**Office of Solid W aste**  **United States Environmental Protection**  **Agency and Emergency Response**  **Office of Enforcement and Compliance Assurance**  **EP A 550-B00-002**  **May 2000 www**  **.epa.gov/ceppo/**RMPSERIES 

# GUIDANCE FOR IMPLEMENT A TION OF THE GENERAL DUTY CLAUSE CLEAN AIR ACT SECTION 112(r)(1)

Chemical Emer gency Preparedness and Prevention Office Printed on recycled paper

### Table of C o nt e n t s
1.0 In trod u c ti on .............................................................. 2 1.1. Objective of this Document

................................................ 3 1.2. B ackg r ound on Other Chemical Safety Prog rams ................................ 3 1.3. Approaches towards I mplementing the General Duty Clause

...................... 5 1.4 F acility /Industry Selection

................................................. 7 1.5 F acility /Industry Sector B ackg r ound In formation

............................... 7 2.0. T h e Gen eral Du ty Cl au se .................................................. 1 0 2.1. J urisdiction

............................................................ 1 0 2.2. Applicability

........................................................... 1 0 2.3. Oblig ations under the General Duty Clause

................................... 1 1 2.3.1. Has the owner and operator identified haz ards which may result from accidental r e l e a s e s ?
........................................................... 1 2 2.3.2. Has the owner and operator desig n ed and maintained a safe facility ?
............ 1 4 2.3.3. Has the owner and operator minimiz ed the consequences of a release?

.......... 1 6 3.0. Evaluating P revention and Release Mitigation P r ogram s ....................... 1 9 3.1. Measure of Prevention and Preparedness/Compliance with the General Duty Clause

. . . 19 3.2. Haz ard I d entification Checklist

............................................. 1 9 3.3. F acility Desig n/Maintenance Checklist

....................................... 2 0 3.4. Consequence Minimiz ation Checklist

....................................... 2 1 4.0. Aut h or it ie s .............................................................. 2 3 4.1. In formationCollection/Entry and Access

..................................... 2 3 4.2. I mminent/Substantial Endang erment Order Authority

........................... 2 4 4.3. Other Investig ative Tools

................................................. 2 6

Ap p e n d i c e s .................................................................. 2 8

### Ap p e n d i x 1 - S amp l e C A A J u d i c i a l W ar r an tf o r

S i t e A c c e s s , S amp l i n g .................. 2 9 Ap p e n d i x 2 - S amp l e R e qu e s tt o F i l e W ar r an t s U n d e r S e a l

............................ 3 0 Ap p e n d i x 3 - S amp l e O r d e r t o S e a l W ar r an t s ....................................... 3 1 Ap p e n d i x 4 - C A A / C E R C L A S amp l e A dm i n i s tr a t i v e W ar r an t s ........................ 3 2 Ap p e n d i x 5 - S amp l e Ap p l i c a t i o nf o r

anA dm i n i s tr a t i v e W ar r an t
....................... 3 3 Appendix 6 - Sample Emerg e ncy Order under CAA Section 303

........................ 3 5 Appendix 7 - Sample Clean Air Act Section 114 In formation Request L e tters
............. 3 7 Appendix 8 - Sample CERCL A Section 104(e) In formation Request L e tter
............... 4 4 Appe ndix 9 - Sample Site Sa f e ty PlanF o r On- S ite Ac tivitie s .......................... 4 8 Ap p e n d i x 1 0

- S amp l e In s p e c t i o nIn f o r

m a t i o nM a t e r i a l

............................... 5 0

Notice : This docum e nt is intended solely f o r the guidance of governm e nt personnel. It is not i n ten d e d an d can n o t b e rel i e d u p o n to create ri gh ts, su b s tan t i v e or p r oced u r al , en f o rceab l e b y an y p a rt i n l i t i gati o n w i th th e Un i t ed S t ates. T h e Agen cy reserves th e ri gh t to act at variance w i th this guidance and change it at any tim e w i thout public notice.

# C h apte r 1: Intr oduc tion

1

### 1.0 In trod u c ti on P ublic awareness of the potential dang er from accidental releases of haz ardous substances has increased over the y ears as serious chemical accidents have occurred around the world. P ublic concern intensified following the 1984 release of methyl isocy anate in B hopal, India, which killed more than 2,000 people. A similar chemical release in In stitute, W e st Virg inia, 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 cong ressional awareness of the threat posed by chem i cal rel eases. As a resul t , C ong ress enact ed l e g i sl at i on t o hel p preventacci dent s from occurring , and to promptly report and respond to accidents that do occur. In1986, Cong ress enacted the Emerg e ncy Planning and Community Rig h t-to-Know Act (EP CRA) to require state and local g overnments to prepare to respond to accidental chemical releases. In1990, Cong ress amended the Clean Air Act (CAA) and added S e ction 112(r). S ection 112(r) of th e C AA requi res th atowners and operat o rs of st at i onary sources i d ent i f y

haz ards, and prevent, and minimiz e the effects of accidental releases whenever ex tremely haz ardous substances ar e pr e s e n t a tthe i r f

a c ility

. The general duty clause i nS ect i on 112(r)(1) and reg u l a t i ons i ssued pursuantt o other provi si ons of S ect i on 112(r) defi ne th ese requi rem e nt s and est a bl i s h th e deadl i n es for comp l i ance. S p eci fi cal l y , S ect i on 112(r)(1) st at es: (r) P revention of Accidental Releases (1) P urpose and G e neral Duty - It shall be the objective of the regulations and p r ogram s au th ori zed u n d er th i s su b s ecti o n to p reven t th e acci d e n t al rel ease an d to m i n i m i ze th e con s eq u e n ces of an y su ch rel ease of an y su b s tan ce l i s ted p u r su an t to paragraph (3) or any other extrem ely hazardous substance. The ow ners and op erators of stati o n a ry sou rces p r od u c i n g, p r ocessi n g, h a n d l i n g or stori n g su ch substances have a general duty, in the sam e m a nner and to the sam e extent as section 654, title 29 of the United States Code, to identif y hazards w h ich m ay result f

r om such releases using appropriate hazard assessm ent techniques, to design and m a int a in a safe fac ilit y t a king suc h st e p s as ar e ne c e ssar y t o pr e v e n tr e l e a se s, and to m i n i m i ze th e con s eq u e n ces of acci d e n t al rel eases w h i c h d o occu r. The g e neral duty clause has been in effect and enforceable since November 15, 1990. I tapplies to any facility where ex tremely haz ardous substances are present. The g e neral duty clause is a performance based authority recog n iz ing that owners and operators have primary responsibility in the prevention of chemical accidents. As part of this responsibility , many industries have developed standards and g e nerally recog n iz ed safe practices to manag e the risks associated with ex tremely haz ardous substances. EPA believes that owners and operators who have these substances must adhere, at a minimum, to recog n iz ed industry standards and practices (as well as any g overnment reg u lations) in order to be in compliance with the g e neral duty clause. The Ag ency recog n iz es 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 g overnment reg u lations. Such a facility must nevertheless address its specific conditions in order to be in compliance with the g e neral duty clause. F i nally , there may be situations in which an ex isting industry standard or practice is simply inadequate to preventacci dent s, and here th e Ag ency m ay ex erci se i t s authori ty t o requi re an owner or operat o r to imple me nt a dditiona l me a s ur e s to a ddr e ss the ha zar d

.

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### 1.1. O b jecti v e of th i s Docu m e n t Thi s g u i d ance focuses on t h e g e neral dut y cl ause of S ect i on 112(r)(1) and i t s i mp l e m e nt at i on t o prom ot e safe operat i n g pract i ces and preventchem i cal acci dent s. The obj ect i v e of t h e Ag ency ’s Section 112(r) prog ram is to have owners and operators take responsibility for chemical accident prevention and mitig ation. This g u idance is for use by EPA inspectors/auditors/investig ators to devel op prog ram s t o i n crease comp l i ance wi thth e g e neral duty cl ause i nS ect i on 112(r)(1) of th e C AA. This document will introduce the concept of the g e neral duty clause, sug g e st approaches for increasing compliance, and provide ex amples of tools for conducting an investig ation and evaluating prevention prog rams. B e fore discussing in detail the g e neral duty clause, Section 1.2 of

this doc ume n t will br ie f l y

de sc r i be othe r pr og r ams imple me nte d pr e v iously by the Ag e n c y to address chem i cal safety and ex pl ai n th ei r rel a t i onshi p wi thS ect i on 112(r) of th e C AA. These prog rams included chemical safety audits, risk manag e ment prog ram reg u lations and other audits and inve stig a tions. The r e ma inde r of this g u idan c e will the nlay out in de ta il a ppr oa c h e s to implement the g e neral duty clause; elaborate upon the statutory requirements of the g e neral duty clause; and, describe how to assess compliance with the g e neral duty clause.
1.2. Bac k gr ound on Ot he r C h e m ic al Safe t y P r ogr am s Historically , the Ag ency has worked with sources to improve their safety manag e ment pr og r ams, a ssiste d c o mmunitie s in r i sk r e duc tion a c tivitie s with f a c ilitie s in the i r c o mmunitie s, and assisted with emerg e ncy preparedness and response to chemical accidents. I mplementation of a prog ram to help sources improve their safety manag e ment beg i ns with an understanding of how and why accidents occur, how industry identifies chemical and process haz ards, how industry desig n s, maintains, and operates a safe facility , and how the consequences of accidents that do occur can be minimiz ed. Industry is responsible for having the ex pertise to ensure that all the elements of safe operation (procedures, training , maintenance, etc.) are broug ht tog e ther and manag e d day

- after-day

. B u t, g overnment can help sources by analy z ing their safety manag e ment pr og r ams, c o mpar ing the m to suc c e ssf ul pr a c tic e s use d by othe r sour c e s , and stimula ting impr ove me nts. Inadditional to the g e neral duty clause, EPA has several tools with which to work with owners and operat o rs t o preventchem i cal acci dent s. W h i l e th e focus of th i s docum enti s on th e g e neral duty clause, we wanted to briefly describe other tools. Each is desig n ed 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 throug hout the industry

. a. C h e m ic al Safe t y A udit s C o nduc t e d by EP A Chemical Safety Audits provide EPA an opportunity to:

• v isit sources handling haz ardous substances to learn about safety practices and technolog ies; 

## & heig hten awareness of the need for, and to promote, chemical safety among sources handling haz ardous substances, as well as in communities where chemicals are located; and 

## & build cooperation among sources, ag encies, and other authoriz ed parties. 3

### Inthe past, these audits were frequently voluntary and promoted the g o al of identifyi ng and charact eri z i n g th e streng th s and weaknesses of speci fi c chem i cal acci dentprevent i on prog ram areas to hig h lig ht the elements of effective prog rams, and to share information on successful practices and recommend safety improvements. W ith the enactment of the g e neral duty clause and the Risk Mana g e me nt Pr og r am ( R MP) , EPA r e c o g n ize s tha tthe c h e mic a l sa f e ty pr og r am will continue. However, chemical safety audits g e nerally should no long er be conducted on processes covered by the risk manag e ment prog ram because it would be inappropriate to conduct a voluntary review of processes which are subject to federal reg u lation. F urther, these audits should not be conducted at a source which is subject to a pending enforcement action. (F or additional information concerning chemical safety audits, see the technical assistance section.) b. Accident Investigations C h em i cal acci denti nvest i g at i ons hel p t o det e rm i n e why an acci dentoccurred, by ex am i n i n g t h e facts and circumstances surrounding an event. I d eally , such investig ations determine the root cause or sy stem failures that contributed or led to the accident. This information can then be used to reduce the likelihood of recurrence, minimiz e the consequences associated with accidental releases, and make chemical production, processing , handling , and storag e safer. Along with the root cause, the investig ation looks at contributing factors of the event that may have broad applicability to industry , and the potential to develop recommendations and lessons learned to preventfuture acci dent s of t h i s t y pe. S ection 112(r)(6) of the Clean Air Act established an independent safety board known as the Chemical Safety and Haz ard Investig ation B o ard (“the Chemical Safety B o ard”). One of the objectives of the Chemical Safety B o ard, as directed by the Clean Air Act, is to investig ate, 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 damag e . The Chemical Safety B o ard beg an operating in November, 1997 when it was funded by Cong ress. EPA and the Chemical Safety B o ard have developed a Memorandum of Understanding which addresses the respective authorities of each org aniz a tion to investig ate chemical accidents. 1 

### To view this MOU, see www.epa.g ov/ceppo/pubs/csbepa.pdf. The conclusions, finding s or r e c o mme nda tions of the Che mic a l Sa f e ty B o ar d may not be a dmitte d a s e v ide n c e or use d in an y action or suit for damag e s; however, that does not preclude EPA from conducting its own investig ation for violations of the g e neral duty clause.

c. Risk Managem e nt P l an Audits S ect i on 112(r)(7) of t h e C AA di rect ed EP A t o prom ul g a t e reg u l a t i ons for sources t o devel o p and implement a risk manag e ment prog ram. These reg u lations, found in 40 C.F

. R. Part 68, establish three elements of a risk manag e ment plan (RMP) : haz ard assessment, prevention and response. As part of this prog ram, the implementing ag ency 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 Manag e ment Prog ram reg u lation, “...EPA intends to use the audit process as a

way to ve r i f y

the qua lity of the pr og r am summar i ze d in the RMP. Whe nit is a ppr opr ia te , EPA will r e quir e sour c e s to make modif i c a tions to the RMP tha tmay le a d to qua lity impr ove me nts in the underlyi ng prog ram.”

1 

### F o r further information concerning the Chemical Safety B o ard, visit the web site at http://c he msa f e t y . g ov or http://c sb.g ov 4

### Prior to determining whether modifications to an RMP are required, a Reg i onal inspector must determine whether a stationary source is covered by the g e neral duty clause or the Risk Manag e ment Prog ram. There may be instances in which a stationary source may be subject to both. F o r ex ample, a source may have certain processes that are subject to RMP but may have others that are not, or may have haz ards not addressed by the RMP reg u lations. Inorder to determine which authority to apply in that situation, a Reg i onal inspector should first apply the specific RMP reg u latory requirements. I f none are applicable, the Reg i onal inspector should pe r f o r

m the an a l y s is outline d in this g u idan c e to de te r mine if the r e is a g e ne r a l duty c l a u se violation. d. C o nduc t i ng audit s and inve st igat ions Ea c ha g e n c y , whe the r f

e de r a l, sta t e , or loc a l , must de te r mine wha ta u thor itie s it pr e s e n tly ha s to conduct chemical safety audits, accident investig ations, g e neral duty clause enforcement actions or

RMP a udits. Most will f i nd tha tthe i r pr e s e n t a u thor itie s ar e suf f i c i e n t but in c a s e of an y question, the implementing ag ency should consult with their g e neral counsel or appropriate leg a l a

u thor ity to de te r mine the most e f f e c tive use of the i r a

u thor itie s. I tis also important to note that these activities mentioned above are not mutually ex clusive. Many time s, a c o mbina tion of a c tivitie s may be e mploy e d to a c h ie ve the r e sults soug ht by the ag ency . For ex ample, a Reg i on may choose to conduct an accident investig ation following a chem i cal acci dentata source. Thi s i nvest i g at i on m ay det e rm i n e a rootcause; however, th e Reg i on may also conduct a chemical safety audit later to confirm safe practices are in place to reduce the risk of future accidents. Additionally , the Reg i on may choose to pursue violations of the g e neral duty or RMP nature, if circumstances warrant. 1.3. Ap p r oach e s tow a rd s Im p l em en ti n g th e Gen eral Du ty Cl au se As previously stated, the focus of the remainder of this g u idance document will be upon implementing the g e neral duty clause and the approaches available to the Reg i ons. These approaches i n cl ude comp l i ance out reach, t echni cal assi st ance, and enforcem ent
. Thi s g u i d ance i s relevant to all of these ag ency functions.

a. Com p l i a n ce O u treach Compliance outreach involves communicating haz ards, lessons learned from accident investig ations, prevention/mitig ation information and enforcement actions to an industry sector throug h an open letter, an alert or other means to provide this information. EP A’s C h em i cal Em erg e ncy P r eparedness and P r event i on Offi ce (C EP P O ) cont i nues t o prepare and distribute safety alerts which educate reg u lated industries of haz ards posed by specific chem i cal s or chem i cal processes. S ee www.epa.g ov/ceppo/ap-chsa.htmfor ex ampl es of t h ese al ert s . EP A’s Offi ce of R e g u l a t o ry Enforcem ent(OR E ) al so prepares and di st ri but es enforcem ent a l e rts to inf o r

mand e duc a t e the public and r e g u la te d c o mmunitie s of important e nvir onme n ta l enforcem enti ssues, recenttr ends and si g n i f i cantenforcem entact i ons. S e e www.epa.g ov/ oeca/ ore/ enfal e rtfor ex ampl es of t h ese al ert s . There are also numerous non-g overnmental entities which provide g u idance documents addressing process safety manag e ment. These non-g overnmental entities include the Center for Chemical Process Safety , industry trade associations (e.g . Chemical Manufacturers Association, Ame r ic anPe tr ole u m In stitute , Chlor i ne In stitute ) , and e duc a tion institutions ( e .g ., Mar y

K. 5

### O’Connor Safety Center at Tex a s A & M University ). b. T ech n i cal Assi stan ce Technical assistance involves helping owners and operators evaluate their haz ard identification, prevention, and mitig ation prog rams. There are many forms of technical assistance available to aid the owner/operator to comply with the g e neral duty clause. Since 1989, EPA has conducted Che mic a l Sa f e ty Audits. Inthe pa st, the s e a udits have f o c u se d on ste p s f a c ilitie s mig ht voluntarily implement to enhance their ability to prevent and mitig ate chemical accidents. W h ile the focus remains on the ability to prevent and mitig ate chemical accidents, the chemical safety audits may now provide useful compliance assistance by helping identify way s that companies can c o mply with the g e ne r a l duty c l a u se or the r e g u la tor y

r e quir e me nts of the r i sk mana g e me nt prog ram. Deficiencies in a source’s safety prog ram may now be considered violations of the g e neral duty cl ause or i f t h e defi ci enci es are associ at ed wi t ha process covered by t o 40 C
. F.R
. Part 68, there may be a violation of the risk manag e ment prog ram. Insome circumstances, Reg i onal personnel may work with the facility , the community and local emerg e ncy planning committees to reduce the risk of accidents or to help improve responses to accidents should they occur. This local dialog ue should assist the local community to better prevent, prepare for and respond to accidents involving the stationary source. For this reason, the g e neral duty clause contacts in the EPA Reg i ons should involve the RMP and EPCRA prog ram c onta c t s in the i r Re g i ons sinc e the s e pr og r ams wor k

c l ose l y with loc a l c o mmunitie s an d emerg e ncy response personnel.

c. Ci vi l an d Cri m i n al E n f o rcem en t Enf o r c e m e n t by EPA inc l ude s inspe c ting f a c ilitie s to e v a l ua te f o r

c o mplianc e and/or to inspe c t facilities in order to identify deficiencies in the accidental release prevention and mitig ation prog rams. Pursuant to Section 114(a)(1) and (2) of the Clean Air Act, Reg i onal inspectors may r e quir e anowne r / ope r a tor to pr ovide inf o r

m a tion to EPA to de te r mine whe the r the f a c ility is in comp l i ance wi tht h e g e neral dut y cl ause of S ect i on 112(r) of th e Act
. Insi tu at i ons wi tha rel e ase or threat of a release of haz ardous substances, pollutants and contaminants, CERCL A 104(e) may also be used to g a ther information. EP A m ay al so pursue enforcem entact i ons t o requi re and/ or i mp rove acci dent al rel e ase pr e v e n tion and mitig a tion pr og r ams by se e k ing pe na ltie s and/or injunc tive r e lie f f

o r

viola tions of the g e neral duty clause. Pursuant to Section 113(d) of the Clean Air Act, EPA Reg i onal personnel may issue an administrative penalty order or pursuant to Section 113(a)(3) of the Clean Air Act, EPA Reg i onal personnel may issue an administrative compliance order requiring an owner/operator to comply with the g e neral duty clause. EPA may also bring a civil judicial action pursuant to Section 113(b) of the Act for violations of the g e neral duty clause or request that the Attorney General commence a criminal action in accordance with Section 113(c) of the Clean Air Act ag ainst owners/operators for knowing violations of the g e neral duty clause. P ursuantt o S ect i on 112(r)(9) of t h e C l ean Ai r Act , EP A m ay al so order any act i on necessary t o a

b a t e a dang e r or thr e a tif the Ag e n c y de te r mine s tha tthe r e may be animmine n t and substantia l endang erm e ntt o hum an heal thor wel f are or th e envi ronm entbecause of an actual or th reat ened acci dent al rel ease of a reg u l a t e d subst ance.

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### 1.4 F a c ilit y/Indust r y Se le c t ion Reg i ons may choose among compliance outreach, technical assistance or enforcement when basing their approach towards a particular stationary source or industry

. Each Reg i on has f l e x ibility to de te r mine whe r e it is most a ppr opr ia te to e x e r c i se g e ne r a l duty c l a u se a u thor ity consistent with the statute and taking this g u idance document into account. As a g u ide, Reg i onal personnel may consider the factors listed below:

• s t a t i onary source has an acci dent(or a “near m i ss” th atcoul d have been an acci dent ) th at war r ants aninve stig a tion

• s tationary source appears on Ag ency databases for having repeated releases

• i ndustry haz ard identified after a similar source has had a major accident

• r equest from a state or local g overnment official or other members of a community for assi st ance wi t ha part i c ul ar source
• r equestfroma source for assi st ance reg ardi n g a part i c ul ar haz ard

• s tationary sources with a sig n ificant quantity of an ex tremely hazardous chemical in close prox imity to population centers or sensitive population (e.g . schools, hospitals, etc.) 1.5 F a c ilit y/Indust r y Se c t or Bac k gr ound Infor m at ion B e fore a site visit, the inspector should g a ther information on the facility , which may include: 

## & Ty pe of process to be inspected 

## & C h em i cal s th atare partof th e process 

## & Haz ards associ at ed wi thth e chem i cal s i nth e process (i ncl udi ng acci denthi st ory ) 

## & Pote ntia l f o r

r

unaway r e a c tivity /e x p losivity 

## & Temp eratures/ p ressure fact ors i nth e process 

## & Possible c r itic a l c ontamina tion ( e .g . wa te r , me ta ls) to the pr oc e s s 

## & Industry practices to manag e the haz ards of the chemicals or this ty pe of process

7

### T y p e of In f o rm ati o n S ou rces of In f o rm ati o n Accident History 

## # # # #
# # ER NS Database Acute Haz ards Events Database Accidental Release In formation Prog ram L arg e Property Damag e L o sses in the Hy drocarbonChemical Industries; A Thirty Year Review, J & H Marsh & McL e nnan Maj o r Haz ard In ci dent s Dat a S e rvi ce (MHI DAS ) dat a base (at www.epa.g ov/ceppo/ap-chan.htm) Major Accident Reporting Center (MARS)(at www.epa.g ov/ceppo/ap-chan.htm)
C h em i cal Haz ards 

## # # # # # # # # Electronic MSDSs (e.g . Vermont SI RIat www.haz ard.com ) NI OS H P o cket Guide EHS Che mic a l Pr of ile s CA MEO RI D S Che m f i nde r We bse r ve r ( h ttp://c he mf inde r . c am sof t .c om) C h em i cal R eact i v i t y W o rksheet ( http://response.restoration.noaa.g ov/chemaids/react.html) [Se e “ U se Multiple Da ta Sour c e s f o r

Sa f e r

Eme r g e nc y Response” Alert ( www.epa.g ov/ceppo) Bretheri ck’s Handbook of Reactive Chemical Hazards
Process Haz ards 

## # # # # # EPA Sector profiles, if available Kirk-Othmer Ency clopedia of Chemical Technolog y C h em i cal S a fet y Al ert s ( www.epa.g ov/ceppo) Haz ard Reviews performed by the source or industry Che mic a l Sa f e ty Audit Da ta ba se Acci dentP r event i o n In form at i o n 

## #
# # # # # # C h em i cal safety audi t/ acci denti nvest i g at i on perform ed by the Ag e n c y on a similar pr oc e ss ( C he mic a l Sa f e ty Audit database available throug h CEPPO in EPA Headquarters) Chemical Safety Audit Prog ram’s Status Reports (annually since F Y 1996) NF PA Codes Brochures/ A l e rt s from Trade Associ at i o n Center for Chemical Process Safety Publications L o ss Prevention in the Process Industries (F rank L e es) R M P In fo (www.epa.g ov) Community Involvement 

## # # # L E PC and SERC EPCRA Sections 311, 312 and 313 reports Community ’s emerg e ncy plan under Section 303 of EPCRA
Unl e ss ot herwi s e not ed, t h e precedi n g i n form at i on sources are avai l a bl e t h roug h th e C h em i cal Emerg e ncy Preparedness and Prevention Office at EPA Headquarters.

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# Ch a p t er 2 : Th e Gen era l Du t y Cl a u s e

9

### 2.0. T h e Gen eral Du ty Cl au se 2.1. Jurisdiction The g e neral duty clause reflects Cong ressional 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 g e neral duty clause throug h Sections 113 and 114 of the Clean Air Act at any facility where ex tremely haz ardous substances are present. Owners and operators have been subject to the g e neral duty clause since November 15, 1990. 2.2. Applic abilit y The g e neral duty clause applies to " o wners and operators of stationary sources producing , processing , handling or storing any ex tremely haz ardous substances." 

## # " St at ionar y sour c e " i s defi ned i nS ect i on 112(r)(2)(C ) as " any bui l d i n g s , structures, e quipme n t, insta lla tions or substanc e e mitting sta tionar y

a c tivitie s ( I ) whic h be long to the same industrial g r oup, (ii) which are located on one or more contig uous properties, (iii) which are under the control of the same person (or persons under common control), and (i v) fromwhi c h an acci dent al rel ease m ay occur." 

## # “Acci d e n t al rel ease” i s defi ned i nS ect i on 112(r)(2)(A) as " an unant i c i p at ed em i ssi on of a reg u lated substance or other ex tremely haz ardous substance into the ambient air from a stationary source." 2 

## # " E x trem el y h a zard ou s su b s tan ces " are notdefi ned i nS e ct i on 112(r). They are not limited to the list of reg u lated substances listed under Section 112(r) nor the ex tremely haz ardous substances under EPCRA. 3

2 

### The leg i slative history of the 1990 Clean Air Act Amendments indicates that the term accidental release does not include releases which are authoriz ed by a permit or are subject to an emission limitation or standard under the Clean Air Act or other F e deral law. The leg i slative history states that accidental releases would not include releases from vents and releases resulting from process upsets that are planned and are desig n ed to prevent catastrophic events. F urther, t h e l e g i sl at i v e hi st ory i ndi cat es t h atan acci dent al rel ease i s one whi c h causes or m ay cause imme dia t e ( o r ne ar te r m ) de a th, se r i ous injur y

or substantia l pr ope rty dama g e a s the r e sult of ex posure to an ex tremely haz ardous substance over limited periods of time. I tdoes not include releases, when even accidental, where the potential impact on public health is a measurable inc r e a s e in pr oba bility of de a t h, illne ss or a dve r s e e f f e c t s whic h ar e nor ma lly a ssoc i a t e d with “chronic” ex posures over a long period of time. Senate Report at p. 210-211
3 

### Althoug h there is no definition for ex tremely haz ardous substances, the leg i slative history of the 1990 Clean Air Act Amendments sug g e sts criteria which EPA may use to determine if a substance is ex tremely haz ardous. The Senate Report stated the intent that the term " e x tremely haz ardous substance" would include any ag ent " w hich may or may not be listed or otherwise identified by any Government ag ency which may as the result of short-term ex posures associated with releases to the air cause death, injury or property damag e due to its tox i c ity , r e a c tivity , f l amma bility , vola tility , or c o r r o sivity " ( S e n a t e Committe e on Envir onme n t and Public W o rks, Clean Air Act Amendments of 1989, Senate Report No. 228, 101st Cong ress, 1st Session 211 (1989) - " S enate Report" ). F urther, the Senate Report states, " the release of any 10

### Reference sources which may be used to establish that a substance may be ex tremely haz ardous include: EPA’s Tox i c Substances Control Act Inventory (see www.epa.g ov) , Na tiona l In stitute of Occupational Safety and Health (see www.cdc.g ov/niosh/homepag e) , Occupational Safety He a lth Administr a tion ( s e e www.osha.g ov) , American Conference of Governmental Industrial Hyg i eni s t s (see www.acg ih.org ) , Ag ency for Tox i c S ubst ances Di sease R e g i st ry (see www.cdc.g ov/atsdrhome), C e nt ers for Di sease C ont rol (see www.cdc.g ov) and National F i re Protection Association (see www.nfpa.org )

. 

## # “ [H]ave a general duty in the sam e m a nner and to the sam e extent as section 654, title 29 of the United States code ” means owners and operators must comply with the g e neral duty c l a u se in the same manne r and the same e x te nt a s e mploy e r s must c o mply with the Oc c upa tiona l Sa f e ty He a lth Ac t a dministe r e d by OSHA. 4


### 2.3. O b l i gati o n s u n d er th e Gen eral Du ty Cl au se The g e neral duty clause imposes the following primary oblig ations on the owners and operators of stationary sources: 5 

## # I d ent i f y

haz ards whi c h m ay resul tfromacci dent al rel eases usi n g appropri a t e haz ard assessment techniques, 

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

## # Minimiz e the consequences of accidental releases which do occur.

subst ance whi c h causes deat h or seri ous i n j ury because of i t s acut e t o x i c effector as a resul tof an ex plosion or fire or which causes substantial property damag e by blast, fire, corrosion or other reaction would create a presumption that such substance is ex tremely haz ardous." Senate Report at 211.

4 

### The standard for applyi ng the g e neral duty clause of the OSH Act was described in Secretary of L a bor v. Duriron Company , In c. 11 OSHC 1405. According to the leg i slative history of the CAA g e neral duty clause, Durironis cited as a g u ide for EPA’s application of the g e neral duty cl ause. Inaccordance wi t ht h e g e neral duty cl ause of OS H Act , an empl oy er m u st render a workpl ace free of a haz ard; t h e haz ard m u stbe recog n i z ed ei th er by t h e empl oy er or g e nerally within the employ er’s industry ; the haz ard causes or was likely to cause death or serious harm; and, it was feasible for the employ er to have eliminated or materially reduced the haz ard, Secretary of L a bor v. Duriron Co. , 11 OSHC at 1407. F o r purposes of complying with the CAA g e ne r a l duty c l a u se , owne r s and ope r a tor s must ma inta in a f

a c ility tha tis f r e e of a haz ard, the haz ard must be recog n iz ed by the owner/operator or recog n iz ed by the owner/operator’s industry , the haz ard from an accidental release was likely to cause harm, and tha tthe owne r / ope r a tor c ould have e limina t e d or r e duc e d the ha zar d.

5 

### The Risk Manag e ment Prog ram requirements of 40 CF R Part 68 are enforceable as of J une 21, 1999. After J une 21 st 

### , EPA Reg i onal inspectors should analy z e whether the requirements of the g e neral duty clause or the RMP, or both, are applicable. 11

### Each of these oblig ations requires that a series of measures be taken by the owners and operators but the g e neral 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 mitig ate any actual rel eases. As stated in S ection 112(r)(1), the objective of S ection 112(r) of the Clean Air Act is to prevent the accidental release of ex tremely haz ardous substances (EHS) and minimiz e the consequences of a release if one occurs. The g e neral duty clause does not require the development of a list of chemicals subject to this requirement, nor does it require the promulg a tion of reg u lations defining how to meet the g e neral oblig ations established by the clause. As a result, EPA will look to haz ards 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. L i kewise, the Ag ency will look, in part, to industry practices and standards for addressing a hazard in determining how each reg u lated entity should comply with the g e neral duty clause. Accordi n g l y , t o eval uat e comp l i ance wi tht h e g e neral dut y cl ause, t h e Ag ency m u stassess t h e ex tent to which owners and operators have implemented haz ard assessment, desig n, process haz ard analy s is, maintenance, operation and mitig ation measures that meet or ex ceed any applicable industry practices or standards, or state or federal reg u lations. I f no industry practice, standard, or reg u latory requirement ex ists 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 identifyi ng haz ards and taking appropriate measures to prevent releases and minimize the c onse que nc e s of a

r e le a s e . F o r ex ample, in order to prevent a release from a storag e vessel, the owners and operators should not only identify the intrinsic haz ards of the substance in the vessel, they should also identify the haz ards of the process in which the substance is used. The facility should desig nand maintain the process equipment (which includes the vessel) and instrumentation in order to minimiz e the risk of release. To meet this oblig ation, they should identify and implement appropriate equipment/vessel desig nand maintenance practices, codes, or standards that are relevant to the process and the substance involved. Inaddition, the owners and operators should operate the process/equipment in a safe manner ( e .g ., ke e p volume s , te mpe r a tur e s , pr e ssur e s, f l ows, c onc e n tr a tions, pH within spe c i f i e d limits)

. The owner or operator should comply with all applicable state and local reg u lations; meeting or ex ceeding 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 minimiz e the effects on the public and the environment if a release should occur by identifyi ng atri sk recept o rs i nt h e eventof t h e m a x i m u mpossi bl e rel ease and ot her probabl e rel eases as m ay be identified in the appropriate haz ard analy s is/review. Inaddition, the mitig ation activities should include coordination between facility manag e ment, employ ees and the local response ag encies. The f o llowing subse c tions de sc r i be ba sic c ur r e nt pr a c tic e s and may be utilize d a s a g u ide f o r EPA personnel to assess compliance with the g e neral duty clause oblig ations. 2.3.1. H a s th e ow n er an d op erator i d en ti f i ed h a zard s w h i c h m ay resu l t f r om acci d e n t al rel eases? The owners and operators are responsible for determining the intrinsic haz ards of the chemicals 12

### used i nt h e processes, t h e ri sks of acci dent al rel eases from t h e processes t h roug h possi bl e rel ease scenari o s, and t h e pot ent i a l effect s of t h ese rel eases on t h e publ i c and t h e envi ronm ent
. Althoug h the g e neral duty clause does not specify how the owner/operator should identify haz ards, the haz ard assessment, when concluded, should result in the following information. 

## # The haz ards associ at ed wi t hth e EHS and th e process, 

## # pot ent i a l rel ease scenari o s devel oped fromsi t e speci fi c haz ard anal y s i s /r evi e w and facility /industry historical data and 

## # th e consequences of t h e rel ease i neach case. The ha zar d s of the substanc e will inc l ude not only the f l amma bility and tox i c ity of the EHS but also the conditions of the specific process. These include temperature and pressure of processing a l ong with humanf a c t or s and pr oc e ss siting

. A sufficient haz ard assessment should include the ty pe, rate and duration of potential releases. Modeling or an applicable dispersion analy tical technique should be used to determine the potential impact of the releases. Models or analy tical techniques selected for this activity should be appropriate for the material released and the process, atmospheric, and g e og raphic conditions for the particular release scenario. Use of an inappropriate model will not provide accurate information for release prevention or emerg e ncy plan development and evaluation. A haz ard assessment should also include approx imate downwind or down g r adient concentrations and how these factors impact the effect of the release on affected populations, sy stems and environments. Inorder to have a comprehensive haz ard assessment, the scenario identification methods used by industry ty pically fall into one of the following categ ories: ex perience, analy tical and creative. W h en reviewing haz ard assessments, Reg i onal inspectors should determine whether the assessment performed falls into one or more of these categ ories. These categ ories are described as f o llows.

a. S cen ari o Id en ti f i cati on Meth o d - E x p eri en ce Collective ex perience is provided in safety newsletters, standard eng i neering desig n s based on records of earlier problems, and desig ncodes produced collaboratively by users, suppliers and technical bodies such as the American Society for Testing and Materials, the American National Standar d s In stitute , the Na tiona l F i r e Pr ote c tion Assoc i a tion and othe r s . An additional source of information is the EPA ERNS database. The ex peri ence of th e speci fi c process can be devel oped fromth e acci denthi st ory of th e facility

. All key elements should be included in the incident investig ation of prior releases and those incidents which mig ht have led to releases. b. Scenario Identif i cation Method - Analytical Inthe chemical industry , the most common of the formal haz ard analy s is method is the Haz ard and Ope r a b ility ( HAZ OP) study

. The HAZ OP an a l y s is a ssume s tha tthe pr oc e ss is sa f e a s long a s the par ame te r s of the pr oc e ss r e ma in within the i r de sig n e d limits. The HAZ OP an a l y s is use s 13

### g u i d e words t o assess how devi at i ons of each el em ent(vessel , pi pe, val v e, control l e r, and hum an) m ay resul ti nan acci dent al rel ease or ot her operat i onal fai l ures or i n effi ci enci es. L o g i c trees as methods of formal haz ard assessment are more common to non-chemical industries. The most developed and widely used of the log i c trees is called a fault tree. Inthis approach, a haz ardous occurrence, such as a fire or vessel rupture, is defined as the t op event . The log i cal combination of faults which can lead to this top event would require the simultaneous presence of a flammable substance, an ox idant and a source of ig nition. A similar ty pe of tr e e str u c tur e using a c o mple me ntar y

a

ppr oa c his c a lle d an event tr ee . I t works opposite to a fault tree, beg i nning with an initial event and ex ploring whether a " t op event" could result. The simplest form of structured haz ard analy s is to develop a scenario is the checklist. The checkl i s tcan onl y i d ent i f y

those haz ards th atare associ at ed wi tha g e neral process. I ti s not applicable to processes that are one-of-a-kind or have unique components or uses.

c. H a zard Id en ti f i cati on Meth o d - Creati ve The “W hat-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 haz ards that would not be identified in any of the more formal methodolog ies. B r ainstorming is also quick and can g i ve new perspectives on safety problems. A team tries to identify as many way s 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. F o r ex ample, vessels may be desig n ed following all a

ppr opr ia te sa f e ty c ode s f o r

the a pplic a tion but the r e may be a possibility tha te x te r n a l f o r c e s (shrapnel, lig htning , etc.) may cause them to release an EHS. Either of these creative methodolog ies 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 characteriz ed (EHS, quantity , duration, etc), the consequences of the potential release should be determined. This includes the modeling of t h e di scharg e pl um e and t h e i d ent i f i cat i on of t h e possi bl e recept o rs t h atm ay be affect ed. Many modeling prog rams are free and easily available to the public (AR C H I E , AL OHA, R M P * C o mp, De g a dis, e t c )

. F a c ilitie s may use pr opr ie tar y

pr og r ams tha tar e mor e c h e mic a l or site spe c i f i c . A Reg i on may want to consider the assumptions of the scenario that make up the model as part of the investig ation. 2.3.2. Has t h e ow ne r and ope r a t o r de signe d and m a int a ine d a safe fac ilit y?

a. De sign a Safe F a c ilit y EPA c onside r s the r e quir e me nt to de sig na sa f e f a c ility to inc l ude c onstr uc tion of a

ne w f a c ility or the desig nof modifications at ex isting facilities. EPA Reg i onal inspectors should review the safety information and information g a thered in the process haz ard analy s is (PHA) to assess whether owners and operators based desig nconsiderations upon applicable desig ncodes, federal and state reg u lations, and recog n iz ed industry practices. EPA Reg i onal inspectors should also assess whet her owners and operat o rs had an obl i g at i on t o ex ceed t h ese desi g nconsi d erat i o n par ame te r s if the par ame te r s we r e not a d e qua te to pr e v e n t r e le a s e s or minimize the i r impa c t s. The 14

### following discussion provides ex amples of information sources that EPA Reg i onal inspectors may r e vie wto a sse ss whe the r anowne r / ope r a tor me t its sta tutor y

oblig a tion to de sig na sa f e f a c ility

. Codes : The owners and operators should desig nthe process and the hardware in order to minimize the r i sks of a

r e le a s e ; tha tis, ide n tif y , r e se ar c hand a pply de sig nsa f e ty c ode s a pplic a b le to the substance and the process. Desig n s should also consider risks from adjacent processes, which may pose a threat to the process involving ex tremely haz ardous substances, even if the adjacent processes do not involve ex tremely haz ardous substances themselves. Owners and operators must update equipment to current codes and standards, as appropriate (e.g . state reg u lation, past accident history , g e nerally accepted industry practices). C h em i cal s : The owners and operators should try to substitute less haz ardous substances for ex tremely haz ardous substances or minimiz e inventories when possible. This is usually the most effective way to prevent accidents and should be the priority of a prevention prog ram. Equipment : The owners and operators should implement a quality control prog ram to ensure that components and materials meet desig nspecifications and to construct the process equipment as desig n ed. The owners and operators should apply the same standard of care when modifying or repairing the facility

. Safety equipment and inherently safer technolog y can be used to lessen the haz ards posed by an ex tremely haz ardous substance. Making vessels containing flammable ma te r i a l s ine rt, using a lte r n a t e pr oc e sse s tha tr e quir e lowe r te mpe r a tur e s or pr e ssur e s, insta lling r e lie f sy ste m s, de te r mining pr oc e ss siting , insta lling an ti- sta tic de vic e s and othe r e quipme n t ar e common mechanisms to lessen the haz ards. Owners and operators should consult trade associations, industry consultants (e.g ., Center for Chemical Process Safety , others) and safety e n g i ne e r s to de te r mine standar d s and sa f e ty e quipme n t e mploy e d a tf a c ilitie s. b. M a int a in a Safe F a c ilit y An a s pe c tof ma inta ining a sa f e f a c ility is a r e vie wof inf o r

m a tion de ve lope d to e n sur e the sa f e operation of the facility

. The Reg i onal inspector should request and review standard operating procedures, evaluate the ex istence and implementation of employ ee training prog rams, review mana g i ng c h an g e pr oc e dur e s and e v a l ua te the e f f e c tive n e ss of a

f

a c ility ’ s inc i de nt inve stig a tion prog ram. The following provides a description of these ty pes of documents. Standard Operating Procedures : The owners and operators are responsible for ensuring that the pr oc e ss and e quipme n t ar e ope r a te d within sa f e limits. To a c h ie ve this, standar d ope r a ting 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 emerg e ncy 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 emerg e ncy shutdown. S O P s should also address receiving , storing , transferring and shipping of ex tremely haz ardous substances to minimize the likelihood of a release from other than chemical process areas. These procedures should clearly warn about condi t i ons/ p ract i ces l i k el y t o cause a rel ease as i d ent i f i e d i nt h e P HA and st eps t h att h e employ ee/operator must take to prevent a release if these conditions are encountered. Training Prog rams : The owners and operators should implement and evaluate prog rams for training employ ees on the haz ards of the substances, any additional haz ards presented by the processes, proper process operations (including the sig n ificance of process variable chang e s and consequences), proper m a i n t e nance procedures, and procedures for recei vi ng , st ori n g , tr ansferri ng 15

### and shipping haz ardous substances. Training prog rams should contain clear and concise objectives and the owners and operators should ensure that evaluation of trainee competence is included in the prog ram. Manag i ng Chang e s : W h en chang e s in the processes are planned, the owners and operators should evaluate how those chang e s will affect the haz ards identified in the PHAs. These chang e s should be evaluated to determine if haz ards, materials of construction, operating and maintenance procedures, and prevention prog rams need to be updated. In cident Investig ation Prog ram : W h en an incident occurs that results in a release or that could have escalated into a release, the owners and operators should investig ate the cause of the incident/accident. The investig ation should result in recommendations desig n ed to prevent future similar occurrences. The owners and operators should document how these recommendations were evaluated and implemented or why recommendations were not implemented. Investig ation finding s should be evaluated to ensure that any new information is included in periodic PHA reviews, chang e s in procedures, and chang e s in operation and maintenance prog rams. Se lf Audits : The owners and operators should practice self auditing of the facility ’s prevention prog rams. Generally a self audit would involve a third party evaluating the effectiveness of a f a c ility ’ s pr e v e n tion and mitig a tion pr og r am.

P r event i v e Mai n t e nance P r og ram s : Maintenance requirements should have been identified in the de sig npha se of a

pr oc e ss. Howe ve r , a s f a c ilitie s ar e ope r a te d, e x pe r i e n c e may pr ovide a mor e realistic picture of maintenance requirements. The owners and operators should ensure that a pr e v e n tive ma inte nanc e pr og r am is imple me nte d tha tma inta ins the me c h an ic a l inte g r ity of the process equipment and the safety mechanisms. This prog ram should, at a minimum, meet g u idelines from standard industry sources such as the American Petroleum In stitute (API ), Am eri can S o ci et y of Mechani cal Eng i neers (AS M E), Nat i onal Associ at i on of C o rrosi on Eng i ne e r s (NACE) , Ame r ic anNa tiona l Standar d s In stitute ( ANSI ) , and the Ame r ic anIn stitute of Chemical Eng i neers (AI C hE). At a minimum, the maintenance prog ram should include schedules for replacement, repairs, or reg u lar maintenance (cleaning , lubrication, other) to the equipment, qua lity r e quir e me nts f o r

spar e part s, insta lla tion and r e pa ir pr oc e dur e s , te sting , qua lity c ontr o ls, repl acem enti nki nd control s , and m a i n t e nance enforcem entprocedures. R easonabl y det a i l e d maintenance records should be kept for periodic maintenance prog ram evaluation.
2.3.3. H a s th e ow n er an d op erator m i n i m i zed th e con s eq u e n ces of a rel ease? Inor de r to a sse ss whe the r anowne r and ope r a tor ha s minimize d the c onse que nc e s of an accidental release, the Reg i onal inspector should, at a minimum, review the emerg e ncy response plan at the facility

. The emerg e ncy response plan should include the following elements: planning , coordination with local officials, training and ex ercises.

a. P l anning An owner/operator should develop an emerg e ncy 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 emerg e ncy response plans. Planning and preparation includes identifyi ng populations, sy stems and environments that may be impacted, and spe c i f i c pr oc e dur e s f o r

e mploy e e s to f o llow to stop f urthe r c h e mic a l r e le a s e s and/or mitig a t e the effects of the substances released. The plan should also identify emerg e ncy response 16

### equipment that is available for response activities and state whether the equipment is located at the f a c ility or its loc a tion within the c o mmunity

. Gui d ance such as th e "one pl an" g u i d ance can be used t o det e rm i n e th e necessary el em ent s of an emerg e ncy plan for a specific industry

. At a minimum, the plan should contain the following el em ent s : 

## & Antic ipa tion of the ty pe s of r e le a s e s tha tmay oc c ur f

r o m the pr oc e ss. 

## & Mitig a tion pr oc e ss. 

## & Notification process to local responders. 

## & L o cal responder involvement.
b. Coordination w i th Local Of f i cials The facility should open communications with local emerg e ncy planning and response officials, including the local emerg e ncy planning committee (L EPC), if one ex ists. Involvement in the activities of the L E PC can have positive effect on the facility ’s emerg e ncy response prog ram. The facility should provide the L E PC with draft versions of any emerg e ncy response prog ram related to local emerg e ncy planning efforts. The facility should coordinate with the L E PC, local response org aniz a tions, local hospitals, and other response org aniz a tions upon completion of the emerg e ncy response plan for the facility

. c. Tr aining All employ ees need to be trained on recog n iz ing circumstances which are " out of the norm" (i.e., how to immediately recog n iz e 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 emerg e ncy plans. d. E x erci ses Once plans have been developed, training needs identified and met, and equipment has been identified and obtained; the owners and operators should conduct periodic ex ercises to ensure that t h e pl an i s adequat e t o address t h e i d ent i f i e d em erg e ncy scenari o s. The owners and operators should include local and state emerg e ncy response and manag e ment ag enci es i nth e pl anni ng process as wel l as i nex erci ses desi g n ed t o t e stand eval uat e th e emerg e ncy response plan. B ecause much of the specific knowledg e and skills necessary to handle haz ardous 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 haz ardous chemicals and mitig ation techniques to state and local response personnel. Depending on the haz ards 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 sy stems, evacuat i on procedures, and/ or shel t e r-i n-pl ace procedures t h atprot ectempl oy ees. The owners and operators should plan mock emerg e ncies to practice procedures on a reg u lar basis to test wor k e r s’ a b ility to pe r f o r

min the e v e n t of ane m e r g e nc y .

17

# C h apte r 3: E valuating P r e v e n tion and R e le ase Mitigation P r ogr am s

18

### 3.0. Evaluating P revention and Release Mitigation P r ogram s As discussed in Section 2, the owners and operators shall identify the haz ards; take steps to pr e v e n t r e le a s e s ; and be pr e p ar e d to mitig a t e an y a c tua l r e le a s e s . The f o llowing ste p s an d par ame te r s may be utilize d by EPA Re g i ona l inspe c t or s to e v a l ua te ha zar d ide n tif ic a tion, prevention and release mitig ation prog rams. The objective of the evaluation conducted by EPA Reg i onal inspectors is to determine whether owners and operators complied with the g e neral duty clause requirements and to assess the adequacy of these prog rams. The evaluation of prevention and r e le a s e mitig a tion pr og r ams will be the same whe t he r initia te d by a

c h e mic a l sa f e ty a

udit, a compliance inspection, or an accident investig ation. However, in the case of accident inve stig a tions, the e v a l ua tion of the pr og r ams will g e ne r a lly oc c ur a f te r a dditiona l wor k

ha s take n pl ace atth e scene of th e acci dent

. The fol l o wi ng l i s t s cont ai n el em ent s whi c h m ay be consi d ered when eval uat i n g a prevent i on / r e le a s e mitig a tion pr og r am. Ea c hite m may be e x pande d a s ne e d e d to e x amine an y of the e l e m e n ts of the pr og r am in mor e de ta il. 3.1. Measu re of P reven ti on an d P rep ared n e ss/ Com p l i a n ce w i th th e Gen eral Du ty Cl au se W h en investig ating possible violations of the g e neral duty clause, EPA Reg i onal inspectors should seek answers to the following questions: Has the owner or operator of the source complied with the following three elements of the g e neral duty clause? 

## # Did the owner or operator identify all chemical and process haz ards associated with ex tremely haz ardous substances? 

## # Did the owner or operator desig nand maintain a safe facility taking necessary steps to preventrel eases? 

## # Did the owne r or ope r a tor take ne c e ssar y

ste p s to minimize the e f f e c t s of r e le a s e s ? Inorder to answer fully the three questions posed above, EPA Reg i onal inspectors may conduct a two step investig ation. F i rst, Reg i onal 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 Reg i onal inspectors determine that a facility visit is appropriate, once on site, EPA Reg i onal inspectors should determine if the actions described in the documentation previously provided are being effectively implemented at the f a c ility

.

The following questions are desig n ed to assist Reg i onal inspectors when assessing compliance with the three oblig ations imposed by the g e neral duty clause. They are not intended to be comprehensive of all applicable requirements. 3.2. H a zard Id en ti f i cati on Ch eck l i s t 

## & Have th e owners and operat o rs comp l e t e d P r ocess Haz ards Anal y s es (P HA) for each process involving ex tremely haz ardous substances (EHSs)? 19

## & Did the owners and operators use appropriate haz ard assessment techniques? 

## & Are t h e P HAs comp l e t e , accurat e , correct , and do t h ey 

## & ide n tif y

the intr insic ha zar d s of the substanc e s and the pr oc e sse s? 

## & ide n tif y

the pote n tia l r e le a s e s f r o m the pr oc e sse s? 

## & ide n tif y

the pote n tia l impa c t s on the public and the e nvir onme n t? Ar e the s e impa c t s real i s t i c , accurat e , correct ? 3.3. F a c ilit y De sign/M aint e n anc e Che c k list

a. Design 

## & Are desi g ndocum ent s for each EHS process correct , accurat e , and current ? 

## & Do de sig n s minimize r i sks of r e le a s e s ba se d on PHA’ s? 

## & Evaluation of desig ndocuments: 

## & Are desig ncodes used in the desig nidentified and appropriate to the processes? 

## & W a s the facility constructed or modified according to desig nspecifications? 

## & Ar e the r e qua lity c ontr o l pr oc e dur e s to e n sur e c onstr uc tion ma te r i a l s me e tde sig n speci fi cat i ons? 

## & Do critical process components have redundant sy stems installed? 

## & Has the facility desig nbeen updated to current codes and standards? 

## & Ar e the r e r e mote monitor i ng and r e mote c ontr o l c a p a b ilitie s f o r

de a ling with upse t s? b. M a int e nanc e 

## & Are t h ere prevent i v e m a i n t e nance procedures t o ensure t h e m echani cal i n t e g r i ty of t h e process equipment? 

## & Do th e m a i n t e nance procedures and prevent i v e schedul es fol l o w g e neral l y accept e d eng i neeri n g pract i ces? 

## & Are maintenance personnel trained on the intrinsic haz ards of the chemicals, the processes, and in the maintenance procedures? 

## & Does training include understanding and proficiency evaluation? 

## & I s there a maintenance supplies and parts inventory that corresponds with maintenance schedules, especially for critical components that affect process safety ? 

## & I s the r e a qua lity c ontr o l pr og r am to e n sur e spar e part s me e tspe c if ic a tions, and is it imple me nte d and wor k ing ? • H ow ha s the f a c ility minimize d the possibility of anuna uthor ize d e n tr y ?

c. Operations

• A re t h ere S t andard Operat i n g P r ocedures (S OP s) for each process? Are t h e S O P s current ? 

## & Do S O P s cover each phase of each process (startup, normal operations, shut down, emerg e ncy shut down)? 

## & Are SOPs clear, concise, correct, and written at the appropriate level of understanding for the operat o r? 

## & Do SOPs identify upper and lower limits for operating parameters like temperatures, pressures, flows, volumes, levels, pH, concentrations, etc.? 

## & Do limits f o r

par ame te r s a g r e e with those ide n tif ie d in the PHAs? 

## & Are process equipment components such as valves, g a ug es, pumps, vessels clearly marked and do the labels match SOP nomenclature? 

## & Are SOPs revised periodically ? Are SOPs revised after incidents or process chang e s?
20

### d. Tr aining 

## & Are employ ees trained and tested for competence on the safe operating procedures for the

processes they operate? 

## & I s training adequate? 

## & Are employ ees trained on the intrinsic haz ards of the substances and the process, and the c onse que nc e s of de via tion f r o m the limits f o r

pr oc e ss par ame te r s ? 

## & W h at is the frequency of the training ? 

## & Are th ere com m uni cat i on procedures t o ensure th ati n struct i ons g i ven are cl ear and

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

## & Are empl oy ees tr ai ned t o recog n i z e em erg e ncy si tu at i ons and are th ey authori z ed t o t ake a c tions to pr e v e n t the m or mitig a t e the m ? 

## & Does training reflect current operations? 3.4. Con s eq u e n ce Mi n i m i zati on Ch eck l i s t 

## & Do the ha zar d a sse ssme n ts ide n tif y

pote n tia l r e le a s e sc e n ar ios and the i r pote n tia l impa c t s on the public and the environment? 

## & I s there an emerg e ncy response plan to respond to emerg e ncy situations based on the acci dent al rel ease scenari o s? 

## & Does the plan clearly identify responsibilities, functions, and contacts for emerg e ncy response? 

## & Does the plan include coordination with local emerg e ncy responders? 

## & Are employ ees trained on emerg e ncy response actions? 

## & Are routine ex ercises conducted to practice emerg e ncy response? 

## & Are empl oy ees t r ai ned t o recog n i z e em erg e ncy si tu at i ons and are t h ey empowered t o t ake a c tions to pr e v e n t the m or mitig a t e the m ? 

## & I s the plan revised as processes chang e ?

21

# C h apte r 4: A u thor itie s

22

### 4.0. Aut h or it ie s The pur pose of this se c tion is to pr ovide a listing of a

u thor itie s whic h ar e av a ila ble to Re g i ona l enforcement personnel while conducting inspections or making g e neral duty clause compliance det e rm i n at i ons. These st atut ory t ool s i n cl ude provi si ons reg ardi n g entr y

and access, i n form at i o n collection, and abatement of imminent and substantial endang erment situations pursuant to the Clean Air Act and Comprehensive Environmental Response Compensation and L i ability Act. 4.1. In f o rm ati o n Col l ecti o n / E n try an d 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 L i a b ility Ac t ( C ERCL A)

. CAA Section 114(a), 42 U.S.C. § 7414(a) F o r the purposes...(iii) of carrying out any provision of this Act... (1) t he 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 authoriz ed representative, upon presentation of credentials shall have a rig h t of entry to...any premises of such person...and may at reasonable times have access t o and copy any records... CERCL A Section 104(e), 42 U.S.C. § 9604 (2) Any officer, employ ee, 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

doc ume n ts r e la ting to suc hma tte r ... (A) identification, nature and quantity of materials which have been or are g e nerated, treated, stor e d or dispose d of a ta ve sse l or f

a c ility or tr an sporte d to a ve sse l or f

a c ility (B ) the nature or ex tent of a release or threatened release of a haz ardous substance or pollutant or c ontaminan t a tor f

r o m a ve sse l or f

a c ility ( C ) inf o r

m a tion r e la ting to the a b ility of a

pe r s on to pay or to pe r f o r

m a c l e anup. (3) A ny officer, employ ee, or representative...is authoriz ed to enter at reasonable times... (A) Any vessel, facility , establishment, or other place or property where any haz ardous substance or pollutant or contaminant may be or has been g e nerated, stored, treated, disposed of, or transported from. (B ) Any vessel, facility establishment, or other place or property from which or to which a haz ardous 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 m ay be th reat ened.

23

### 4.2. Im m i ne nt /Subst a nt ial Endange r m e n tOr de r A u t h or it y The f o llowing or de r a

u thor itie s to be use d f

o r

situa tions whic h may pose animmine n t an d substantial endang erment to public health, welfare and the environmental are available under the Clean Air Act and the Comprehensive Environmental Response Compensation and L i ability Act. CAA S ection 112(r), 42 U.S

. C. § 7412 (9) O rder Aut hori t y (A)...W hen the Administrator determines that there may be an imminent and substantial endang erm e ntt o th e hum an heal t hor wel f are or t h e envi ronm entbecause of an actu al or th reat ened rel ease of a reg u l a t e d subst ance, th e Adm i n i s tr at or m ay secure such rel i e f as i s necessary to abate such dang er 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 Emerg e ncy Powers ...[ T] he Administrator upon receipt of evidence that a pollution source or combination of sour c e s ( i nc luding moving sour c e s ) is pr e s e n ting animmine n t and substantia l endang erment 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 alleg e d 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 day s unless the Administrator bring s an action...before the ex piration of that period. W h enever the Administrator bring s such an action within the 60-day period, such order shall remain in effect for an additional 14 day s or for such long er period as may be authoriz ed by the court in which such action is broug ht.
CERCL A Section 106, 42 U.S.C. § 9606 Abat em entAct i ons (a)...[ W ] hen the President determines that there may be an imminent and substantial endang erm e ntt o t h e publ i c heal t hor wel f are or t h e envi ronm entbecause of an actual or threatened release of a haz ardous substance from a facility , he may require the Attorney General...to secure such relief as may be necessary to abate such dang er or threat... The r e ar e sta tutory a

u thoritie s unde r Re sourc e Conse r va tion Re c ove ry Ac t (RCRA), Sa fe Drinking W a ter Act (SDW A), Clean W a ter Act (CW A )and Tox i c Substances Control Act ( T SCA) a ddr e ssing situa tions whic h may pose animmine n t and substantia l e ndang e r me nt. RCRA Se c tion 7003, 42 U.S.C. § 6973 Author ity of Administr a t or
24

### ...[ U] pon receipt of evidence that the past or present handling , storag e, treatment, transportation or disposal of any solid waste or haz ardous waste may present an imminent and substantial endang erment to health or the environment, the Administrator may bring suit on behalf of the United States in the appropriate district court ag ainst any person (including any past or present g e nerator, past or present transporter, or past or present owne r or ope r a tor of a

tr e a tme nt, stor a g e , or disposa l f a c ility ) who ha s c ontr i bute d or who is contributing to such handling , storag e, treatment, transportation, or disposal to restrain such person from such handling , storag e, treatment, transportation, or disposal, to order such person to take such other action as may be necessary , or both... CW A Section 504, 33 U.S.C. § 1364 Emerg e ncy Powers ...[ t] he Administrator upon receipt of evidence that a pollution source or combination of sour c e s is pr e s e n ting animmine n t and substantia l e ndang e r me nt to the he a lth of pe r s ons or to the welfare of persons where such endang erment is to the livelihood of such persons, suc ha s ina b ility to mar k e tshe llf ish, may br ing suit on be ha lf of the Unite d Sta t e s in the a

ppr opr ia te distr i c tc ourt to imme dia t e l y r e str a in an y pe r s on c a using or c ontr i buting to the alleg e d pollution to stop the discharg e of pollutants causing or contributing to such pollution or to take such other action as may be necessary

. SDW A Section 1431, 42 U.S.C. § 330i Emerg e ncy Powers (a) ...[ t] he Administrator, upon receipt of information that a contaminant which is present in or is likely to enter a public water sy stem or an underg round source of drinking water may pr e s e n t animmine n t and substantia l e ndang e r me nt to the he a lth of pe r s ons, and tha t a

ppr opr ia te Sta t e and loc a l a u thor itie s have not a c t e d to pr ote c tthe he a lth of suc hpe r s ons, may take such actions as he may deem necessary in order to protect the health of such pe r s ons. To the e x te nt he de te r mine s it to be pr a c tic a b le in lig ht of suc himmine n t e ndang e r me nt, he sha ll c onsult with the Sta t e and loc a l a u thor itie s in or de r to c onf ir

m the correctness of the information on which action proposed to be taken under this subsection is ba se d and to a s c e rta in the a c tion whic h suc ha u thor itie s ar e or will be taking

. The a c tion whic h the Administr a t or may take may inc l ude ( but sha ll not be limite d to) ( 1 ) issuing suc h orders as may be necessary to protect the health of persons who are or may be users of such sy stem (including travelers), including orders requiring the provision of alternative water supplies by persons who caused or contributed to the endang erment, 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 authoriz ed and required ( a ) The Administr a t or may c o mme nc e a c i vil a c tion in ana ppr opr ia te distr i c tc ourt of the Uni t e d S t at es– (A) for seiz ure of an imminently haz ardous chemical substance or mix ture or any article containing such a substance or mix ture, 25

### (B ) for relief...ag a inst any person who manufactures, processes, distributes in commerce, or uses, or disposes of, an imminently haz ardous chemical substance or mix ture or any article containing such a substance or mix ture or (C ) for both such sei z ure and rel i e f.
4.3 Other Investigative Tools The f o llowing g e ne r a l inve stig a tive a u thor itie s may be use d in lie u of or in c onjunc tion with the information collection authorities cited above. These authorities are available under the Clean Air Act and the Comprehensive Environmental Response, Compensation and L i ability 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 I V , title V, or title VI , inc l uding but not limite d to, a r e quir e me nt or pr ohibition of an y r

u le , plan, or de r , wa ive r , or pe r mit promulg a ted, issued or approved under those provisions or titles, or for the pay m ent of any fee owed to the United States under this Act (other than Title I I ) , the Administrator may - (A) i ssue an adm i n i s tr at i v e penal t y order i naccordance wi thsubsect i on (d) (B ) issue an order requiring such person to comply with such requirement or pr ohibition (C) bring a civil action in accordance with subsection (b) or section 305, or ( D ) r e que st the Attor n e y Ge ne r a l to c o mme nc e a c r imina l a c tion in a c c o r d an c e with subsection (c). CAA Section 307(a), 42 U.S.C. § 7607 Administrative Subpoenas ...for purposes of...any investig ation, 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. Ex cept 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 divulg e 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, ex cept that such paper, book, document, or information may be disclosed to other officers, employ ees, or authoriz ed representatives of the United States...W itnesses summoned shall be paid the same fees and m i l eag e as are pai d wi tn esses i nt h e court s of t h e Uni t e d S t at es. Incase of contum acy 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 g i ve 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 th ereof.
CERCL A Section 104(b), 42 U.S.C. § 9604(b) Investig ations, monitoring , etc. by President (1) In formation, studies and investig ations W h enever the President is authoriz ed 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 oc c ur , or tha tillne ss, dise a s e , or c o mpla ints the r e o f may be a ttr ibuta b le to e x posur e to a haz ardous substance, pollutant or contaminant and that a release may have occurred or be occurring , he may undertake such investig ations, monitoring , survey s, testing , and other inf o r

m a tion g a the r ing a s he may de e mne c e ssar y

or a

ppr opr ia te to ide n tif y

the e x iste nc e and ex tent of the release or threat thereof, the source and nature of the haz ardous substances, pollutants or contaminants involved, and the ex tent of dang er to the public health or welfare or to the environment. Inaddition, the president may undertake such planning , leg a l, fiscal, economic eng i neering , architectural, and other studies or investig ations 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

# A ppe ndic e s

28

# A ppe ndic e s Appe ndix 1 - Sam p le C A A Judic i a l Warrant for Site A c c e ss, Sam p ling
UNITED STATES DISTRICT COURT NAME OF JUDICIAL DISTRICT

In

re ExPa r t e A p p licatio n f

o r an A d m i n i strativ e W a rran t f

o r th e ADM INISTRATIVE WARRANT Un ited States Env i ronm en tal P r otection A g en cy to En ter an d In s p ect UNDER THE CLEAN AIR ACT th e prem is es at C o m pany Addr es s , Ow n e d an d Operated by C o m p an y N a m e , a/k / a O th e r N a m e s , Purs u a n t t o S ect i o n 114 of

th e C l ean A i r A c t

TO ANY AUTHORIZ ED EM PLOYEE OR REPRESENTATIVE OF THE UNITED STATES ENVIRONM ENTAL PROTECTION AG ENCY: Upon th e ann e x e d A pplication of th e Un ited States of A m erica, s u bm itted purs u a n t to Section 114 of th e C l ean A i r A c t , 42 U
. S
. C
. § 7414, on beh a l f of th e U n i t e d S t at es Env i ronm en t a l Prot ect i o n A g en cy (EPA ) an d th e s u pport i n g A f f i dav i t of EPA Official an dth e ex h i b its ann e x e dth ereto , d e m o n s tratin g su f f i cien t j u stif icatio n f

o r rig h t o f en try to , up o n , o r thr o ugh th e p r e m i s e s o f C o m pany N a m e , located at C o m pany Addr es s (th e P r em is es ) f o r carry in g out th e obj ect i v es of th e C l ean A i r A c t , i n cl u d i n g w i th out l i m i t a t i o n , en f o rci n g 42 U
. S
. C
. § 7545; YOU ARE HEREB Y AUTHORIZ ED TO: 1
. H a ve ar i ght o f e n try t o , up o n , o r thr o ugh th e P r e m i s e s dur i ng b u si ne ss ho ur s fo r th e p ur p o s e o f i n sp e c t i ng, tak i n g o f sam p les, tak i n g o f p h o t o g rap h s, co llectin g in f o rm atio n an dco p y in g reco rd s relatin g to C o m pany N a m e s a l e an d del i v ery of di es el f u el i n n o n - com p l i a n ce of 40 C F R § 80.29- 30, duri n g th e peri od beg i nn i n g O c t ober 1, 1993 thro ugh th e p r e s e n t , i n c l ud i ng, b ut no t l i m i t e dt o : d o c um e n t s r e l a t i ng t o C o m pany N a m e b u sine ss tran sactio n s , p o licies an dp r actices reg a rd in g th e d i esel reg u l atio n s , d o c um en ts relatin g to C o m pany N a m e sa le or of f e ri n g f o r s a l e , di s p en s i n g , s u ppl y i n g or of f e ri n g f o r s u ppl y , or tr an s port i n g of di es el f u el f o r u s e i n m o t o r v e h i cles, su chas inv o ices, d e liv ery reco rd s, b ills o f lad i n g , d r iv er d e liv ery lo g s o r o th e r d o c um en ts d e scrib i n g th e s a le an d deliv ery of n o n - com p ly in g dies el f u el f o r u s e in m o tor v e h i cles ; docum en ts f o r reportin g to any o the r fe d e r a l o r st a t e go ve rnm e nt a l a g e n c y ( i nc l u d i ng t a x r e c o r d s) w h i c h c o nt a i n i n fo rm a t i o n r e ga r d i n g C

o m pany N a m e s a l e or of f e ri n g f o r s a l e , di s p en s i n g , s u ppl y i n g or of f e ri n g f o r s u ppl y , or tr an s port i n g of di es el f u el; reco rd s relatin g to C o m pany N a m e corporate ow n e rs h i p, s tru ctur e, f i n a n c in g an d em ploy ees . Su ch d o c um en ts in clu d e th o s e w h ich are in th e f o rm o f auto m a tedd a ta. T h e in sp ectio n m a y in clu d e co llectin g in f o rm atio n , tak i n g p h o t o g rap h s, tak i n g sam p les an dco p y in g reco rd s, in clu d in g th o s e w h ichare in th e f o rm o f autom a ted data an d th e copy in g of records of f th e prem is es , prov ided th at, if s u chrecords are copied of f prem is es , (1) any s u chrecords s o rem o v e d s h all be properly receipted f o r by th e repres en tativ es of th e EP A , an d (2) s u chrecords s h all be return ed w ith in 72 h o ur s of th e tim e th ey are f i rs t rem o v e d f r om th e prem is es ; an d 2
. B r in g sam p lin g d e v i ces an dequ i p m en t, b o ttles, cam eras an dsaf e ty g ear o n to th e P r em ises to ef f ectu a te said purpos e. T h e Un ited States Mars h a l f o r th e Judi ci al D i s tr i ct is HEREB Y AUTHORIZ ED AND DIRECTED to as s i s t in s u chm a nn e r as m a y be reas on ably n eces s a ry an d requ ired to ex ecute th is W a rran t an d all th e p r o v isio n s co n t ain e dh e rein . T h e en try an dactiv ities auth o r izedb y th is W a rran t m u st tak e p l ace w ith in 2 4 h o ur s f r om th e dat e of th i s Warran t
. D uri n g th i s t i m e peri od, th e property m a y be en t e red an d re- e n t ered as n eeded. Up o n ex ecutio n o f th is W a rran t , a co p y o f th is W a rran t sh all b e lef t at th e p r em ises. Dated :

HONOR A B L E ____________________ UNIT E D ST A T ES MA GIST RA T E J UDGE JUDICIAL DIS T RICT 

### A ppe ndix 2 - Sam p le R e que stt o F ile War r a nt s U nde r Se al 29______________________ UNIT E D ST A T ES DIST RICT COURT NAME OF JUDICIAL DIS T RICT
I N TH E M A TTE R O F : ) ) C

o m pany N a m e ) A PPL I C A T I O N T O F I L E C

o m pany Addr es s ) DOCUMENT S UNDER SEA L ) ) T O : T H E HONORA B L E UNIT E D ST A T ES MA GIST RA T E OF T H E JUDICIAL DIS T RICT T h e U n i t e dSt a t e s o f A m e r i c aE nvi r o nm e n t a l P r o t e c t i o n A g e n c y ( E P A ) , thr o ugh th e A ssi st a n t U n i t e dSt a t e s A tto rn ey f

o r th e Judi ci al D i s tr c t , h e reby applies f o r an order th at th e A pplication F o r Warran t T o En ter, In s p ect, C o l l ect In f o rm at i o n , C opy R ecords an d T a k e Ph ot og raph s , th e A f f i dav i t of EPA Official i n s u pport th ereof an d th e W a rran t issu edth ereo n b e f iledun d er seal un til su chtim e as th e w a rran t is ex ecuted

. T h e p urp o s e in h a v i n g all th e d o c um en ts f iledun d er seal is to in sure th at n o reco rd s are d e stro y e dp r io r to th e in sp ectio n b e in g co n du c ted

. It is an ticip atedth at if th e w a rran t is ap p r o v edo n Da te , it w ill b e ex ecutedo n Da te . T hu s , th e durat i o n of th e order placin g th e docum en ts un d er s eal is reas on able. Resp ectf u lly su b m itted , Un itedStates A tto rn ey By : Na me A ssistan t Un itedSta tes A tto rn ey



### 30

### A ppe ndix 3 - Sam p le Or de r t o Se al War r a nt s IN T H E UNIT E D ST A T ES DIST RICT COURT

FOR T H E NAME OF JUDICIAL DIS T RICT
I N TH E M A TTE R O F : ) ) C

o m pany N a m e ) Mag i s trate No. C

o m pany Addr es s ) )
ORDER T O SEA L ON T H IS DA Y cam e on f

o r con s ideration th e g o v e rnm e n t ' s m o tion to s eal (1) A pplication an d A f f i dav it f o r s earch Warran t f

iled h e rein on Da te , (2) Search W a rran t s i g n e d in th is cas e on Da te , ( 3 ) go ve rnm e nt ' s M o t i o n t o Se a l fi l e d he r e i n o n Da te , an d(4 ) th is Ord e r. Up o n co n s id eratio n o f saidMo tio n , th e Co ur t is o f th e o p i n i o n th at saidMo tio n is m e ri t o ri ou s an d s h ou l dbe g r an t e d. Now , th eref ore, is ORDER E D th at th e f o ur docum en ts des c ribed abov e, in clu d in g th is order, be s ealed by th e Clerk o f th e Co ur t un til th e Search W a rran t is ex ecuted

. SIGNED th is day of M ont h , 20__.
Un itedStates M ag i strate M

ont h , 20__.



### 31

### Ap p e n d i x 4 - CAA/CE RCL A S a m p le Ad m i n i strative Warran t s
IN T H E UNIT E D ST A T ES DIST RICT COURT

FOR T H E NAME OF JUDICIAL DIS T RICT I N TH E M A TTE R O F : ) ) COMP A N Y NA ME ) C a s e N o . _____________________
A D M I NI ST RA T I VE SE A RCH W A RRA NT TO : EPA Per s onnel N

a me Title Office Un ited States Env i ronm en tal P r otection A g en cy , R e g i on XXX A

pplication h a s been m a de an d reas on able cau s e h a s been s h ow n

f

o r th e en try an d in s p ection of property w

h ere h azardou s s u bs tan ces m a y be pres en t an d w h ichis ow n e d by _______________________, , C o un ty / C ity Nam e , State. T h e property is th e f acility located at ____________. IT IS HEREB Y ORDERED th at, p ursu a n t to th e Co m p reh e n s iv e Env i ro nm en tal Resp o n se, Co m p en satio n , an d L i ability A c t of 1980, as am en ded by th e Su perf un dA m en dm en ts an d R eauth orization A c t of 1986, 42 U.S.C
. §§ 9601, etse q ., (C ER C L A ) , an d th e C l ean A i r A c t , 42 U
. S
. C
. §§ 7401, etse q . , YOU A ND/OR YOUR DUL Y D E S I GN A T E D R E PR ES EN T A T I V E S are auth ori zed t o en t e r th e abov e- des c ri bed property duri n g th e day t i m e (7: 0 0 a.m . to 7:00 p.m
. ) an d to s earch f

o r, in s p ect, inv e s tig ate, tak e records , an d tak e s a m p les f r om s a id s ite w h ere h azard o u s su b s tan ces, p o llutan t s, co n t am in an ts o r d e b r is m a y h a v e b een sto r edo r d i sp o s ed , dum p ed , sp illedo r b uried ; in all areas relatedto th e sto r ag e, d i sp o s al, sp illag e , dum p in g o r b urial o f saidm a terials; in all p e rtin en t stru ctur es, so ils, creek s, d itch e s, co n t ain e rs an df acilities; an din all th in g s th ereo n at th e site. T h e activ ities auth orized by th is w a rran t in clu d e: (1) s a m p lin g to f u lly iden tif y

an d qu an tif y

th e am oun t of h azardou s s u bs tan ces w ith in th e f acility ; (2 ) sam p lin g to id en tif y

any releases o f h azard o u s su b s tan ces f r o m th e f acility ; (3 ) p h o t o g rap h in g th e f acility ;(4 ) o b t ain i n g any reco rd s n ecessary to co m p lete th e in sp ectio n ; (5 ) rem o v i n g qu an tities o f m a terials f o un d w ith in th e f acility f

o r th e p urp o s e o f sam p lin g ; (6 ) d e term in in g th e n eedf o r a resp o n se an d , if n ecessary , ef f ectu a tin g an

em erg e n c y resp o n se to a release o r threaten edrelease o f h azard o u s su b s tan ces at th e f acility ; an d(7 ) sam p lin g d e b r is resu ltin g f r o m th e Da te , in cid e n t/accid e n t at th e f acility

. IT IS FUR T HER ORDER E D, th at th e Un ited States Mars h a ll is h e reby auth orized an d directed to as s i s t y o u an d repres en tativ es of th e Un ited States Env i ronm en tal P r otection A g en cy in s u ch m a nn e r as m a y be reas on ably n eces s a ry an drequ iredto ex ecute th is w a rran t
. IT IS FURT HER ORDERED th at a return sh all b e m a d e to th is Co ur t sh o w in g th at th e in sp ectio n h a s b een co m p leted

. T h is auth o r izedin sp ectio n sh all b e co m p letedw ith in th irty (3 0 ) d a y s o f issu an ce o f th is w a rran t , an da return sh all b e m a d e to th e Co ur t w ith in f

i f

t een (1 5 ) d a y s o f th e co m p letio n o f th e in sp ectio n .

D a t e d: ____________________ By : ______________________________ Un itedStates Mag i strate Judi ci al D i s tr i ct



### 32

### A ppe ndix 5 - Sam p le A pplic at ion for an A d m i nist r a t i ve War r a nt
IN T H E UNIT E D ST A T ES DIST RICT COURT

FOR T H E NAME OF JUDICIAL DIS T RICT
I N TH E M A TTE R O F : ) COMP A N Y NA ME ) ) C a s e N o . ________________
A P P L I C A T I ON FOR A D M I NI ST RA T I VE SE A RCH W A RRA NT COM E S NOW the Re gio n a l A d m i nistr a to r o f the U n i t e d S t at es Env i ronm en t a l Prot ect i o n A g en cy (EPA ) R e g i on ____, by an d thro ugh th e U n i t e dSt a t e s A t t o rn e y , a n d applies f o r an A d m i n i s trativ e W a rran t to en ter property , s earch f

o r h azardou s s u bs tan ces , con t am in an ts or pollutan t s , tak e p h o t o g rap h s, an dco llect sam p les in o r d e r to id en tif y

th e n a ture an dex ten t o f co n t am in atio n o n th e p r o p e rty ow n e d by C o m pany N a m e l o cat ed __________________. Br ief des c r i ption of facility and location

. T h is w a rran t is f o r th e p urp o s e o f in sp ectin g an dsam p lin g th e C o m pany N a m e p r o p e rty so th at EP A can id en tif y

th e ex is ten ce an d ex ten t of a releas e or threat of a releas e of a h azardou s s u bs tan ce, con t am in an t or pollutan t; an d determ in e th e n eed f o r res pon s e action ( s ) un d er th e C o m p reh e n s iv e Env i ronm en tal R e s pon s e , C o m p en s a tion , an d L i ability A c t (C ER C L A ) , as am en ded by th e Su perf un dA m en dm en ts an d R eauth orization A c t of 1986 (SA R A ) , 42 U
. S
. C
. §§ 9601, etse q ., an d to determ in e w h at s t eps w e re tak e n by C o m pany N a m e to d e sig n an dm a in tain a saf e f acility to p r ev en t releasin g an dto m i n i m i ze th e co n s equ e n ces o f accid e n t al releases w h ich d o o ccur, p ursu a n t to S ect i o n 112(r) of th e C l ean A i r A c t (" C A A " ) 42 U.S

. C
. § 7412. T h i s en try i s requ es t e d purs u a n t t o th e auth ori ty g r an t e d t o th e Pres i d en t by S ect i o n 104(b) an d (e) of C E R C L A , 42 U.S
. C
. § 9604(b) an d (e), del e g a t e d t o th e A d m i n i s trat o r of EPA by Ex ecut i v e Order No. 12580, § 2(g ) an d (I), 52 F e d. R e g . 1923 (1987), an d f urth e r del e g a t e d t o th e R e g i on al A d m i n i s trat o r of EPA by EPA D e l e g a t i o n N o . 14- 6. S ect i o n 104(b) of C E R C L A , 42 U
. S
. C
. § 9604(b), prov i d es , i n part : W h en ev er th e P r es iden t is auth orized to act purs u a n t to s u bs ection (a) of th is s ection , or w h en ev er th e P r es iden t h a s reaso n to b e liev e th at a release h a s o ccurredo r is ab o ut to o ccur, h e m a y un d ertak e su ch inv e stig atio n s , m o n ito rin g , surv ey s, testin g , an do th e r in f o rm atio n g a th erin g as h e m a y d eem n ecessary o r ap p r o p r iate to id en tif y

th e ex isten c e an d ex ten t of th e releas e or threat th ereof , th e s o ur ce an d n a ture of th e h azardou s s u bs tan ces , pollutan t s or co n t am in an ts inv o lv ed , an dth e ex ten t o f d a n g e r to th e p u b lic h ealtho r w e lf are o r to th e env i ro nm en t. S ect i o n 104(e) of C E R C L A , 42 U
. S
. C
. § 9604(b) prov i d es , i n part : Any [auth o rized pers on as def i n e d in Section 204(e)(1)] is auth orized to in s p ect an d obtain s a m p les f r om any f

acility , es tablis h m en t, or oth e r place or property [f

rom w

h ichor to w h icha h azardou s s u bs tan ce or pollutan t or con t am in an t h a s been or m a y h a v e been releas ed] or f r om any location of any s u s p ected h azardou s s u bs tan ce or pollutan t or con t am in an t. F urth e r, purs u a n t t o 40 C
. F
. R
. § 300.400(d), th e U n i t e d S t at es h a s th e auth ori ty t o en t e r any property t o det e rm i n e th e n eed f o r a res pon s e to a releas e or threaten ed releas e of h azardou s s u bs tan ces . 40 C
. F
. R
. § 300.415(a)(2) g i v e s EP A th e auth o r ity to d e term in e w h eth e r th e resp o n sib l e p a rties " can an dw ill p e rf o rm th e n ecessary rem o v a l actio n prom pt l y an d properl y . " S ect i o n 114 of th e C A A , 42 U
. S
. C
. § 7414, perm i t s EPA t o en t e r an d con du c t i n s p ect i o n s as f o l l o w s : (a) For th e purpose ... (iii) [of ] carry in g out any prov ision of th is A c t -
- (1 ) th e A d m i n i strato r m a y requ ire any p e rso n w

h o is su b

j ect to any requ irem en t o f th is A c t (o th er th an a m a n u f

actur er) to (G) prov ide s u choth e r in f o rm ation as th e A d m i n i s trator m a y reas on ably requ ire; an d (2) th e A d m i n i s trator or h i s auth orized repres en tativ e, u pon pres en tation of h i s creden tials

- - ( A ) shall have a r i ght o f entry to , up o n , o r thr o ugh any p r em ises o f such p e r s o n ..., and (B ) m a y at reas on able tim es h a v e acces s to an d copy any records

. 

### 33___________________________________ T h e U n i t e dSt a t e s r e qu e s t s th a t th e w a rr a nt so ught b y th i s ap p l i c a t i o n b e i ssue dt o a ny e m p l o y e e o f E P A w

h o i s a ssigne dto EPA Per s onnel, N a me and Title

. A s th e EPA Per s onnel Title , purs u a n t t o 40 C
. F
. R
. § 300.120 an d 300.400(d), EPA Per s onnel N

a me i s auth ori zed t o di rect an d coordi n a t e res pon s e act i o n s by auth ori zed EPA repres en tativ es as m a y be n eces s a ry at th e C o m pany N a m e property . Des c r i ption of facility, pr oces s , and chemical accident, including envir onmental EP A s eek s acces s to th e C o m pany N a m e p r o p e rty in o r d e r to co n du c t sam p lin g activ ities. Sam p lin g activ ities at th e C

o m pany N a m e f acility w ill con s is t of obtain i n g ________________________________. EP A attem p ted to obtain acces s v o lun t arily f

r om th e ow n e rs of th e C o m pany N a m e f acility o n Da te . T h e acces s so ught w a s fo r sa m p ling a c tivitie s a n dinsp e c tio n o f the C o m pany N a m e f acility

. T h e o w n e rs d e n i edaccess to EP A
. T h e ef f o rts m a de by EP A to obtain acces s are docum en ted in th e af f i dav its of EPA Per s onnel N

a me , attach ed as E xhi b i t 4
. T h e requ es ted acces s to th e C o m pany N a m e f acility is f o r a reaso n ab le p e rio do f tim e. EP A seek s access to tak e sa m p le s fr o m the C o m pany N a m e p r o p e rty in o r d e r to d e term in e th e n eedf o r a resp o n se actio n to ad d r ess th e release or threaten ed releas e of h azardou s s u bs tan ces an d to determ in e w h at s t eps w e re tak e n by C o m pany N a m e to d e sig n an dm a in tain a saf e f acility to p r ev en t releases an dto m i n i m i ze th e co n s equ e n ces o f accid e n t al releases w h ich d o occur, purs u a n t t o S ect i o n 112(r) of th e C l ean A i r A c t , 42 U.S
. C
. § 7412. T h e s a m p l i n g s h ou l drequ i r e approx i m at el y n o m o re th an th irty (3 0 ) w o rk in g d a y s to co m p lete. Purs u a n t t o S ect i o n 104(e) of C E R C L A , 42 U
. S
. C
. § 9604, an d S ect i o n 114 of th e C l ean A i r A c t , 42 U
. S
. C
. § 7414, an d bas e d u pon th e ev iden ce des c ribed abov e an d th e attach ed Ex h i bit 1, in corporated by ref e ren ce h e rein , th e Un ited States b e liev e s th at it h a s th e statut o ry auth o r ity an dsu f f i cien t cau se to m e rit en try to th e C o m pany N a m e property . T h e Un itedStates requ ests th at its A p p licatio n f

o r an A d m i n i strativ e W a rran t b e g r an ted

. Resp ectf u lly su b m itted , Nam e Un itedStates A tto rn ey

Nam e A s s i s t an t U.S. A ttorn ey



### 34___________________________________ 

### Ap p e n d i x 6 - S a m p le E m ergen cy Ord er u n d er CAA S ection 303 UNIT E D ST A T ES ENVIRONMENT A L P R OT ECT I ON A G ENCY REGION XX In

T h e Matter o f : COMP A N Y NA ME ) ) P r oceedin g s P urs u a n t to ) D ock e t No. S ect i o n 303 of th e C l ean A i r A c t , ) As Am e n d e d , ) C LE AN AI R AC T E M E R G E N C Y O RD E R 42 U
. S
. C
. §§ 7401 et s e q. ) 42 U
. S
. C
. § 7603. )

T h e R e g i on al A d m i n i s trator f o r R e g i on XX of th e Un ited States Env i ronm en tal P r otection A g en cy (" EP A " ) m a k e s th e f o llow i n g Fin d in g s of Fact, reach es th e f o llow i n g C o n c lu s i on s of L a w , an d Is s u es th e f o llow i n g Order: FINDINGS OF FA CT T h e A d m i n i s trat o r of EPA del e g a t e d th e auth ori ty v e s t ed i n h e r by S ect i o n 303 of th e C l ean A i r A c t (" th e A c t " or " C A A " ) as am en ded, 42 U

. S
. C
. § 7603, t o th e R e g i on al A d m i n i s trat o r f o r R e g i on X X
. 1. S ection 303 of th e A c t, 42 U.S
. C
. § 7603, prov ides th at, u pon receipt of ev iden ce th at a pollution s o ur ce or co m b in atio n o f so ur ces is p r esen tin g an im m i n e n t an dsu b s tan tial en d a n g e rm en t to p u b lic h ealth o r w e lf are o r th e env i ro nm en t an daf ter co n s u ltatio n w ithap p r o p r iate State an dlo cal auth o r ities to co n f irm th e accuracy o f th e i n f o rm at i o n on w

h i c hth e act i o n propos ed t o be t a k e n i s bas e d, th e A d m i n i s trat o r m a y i s s u e s u chorder as m a y be n eces s a ry to protect pu blic h ealthor w e lf are or th e env i ronm en t. 2. R e s pon den t C o m pany N a m e h a s d i sch a rg edf r o m its f acility lo catedat C o m pany Addr es s su b s tan tial am o un t s o f hy drog en s u l f i d e (" H 2 S" ) an d oth e r g a s e s in to th e am bien t air. Su chdis c h a rg es h a v e cau s e d n um erou s in div i du als to be h o s p italized or s eek m e dical treatm e n t , an d f urth e r dis c h a rg es of th is k i n dw o u l d pres en t an im m i n e n t an dsu b s tan tial en d a n g e rm en t to th e p u b lic h ealtho r w e lf are o r th e env i ro nm en t. 3
. Auth o r ities f r o m th e j u r i s d i c t i on/ count y/

ci t

y/state w h ichh a s j urisd ictio n o v er th e in du strial p a rk w

h ere th e C

o m pany N a m e f acility is lo cated , h a v e d ilig en tly attem p tedto d ecrease th e lev e l o f co n t am in atio n in to th e atm o sp h e re. T h e threat o f f

urth e r d i sch a rg es f r o m th e f acility rem a in s, h o w e v e r. 4
. It is n o t p r acticab le to assure p r o m p t

p r o t ectio n o f p u b lic h ealtho r w e lf are o r th e env i ro nm en t in th e ju risd ictio n to aw ait com m e n cem en t of a civ il action in Un ited States Dis trict C o ur t. O n August 2 6 , 1994, m y

s t af f an d I di s c u s s e d th e threat pos ed by C o m pany N a m e air em is s i on s w ithof f i cials f r om ju risd ictio n , w ithof f i cials of th e ju risd ictio n , an d w ithoth e r local of f i cials

. A ll of th em con f irm e d m y

f

i n d in g s an d s u

pport e d m y

deci s i on t o i s s u e th i s O r der bas e d u pon th e ri s k of rel eas es an d u pon th ei r k n o w l edg e of C o m pany Na me operation an d m a in ten a n ce procedur es . CONCL U SION OF L A W 1
. T h e Reg i o n al A d m i n i strato r f o r Reg i o n XX is v e stedw ith th e auth o r ity o f th e A d m i n i strato r un d er Sectio n 3 0 3 of

th e A c t , 42 U
. S
. C
. § 7603. 2. T h e C o m pany N a m e f acility h a s b een f

o un db y th e Reg i o n al A d m i n i strato r to b e p r esen tin g an im m i n e n t an d su

b s tan tial en d a n g e rm en t to th e p u b lic h ealtho r w e lf are o r th e env i ro nm en t an dto b e an ap p r o p r iate su b

j ect f o r th e i s s u an ce of an order un d er S ect i o n 303 of th e A c t
.

ORDER 1. T h e R e g i on al A d m i n i s trat o r f o r R e g i on X X h e reby orders th at C o m pany N a m e , its ag en ts , s e rv an ts , em ploy ees , 

### 35_______________ ____________________________ an datto rn ey s an dall p e rso n s in activ e co n cert o r p a rticip atio n w ith th em to start, Da te , asa fe shut d o w n o f a l l m a nufa c t ur i ng o p e r a t i o ns. A l l o n -go i ng r e a c t i o ns m u st b e t e rm i n a t e di n th e sa fe st m a nne r p o ssi b l e , a n dno ne w m a n u f

actur in g o p e ratio n s m a y b e g i n . A ll o p e ratio n s n ecessary to p r ev en t air em issio n s an dto m a in tain th e in teg r ity o f ch em icals an dequ i p m en t at th e f acility m u st co n tin u e . Furth e rm o r e, C o m pany N a m e mu s t ma k e reports by teleph on e by 3 p.m
. eachday (in c lu din g w eek en ds ) to EPA Official of th e R e g i on al XX of f i ce at phone num ber o n th e statu s o f shut d o w n

ef f o rts. T h is rep o r tin g requ irem en t sh all rem a in in ef f ect un til th e shut d o w n o f m a nufa c t ur i ng o p e r a t i o ns i s c o m p l e t e d

. 2
. T h is o r d e r sh all b e ef f ectiv e f o r a p e rio do f n o t m o re th an 6 0 d a y s un l ess th e Un itedStates f iles a civ il actio n in th e appropriate Un ited States dis trict cour t to im m e diately res train any pers on cau s i n g or con tributin g to th e alleg e dp o llutio n to sto p th e em issio n o f air p o llutan t s cau sin g o r co n trib utin g to su ch p o llutio n o r tak e su ch oth e r action s as m a y be n eces s a ry . 3. T h is Order is ef f ectiv e im m e diately u

pon receipt by def e n d an ts
. T h e R e g i on al A d m i n i s trator f o r R e g i on XX h e reby is s u es th e abov e- iden tif ied Order w h ichs h all becom e ef f ectiv e as prov ided th erein

.
Date EPA Official Re gi o n a l A d m i ni str a t o r



### 36

### Appendix 7 - Sam p le Clean Air Act Section 114 Inf o rm ation Request Letters Sam p le L e tter # 1 P l a n t M a na ge r C o mp a ny N a me A ddres s Dear P l an t Man a g e r: S ection 112(r)(1) of th e C l ean A i r A c t (A ct) s t ates th at " [ t]h e ow n e rs an d operators of s t ation a ry s o ur ces produ cin g , proces s i n g , h a n d lin g or s t orin g s u ch[ex trem e ly h azardou s ] s u bs tan ces h a v e a g e n e ral duty in th e s a m e m a nn e r an d to th e s a m e ex ten t as Section 654, T itle 29 of th e Un ited States C ode, to iden tif y

h azards w h ich m a y resu lt f r o m su ch releases u s in g ap p r o p r iate h azardassessm en t techn i qu es, to d e sig n an dm a in tain a saf e f acility tak i n g s u ch s t eps as are n eces s a ry to prev en t releas es , an d to m i n i m i ze th e con s equ e n ces of th e acciden t al releas es w h ich do occur." Purs u a n t t o S ect i o n 114(a) of th e A c t , 42 U
. S
. C
. § 7414(a), th e A d m i n i s trat o r of EPA i s auth ori zed t o requ i r e any pers on w

h o ow n s or operat e s any em i s s i on s o ur ce, or w h o i s s u bj ect t o any requ i r em en t of th e A c t , t o es t abl i s han d m a in tain s u chrecords , m a k e s u ch reports , an d prov ide s u ch oth e r in f o rm ation as s h e m a y reas on ably requ ire, f o r th e purpos es of det e rm i n i n g w h eth e r s u chpers on i s s u bj ect t o or i n v i ol at i o n of any prov i s i o n of th i s A c t
. T h eref ore, in accordan ce w ithS ection 114(a)(1) of th e A c t, 42 U.S
. C
. § 7414(a)(1) y o u are h e reby requ ired to p r o v id e th e f o llo w i n g in f o rm atio n : 1
. A Fu ll Facility L a y o ut d i ag ram (su c has a site m ap )

. 2. P i pin g an d In s trum e n t ation Diag ram f

o r th e N a m e of pr oces s Pl a n t
. 3. P i pin g an d In s trum e n t ation Diag ram f

o r th e N a m e of pr oces s Pl a n t
. 4. N a m e of pr oces s P l an t L a y o ut , in clu d in g bothth e P l an an d Elev ation v i ew s . 5. N a m e of pr oces s P l an t L a y o ut , in clu d in g both th e P l an an d Elev ation v i ew s . 6. Stan dard Operatin g P r ocedur es (SOP s ) f o r th e nam e of pr oces s e s P l a n t s i n c l ud i ng SO P s fo r st a r t u

p , shut d o w n, em erg e n c y s hut dow n

an d n o rm al operation f

o r each P l an t. 7
. Feed sto c k Qu ality Co n tro l m easur em en ts f o r th e nam e of pr oces s p l an t in clu d in g : s ubs tance nam e ch em is try (hy d rocarbon con t en t, w a ter con t en t, etc); s ubs tance nam e ch em is try (hy d rocarbon con t en t, m e tals con t en ts , an ion con t en t); an d s ubs tance nam e ch em is try (hy d rocarbon con t en t, m e tals , an ion con t en t). 8
. Daily P r o du ctio n Rep o r ts f o r th e nam e of pr oces s plan t f o r th e precedin g 30 day s f r om th e date of th is letter. 9
. Op eratio n L o g s f o r th e nam e of pr oces s plan t f o r th e precedin g 30 day s f r om th e date of th is letter in clu d in g :
a. Equi pm ent X, Y , and C tem p eratur e b. Equi pm ent X, Y , and C pH c. Equi pm ent X, Y , and C cap acities an dlev e ls d. Subs tance nam e an d s ubs tance nam e in p ut f l o w - r ates e. F i n a l produ ct f

l ow rat e s . No te: If p r o cess equ i p m en t listedin item s a an d b abov e i s di f f e ren t or k n o w n

by di f f e ren t n a m e s , pl eas e prov i d e th e requ iredin f o rm atio n f

o r th e equ i v a len t equ i p m en t. 10. Main ten a n ce records f o r th e nam e of pr oces s fo r th e p r e v i o us si x m o nths. 1 1
. M a na ge m e nt -o f-Cha nge P l a n s fo r th e nam e of pr oces s pl an t
. 1 2
. Date o f th e last turn - a ro un do f th e nam e of pr oces s pl an t
.


### 371 3
. T h e f acility p e rso nn e l o r g a n i zatio n a l ch art. 14. A des c ri pt i o n of th e n a m e of proces s tr ai n i n g procedur e. 15. T h e con trol s y s t em record f o r th e nam e of pr oces s an dnam e of pr oces s plan ts f o r th e precedin g s e v e n (7) day s f r o m th e d a te o f th is letter. 1 6
. Nam e s o f th e f o llo w i n g P e rso nn e l: P l an t Man g e r, P r o du ctio n Su p e rv iso r , En g i n eerin g Su p e rv iso r , Health an d Saf e ty Of f i cer, P l an t en g i n eers f o r both th e A N an d NA plan t, Env i ronm en tal Of f i cer, Main ten a n ce Su perv is or, R e pres en tativ es f r om all lev e ls of A

N operation s s t af f , an d In s trum e n t ation en g i n eer or techn i cian

. T h e ab o v e in f o rm atio n m u st b e su b m ittedw ith in ten (1 0 ) d a y s f r o m receip t o f th is letter to th e f o llo w i n g ad d r ess: U.S. Env i ronm en tal P r otection A g en cy O ffi c e Div i sio n A ddres s A TTN : EPA Per s onnel C

ontact Any requ es t f o r an ex ten s ion m u s t be m a de in w

r itin g w ith in f

i v e day s of y o ur receipt of th is letter. P l ease n o te th at p ursu a n t to reg u l atio n s lo catedat 4 0 C.F.R. P a rt 2 , Su b p a rt B , y o u are en titledto assert a b u sin e ss con f iden tiality claim cov e rin g any part of th e s u bm itted in f o rm ation as def i n e d in 40 C
. F.R
. § 2.201(c). A s s e rtin g a b u sin e ss co n f id en tiality claim d o e s n o t reliev e y o u f

r o m th e o b lig atio n to f u lly resp o n dto th is letter. Failure to assert su cha claim m a k e s th e su b m ittedin f o rm atio n su b

j ect to p u b lic d i sclo sure u p o n requ est an dw ith o ut f urth e r n o tice to y o u , purs u a n t to th e Freedom of In f o rm ation A c t, 5 U.S.C
. § 552. In f o rm ation s u bj ect to a bu s i n e s s con f iden tiality claim m a y b e av ailab l e to th e p u b lic o n ly to th e ex ten t set f o rth in th e ab o v e citedreg u l atio n . EP A h a s th e auth o r ity to u s e th e in f o rm atio n requ estedh e rein in an ad m i n i strativ e, civ il, o r crim in al actio n . In ad d itio n , EP A h a s n o t w a iv edany rig h t s to tak e en f o rcem en t actio n f

o r p a st o r f

uture v i o l atio n s . F a ilure to com p ly w ithth is letter m a y res u lt in en f o rcem en t action bein g tak e n in accordan ce w ithS ection 113 of th e A c t, 42 U.S.C
. § 7413. T h is m a y in clu d e civ il an d adm i n i s trativ e pen a lties of u

p to $25,000 per day of n o n c om pl i a n ce, purs u a n t t o S ect i o n s 113(b)(2) an d 113(d) of th e A c t , 42 U
. S
. C
. §§ 7413(b)(2) an d 7413(d). In ad d itio n , th e su b m issio n o f k

n o w i n g l y f

a lse o r m i slead in g statem en ts m a y b e p un i sh edb y a f i n e p ursu a n t to T itle 1 8 of

th e U
. S
. C ode, or by i m pri s onm e n t f

o r n o t m o re th an tw o y ears , or both

. T h is letter in n o w a y af f ects y o ur o b lig atio n to co m p ly w itho th e r lo cal, State an df e d e ral law s an dreg u l atio n s . In ad d itio n , n o th in g in th is letter sh all b e co n s tru e dto b e a w a iv er b y EP A o f any rig h t s o r rem e d i es un d er th e Clean A i r Ac t
. If

y o u h a v e any qu es tion s , pleas e con t act EPA Per s onnel (

C

ouns el ) of m y

s t af f at phone num ber

. Sin cerely , Author iz ed EPA Per s onnel, Title Divisio n Office



### 38Sam p le L e tter # 2 P l a n t M a na ge r C

o m pany N a m e Addr es s Dear P l an t Man a g e r: S ection 112(r)(1) of th e C l ean A i r A c t (A ct) s t ates th at " [ th e ow n e rs an d operators of s t ation a ry s o ur ces produ cin g , proces s i n g , h a n d lin g or s t orin g s u ch [ex trem e ly h azardou s ] s u bs tan ces h a v e a g e n e ral duty in th e s a m e m a nn e r an d to th e s a m e ex ten t as Section 654, T itle 29 of th e Un ited States C ode, to iden tif y

h azards w h ich m a y res u lt f r om s u ch releases u s in g ap p r o p r iate h azardassessm en t techn i qu es, to d e sig n an dm a in tain a saf e f acility tak i n g su ch step s as are n eces s a ry to prev en t releas es , an d to m i n i m i ze th e con s equ e n ces of th e acciden t al releas es w h ichdo occur." Purs u a n t t o S ect i o n 114(a) of th e A c t , 42 U
. S
. C
. § 7414(a), th e A d m i n i s trat o r of EPA i s auth ori zed t o requ i r e any pers on w

h o ow n s or operat e s any em i s s i on s o ur ce, or w h o i s s u bj ect t o any requ i r em en t of th e A c t , t o es t abl i s han d m a in tain s u chrecords , m a k e s u ch reports , an d prov ide s u ch oth e r in f o rm ation as s h e m a y reas on ably requ ire, f o r th e purpos es of det e rm i n i n g w h eth e r s u chpers on i s s u bj ect t o or i n v i ol at i o n of any prov i s i o n of th i s A c t
. T h eref ore, in accordan ce w ithS ection 114(a)(1) of th e A c t, 42 U.S
. C
. § 7414(a)(1) y o u are h e reby requ ired to p r o v id e th e f o llo w i n g in f o rm atio n : 1. Hazardou s Operation s Man u a ls :
a. A copy of th e Hazardou s Operation s Man u a l (i.e., any f

o rm of proces s h azard an aly s es ) f o r th e nam e of pr oces s , nam e of pr oces s , nam e of pr oces s , and nam e of pr oces s plan ts , areas , or proces s e s . b. T h e dates on w

h ich th e m o s t recen t Hazardou s Operation s Man u a ls requ ired in item (a) abov e w e re co m p leted

. c. A co m p lete list o f ref e ren ces o f in f o rm atio n reliedu p o n in f

o rm u l atin g th e m a n u a ls requ iredin item (a)ab o v e. d. If any of th e m a n u a l s requ i r ed i n i t e m (a) abov e i s l e s s th an tw o y ears ol d, pl eas e prov i d e copi es of prev i o u s Hazardou s Operation s Man u a ls f o r th e plan t, area, or proces s e s des c ribed in (a) abov e. 2. For each nam e of pr oces s plan t, area, or proces s , pleas e prov ide copies of train i n g m a terials , or a s um m a ry of s u chm a terials , u s ed to train em ploy ees durin g th e las t f

i v e y ears . P l eas e prov ide in f o rm ation f

o r eachof th e fo l l o w i ng p r o c e dur e s :
a. Start u p b. S hut dow n c . E m e r ge nc y shut d o w n d. N o rm al operat i o n e. Main ten a n ce, an d f. E m e r ge nc y r e sp o n se . T h ese train i n g m a terials o r th eir sum m a ry sh all in clu d e th e f o llo w i n g in f o rm atio n :
a. Descrip tio n o f train i n g su b

j ect m a tter b

. D e sc r i p t i o n o f tr a i ni ng c o nt e n t s c . W h e the r tr a i ni ng w a s r e qu i r e do r o p t i o na l

. 3. For each em ploy ee in th e nam e of pr oces s plan t, area, or proces s , pleas e prov ide an em ploy ee train i n g prof ile f o r th e last f i v e y ears, co n t ain i n g th e f o llo w i n g in f o rm atio n :
a. Em ploy ee Nam e b

. Em p l o y ee’ s curren t p o s itio n /title c. Em p l o y ee’ s tim e in curren t p o s itio n d

. Em p l o y ee’ s tim e w ith f

acility e. A ll train i n g receiv e d by th e em ploy ee, an s w erin g th e f o llow i n g f o r eachcour s e or s e s s i on : f

. Dates train i n g co m p leted g . W a s em ploy ee com p eten ce- tes t ed? ; pleas e s u bm it a repres en tativ e tes t f

o r eachcour s e h

. D i d em pl oy ee pas s th e t e s t ? I. If em p l o y ee f a iledth e test, d e scrib e f o llo w u

p actio n s tak e n . 

### 394
. A p r in to ut o f co n tro l sy stem reco rd s f o r th e nam e of pr oces s p l an ts/areas/p ro cesses f o r sev e n d a y s p r io r to th e day of receipt of th is letter. 5
. Co p i es o f resu lts an df i n d in g s , in clu d in g d e scrip tio n s o f reco m m e n d atio n s , o f any saf e ty au d its co n du c tedin th e last f i v e y ears f o r th e en tire f acility (all p l an ts/p ro cesses/areas). 6. C opi es of w o rk orders , m a n a g e m e n t of ch an g e records , an d th e dat e s on w

h i c hrecom m e n d at i o n s f r om th es e saf e ty au d its w e re im p l em en ted

. 7. C urren t P& ID an d proces s F l ow D i ag ram s f o r th e nam e of pr oces s pl an t s / a reas . If th e di ag ram s dat i n g t o 19__ w

h ich w e re su b m ittedin resp o n se to EP A ’ s in sp ectio n last MM are curren t an drep r esen t th e p l an t as it is curren tly b u ilt an do p e ratin g , p l ease state so o n y o ur resp o n se. Oth e rw ise, p l ease su b m it curren t d o c um en ts. T h e ab o v e in f o rm atio n m u st b e su b m ittedw ith in tw en ty (2 0 ) d a y s f r o m receip t o f th is letter to th e f o llo w i n g ad d r ess: U.S. Env i ronm en tal P r otection A g en cy Office Divisio n Addr es s A TTN
. : EPA Per s onnel N

a me Any requ es t f o r an ex ten s ion m u s t be m a de in w

r itin g w ith in f

i v e (5) day s of y o ur receipt of th is letter. P l ease n o te th at p ursu a n t to reg u l atio n s lo catedat 4 0 C.F.R. P a rt 2 , Su b p a rt B , y o u are en titledto assert a b u sin e ss con f iden tiality claim cov e rin g any part of th e s u bm itted in f o rm ation as def i n e d in 40 C
. F.R
. § 2.201(c). A s s e rtin g a b u sin e ss co n f id en tiality claim d o e s n o t reliev e y o u f

r o m th e o b lig atio n to f u lly resp o n dto th is letter. Failure to assert su cha claim m a k e s th e su b m ittedin f o rm atio n su b

j ect to p u b lic d i sclo sure u p o n requ est an dw ith o ut f urth e r n o tice to y o u , purs u a n t to th e Freedom of In f o rm ation A c t, 5 U.S.C
. § 552. In f o rm ation s u bj ect to a bu s i n e s s con f iden tiality claim m a y b e av ailab l e to th e p u b lic o n ly to th e ex ten t set f o rth in th e ab o v e citedreg u l atio n . EP A h a s th e auth o r ity to u s e th e in f o rm atio n requ estedh e rein in an ad m i n i strativ e, civ il, o r crim in al actio n . In ad d itio n , EP A h a s n o t w a iv edany rig h t s to tak e en f o rcem en t actio n f

o r p a st o r f

uture v i o l atio n s . P l eas e be adv i s e d th at C o m pany N a m e h a s a co n tin u i n g o b lig atio n to su p p l em en t th eir an sw ers if ad d itio n a l o r d i f f e ren t in f o rm atio n is f o un d

. F a ilure to com p ly w ithth is letter m a y res u lt in en f o rcem en t action bein g tak e n in accordan ce w ithS ection 113 of th e A c t, 42 U.S.C
. § 7413. T h is m a y in clu d e civ il an d adm i n i s trativ e pen a lties of u

p to $25,000 per day of n o n c om pl i a n ce, purs u a n t t o s ect i o n 113(b)(2) an d 113(d) of th e A c t , 42 U
. S
. C
. §§ 7413(b)(2) an d 7413(d). In ad d itio n , th e su b m issio n o f k

n o w i n g l y f

a lse o r m i slead in g statem en ts m a y b e p un i sh edb y a f i n e p ursu a n t to T itle 1 8 of

th e U
. S
. C ode, or by i m pri s onm e n t f

o r n o t m o re th an tw o y ears , or both

. T h is letter in n o w a y af f ects y o ur o b lig atio n to co m p ly w itho th e r lo cal, State an df e d e ral law s an dreg u l atio n s . In ad d itio n , n o th in g in th is letter sh all b e co n s tru e dto b e a w a iv er b y EP A o f any rig h t s o r rem e d i es un d er th e Clean A i r Ac t
. If

y o u h a v e any qu es tion s , pleas e con t act EPA Per s onnel (

C

ouns el ) of m y

s t af f at phone num ber

. Sin cerely , Author iz ed EPA Per s onnel, Title Divisio n Office



### 40Sam p le L e tter # 3 P l a n t M a na ge r C

o m pany N a m e Addr es s Dear P l an t Man a g e r: In

a l e t t e r dat e d ________, purs u a n t t o S ect i o n 114(a)(1) of th e C l ean A i r A c t (A ct ), 42 U

. S
. C
. § 7414(a)(1), EPA requ estedf r o m y o u a series o f d o c um en ts p e rtain i n g to y o ur f

acility

. A f ter an ex ten s io n w a s g r an tedb y EP A , m o st o f th es e docum en ts h a v e been receiv e d by EP A
. Ho w e v e r, as o f dat e , th e f o llo w i n g item s h a v e n o t b een su b m ittedb y C o m pany N a m e as requ es t e d by EPA : Item 1(c). A com p lete lis t of ref e ren ces of in f o rm ation relied u pon in f

o rm u l atin g th e Hazardou s Operation s Man u a ls requ iredin item 1 ( a) o f th e dat e letter. Item 1 ( d )

. B ecau se th e Hazard o u s Op eratio n s Man u a ls su b m ittedb y C o m pany N a m e fo r th e nam e of pr oces s an d p l an ts in resp o n se to item 1 ( a) o f th e dat e letter are less th an tw o y ears o l d , C o m pany N a m e wa s r e qu i r e d to prov ide copies of prev iou s Hazardou s Operation s Man u a ls f o r th es e plan ts
. S ection 112(r)(1) of th e A c t s t ates th at " [ th e ow n e rs an d operators of s t ation a ry s o ur ces produ cin g , proces s i n g , h a n d lin g or s t orin g s u ch [ex trem e ly h azardou s ] s u bs tan ces h a v e a g e n e ral duty in th e s a m e m a nn e r an d to th e s a m e ex ten t as Section 654, T itle 29 of th e Un ited States C ode, to iden tif y

h azards w h ichm a y res u lt f r om s u chreleas es u s in g ap p r o p r iate h azardassessm en t techn i qu es, to d e sig n an dm a in tain a saf e f acility tak i n g su chstep s as are n eces s a ry to prev en t releas es , an d to m i n i m i ze th e con s equ e n ces of th e acciden t al releas es w h ichdo occur." Purs u a n t t o S ect i o n 114(a) of th e A c t , 42 U
. S
. C
. § 7414(a), th e A d m i n i s trat o r of EPA i s auth ori zed t o requ i r e any pers on w

h o ow n s or operat e s any em i s s i on s o ur ce, or w h o i s s u bj ect t o any requ i r em en t of th e A c t , t o es t abl i s han d m a in tain s u chrecords , m a k e s u ch reports , an d prov ide s u ch oth e r in f o rm ation as s h e m a y reas on ably requ ire, f o r th e purpos es of det e rm i n i n g w h eth e r s u chpers on i s s u bj ect t o or i n v i ol at i o n of any prov i s i o n of th i s A c t
. T h eref ore, in accordan ce w ithS ection 114(a)(1) of th e A c t, 42 U.S
. C
. § 7414(a)(1) y o u are h e reby requ ired to prov i d e m a t e ri al s res pon s i v e t o i t e m s 1(c)an d 1(d) by dat e . No f urth e r ex ten s io n s w ill b e g r an ted

. In

addition , in accordan ce w ith Section 114(a)(1) of th e A c t, 42 U.S.C
. § 7414(a)(1) y o u are h e reby requ ired to p r o v id e th e f o llo w i n g in f o rm atio n b y dat e . 1. Co pies of al l orig in al train i n g m a terials u s ed at th e tim e to deliv er th e train i n g s p ecif i ed in y o ur em ploy ee train i n g prof iles

. P l eas e s ee table below f

o r th e s p ecif i c m a terials bein g requ es ted. 2. P l eas e als o prov ide copies of all curren t train i n g m a terials

- - i f th ey are dif f e ren t in any w a y f

r om th os e requ ired in item 1 o f th is letter-

- u s edin th e sam e o r equ i v a len t train i n g p r esen tly d e liv eredo r av ailab l e to C o m pany N a m e em ploy ees . P l eas e s ee table below f

o r th e s p ecif i c m a terials bein g requ es ted. P l ease p r o v id e m a terials requ estedin item s 1 an d2 f o r th e f o llo w i n g train i n g , em p l o y ees, an dd a tes listed : P R OVIDE COP I ES OF AC T U AL M A T E R I ALS U S E D A T TH E TI M E F O R TH E FOL L O W I NG T R A I NING DA T E T R A I NING DEL I VERED P R OVIDE COP I ES OF A C TU A L W R I TTE N TE S T A

ND RE SUL T S FOR T H E FOL L O W I NG EMP L OYEES P R OVIDE COP I ES OF CURRENT T R A I NING MA T E RI A L S, I F DI FFE RE NT , FOR T H E SA ME COURSE F i rs t R e s pon der, “Aw a r e ne ss Le ve l ” an d Hazard C o m m

un i cation Nam e s N o No No No



### 41P R OVIDE COP I ES OF AC T U AL M A T E R I ALS U S E D A T TH E TI M E F O R TH E FOL L O W I NG T R A I NING DA T E T R A I NING DEL I VERED P R OVIDE COP I ES OF A C TU A L W R I TTE N TE S T A

ND RE SUL T S FOR T H E FOL L O W I NG EMP L OYEES P R OVIDE COP I ES OF CURRENT T R A I NING MA T E RI A L S, I F DI FFE RE NT , FOR T H E SA ME COURSE Sa fe ty T r a i ni ng: H i gh T e m p S hut dow n s on proces s , S c ru bber P um p s; P r o c e ss M i x T a nk P um p s; W e st Sub s ta nc e T a nk Lo a d i ng P um p s; Eas t Su bs tan ce T a nk L o adin g Pum p s Nam e Yes

Hazardou s Materials L o adin g & Un lo ad in g Nam e Yes
C

o m pany N a m e P o licies an d P r ocedur es T r ain i n g Nam e Yes
P S M A pplication an d Ov erv i ew Nam e

no IV B o ardm an Nam e Yes HA Z M A T Series I N am e N o No HA Z M A T S e ries II Nam e Pr oc e s s Pl a n t I Pr oc e s s Pl a n t I I Pr oc e s s Pl a n t I I I Nam e s Y es Yes

N o t e : If any of th e docum en t s bei n g requ es t e d i n i t e m s 1(c), 1(d) ( dat e letter) o r item s 1 an d2 o f th is letter d o n o t ex is t, pleas e iden tif y

th e docum en t an d s t ate th e reas on s w hy

it does n o t ex is t. T h e ab o v e in f o rm atio n m u st b e su b m ittedo n o r b e f o re th e d a tes sp ecif i edin th is letter to th e f o llo w i n g ad d r ess: U.S. Env i ronm en tal P r otection A g en cy Office Divisio n Addr es s A TTN
. : EPA Per s onnel P l ease n o te th at p ursu a n t to reg u l atio n s lo catedat 4 0 C.F.R. P a rt 2 , Su b p a rt B , y o u are en titledto assert a b u sin e ss con f iden tiality claim cov e rin g any part of th e s u bm itted in f o rm ation as def i n e d in 40 C
. F.R
. § 2.201(c). A s s e rtin g a b u sin e ss co n f id en tiality claim d o e s n o t reliev e y o u f

r o m th e o b lig atio n to f u lly resp o n dto th is letter. Failure to assert su cha claim m a k e s th e su b m ittedin f o rm atio n su b

j ect to p u b lic d i sclo sure u p o n requ est an dw ith o ut f urth e r n o tice to y o u , purs u a n t to th e Freedom of In f o rm ation A c t, 5 U.S.C
. § 552. In f o rm ation s u bj ect to a bu s i n e s s con f iden tiality claim m a y b e av ailab l e to th e p u b lic o n ly to th e ex ten t set f o rth in th e ab o v e citedreg u l atio n . EP A h a s th e auth o r ity to u s e th e in f o rm atio n requ estedh e rein in an ad m i n i strativ e, civ il, o r crim in al actio n . In ad d itio n , EP A h a s n o t w a iv edany rig h t s to tak e en f o rcem en t actio n f

o r p a st o r f

uture v i o l atio n s . P l eas e be adv i s e d th at C o m pany N a m e h a s a co n tin u i n g o b lig atio n to su p p l em en t th eir an sw ers if ad d itio n a l o r d i f f e ren t in f o rm atio n is f o un d

. F a ilure to com p ly w ith th is letter m a y res u lt in en f o rcem en t action bein g tak e n in accordan ce w iths ection 113 of th e A c t, 42 U.S.C
. § 7413. T h is m a y in clu d e civ il an d adm i n i s trativ e pen a lties of u

p to $25,000 per day of


### 42n o n c om pl i a n ce, purs u a n t t o S ect i o n s 113(b)(2) an d 113(d) of th e A c t , 42 U
. S
. C
. §§ 7413(b)(2) an d 7413(d). In ad d itio n , th e su b m issio n o f k

n o w i n g l y f

a lse o r m i slead in g statem en ts m a y b e p un i sh edb y a f i n e p ursu a n t to T itle 1 8 of

th e U
. S
. C ode, or by i m pri s onm e n t f

o r n o t m o re th an tw o y ears , or both

. T h is letter in n o w a y af f ects y o ur o b lig atio n to co m p ly w itho th e r lo cal, State an df e d e ral law s an dreg u l atio n s . In ad d itio n , n o th in g in th is letter sh all b e co n s tru e dto b e a w a iv er b y EP A o f any rig h t s o r rem e d i es un d er th e Clean A i r Ac t
. If

y o u h a v e any qu es tion s , pleas e con t act EPA Per s onnel (

C

ouns el ) of m y

s t af f at phone num ber

. Sin cerely , Author iz ed EPA Per s onnel, Title Divisio n 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

### AP P E NDIX 9 - S I T E S A F E T Y P L AN F O R ON-S IT E ACT IVIT IE S On-site activities may ex pose g overnment personnel to processes involving ex tremely haz ardous substances. The OSHA Haz ardous W a ste Operations and Emerg e ncy Response Standard (29 C.F
. R. §1910.129) and EPA policies articulate certain safety planning efforts prior to field a c tivitie s. The f o llowing f o r

m a tis c onsiste nt with the s e r e quir e me nts. Ex te nsive tr a i ning an d certifications and further planning in the form of a more ex tensive Site Safety Plan, may be necessary in addition to the following plan. Stationary source: L e a d Auditor : Da te : Description of Activities: L o cation and approx imate siz e of stationary source: _______________________________________________________

______________

_______________________________________________________

______________ Description of tasks and activities to be performed by each of the auditors _______________________________________________________

______________

_______________________________________________________

______________

________________________________________________________

_____________Proposed date of onsite a c tivitie s be g i nning : Dur a tion of the planne d a c tivitie s:

Site topog raphy : _____________________________________________________________________

________

________________________________________________________________

_____________ Site accessibility by roads and air: ______________________________________________________________

_______________

______________________________________________________________

_______________ Haz a r d ous Subst a nc e s and He alt h Haz a r d s involve d or suspe c t e d att h e sit e F ill in any information that is known or suspected AR EAS OF C ONC ER N C H EMI C ALAND P HYS I C ALP R OP ER TI ES I D ENTI TY OF SUB S TANCE AND P R EC AUTI ONS Ex plosivity _________________________

_____

_________________________

_____ _____________________________

______

_____________________________

______

48

### ___________

___________

______ Radioactivity _________________________ _____________________________

_____ ______

_________________________ _____________________________

_____ ______ Ox yg en defi ci ency _________________________ _____________________________ (e.g ., confined _____ ______ spaces) _________________________ _____________________________

_____ ______ Tox i c g a ses _________________________ _____________________________

_____ ______

_________________________ _____________________________

_____ ______ S k i n/ey e cont act _________________________ _____________________________ haz ards _____ ______

_________________________ _____________________________

_____ ______ Heat stress _________________________ _____________________________

_____ ______

_________________________ _____________________________

_____ ______ Pathway s from site for _______________________________________________________ haz ardous substances _______________________________________________________ dispersion: ____________________________________________________________

49

### ____

__

___________

______

__________

__________

________________

______

__________

__________

_______________

_______________

_______________

______________

______________

___________

__________

___________

______________

_________________________________________________________________

__________ Work P l an Instructions: Recommended level of protection: (A) ______ (B ) ______ ©
Cartridg e ty pe if level C: Monitoring equipment _______________________________________________________ to be used: ____________________________________________________________ Accompanyi ng / ________________________________________________________ helping persons ________________________________________________________ (stationary source / contractors): ______________________________________________ Safety clothing / ________________________________________________________ equipment required ________________________________________________________ for those persons: ________________________________________________________ OSHA required training and ______________________________________________ certification (29 CF R § 1910.120) ______________________________________________ received by those persons ______________________________________________

F i e l d inve st igat ion and de c o nt am inat ion pr oc e dur e s : Decontamination procedures ____________________________________________________ (contaminated protective ____________________________________________________ clothing , instruments, _______________________________________________________ equipment, etc.) ________________________________________________________ Disposal procedures

_______________________________________________________ (contaminated equipment,

____________________________________________________ supplies, disposable items, washwater, etc.)

________________________________________________________ 50

### E m ergen cy Con t acts Hospital Phone No.: F a x : Emerg e ncy Medical Treatment Phone No.: F a x : Ambulance Phone No.: F a x : Hospital L o cation: ____________________________________________________________

_____________

_____________________________________________________________________

____ Police Phone No.: F i re Assistance Phone No.: Re g i ona l He a lth and Sa f e ty Of f i c e r ( o r position with similar dutie s) : P hon e:

51

### A ppe ndix 10 - SA M P LE IN SP EC TION IN F O R M A T ION M A TER IA L 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 g e neral sources of information that may or may not be present at the source. In spectors should consider additional sources of information bey ond this list, specific to the process being inspected. 1. F a c ility plot plan ( s ) showing ove r a ll lay out, spa c i ng of building s , stor a g e ar e a s , pr oc e ss ar e a s , traffic lanes and parking lots, and surrounding areas off site f o r

a

distan c e of one mile f r o m the facility ' s boundaries. Indicate the location of any sensitive receptors such as hospitals, nursing homes. 2. Process description and process chemistry using block ty pe process flow diag rams. 3. F i re control sy stems 4. Manufacturing area standard operating procedures (SOPs). 5. Inventory and location of on site emerg e ncy response equipment, such as vehicles, protective clothing , emerg e ncy lig hting (indoors and outdoors), respiratory protection equipment, decontamination materials, emerg e ncy medical equipment, and medical training /first aid ex pert i s e, em erg e ncy or st and by power capacity

. These items can merely be marked on the facility plot plan requested in #1 above. 6. L o cation of nearest public fire department, rescue/ambulance squad. 7. I f r a ilr oa d c h e mic a l tank c ar s and/or box c ar s ar e utilize d a tthe f a c ility , indic a t e ty pe of c ar s, contents, loading /unloading procedures, and car chemical/fire emerg e nce response SOP. 8. Public Ale rt Notif ic a tion sy ste m , f a c ility Eme r g e nc y Hot L i ne. 9. B r ief description of operator training prog rams and refresher courses. 10. L i sting of above g r ound and below g r ound chemical storag e facilities, capacities, ty pe of storag e container, storag e temperatures and pressures, special handling requirements, pl acardi ng and l a bel i n g , pumpi ng procedures and S O P , corrosi on control , non employ ee safety training

. 11. Spill prevention countermeasure control plan (SPCC or DPCC Plan) 12. B r ief description of monitoring equipment used to monitor operational parameters of chemical processing equipment, early warning upset/emerg ency alarm sy stems, emerg e ncy shut down devices, fail safe and interlock process controls.

52