Office of Solid Waste 

United States 

Environmental Protection 

Agency 

and Emergency Response 

Office of Enforcement 

and Compliance Assurance 

EPA 550-B00-002 

May 2000 

www.epa.gov/ceppo/ 

RMP 

SERIES 

GUIDANCE FOR 

IMPLEMENTATION 

OF THE GENERAL 

DUTY CLAUSE 

CLEAN AIR ACT 

SECTION 112(r)(1) 

Chemical Emergency Preparedness and Prevention Office Printed on recycled paper 
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. 
Chapter 1: Introduction

1
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. 

2
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. 

3
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.” 

1

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

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

4 
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. 

5
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. 

6
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 

7
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. 

8 
Chapter 2: The General Duty Clause

9
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

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
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. 

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 
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 

12
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 

13
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 

14
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 

15
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 

16
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. 

17
Chapter 3: Evaluating Prevention and Release Mitigation Programs

18
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)? 

19
& 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? 

20
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? 

21
Chapter 4: Authorities

22
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. 

23
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 

24
...[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,

25
(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 

26
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. 

27
Appendices

28
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 

29
______________________ 

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 

30
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__. 

31
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 

32
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. 

33
___________________________________ 

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 

34
___________________________________ 

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, 

35
_______________ ____________________________ 

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 

36
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. 

37
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

38
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. 

39
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

40
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 

41
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 

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 

42
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

43
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.


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 
------------ 

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


45
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


46
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.


47
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 _________________________ 

_____ 

_________________________ 

_____ 

_____________________________ 

______ 

_____________________________ 

______ 

48
___________ 

___________ 

______ 

Radioactivity _________________________ _____________________________ 

_____ ______ 

_________________________ _____________________________ 

_____ ______ 

Oxygen deficiency _________________________ _____________________________ 

(e.g., confined _____ ______ 

spaces) _________________________ _____________________________ 

_____ ______ 

Toxic gases _________________________ _____________________________ 

_____ ______ 

_________________________ _____________________________ 

_____ ______ 

Skin / eye contact _________________________ _____________________________ 

hazards _____ ______ 

_________________________ _____________________________ 

_____ ______ 

Heat stress _________________________ _____________________________ 

_____ ______ 

_________________________ _____________________________ 

_____ ______ 

Pathways from site for _______________________________________________________ 

hazardous substances _______________________________________________________ 

dispersion: ____________________________________________________________ 

49
____ 

__ 

___________ 

______ 

__________ 

__________ 

________________ 

______ 

__________ 

__________ 

_______________ 

_______________ 

_______________ 

______________ 

______________ 

___________ 

__________ 

___________ 

______________ 

_________________________________________________________________ 

__________ 

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.) ________________________________________________________

50
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: 

51
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 off site 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 block type process flow diagrams. 

3. Fire control systems 

4. Manufacturing area standard operating procedures (SOPs). 

5. Inventory and location of on site 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 stand by 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 Hot Line. 

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, non employee 

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 

shut down devices, fail safe and interlock process controls. 

52