section 654, Title 29 of the United States Code, to identify hazards which may result from such releases

using appropriate hazard assessment techniques, to design and maintain a safe facility taking such steps as are

necessary to prevent releases, and to minimize the consequences of the accidental releases which do occur."

Pursuant to Section 114(a) of the Act, 42 U.S.C. § 7414(a), the Administrator of EPA is authorized to require any

person who owns or operates any emission source, or who is subject to any requirement of the Act, to establish and

maintain such records, make such reports, and provide such other information as she may reasonably require, for the

purposes of determining whether such person is subject to or in violation of any provision of this Act.

Therefore, in accordance with Section 114(a)(1) of the Act, 42 U.S.C. § 7414(a)(1) you are hereby required to

provide materials responsive to items 1(c)and 1(d) by date. No further extensions will be granted.

In addition, in accordance with Section 114(a)(1) of the Act, 42 U.S.C. § 7414(a)(1) you are hereby required to

provide the following information by date.

1. Copies of all original training materials used at the time to deliver the training specified in your employee training

profiles. Please see table below for the specific materials being requested.

2. Please also provide copies of all current training materials--if they are different in any way from those required in

item 1 of this letter-- used in the same or equivalent training presently delivered or available to Company Name

employees. Please see table below for the specific materials being requested.

Please provide materials requested in items 1 and 2 for the following training, employees, and dates listed:

PROVIDE COPIES OF

ACTUAL MATERIALS USED

AT THE TIME FOR THE

FOLLOWING TRAINING

DATE

TRAINING

DELIVERED

PROVIDE COPIES OF

ACTUAL WRITTEN TEST

AND RESULTS FOR THE

FOLLOWING EMPLOYEES

PROVIDE COPIES OF

CURRENT TRAINING

MATERIALS, IF DIFFERENT,

FOR THE SAME COURSE

First Responder, 

“Awareness Level”

and 

Hazard Communication

Names No

No

No

No
PROVIDE COPIES OF

ACTUAL MATERIALS USED

AT THE TIME FOR THE

FOLLOWING TRAINING

DATE

TRAINING

DELIVERED

PROVIDE COPIES OF

ACTUAL WRITTEN TEST

AND RESULTS FOR THE

FOLLOWING EMPLOYEES

PROVIDE COPIES OF

CURRENT TRAINING

MATERIALS, IF DIFFERENT,

FOR THE SAME COURSE

42

Safety Training: High Temp

Shutdowns on process, Scrubber

Pumps; Process Mix Tank

Pumps; West Substance Tank

Loading Pumps;

East Substance Tank Loading

Pumps

Name Yes

Hazardous Materials Loading &

Unloading

Name Yes

Company Name Policies and

Procedures Training

Name Yes

PSM Application and Overview Name

no

IV Boardman Name Yes

HAZMAT Series I Name No

No

HAZMAT Series II Name

Process Plant I

Process Plant II

Process Plant III

Names Yes

Yes

Note: If any of the documents being requested in items 1(c), 1(d) (date letter) or items 1 and 2 of this letter do not

exist, please identify the document and state the reasons why it does not exist.

The above information must be submitted on or before the dates specified in this letter to the following address:

U.S. Environmental Protection Agency

Office

Division

Address

ATTN.: EPA Personnel

Please note that pursuant to regulations located at 40 C.F.R. Part 2, Subpart B, you are entitled to assert a business

confidentiality claim covering any part of the submitted information as defined in 40 C.F.R. § 2.201(c). Asserting a

business confidentiality claim does not relieve you from the obligation to fully respond to this letter. Failure to assert

such a claim makes the submitted information subject to public disclosure upon request and without further notice to

you, pursuant to the Freedom of Information Act, 5 U.S.C. § 552. Information subject to a business confidentiality

claim may be available to the public only to the extent set forth in the above cited regulation. EPA has the authority

to use the information requested herein in an administrative, civil, or criminal action. In addition, EPA has not

waived any rights to take enforcement action for past or future violations.

Please be advised that Company Name has a continuing obligation to supplement their answers if additional or

different information is found.

Failure to comply with this letter may result in enforcement action being taken in accordance with section 113 of

the Act, 42 U.S.C. § 7413. This may include civil and administrative penalties of up to $25,000 per day of
43

noncompliance, pursuant to Sections 113(b)(2) and 113(d) of the Act, 42 U.S.C. §§ 7413(b)(2) and 7413(d). In

addition, the submission of knowingly false or misleading statements may be punished by a fine pursuant to Title 18

of the U.S. Code, or by imprisonment for not more than two years, or both.

This letter in no way affects your obligation to comply with other local, State and federal laws and regulations. In

addition, nothing in this letter shall be construed to be a waiver by EPA of any rights or remedies under the Clean Air

Act.

If you have any questions, please contact EPA Personnel (Counsel) of my staff at phone number.

Sincerely,

Authorized EPA Personnel, Title

Division

Office
6

While the provisions of Section 104(e)(5) of CERCLA provide

for a penalty per violation of up to TWENTY-FIVE THOUSAND DOLLARS

($25,000) per day, the Civil Monetary Penalty Inflation

Adjustment Rule, published at 40 C.F.R. Part 19, increased the

maximum penalty for each violation occurring on or after January

31, 1997, to TWENTY-SEVEN THOUSAND FIVE HUNDRED DOLLARS ($27,500)

per day.

44

Appendix 8 - Sample CERCLA Section 104(e) Information Request

Letter

CERTIFIED MAIL

RETURN RECEIPT REQUESTED

Name 

Address

City, State, Zip Code 

Re: Request for Information Pursuant to Section 104(e) of CERCLA

for Name of facility), in (Location).

Dear Sir or Madam:

The United States Environmental Protection Agency (U.S. EPA) is

currently investigating the source, extent, and nature of

releases of hazardous substances, pollutants, or contaminants

pursuant to the Comprehensive Environmental Response,

Compensation and Liability Act (CERCLA), 42 U.S.C. 

§§ 9601 et seq., as amended by the Superfund Amendments and

Reauthorization Act of 1986, Pub. L. 99-499, including but not

limited to the following accidental releases at the (Name of

facility)in (Location). 

1) List information of release or releases as given by

originator). 

Pursuant to the authority of Section 104(e) of the CERCLA, 42

U.S.C. § 9604(e), you are hereby requested to respond to the

Information Request enclosed. Compliance with the enclosed

Information Request is mandatory. Failure to respond fully and

truthfully to each and every request within (Number written out)

(#) days of receipt of this letter, or to adequately justify such

failure to respond, can result in enforcement action by U.S. EPA

and the imposition of penalties of up to TWENTY-SEVEN THOUSAND

FIVE HUNDRED DOLLARS ($27,500)6 for each day of noncompliance.

"Non-compliance" is considered by the U.S. EPA to be not only

failure to respond to the Request but also failure to respond

completely and truthfully to each Request. Please be further

advised that provision of false, fictitious, or fraudulent

statements or representations may subject you to criminal fines

or up to five (5) years of imprisonment or both under 18 U.S.C. §

1001.
45

U.S. EPA has the authority to use the information requested

herein in an administrative, civil, or criminal action. This

Information Request is not subject to the approval requirements

of the Paperwork Reduction Act of 1995, 44 U.S.C. § 3501, et seq.

Your response to this Information Request should be mailed to:

------------ 

Office of Chemical Emergency 

 Preparedness and Prevention 

United States Environmental Protection Agency

[EPA address]

Please direct any questions you may have regarding this

Information Request to ------------ at --------.

Due to the potential seriousness of the problem at the facility

and the legal ramifications of your failure to respond promptly

and properly, U.S. EPA strongly encourages you to give this

matter your immediate attention and to respond to this

Information Request within the time specified above.

Thank you for your cooperation in this matter.

Sincerely yours,

EPA Official

Office of Chemical Emergency 

Preparedness and Prevention

Enclosure: Information Request Definitions

 Information Request Instructions

 Information Request
46

DEFINITIONS

For the purpose of the Instructions and the Information Request

set forth herein, the following definitions shall apply:

1. The term "you" or "Respondent" shall mean the addressee of the

Information Request, the addressee's officers, managers,

employees, contractors, trustees, and agents.

2. The term "person" as used herein, in the plural as well as the

singular, shall mean any natural person, firm, contractor,

corporation, partnership, trust or governmental entity, unless

the context indicates otherwise.

3. The term "hazardous substance" shall have the same definition

as that contained in Section 101(14) of CERCLA, including

mixtures of hazardous substances with other substances

including petroleum products.

4. The term "furnish", "describe", or "indicate" shall mean

turning over to U.S. EPA either original or duplicate copies

of the requested information in the possession, custody, or

control of the Respondent. Where specific information has not

been memorialized in any document but is nonetheless

responsive to a request, you must respond to the request with

a written response. If such requested information is not in

your possession, custody, or control, then indicate where such

information or documents may be obtained.

5. "Release" means any spilling, leaking, pumping, pouring,

emitting, emptying, discharging, injecting, escaping,

leaching, dumping or disposing of any hazardous substance.

6. "And" as well as "or" shall be construed either conjunctively

or disjunctively as necessary to bring within the scope of

this Information Request any information which might otherwise

be construed to be outside their scope.

7. The terms "transport" or "transportation" mean the movement of

a hazardous substance by any mode, including pipeline, and in

the case of a hazardous substance which has been accepted for

transportation by a common or contract carrier, the terms

"transport" or "transportation" shall include any stoppage in

transit which is temporary, incidental to the transportation

movement, and at the ordinary operating convenience of a

common or contract carrier, and any such stoppage shall be

considered as a continuity of movement and not as the storage

of a hazardous substance.

8. The term "pollutant or contaminant" shall have the same

definition as that contained in Section 101(33) of CERCLA, and

includes any mixtures of such pollutants and contaminants with

any other substances.

9. The term “Facility” means (1) any building structure,

installation, equipment, pipe or pipeline (including any pipe
47

into a sewer or publicly owned treatment works), well, pit,

pond, lagoon, impoundment, ditch, landfill, storage container,

motor vehicle, rolling stock, or aircraft, or (2) any site or

area where a hazardous substance has been disposed of, or

placed, or otherwise come to be located; but does not include

any consumer products in consumer use or vessel.

10. All terms not defined herein shall have their ordinary

meaning, unless such terms are defined in CERCLA, the

Resource Conservation and Recovery Act (RCRA), 42 U.S.C. §

6901 et seq., as amended, 40 CFR Part 300 or 

40 CFR Parts 260-280, in which case the statutory or

regulatory definitions shall apply.
48

APPENDIX 9 - SITE SAFETY PLAN FOR ON-SITE ACTIVITIES

On-site activities may expose government personnel to processes involving extremely hazardous

substances. The OSHA Hazardous Waste Operations and Emergency Response Standard (29

C.F.R. §1910.129) and EPA policies articulate certain safety planning efforts prior to field

activities. The following format is consistent with these requirements. Extensive training and

certifications and further planning in the form of a more extensive Site Safety Plan, may be

necessary in addition to the following plan. 

Stationary source:

Lead Auditor: Date:

Description of Activities:

Location and approximate _______________________________________________________

______________

size of stationary source: _______________________________________________________

______________

Description of tasks and _______________________________________________________

______________

activities to be performed _______________________________________________________

______________

by each of the auditors ________________________________________________________

_____________

Proposed date of onsite 

activities beginning:

Duration of the planned activities:

Site _____________________________________________________________________

________

topography: ________________________________________________________________

_____________

Site accessibility ______________________________________________________________

_______________

by roads and air: ______________________________________________________________

_______________

Hazardous Substances and Health Hazards involved or suspected at the site

Fill in any information that is known or suspected

AREAS OF

CONCERN

CHEMICAL AND 

PHYSICAL PROPERTIES

IDENTITY OF SUBSTANCE AND

PRECAUTIONS

Explosivity _________________________

_____

_________________________

_____

_____________________________

______

_____________________________

______
49

Radioactivity _________________________

_____

_________________________

_____

_____________________________

______

_____________________________

______

Oxygen deficiency

(e.g., confined

spaces)

_________________________

_____

_________________________

_____

_____________________________

______

_____________________________

______

Toxic gases _________________________

_____

_________________________

_____

_____________________________

______

_____________________________

______

Skin / eye contact

hazards

_________________________

_____

_________________________

_____

_____________________________

______

_____________________________

______

Heat stress _________________________

_____

_________________________

_____

_____________________________

______

_____________________________

______

Pathways from site for _______________________________________________________

___________

hazardous substances _______________________________________________________

___________

dispersion: ____________________________________________________________

______
50

Work Plan Instructions:

Recommended level of protection: (A) ______ (B) ______ ©

____

__

Cartridge type if level C:

Monitoring equipment _______________________________________________________

___________

to be used: ____________________________________________________________

______

Accompanying / ________________________________________________________

__________

helping persons ________________________________________________________

__________

(stationary source / contractors): ______________________________________________

________________

Safety clothing / ________________________________________________________

______

equipment required ________________________________________________________

__________

for those persons: ________________________________________________________

__________

OSHA required training and ______________________________________________

_______________

certification (29 CFR § 1910.120) ______________________________________________

_______________

received by those persons ______________________________________________

_______________

Field investigation and decontamination procedures:

Decontamination procedures ____________________________________________________

______________

(contaminated protective ____________________________________________________

______________

clothing, instruments, _______________________________________________________

___________

equipment, etc.) ________________________________________________________

__________

Disposal procedures _______________________________________________________

___________

(contaminated equipment, ____________________________________________________

______________

supplies, disposable items, 

_________________________________________________________________

washwater, etc.) ________________________________________________________

__________
51

Emergency Contacts

Hospital Phone No.: Fax:

Emergency Medical Treatment Phone No.: Fax:

Ambulance Phone No.: Fax:

Hospital Location: ____________________________________________________________

_____________

_____________________________________________________________________

____

Police Phone No.: Fire Assistance Phone No.:

Regional Health and Safety Officer (or position with similar duties): Phon

e:
52

Appendix 10 - SAMPLE INSPECTION INFORMATION MATERIAL

The following is a list of documents and information that may be reviewed before and/or during

an inspection of a stationary source. This list contains general sources of information that may or

may not be present at the source. Inspectors should consider additional sources of information

beyond this list, specific to the process being inspected.

1. Facility plot plan(s) showing overall layout, spacing of buildings, storage areas, process areas,

traffic lanes and parking lots, and surrounding areas offsite for a distance of one mile from

the facility's boundaries. Indicate the location of any sensitive receptors such as hospitals, 

nursing homes.

2. Process description and process chemistry using blocktype process flow diagrams.

3. Fire control systems

4. Manufacturing area standard operating procedures (SOPs).

5. Inventory and location of onsite emergency response equipment, such as vehicles, protective

clothing, emergency lighting (indoors and outdoors), respiratory protection equipment,

decontamination materials, emergency medical equipment, and medical training/first aid

expertise, emergency or standby power capacity. These items can merely be marked on the

facility plot plan requested in #1 above.

6. Location of nearest public fire department, rescue/ambulance squad.

7. If railroad chemical tank cars and/or box cars are utilized at the facility, indicate type of cars,

contents, loading/ unloading procedures, and car chemical/fire emergence response SOP.

8. Public Alert Notification system, facility Emergency HotLine.

9. Brief description of operator training programs and refresher courses.

10. Listing of above ground and below ground chemical storage facilities, capacities, type of

storage container, storage temperatures and pressures, special handling requirements, 

placarding and labeling, pumping procedures and SOP, corrosion control, nonemployee

safety training.

11. Spill prevention countermeasure control plan (SPCC or DPCC Plan)

12. Brief description of monitoring equipment used to monitor operational parameters of 

chemical processing equipment, early warning upset/emergency alarm systems, emergency 

shutdown devices, failsafe and interlock process controls.