United States Office of Solid Waste EPA 550-B-00-005 

Environmental Protection and March 2009 

Agency Emergency Response www.epa.gov/emergencies 

RISK MANAGEMENT 

PROGRAM GUIDANCE 

FOR 

CHEMICAL 

DISTRIBUTORS 

(40 PART CFR 68) 

Office of Emergency Management 

This document provides guidance to help owners and operators of stationary sources to 

determine if their processes are subject to regulation under section 112(r) of the Clean Air Act 

and 40 CFR part 68 and to comply with regulations. This document does not substitute for 

EPA’s regulations, nor is it a regulation itself. Thus, it cannot impose legally binding 

requirements on EPA, states, or the regulated community, and may not apply to a particular 

situation based upon circumstances. The guidance does not represent final agency action, and 

EPA may change it in the future, as appropriate. 
   

                                   

                           

      

FOR UPDATES

To keep up­to­date on changes to this document and to the risk management program rule, and to find

other information related to part 68 and accident prevention, visit EPA’s Office of Emergency

Management website at:

www.epa.gov/emergencies/rmp
TABLE OF CONTENTS 

INTRODUCTION 

CHAPTER 1 GENERAL APPLICABILITY 

1.1 Introduction 1-1
 

1.2 General Provisions 1-3
 

1.3 Regulated Substances and Thresholds 1-5
 

1.4 What is a Process 1-5
 

1.5 Threshold Quantity in a Process 1-8
 

1.6 Stationary Source 1-14
 

1.7 When Must You Comply 1-16
 

1.8 Varying Inventories and Predictive Filing 1-16
 

CHAPTER 2 APPLICABILITY OF PROGRAM LEVELS 

2.1 What Are Program Levels 2-1
 

2.2 Program 1 2-3
 

2.3 Quick Rules for Determining Program 1 Eligibility 2-8
 

2.4 Program 3 2-11
 

2.5 Program 2 2-12
 

2.6 Dealing with Program Levels 2-14
 

2.7 Summary of Program Requirements 2-16
 

CHAPTER 3 FIVE-YEAR ACCIDENT HISTORY 

3.1 What Accidents Must Be Reported 3-1
 

3.2 What Data Must Be Provided 3-1
 

3.3 Other Accident Reporting Requirements 3-9
 

CHAPTER 4 OFFSITE CONSEQUENCE ANALYSIS 

4.1 Worst-Case Release Scenarios 4-3
 

4.2 Alternative Scenarios 4-17
 

4.3 Buildings 4-30
 

4.4 Estimating Offsite Receptors 4-31
 

4.5 Documentation 4-34
 

Appendix 4A Technical Background for Chapter 4 4-37
 

CHAPTER 5 MANAGEMENT SYSTEM 

5.1 General Information (§ 68.15) 5-1
 

5.2 How to Meet the Management System Requirements 5-1
 
ii 

CHAPTER 6 PREVENTION PROGRAM (PROGRAM 2) 

6.1 About the Program 2 Prevention Program 6-1
 

6.2 Safety Information (§ 68.48) 6-2
 

6.3 Hazard Review (§ 68.50) 6-9
 

6.4 Operating Procedures (§ 68.52) 6-14
 

6.5 Training (§ 68.54) 6-18
 

6.6 Maintenance (§ 68.56) 6-20
 

6.7 Compliance Audits (§ 68.58) 6-22
 

6.8 Incident Investigation (§ 68.60) 6-24
 

6.9 Conclusion 6-27
 

Appendix 6A Comparison of RDP and Program 2 Prevention Elements 6-28
 

CHAPTER 7 PREVENTION PROGRAM (PROGRAM 3) 

7.1 Prevention Program 3 and OSHA PSM 7-1
 

7.2 Process Safety Information (§ 68.65) 7-3
 

7.3 Process Hazard Analysis (§ 68.67) 7-6
 

7.4 Operating Procedures (§ 68.69) 7-9
 

7.5 Training (§ 68.71) 7-10
 

7.6 Mechanical Integrity (§ 68.73) 7-10
 

7.7 Management of Change (§ 68.75) 7-11
 

7.8 Pre-Startup Review (§ 68.77) 7-12
 

7.9 Compliance Audits (§ 68.79) 7-13
 

7.10 Incident Investigation (§ 68.81) 7-13
 

7.11 Employee Participation (§ 68.83) 7-14
 

7.12 Hot Work Permits (§ 68.85) 7-15
 

7.13 Contractors (§ 68.87) 7-15
 

Appendix 7-A PHA Techniques 7-17
 

CHAPTER 8 EMERGENCY RESPONSE 

8.1 Non-Responding Sources (§ 68.90(b)) 8-1
 

8.2 Elements of an Emergency Response Program (§ 68.95) 8-2
 

8.3 Developing an Emergency Response Program 8-6
 

8.4 Integration of Existing Program 8-9
 

8.5 Am I Already in Compliance 8-9
 

8.6 Coordination with Local Emergency Planning Committees 8-12
 

Appendix 8A Comparison of Emergency Response Program and RDP 8-15
 

CHAPTER 9 RISK MANAGEMENT PLAN (Part 68, Subpart G) 

9.1 Elements of the RMP 9-1
 

9.2 RMP Submission 9-2
 

9.3 Issues Pertaining to Submission of and Access to Confidential Business Information and Trade
 

Secrets 9-3
 
iii 

9.4 Resubmission and Updates 9-4
 

CHAPTER 10 IMPLEMENTATION 

10.1 Implementing Agency 10-1
 

10.2 Reviews/Audits/Inspections (§ 68.220) 10-2
 

10.3 Relationship with Title V Permit Programs 10-4
 

10.4 Penalties for Non-Compliance 10-4
 

CHAPTER 11 COMMUNICATION WITH THE PUBLIC 

11.1 Basic Rules of Risk Communication 11-1
 

11.2 Sample Questions for Communicating with the Public 11-4
 

11.3 Communication Activities and Techniques 11-13
 

11.4 For More Information 11-19
 

APPENDICES 

APPENDIX A PART 68
 

APPENDIX B RESERVED
 

APPENDIX C TECHNICAL ASSISTANCE
 

APPENDIX D OSHA GUIDANCE ON PSM
 
iv 

LIST OF BOXES AND EXHIBITS
 

IN RMP GUIDANCE
 

LIST OF EXHIBITS 

CHAPTER 1 

Exhibit 1-1 Evaluate Facility to Identify Covered Processes 

Exhibit 1-2 Process 

Exhibit 1-3 Stationary Source 

CHAPTER 2 

Exhibit 2-1 Evaluate Program Levels for Covered Processes 

Exhibit 2-2 Program Level Criteria 

Exhibit 2-3 Develop Risk Management Program and RMP 

Exhibit 2-4 Comparison of Program Requirements 

CHAPTER 3 

Exhibit 3-1 Atmospheric Stability Classes 

CHAPTER 4 

Exhibit 4-1 Information Gathered from NACD Survey — Toxic Substances 

Exhibit 4-2 Information Gathered from NACD Survey — Flammable Substances 

Exhibit 4-3 Required Parameters for Modeling 

Exhibit 4-4 Worst-Case Scenario—Constants A1 and A2 for Toxic Gases 

Exhibit 4-5a Values of LFA, LFB, DF, and Vapor Pressure for Toxic Liquids 

Exhibit 4-5b Values of LFA, LFB, DF, and Vapor Pressure for Aqueous Solutions 

Exhibit 4-6 Temperature Correction Factors for Liquids Evaporating from Pools at Temperatures 

between 25oC and 50oC (77oF and 122oF) 

Exhibit 4-7a Worst-Case Scenario—Constants B1 and B2 for Toxic Liquids and Aqueous Solutions, 

10-Minute Release 

Exhibit 4-7b Worst-Case Scenario—Constants B1 and B2 for Toxic Liquids 60-Minute Release 

Exhibit 4-8a Alternative Case Scenario—Constants D1 and D2 for Toxic Gases 10-Minute Release 

Exhibit 4-8b Alternative Case Scenario—Constants D1 and D2 for Toxic Gases 60-Minute Release 

Exhibit 4-9a Alternative Case Scenario—Constants C1 and C2 for Toxic Liquids and Aqueous 

Solutions, 10-Minute Release 

Exhibit 4-9b Alternative Case Scenario—Constants C1 and C2 for Toxic Liquids 60-Minute Release 

Exhibit 4-10 Distance to LFL for Flammable Substances 

CHAPTER 5 

Exhibit 5-1 Sample Management Documentation 

CHAPTER 6 

Exhibit 6-1 Summary of Program 2 Prevention Program 

Exhibit 6-2 Safety Information Requirements 

Exhibit 6-3 Codes and Standards 
v 

Exhibit 6-4 Sample Safety Information Sheet 

Exhibit 6-5 Hazard Review Requirements 

Exhibit 6-6 Sample Checklist 

Exhibit 6-7 Operating Procedures Requirements 

Exhibit 6-8 Training Chart 

Exhibit 6-9 Maintenance Guidelines 

Exhibit 6-10 Sample Audit Checklist for Safety Information and Hazard Review 

Exhibit 6-11 Incident Investigation Requirements 

Exhibit 6-12 Sample Incident Investigation Format 

CHAPTER 7 

Exhibit 7-1 Comparable EPA and OSHA Terms 

Exhibit 7-2 Summary of Program 3 Prevention Program 

Exhibit 7-3 Process Safety Information Requirements 

Exhibit 7-4 Process Hazard Analysis Requirements 

Exhibit 7-5 Operating Procedures Requirements 

Exhibit 7-6 Mechanical Integrity Chart 

Exhibit 7-7 Management of Change Requirements 

Exhibit 7-8 Pre-startup Review Requirements 

Exhibit 7-9 Incident Investigation Requirements 

Exhibit 7-10 Employee Participation Requirements 

Exhibit 7-11 Hot Work Permits Requirements 

Exhibit 7-12 Contractors Chart 

Exhibit 7A-1 Applicability of PHA Techniques 

Exhibit 7A-2 Time and Staffing for PHA Techniques 

CHAPTER 8 

Exhibit 8-1 Federal Guidance on Emergency Planning and Response 

Exhibit 8-2 Federal Emergency Planning Regulations 

CHAPTER 9 

Exhibit 9-1 RMP Updates 

CHAPTER 11 

Exhibit 11-1 Seven Cardinal Rules of Risk Communication 

LIST OF BOXES 

INTRODUCTION 

State Programs 

What Is a Local Emergency Planning Committee? 

If You Are New to Regulations 
vi 

CHAPTER 1 

State Programs 

Qs and As: Stationary Source 

Aggregation of Substances 

Qs and As: Threshold Determination 

Qs and As: Threshold Determinations 

Q and A: Stationary Source 

Qs and As: Compliance Dates 

CHAPTER 2 

Q and A: Process and Program Level 

Qs and As: Public Receptors 

Q and A: Determining Distances 

Q and A: Environmental Receptors 

Qs and As: Accident History 

Qs and As: NAICS Codes 

Q and A: OSHA 

CHAPTER 3 

Q and A: Property Damage 

Qs and As: Accident History 

CHAPTER 4 

RMP*Comp 

How to Obtain Census Data and Landview 

How to Obtain USGS Maps 

CHAPTER 7 

Qs and As: Implementation and Process 

Qs and As: Process Safety Information 

Qs and As: Offsite Consequences 

CHAPTER 8 

What Is a Response?
 

What Is a Local Emergency Planning Committee?
 

How Does the Emergency Response Program Apply?
 

Planning for Flammable Substances
 

CHAPTER 9 

Q and A: Revising a PHA 

Qs and As: RMP Updates 

CHAPTER 10 

Qs and As: Delegation 

Qs and As: Audits 
vii 

CHAPTER 11 

What Does Your Worst-case Release Distance Mean?
 

What Does It Mean That We Could Be Exposed If We Live/Work/Shop/Go to School X Miles Away?
 

If There Is an Accident, Will Everyone Within That Distance Be Hurt? What about Property Damage?
 

How Sure Are You of Your Distances?
 

What Are You Doing to Prevent Releases?
 

What Are You Doing to Prepare for Releases?
 

Why Are Your Distances Different from the Distances in the EPA Lookup Tables?
 

How Likely Are the Worst-case and Alternative Release Scenarios?
 

Is the Worst-case Release You Reported Really the Worst Accident You Can Have?
 

What about the Accident at the [Name of Similar Facility] That Happened Last Month?
 

What Actions Have You Taken to Involve the Community in Your Accident Prevention and Emergency
 

Planning Efforts?
 

Can We See the Documentation You Keep on Site?
 
viii
 
ix 

TABLE OF POTENTIALLY REGULATED ENTITIES 

This table is not intended to be exhaustive, but rather provides a guide for readers 

regarding entities likely to be regulated under 40 CFR part 68. This table lists 

the types of entities that EPA is now aware could potentially be regulated by this 

rule and covered by this document. Other types of entities not listed in this table 

could also be affected. To determine whether your facility is covered by the risk 

management program rules in part 68, you should carefully examine the 

applicability criteria discussed in Chapter 1 of this guidance and in 40 CFR 

68.10, which is available in Appendix A of this document . If you have questions 

regarding the applicability of this rule to a particular entity, call the EPCRA/CAA 

Hotline at (800) 424-9346 (TDD: (800) 553-7672)(see Appendix C, Technical 

Assistance, for other sources of information). 

Category NAICS 

Codes 

SIC 

Codes 

Examples of Potentially Regulated 

Entities 

Chemical distributors 42269 5169 Chemical wholesalers 
INTRODUCTION 

WHY SHOULD I READ THIS GUIDANCE? 

If you handle, manufacture, use, or store any of the toxic and flammable substances 

listed in Appendix A above the specified threshold quantities in a process, you are 

required to develop and implement a risk management program rule issued by the 

U.S. Environmental Protection Agency (EPA). This rule, “Chemical Accident 

Prevention Provisions” (part 68 of Title 40 of the Code of Federal Regulations 

(CFR)), applies to a wide variety of facilities that handle, manufacture, store, or use 

toxic substances, including chlorine and ammonia and highly flammable substances 

such as propane; flammable substances used solely as fuels are not covered. This 

document provides guidance for chemical distributors on how to determine if you are 

subject to part 68 and how to comply with part 68. If you are subject to part 68, you 

must be in compliance no later than June 21, 1999, or the date on which you first 

have more than a threshold quantity in a process, whichever is later. 

The goal of part 68 — the risk management program — is to prevent accidental 

releases of substances that can cause serious harm to the public and the environment 

from short-term exposures and to mitigate the severity of releases that do occur. The 

1990 Amendments to the Clean Air Act (CAA) require EPA to issue a rule 

specifying the type of actions to be taken by facilities (referred to in the law as 

stationary sources) to prevent accidental releases of such hazardous chemicals into 

the atmosphere and reduce their potential impact on the public and the environment. 

Part 68 is that rule. 

In general, part 68 requires that: 

g Covered facilities must develop and implement a risk management program 

and maintain documentation of the program at the site. The risk 

management program will include an analysis of the potential offsite 

consequences of an accidental release, a five-year accident history, a release 

prevention program, and an emergency response program. 

g Covered facilities also must develop and submit a risk management plan 

(RMP), which includes registration information, to EPA no later than June 

21, 1999, or the date on which the facility first has more than a threshold 

quantity in a process, whichever is later. The RMP provides a summary of 

the risk management program. The RMP will be available to federal, state, 

and local government agencies and the public. 

g Covered facilities also must continue to implement the risk management 

program and update their RMPs periodically or when processes change, as 

required by the rule. 

The phrase "risk management program" refers to all of the requirements of part 68, 

which must be implemented on an on-going basis. The phrase "risk management 

plan (RMP)" refers to the document summarizing the risk management program that 

you must submit to EPA. 

May 8, 2000 
Introduction -iiHOW DO I USE THIS DOCUMENT? 

This document is a technical guidance designed for owners and operators of sources 

covered by part 68. It will help you to: 

g Determine if you are covered by the rule; 

g Determine what level of requirements is applicable to your covered 

process(es); 

g Understand what specific risk management program activities must be 

conducted; 

g Select a strategy for implementing a risk management program, based on 

your current state of compliance with other government rules and industry 

standards and the potential offsite impact of releases from your process(es); 

and 

g Understand the reporting, documentation, and risk communication 

components of the rule. 

This document provides guidance and reference materials to help you comply with 

EPA's risk management program regulations. Although it contains a considerable 

amount of information, you probably do not need to read much of this material 

before you start developing your risk management program. Instead, you should 

view this guidance as a reference document; when you are unsure about what a 

requirement means, you can turn to the appropriate section to obtain guidance. 

However, you should start by reading the following section. This document does not 

provide guidance on any other rule or part of the CAA. 

STATE PROGRAMS 

This guidance applies to 40 CFR part 68. You should check with your state government to determine 

if the state has its own accidental release prevention rules or has obtained delegation from EPA to 

implement and enforce part 68 in your state. State rules may be more stringent that EPA’s rules. 

They may cover more substances or cover the same substances at lower thresholds. They may also 

impose additional requirements. For example, California’s state program requires a seismic study. 

See Chapter 10 for information on state implementation of part 68. Unless your state has been 

granted delegation, you must comply with part 68 as described in this document even if your state has 

different rules under state law. 

WHAT DO I DO FIRST? 

Before developing a risk management program, you should do five things: 

(1) Determine which, if any, of your processes are covered by this program 

January 26, 1999 
-iii- Introduction 

Only sources with a threshold quantity of a regulated substance (see 

Appendix A) in a “process” need to comply with part 68. “Process” is 

defined by the rule in § 68.3 and does not necessarily correspond with an 

engineering concept of process. The requirements apply only to covered 

processes. process need to comply with part 68. See Chapter 1 for more 

information on how to define your processes and determine if they are 

subject to the rule. 

(2) Determine the appropriate program level for each covered process 

Depending on the specific characteristics of a covered process and the 

results of the offsite consequence analysis for that process, it may be subject 

to one of three different sets of requirements (called program levels). See 

Chapter 2 for more information. 

(3) Determine EPA's requirements for the facility and each covered process 

Certain requirements apply to the facility as a whole, while others are 

process-specific. See Chapter 2 for more information. 

(4) Assess your operations to identify current risk management activities 

Because you probably conduct some risk management activities already 

(e.g., employee training, equipment maintenance, and emergency planning), 

you should review your current operations to determine the extent to which 

they meet the provisions of this rule. EPA does not expect you to redo these 

activities if they already meet the rule's requirements. See Chapters 5 to 8 

individually for guidance on how to tell if your existing practices can meet 

those required by EPA. 

(5) Review the regulations and this guidance to develop a strategy for 

conducting the additional actions you need to take for each covered 

process. Discuss the requirements with management and staff. 

The risk management program takes an integrated approach to assessing and 

managing risks and will involve most of the operations of covered processes. 

Early involvement of both management and staff will help develop an 

effective program. 

Finally, keep in mind that many of these requirements are performance-based; that is, 

EPA is not specifying how often you must inspect storage tanks, only that you do so 

in a manner that minimizes the risk of a release. This allows you to tailor your 

program to fit the particular conditions at your facility. The degree of complexity 

required in a risk management program will depend on the complexity of the facility. 

For example, the operating procedures for a chemical distributor are likely to be 

relatively brief, while those for a chemical manufacturer will be extensive. 

Similarly, the length of training necessary to educate employees on such procedures 

would be proportional to the complexity of your operating procedures. And while a 

facility with complex processes may benefit from a computerized maintenance 

January 26, 1999 
Introduction -ivtracking system, a small facility with a simpler process may be able to track 

maintenance activities using a logbook. 

There is no one "right" way to develop and implement a risk management program. 

Even for the same rule elements, your program will be different from everyone else's 

program (even those in the same industry) because it will be designed for your 

specific situation and hazards — it will reflect whether your facility is near the 

public and sensitive environmental areas, the specific equipment you have installed, 

the managerial decisions that you have made previously, and other relevant factors. 

WHERE DO I GO FOR MORE INFORMATION? 

EPA’s risk management program requirements may be found in Part 68 of Volume 

40 of the Code of Federal Regulations. The relevant sections were published in the 

Federal Register on January 31, 1994 (59 FR 4478) and June 20, 1996 (61 FR 

31667). EPA has amended the rules several times. A consolidated copy of these 

regulations, including amendments through June 30, 1999, is available in Appendix 

A. On March 13, 2000, EPA finalized regulations to implement new rules excluding 

flammable substances when used as fuels or held for sale as fuel by retailers (65 FR 

13,243); a copy of this final rule is also available in Appendix A. 

EPA has worked with industry and local, state, and federal government agencies to 

assist sources in complying with these requirements. For more information, refer to 

Appendix C (Technical Assistance). Your local emergency planning committee 

(LEPC) also can be a valuable resource and can help you discuss issues with the 

public. 

Finally, if you have access to the Internet, EPA has made copies of the rules, fact 

sheets, and other related materials available (as described below) at the home page of 

EPA's Chemical Emergency Preparedness and Prevention Office 

(http://www.epa.gov/ceppo/). Please check the site regularly as additional materials 

are posted. 

May 8, 2000 
-v- Introduction 

WHAT IS A LOCAL EMERGENCY PLANNING COMMITTEE?

Local emergency planning committees (LEPCs) were formed under the Federal Emergency Planning 

and Community Right-to-Know Act (EPCRA) in 1986. The committees are designed to serve as a 

community forum for issues relating to preparedness for emergencies involving hazardous 

substances. They consist of representatives from local government, local industry, transportation 

groups, health and medical organizations, community groups, and the media. LEPCs: 

g Collect information from facilities on hazardous substances that pose a risk to the 

community; 

g Develop a contingency plan for the community based on this information; and 

g Make information on hazardous substances available to the general public. 

Contact the mayor's office or the county emergency management office for more information on your 

LEPC. 

May 8, 2000 
Introduction -viIF YOU ARE NEW TO REGULATIONS

We have tried to make this document as clear and readable as possible, but if you have rarely dealt 

with regulations before, some of the language may seem initially odd and confusing. All regulations 

have their own vocabulary. A few words and phrases have very specific meanings within the 

regulation. Some of these are unusual, which is to say they are not used in everyday language. 

Others are defined by the rule in ways that vary to some degree from their everyday meaning. The 

following are the major regulatory terms used in this document and a brief introduction to their 

meaning within the context of part 68. They are defined in § 68.3 of the rule. 

“Stationary source” basically means facility. The CAA and, thus Part 68 use the term “stationary 

source” and we explain it in Chapter 1. Generally, we use “facility” in its place in this document. 

“Process” is given a broad meaning in this rule and document. Most people think of a process as the 

mixing or reacting of chemicals. Its meaning under this rule is much broader. It basically means any 

equipment, including storage vessels, and activities, such as loading, that involve a regulated 

substance and could lead to an accidental release. Chapter 1 discusses the definition of process 

under this rule in detail. 

“Regulated substance” means one of the 140 chemicals listed in part 68. 

“Threshold quantity” means the quantity, in pounds, of a regulated substance which, if exceeded, 

triggers coverage by this rule. Each regulated substance has its own threshold quantity. If you have 

more than a threshold quantity of a regulated substance in a process, you must comply with the rule. 

Chapter 1 explains how to determine whether you have a threshold quantity. 

“Vessel” means any container, from a single drum or pipe to a large storage tank or sphere. 

“Public receptor” generally means any place where people live, work, or gather, with the exception 

of roads. Buildings, such as houses, shops, office buildings, industrial facilities, the areas 

surrounding buildings where people are likely to be present, such as yards and parking lots, and 

recreational areas, such as parks, sports arenas, rivers, lakes, beaches, are considered public 

receptors. Chapter 2 discusses public receptors. 

“Environmental receptor” means a limited number of natural areas that are officially designated by 

the state or federal government. Chapter 2 discusses this definition. 

May 8, 2000 
CHAPTER 1: GENERAL APPLICABILITY 

1.1 INTRODUCTION 

The purpose of this chapter is to help you determine if you are subject to Part 68, the 

risk management program rule. Part 68 covers you if you are: 

g The owner or operator of a stationary source 

g That has more than a threshold quantity 

g Of a regulated substance 

g In a process. 

The goal of this chapter is to make it easy for you to identify processes that are 

covered by this rule so you can focus on them. 

This chapter walks you through the key decision points (rather than the definition 

items above), starting with those provisions that may tell you that you are not subject 

to the rule. We first outline the general applicability provisions and the few 

exemptions and exclusions, then discuss which chemicals are "regulated substances." 

If you do not have a "regulated substance" at your site, you are not covered by this 

rule. The exemptions may exclude you from the rule or simply exclude certain 

activities from consideration. (Throughout this document, when we say "rule" we 

mean the regulations in part 68.) 

We then describe what is considered a "process," which is critical because you are 

subject to the rule only if you have more than a threshold quantity in a process. The 

chapter next describes how to determine whether you have more than a threshold 

quantity. 

Finally, we discuss how you define your overall stationary source and when you 

must comply. These questions are important once you have decided that you are 

covered. For most facilities covered by this rule, the stationary source is basically all 

covered processes at your site. If your facility is part of a site with other divisions of 

your company or other companies, the discussion of stationary source will help you 

understand what you are responsible for in your compliance and reporting. Exhibit 

1-1 presents the decision process for determining applicability. 

STATE PROGRAMS 

This guidance applies to only 40 CFR part 68. You should check with your state government to 

determine if the state has its own accidental release prevention rules or has obtained delegation from 

EPA to implement and enforce part 68 in your state. State rules may be more stringent than EPA’s 

rules. Unless your state has been granted delegation, you must comply with part 68 as described in 

this document even if your state has different rules under state law. See Chapter 10 for a discussion 

of state implementation of part 68. 

January 26, 1999 
EXHIBIT 1-1

EVALUATE FACILITY TO IDENTIFY COVERED PROCESSES

No 

No 

Do you have 

any regulated 

substances? 

Yes 

Is your facility 

a stationary 

source? 

Yes 

STOP! 

You are not covered 

by the rule. 

Define your 

processes 

Yes 

Do you have any 

regulated substances 

above a threshold quantity 

in a process? 

Yes 

No 

You are subject 

to the rule. 

Assign Program levels to

covered processes

(see Exhibit 2-1)
Chapter 1 

1-3 General Applicability 

1.2 GENERAL PROVISIONS 

The CAA applies this rule to any person who owns or operates a stationary source. 

"Person" is defined to include 

"An individual, corporation, partnership, association, State, municipality, political 

subdivision of a state, and any agency, department, or instrumentality of the United 

States and any officer, agency, or employee thereof." 

The rule, therefore, applies to all levels of government as well as private businesses. 

CAA section 112(r)(2)(c) defines "stationary sources" as: 

"Any buildings, structures, equipment, installations, or substance emitting stationary 

activities 

g Which belong to the same industrial group, 

g Which are located on one or more contiguous properties, 

g Which are under the control of the same person (or persons under common 

control), and 

g From which an accidental release may occur." 

EPA has added some language in the rule to clarify issues related to transportation 

(see below). 

FARMS 

The rule has only one exemption: for ammonia when held by a farmer for use on a 

farm. This exemption applies to ammonia only when used as a fertilizer by a farmer. 

It does not apply to agricultural suppliers or the fertilizer manufacturer. It does not 

apply to farm cooperatives or to groups of farmers who buy, use, and sell ammonia. 

FLAMMABLE FUELS (§ 68.126) 

The flammable substances listed in § 68.130 are excluded from coverage under part 

68 when they are used as a fuel or held for sale as a fuel at a retail facility. A retail 

facility is defined as a stationary source at which more than half of the income is 

obtained from direct sales to end users or at which more than one-half of the fuel 

sold, by volume, is sold through a cylinder exchange program. 

Unless your facility meets the definition of a “retail facility,” if you hold a listed 

flammable substance for purposes other than on-site use as fuel, you are potentially 

covered by part 68. For example, if you store a listed flammable fuel in bulk for sale 

and do not meet the definition of a retail facility, you may be covered by the rule. If 

you store a listed flammable substance for non-fuel use and also use some of it onsite as a fuel, the quantity used as a fuel is not covered; the quantity not used on site 

May 8, 2000 
Chapter 1 

General Applicability 1-4 

as a fuel is potentially subject to the rule. If you are a retailer who sells a flammable 

fuel and a listed toxic substance, the toxic substance is potentially subject to the rule, 

but the flammable substance is excluded from coverage. 

TRANSPORTATION ACTIVITIES 

The rule applies only to stationary sources. Pipelines covered by DOT or under a 

state natural gas or hazardous liquid program for which the state has in effect a 

certification to DOT under 49 U.S.C. 6010.5 are not covered. Piping at your source, 

however, is covered. 

Transportation containers used for storage not incident to transportation and 

transportation containers connected to equipment at a stationary source are 

considered part of the stationary source. Transportation containers that have been 

unhooked from the motive power that delivered them to the site (e.g., truck or 

locomotive) and left on your site for short-term or long-term storage are part of your 

stationary source. For example, if you have railcars on a private siding that you use 

as storage tanks until you are ready to hook them to your process, these railcars 

should be considered to be part of your source. If a tank truck is being unloaded and 

the motive power is still attached, the truck and its contents are considered to be in 

transportation and not covered by the rule. You should count only the substances in 

the piping or hosing as well as quantity unloaded. Some issues related to 

transportation are still under discussion with DOT. 

QS & AS

STATIONARY SOURCE

Q. What does “same industrial group” mean? 

A. Operations at a site that belong to the same three-digit North American Industry Classification 

System (NAICS) code (which has replaced the old two-digit SIC codes) belong to the “same 

industrial group. In addition, where one or more operations at the site serve primarily as support 

facilities for the main operation at the site, the supporting operations are part of the “same industrial 

group” as the main operation. 

Q. What does “contiguous property” mean? 

A. Property that is adjoining. Public rights-of-way (e.g., railroads, highways) do not prevent property 

from being considered contiguous. Property connected only by rights-of-way are not considered 

contiguous (e.g., two plants with a connecting pipeline). 

Q. What does “control of the same person” mean? 

A. Control of the same person refers to corporate control, not site management. If two divisions of a 

corporation operate at the same site, even if each operation is managed separately, they will count as 

one source provided the other criteria are met because they are under control of the same company. 

May 8, 2000 
Chapter 1 

1-5 General Applicability 

RELATIONSHIP TO OSHA PROCESS SAFETY MANAGEMENT STANDARD 

EXEMPTIONS 

The OSHA Process Safety Management (PSM) standard (29 CFR 1910.119) 

exempts flammable liquids stored in atmospheric storage tanks. The OSHA 

exemptions do not apply or extend to EPA's Risk Management Program Rule. Your 

processes are not exempt from the Risk Management Program simply because they 

qualify for one of the OSHA exemptions. EPA’s rule covers substances stored in 

atmospheric storage tanks. 

1.3 REGULATED SUBSTANCES AND THRESHOLDS 

The list of substances regulated under § 68.130 is in Appendix A. Check the list 

carefully. If you do not have any of these substances (either as pure substances or in 

mixtures above 1 percent concentration) or do not have them above their listed 

threshold quantities, you do not need to read any further. 

The list includes 77 chemicals that were listed because they are acutely toxic; they 

can cause serious health effects or death from short-term exposures. The list also 

covers 63 flammable gases and highly volatile flammable liquids. The flammable 

chemicals have the potential to form vapor clouds and explode or burn if released. 

The rule also covers flammable mixtures that include any of the listed flammables if 

the mixture meets the criteria for the National Fire Protection Association's (NFPA) 

4 rating. 

1.4 WHAT IS A PROCESS 

The concept of "process" is key to whether you are subject to this rule. Process is 

defined as: 

"Any activity involving a regulated substance, including any use, storage, 

manufacturing, handling or on-site movement of such substances or any combination 

of these activities. For the purposes of this definition, any group of vessels that are 

interconnected, or separate vessels that are located such that a regulated substance 

could be involved in a potential release shall be considered a single process." 

"Vessel" means a reactor, tank, drum, barrel, cylinder, vat, kettle, boiler, pipe, hose, 

or other container. 

The definition of process is identical to the definition of process under the OSHA 

PSM standard. It is important in determining whether you have a threshold quantity 

of a regulated substance and what the level of requirements you must meet if the 

process is covered. 

What does this mean to you? 

g If you store a regulated substance in a single vessel in quantities above the 

threshold quantity, you are covered. 

May 8, 2000 
Chapter 1 

General Applicability 1-6 

g If you have interconnected vessels that altogether hold more than a threshold 

quantity, you are covered. The connections need not be permanent. If two 

or more vessels are connected occasionally, they are considered a single 

process for the purposes of determining whether a threshold quantity is 

present. 

g If you have multiple unconnected vessels, containing the same substance, 

you will have to determine whether they need to be considered together. 

SINGLE VESSELS 

If you have only a single vessel with regulated substances, you need not worry about 

the other possibilities for defining a process and can skip to the section 1.5. For the 

purposes of defining a threshold quantity, you need only consider the quantity in this 

vessel. 

INTERCONNECTED VESSELS 

In general, if you have two or more vessels that contain a regulated substance and are 

connected through piping or hoses for the transfer of the regulated substance, you 

must consider the total quantity in all the connected vessels and piping when 

determining if you have a threshold quantity in a process. If the vessels are 

connected for transfer of the substance using hoses that are then removed, you still 

have to consider the contents of the vessels as one process, because if one vessel 

were to rupture while the hose was attached or the hose were to break during the 

transfer, you could lose the total quantity in both tanks. Therefore, you must count 

the quantities in both tanks and in any connecting piping or hoses. You cannot 

consider the presence of automatic shutoff valves or other devices that can limit 

flow, because these are assumed to fail for the purpose of determining the total 

quantity in a process. 

In cases where vessels are connected over great distances, such as in a large refinery 

or multi-unit chemical plant, determining whether the vessels constitute a single 

process for purposes of the RMP rule may be more complicated. In the preamble to 

the rule, EPA clearly stated its intent to be consistent with OSHA’s interpretation of 

“process” as that term is used in OSHA’s PSM rule. Therefore, if your facility is 

subject to the PSM rule, the limits of your process(es) for purposes of OSHA PSM 

will be the limits of your process(es) for purposes of RMP (except in cases involving 

atmospheric storage tanks, which are exempt from PSM but not RMP). If your 

facility is not covered by OSHA PSM and is complicated from an engineering 

perspective, you should consider contacting your implementing agency for advice on 

determining process boundaries. EPA intends to publish further guidance on this 

issue. 

CO-LOCATION 

The third possibility you must consider is whether you have separate vessels that 

contain the same regulated substance that are located such that they could be 

January 26, 1999 
Chapter 1 

1-7 General Applicability 

involved in a single release. If so, you must add together the total quantity in all 

such vessels to determine if you have more than a threshold quantity. This 

possibility will be particularly important if you store a regulated substance in 

cylinders or barrels or other containers in a warehouse or outside in a rack. In some 

cases, you may have two vessels or systems that are in the same building or room. 

For each of these cases, you should ask yourself: 

g Would a release from one of the containers lead to a release from the other? 

For example, if a cylinder of propane were to rupture and burn, would the 

fire spread to other cylinders? 

g Would an event external to the containers, such as a fire or explosion, have 

the potential to release the regulated substance from multiple containers? 

You must determine whether there is a credible scenario that could lead to a release 

of a threshold quantity. 

For flammables, you should consider the distance between vessels. If a fire could 

spread from one vessel to others or an explosion could rupture multiple vessels, you 

must count all of them. For toxics, a release from a single vessel will not normally 

lead to a release from others unless the vessel fails catastrophically and explodes, 

sending metal fragments into other vessels. Co-located vessels containing toxic 

substances, however, may well be involved in a release caused by a fire or explosion 

that occurs from another source. The definition of process is predicated on the 

assumption that explosion will take place. In addition, a collapse of storage racks 

could lead to multiple vessels breaking open. 

If the vessels are separated by fire walls or barricades that will contain the blast 

waves from explosions of the substances, you will not need to count the separated 

vessels, but you would count any that are in the same room. 

You may not dismiss the possibility of a fire spreading based on an assumption that 

the fire department will be able to prevent any spread. You should ask yourself how 

far the fire would spread if the worst happens — the fire department is slow to 

arrive, the water supply fails, or the fire department decides it is safer to let the fire 

burn itself out. If you have vessels that, when taken together, could release more 

than a threshold quantity in such worst-case circumstances, you should count them as 

a single process. 

PROCESSES WITH MULTIPLE CHEMICALS 

When you are determining whether you have a covered process, you should not limit 

your consideration to units that have the same regulated substance. A covered 

process includes any units that hold more than a threshold quantity of regulated 

substances and that are interconnected or co-located. Therefore, if you have four 

storage or reactor vessels holding four different regulated substances above their 

individual thresholds and they are located close enough to be involved in a single 

event, they are considered a single process. One implication of this approach is that 

if you have two vessels, each containing slightly less than a threshold quantity of the 

January 26, 1999 
Chapter 1 

General Applicability 1-8 

same regulated substance and located a considerable distance apart, and you have 

other storage or process vessels in between with other regulated substances above 

their thresholds, the vessels with the first substance may be part of the process 

involving the other vessels and other regulated substances, based on co-location. 

Exhibit 1-2 provides illustrations of what may be defined as a process. 

DIFFERENCES WITH OSHA 

OSHA aggregates different flammable liquids across vessels in making threshold 

determinations; OSHA also aggregates different flammable gases (but does not 

aggregate flammable liquids with flammable gases); EPA aggregates neither. 

Therefore, if you have three co-located or connected reactor vessels each containing 

5,000 pounds of a different flammable liquid, OSHA considers that you have 15,000 

pounds of flammable liquids and are covered by the PSM standard. Under EPA's 

rule, you would not have a covered process because you do not meet the threshold 

quantity for any one of the three substances. OSHA, like EPA, does not aggregate 

quantities for toxics as a class (i.e., each toxic substance must meet its own threshold 

quantity). 

WAREHOUSES AS A SINGLE PROCESS 

Because warehouses usually consist of one large storage area, even if subdivided, 

and because you are likely to have the same prevention practices for the entire 

warehouse, you should generally consider the warehouse building a single process. 

If you store chemicals outside the warehouse, they may be considered a separate 

process. The issue you will have to decide is whether you have more than a 

threshold quantity of a regulated substance to determine whether your warehouse 

building is a covered process. Co-location, discussed above, will probably be the 

key issue in determining whether your warehouse is a covered process and, if so, 

which chemicals must be included in your risk management program. 

1.5 THRESHOLD QUANTITY IN A PROCESS 

The threshold quantity for each regulated substance is listed in Appendix A. You 

should determine whether the maximum quantity of each substance in a process is 

greater than the threshold quantity listed. If it is, you must comply with this rule for 

that process. Even if you are not covered by this rule, you may still be subject to 

reporting requirements under the Emergency Planning and Community Right to 

Know Act (EPCRA). 

January 26, 1999 
EXHIBIT 1-2: PROCESS

Schematic Representation Description Interpretation 

1 vessel 

1 regulated substance above TQ 1 process 

2 or more connected vessels 

same regulated substance 

above TQ 1 process 

2 or more connected vessels 

different regulated substances 

each above TQ 1 process 

pipeline feeding multiple vessels 

total above TQ 1 process 

2 or more vessels co-located 

same substance 

total above TQ 1 process 

2 or more vessels co-located 

different substances 

each above TQ 1 process 

Flammable 

2 vessels, located so they won't be 

involved in a single release 

same or different substances 

each above TQ 

2 locations with regulated substances 

each above TQ 

1 series of interconnected vessels 

same or different substances above TQs 

plus a co-located storage vessel 

containing flammables 

2 processes 

1 or 2 processes 

depending on distance 

1 process 
Chapter 1 

General Applicability 1-10 

QUANTITY IN A VESSEL 

To determine if you have the threshold quantity of a regulated substance in a vessel 

involved in a single process, you need to consider the maximum quantity in that 

vessel at any one time. You do not need to consider the vessel's maximum capacity if 

you never fill it to that level. Base your decision on the actual maximum quantity 

that you may have in the vessel. Your maximum quantity may be more than 

your normal operating maximum quantity; for example, if you may use a vessel for 

emergency storage, the maximum quantity should be based on the quantity that 

might be stored. 

"At any one time" means you need to consider the largest quantity that you ever have 

in the vessel. If you fill a tank with 50,000 pounds and immediately begin using the 

substance and depleting the contents, your maximum is 50,000 pounds. 

AGGREGATION OF SUBSTANCES 

A toxic substance is never aggregated with a different toxic substance to determine whether a 

threshold quantity is present. If your process consists of co-located vessels with different toxic 

substances, you must determine whether each substance exceeds its threshold quantity. 

A flammable substance in one vessel is never aggregated with a different flammable substance in 

another vessel to determine whether a threshold quantity is present. However, if a flammable 

mixture meets the criteria for NFPA-4 and contains different regulated flammables, it is the mixture, 

not the individual substances, that is considered in determining if a threshold quantity is present. 

If you fill the vessel four times a year, your maximum is still 50,000 pounds. 

Throughput is not considered because the rule is concerned about the maximum 

quantity you could release in a single event. 

QUANTITY IN A PIPELINE 

The maximum quantity in a pipeline will generally be the capacity of the pipeline 

(volume). In most cases, pipeline quantity will be calculated and added to the 

interconnected vessels. 

INTERCONNECTED/CO-LOCATED VESSELS 

If your process consists of two or more interconnected vessels, you must determine 

the maximum quantity for each vessel and the connecting pipes or hoses. The 

maximum for each individual vessel and pipe is added together to determine the 

maximum for the process. 

January 26, 1999 
Chapter 1 

1-11 General Applicability 

If you have determined that you must consider co-located containers as one process, 

you must determine the maximum quantity for each container and sum the quantities 

of all such containers. 

QUANTITY OF A SUBSTANCE IN A MIXTURE 

TOXICS WITH LISTED CONCENTRATION 

Four toxic substances have listed concentrations in the rule: hydrochloric acid — 37 

percent or greater; hydrofluoric acid — 50 percent or greater; nitric acid — 80 

percent or greater; and ammonia — 20 percent or greater. 

g If you have these substances in solution and their concentration is less that 

the listed concentration, you do not need to consider them at all. 

Qs and As

THRESHOLD DETERMINATION

Q. How far apart do containers have to be to be considered different processes? 

A. There is no hard and fast rule for how great this distance should be before you do not need to 

consider the vessels as part of one process. Two containers at opposite ends of a large warehouse 

room might have to be considered as one process if the entire warehouse or room could be engulfed in 

a fire. Two containers separated by the same distance out of doors might be far enough apart that a 

fire affecting one would be unlikely to spread to the other. You may want to consult with your local 

fire department. You should then use your best professional judgment. Ask yourself how much of 

the regulated substance could be released if the worst happens (you have a major fire, an explosion, a 

natural disaster). 

Q. If I have more than 10,000 pounds of several different flammable liquids stored in the same area, 

but no single one is above the threshold quantity, am I covered? 

A. No. You must have more than a threshold quantity (10,000 pounds for flammables) of a regulated 

substance, or more than a threshold quantity of an NFPA-4 flammable mixture containing a regulated 

substance. Different regulated flammables in separate vessels are not aggregated. Note that this is 

different from OSHA’s approach under OSHA PSM, where flammable liquids are aggregated. 

g If you have one of these four above their listed concentration, you must 

determine the weight of the substance in the solution and use that to 

calculate the quantity present. If that quantity is greater than the threshold, 

the process is covered. For example, aqueous ammonia is covered at 

concentrations above 20 percent, with a threshold quantity of 20,000 pounds. 

January 26, 1999 
Chapter 1 

General Applicability 1-12 

If the solution is 25 percent ammonia, you would need 80,000 pounds of the 

solution to meet the threshold quantity; if the solution is 44 percent 

ammonia, you would need 45,455 pounds to meet the threshold quantity 

(quantity of mixture x percentage of regulated substance = quantity of 

regulated substance). 

Note that in a revision to part 68, EPA changed the concentration for hydrochloric 

acid to 37 percent or greater (see Appendix A). 

TOXICS WITHOUT A LISTED CONCENTRATION 

For toxics without a listed concentration, if the concentration is less than one percent 

you need not consider the quantity in your threshold determination. If the 

concentration in a mixture is above one percent, you must calculate the weight of the 

regulated substance in the mixture and use that weight to determine whether a 

threshold quantity is present. However, if you can measure or estimate (and 

document) that the partial pressure of the regulated substance in the mixture is less 

than 10 mm Hg, you do not need to consider the mixture. Note that the partial 

pressure rule does not apply to toluene diisocyanate (2-4, 2-6, or mixed isomers) or 

oleum. 

EPA treats toxic mixtures differently from OSHA. Under the OSHA PSM standard, 

the entire weight of the mixture is counted toward the threshold quantity; under part 

68, only the weight of the toxic substance is counted. 

FLAMMABLES 

Flammable mixtures are subject to the rule only if there is a regulated substance in 

the mixture above one percent and the entire mixture meets the NFPA-4 criteria. If 

the mixture meets both of these criteria, you must use the weight of the entire 

mixture (not just the listed substance) to determine if you exceed the threshold 

quantity. The NFPA-4 definition is as follows: 

"Materials that will rapidly or completely vaporize at atmospheric pressure and 

normal ambient temperature or that are readily dispersed in air, and that will burn 

readily. This degree usually includes: 

FLAMMABLE GASES 

Flammable cryogenic materials 

Any liquid or gaseous material that is liquid while under pressure and has a flash 

point below 73 F (22.8 C) and a boiling point below 100 F (37.8 C) (i.e., Class 1A 

flammable liquids) 

Materials that will spontaneously ignite when exposed to air." 

January 26, 1999
Chapter 1 

1-13 General Applicability 

You do not need to consider gasoline, when in distribution or related storage for use 

as fuel for internal combustion engines when you determine the applicability of the 

rule. 

EXCLUSIONS 

The rule has a number of exclusions that allow you to ignore certain sources that 

contain a regulated substance when you determine whether a threshold quantity is 

present. Note that these same exclusions apply to EPCRA section 313; you may be 

familiar with them if you comply with that provision. 

ARTICLES (68.115(B)(4)) 

You do not need to include in your threshold calculations any manufactured item (as 

defined under 29 CFR 1910.1200(b)) that: 

g Is formed to a specific shape or design during manufacture, 

g Has end use functions dependent in whole or in part upon the shape or 

design during end use, and 

g Does not release or otherwise result in exposure to a regulated substance 

under normal conditions of processing and use. 

Qs and As

THRESHOLD DETERMINATIONS

Q. I have a mixture containing 9,000 pounds of butane and 1,001 pounds of water in a process. The 

mixture meets the criteria for a National Fire Protection Association flammability rating of 4 (NFPA 

4). Is this process covered under the RMP regulations? 

A. Yes. The entire weight of a mixture containing a regulated flammable substance must be counted 

for threshold determination if the mixture itself meets the NFPA 4 criteria. 

Q. I store consumer products in my warehouse, including hair spray and lighters. Do I need to 

consider the butane in these products or are they considered articles? 

A. Listed flammable substances are excluded from coverage only if they are used as a fuel. In this 

case, butane is not being used as a fuel (i.e., it is not being burned to produce heat or power). As 

long as the butane is released from the product in normal use, you must estimate the amount of the 

regulated substance present. If the butane is mixed with the product, you should determine whether 

the product itself meets the criteria for NFPA 4. If the mixture does not meet the NFPA 4 criteria, 

the butane in the mixture is not counted toward the threshold. 

May 8, 2000 
Chapter 1 

General Applicability 1-14 

USES (68.115(B)(5)) 

You also do not need to include regulated substances in your calculation when in use 

for the following purposes: 

g Use as a structural component of the stationary source; 

g Use of products for routine janitorial maintenance; 

g Use by employees of foods, drugs, cosmetics, or other personal items 

containing the regulated substances; and 

g Use of regulated substances present in process water or non-contact cooling 

water as drawn from the environment or municipal sources, or use of 

regulated substances present in air used either as compressed air or as part of 

combustion. 

ACTIVITIES IN LABORATORIES (68.115(B)(6)) 

If a regulated substance is manufactured, processed, or used in a laboratory at a 

stationary source under the supervision of a technically qualified individual (as 

defined by § 720.3 (ee) of 40 CFR), the quantity of the substance need not be 

considered in determining whether a threshold quantity is present. This exclusion 

does not extend to: 

g Specialty chemical production; 

g Manufacture, processing, or use of substances in pilot plant scale operations; 

and 

g Activities conducted outside the laboratory. 

This exclusion is unlikely to apply to chemical distributors. 

1.6 STATIONARY SOURCE 

The rule applies to "stationary sources" and each stationary source with one or more 

covered processes must file an RMP that includes all covered processes. 

SIMPLE SOURCES 

For most facilities covered by this rule, determining what constitutes a “stationary 

source” is simple. If you own or lease a property, your processes are contained 

within the property boundary, and no other companies operate on the property, then 

your stationary source is defined by the property boundary and covers any process 

within the boundaries that has more than a threshold quantity of a regulated 

substance. You must comply with the rule and file a single RMP for all covered 

processes. 

January 26, 1999 
Chapter 1 

1-15 General Applicability 

MULTIPLE OPERATIONS OWNED BY A SINGLE COMPANY 

If the property is owned or leased by your company, but several separate operating 

divisions of the company have processes at the site, the divisions’ processes may be 

considered a single stationary source because they are controlled by a single 

company. Two factors will determine if the processes are to be considered a single 

source: Are the processes located on one or more contiguous properties? Are all of 

the operations in the same industrial group? 

If your company does have multiple operations that are on the same property and are 

in the same industrial group, each operating division may develop its prevention 

program separately for its covered processes, but you must file a single RMP for all 

covered processes at the site. You should note that this is different from the 

requirements for filing under CAA Title V and EPCRA section 313 (the annual toxic 

release inventory), where each division could file separately if your company chose 

to do so. 

OTHER SOURCES 

There are situations where two or more separate companies occupy the same site. 

The simplest of these cases is if multiple companies lease land at a site (e.g., an 

industrial park). Each company that has covered processes must file an RMP that 

includes information on its own covered processes at the site. You are responsible 

for filing an RMP for any operations that you own or operate. 

Another possibility is that one company owns the land and operates there while 

leasing part of the site to a second company. If both companies have covered 

processes, each is considered a separate stationary source and must file separate 

RMPs even if they have contractual relationships, such as supplying product to each 

other or sharing emergency response functions. 

If you and another company jointly own a site, but have separate operations at the 

site, you each must file separate RMPs for your covered processes. Ownership of 

the land is not relevant; a stationary source consists of covered processes located on 

the same property and controlled by a single owner. 

JOINT VENTURES 

You and another company may jointly own covered processes. In this case, the legal 

entity you have established to operate these processes should file the RMP. If you 

consider this entity a subsidiary, you should be listed as the parent company in the 

RMP. 

MULTIPLE LOCATIONS 

If you have multiple operations in the same area, but they are not on physically 

connected land, you must consider them separate stationary sources and file separate 

RMPs for each, even if the sites are connected by pipelines that move chemicals 

January 26, 1999 
Chapter 1 

General Applicability 1-16 

among the sites. Remember, the rule applies to covered processes at a single 

location. 

Exhibit 1-3 provides examples of stationary source decisions. 

1.7 WHEN MUST YOU COMPLY 

If you had a covered process prior to June 21, 1999, you must comply with the 

requirements of part 68 no later than June 21, 1999. This means that whenever a 

process starts prior to June 21, 1999, you must be in compliance with the rule on 

June 21, 1999. You must have developed and implemented all of the elements of the 

rule that apply to each of your covered processes, and you must have submitted an 

RMP to EPA. 

If the first time you have a covered process is after June 21, 1999, or you bring a new 

process on line after that date, you must comply with part 68 no later than the date on 

which you first have a more than a threshold quantity of a regulated substance in a 

process. 

Q & A

STATIONARY SOURCE

Q. If I lease space in another building and store regulated substances there, must I file a separate 

RMP for them? 

A. Yes, if the other building is a separate stationary source (i.e., it is not contiguous to the property 

where your other processes are) you must file a separate RMP. 

1.8 VARYING INVENTORIES AND PREDICTIVE FILING 

As a chemical distributor, the main problem you are likely to face as you determine 

whether you are covered by this rule is that your inventory changes frequently. 

There may be periods when you have no regulated substances and other periods 

when you have several. Determining your applicability under this rule on a day-today basis may be difficult, and in some cases, impossible. One way to deal with this 

difficulty is to use predictive filing. 

Predictive filing is an option that allows you to submit an RMP that includes 

regulated substances that may not be held at the facility at the time of submission. 

This option is intended to assist facilities such as chemical warehouses, chemical 

distributors, and batch processors whose operations involve highly variable types 

and quantities of regulated substances, but who are able to forecast their inventory 

with some degree of accuracy. Under § 68.190, you are required to update and resubmit your RMP no later than the date on which a new regulated substance is first 

present in a covered process above a threshold quantity. By using predictive filing, 

you will not be required to update and re-submit your RMP when you receive a new 

regulated substance if that substance was included in your latest RMP submission (as 

January 26, 1999 
Chapter 1 

1-17 General Applicability 

long as you receive it in a quantity that does not trigger a revised offsite consequence 

analysis as provided in § 68.36). 

To use predictive filing, review your inventories over the past several years and talk 

with your main customers to determine, to the extent possible, the kinds of materials 

they are planning to buy from you. If at some point during a year you normally 

receive enough vessels (drums, barrels, cylinders) to exceed a threshold quantity of a 

particular substance, list it on your registration in June 1999 even if you do not have 

it on the day you submit. If it appears, over time, that your customers will not be 

buying the substance again, you can deregister it later. In the short run, you will be 

safer listing too many substances, than too few, because this approach will limit the 

need to resubmit your RMP every time your inventory changes. 

If you have flammable mixtures, you may want to register them as a class rather than 

listing each covered flammable substance. This approach will assure that you are in 

compliance with the registration requirements while limiting the effort you need to 

make to identify the specific substances. 

If you use predictive filing, you must implement your Risk Management Program 

and prepare your RMP exactly as you would if you actually held all of the substances 

included in the RMP. This means that you must meet all rule requirements for each 

regulated substance for which you file, whether or not that substance is actually held 

on site at the time you submit your RMP. Depending on the substances for which 

you file, this may require you to perform additional worst-case and alternative-case 

scenarios and to implement additional prevention program elements. If you use this 

option, you must still update and resubmit your RMP if you receive a regulated 

substance that was not included in your latest RMP. This approach will not 

completely eliminate the need to update your RMP, but should limit the frequency of 

updates. If you use this option, you must still comply with the other update 

requirements stated in § 68.190. RMPs must be updated when you: 

g Add a new regulated substance above its threshold (i.e., one not already 

reported in your latest predictive RMP submission); 

g Add a new covered process; 

g Have the program level of the process change (see Chapter 2); 

g Make a major change that requires a revised PHA or hazard review (see 

Chapters 6 and 7); or 

g Make a change that changes the distance to endpoint for a worst-case release 

by a factor of two or more. 

Listing all the regulated substances you think you are likely to handle will mean 

more work initially (primarily more alternative release scenarios), but will limit the 

January 26, 1999 
EXHIBIT 1-3: STATIONARY SOURCE

Schematic Representation Description Interpretation 

ABC Chemicals 

General Chemicals Division 

ABC Chemicals 

Plastics Division 

ABC Chemicals 

Agricultural Chemicals Division 

same owner 

same industrial group 1 stationary source 

1 RMP 

ABC Chemicals ABC Chemicals 

XYZ Gases 

two owners 2 stationary sources 

2 RMPs

 1 ABC

 1 XYZ 

ABC Chemicals 

XYZ Gases 

ABC Refinery two owners 

three industrial groups 

3 stationary sources

 1 ABC Chemicals

 1 ABC Refinery

 1 XYZ Gases 

ABC Chemicals 

ABC-MNO Joint-Venture 

two owners 2 stationary sources 

2 RMPs 

ABC Products ABC Products

same owner 

same industrial group 

contiguous property 

1 stationary source 

1 RMP 

ABC 

Chemicals 

Farm Chemicals Inc. 

Pet Supply Storage 

(no regulated substances) 

Brown Property offices 

Building owned by Brown Properties 

two owners 

2 stationary sources 

2 RMPs

 1 ABC Chemicals

 1 Farm Chemicals 
Chapter 1 

1-19 General Applicability 

need for updates. As a rule of thumb, you will need to increase or decrease the 

quantity of a chemical in the single largest vessel by a factor of five or more to 

change the distance to an endpoint by a factor of two. 

Predictive filing will work best when you simply store chemicals. If you repackage 

chemicals, you will need to complete prevention program information for each 

repackaging process. If you can predict which regulated substances you will 

repackage and can establish your prevention program, you can file predictively for 

that process. If, however, you have listed a regulated substance in your RMP based 

on expected storage, but you subsequently begin to repackage as well as store the 

chemical, you will need to update the RMP to reflect the new process. 

Qs & As

COMPLIANCE DATES

Q. What happens if I bring a new covered process on line (e.g., install a second storage tank) after 

June 21, 1999? 

A. For new covered process after the initial compliance date, you must be in compliance on the date 

you first have a regulated substance above the threshold quantity in that process. There is no grace 

period. You must develop and implement all the applicable rule elements before you start operating 

the new process. 

Q. What if EPA lists a new substance? 

A. You will have three years from the date on which the new listing is effective to come into 

compliance for any process that is covered because EPA has listed a new substance. 

Q. I store 1-ton cylinders of chlorine. If I normally have 20 cylinders located together on site and 

register that quantity, do I need to update my RMP if I increase the number of cylinders to 200? 

How does this affect my worst-case scenario? 

A. You do not necessarily need to update the RMP simply to reflect the higher quantity of chlorine. 

In this case, because you have not changed the size of your single largest vessel, your worst-case 

release scenario will not change. You will update the quantity information on your next scheduled 

update. 

Q. I have stored 1-ton cylinders of chlorine. Because of customer demand, I have started 

repackaging and have a tank with 40,000 pounds of chlorine. Do I need to update the RMP? 

A. Yes, for two reasons. First, if the tank is a new process, you must update your RMP immediately 

if it is part of an existing process, you must update within 6 months. Second, the 40,000-pound tank 

may result in the distance to endpoint for your worst-case release increasing by more than a factor of 

two. If this is the case, you will need to update that change as well. 

January 26, 1999 
Chapter 1

General Applicability 1-20

January 26, 1999 
CHAPTER 2: APPLICABILITY OF PROGRAM LEVELS 

2.1 WHAT ARE PROGRAM LEVELS? 

Once you have decided that you have one or more processes subject to this rule (see 

Chapter 1), you need to identify what actions you must take to comply. The rule 

imposes different requirements on processes based on the potential for public 

impacts and the level of effort needed to prevent accidents. EPA has set three levels 

of requirements that apply to covered processes: 

Program 1: Processes with no public receptors within the distance to the 

endpoint from a worst-case release and with no accidents with specific 

offsite consequences within the past five years are eligible for Program 1, 

which imposes minimal requirements on the process. 

Program 2: Processes not eligible for Program 1 or subject to Program 3 

are placed in Program 2, which imposes a streamlined prevention program. 

Program 3: Processes not eligible for Program 1 and either subject to 

OSHA's PSM standard under federal or state OSHA programs or in ten 

specified North American Industry Classification System (NAICS) codes are 

placed in Program 3, which imposes the OSHA PSM program as the 

prevention program. 

If you can qualify a process for Program 1, it is in your best interests to do so, even if 

the process is already subject to OSHA PSM. For Program 1 processes, the 

implementing agency will inspect and enforce only on compliance with the minimal 

Program 1 requirements. If you assign a process to Program 2 or 3 when it might 

qualify for Program 1, the implementing agency will inspect or enforce for 

compliance with all the requirements of the higher program levels. If, however, you 

are already in compliance with the prevention elements of Program 2 or Program 3, 

you may want to use the RMP to inform the community of your prevention efforts. 

See Exhibit 2-1 for a diagram of the decision rules on Program level. 

KEY POINTS TO REMEMBER 

In determining program levels for your process(es), keep in mind the following: 

(1) The program levels apply to individual processes and generally indicate 

the risk management measures necessary to comply with this regulation for 

the process, not the facility as a whole. The eligibility of one process for a 

program level does not influence the eligibility of other covered processes 

for other program levels. 

(2) Any process can be eligible for Program 1, even if it is subject to OSHA 

PSM or is in one of the NAICS codes. 

January 27, 1999 
EXHIBIT 2-1

EVALUATE PROGRAM LEVELS FOR COVERED PROCESSES

Are public receptors 

within the distance to 

the endpoint for a 

worst-case release? 

Have offsite 

impacts occurred due 

to a release of a 

regulated substance 

from the process? 

No 

No 

Is the process 

subject to the OSHA 

PSM Standard? 

Is the process 

classified in one of the 

listed NAICS codes? 

Yes No No

Yes 

Yes Yes 

Yes 

Process

Subject to

Program

Level 2

Process

Eligible for

Program

Level 1

Process

Subject to

Program

Level 3
Chapter 2 

2-3 Applicability of Program Levels 

(3) Program 2 is the default program level. There are no "standard criteria" 

for Program 2. Any process that does not meet the eligibility criteria for 

either Programs 1 or 3 is subject to the requirements for Program 2. 

(4) Only one Program level can apply to a process. If a process consists of 

multiple production or operating units or storage vessels, the highest 

Program level that applies to any segment of the process applies to all parts. 

Q & A

PROCESS AND PROGRAM LEVEL

Q. My process includes two interconnected units, as well as several storage vessels and a 

warehouse that are co-located. Several sections of the process could qualify for Program 1. Can I 

divide my process into sections for the purpose of assigning Program levels? 

A. No, you cannot subdivide a process for this purpose. The highest Program level that applies to 

any section of the process is the Program level for the whole process. If the entire process is not 

eligible for Program 1, then the entire process must be assigned to Program 2 or Program 3. 

2.2 PROGRAM 1 

WHAT ARE THE ELIGIBILITY REQUIREMENTS? 

Your process is eligible for Program 1 if: 

(1) There are no public receptors within a distance to an endpoint from a 

worst-case release; 

(2) The process has had no release of a regulated substance in the past five years 

where exposure to the substance, its reaction products, overpressures 

generated by explosion involving the substance, or radiant heat from a fire 

involving the substance resulted in offsite deaths, injuries, or response or 

restoration activities for exposure of an environmental receptor; and 

(3) You have coordinated your emergency response activities with the local 

responders. (This requirement applies to any covered process, regardless of 

program level.) 

WHAT IS A PUBLIC RECEPTOR? 

The rule defines public as "any person who is not an employee or contractor of the 

stationary source." Consequently, employees of other facilities that may share your 

site are considered members of the public even if they share the same physical 

location. Being "the public," however, is not the same as being a public receptor. 

January 27, 1999 
Chapter 2 

Applicability of Program Levels 2-4 

Public receptors include offsite residences, institutions (e.g., schools and hospitals), 

industrial, commercial, and office buildings, parks, or recreational areas inhabited or 

occupied by the public at any time without restriction by the stationary source. 

Offsite means areas beyond your property boundary and "areas within the property 

boundary to which the public has routine and unrestricted access during or outside of 

business hours." 

For most facilities, the meaning of the definition of public receptor is 

straightforward. If you restrict access to your property at all times, public receptors 

are any occupied buildings or public gathering areas beyond your boundaries. 

Access restrictions include precautions such as a fully fenced site, security guards on 

duty at a reception area, or ID badges necessary to gain entry. 

If you have unrestricted sections of your site that are predictably used by the public 

(e.g., ball fields or picnic areas), then these sections would also be considered public 

receptors. Neighboring businesses, whether commercial or industrial, are considered 

public receptors, as are residences, institutions such as hospitals, schools, prisons, 

marinas and airport terminals, public and private parking lots, golf courses, transit 

stations, and toll booth plazas for roads and bridges. The ability of others to restrict 

access to an area does not change its status as a public receptor. 

Not all areas offsite are public receptors. Public roads and bridges are not 

considered public receptors. For other areas, you need to make a reasonable 

determination as to whether the public is likely to inhabit or occupy an offsite area. 

For example, a facility located in a remote mountainous area surrounded by 

unimproved forest might reasonably determine that the surrounding land is not a 

public receptor, even if it is infrequently traversed by hunters or fishermen. If a 

remote facility borders a park or wilderness area, the parts of the park, such as the 

campground, picnic area, or hiking trails that are likely to be occupied by the public, 

even if only seasonally, would be considered public receptors. Farm land may or 

may not be a public receptor. If farm workers are usually present, the farm land is a 

public receptor. If, however, the farm or ranch land is rarely occupied by workers, it 

may not be a public receptor. If you are in doubt about whether to consider certain 

areas around your facility as public receptors, you should consult with local 

emergency planning officials, local or state authorities, the land owners, and your 

implementing agency for guidance on whether such areas should be considered as 

public receptors. 

WHAT IS A DISTANCE TO AN ENDPOINT FROM A WORST-CASE RELEASE? 

The rule establishes "endpoints" for each substance and defines a worst-case release 

scenario (see Chapter 4 or the RMP Offsite Consequence Analysis Guidance for 

more information). You will have to define a worst-case release (usually the loss of 

the total contents of your largest vessel) and either use EPA's guidance or conduct 

modeling on your own to determine the distance to the endpoint. Beyond that point, 

the effects on people are not considered to be severe enough to merit the need for 

additional action under this rule. 

January 27, 1999 
Chapter 2 

2-5 Applicability of Program Levels 

QS & AS

PUBLIC RECEPTORS

Q. My processes are fenced, but my offices and parking lot for customers are not restricted. What is 

considered offsite? 

A. The unrestricted areas would be considered potential public receptors. 

Q. What is considered a recreational area? 

A. Recreational areas would include most bodies of waters (oceans, lakes, rivers, and streams) 

because they are used for fishing, swimming, or boating. Areas that are predictably used by hunters, 

fishermen, bird watchers, children, bike riders, or hikers would be considered recreational areas. 

Areas where there are places for public to gather (e.g., ball fields, picnic tables, jungle gyms, hiking 

paths, campsites) would be considered recreational areas. Even if an area is only used during certain 

parts of the year for recreation, it would still be considered a recreational area. EPA recognizes that 

some judgment is involved in determining whether an area should be considered a public receptor. 

You are responsible for making a reasonable judgment. If you have doubts about whether an area 

can be legitimately excluded from consideration as a public receptor, EPA encourages you to consult 

with local officials and the community to reach an agreement on an area’s status; your local 

emergency planning committee (LEPC) can help you with these consultations. If your facility is 

surrounded by undeveloped land, you may also want to consult with the land owner. 

Q. Does public receptor cover only buildings on a property or the entire property? If the owner of 

the land next to my site restricts access to the land, is it still a public receptor? 

A. Public receptors are not limited to buildings. For example, if there are houses near your property, 

both the houses and their yards are considered public receptors because it is likely the people will be 

present in both at times and would be in more danger if they were outside when a release occurred. 

If the owner of a neighboring property restricts access to the land, the question you will need to 

consider is whether that land is generally unoccupied. If your site abuts farm land where farm 

workers are generally present, it is considered a public receptor. If the land is undeveloped or rarely 

has anyone on it, but you are uncertain about whether to consider it a public receptor, you should talk 

with the landowner and the community to reach an agreement on its status. Because it is the 

landowner and members of the local community who are likely to be affected by your decision, you 

should involve them in the decision is you have doubts. 

To define the area of potential impact from the worst-case release, draw a circle on a 

map, using the process as the center and the distance to the endpoint as the radius. If 

there are any public receptors within that area, your process is not eligible for 

Program 1. 

January 27, 1999 
Chapter 2 

Applicability of Program Levels 2-6 

Q and A

Determining Distances

Q. Our distance to the endpoint for the worst-case release is 0.3 miles. The nearest public receptor 

is 0.32 miles away. What tools are available to document that the public receptor is beyond the 

distance to the endpoint so we can qualify for Program 1? 

A. The results of any air dispersion model (from EPA’s guidance documents or other models) are 

not precise predictions. They represent an estimate, but the actual distances to the endpoint could be 

closer to or farther from the point of release. If your distance to the endpoint and distance to a public 

receptor are so close that you cannot document, using a USGS map, that the two points are different, 

it would be advisable to comply with the higher Program level. (The most detailed maps available 

from the US Geological Survey (scale of 1:24,000) are not accurate enough to map the distances you 

cite and document that the two points (which are about 100 feet apart) differ. GPS systems now have 

a margin of error of 22 meters (about 0.014 miles or 72 feet); if you are using a GPS system, you 

may be able to document that these points are different.) 

ACCIDENT HISTORY 

To be eligible for Program 1, no release of the regulated substance from the process 

can have resulted in offsite deaths, injuries, or response or restoration activities at an 

environmental receptor during the five years prior to submission of your RMP. A 

release of the regulated substance from another process has no bearing on whether 

the first process is eligible for Program 1. 

WHAT IS AN INJURY? 

An injury is defined as "any effect on a human that results from direct exposure to 

toxic concentrations, radiant heat, or overpressures from accidental releases or from 

the direct consequences of a vapor cloud explosion (such as flying glass, debris, and 

other projectiles) from an accidental release." The effect must "require medical 

treatment or hospitalization." This definition is taken from the OSHA regulations for 

the keeping of the employee injury and illness logs and should be familiar to most 

employers. Medical treatment is further defined as treatment, other that first aid, 

administered by a physician or registered professional personnel under standing 

orders from a physician. The definition of medical treatment will likely capture most 

instances of hospitalization. However, if someone goes to the hospital following 

direct exposure to a release and is kept overnight for observation (even if no specific 

injury or illness is found), that would qualify as hospitalization. 

WHAT IS AN ENVIRONMENTAL RECEPTOR? 

The environmental receptors you need to consider are limited to natural areas such as 

national or state parks, forests, or monuments; officially designated wildlife 

May 8, 2000 
Chapter 2 

2-7 Applicability of Program Levels 

sanctuaries, preserves, refuges, or areas; and Federal wilderness areas. All of these 

areas can be identified on local U.S. Geological Survey maps. 

WHAT ARE RESTORATION AND RESPONSE ACTIVITIES? 

The type of restoration and response activity conducted to address the impact of an 

accidental release will depend on the type of release (volatilized spill, vapor cloud, 

fire, or explosion), but may include such activities as: 

g Collection and disposal of dead animals and contaminated plant life;

g Collection, treatment, and disposal of soil;

g Shutoff of drinking water;

g Replacement of damaged vegetation; or

g Isolation of a natural area due to contamination associated with an accidental

release. 

If an impact occurs, such damaged vegetation, and no steps are taken to replace the 

vegetation, the process remains eligible for Program 1. 

Q & A

ENVIRONMENTAL RECEPTORS

Q. Do environmental receptors include areas that are not Federal Class I areas under the CAA? 

A. Yes. The list of environmental receptors in Part 68 is not related to the Federal Class I areas 

under CAA section 162. Under Part 68, national parks, monuments, and wilderness areas are not 

limited by size criteria. In addition, other areas are covered; for example, national forests and state 

parks, monuments, and forests are environmental receptors. 

DOCUMENTING PROGRAM 1 ELIGIBILITY 

As part of your risk management program, you must keep records of your 

compliance with this requirement. For each Program 1 process, your records should 

include the following: 

g The worst-case release scenario, which shall include a description of the 

vessel or pipeline and substance selected as worst case, assumptions and 

parameters used, and the rationale for selection. 

g Assumptions shall include use of any administrative controls and any passive 

mitigation that were assumed to limit the quantity that could be released; 

g Documentation of estimated quantity released, release rate, and duration of 

January 27, 1999 
Chapter 2 

Applicability of Program Levels 2-8 

release; 

g The methodology used to determine distance to endpoints; 

g Data used to determine that no public receptor would be affected; 

g Information on your coordination with public responders. 

2.3 QUICK RULES FOR DETERMINING PROGRAM 1 ELIGIBILITY 

You generally will not be able to predict with certainty that the worst-case analysis 

for a particular process will be eligible for Program 1. Processes containing certain 

substances, however, may be more likely than others to be eligible for Program 1, 

and processes containing certain other substances may be very unlikely to be eligible 

for Program 1 because of the toxicity and physical properties of the substances. The 

information presented below may be useful in helping you to decide whether to carry 

out analyses of processes to determine Program 1 eligibility (accident history criteria 

must be met separately). 

TOXIC GASES 

If you have a process containing more than a threshold quantity of any regulated 

toxic gas that is not liquefied by refrigeration alone (i.e., you hold it as a gas or 

liquefied under pressure), the distance to the endpoint estimated using EPA's 

required worst-case assumptions is unlikely to be less than the distance to public 

receptors, unless your site is very remote; these distances will generally be several 

miles. In some cases, however, toxic gases in processes in enclosed areas may be 

eligible for Program 1. 

REFRIGERATED TOXIC GASES 

If you have a process containing anhydrous ammonia liquefied by refrigeration 

alone, and your worst-case release would take place into a diked area, the chances 

are good that the process may be eligible for Program 1, unless there are public 

receptors very close to the process. Even if you have many times the threshold 

quantity of ammonia, it probably will be worth your while to carry out the 

consequence analysis to see whether the process may be eligible for Program 1. 

If you have a process containing ethylene oxide, anhydrous hydrogen fluoride, or 

methyl chloride liquefied by refrigeration alone, and the release would take place in 

a diked area, the process may be eligible for Program 1, depending on the size of the 

diked area, the quantity of the regulated substance, and the location of public 

receptors. 

The worst-case analysis for a process containing chlorine liquefied by refrigeration is 

unlikely to show eligibility for Program 1, unless your site is extremely remote from 

the public or the release would occur within an enclosure. 

January 27, 1999 
Chapter 2 

2-9 Applicability of Program Levels 

QS & AS

ACCIDENT HISTORY

Q. What is the relationship between the accident history for Program 1 and the five-year accident 

history? If my process is eligible for Program 1, do I still need to do a five-year accident history. 

A. Although both cover the previous five years, the accidental release criteria for Program 1 and 

the general accident history for the source are different. 

g The five-year accident history is an information collection requirement that is designed to 

provide data on all serious accidents from a covered process involving a regulated substance held 

above the threshold quantity. 

g In contrast, the Program 1 criteria focus on whether the process in question has the potential to 

experience a release of the regulated substance that results in harm to the public based on past 

events. Onsite effects, sheltering-in-place, and evacuations are not relevant. Therefore, it is 

possible that a process eligible for Program 1 may still have experienced a release that must be 

reported in the accident history for the source. 

Q. A process with more than a threshold quantity of a regulated substance had an accident with 

offsite consequences three years ago. After the accident, we altered the process to reduce the 

quantity stored on site. Now the worst-case release scenario indicates that there are no public 

receptors within the distance to an endpoint. Can this process qualify for Program 1? 

A. No, the process cannot qualify for Program 1 until five years have passed since any accident 

with the specified consequences. 

Q. A process involving a regulated substance had an accidental release with offsite consequences 

two years ago. The process has been shutdown. Do I have to report anyway? 

A. No. The release does not have to be included in your accident history. Your risk management 

plan only needs to address processes that have more than a threshold quantity of a regulated 

substance on the date you file your RMP. 

TOXIC LIQUIDS 

The distance to the endpoint from the worst-case analysis for toxic liquids kept under 

ambient conditions may be smaller than the distance to public receptors in a number 

of cases. If public receptors are not found very close to the process (within 1⁄2 mile), 

such processes may be eligible for Program 1. Small acreage facilities in highly 

developed areas are unlikely to meet this criterion; it will be more relevant to 

remotely located facilities or processes found near the center of large acreage sites. 

Substances that are potential candidates to be in processes that are eligible for 

Program 1 are noted below. Generally, processes that contain toxic liquids at 

elevated temperatures, including the toxic liquids listed below, would be less likely 

January 27, 1999 
Chapter 2 

Applicability of Program Levels 2-10 

to be eligible for Program 1 than those at ambient temperature, and processes in 

diked areas are more likely to be eligible for Program 1 than those in undiked areas. 

For processes containing toluene diisocyanate (including toluene 2,4-diisocyanate, 

toluene 2,6-diisocyanate, and unspecified isomers) or ethylene diamine, the analysis 

of a spill of more than a threshold quantity into an undiked area under ambient 

conditions is likely to demonstrate eligibility for Program 1. If the area of the spill is 

diked, processes containing very large quantities of these substances may be eligible 

for Program 1. In addition, processes containing the following toxic liquids under 

ambient conditions are likely to be eligible for Program 1 if a spill would take place 

in a diked area and public receptors are not close to the process: 

g Chloroform 

g Cyclohexylamine 

g Hydrazine 

g Isobutyronitrile 

g Isopropyl chloroformate 

g Oleum 

g Propylene oxide 

g Titanium tetrachloride 

g Vinyl acetate monomer 

WATER SOLUTIONS OF TOXIC SUBSTANCES 

The list of regulated substances includes several common water solutions of toxic

substances. Processes containing such solutions at ambient temperatures may be

eligible for Program 1 (depending in some cases on the concentration of the

solution), if spills would be contained in diked areas and public receptors are not

located close to the process (within 1⁄2 mile). As noted above, small acreage facilities

in developed areas are highly unlikely to meet this criterion; it will be more relevant

to remotely located facilities or processes found near the center of large acreage

sites. 

Processes containing the following water solutions may be eligible for Program 1,

assuming diked areas that would contain the spill and ambient temperatures: 

g Ammonia in solution

g Formaldehyde (commercial concentrations)

g Hydrofluoric acid (concentration 50 to 70 percent)

g Nitric acid (commercial concentrations)

FLAMMABLE SUBSTANCES 

Many processes containing regulated flammable substances are likely to be eligible 

for Program 1, unless there are public receptors within a very short distance. If you 

have a process containing up to about 20,000 pounds (twice the threshold quantity) 

of a regulated flammable substance (other than hydrogen), your process is likely to 

be eligible for Program 1 if you have no public receptors within about 400 yards 

(1,200 feet) of the process. If you have up to 100,000 pounds in a process (ten times 

January 27, 1999 
Chapter 2 

2-11 Applicability of Program Levels 

the threshold quantity), the process may be eligible for Program 1 if there are no 

public receptors within about 700 yards (2,000 feet). In general, it would be 

worthwhile to conduct a worst-case analysis for any processes containing 

flammables to determine Program 1 eligibility, unless you have public receptors very 

close to the process. You must be able to demonstrate, through your worst-case 

analysis, that every process you claim is Program 1 meets the criteria. 

2.4 PROGRAM 3 

Any covered process that is not eligible for Program 1 and meets one of the two 

criteria specified below is covered by Program 3 requirements. Program 3 sets risk 

management measures, including compliance with the OSHA PSM Standard, for an 

eligible covered process. 

WHAT ARE THE ELIGIBILITY CRITERIA FOR PROGRAM 3? 

Your process qualifies for Program 3 if: 

g Your process does not meet the eligibility requirements for Program 1, and 

g Either 

(a) Your process is subject to OSHA PSM (federal or state); or 

(b) Your process is in one of ten NAICS codes specified by EPA. 

WHAT IS THE OSHA PSM STANDARD? 

The OSHA Process Safety Management standard (codified at 29 CFR 1910.119) is a 

formal set of procedures in thirteen management areas designed to protect worker 

health and safety from accidental releases. As with EPA's rule, they apply to a range 

of facilities that have more than a threshold quantity of a listed substance in a 

process. All processes subject to this rule and the OSHA PSM standard (federal or 

state) and not eligible for Program 1 are assigned to Program 3 because the Program 

3 prevention program is identical to the elements of the PSM standard. If you are 

already complying with OSHA PSM for a process, you probably will need to take 

few, if any, additional steps and develop little, if any, additional documentation to 

meet the requirements of the Program 3 prevention elements (see Chapter 7 for a 

discussion of differences between Program 3 prevention and OSHA PSM). EPA 

placed all covered OSHA PSM processes in Program 3 to eliminate the possibility of 

imposing overlapping, inconsistent requirements on the same process. 

Processes covered by OSHA PSM may include equipment, activities, and regulated 

substances, particularly flammables used as fuels, that in other circumstances are 

exempted under the OSHA PSM standard. 

January 27, 1999 
Chapter 2 

Applicability of Program Levels 2-12 

WHAT ARE THE TEN NAICS CODES? 

The ten NAICS codes are pulp mills, certain chemical manufacturers, and petroleum 

refineries. They do not apply to chemical distributors. If you have a process in 

Program 3, it will be because it is subject to OSHA PSM. 

2.5 PROGRAM 2 

Program 2 is considered a default program level because any covered process that is 

not eligible for Program 1 and Program 3 requirements is, by default, covered by 

Program 2 requirements. Program 2 sets risk management measures, including a 

streamlined accident prevention program, for an eligible covered process. Your 

process(es) are likely to be in Program 2 if: 

g You are a retailer and do not perform any chemical processing activities. 

g You are a publicly owned facility in a state that does not have a delegated 

OSHA program. 

g You use the regulated acids in solution, and your activities do not fall into 

one of the ten specified NAICS codes. 

g You store regulated liquid flammable substances in atmospheric storage 

tanks. 

WHAT ARE THE ELIGIBILITY CRITERIA FOR PROGRAM 2? 

Your process is eligible for Program 2 if:

g Your process does not meet the eligibility requirements for Program 1;

g Your process is not subject to OSHA PSM (federal or state); and 

g Your process is not categorized in the ten NAICS codes.

When determining what program level is appropriate for your covered process, keep

in mind that if it does not meet the Program 1 criteria, if it is not covered by OSHA 

PSM, and it is not in the NAICS codes, the process automatically is subject to 

Program 2 requirements. 

Exhibit 2-2 provides a summary of the requirements for Program eligibility. 

January 27, 1999 
Chapter 2 

2-13 Applicability of Program Levels 

EXHIBIT 2-2 

PROGRAM LEVEL CRITERIA 

Program 1 Program 2 Program 3 

No accidents in the previous five 

years that resulted in any offsite: 

Death 

Injury 

Response or restoration 

activities at an 

environmental receptor 

The process is not eligible for 

Program 1 or subject to Program 3. 

Process is not eligible for Program 

1. 

AND AND 

No public receptors in worst-case 

circle. 

Process is subject to OSHA PSM. 

AND OR 

Emergency response coordinated 

with local responders. 

Process is classified in NAICS 

code 

32211 (pulp mills) 

32411 (petroleum refineries) 32511 

(petrochemical manufacturers) 

325181 (chlor-alkali 

manufacturers) 

325188 (all other inorganic 

chemicals manufacturers) 325192 

(other cyclic crude and 

intermediate manufacturers) 

325199 (all other basic organic 

chemical manufacturers) 

325211 (plastics and resins 

manufacturers) 

325311 (nitrogen fertilizer 

manufacturers) 

32532 (pesticide and other 

agricultural chemicals 

manufacturers) 

January 27, 1999 
Chapter 2 

Applicability of Program Levels 2-14 

Qs & As

NAICS CODES

Q. Does the NAICS code apply to the facility or the process? 

A. NAICS codes are assigned to each process. If all you do is distribute or repackage chemicals, 

you will have a single code for the facility that will apply to each process. If, however, you mix 

chemicals, for example, to create a fertilizer mix, that process would have a different code. 

Q. Chemical distributors were in SIC code 5169. Is there a different code under the new system? 

A. Yes, the NAICS code for chemical distributors is 42269. 

2.6 DEALING WITH PROGRAM LEVELS 

WHAT IF I HAVE MULTIPLE PROGRAM LEVELS? 

If you have more than one covered process, you may be dealing with multiple 

program levels in your risk management program. 

If your facility has multiple processes subject to different program requirements, you 

will need to treat each group of processes in the same program level (and potentially 

each process) separately from the other processes and program level requirements. 

Nevertheless, you must submit a single RMP for all covered processes. At the same 

time, if you prefer, you may choose to adopt the most stringent applicable program 

level requirements for all covered processes: 

For example, you have three covered processes: one eligible for Program 1 and two 

subject to Program 3. You may find it administratively easier to follow the Program 

3 requirements for all three covered processes. Remember that this is only an 

option; we expect that most sources will comply with the set of program level 

requirements for which each process is eligible. 

Q & A

OSHA

Q. If my state administers the OSHA program under a formal delegation from the federal OSHA, 

does that mean that my processes subject to OSHA PSM under state rules are in Program 3? 

A. Yes (as long as the process does not qualify for Program 1). Any process for which a facility is 

complying with PSM, under federal or state rules, is considered to be in Program 3. 

January 27, 1999 
Chapter 2 

2-15 Applicability of Program Levels 

CAN THE PROGRAM LEVEL FOR A PROCESS CHANGE? 

If a covered process meets the requirements for a new program level, you must 

re-evaluate the requirements for the process. If you are switching to another program 

level, this change must be reflected in an updated RMP that must be submitted 

within six months of the change that altered the program level for the covered 

process. If the process no longer qualifies as a covered process (e.g., as a result of a 

change in the quantity of the regulated substance in the process), then you will need 

to "deregister" the process. Typical examples of switching program levels include: 

MOVING UP 

Program 1 to Program 2 or 3. You have a covered process subject to Program 1 

requirements. A new development results in public receptors being located within 

the distance to the endpoint for a worst-case release. The process is no longer 

eligible for Program 1 and must be evaluated to determine whether Program 2 or 

Program 3 applies. You must submit a revised RMP within six months of the 

program level change, indicating and documenting that your process is now in 

compliance with the new program level requirements. 

Not Covered to Program 1, 2 or 3. You have a process that was not covered by 

this rule, but, due to an expansion in production, the amount of regulated substance 

now exceeds the threshold quantity. You must determine which Program level 

applies and come into compliance with the rule by June 21, 1999, or after that time, 

by the time you exceed the threshold quantity. 

Program 2 to Program 3. You have a process that involves a regulated substance 

above the threshold that is not in one of the ten NAICS codes or been subject to 

OSHA PSM. However, due to one of the following OSHA regulatory changes, the 

process is now subject to the OSHA PSM standard: 

g OSHA's exemption applicable to your process has been eliminated, or 

g The regulated substance has been added to OSHA's list of highly hazardous 

substances. 

Therefore, the process is now subject to Program 3 requirements and you must 

submit a revised RMP to EPA within six months, indicating and documenting that 

your process is now in compliance with the Program 3 requirements. 

SWITCHING DOWN 

Program 2 or 3 to Program 1. You have a covered process subject to Program 2 or 

3 requirements that experienced an accidental release of a regulated substance with 

offsite impacts four years ago. Subsequent process changes have made such an event 

unlikely (as demonstrated by the worst-case release analysis). One year after you 

submit your RMP, the applicability of the accident has now expired and the process 

is eligible for Program 1. If you elect to qualify the process for Program 1, you must 

submit a revised RMP within six months of the program level change, indicating and 

January 27, 1999 
Chapter 2 

Applicability of Program Levels 2-16 

documenting that the process is now in compliance with the new program level 

requirements. 

Program 1, 2, or 3 to Not Covered. You have a covered process that is subject to 

part 68 requirements, but, due to a reduction in production, the amount of regulated 

substance no longer exceeds the threshold. Therefore, the process is no longer a 

covered process. You must submit a revised RMP within six months indicating that 

your process is no longer subject to any program level requirements. 

2.7 SUMMARY OF PROGRAM REQUIREMENTS 

Regardless of the program levels you assign to your processes, you must complete a 

five-year accident history for each process (see Chapter 3) and submit an RMP that 

covers all processes (see Chapter 9). Exhibit 2-3 diagrams the requirements in 

general and Exhibit 2-4 lists them in more detail. 

PROGRAM 1 

For each Program 1 process, you must conduct and document a worst-case release 

analysis. You must coordinate your emergency response activities with local 

responders and sign the Program 1 certification as part of your RMP submission. 

PROGRAMS 2 AND 3 

For all Program 2 and 3 processes, you must conduct and document at least one 

worst-case release analysis to cover all toxics and one to cover all flammables. You 

must also conduct one alternative release scenario analysis for each toxic and one for 

all flammables. See Chapter 4 or the RMP Offsite Consequence Analysis Guidance 

for specific requirements. You must coordinate your emergency response activities 

with local responders and, if you use your own employees to respond to releases, you 

must develop and implement an emergency response program. See Chapter 8 for 

more details. 

For each Program 2 process, you must implement all of the elements of the Program 

2 prevention program: safety information, hazard review, operating procedures, 

training, maintenance, compliance audits, and incident investigations. See Chapter 6 

for more details. 

For each Program 3 process, you must implement all of the elements of the Program 

3 prevention program: process safety information, process hazard analysis, standard 

operating procedures, training, mechanical integrity, compliance audits, incident 

investigations, management of change, pre-startup reviews, contractors, employee 

participation, and hot work permits. See Chapter 7 for more details. 

January 27, 1999 
EXHIBIT 2-3

DEVELOP RISK MANAGEMENT PROGRAM AND RMP

Program Level 1 

Process 

Conduct and document 

worst-case release 

analysis 

Program Level 2 

Process 

Program Level 3 

Process 

Conduct and document 

worst-case release 

analysis 

Conduct and document 

alternative release 

analysis 

Prepare Five-Year

Accident History

Prepare Five-Year

Accident History

Implement

Management System

Implement Program

Level 2 Prevention

Program

Implement Program

Level 3 Prevention

Program

Implement Emergency

Response Program

(if applicable)

Coordinate with Local Responders 

Prepare and Submit One Risk Management Plan for all Covered Processes 
Chapter 2 

Applicability of Program Levels 2-18 

EXHIBIT 2-4 

COMPARISON OF PROGRAM REQUIREMENTS 

Program 1 Program 2 Program 3 

Worst-case analysis Worst-case analysis Worst-case analysis 

Alternative releases Alternative releases 

5-year accident history 5-year accident history 5-year accident history 

Document management system Document management system 

Prevention Program 

Certify no additional prevention 

steps needed 

Safety Information Process Safety Information 

Hazard Review Process Hazard Analysis. 

Operating Procedures Operating Procedures 

Training Training 

Maintenance Mechanical Integrity 

Incident Investigation Incident Investigation 

Compliance Audit Compliance Audit 

Management of Change 

Pre-Startup Review 

Contractors 

Employee Participation 

Hot Work Permits 

Emergency Response Program 

Coordinate with local 

responders 

Develop plan and program and 

coordinate with local 

responders 

Develop plan and program and 

coordinate with local 

responders 

Submit One Risk Management Plan for All Covered Processes 

January 27, 1999 
   

       

                       

                         

                             

                       

                       

                  

                             

                         

                         

                           

                         

                         

                             

                             

                         

                   

                             

              

         

                

                       

                  

                      

                 

           

              

                               

                             

                                 

                           

                  

         

                       

   

CHAPTER 3: FIVE­YEAR ACCIDENT HISTORY

The five­year accident history involves an examination of the effects of any

accidental releases of one or more of the regulated substances from a covered

process in the five years prior to the submission of a Risk Management Plan (RMP).

A five­year accident history must be completed for each covered process, including

the processes in Program 1, and all accidental releases meeting specified criteria

must be reported in the RMP for the process.

Note that a Program 1 process may have had an accidental release that must be

included in the five­year accident history, even though the release does not disqualify

the process from Program 1. The accident history criteria that make a process

ineligible for Program 1 (certain offsite impacts) do not include other types of effects

that require inclusion of a release in the five­year accident history (on­site impacts

and more inclusive offsite impacts). For example, an accidental release may have led

to worker injuries, but no other effects. This release would not bar the process from

Program 1 (because the injuries were not offsite), but would need to be reported in

the five­year accident history. Similarly, a release may have resulted in damage to

foliage offsite (environmental damage), triggering reporting, but because the foliage

was not part of an environmental receptor (e.g., national park or forest) it would not

make the process ineligible for Program 1.

3.1 WHAT ACCIDENTS MUST BE REPORTED?

The five­year accident history covers only certain releases:

•	 The release must be from a covered process and involve a regulated

substance held above its threshold quantity in the process.

•	 The release must have caused at least one of the following:

•	 On­site deaths, injuries, or significant property damage (§68.42(a)); or

•	 Known offsite deaths, injuries, property damage, environmental

damage, evacuations, or sheltering in place (§68.42(a)).

If you have had a release of a regulated substance from a process where the regulated

substance is held below its threshold quantity, you do not need to report that release

even if the release caused one of the listed impacts or if the process is covered for

some other substance. You may choose to report the release in the five­year accident

history, but you are not required to do so.

3.2 WHAT DATA MUST BE PROVIDED?

The following information should be included in your accident history for every

reported release:

March 2009
Chapter 3 

Five-Year Accident History 3-2 

Time.	 Indicate the time at which the release began. 

Release duration. Indicate the approximate length of time of the release in 

minutes. 

Chemical(s). Indicate the regulated substance(s) released. Use the name of the 

substance as listed in § 68.130 rather than a synonym (e.g., ethylene oxide rather 

than oxirane). If the release was of a flammable mixture, list the primary regulated 

substances in the mixture if feasible; if the contents of the mixture are uncertain, list 

it as a flammable mixture. 

Quantity released. Estimate the amount of each substance released in pounds. The 

amount should be estimated to two significant digits, or as close to that as possible. 

For example, if you estimate that the release was between 850 and 900 pounds, 

provide a best guess. We realize that you may not know precise quantities. For 

flammable mixtures, you may report the quantity of the mixture, rather than that of 

the individual regulated substances. 

Release event. Indicate which of the following release events best describes your 

accident. Check all that apply: 

�	 Gas Release. A gas release is a release of the substance as a gas (rather than 

vaporized from a liquid). If you hold a gas liquefied under refrigeration, 

report the release as a liquid spill. 

�	 Liquid Spill/ Evaporation. A liquid spill/evaporation is a release of the 

substance in a liquid state with subsequent vaporization. 

�	 Fire. A fire is combustion producing light, flames, and heat. 

�	 Explosion. An explosion is a rapid chemical reaction with the production of 

noise, heat, and violent expansion of gases. 

�	 Uncontrolled/Runaway Reaction. A release event caused by an uncontrolled 

chemical reaction that generates excessive heat, pressure, or harmful 

reaction products. Such events may involve highly exothermic chemical 

reactions, self-reactive substances (e.g., substances that undergo 

polymerization), unstable, explosive, or spontaneously combustible 

substances, substances that react strongly with water or other contaminants, 

oxidizers, peroxide-forming substances, or other types of chemical reactions 

that generate harmful products or byproducts. This category of release event 

may often occur in conjunction with one of the previous categories. In such 

cases, be sure to check this category in addition to any other applicable 

release event category (e.g., explosion). The burning of ordinary flammable 

substances is not typically included in this category. 

Release source. Indicate all that apply. 
Chapter 3 

3-3 Five-Year Accident History 

�	 Storage Vessel. A storage vessel is a container for storing or holding gas or 

liquid. Storage vessels include transportation containers being used for 

on-site storage. 

�	 Piping. Piping refers to a system of tubular structures or pipes used to carry 

a fluid or gas. 

�	 Process Vessel. A process vessel is a container in which substances under 

certain conditions (e.g., temperature, pressure) participate in a process (e.g., 

substances are manufactured, blended to form a mixture, reacted to convert 

them into some other final product or form, or heated to purify). 

�	 Transfer Hose. A transfer hose is a tubular structure used to connect, often 

temporarily, two or more vessels. 

�	 Valve. A valve is a device used to regulate the flow in piping systems or 

machinery. Relief valves and rupture disks open to release pressure in 

vessels. 

�	 Pump. A pump is a device that raises, transfers, or compresses fluids or that 

attenuates gases by suction or pressure or both. 

�	 Joint. The surface at which two or more mechanical components are united. 

�	 Other. Specify other source of the release. 

Weather conditions at time of event (if known). This information is important to 

those concerned with modeling the effects of accidents. Reliable information from 

those involved in the incident or from an on-site weather station is ideal. However, 

this rule does not require your facility to have a weather station. If you do not have 

an onsite weather station, use information from your local weather station, airport, or 

other source of meteorological data. To the extent possible, complete the following: 

�	 Wind Speed and Direction. Wind speed is an estimate of how fast the wind 

is traveling. Indicate the speed in miles per hour. Wind direction is the 

direction from which the wind comes. For example, a wind that blows from 

east to west would be described as having an eastern wind direction. You 

may describe wind direction as a standard compass reading such as 

"Northeast" or "South-southwest." 

You may also describe wind direction in degrees--with North as zero degrees 

and East as 90 degrees. Thus, northeast would represent 45 degrees and 

south-southwest would represent 202.5 degrees. Abbreviations for the wind 

direction such as NE (for northeast) and SSW (for south-southwest) are also 

acceptable. 

�	 Temperature. The ambient temperature at the scene of the accident in 

degrees Fahrenheit. If you did not keep a record, you can use the high (for 
Chapter 3 

Five-Year Accident History 3-4 

daytime releases) or low (for nighttime releases) for the day of the release. 

Local papers publish these data. 

�	 Stability Class. Depending on the amount of incoming solar radiation as 

well as other factors, the atmosphere may be more or less turbulent at any 

given time. Meteorologists have defined six atmospheric stability classes, 

each representing a different degree of turbulence in the atmosphere. When 

moderate to strong incoming solar radiation heats air near the ground, 

causing it to rise and generating large eddies, the atmosphere is considered 

unstable, or relatively turbulent. Unstable conditions are associated with 

stability classes A and B. When solar radiation is relatively weak, air near 

the surface has less of a tendency to rise and less turbulence develops. In 

this case, the atmosphere is considered stable or less turbulent with weak 

winds. The stability class is E or F. Stability classes D and C represent 

conditions of neutral stability or moderate turbulence respectively. Neutral 

conditions are associated with relatively strong wind speeds and moderate 

solar radiation. Exhibit 3-1 presents the stability classes associated with 

wind speeds, time of day, and cloud cover. 

�	 Precipitation Present. Precipitation may take the form of hail, mist, rain, 

sleet, or snow. Indicate "yes" or "no" based on whether there was any 

precipitation at the time of the accident. 

�	 Unknown. If you have no record for some or all of the weather data, indicate 

"unknown" for any missing item. We realize that you may not have weather 

data for accidents that occurred in the past. You should, however, collect 

these data for any future accidents. 

EXHIBIT 3-1
 

ATMOSPHERIC STABILITY CLASSES
 

SURFACE WIND SPEED AT 

10 METERS 

DAY NIGHT 

Incoming Solar Radiation Thinly 

Overcast or 

$ 4/8 low 

cloud 

# 3/8 Cloud 

Meters per 

second 

Miles per 

hour Strong* Moderate Slight** 

< 2 <4.5 A A-B B 

2-3 4.5-7 A-B B C E F 

3-5 7-11 B B-C C D E 

5-6 11-13 C C-D D D D 

>6 >13 C D D D D 

* Sun high in the sky with no clouds. 

** Sun low in the sky with no clouds. 
Chapter 3 

3-5 Five-Year Accident History 

On-site impacts. Complete the following about on-site effects. 

�	 Deaths. Indicate the number of on-site deaths that are attributed to the 

accident or mitigation activities. On-site deaths means the number of 

employees, contract employees, offsite responders, or others (e.g., visitors) 

who were killed by direct exposure to toxic concentrations, radiant heat, or 

overpressures from accidental releases or from indirect consequences of a 

vapor cloud explosion from an accidental release (e.g., flying glass, debris, 

other projectiles). You should list employee/contractor, offsite responder, 

and other on-site deaths separately. 

�	 Injuries. An injury is any effect that results either from direct exposure to 

toxic concentrations, radiant heat, or overpressures from accidental releases 

or from indirect consequences of a vapor cloud explosion (e.g., flying glass, 

debris, other projectiles) from an accidental release and that requires medical 

treatment or hospitalization. You should list injuries to employees and 

contractors, offsite responders, and others separately. 

Medical treatment means treatment, other than first aid, administered by a 

physician or registered professional personnel under standing orders from a 

physician. 

Your Log of Work-Related Injuries and Illnesses (OSHA Form 300) and 

Injury and Illness Incident Report (OSHA Form 301) will help complete 

these items for employees. 

�	 Property Damage. Estimate the value of the equipment or business 

structures (for your business alone) that were damaged by the accident or 

mitigation activities. Record the value in American dollars. Insurance 

claims may provide this information. Do not include any losses that you 

may have incurred as a result of business interruption. 

Known offsite impacts. These are impacts that you know or could reasonably be 

expected to know of (e.g., from media reports or from reports to your facility) that 

occurred as a result of the accidental release. You are not required to conduct an 

additional investigation to determine offsite impacts. 

QS & AS
 

PROPERTY DAMAGE
 

Q. What level of offsite property damage triggers reporting? 

A. Any level of known offsite property damage triggers inclusion of the accident in the five-year 

accident history. You are not required to conduct a survey to determine if such damage occurred, but 

if you know, or could reasonably be expected to know (e.g., because of reporting in the newspapers), 

that damage occurred, you must include the accident. 
Chapter 3 

Five-Year Accident History 3-6 

�	 Deaths. Indicate the number of offsite deaths that are attributable to the 

accident or mitigation activities. Offsite deaths means the number of 

community members who were killed by direct exposure to toxic 

concentrations, radiant heat, or overpressures from accidental releases or 

from indirect consequences of a vapor cloud explosion from an accidental 

release (e.g., flying glass, debris, other projectiles). 

�	 Injuries. Indicate the number of injuries among community members. Injury 

means any effect that results either from direct exposure to toxic 

concentrations, radiant heat, or overpressures from accidental releases or 

from indirect consequences of a vapor cloud explosion from an accidental 

release (e.g., flying glass, debris, other projectiles) and that requires medical 

treatment or hospitalization. 

�	 Evacuated. Estimate the number of members of the community who were 

evacuated to prevent exposure that might have resulted from the accident. A 

total count of the number of people evacuated is preferable to the number of 

houses evacuated. People who were ordered to move simply to improve 

access to the site for emergency vehicles are not considered to have been 

evacuated. 

�	 Sheltered. Estimate the number of members of the community who were 

sheltered-in-place during the accident. Sheltering-in-place occurs when 

community members are ordered to remain inside their residence or place of 

work until the emergency is over to prevent exposure to the effects of the 

accidental release. Usually these orders are communicated by an emergency 

broadcast or similar method of mass notification by response agencies. 

�	 Environmental Damage. Indicate whether any environmental damage 

occurred and specify the type. The damage to be reported is not limited to 

environmental receptors listed in the rule. Any damage to the environment 

(e.g., dead or injured animals, defoliation, water contamination) should be 

identified. You are not, however, required to conduct surveys to determine 

whether such impact occurred. Types of environmental damage include: 

�	 Fish or animal kills. 

�	 Lawn, shrub, or crop damage (minor defoliation). 

�	 Lawn, shrub, or crop damage (major defoliation). 

�	 Water contamination. 

�	 Other (specify). 
Chapter 3 

3-7 Five-Year Accident History 

Initiating event. Indicate the initiating event that was the immediate cause of the 

accident, if known. If you conducted an investigation of the release, you should have 

identified the initiating event. 

�	 Equipment Failure. A device or piece of equipment failed or did not 

function as designed. For example, the vessel wall corroded or cracked. 

�	 Human Error. An operator performed a task improperly, either by failing to 

take the necessary steps or by taking the wrong steps. 

�	 Weather Conditions. Weather conditions, such as lightning, hail, ice storms, 

tornados, hurricanes, floods, or high winds, caused the accident. 

�	 Unknown. 

Contributing factors. These are factors that contributed to the accident, but were 

not the initiating event. If you conducted an investigation of the release, you may 

have identified factors that led to the initiating event or contributed to the severity of 

the release. Indicate all that apply. 

�	 Equipment Failure. A device or piece of equipment failed to function as 

designed, thereby leading to or worsening the accidental release. 

�	 Human error. An operator performed an operation improperly or made a 

mistake leading to or worsening the accidental release. 

�	 Improper Procedures. The procedure did not reflect the proper method of 

operation, the procedure omitted steps that affected the accident, or the 

procedure was written in a manner that allowed for misinterpretation of the 

instructions. 

�	 Overpressurization. The process was operated at pressures exceeding the 

design working pressure. 

�	 Upset Condition. Incorrect process conditions (e.g., increased temperature 

or pressure) contributed to the release. 

�	 By-pass Condition. A failure occurred in a pipe, channel, or valve that 

diverts fluid flow from the main pathway when design process or storage 

conditions are exceeded (e.g., overpressure). By-pass conditions may be 

designed to release the substance to restore acceptable process or storage 

conditions and prevent more severe consequences (e.g., explosion). 

�	 Maintenance Activity/ Inactivity. A failure occurred because of maintenance 

activity or inactivity. For example, the storage racks remained unpainted for 

so long that corrosion caused the metal to fail. 
Chapter 3 

Five-Year Accident History 3-8 

�	 Process Design. A failure resulted from an inherent flaw in the design of the 

process (e.g., pressure needed to make the product exceeds the design 

pressure of the vessel). 

�	 Unsuitable Equipment. The equipment used was incorrect for the process. 

For example, the forklift was too large for the corridors. 

�	 Unusual Weather Conditions. Weather conditions, such as lightning, hail, 

ice storms, tornados, hurricanes, floods, or high winds contributed to the 

accident. 

�	 Management Error. A failure occurred because management did not 

exercise its managerial control to prevent the accident from occurring. This 

is usually used to describe faulty procedures, inadequate training, inadequate 

oversight, or failure to follow existing administrative procedures. 

Whether offsite responders were notified. If known, indicate whether response 

agencies (e.g., police, fire, medical services) were contacted. 

Changes introduced as a result of the accident. Indicate any measures that you 

have taken at the facility to prevent recurrence of the accident. Indicate all that 

apply. 

�	 Improved/ Upgraded Equipment. A device or piece of equipment that did 

not function as designed was repaired or replaced. 

�	 Revised Maintenance. Maintenance procedures were clarified or changed to 

ensure appropriate and timely maintenance including inspection and testing 

(e.g., increasing the frequency of inspection or adding a testing method). 

�	 Revised Training. Training programs were clarified or changed to ensure 

that employees and contract employees are aware of and are practicing 

correct safety and administrative procedures. 

�	 Revised Operating Procedures. Operating procedures were clarified or 

changed to ensure that employees and contract employees are trained on 

appropriate operating procedures. 

�	 New Process Controls. New process designs and controls were installed to 

correct problems and prevent recurrence of an accidental release. 

�	 New Mitigation Systems. New mitigation systems were initiated to limit the 

severity of accidental releases. 

�	 Revised Emergency Response Plan. The emergency response plan was 

revised. 

�	 Changed Process. Process was altered to reduce the risk (e.g., process 

chemistry was changed). 
Chapter 3 

3-9 Five-Year Accident History 

�	 Reduced Inventory. Inventory was reduced at the facility to reduce the 

potential release quantities and the magnitude of the hazard. 

�	 Other. 

�	 None. No changes initiated at facility as a result of the accident (e.g., 

because none were necessary or technically feasible). There may be some 

accidents that could not have been prevented because they were caused by 

events that are too rare to merit additional steps. For example, if a tornado 

hit your facility and you are located in an area where tornados are very rare, 

it may not be reasonable to design a "tornado proof" process even if it is 

technically feasible. 

3.3	 WHEN MUST ACCIDENTS BE REPORTED? 

When an RMP is first submitted to EPA, it must contain a five-year accident history 

including all of the accidents that meet the reporting criteria discussed above and that 

occurred within five years of the date of the RMP is submitted. When an RMP is 

updated as required by section 68.190 of the rule, it must contain an updated fiveyear accident history including all of the accidents that meet the reporting criteria 

and that occurred within five years of the date on which the updated RMP is 

submitted. In addition, on April 9, 2004, EPA published a final rule that amended 

the accident history reporting requirement (and certain other provisions of the risk 

management program). Beginning on that date, if an accident occurs that meets the 

reporting criteria, it must be reported in the RMP five-year accident history within 

six months of the accident, as required by section 68.195 of the rule, unless it is 

included in an RMP update prior to that time. EPA took this action to require more 

timely reporting of significant accidents in RMPs so that government, industry and 

the public would be more quickly alerted to the possibility of similar accidents 

occurring elsewhere. 

3.4	 OTHER ACCIDENT REPORTING REQUIREMENTS 

You should already have much of the data required for the five-year accident history 

because of the reporting requirements under the Comprehensive Emergency 

Response, Compensation, and Liability Act (CERCLA), EPCRA, and OSHA (e.g., 

log of work-related injuries and illnesses). This information should minimize the 

effort necessary to complete the accident history. 

At the same time, some of the information originally reported to response agencies 

may have been incomplete or inaccurate because it was reported during the release 

when a full assessment was not possible. It is imperative that you include the most 

accurate, up-to-date information possible in the five-year accident history. This 

information may not always match the original estimates from the initial reporting of 

the accident's effects. 

CERCLA Section 103(a) requires you to immediately notify the National Response 

Center if your facility releases a hazardous substance to the environment in greater 

than a reportable quantity (see 40 CFR part 302). Toxic substances regulated under 
Chapter 3 

Five-Year Accident History 3-10 

part 68 are also CERCLA hazardous substances, but most of the flammable 

substances regulated under part 68 are not subject to CERCLA reporting. Notice 

required under CERCLA includes the following information: 

�	 The chemical name or identity of any substance involved in the release 

�	 An indication of whether the substance is on the list referred to in Section 

302(a) 

�	 An estimate of the quantity of substance that was released into the 

environment 

�	 The time and duration of the release 

�	 The medium or media into which the release occurred. 

EPCRA Section 304 requires facilities to report to the community emergency 

coordinator of the appropriate local emergency planning committee (LEPC) and state 

emergency response commission (SERC) releases of extremely hazardous substances 

to the environment in excess of reportable quantities (as set forth in 40 CFR part 

302). All toxic substances regulated under part 68 are subject to EPCRA reporting; 

flammables regulated under part 68 are generally not subject to EPCRA reporting. 

The report required by EPCRA is to include: 

�	 Chemical name or identity of all substances involved in the accident 

�	 An estimate of the quantity of substances released to the environment 

�	 The time and duration of the release. 

The owner or operator is also required to release a Follow-up Emergency Notice as 

soon as possible after a release which requires notification. This notice should 

update the previously released information and include additional information 

regarding actions taken to respond to the release, any known or anticipated acute or 

chronic health risks associated with the release, and where appropriate, advice 

regarding medical attention necessary for exposed individuals. 

OSHA's Log of Work-Related Injuries and Illnesses, OSHA Form 300, is used for 

recording and classifying recordable occupational injuries and illnesses, and for 

noting the extent and outcome of each case. The log shows when the occupational 

injury or illness occurred, to whom, what the injured or ill person's regular job was at 

the time of the injury or illness exposure, the kind of injury or illness, how much 

time was lost, and whether the case resulted in a fatality, etc. The following are the 

sections of the illness/ injury log that are useful in completing the accident history. 

�	 Column B: Employee’s name 

�	 Column C: Job title 
Chapter 3 

3-11 Five-Year Accident History 

�	 Column D: Date of injury or onset of illness 

�	 Column F: Description of injury or illness 

�	 Columns G, H, I, K, L: Indicate whether a death occurred, whether injury 

resulted in lost workdays or restricted duty, and number of work days away 

form work or on restricted duty. 

�	 Column M: Indicates whether injury occurred or type of illness. 

PART 68 INCIDENT INVESTIGATION 

An incident investigation is a requirement of the rule (§68.60 and 68.81). For 

accidents involving processes in Program 2 or Program 3, you must investigate each 

incident which resulted in, or could reasonably have resulted in, a catastrophic 

release of a regulated substance. A report, which includes the following information, 

should be prepared at the conclusion of the investigation: 

�	 Date of incident 

�	 Date investigation began 

�	 Description of the incident 

�	 Factors that contributed to the incident 

�	 Any recommendations resulting from the investigation. 

Because the incident investigation report must be retained for five years, you will 

have a record for completing the five-year accident history for updates of the RMP. 
    

     

   

   

                          

                         

                             

                               

                             

                                   

                                 

                           

                              

                           

                             

                      

                                   

                               

                             

                                 

                             

                         

                               

                             

                                   

                                   

     

                             

                               

         

                         

                               

           

                                       

   

                           

                                 

                                

                               

                                 

                           

                                 

                               

           

Chapter 3

Five­Year Accident History 3­12

QS &AS
 

ACCIDENT HISTORY
 

Q. When does the five­year period to be reported in the accident history begin?

A. The five­year accident history must include information on all accidental releases from covered

processes meeting the specified criteria that occurred in the five years preceding the date of

submission of your initial RMP or your most recent update required under section 68.190, as well

as information provided to revise the accident history for any accidental releases that occur prior

to the next required update. For example, if an RMP is updated on June 21, 2009, the five­year

accident history must cover the period between June 21, 2004, and June 21, 2009. If a reportable

accident occurs two months later, the five­year accident history must cover the period between

June 21, 2004, and the date of the accident (see next question for further explanation).

Q. I recently submitted my five­year RMP update required by section 68.190 (b)(1) and included

my accident history for the previous five years. Two months later, we had another reportable

accident. Do I have to do anything to revise my RMP?

A. Yes. You must revise your accident history within six months of the date of the new accident to

include information about it. You do this by correcting section 6 of your RMP (the accident

history section) so that it includes all accident history information reported on the most recent

update, as well as the information about the new accident. You should also indicate the reason for

your correction (i.e., new accident history information) in the appropriate field in section 1 of

RMP*eSubmit. Facilities reporting under Programs 2 and 3 must also revise the incident

investigation information in their RMPs (section 7 or 8 of their RMP). Specifically, the date of

investigation (40 CFR 68.170(j)) and the expected date of completion of any changes (40 CFR

68.175(l)) should be revised. You do not need to update or correct any other section of the RMP,

unless you have taken actions (e.g., as a result of the accident) that trigger an update in accordance

with section 68.190.

Q. If a facility has recently changed ownership, is the new facility owner required to include

accidents which occurred prior to the transfer of ownership in the accident history portion of the

RMP submitted for the facility?

A. Yes, accidents involving covered processes that occurred prior to the transfer of ownership

should be included in the five­year accident history. You may want to explain that the ownership

has changed in your Executive Summary.

Q. If I have a large on­site incident, but no offsite impact, would I have to report it in the five­year

accident history?

A. It would depend on whether you have onsite deaths, injuries, or significant property damage.

You could have a large accident without any of these consequences (e.g., a large spill that was

contained); this type of release would not have to be included in the five­year accident history.

Q. I had a release where several people were treated at the hospital and released; they attributed

their symptoms to exposure. We do not believe that their symptoms were in fact the result of

exposure to the released substance. Do we have to report these as offsite impacts?

A. Yes, you should report them in your five­year accident history. You may want to use the

executive summary to state that you do not believe that the impacts can be legitimately attributed

to the release and explain why.
CHAPTER 4: OFFSITE CONSEQUENCE ANALYSIS 

You are required to conduct an offsite consequence analysis to provide information 

to the government and the public about the potential consequences of an accidental 

chemical release at your facility. The offsite consequence analysis (OCA) consists 

of two elements: 

g A worst-case release scenario and 

g Alternative release scenarios. 

To simplify the analysis and ensure a common basis for comparisons, EPA has 

defined the worst-case scenario as the release of the largest quantity of a regulated 

substance from a single vessel or process line failure that results in the greatest 

distance to an endpoint. In broad terms, the distance to the endpoint is the distance a 

toxic vapor cloud, heat from a fire, or blast waves from an explosion will travel 

before dissipating to the point that serious injuries from short-term exposures are no 

longer likely. 

This chapter gives guidance on how to perform the OCA for regulated substances 

that are typically found at chemical distribution facilities. 

Section 68.130 lists 77 toxic substances and 63 flammable substances that are 

subject to regulation. The National Association of Chemical Distributors (NACD) 

conducted an informal poll of its members to determine which regulated chemicals 

might be on-site in quantities above the threshold. The results of the survey are 

shown on Exhibits 4-1 and 4-2. This guidance focuses on the substances identified 

in these exhibits. For substances that are not currently included in this guidance, 

consult and use the EPA’s RMP Offsite Consequence Analysis Guidance (OCAG) or 

other models or methods. 

To estimate consequence distance, this guidance provides a sequence of equations 

based on the references tables of distances in the OCAG (see Appendix 4A for the 

derivation of these equations. You may use the OCAG reference tables to estimate 

distances, if you prefer. 

RMP*CompTM 

To assist those using this guidance, the National Oceanic and Atmospheric Administration (NOAA) 

and EPA have developed a software program, RMP*CompTM, that performs the calculations 

described in this document. This software can be downloaded from the EPA Internet website at 

http://www.epa.gov/swercepp/tools/rmp-comp/rmp-comp.html. 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-2 

EXHIBIT 4-1 

INFORMATION GATHERED BY NACD SURVEY - TOXIC SUBSTANCES 

Chemical Name 

Typical 

Amount 

on Site (lb)a 

Liquid 

or 

Gas 

Toxic 

Endpoint 

(mg/L) 

Vapor 

Pressure 

@ 25EC 

Liquid 

Density 

(lb/ft3

) 

Allyl alcohol 

Anhydrous ammonia 

Aqueous ammonia 

(> 20%) 

Bromine 

Carbon disulfide 

Chlorine 

Chloroform 

Cyclohexylamine 

Epichlorohydrin 

Ethylenediamine 

Ethylene oxide 

Formaldehyde (37%)b 

Hydrazine - pure 

Aqueous hydrochloric 

acid (> 30%:38%) 

Hydrofluoric acid 

(70%) 

Methyl chloride 

Methyl isocyanate 

Nitric acid (80%) 

Phosgene 

Phosphorus 

oxychloride 

Phosphorus trichloride 

Propylene oxide 

Sulfur dioxide 

Sulfur trioxide 

Toluene 2,4­

diisocyanate 

Toluene 2,6­

diisocyanatec 

Not specified 

20,000 - 180,000 

10,000 - 180,000 

10,000 - 35,000 

20,000 - 120,000 

20,000 - 330,000 

20,000 

20,000 

20,000 

20,000 

10,000 - 200,000 

15,000 - 55,000 

15,000 - 55,000 

15,000 - 330,000 

1,000 - 100,000 

20,000 - 25,000 

10,000 - 45,000 

20,000 

2,000+ 

5,000 - 25,000 

20,000 

10,000 - 200,000 

10,000 - 400,000 

10,000 - 170,000 

10,000 - 45,000 

10,000 - 115,000 

Toxic liquid 

Toxic gas 

Toxic liquid 

Toxic liquid 

Toxic liquid 

Toxic gas 

Toxic liquid 

Toxic liquid 

Toxic liquid 

Toxic liquid 

Toxic gas 

Toxic liquid 

Toxic liquid 

Toxic liquid 

Toxic liquid 

Toxic gas 

Toxic liquid 

Toxic liquid 

Toxic gas 

Toxic liquid 

Toxic liquid 

Toxic liquid 

Toxic gas 

Toxic liquid 

Toxic liquid 

Toxic liquid 

0.036 

0.14 

0.14 

0.0065 

0.16 

0.0087 

0.49 

0.16 

0.076 

0.49 

0.09 

0.012 

0.011 

0.03 

0.016 

0.82 

0.0012 

0.026 

0.00081 

0.003 

0.028 

0.59 

0.0078 

0.01 

0.007 

0.007 

26.1 mm Hg 

145 psia 

332 mm Hg 

212 mm Hg 

359 mm Hg 

113 psia 

196 mm Hg 

10.1 mm Hg 

16.5 mm Hg 

12.2 mm Hg 

25.4 psia 

Concentration 

Dependent 

14.4 mm Hg 

Concentration 

Dependent 

Concentration 

Dependent 

83.2 psia 

457 mm Hg 

10 mm Hg 

27.4 psia 

35.8 mm Hg 

120 mm Hg 

533 mm Hg 

58 psia 

263 mm Hg 

0.013 mm Hg 

0.05 mm Hg 

52.2 

43.8 

55.1 

189 

77.7 

101 

91.8 

54.1 

73.9 

56.1 

89.81 

68.9 

63.1 

73.9 

77.7 

83.34 

58.3 

91.8 

79.9 

104.5 

97.8 

51.4 

94.7 

117 

75.8 

75.8 

a

Range provided if there was more than one respondent and they provided different estimates

b

The vapor pressure of formaldehyde in a 37% solution is less than 10 mm Hg. It is, therefore, not covered by the

regulation.

c

Toluene diisocyanate is also available as a mixture of 2,4- and 2,6-diisocyanate.

January 27, 1999 
Chapter 4 

4-3 Offsite Consequence Analysis 

EXHIBIT 4-2 

INFORMATION GATHERED BY NACD SURVEY - FLAMMABLE SUBSTANCES 

Chemical Name Typical 

Amount 

on Site (lb) 

Liquid 

or 

Gas 

Lower 

Flammable 

Limit (mg/L) 

Vapor 

Pressure 

@ 25EC 

Liquid 

Density 

(lb/ft3

) 

Acetaldehyde 

Dimethylamine 

Ethyl ether 

Isopropyl chloride 

Isopropylamine 

Methane 

Propane 

Trimethylamine 

Not specified 

2,500 

10,000 - 40,000 

5,000 

5,000 

Not specified 

Not specified 

10,000 - 115,000 

Flammable gas 

Flammable gas 

Flammable liquid 

Flammable liquid 

Flammable liquid 

Flammable gas 

Flammable gas 

Flammable gas 

72 

52 

57 

90 

48 

33 

36 

48 

21 psia 

102 psia 

440 mm Hg 

325 mm Hg 

248 mm Hg 

1,080 psia 

138 psia 

31.9 psia 

49 

42 

43.9 

53.1 

42.7 

28 

37 

41 

The methodology and data presented here are optional. You are not required 

to use this guidance. You may use publicly available or proprietary air dispersion 

models to do your offsite consequence analysis, subject to certain conditions. If you 

choose to use other models, you should review the rule and Chapter 4 of the General 

Guidance for Risk Management Programs, which outline required conditions for use 

of other models. 

Some of the results obtained using the methods in this document may be 

conservative (i.e., they may overestimate the distance to endpoints). Complex 

models that can account for many site-specific factors may give less conservative 

estimates of offsite consequences than the simple methods used in this guidance. 

This is particularly true for alternative scenarios, for which EPA has not specified 

many assumptions. However, complex models may be expensive and require 

considerable expertise to use; this guidance is designed to be simple and 

straightforward. You will need to consider these tradeoffs in deciding how to carry 

out your required consequence analyses. 

This chapter discusses worst-case scenarios and presents methods for determining 

the worst-case distance to the endpoint for substances listed in Exhibits 4-1 and 4-2 

(section 4.1), followed by discussions and methods for alternative scenarios for these 

substances (section 4.2). Section 4.3 briefly discusses methods for estimating the 

mitigating effects of buildings. The remaining sections provide guidance on defining 

offsite impacts (section 4.4) and documentation (section 4.5). 

4.1 WORST-CASE RELEASE SCENARIOS 

This section provides guidance on how to analyze worst-case scenarios. Information 

is provided on the general requirements of the regulations, followed by sections on 

toxic gases, toxic liquids, and flammable substances, focusing on those substances 

likely to be found at chemical distribution facilities. Exhibit 4-3 presents the 

parameters that must be used in worst-case and alternative release scenarios. 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-4 

EXHIBIT 4-3 

REQUIRED PARAMETERS FOR MODELING (40 CFR 68.22) 

WORST CASE ALTERNATIVE SCENARIO 

Endpoints (§68.22(a)) 

Toxic endpoints are listed in part 68 Appendix A. Toxic endpoints are listed in part 68 Appendix A. 

For flammable substances, endpoint is overpressure of 1 

pound per square inch (psi) for vapor cloud explosions. 

For flammable substances, endpoint is: 

gOverpressure of 1 psi for vapor cloud explosions 

gRadiant heat level of 5 kilowatts per square meter (kW/m2

) for 

40 seconds for heat from fires (or equivalent dose) 

gLower flammability limit (LFL) as specified in NFPA 

documents or other generally recognized sources for vapor cloud 

fires. 

Wind speed/stability (§68.22(b)) 

This guidance assumes 1.5 meters per second and F 

stability. For other models, use wind speed of 1.5 

meters per second and F stability class unless you can 

demonstrate that local meteorological data applicable to 

the site show a higher minimum wind speed or less 

stable atmosphere at all times during the previous three 

years. If you can so demonstrate, these minimums may 

be used for site-specific modeling. 

This guidance assumes wind speed of 3 meters per second and D 

stability. For other models, you may use typical meteorological 

conditions for your site. 

Ambient temperature/humidity (§68.22(c)) 

This guidance assumes 25EC (77EF) and 50 percent 

humidity. For other models for toxic substances, you 

must use the highest daily maximum temperature and 

average humidity for the site during the past three years. 

This guidance assumes 25EC and 50 percent humidity. For other 

models, you may use average temperature/humidity data gathered 

at the site or at a local meteorological station. 

Height of release (§68.22(d)) 

For toxic substances, you must assume a ground level 

release. 

This guidance assumes a ground-level release. For other models, 

release height may be determined by the release scenario. 

Surface roughness (§68.22(e)) 

Use urban (obstructed terrain) or rural (flat terrain) 

topography, as appropriate. 

Use urban (obstructed terrain) or rural (flat terrain) topography, as 

appropriate. 

Dense or neutrally buoyant gases (§68.22(f)) 

Tables or models used for dispersion of regulated toxic 

substances must appropriately account for gas density. 

Tables or models used for dispersion must appropriately account 

for gas density. 

Temperature of released substance (§68.22(g)) 

You must consider liquids (other than gases liquefied by 

refrigeration) to be released at the highest daily 

maximum temperature, from data for the previous three 

years, or at process temperature, whichever is higher. 

Assume gases liquefied by refrigeration at atmospheric 

pressure to be released at their boiling points. 

Substances may be considered to be released at a process or 

ambient temperature that is appropriate for the scenario. 

January 27, 1999 
Chapter 4 

4-5 Offsite Consequence Analysis 

GENERAL REQUIREMENTS FOR TOXIC SUBSTANCES 

The following information is required for worst-case release analysis of toxic 

substances: 

g The worst-case release quantity Q (lb) is the greater of the following: 

› For substances in vessels, the greatest amount held in a single vessel, 

taking into account administrative controls that limit the maximum 

quantity; or 

› For substances in pipes, the greatest amount in a pipe, taking into 

account administrative controls that limit the maximum quantity. 

An example of an administrative control is a procedure that limits the total 

amount of a substance that you can have in a vessel. For example, you 

should have procedures for vessels containing anhydrous ammonia liquefied 

under pressure, limiting the volume of ammonia to 85% of the volume of the 

vessel, because ammonia has a large coefficient of volumetric expansion. 

For vessels, you need only consider the largest amount in the vessel, 

regardless of interconnections with pipes and other vessels. Similarly, if the 

largest quantity is contained in a pipe, you need not add the quantity in 

vessels at the end of the pipelines. You may be able to think of scenarios in 

which a quantity greater than Q as defined above can be released, but EPA 

does not require you to model such scenarios as worst-case (you may want to 

consider modeling them as alternative scenarios). 

g Weather conditions. The rule allows anyone who conducts his or her OCA 

based on this guidance to use specific default weather conditions for wind 

speed, stability class, average temperature, and humidity. 

g Temperature of released substance. Liquids other than gases liquefied by 

refrigeration should be considered to be released at the highest daily 

maximum temperature, based on local data for the previous three years, or at 

process temperature, whichever is the higher. Gases liquefied by 

refrigeration alone (e.g., refrigerated chlorine or ammonia) should be 

considered to be released at their atmospheric boiling points. You can obtain 

weather data from local weather stations. You can also obtain temperature 

and wind speed data from the National Climatic Data Center at (828) 271­

4800. 

g For the worst-case scenario, the release must be assumed to take place at 

ground level. 

g Toxic endpoints for toxic substances commonly found at chemical 

distribution facilities are listed in Exhibit 4-1. These endpoints are specified 

in 40 CFR Part 68, Appendix A. The endpoints are intended to correspond 

to maximum airborne concentrations below which it is believed that nearly 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-6 

all individuals can be exposed for up to one hour without experiencing or 

developing irreversible or other serious health effects or symptoms which 

could impair an individual's ability to take protective action. 

g Rural vs. urban sites. The regulations require you to take account of 

whether your site is rural or urban. To decide whether the site is rural or 

urban, the rule offers the following: “Urban means that there are many 

obstacles in the immediate area; obstacles include buildings or trees. Rural 

means that there are no buildings in the immediate area and the terrain is 

generally flat or unobstructed.” Some areas outside of cities may still be 

considered urban if they are forested. 

The distinction between urban and rural sites is important because the 

atmosphere at urban sites is generally more turbulent than at rural sites, 

causing more rapid dilution of the cloud as it travels downwind. Therefore, 

for ground-level releases, predicted distances to toxic endpoints are always 

smaller at urban sites than at rural sites. 

g Gas density. The regulations require you to use tables or models that 

appropriately account for gas density. This guidance provides methods that 

are based on modeling carried out for dense and neutrally buoyant gases or 

vapors (i.e., for gases that are denser-than-air or for gases that have the same 

density as air, respectively), as appropriate. 

g Mitigation. You are only allowed to take account of passive mitigation 

systems, not active ones. Passive mitigation systems could include: 

› Diked areas that confine a liquid pool and reduce the surface area 

available for evaporation 

› Buildings, provided that the building can be shown to withstand the 

events that caused the release (see Section 4.3 for more information) 

Active mitigation systems include: 

› Automatically closing or remotely operated valves 

› Sprays and deluge systems 

› Relief valves 

› Check valves 

› Excess flow valves 

› Scrubbers 

. 

g The predicted frequency of occurrence of the worst-case scenario is not an 

allowable consideration. You are not required to determine a possible cause 

of the failure of the vessel. 

TOXIC GASES 

For toxic gases, the worst-case scenario is release of the contents of the largest vessel 

or pipeline over 10 minutes. For toxic gases listed in Exhibit 4-1, distance to which 

January 27, 1999 
Chapter 4 

4-7 Offsite Consequence Analysis 

the cloud will travel before falling below the toxic endpoint can be estimated from 

the following equation: 

D = A1 (QR)A2 (1) 

where D (mi) is the distance to which the vapor cloud travels before its concentration 

falls below the toxic endpoint, QR (lb/min) is the release rate, or the total quantity 

released divided by 10, and A1 and A2 are constants with values that depend upon 

the particular chemical and whether the site is urban or rural. The derivation of 

Equation 1 is fully explained in Appendix 4A. 

Values of A1 and A2 for the toxic gases listed in Exhibit 4-1 are given on Exhibit 4­

4. For calculated distances less than 10 mi, round the results up or down to the 

nearest tenth of a mile. For distances from 10 to 25 mi, round the results to the 

nearest mile. For distances exceeding 25 mi, present the results as 25 mi. For 

distances less than 0.1 mi, present the results as 0.1 mi. 

EXHIBIT 4-4 

WORST-CASE SCENARIO—CONSTANTS A1 AND A2 FOR TOXIC GASES

(For a 10-minute Duration of Release)

Chemical Name 

Rural Urban 

A1 A2 A1 A2 

Anhydrous Ammonia 

Chlorine 

Ethylene Oxide 

Methyl Chloride 

Phosgene 

Sulfur Dioxide 

0.0607 

0.227 

0.181 

0.0518 

1.79 

0.165 

0.4923 

0.4879 

0.4311 

0.4397 

0.4503 

0.5562 

0.0443 

0.0878 

0.0877 

0.0270 

1.21 

0.0726 

0.4782 

0.5134 

0.4775 

0.4571 

0.4860 

0.5419 

Example 1. For sulfur dioxide at a rural site, A1 = 0.165 and A2 = 0.5562 (see 

Exhibit 4-4). For a 20,000-lb release, at 2,000 lb/min: 

D = (0.165)(2,000)0.5562 = 11.3 mi ~ 11 mi 

For an urban site, A1 = 0.0726 and A2 = 0.5419, so that: 

D = (0.0726)(2,000)0.5419 = 4.46 mi ~ 4.5 mi 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-8 

TOXIC LIQUIDS 

The worst-case scenario for toxic liquids is a spill of the total quantity in the largest 

vessel. The quantity spilled is assumed to spread instantaneously to a depth of one 

centimeter in an undiked area or to cover a diked area instantaneously. The distance 

to the endpoint is estimated based on evaporation from the pool and downwind 

dispersion of the vapor. Two cases are considered here: 

g The pool is unconfined, in which case it spreads out until it has a depth of 

one centimeter, or 

g The pool is limited in area by a dike 

RATE OF EVAPORATION - UNDIKED AREA 

For an undiked area, the rate of evaporation QR (lb/min) for a spill at ambient 

temperature is given by: 

QR = 1.4 × LFA × DF × QS (2) 

where QS is the total quantity (lb) spilled, LFA is the “Liquid Factor Ambient,” and 

DF is the “density factor.” The values of LFA and DF are provided in Exhibits 4-5a 

and 4-5b. LFA is calculated for a 25EC spillage. If you wish, you may apply a 

correction factor that takes account of the fact that LFA is proportional to the vapor 

pressure. Exhibit 4-6 gives values for a temperature correction factor (TCF) over a 

range of temperatures for toxic liquids. You can correct the LFA for temperatures 

above 25EC as follows: 

LFA(T) = TCF × LFA(25EC) (3) 

where: LFA(T) = Corrected Liquid Factor Ambient at temperature T 

TCF = Temperature Correction Factor at temperature T, from Exhibit 4-6 

(use the factor given for temperature closest to T) 

LFA(25EC) = LFA at 25EC, from Exhibit 4-5a or 4-5b 

For a liquid in a process in which the temperature of the process exceeds 25EC, the 

release rate to air from an evaporating pool in an undiked area is given by the 

following formula: 

QR = 1.4 × LFB × DF × QS (4) 

where LFB is the “Liquid Factor Boiling.” Values of LFB are also provided in 

Exhibit 4-5a. You may replace LFB by LFA(T), using Equation 3, where TEC is 

now the temperature of the process. LFA(T) will give a less conservative result. 

January 27, 1999 
Chapter 4 

4-9 Offsite Consequence Analysis 

EXHIBIT 4-5a 

VALUES OF LFA, LFB, DF AND VAPOR PRESSURE FOR TOXIC LIQUIDS1 

Material LFA LFB DF 

Vapor Pressure 

@ 25EC 

(mm Hg) 

Allyl Alcohol 

Bromine 

Carbon disulfide 

Chloroform 

Cyclohexylamine 

Epichlorohydrin 

Ethylenediamine 

Hydrazine 

Methyl Isocyanate 

Phosphorus oxychloride 

Phosphorus trichloride 

Propylene oxide 

Sulfur trioxide 

Toluene 2,4-diisocyanate 

Toluene 2,6-diisocyanate 

0.0046 

0.073 

0.075 

0.055 

0.0025 

0.0040 

0.0022 

0.0017 

0.079 

0.012 

0.037 

0.093 

0.057 

0.000006 

0.000018 

0.11 

0.23 

0.15 

0.19 

0.14 

0.14 

0.10

 0.069 

0.13 

0.20 

0.20 

0.13 

0.15 

0.16 

0.16 

0.58 

0.16 

0.39 

0.33 

0.56 

0.42 

0.54 

0.48 

0.52 

0.29 

0.31 

0.59 

0.26 

0.40 

0.40 

26.1 

212 

359 

196 

10 

17 

12 

14.4 

457 

35.8 

120 

533 

263 

0.017 

0.05 

EXHIBIT 4-5b

VALUES OF LFA, DF AND VAPOR PRESSURE FOR AQUEOUS SOLUTIONS1

Material 

LFA at 25EC Vapor Pressure at 25EC 

(mm Hg)2 

DF 

Wind Speed 

1.5 m/s 

Wind Speed 

3.0 m/s 

Wind Speed 

1.5 m/s 

Wind Speed 

3.0 m/s 

Aqueous Ammonia 30% 

Aqueous Ammonia 24% 

Aqueous Ammonia 20% 

Formaldehyde 37% 

Hydrochloric Acid 38% 

Hydrochloric Acid 37% 

Hydrochloric Acid 36%3 

Hydrochloric Acid 34%3 

Hydrochloric Acid 30%3 

Hydrofluoric Acid 70% 

Hydrofluoric Acid 50% 

Nitric Acid 90% 

Nitric Acid 85% 

Nitric Acid 80% 

0.026 

0.019 

0.015 

0.0002 

0.010 

0.0085 

0.0072 

0.0048 

0.0016 

0.011 

0.0014 

0.0046 

0.0032 

0.0019 

0.019 

0.014 

0.011 

0.0002 

0.0070 

0.0062 

0.0053 

0.0037 

0.0015 

0.010 

0.0013 

0.0040 

0.0029 

0.0018 

332 

241 

190 

1.5 

78 

67 

56 

38 

13 

124 

16 

25 

17 

10.2 

248 

184 

148 

1.4 

55 

48 

42 

29 

12 

107 

15 

22 

16 

10 

0.55 

0.54 

0.53 

0.44 

0.41 

0.42 

0.42 

0.42 

0.42 

0.39 

0.41 

0.33 

0.33 

0.33 1

LFB is not tabulated for solutions.

2

Vapor pressure averaged over 10 minutes.

3

Hydrochloric acid in concentrations below 37% is not regulated.

June 23, 1999 
Chapter 4 

Offsite Consequence Analysis 4-10 

EXHIBIT 4-6

TEMPERATURE CORRECTION FACTORS FOR LIQUIDS EVAPORATING FROM POOLS

AT TEMPERATURES BETWEEN 25EC AND 50EC (77EF AND 122EF)1

CAS 

Number 

Chemical Name 

Boiling 

Point 

(EC) 

Temperature Correction Factor (TCF) 

30EC 

(86EF) 

35EC 

(95EF) 

40EC 

(104EF) 

45EC 

(113EF) 

50EC 

(122EF) 

107-18-6 Allyl alcohol 97.08 1.3 1.7 2.2 2.9 3.6 

7726-95-6 Bromine 58.75 1.2 1.5 1.7 2.1 2.5 

75-15-0 Carbon disulfide 46.22 1.2 1.4 1.6 1.9 LFB 

67-66-3 Chloroform 61.18 1.2 1.5 1.8 2.1 2.5 

108-91-8 Cyclohexylamine 134.50 1.3 1.7 2.1 2.7 3.4 

106-89-8 Epichlorohydrin 118.50 1.3 1.7 2.1 2.7 3.4 

107-15-3 Ethylenediamine 117.41 1.3 1.8 2.3 3.0 3.8 

302-01-2 Hydrazine 113.50 1.3 1.7 2.2 2.9 3.6 

624-83-9 Methyl 

isocyanate 

38.85 1.2 1.4 LFB LFB LFB 

7697-37-2 Nitric acid 83.00 1.3 1.6 2.0 2.5 3.1 

10025-87-3 Phosphorus 

oxychloride 

105.50 1.3 1.6 1.9 2.4 2.9 

7719-12-2 Phosphorus 

trichloride 

76.10 1.2 1.5 1.8 2.1 2.5 

75-56-9 Propylene oxide 33.90 1.2 LFB LFB LFB LFB 

7446-11-9 Sulfur trioxide 44.75 1.3 1.7 LFB LFB LFB 

584-84-9 Toluene 

2,4-diisocyanate 

251.00 1.6 2.4 3.6 5.3 7.7 

91-08-7 Toluene 

2,6-diisocyanate 

244.85 ND ND ND ND ND 

Notes:

1

Taken from OCAG, Exhibit B-4

ND: No data available.

LFB: Chemical above boiling point at this temperature; use LFB for analysis.

OCAG did not develop temperature correction factors for aqueous solutions, such as aqueous ammonia. 

June 23, 1999 
Chapter 4 

4-11 Offsite Consequence Analysis 

You may want to use LFA(T) especially in cases where the liquid is at a temperature 

significantly below its boiling point. Assuming the liquid spreads to form a pool 1 

centimeter deep, the area A (ft2

) of the spill is: 

A = DF × QS (5) 

where DF is assumed to be independent of temperature. 

Example 2 To calculate the rate of evaporation of an undiked spill of 10,000 lb of 

epichlorohydrin spilled at ambient temperature, use Equation 2 and Exhibit 4-5a: 

QR = (1.4)(0.0040)(0.42)(10,000) = 23.5 lb/min 

If the spill takes place from a process at a higher temperature than 25EC, using 

Equation 4 and Exhibit 4-5a: 

QR = (1.4)(0.14)(0.42)(10,000) ~ 820 lb/min 

Clearly, this is an example in which you might want to consider replacing LFB in 

Equation 4 by LFA(T) from Equation 3. For example, at 35EC, TCF for 

epichlorohydrin (from Exhibit 4-6) is 1.7. The release rate is: 

QR = 23.5 × 1.7 = 40 lb/min 

RATE OF EVAPORATION - DIKED AREA 

If the pool is confined within a diked area of Ad ft2, the rate of evaporation is 

independent of the total quantity spilled and is given by: 

QR = 1.4 × LFA × Ad (6) 

for a spill at ambient temperature, and 

QR = 1.4 × LFB × Ad (7) 

for a spill from a process at a temperature exceeding 25EC. You may replace LFB 

by LFA(T) from Equation 3 if you wish. 

To calculate the rate of evaporation QR: 

g Calculate the area A to which the spill will spread, using Equation 5 

g Compare A and Ad 

g If A is smaller than Ad, calculate QR using Equation 2 or Equation 4 (this is 

appropriate for a small spill that spreads to a depth of 1 cm before it 

encounters the walls of the diked area), or 

g If Ad is smaller, calculate the release rate using Equation 6 or 7. 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-12 

Example 3 Suppose that 10,000 lb of cyclohexylamine at ambient temperature spills 

into a diked area (Ad) of 4,000 ft2

. From Equation 5 and Exhibit 4-4: 

A = (0.56)(10,000) = 5,600 ft2 

Ad is the smaller of the two areas, so that, using Equation 6 and Exhibit 4-4a: 

QR = 1.4 × 0.0025 × 4,000 = 14 lb/min 

DISTANCE TO TOXIC ENDPOINT 

For each of the toxic liquids and aqueous solutions listed in Exhibits 4-5a and 4-5b, 

the distance to the endpoint can be estimated from the following equation (see 

Appendix 4A for the derivation of this equation): 

D = B1 (QR)B2 (8) 

where D (mi) is the distance to which the vapor cloud travels before its concentration 

falls below the toxic endpoint, QR (lb/min) is the rate of evaporation, and B1 and B2 

are constants with values that depend upon the particular chemical and whether the 

site is urban or rural. 

Values of B1 and B2 are given on Exhibit 4-7a for a 10-minute release and on 

Exhibit 4-7b for a 60-minute release. B1 and B2 values for 10-minute releases 

should be used for pools that evaporate in 10 minutes or less, and values for 60­

minute releases should be used for longer evaporation times. For solutions, always 

use the 10-minute values. 

For distances less than 10 mi, round the results up or down to the nearest tenth of a 

mile. For distances from 10 to 25 mi, round the results to the nearest mile. For 

distances exceeding 25 mi, present the results as 25 mi. For distances less than 0.1 

mi, present the results as 0.1 mi. 

Example 4, 60-minute release. In Example 3, an evaporation rate of 14 lb/min was 

estimated for a 10,000-lb spill of cyclohexylamine. At this rate of evaporation, the 

pool would take 10,000/14, or more than 700 minutes, to evaporate. Therefore, you 

would use B1 and B2 for a 60-minute release to estimate the distance to the 

endpoint. From Exhibit 4-7b, for a rural site, B1 = 0.143 and B2 = 0.5440. For the 

14 lb/min release rate predicted in Example 3, 

D = (0.143)(14)0.5440 = 0.6 mi at a rural site 

For an urban site, B1 = 0.0844 and B2 = 0.5789, so that: 

D = (0.0844)(14)0.5789 = 0.39 mi ~ 0.4 mi. 

January 27, 1999 
Chapter 4 

4-13 Offsite Consequence Analysis 

EXHIBIT 4-7a

WORST-CASE SCENARIO—CONSTANTS B1 & B2 FOR TOXIC LIQUIDS 

AND AQUEOUS SOLUTIONS, 10-MINUTE RELEASE

Chemical Name 

Rural Urban 

B1 B2 B1 B2 

Allyl Alcohol 

Aqueous Ammonia 

Bromine 

Carbon Disulfide 

Chloroform 

Cyclohexylamine 

Epichlorohydrin 

Ethylenediamine 

Formaldehyde 

Hydrazine 

Hydrochloric Acid 

Hydrofluoric Acid 

Methyl Isocyanate 

Nitric Acid 

Phosphorus Oxychloride 

Phosphorus Trichloride 

Propylene Oxide 

Sulfur Trioxide 

Toluene 2,4-diisocyanate 

Toluene 2,6-diisocyanate 

0.233 

0.0667 

0.550 

0.181 

0.0703 

0.181 

0.212 

0.0703 

0.271 

0.284 

0.233 

0.232 

1.49 

0.326 

0.809 

0.233 

0.0703 

0.475 

0.362 

0.362 

0.4871 

0.4617 

0.4704 

0.4311 

0.4326 

0.4311 

0.4320 

0.4326 

0.5389 

0.5389 

0.4871 

0.5389 

0.4572 

0.4782 

0.4638 

0.4871 

0.4326 

0.4696 

0.5389 

0.5389 

0.162 

0.0221 

0.377 

0.0877 

0.0274 

0.0877 

0.108 

0.0274 

0.140 

0.147 

0.162 

0.121 

1.04 

0.220 

0.563 

0.162 

0.0274 

0.319 

0.184 

0.184 

0.4806 

0.4712 

0.4807 

0.4775 

0.4916 

0.4775 

0.4747 

0.4916 

0.5072 

0.5072 

0.4806 

0.5072 

0.4820 

0.4835 

0.4804 

0.4806 

0.4916 

0.4829 

0.5072 

0.5072 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-14 

EXHIBIT 4-7b

WORST-CASE SCENARIO—CONSTANTS B1 & B2 FOR TOXIC LIQUIDS1

60-MINUTE RELEASE

Chemical Name 

Rural Urban 

B1 B2 B1 B2 

Allyl Alcohol 

Bromine 

Carbon Disulfide 

Chloroform 

Cyclohexylamine 

Epichlorohydrin 

Ethylenediamine 

Hydrazine 

Methyl Isocyanate 

Phosphorus Oxychloride 

Phosphorus Trichloride 

Propylene Oxide 

Sulfur Trioxide 

Toluene 2,4-diisocyanate 

Toluene 2,6-diisocyanate 

0.266 

0.693 

0.143 

0.0473 

0.143 

0.174 

0.0473 

0.220 

2.25 

1.12 

0.266 

0.0473 

0.576 

0.302 

0.302 

0.5715 

0.5505 

0.5540 

0.5665 

0.5540 

0.5468 

0.5665 

0.6951 

0.5320 

0.5315 

0.5715 

0.5665 

0.5540 

0.6951 

0.6951 

0.169 

0.456 

0.0844 

0.0249 

0.0844 

0.105 

0.0249 

0.107 

1.55 

0.744 

0.169 

0.249 

0.381 

0.142 

0.142 

0.5894 

0.5808 

0.5789 

0.5936 

0.5789 

0.5769 

0.5936 

0.6317 

0.5531 

0.5618 

0.5894 

0.5936 

0.5724 

0.6317 

0.6317 

Footnotes:

1

Aqueous solutions are omitted from this table. The evaporation rates from aqueous solutions are averaged over the

first ten minutes, so the 60-minute release table is not applicable.

January 27, 1999 
Chapter 4 

4-15 Offsite Consequence Analysis 

RELEASE OF TOXIC GASES LIQUEFIED BY REFRIGERATION 

If a material such as chlorine or ammonia is handled as a refrigerated liquid and 

spills onto an undiked area, spreading to a depth of 1 cm or less, the regulation 

requires that the owner or operator assume that it is released as a gas in 10 minutes. 

That is, it is modeled in the same way as a worst-case release scenario from a vessel 

in which the material is a liquid under pressure, as for the toxic gases listed in 

Exhibit 4-3. 

If the material is confined in a diked area, forming a pool more than 1 cm deep, then 

you can assume the liquid is at its boiling point and use Equation 7, for a spill into a 

diked area, to estimate the rate of evaporation from the pool. The LFB (Liquid 

Factor Boiling) is listed below for toxic gases. 

Toxic Gas LFB 

Anhydrous Ammonia 

Chlorine 

Ethylene Oxide 

Methyl Chloride 

Phosgene 

Sulfur Dioxide 

0.073 

0.19 

0.12 

0.14 

0.20 

0.16 

Use of Equation 7 is a simple approach; however, other methods are available to 

estimate the release rate for refrigerated liquefied gases. Appendix 4A provides an 

equation (Equation A-2) for estimating the evaporation rate that takes into account a 

number of additional factors, including the thermal conductivity and diffusivity of 

the surface under the pool, the temperature of the ground and the pool, and the heat 

of vaporization of the spilled substance. You are free to use this more complex 

equation (or other methods), instead of Equation 7, to estimate the evaporation rate. 

Example 5 Refrigerated chlorine is spilled into a diked area with Ad = 400 ft2. The 

LFB of chlorine is 0.19. Using Equation 7, 

QR = 1.4 × 0.19 × 400 = 106 lb/min 

Appendix 4A provides an estimate of the evaporation rate for this example using the 

more complex equation discussed above (see Example A-1 in the appendix). 

MIXTURES CONTAINING TOXIC LIQUIDS 

Mixtures containing regulated toxic substances do not have to be considered if the 

concentration of the regulated substance in the mixture is below one percent by 

weight, or if you can demonstrate that the partial vapor pressure of the regulated 

substance in the mixture is below 10 millimeters of mercury (mm Hg). In case of a 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-16 

spill of a liquid mixture containing a regulated toxic substance with partial vapor 

pressure of 10 mm Hg or higher, you should carry out a worst-case analysis. The 

information provided by NACD in Exhibit 4-1 does not include any mixtures of 

toxic liquids; therefore, mixtures are not considered in this guidance. If you do have 

mixtures that would be covered by the RMP rule, you should refer to the OCAG or 

use other models or methods. 

FLAMMABLE GASES AND LIQUIDS 

For regulated flammable substances, the regulation requires that the distance D (mi) 

to the 1 psi overpressure endpoint should be calculated for a vapor cloud explosion 

of the greatest quantity in a vessel or pipeline. 

g If the flammable substance is normally a gas at ambient temperature and 

handled as gas or liquid under pressure or if the flammable substance is a gas 

handled as a refrigerated liquid and is not contained when released or the 

contained pool is one centimeter or less deep, you must assume the total 

quantity is released as a gas and is involved in a vapor cloud explosion. 

g If the flammable substance is a liquid or a refrigerated gas released into a 

containment area with a depth greater than one centimeter, you may assume 

that the quantity that volatilizes in 10 minutes is involved in a vapor cloud 

explosion. 

A simple method of obtaining an approximate answer is to use the TNT equivalency 

method, which states that: 

D = 0.0037(Q × H/HTNT)

1/3 (9) 

where Q (lb) is the quantity of flammable material released, H is the heat of 

combustion of the flammable substance and HTNT is the heat of combustion of 

trinitrotoluene (TNT). As required by the rule, the yield factor is 10% (i.e, 10% of 

the released quantity participates in the explosion) when the TNT equivalency model 

is used, and this assumption is incorporated into the constant 0.0037. (This equation 

is valid for both volatile flammable liquids and flammable gases.) Equation 9 can be 

rewritten as: 

D = 8 (Q)1/3 (10) 

where 8 = 0.0037 × (H/HTNT)

1/3 

The values of 8 for the flammable substances listed in Exhibit 4-2 are given below: 

8 

Acetaldehyde 0.0065 

Dimethylamine 0.0073 

Ethyl ether 0.0072 

Isopropyl chloride 0.0064 

Isopropylamine 0.0073 

Methane 0.0082 

May 8, 2000 
Chapter 4 

4-17 Offsite Consequence Analysis 

Propane 0.0080 

Trimethylamine 0.0074 

Example 5 If 10,000 lb of propane explodes: 

D = 0.008 (10,000)1/3 = 0.17 mi 

4.2 ALTERNATIVE SCENARIOS 

GENERAL REQUIREMENTS 

The requirements that differ from those for the worst-case scenarios are as follows: 

g You can take into account active as well as passive mitigation systems, as 

long as these systems are expected to withstand the causes of the accident. 

g The alternative scenario should reach an endpoint offsite, unless no such 

scenario exists. 

g If you are doing your own modeling, you should use “typical meteorological 

conditions for the stationary source.” You may obtain these data from local 

weather stations. You can obtain wind speed and temperature data from the 

National Climatic Data Center at (828) 271-4800. This guidance uses an 

“average” weather condition of wind speed 3 m/s and D stability class with 

an ambient temperature of 25EC. 

g The release is not necessarily restricted to ground level. It can be elevated, if 

appropriate. 

g The number of alternative scenarios you are required to develop is as 

follows: 

› At least one scenario for each regulated toxic substance held in 

Program 2 and Program 3 processes 

› At least one scenario to represent all flammables held in Program 2 

and Program 3 processes 

CHOICE OF ALTERNATIVE SCENARIOS 

Your alternative scenario for a covered process must be one that is more likely to 

occur than the worst-case scenario and that reaches an endpoint offsite, unless no 

such scenario exists. You do not need to demonstrate greater likelihood of 

occurrence or carry out any analysis of probability of occurrence; you only need to 

use reasonable judgement and knowledge of the process. If, using a combination of 

reasonable assumptions, modeling of a release of a regulated substance from a 

process shows that the relevant endpoint is not reached offsite, you can use the 

modeling results to demonstrate that a scenario does not exist for the process that 

will give an endpoint offsite. You must report an alternative scenario, however. 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-18 

Release scenarios you should consider include, but are not limited to, the following, 

where applicable: 

g Transfer hose releases due to splits or sudden hose uncoupling; 

g Releases from piping failures at flanges, joints, welds, valves and valve 

seats, and drains or bleeds; 

g Releases from pumps or vessels due to cracks, seal failure, or drain, bleed, or 

plug failure; 

g Vessel overfilling and spill, or overpressurization and venting through relief 

valves or rupture disks; and 

g Shipping container mishandling and breakage or puncturing leading to a 

spill. 

For alternative release scenarios, you may consider active mitigation systems, such 

as interlocks, shutdown systems, pressure relieving devices, flares, emergency 

isolation systems, and fire water and deluge systems, as well as passive mitigation 

systems. Mitigation systems considered must be capable of withstanding the event 

that triggers the release while remaining functional. 

You must consider your five-year accident history and failure scenarios identified in 

your hazard review or process hazards analysis in selecting alternative release 

scenarios for regulated toxic or flammable substances (e.g., you might choose an 

actual event from your accident history as the basis of your scenario). You may also 

consult your trade organization (NACD). You may consider any other reasonable 

scenarios. 

The alternative scenarios you choose to analyze should be scenarios that you 

consider possible at your site. Although EPA requires no explanation of your choice 

of scenario, you should choose a scenario that you think you can explain to 

emergency responders and the public as a reasonable alternative to the worst-case 

scenario. For example, you could pick a scenario based on an actual event, or you 

could choose a scenario that you worry about, because circumstances at your site 

might make it a possibility. If you believe that there is no reasonable scenario that 

could lead to offsite consequences, you may use a scenario that has no offsite 

impacts for your alternative analysis. You should be prepared to explain your choice 

of such a scenario to the public, should questions arise. 

TOXIC GASES - ALTERNATIVE SCENARIO 

CHOICE OF SCENARIO

For the six toxic gases considered in this guidance (anhydrous ammonia, chlorine, 

ethylene oxide, methyl chloride, phosgene and sulfur dioxide), it is possible to 

envisage liquid, vapor, or two-phase releases. Methods are presented below for 

January 27, 1999 
Chapter 4 

4-19 Offsite Consequence Analysis 

estimation of the release rate for liquid and vapor releases of gases liquefied under 

pressure. See Appendix 4A a method for two-phase releases. 

RATE OF RELEASE - GASES LIQUEFIED UNDER PRESSURE 

For the current guidance, the conservative case is considered of a liquid release that, 

upon release to the external atmosphere, flashes to a mixture of fine liquid droplets 

and vapor such that the whole release remains airborne. To estimate the release 

rate, the following equation can be used (see Appendix 4A for more information on 

this equation): 

QRL = 4,630 × a × (DL)

1⁄2 × (Pg)1⁄2 (11) 

where: QRL = Liquid release rate (lb/min) 

a = Area of hole (ft2) 

DL = Liquid density (lb/ft3), listed in Exhibit 4-1 

Pg = Tank gauge pressure (psig) (can be estimated from the

equilibrium vapor pressure given in Exhibit 4-1 by 

subtracting 14.7 from the vapor pressure in psia) 

The liquid release rate is assumed to be the release rate to air. 

Example 6 Liquid chlorine at 25EC is released through a 1/4-inch hole (a = 0.00034 

ft2

) in the liquid space of the tank. The density of chlorine is 101 lb/ft3; the pressure 

in the vessel is 103 psig. The liquid release rate, calculated from Equation 11, is: 

QRL = 4,630 × 0.0034 × (101)1⁄2 × (103)1⁄2 = 160 lb/min 

The release rate to air, QR, is assumed to be the same as the liquid release rate, 160 

lb/min. This is the initial rate of release. It may decline with time or the opening 

may become uncovered and vapor may escape instead of liquid. Therefore, using the 

initial rate of release, and assuming that the release continues until the vessel is 

empty is conservative. 

RATE OF RELEASE - VAPOR RELEASE FROM PRESSURIZED TANK 

If you have a gas leak from a tank (e.g., from a hole in the vapor space of the tank), 

you may use the following simplified equation to estimate a release rate based on 

hole size, tank pressure and the properties of the gas. This equation applies to 

choked flow, or maximum gas flow rate. Choked flow generally would be expected 

for gases under pressure. 

QR = ah × pa × GF/(Tt+273)1⁄2 (12) 

where: QR = Release rate (pounds per minute) 

ah = Hole or puncture area (square inches) 

pa = Tank pressure (pounds per square inch absolute [psia]) 

Tt = Tank temperature (EC); the addition of 273 converts EC to K (Kelvin) 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-20 

GF = Gas Factor, incorporating discharge coefficient, ratio of specific heats, 

molecular weight and conversion factors 

For the toxic gases on Tables 4-1 and 4-2, the values of GF and pa are as follows: 

Gas pa(psia) GF 

Anhydrous Ammonia 145 14 

Chlorine 113 29 

Ethylene Oxide 25.4 22 

Methyl Chloride 83.2 24 

Phosgene 27.4 33 

Sulfur Dioxide 58 27 

Example 7. You have a tank that contains chlorine liquefied under pressure at 25EC 

(298 K). There is a rupture of a 1-inch pipe in the vapor space, so that a = B(1⁄2)2

 = 

0.786 in2. From Equation 12 and the above table: 

QR = (0.786)(113)(29)/(298)0.5 = 149 lb/min 

DISTANCE TO TOXIC ENDPOINT FOR ALTERNATIVE SCENARIOS - TOXIC GASES 

The distance to the endpoint for toxic gases can be calculated from the following 

equation: 

D = D1 (QR)D2 (13) 

where D (mi) is the distance to which the vapor cloud travels before its concentration 

falls below the toxic endpoint, QR (lb/min) is the rate of release, and D1 and D2 are 

constants with values that depend upon the particular chemical and whether the site 

is urban or rural. 

Values of D1 and D2 are given on Exhibits 4-8a and 4-8b for 10-minute and 60­

minute releases, respectively. 

For distances less than 10 mi, round the results up or down to the nearest tenth of a 

mile. For distances from 10 to 25 mi, round the results to the nearest mile. For 

distances exceeding 25 mi, present the results as 25 mi. For distances less than 0.1 

mi, present the results as 0.1 mi. 

Example 8, 10-minute release. For sulfur dioxide at a rural site, D1 = 0.047 and 

D2 = 0.4961. For a 160-lb/min release rate: 

D = (0.047)(160)0.4961 = 0.58 mi ~ 0.6 mi 

For an urban site, D1 = 0.025 and D2 = 0.4407, so that: 

D = (0.025)(160)0.4407 = 0.23 mi ~ 0.2 mi 

January 27, 1999 
Chapter 4 

4-21 Offsite Consequence Analysis 

EXHIBIT 4-8a

ALTERNATIVE CASE SCENARIO—CONSTANTS D1 AND D2 FOR TOXIC GASES

10-MINUTE RELEASE 

Chemical Name 

Rural Urban 

D1 D2 D1 D2 

Anhydrous Ammonia 

Chlorine 

Ethylene Oxide 

Methyl Chloride 

Phosgene 

Sulfur Dioxide 

0.0222 

0.0530 

0.0289 

0.0105 

0.441 

0.0470 

0.4780 

0.4647 

0.5445 

0.5381 

0.5407 

0.4961 

0.0131 

0.0260 

0.0241 

0.0103 

0.340 

0.025 

0.4164 

0.4263 

0.5383 

0.5043 

0.5518 

0.4407 

EXHIBIT 4-8b

ALTERNATIVE CASE SCENARIO—CONSTANTS D1 AND D2 FOR TOXIC GASES

60-MINUTE RELEASE 

Chemical Name 

Rural Urban 

D1 D2 D1 D2 

Anhydrous Ammonia1 

Chlorine1 

Ethylene Oxide 

Methyl Chloride 

Phosgene 

Sulfur Dioxide1 

0.0222 

0.0530 

0.0203 

0.00680 

0.360 

0.0470 

0.4780 

0.4647 

0.6085 

0.5971 

0.6232 

0.4961 

0.0130 

0.0260 

0.0144 

0.00480 

0.298 

0.0250 

0.4164 

0.4263 

0.6214 

0.5958 

0.6250 

0.4407 

Footnotes: 

1

For anhydrous ammonia, chlorine, and sulfur dioxide, the 10-minute and 60-minute scenarios have the same 

predictions for the distance to the toxic endpoints. The reasons for this approximation are explained in the Backup 

Document, Backup Information for the Hazards Assessments in the RMP Offsite Consequence Analysis Guidance, 

the Guidance for Wastewater Treatment Facilities and the Guidance for Ammonia Refrigeration - Anhydrous 

Ammonia, Aqueous Ammonia, Chlorine and Sulfur Dioxide. This document is available from EPA. 

TOXIC LIQUIDS - ALTERNATIVE SCENARIOS 

For an undiked area, the rate of evaporation QR (lb/min) for a spill at ambient 

temperature in typical weather conditions is given by: 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-22 

QR = 2.4 × LFA × DF × QS (14) 

For a spill from a process operating at a temperature exceeding 25EC, the equation 

is: 

QR = 2.4 × LFB × DF × QS (15) 

where LFA, LFB, and DF are given in Exhibits 4-4a and 4-4b. You are free to 

replace LFA in Equation 14 or LFB in Equation 15 by LFA(T) from Equation 3 to 

correct for your vapor pressure at temperature TEC. Equation 5 remains unchanged 

for the area of the spill, i.e., A = DF × QS. 

To fully address alternative scenario spills of toxic liquids, the following 

possibilities are discussed below: 

P1 Rapid, undiked spill, pool spreads out to a depth of 1 cm 

P2 Spillage of prolonged duration, undiked, pool spreads out until rate 

of evaporation equals rate of spillage 

P3 Rapid spill into a diked area 

P4 Prolonged spill into a diked area 

P1: UNDIKED AREA, SPILL OF SHORT DURATION 

Estimate the total quantity spilled, QS (lb). Use Equation 14 or 15 with LFA, LFB, 

and DF from Exhibits 4-4a and 4-4b. 

Example 9. For carbon disulfide, with a spill of 500 lb at 25 °C: 

QR = 2.4 × 0.075 × 0.39 × 500 = 35 lb/min 

The duration of evaporation is predicted to be 500/35 ~ 14 min > 10 min. 

P2: UNDIKED AREA, RATE OF SPILL EQUALS RATE OF EVAPORATION 

For this case, it is first necessary to calculate the rate of spillage of the toxic liquid. 

The rate of release of a liquid through a hole in a tank under atmospheric pressure 

can be calculated from the following equation (see Appendix 4A for the derivation 

of this equation): 

QRL = 385 × DL × a × (h)1⁄2 (16) 

where: DL = the density of the liquid in the vessel (lb/ft3) 

a = the area of the hole (ft2

) - for example, the area of a hole of diameter 1 in 

is 0.0055 ft2 

h = the static head (ft) 

Note that this is the formula for the release of a pure liquid and would apply to a 

breach in the wall of a vessel or to the rupture of a very short pipe. For long pipes, 

there is a pressure drop between the vessel and the hole. 

January 27, 1999 
Chapter 4 

4-23 Offsite Consequence Analysis 

Example 10. Suppose that 38% aqueous hydrochloric acid is kept under 

atmospheric pressure in a vessel with a static head of 10 ft. A leak develops at the 

bottom of the vessel with a diameter of 1/4 in, so that a =B(d/2)2

 = B(1/8)2/144 = 

0.00034 ft2

, where the factor 1/144 converts from in2 to ft2. The initial rate of release 

of the liquid, QRL, using Equation 16 with DL = 73.9 lb/ft3

 (from Exhibit 4-1), is 

given by: 

QRL = 385 × 73.9 × 0.00034 × (10)1⁄2 = 30.6 lb/min 

If the tank contains (say) 20,000 lb, the duration of release would be 20,000/30.6 min 

~ 11 hr. Furthermore, the rate of release would decline as the static head decreases, 

so the actual duration of release would be considerably greater than 11 hr, if not 

stopped sooner by emergency actions. This can certainly be regarded as a prolonged 

release. Therefore, in this case, the rate of evaporation would conservatively 

stabilize at a value equal to the rate of release, 30.6 lb/min. If you wish to develop a 

more sophisticated model that takes account of this decrease in the static head, you 

are free to do so. 

P3: DIKED AREA, SPILL OF SHORT DURATION 

For a spillage of a toxic liquid into a diked area Ad at ambient temperature, the rate 

of evaporation QR is given by: 

QR = 2.4 × LFA × Ad (17) 

For a spillage from a process at a temperature above 25EC, 

QR = 2.4 × LFB × Ad (18) 

Again, you are at liberty to replace LFA in Equation 17 or LFB in Equation 18 by 

the vapor pressure corrected quantity LFA(T) from Equation 3. 

Use Equations 17 or 18 as follows: if a quantity QS lb is rapidly spilled, calculate 

the area A of an undiked spillage from Equation 5, using DF from Exhibit 4-5a or 4­

5b. Compare this with the diked area and select the smaller of the two. Then 

substitute that area into Equation 17 or Equation 18, using LFA or LFB from 

Exhibits 4-5a or 4-5b, to calculate the rate of evaporation. 

Example 11. There is a sudden spill of 500 lb of phosphorus oxychloride at 35 EC 

into a diked area Ad of 400 ft2

. From Equation 5 and Exhibit 4-5a, the area of a pool 

1 cm deep would be: 

A = (0.29)(500) = 145 ft2 

A is smaller than Ad. Therefore, from Equation 18 and Exhibit 4-5a, the rate of 

evaporation is: 

QR = 2.4 × 0.20 × 145 = 69.6 lb/min 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-24 

The duration of release in this case would be 500/69.6 ~ 7 min < 10 min. 

P4: PROLONGED SPILL INTO A DIKED AREA 

For a liquid spill from a hole in a tank under ambient pressure, calculate the rate of 

spillage QRL from Equation 16—see the example given above of 30.6 lb/min for 

38% aqueous hydrochloric acid. Assume that the temperature is ambient. Then 

calculate the equilibrium area Ae from: 

Ae = QRL/(2.4 × LFA) (19) 

which is obtained from Equation 17 by equating the rate of spillage to the rate of 

evaporation. 

If Ae is smaller than Ad, then the rate of evaporation QR = QRL. If Ae is larger than 

Ad, substitute Ad into Equation 17 or Equation 18 with LFA or LFB from Exhibits 4­

5a or 4-5b. 

Example 12. For the spill of 38% aqueous hydrochloric acid in Example 10, which 

had a predicted release rate of 30.6 lb/min, using Equation 19 and Exhibit 4-5b 

gives: 

Ae = 30.6/(2.4 × 0.01) = 1,275 ft2 

If the spill is into a diked area of 800 ft2, Ad is smaller than Ae. Using Equation 17 

and Exhibit 4-5b gives: 

QR = 2.4 × 0.01 × 800 = 19.2 lb/min 

DISTANCE TO TOXIC ENDPOINT FOR ALTERNATIVE SCENARIOS - TOXIC 

LIQUIDS 

For each of the toxic liquids listed in Exhibits 4-1, 4-5a, and 4-5b, the distance to the 

endpoint can be estimated from the following equation: 

D = C1 (QR)C2 (20) 

where D (mi) is the distance to which the vapor cloud travels before its concentration 

falls below the toxic endpoint, QR (lb/min) is the rate of evaporation, and C1 and C2 

are constants with values that depend upon the particular chemical and whether the 

site is urban or rural. 

Values of C1 and C2 are given on Exhibit 4-9a for a 10-minute release and on 

Exhibit 4-9b for a one-hour release. 

For distances less than 10 mi, round the results up or down to the nearest tenth of a 

mile. For distances from 10 to 25 mi, round the results to the nearest mile. For 

January 27, 1999 
Chapter 4 

4-25 Offsite Consequence Analysis 

distances exceeding 25 mi, present the results as 25 mi. For distances less than 0.1 

mi, present the results as 0.1 mi.

Example 13a, 10-minute release. For 38% aqueous hydrogen chloride at a rural

site, C1 = 0.0495 and C2 = 0.5342. For the 19.2 lb/min release rate predicted above: 

D = (0.0495)(19.2)0.5342 = 0.24 mi ~ 0.2 mi at a rural site 

For an urban site, C1 = 0.0313 and C2 = 0.5008, so that: 

D = (0.0313)(19.2)0.5008 = 0.14 mi ~ 0.1 mi. 

Example 13b, 60-minute release. Assume a release of 40 lb/min allyl alcohol at a 

rural site, for which C1 = 0.0188 and C2 = 0.6736. The distance to the endpoint is: 

D = (0.0188)(40)0.6736 = 0.23 mi ~ 0.2 mi. 

For an urban site, C1 = 0.0111 and C2 = 0.6210, so that: 

D = (0.0111)(40)0.6210 = 0.11 mi ~ 0.1 mi. 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-26 

EXHIBIT 4-9a

ALTERNATIVE CASE SCENARIO—CONSTANTS C1 AND C2 FOR TOXIC LIQUIDS

AND AQUEOUS SOLUTIONS, 10-MINUTE RELEASE

Chemical Name 

Rural Urban 

C1 C2 C1 C2 

Allyl Alcohol 

Aqueous Ammonia 

Bromine 

Carbon Disulfide 

Chloroform 

Cyclohexylamine 

Epichlorohydrin 

Ethylenediamine 

Formaldehyde 

Hydrazine 

Hydrochloric Acid 

Hydrofluoric Acid 

Methyl Isocyanate 

Nitric Acid 

Phosphorus Oxychloride 

Phosphorus Trichloride 

Propylene Oxide 

Sulfur Trioxide 

Toluene 2,4-diisocyanate 

Toluene 2,6-diisocyanate 

0.0449 

0.0200 

0.117 

0.0289 

0.0132 

0.0202 

0.0301 

0.0111 

0.0807 

0.0845 

0.0495 

0.0692 

0.367 

0.0534 

0.182 

0.0547 

0.0132 

0.110 

0.108 

0.108 

0.5342 

0.5174 

0.5475 

0.5445 

0.5364 

0.5342 

0.5342 

0.5342 

0.5342 

0.5342 

0.5342 

0.5342 

0.5397 

0.5342 

0.5462 

0.5339 

0.5364 

0.5267 

0.5342 

0.5342 

0.0285 

0.0107 

0.0871 

0.0241 

0.0150 

0.0135 

0.0196 

0.00772 

0.0495 

0.0517 

0.0313 

0.0428 

0.272 

0.0335 

0.138 

0.0400 

0.0150 

0.0739 

0.0648 

0.0648 

0.5008 

0.4748 

0.5568 

0.5383 

0.4898 

0.5008 

0.5008 

0.5008 

0.5008 

0.5008 

0.5008 

0.5008 

0.5529 

0.5008 

0.5521 

0.5498 

0.4898 

0.5604 

0.5008 

0.5008 

January 27, 1999 
Chapter 4 

4-27 Offsite Consequence Analysis 

EXHIBIT 4-9b

ALTERNATIVE CASE SCENARIO—CONSTANTS C1 AND C2 FOR TOXIC LIQUIDS1

60-MINUTE RELEASE 

Chemical Name 

Rural Urban 

C1 C2 C1 C2 

Allyl Alcohol 

Bromine 

Carbon Disulfide 

Chloroform 

Cyclohexylamine 

Epichlorohydrin 

Ethylenediamine 

Hydrazine 

Methyl Isocyanate 

Phosphorus Oxychloride 

Phosphorus Trichloride 

Propylene Oxide 

Sulfur Trioxide 

Toluene 2,4-diisocyanate 

Toluene 2,6-diisocyanate 

0.0188 

0.0905 

0.0203 

0.00840 

0.00687 

0.0113 

0.00320 

0.0417 

0.297 

0.141 

0.0381 

0.00840 

0.0797 

0.0566 

0.0566 

0.6736 

0.6164 

0.6085 

0.6006 

0.6736 

0.6736 

0.6736 

0.6736 

0.6157 

0.6217 

0.6069 

0.6006 

0.6099 

0.6736 

0.6736 

0.0111 

0.0695 

0.0144 

0.00590 

0.00437 

0.00694 

0.00218 

0.0230 

0.238 

0.111 

0.0283 

0.00590 

0.0591 

0.0305 

0.0305 

0.6210 

0.6263 

0.6214 

0.6034 

0.6210 

0.6210 

0.6210 

0.6210 

0.6288 

0.6289 

0.6133 

0.6034 

0.6227 

0.6210 

0.6210 

1

Aqueous solutions are omitted from this table. In the OCAG, the evaporation rates from aqueous solutions are 

averaged over the first ten minutes, so the 60-minute release table is not applicable. 

ALTERNATIVE SCENARIOS - FLAMMABLE SUBSTANCES 

The potential alternative scenarios for flammable substances include: 

g Vapor cloud fires (flash fires) that may result from dispersion of a 

flammable vapor cloud and subsequent ignition. Such a fire could flash 

back and present a severe heat radiation hazard to anyone in the vicinity. 

The endpoint distance for such a fire is the predicted distance to which the 

vapor cloud travels before falling below its lower flammable limit (LFL). 

g A pool fire - in the event of such a fire, the endpoint distance is that at which 

radiant heat could cause second degree burns over a period of 40 s. 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-28 

g A boiling liquid, expanding vapor explosion (BLEVE), leading to a fireball 

that may produce intense heat, may occur if a vessel containing material 

such as propane ruptures as a result of exposure to a fire. The radiant heat 

from such an event is generally considered to be the principal hazard, but in 

addition, portions of the vessel can be thrown a considerable distance and 

there are shock waves generated by the explosive rupture of the vessel. 

g A vapor cloud explosion, such as that considered for the worst-case, but 

presumably containing a smaller amount of flammable material. 

g A jet fire from the puncture of a vessel containing a flammable material 

under pressure. 

ESTIMATION OF RELEASE RATE 

You can estimate release rates for flammable gases and liquids using the same 

methods described for toxic gases and liquids. See the equations and discussion in 

the previous sections. 

To use Equation 11 for liquid releases of gases liquefied under pressure, you can find 

the liquid density in Exhibit 4-2. The equilibrium vapor pressure (absolute) for these 

gases liquefied under their vapor pressure is listed below in psia. To estimate the 

gauge pressure in the tank in psig, for equation 11, subtract 14.7 from the pressure in 

psia. 

If you use Equation 12 for vapor releases from a pressurized tank, the values of GF 

and pa for the flammable gases on Table 4-2 are as follows: 

Gas pa(psia) GF 

Acetaldehyde 21 22

Dimethylamine 102 22

Methane 1,080 14

Propane 138 22

Trimethylamine 31.9 25

ESTIMATION OF DISTANCE TO LFL 

For the maximum distance for a vapor cloud fire, you estimate the distance to the 

LFL, that is, the distance to which the cloud propagates before diluting below the 

lower flammable limit, and assume the vapor cloud then ignites. Exhibit 4-10 below 

gives distances to the LFL for ranges of release rates for the flammable substances 

listed in Exhibit 4-2. 

January 27, 1999 
Chapter 4 

4-29 Offsite Consequence Analysis 

EXHIBIT 4-10 

DISTANCE TO LFL FOR FLAMMABLE SUBSTANCES 

Chemical Name 

Rural Urban 

Release Rate 

(lb/min) 

Distance

 (mi) 

Release Rate 

(lb/min 

Distance

 (mi) 

Acetaldehyde 0 - 5,000 

7,500-10,000 

<0.1 

0.1 

0 - 10,000 <0.1 

Dimethylamine 0 - 3,000 

4,000 - 10,000 

<0.1 

0.1 

0 - 10,000 <0.1 

Ethyl ether 0 - 4,000 

5,000 - 10,000 

<0.1 

0.1 

0 - 10,000 <0.1 

Isopropyl chloride 0 - 7,500 

10,000 

<0.1 

0.1 

0 - 10,000 <0.1 

Isopropylamine 0 - 3,000 

4,000 - 10,000 

<0.1 

0.1 

0 - 10,000 <0.1 

Methane 0 - 2,000 

2,000 - 7,300 

7,300 - 17,500 

0.1 

0.2 

0.3 

0 - 5,000 

5,000 - 23,000 

0.1 

0.2 

Propane 0 - 1,500 

2,500 - 10,000 

<0.1 

0.1 

0 - <10,000 

10,000 

<0.1 

0.1 

Trimethylamine 0 - 3,000 

4,000 - 10,000 

<0.1 

0.1 

0 - 10,000 <0.1 

VAPOR CLOUD EXPLOSIONS 

You can use Equation 10 to estimate the distance to the endpoint for the explosion of 

a known quantity of the flammable substances that are listed in Exhibit 4-2. You are 

not required to use a yield factor of 10% for alternative scenario vapor cloud 

explosions. For example, you could use a yield factor of 3%, which is considered 

representative of more likely events, based on data from past vapor cloud explosions. 

For a yield factor of 3%, multiply the distance you calculate from Equation 10 by 

0.67. 

Example 14. Example 5 was a worst-case vapor cloud explosion of 10,000 pounds 

of propane. The calculated distance to the 1 psi overpressure endpoint was 0.17 mi. 

You can also use a vapor cloud explosion of 10,000 pounds of propane as an 

alternative scenario, but you can use a smaller yield factor. Assuming a yield factor 

of 3%, the distance to the endpoint would be 0.17 × 0.67 = 0.1 mile. 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-30 

POOL FIRES 

For pool fires involving spills of flammable liquids, Equation 21 below gives an 

estimate of the distance d (ft) from a pool fire at which people could potentially 

receive a second-degree burn after 40 seconds: 

d = PFF (Ad)

0.5 (21) 

where PFF is the “Pool Fire Factor” and Ad (ft2) is the area of the pool. For the 

flammable liquids on Exhibit 4-2, the PFFs are as follows: 

Flammable Liquid PFF 

Ethyl Ether 4.3 

Isopropylamine 4.1 

Isopropylchloride 3.1 

Example 15. Ethyl ether spills into a diked area of 100 ft2 and burns. From 

Equation 21, d = 4.3(100)0.5 = 43 ft (0.008 mi). 

4.3 BUILDINGS 

In chemical distribution facilities, some chemical operations may take place indoors, 

and the building may provide mitigation for releases. Unless your containers of 

regulated substances are delivered directly into the building (i.e., they are not 

unloaded outdoors and moved inside later), you should not consider buildings in 

your worst-case scenario, because there will be some time when the vessels are 

outdoors. If your containers are delivered indoors or if your largest vessel is indoors, 

you may want to analyze the mitigating effects of the building when you do your 

worst-case analysis. You may also want to consider buildings as mitigation systems 

for alternative scenarios . However, the buildings at chemical distribution facilities 

vary over a wide range in their strength of construction, the surface area of 

ventilation outlets and their purpose. At one end of the spectrum, there are strong, 

leaktight buildings that are designed to contain accidentally released vapors. Some 

of them contain scrubbers that activate upon release of certain hazardous materials 

and would ensure that any release to the external atmosphere would be very small 

indeed. At the other end of the spectrum, there may be a building that is intended to 

do no more than keep the rain off. 

If you have a building that is expected to contain or mitigate a release, you are 

entitled to explain that the worst-case scenario is extremely unlikely and that the 

building will ensure that there will be no or minimal offsite consequences. 

For toxic liquids, EPA has provided simple building release rate reduction factors for 

indoor releases of 10% for worst-case scenarios and 5% for alternative scenarios 

(i.e., the predicted rate of release is 10% or 5% of that for the same accident if it 

should occur outdoors). The factors are applicable to releases in a fully enclosed, 

January 27, 1999 
Chapter 4 

4-31 Offsite Consequence Analysis 

non-airtight space that is directly adjacent to the outside air. They do not apply to a 

space that has doors or windows that could be open during a release. (See Appendix 

D of the OCAG for more discussion of the mitigation factors.) 

For toxic gases, the EPA’s reduction factor is 55%, for both worst-case and 

alternative scenarios. It is applicable to releases in the same type of enclosure as the 

factors for liquids. (See Appendix D of the OCAG for more discussion.) 

Example 16. Example 4 considers a worst-case release of 14 lb/min of 

cyclohexylamine over 60 minutes that travels ~ 0.6 mi to a toxic endpoint at a rural 

site and ~ 0.3 mi at an urban site. Using the building mitigation factor of 0.1 cited 

above, the new release rate is 1.4 lb/min. In worst-case weather conditions, and 

using Equation 8 and Exhibit 4-7b, the predicted distance to the toxic endpoint is 

reduced from ~ 0.6 mi to 0.18 mi ~ 0.2 mi at a rural site and from ~ 0.4 mi to 0.1 mi 

at an urban site. You could present this mitigated worst-case scenario as an 

alternative scenario with a mitigation factor of 0.05, in which case the mitigated rate 

of release is 0.7 lb/min The predicted distances to the toxic endpoint, using Equation 

20 and Exhibit 4-9, are < 0.1 mi at a rural site and < 0.1 mi at an urban site. 

The consequences of explosions inside buildings are extremely dependent upon the 

nature of the congestion in the building. Simple guidance is not readily available. 

However, if you keep flammable material in a building, there should be explosion 

venting per NFPA requirements. This should prevent excessive buildup of pressure 

inside the building and should ensure that pressure waves are vented in directions 

favorable to mitigation. 

4.4 ESTIMATING OFFSITE RECEPTORS 

The rule requires that you estimate in the RMP residential populations within the 

circle defined by the endpoint for your worst-case and alternative release scenarios 

(i.e., the center of the circle is the point of release and the radius is the distance to the 

endpoint). In addition, you must report in the RMP whether certain types of public 

receptors and environmental receptors are within the circles. 

RESIDENTIAL POPULATIONS 

To estimate residential populations, you may use the most recent Census data or any 

other source of data that you believe is more accurate. You are not required to 

update Census data or conduct any surveys to develop your estimates. Census data 

are available in public libraries and in the LandView system, which is available on 

CD-ROM (see box below). The rule requires that you estimate populations to two 

significant digits. For example, if there are 1,260 people within the circle, you may 

report 1,300 people. If the number of people is between 10 and 100, estimate to the 

nearest 10. If the number of people is less than 10, provide the actual number. 

Census data are presented by Census tract. If your circle covers only a portion of the 

tract, you should develop an estimate for that portion. The easiest way to do this is 

to determine the population density per square mile (total population of the Census 

tract divided by the number of square miles in the tract) and apply that density figure 

to the number of square miles within your circle. Because there is likely to be 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-32 

considerable variation in actual densities within a Census tract, this number will be 

approximate. The rule, however, does not require you to correct the number. 

OTHER PUBLIC RECEPTORS 

Other public receptors must be noted in the RMP (see the discussion of public 

receptors in Chapter 2). If there are any schools, residences, hospitals, prisons, 

public recreational areas or arenas, or commercial or industrial areas within the 

circle, you must report that. You are not required to develop a list of all public 

receptors; you must simply check off that one or more such areas is within the circle. 

Most receptors can be identified from local street maps. 

ENVIRONMENTAL RECEPTORS 

Environmental receptors are defined as natural areas such as national or state parks, 

forests, or monuments; officially designated wildlife sanctuaries, preserves, refuges, 

or areas; and Federal wilderness areas. Only environmental receptors that can be 

identified on local U.S. Geological Survey (USGS) maps (see box below) need to be 

considered. You are not required to locate each of these specifically. You are only 

required to check off in the RMP which specific types of areas are within the circle. 

If any part of one of these receptors is within your circle, you must note that in the 

RMP. 

Important: The rule does not require you to assess the likelihood, type, or severity 

of potential impacts on either public or environmental receptors. Identifying them as 

within the circle simply indicates that they could be adversely affected by the 

release. 

Besides the results you are required to report in the RMP, you may want to consider 

submitting to EPA or providing your local community with a map showing the 

distances to the endpoint. Figure 4-1 is one suggested example of how the 

consequences of worst-case and alternative scenarios might be presented. It is a 

simplified map that shows the radius to which the vapor cloud might extend, given 

the worst-case release in worst-case weather conditions (the owner or operator 

should use a real map of the area surrounding the site). Organizations that have 

already begun to prepare Risk Management Programs and Plans have used this form 

of presentation (for example, in the Kanawha Valley or in Tampa Bay). 

January 27, 1999 
Chapter 4 

4-33 Offsite Consequence Analysis 

HOW TO OBTAIN CENSUS DATA AND LANDVIEW® 

Census data can be found in publications of the Bureau of the Census, available in public libraries, 

including County and City Data Book. 

LandView ®III is a desktop mapping system that includes database extracts from EPA, the Bureau of 

the Census, the U.S. Geological Survey, the Nuclear Regulatory Commission, the Department of 

Transportation, and the Federal Emergency Management Agency. These databases are presented in a 

geographic context on maps that show jurisdictional boundaries, detailed networks of roads, rivers, 

and railroads, census block group and tract polygons, schools, hospitals, churches, cemeteries, 

airports, dams, and other landmark features. 

CD-ROM for IBM-compatible PCS 

CD-TGR95-LV3-KIT $99 per disc (by region) or $549 for 11 disc set 

U.S. Department of Commerce

Bureau of the Census

P.O. Box 277943

Atlanta, GA 30384-7943 

Phone: 301-457-4100 (Customer Services — orders)

Fax: (888) 249-7295 (toll-free)

Fax: (301) 457-3842 (local)

Phone: (301) 457-1128 (Geography Staff — content)

http://www.census.gov/ftp/pub/geo/www/tiger/

Further information on LandView and other sources of Census data is available at the Bureau of the 

Census web site at www.census.gov. 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-34 

HOW TO OBTAIN USGS MAPS 

The production of digital cartographic data and graphic maps comprises the largest component of the 

USGS National Mapping Program. The USGS's most familiar product is the 1:24,000-scale 

Topographic Quadrangle Map. This is the primary scale of data produced, and depicts greater detail 

for a smaller area than intermediate-scale (1:50,000 and 1:100,000) and small-scale (1:250,000, 

1:2,000,000 or smaller) products, which show selectively less detail for larger areas. 

U.S. Geological Survey 

508 National Center 

12201 Sunrise Valley Drive 

Reston, VA 20192 

http://mapping.usgs.gov/ 

To order USGS maps by fax, select, print, and complete one of the online forms and fax to 

303-202-4693. A list of commercial dealers also is available at 

http://mapping.usgs.gov/esic/usimage/dealers.html/. For more information or ordering assistance, 

call 1-800-HELP-MAP, or write: 

USGS Information Services 

Box 25286 

Denver, CO 80225 

For additional information, contact any USGS Earth Science Information Center or call 

1-800-USA-MAPS. 

4.5 DOCUMENTATION 

You need to maintain onsite the following records on the offsite consequence 

analyses: 

g For the worst-case scenario, a description of the vessel or pipeline selected 

as worst-case, assumptions and parameters used and the rationale for 

selection; assumptions include use of any administrative controls and any 

passive mitigation systems that you assumed to limit the quantity that could 

be released. 

g For alternative release scenarios, a description of the scenarios identified, 

assumptions and parameters used and the rationale for the selection of 

specific scenarios; assumptions include use of any administrative controls 

and any mitigation that were assumed to limit the quantity that could be 

released. Documentation includes the effect of the controls and mitigation 

on the release quantity and rate. Section 4-3 can be referenced here if you 

use any of the “canned” scenarios described there. 

Other data that you should provide includes: 

January 27, 1999 
Chapter 4 

4-35 Offsite Consequence Analysis 

g Documentation of estimated quantity released, release rate and duration of 

release. 

g Methodology used to determine distance to endpoints (it will be sufficient to 

reference this guidance). 

g Data used to identify potentially affected population and environmental 

receptors. 

January 27, 1999 
Figure 4-1 Simplified Presentation of Worst-Case

 and Alternative Scenario on a Local Map 

Prison 

School 

Hospital 

Facility Boundary 

Radius for 

Alternative 

Scenario 

Radius for 

Worst-case Scenario 

B Avenue

C Avenue 

A Street 

0 1/2 

Miles 

1 
Chapter 4 

4-37 Offsite Consequence Analysis 

APPENDIX 4A 

TECHNICAL BACKGROUND FOR CHAPTER 4 

METHODS AND EQUATIONS FROM EPA’S RMP OFFSITE CONSEQUENCE ANALYSIS 

GUIDANCE (OCAG) 

Data for Analysis 

The chemical data presented in the text for the worst-case and alternative scenario analysis are 

from the tables of data in the OCAG. Appendix B of the OCAG provides information on regulated toxic 

substances. Data for toxic gases are found in Exhibit B-1 of Appendix B, data for toxic liquids are in 

Exhibit B-2, data for common water solutions of toxic substances are in Exhibit B-3, and temperature 

correction factors are in Exhibit B-4. Appendix C provides information on regulated flammable 

substances. Heats of combustion for flammable substances are in Exhibit C-1, additional data for 

flammable gases can be found in Exhibit C-2, and Exhibit C-3 provides additional data for flammable 

liquids. 

Methods of Analysis from OCAG 

Toxic Substances. The method for estimating the release rate from an evaporating pool is from 

the OCAG. This method and the derivation of the factors used are discussed in Appendix D, Section D.2 

of the OCAG. Equations 2 and 4 in the text, for the worst-case evaporation rate, are the same as 

Equations 3-3 and 3-4 from the OCAG. Equations 14 and 15, for alternative scenario evaporation rates, 

are the same as Equations 7-9 and 7-10 from the OCAG. 

Equation 3 in the text is based on the following equation. At a temperature T oC: 

LFA(T) = LFA(25EC) VP(T) @ (298) (A-1)

 VP(25) (273+T) 

where VP(T) is the vapor pressure at TEC. The Temperature Correction Factor (TCF) is (VP(T)/VP(25) 

× (298/(273+T) in the above equation. See Appendix D, Section D.2, of the OCAG for the derivation of 

the TCF. 

Appendix B, Section B.2, of the OCAG provides methods to estimate release rates for releases 

involving mixtures of toxic liquids (not addressed in the text of Chapter 4). 

Appendix D, Sections D.1.2 and D.2.4 of the OCAG discuss the building mitigation factors cited 

in the text. 

Flammable Substances. Equation 9 of Chapter 4, for the worst-case analysis of flammable 

substances, is the same as Equation C-2 in the OCAG, with the yield factor (0.1) incorporated into the 

constant. 

Distances to the LFL for flammable substances given in Exhibit 4-10 are from Reference Tables 

26, 27, 28, and 29 of the OCAG. 

Equation 21 in the text is the same as Equation 11-1 in the OCAG. 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-38 

ADDITIONAL METHODS OF ANALYSIS 

Alternate Method for Estimation of Release Rate for Toxic Gases Liquefied by 

Refrigeration 

You may consider a number of additional factors when you estimate the rate of release of a 

refrigerated liquid from a pool. If the material is confined in a dike of area Ad ft2

, then the rate of 

evaporation per unit area is given by 

Qo = 12.27 ks (Tg - T)/((" st)0.5Hl) (A-2) 

where ks = thermal conductivity of the material on which the pool lies (W/m/K) 

Tg = temperature of the ground (K) 

T = temperature of the liquid pool (the atmospheric boiling point of the released material) (K) 

" s = thermal diffusivity of the soil or concrete (m2/s) 

t = time after the spill (s) 

HL = latent heat of vaporization of spilled material (J/kg) 

12.27 is a conversion factor from kg/s/m2 to lb/min/ft2, and 

QR = AdQo lb/min (A-3) 

The average rate of evaporation over a 10-minute (600 s) period is 

QR = 24.54 Adds (Tg - T)/((600" s)

0.5Hl

) (A-4) 

This equation is obtained by integrating Equation A-2 with respect to T over the range 

0 # T # 10 min. 

After this time, the rate of evaporation is typically much less than one-tenth of the rate of release 

after one minute. This average 10-minute rate of release is taken as the release rate for use with 

dispersion models. 

Example A-1. Refrigerated chlorine is spilled into a diked area with Ad = 400 ft2. The temperature of 

the ground is 5EC = 278 K. The temperature of the liquid pool is assumed to be that of chlorine at its 

boiling point (239 K), so that Tg - T = 39 K. A typical value of the thermal conductivity of surfaces such 

as concrete and soil is ks = 2 W/m/K (for insulating concrete, this value can be considerably smaller). A 

typical value of the thermal diffusivity of the underlying surface is " s = 10-6 m2

/s. The latent heat of 

vaporization of chlorine is 2.88 x 105

 J/kg. Using Equation A-4, 

QR = (24.54)(400)(2)(39)/((600)1⁄2(10-6)

1⁄2 2.88x105

) = 109 lb/min 

Bernoulli’s Formula for Liquid Releases 

The rate of release of a liquid through an orifice is given by Bernoulli’s formula for predicting 

the rate of release R(lb/min) of liquid from a vessel: 

R = 195cDLa(881pg/DL+0.189gh)0.5 (A-5) 

January 27, 1999 
Chapter 4 

4-39 Offsite Consequence Analysis 

where: 

c = a constant (typical value 0.8*

) 

DL = the density of the liquid in the vessel (lb/ft3

) 

a = the area of the orifice (ft2

 - for example, the area of a hole of diameter 1'' is 0.0055 ft2) 

pg = the gauge pressure in the vessel (psig) 

g = the acceleration due to gravity (32 ft/s2

) 

h = the static head (ft) 

To derive Equation 11, for liquid releases of gases liquefied under pressure, it was assumed that 

the effect of the static head would be negligible compared to the effect of the pressure in the vessel, and 

the 189gh term was dropped from Equation A-5. 

To derive Equation 16, for liquid releases from atmospheric tanks, the gauge pressure in the 

vessel would be zero, so the 881pg/DL term was dropped from Equation A-5. 

Two-Phase Releases of Gases Liquefied Under Pressure 

For long pipes (L/dh >> 1), where L is the length of the pipe between the reservoir of liquefied 

gas and the atmosphere, there can be flashing in the discharge pipe and a two-phase mixture emerges to 

the atmosphere. In this case, the rate of release in lb/min is given by: 

R = 9,490(a)(F)(hL)/[vlg([T + 460]Cpl)

1⁄2] (A-6) 

where 

a = area of orifice (ft2)

F = a frictional loss factor that is dimensionless and takes on a value of 1 for L/dh ~ 0, 0.85 for

L/dh ~ 50, 0.75 for L/dh ~ 100, 0.65 L/dh ~ 200 and 0.55 for L/dh ~ 400

hL = the latent heat of vaporization (Btu/lb)

vlg = the difference in specific volume between the gas and liquid (lb/ft3

)

T = the reservoir temperature (EF)

Cpl = the liquid heat capacity (Btu/lb/EF)

Example A-2. Assume a rupture in a 1⁄2-in pipe leading from a chlorine vessel. For chlorine, hL is 124 

Btu/lb, vlg = 0.68 lb/ft3

 and Cpl = 0.222 Btu/lb/EF. The area a is 0.00137 ft2. Assume L/dh ~ 50 (L ~ 2 ft), 

so that F ~ 0.85 and that the temperature is 77EF (25EC), Equation A-5 gives: 

R = (9,490)(0.00137)(0.85)(124)/((0.68)[(537)(0.222)]1⁄2) ~ 185 lb/min 

*

This value of c has been chosen to be consistent with the OCAG. Note that c depends upon nozzle shape 

and Reynold number. Graphical presentations on how to determine c for various types of orifices can be found in 

fluid mechanics textbooks and handbooks (e.g., Perry, R.H., D.W. Green and J.O. Maloney, Ed., 1984: Perry’s 

Chemical Engineers Handbook, McGraw-Hill Book Company). However, the value of c used above will generally 

be sufficiently accurate in light of the uncertainties that exist in atmospheric dispersion models. 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-40 

DERIVATION OF EQUATIONS 1, 8, 13 AND 20 IN CHAPTER 4 

To derive the equations in this chapter, the reference tables from the OCAG were fitted by 

straight lines on a log-log plot, having the general equation 

D = a (R)b (1) 

where D is the distance (mi) to the toxic endpoint and R is the rate of release (lb/min). a and b are 

parameters that depend upon the specific substance (in particular, upon the toxic endpoint), the weather 

condition (worst-case or alternative), whether the site is rural or urban, and whether the assumed duration 

of cloud passage is 10 min or 60 min. In Chapter 4, generic a and b are actually A1 and A2 (toxic gases, 

worst-case), B1 and B2 (toxic liquids, worst-case), C1 and C2 (toxic liquids, alternative scenarios), and 

D1 and D2 (toxic gases, alternative scenarios), respectively. You should not expect these equations to 

reproduce the OCAG reference tables exactly because these equations are only best fits to the data in the 

OCAG, not perfect fits. 

The derivation of the equations in Chapter 4, including the log-log plots used to derive the 

parameters for estimating distances, is presented in detail in a background document, available from 

EPA. 

Validity of Equations 

Equations 1, 8, 13, and 20 in Chapter 4 are valid for 0.1 < D # 25 mi. This is because there is a 

lack of experimental data to justify their extrapolation below or above this range. 

Chlorine, Sulfur Dioxide and Ammonia 

For most chemicals, the values of A1, A2, B1, B2, C1, C2, D1 and D2 have been derived from 

the generic reference tables of distances in the OCAG, which were developed based on the modeling 

described in Appendix D of the OCAG. The exceptions are anhydrous ammonia, chlorine, sulfur dioxide 

and aqueous ammonia. The values of A1, A2, D1 and D2 for anhydrous ammonia are derived from the 

guidance given in the Model Risk Management Program and Plan for Ammonia Refrigeration. The 

values of the constants for chlorine, sulfur dioxide and aqueous ammonia are derived from the Model 

Risk Management Program and Plan for Wastewater Treatment Facilities. 

The OCAG was developed to give conservative guidance that can be applied to all 77 toxic 

substances listed in 40 CFR § 68.130. However, EPA has also developed guidance specific to particular 

industries, such as ammonia refrigeration and wastewater treatment facilities. In developing this 

guidance, it was possible to devote resources to dispersion modeling that is tailored to the chemical in 

question and to remove some of the conservatism that was deliberately incorporated into the OCAG. 

That is why anhydrous and aqueous ammonia, and chlorine and sulfur dioxide, have been singled out for 

special treatment and have their own reference tables in OCAG. 

For details on how the values of the constants were derived for aqueous ammonia, anhydrous 

ammonia, sulfur dioxide and chlorine, consult Backup Information for the Hazard Assessments in the 

RMP Offsite Consequence Analysis Guidance, the Guidance for Wastewater Treatment Facilities and the 

Guidance for Ammonia Refrigeration - Anhydrous Ammonia, Aqueous Ammonia, Chlorine and Sulfur 

Dioxide, available from EPA. 

January 27, 1999 
Chapter 4 

4-41 Offsite Consequence Analysis 

CONSERVATISMS AND MODELING CONSIDERATIONS 

The consequences of an accidental release depend on the conditions of the release and the 

conditions at the site at the time of the release. This guidance provides the above-described equations for 

distances, based on tables in the OCAG, for estimation of worst-case and alternative scenario 

consequence distances. Distance estimates based on these tables are not intended to be accurate 

predictions of the distances that might be reached in the event of an accidental release. For this guidance, 

worst-case distances are based on modeling results assuming the worst-case conditions required by the 

rule. To derive the alternative scenario distances, less conservative assumptions were used for modeling; 

these assumptions were chosen to represent more likely conditions than the worst-case assumptions. In 

an actual accidental release, the conditions may be very different. Users of this guidance should 

remember that the results derived from the methods presented here are rough estimates of potential 

consequence distances. Other models may give very different results; the same model also may give 

different results with different assumptions about release conditions. 

As noted above, the equation distances in this guidance provide results to a maximum distance of 

25 miles. EPA recognizes that modeling results at such large distances are highly uncertain. No 

experimental data or data from accidents are available at large distances to compare to modeling results. 

Most data are reported for distances well under 10 miles. Modeling uncertainties are likely to increase as 

distances increase because conditions (e.g., atmospheric stability, wind speed, surface roughness) are not 

likely to remain constant over long distances. Thus, at large distances (e.g., greater than about 6 to 10 

miles), the modeling results should not be given much weight as estimates of consequence distances. 

EPA believes, however, that the results, even at large distances, can provide useful information for 

comparison purposes. For example, Local Emergency Planning Committees (LEPCs) and local agencies 

can use relative differences in distance results to aid in establishing priorities among facilities in a 

community for addressing chemical accident prevention and preparedness. However, EPA strongly urges 

communities and industry not to rely on large distances to the toxic endpoint in emergency planning and 

response activities. Emergency planning should not be based on worst-case results or on large distance 

results from the alternative scenario analysis. 

OTHER APPROACHES 

General Guidance on Modeling 

If you decide to perform your own modeling, there are two major items that are not trivial. These are: 

a. Correct characterization of the source term (e.g., rate of release, temperature, density, 

momentum, aerosol content, etc.) 

b. Choice of a suitable dispersion model 

It is not possible to cover in detail all of the issues that need to be addressed, although there are 

sources of useful advice. The quadrennial conferences on vapor cloud dispersion modeling that are 

organized by the Center for Chemical Process Safety (CCPS) are a good source of information on the 

latest developments in source term and dispersion modeling (CCPS, 1987, 1991, 1995). There are also 

CCPS Guidebooks, such as “Guidelines for Use of Vapor Cloud Dispersion Models - Second Edition”. 

EPA has also published useful guidance. There is one document that looks carefully at the 

definition of source terms (USEPA, 1993). The EPA has also performed an evaluation of dense gas 

January 27, 1999 
Chapter 4 

Offsite Consequence Analysis 4-42 

dispersion models (USEPA, 1991). Another review of available models has been given by Hanna et al. 

(1991). Finally, Appendix A of OCAG contains a list of useful references. 

REFERENCES FOR APPENDIX 4A 

Center for Chemical Process Safety (CCPS, 1987). “Proceedings of the International Symposium on 

Vapor Cloud Modeling,” Boston, MA; American Institute of Chemical Engineers, New York, NY. 

Center for Chemical Process Safety (CCPS, 1991). “International Conference and Workshop on 

Modeling and Mitigating the Consequences of Accidental Releases of Hazardous Materials,” New 

Orleans, LA; American Institute of Chemical Engineers, New York, NY. 

Center for Chemical Process Safety (CCPS, 1995). “International Conference and Workshop on 

Modeling and Mitigating the Consequences of Accidental Releases of Hazardous Materials,” New 

Orleans, LA; American Institute of Chemical Engineers, New York, NY. 

Hanna, S.R., D.G. Strimatis and Joseph C. Chang (1991). “Uncertainties in Hazardous Model Gas 

Predictions,” in CCPS (1991), pp. 345-368. 

United States Environmental Protection Agency (USEPA, 1991). “Evaluation of Dense Gas Simulation 

Models,” EPA-450/R-89-108, Research Triangle Park, NC. 

United States Environmental Protection Agency (USEPA, 1993). “Contingency Analysis for Superfund 

Sites and Other Industrial Sources,” EPA-454/R-93-001, Research Triangle Park, NC. 

January 27, 1999 
CHAPTER 5: MANAGEMENT SYSTEM 

5.1 GENERAL INFORMATION (§68.15) 

If you have at least one Program 2 or Program 3 process (see Chapter 2 for guidance 

on determining the Program levels of your processes), the management system 

provision in § 68.15 requires you to: 

Develop a management system to oversee the implementation of the risk 

management program elements; 

Designate a qualified person or position with the overall responsibility for the 

development, implementation, and integration of the risk management program 

elements; and 

Document the names of people or positions and define the lines of authority through 

an organizational chart or other similar document, if you assign responsibility for 

implementing individual requirements of the risk management program to people or 

positions other than the person or position with overall responsibility for the risk 

management program. 

ABOUT THE MANAGEMENT SYSTEM PROVISION 

Management commitment to process safety is a critical element of your facility's risk 

management program. Management commitment should not end when the last word 

of the risk management plan is composed. For process safety to be a constant 

priority, your facility must remain committed to every element of the risk 

management program. 

This rule takes an integrated approach to managing risks. Each element must be 

implemented on an ongoing, daily basis and become a part of the way you operate. 

Therefore, your commitment and oversight should be continuous. 

By satisfying the requirements of this provision, you are ensuring that: 

g The risk management program elements are integrated and implemented on 

an ongoing basis; and 

g All groups within a source understand the lines of responsibility and 

communication. 

5.2 HOW TO MEET THE MANAGEMENT SYSTEM REQUIREMENTS 

We understand that the sources covered by this rule are diverse and that you are in 

the best position to decide how to appropriately implement and incorporate the risk 

management program elements at your facility; therefore, we sought to maximize 

your flexibility in complying with this program. 

July 1998 
Chapter 5 

Management System 5-2 

WHAT DOES THIS MEAN FOR ME AS A SMALL FACILITY? 

As a small facility that must comply with this provision, you most likely have one or 

two Program 2 or 3 processes. To begin, you may identify either the qualified 

person or position with overall responsibility for implementing the risk management 

program elements at your facility. As a small facility, it may make sense and be 

practical to identify the name of the qualified person, rather than the position. 

Recognize that the only element of your management system that you must report in 

the RMP is the name of the qualified person or position with overall responsibility. 

Further, changes to this data element in your RMP do not require that you update 

your RMP. 

Identification of a qualified individual or position with overall responsibility 

may be all you need to do if the person or position named directly oversees the 

employees operating and maintaining the processes. You must define the lines of 

authority with an organizational chart or similar document only if you choose to 

assign responsibility for specific elements of the risk management program to 

persons or positions other than the person with overall responsibility. For a small 

facility, with few employees, it is likely that you will meet the requirements of this 

provision by identifying the one person or position with the overall responsibility of 

implementing the risk management program elements. If this is the case, you need 

not develop an organizational chart. For this reason, this chapter does not provide an 

example organizational chart for a small facility. 

Even if you meet the requirements of this section by naming a single person or 

position, it is important to recognize that the person or position assigned the 

responsibility of overseeing implementation must have the ability and resources to 

ensure that your facility and employees carry out the risk management program, 

particularly the prevention elements, on an continuing basis. Key to the 

effectiveness of the rule is integrated management of the program elements. 

WHAT DOES THIS MEAN FOR ME AS A MEDIUM OR LARGE FACILITY? 

As a medium or large facility you may have more managerial turnover than smaller 

sites. For this reason, it may make more sense at your facility to identify a position, 

rather than the name of the specific person, with overall responsibility for the risk 

management program elements. Remember that the only element of your 

management system that you must report in the RMP is the name of the qualified 

person or position with overall responsibility. Also note that changes to this data 

Lines of Authority element in your RMP do not require you to update your RMP. 

EHS Manager Environmental Process 

Engineer Engineer 

Plant 

Manager 

As a relatively large or complex facility, you will likely choose to identify several 

people or positions to supervise the implementation of the various elements of the 

program; therefore, you must define the lines of authority through an organizational 

chart or similar document. Further, we expect that most facilities your size already 

have an interest in formalizing internal communication and have likely developed 

and maintained some type of documentation defining positions and responsibilities. 

Any internal documents you currently have should be the starting point for defining 

July 1998 
Chapter 5 

5-3 Management System 

the lines of authority at your facility. You may find that you can simply use or 

update current documents to satisfy this part of the management system provision. 

Exhibit 5-1 provides a sample of another type of documentation you may use in 

addition to or as a replacement for an organization chart. 

Defining the lines of authority and roles and responsibilities of staff that oversee the 

risk management program elements will help to: 

g Ensure effective communication about process changes between divisions; 

g Clarify the roles and responsibilities related to process safety issues at your 

facility; 

g Avoid problems or conflicts among the various people responsible for 

implementing elements of the risk management program; 

g Avoid confusion and allow those responsible for implementation to work 

together as a team; and 

g Ensure that the program elements are integrated into an ongoing approach to 

identifying hazards and managing risks. 

Remember that all of the positions you identify in your documentation will report 

their progress to the person with overall responsibility for the program. However, 

nothing in the risk management program rule prohibits you from satisfying the 

management provision by assigning process safety committees with management 

responsibility, provided that an organizational chart or similar document identifies 

the names or positions and lines of authority. 

July 1998 
Chapter 5 

Management System 5-4 

EXHIBIT 5-1 

SAMPLE MANAGEMENT DOCUMENTATION 

Position Primary Responsibility Changes Responsibility re: Changes 

Operations Manager Developing OPs 

Oversight of operation 

On-the-job training 

On-the-job competency testing 

Process Safety Information 

Selecting participants for PHAs,

 incident investigations 

Develop management of change and

 pre-startup procedures 

New Equipment 

New Process Chemistry 

New Process Parameters 

New Procedures 

Change in Process Utilization 

Inform head of training 

Inform head of maintenance 

Inform lead for PHAs 

Inform hazmat team as needed 

Inform contractors 

Training Supervisor Develop, track, oversee operator

 training program 

Track competency testing 

Set up and track operator refresher

 training 

Set up training for maintenance 

Work with contractors 

New Equipment 

New Process Chemistry 

New Process Parameters 

New Procedures 

Change in Process Utilization 

New regulatory requirements 

Revise training and refresher training 

courses 

Revise maintenance courses, as needed 

Inform other leads of need for 

additional training 

Maintenance Supervisor Develop maintenance schedules 

Oversee and document maintenance 

Revise schedules as needed 

New Equipment 

New Process Chemistry 

New Process Parameters 

New Procedures 

Change in Process Utilization 

Inform operations manager of potential 

problem areas 

Inform training supervisor of any 

training revisions 

Inform contractors 

Revise schedules 

Hazmat Team Chief Develop and exercise ER plan 

Train responders 

Test and maintain ER equipment 

Coordinate with public responders 

Select participants in accident

 investigations 

New Equipment 

New Process Chemistry 

New Process Parameters 

New Procedures 

Change in Process Utilization 

New regulatory requirements 

Revise the ER plan as needed 

Inform operations manager of problems 

created by changes 

Work with training supervisor to revise 

training of team and others 

July 1998 
5-5 

Chapter 5 

Management System 

EXHIBIT 5-1 

SAMPLE MANAGEMENT DOCUMENTATION 

Position Primary Responsibility Changes Responsibility re: Changes 

Health and Safety Officer Oversee implementation of RMP 

Develop accident investigation

 procedures 

Oversee compliance audits 

Develop employee participation

 plans 

Conduct contractor evaluations 

Track regulations 

New Equipment 

New Process Chemistry 

New Process Parameters 

New Procedures 

Change in Process Utilization 

New regulatory requirements 

Inform all leads of new requirements 

and assign responsibilities 

Ensure that everyone is informed of 

changes and that changes are 

incorporated in programs as needed 

July 1998 
CHAPTER 6: PREVENTION PROGRAM (PROGRAM 2) 

6.1 ABOUT THE PROGRAM 2 PREVENTION PROGRAM 

If your processes are ineligible for Program 1 and you have substances above the 

threshold that are not covered by OSHA’s PSM standard, you have Program 2 

processes. If you have storage tanks and repackaging operations, the prevention 

program will likely be somewhat different for each covered process because the 

hazards and equipment may be different and, therefore, the training and procedures 

will differ. 

For the warehouse part of your operation, the prevention program is likely to be 

essentially the same for all covered substances. Procedures for moving and stacking 

containers, operating forklifts and other equipment, and segregating substances will 

generally be common to all substances stored. If you start storing a new class of 

hazardous substances you may have to address that, but once you have, your 

procedures and safety information will mainly be the same. Because of this common 

approach to accident prevention, you will probably want to treat your storage 

operations in the building as one process. You should address any differences in the 

hazard review and safety information, but you should develop a single accident 

prevention program that includes storage of all covered substances within a building. 

If you have more than one building at your facility, you may need to develop 

separate prevention programs for each building with regulated substances above the 

threshold. Procedures that are common across buildings need not be duplicated. 

The National Association of Chemical Distributors (NACD) has adopted a code of 

management practices, The Responsible Distribution Process (RDP). Many of the 

elements are similar to those required under Program 2. NACD has prepared a table 

comparing the elements of Program 2 with those of RDP, which is included as an 

appendix to this chapter. If you are in compliance with the NACD code, you will 

probably already have taken most of steps needed for Program 2 compliance. You 

are responsible for evaluating your RDP activities and determining whether they 

meet the requirements of part 68. If your RDP activities satisfy certain requirements 

of the rule, you will not need to take additional steps to meet those requirements. A 

comparison of RDF and the risk management program is included in Appendix A to 

this chapter. 

In addition, the Chemical Manufacturers’ Association (CMA), in coordination with 

the International Warehouse Logistics Association (IWLA), has developed a 

Warehouse Assessment Protocol. The Protocol includes some items that are not 

covered by the rule (e.g., package labeling), but many of the checklists will be useful 

in developing your accident prevention program for your warehouse operations. 

Reviewing and adapting applicable parts of the Protocol to your specific operations 

can save you time while helping you identify issues of concern. 

There are seven elements in the Program 2 prevention program, which is Subpart C 

of part 68. Exhibit 6-1 sets out each of the seven elements and corresponding section 

numbers. 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-2 

EXHIBIT 6-1 

SUMMARY OF PROGRAM 2 PREVENTION PROGRAM

 Number Section Title 

§ 68.48 Safety Information 

§ 68.50 Hazard Review 

§ 68.52 Operating Procedures 

§ 68.54 Training 

§ 68.56 Maintenance 

§ 68.58 Compliance Audits 

§ 68.60 Incident Investigation 

You must integrate these seven elements into a risk management program that you 

and your staff implement on a daily basis. Understanding and managing risks must 

become part of the way you operate. Doing so will provide benefits beyond accident 

prevention as well. Preventive maintenance and routine inspections will lessen the 

number of equipment failures and down time. 

6.2 SAFETY INFORMATION (§ 68.48) 

The purpose of this requirement is for you to understand the equipment and 

chemicals you have, know what limits they place on your operations, and adopt 

accepted standards and codes where they apply. Having up-to-date information 

about your process is the foundation of an effective prevention program. Many 

elements (especially the hazard review) depend on the accuracy and thoroughness of 

the information this element requires you to provide. 

WHAT DO I NEED TO DO? 

You must compile and maintain safety information related to the regulated 

substances and process equipment for each Program 2 process. You probably have 

much of this information already, because you would have developed it to comply 

with OSHA or other rules. EPA has limited the information to what is likely to 

apply to the processes covered under the Program 2 program. Exhibit 6-2 gives a 

brief summary of the safety information requirements for Program 2. 

January 27, 1999 
Chapter 6 

6-3 Prevention Program (Program 2) 

EXHIBIT 6-2 

SAFETY INFORMATION REQUIREMENTS 

You must compile and You must ensure: You must update the safety 

maintain this safety UThat the process is designed information if: 

information: in compliance with UThere is a major change at 

UMaterial Safety Data recognized codes and your business that makes the 

Sheets standards safety information inaccurate 

UMaximum intended 

inventory 

USafe upper and lower 

parameters 

UEquipment specifications 

UCodes & standards used to 

design, build, and operate 

the process 

HOW DO I START? 

MSDSs. You are required to maintain Material Safety Data Sheets under the OSHA 

Hazard Communication Standard (HCS) (29 CFR 1910.1200). If you do not have an 

MSDS for a regulated substance, you should contact your customer or the 

manufacturer for a copy. Because the rule states that you must have an MSDS that 

meets OSHA requirements you may want to review the MSDS to ensure that it is, in 

fact, complete. Besides the chemical name, the MSDS must have physical and 

chemical characteristics (e.g., flash point, vapor pressure), the physical hazards (e.g., 

flammability, reactivity), the health hazards, the routes of entry, exposure limits 

(e.g., the OSHA permissible exposure level), precautions for safe handling, generally 

applicable control measures, and emergency and first aid procedures. (See 29 CFR 

1910.1200(g) for the complete set of requirements for an MSDS.) 

MSDSs also are available from a number of websites. The University of Vermont 

provides access to three university-maintained MSDS collections through its 

website, http://www.hazard.com. The on-line databases usually have multiple copies 

of MSDSs for each substance and can help you find an MSDS that is well organized 

and easy to read. EPA has not verified the accuracy or completeness of MSDSs on 

any of these sites nor does it endorse any particular version of an MSDS. You 

should review any MSDS you use to ensure that it meets the requirements of 

OSHA’s hazard communication standard (29 CFR 1910.1200). 

Maximum Inventory. You must document the maximum intended inventory of any 

vessel that contains a regulated subject in part of a covered process. This 

requirement, when applied to your warehouses, means that you must document the 

sizes of vessels that you store. Your suppliers can provide information on the 

capacity of the drums, barrels, cylinders, etc., they deliver to you. You may also 

want to consider documenting the maximum storage capacity of areas where you 

store regulated substances. 

May 10, 2000 
Chapter 6 

Prevention Program (Program 2) 6-4 

For tanks, the maximum capacity can usually be found from “U1A”certificates for 

vessels. The U1A certificates on all vessels constructed under the ASME Boiler and 

Pressure Vessel Code are kept on file by the National Board. The nominal 

nameplate capacity can also be found on the permanently attached nameplate for 

your storage tank. The nameplate will also have the National Board Number for 

your vessel, which the key to retrieving your U1A form from the Board. These 

names may be located on one of the hemispherical heads, the manway, or the 

manway cover. The nominal capacity will usually be the water capacity, and you 

may want to convert it to pounds. 

If you use transportation containers (railcars or tank trucks) as storage vessels, you 

can obtain the capacity from the required DOT nameplate, identification plate, or 

specification plate or from the owner of the containers. 

You may want to check with NACD or the standards group that develops standards 

for particular processes (e.g., chlorine distribution) to determine if there are any 

limitations on inventories. For example, codes may limit the size of individual 

flammable storage areas to less than 40,000 square feet. Codes or standards may set 

stack height limits. For tanks, standards may limit the extent of filling; for example, 

NFPA-58, the LPG gas code, limits the maximum liquid volume for filling to a 

specified percentage (e.g., 88 percent at 60EF for propane of commercial density). 

These standards will limit your maximum inventories. 

Storage and Process Limits. You must document the safe upper and lower 

temperatures and pressures, process flows, and compositions. The last three items 

will generally not be applicable to warehouses, but will apply to repackagers. 

Every substance you store or use will have limits on temperature, which will be 

determined by both the properties of the substance and the vessels. If you do not 

know these limits, you should contact the substance manufacturer or your trade 

association. They will be able to provide the data you need. It is important that you 

know these limits so you can avoid situations where these limits may be violated. 

Many people are aware of the dangers of exposing their vessels to high temperatures, 

but extreme low temperatures also may pose hazards you should know about. 

If you are moving substances through pipes or hoses, you need to define safe 

temperatures and pressures; again, these limits will be determined by both the 

substance and the piping. For example, the substance may tolerate high pressures, 

but the pipes may have structural limits. To operate safely, you must have this 

information. The pipe manufacturer will be able to provide these data. 

If you are reacting chemicals, you need to understand whether the reaction will be 

compromised if you vary the temperature or pressure. Again, it is important to 

define both the upper and lower limits. Reactions may become unstable outside of 

their limits and compromise safety. Check with the substance manufacturer for 

information on this subject if you are uncertain about the limits. 

January 27, 1999 
Chapter 6 

6-5 Prevention Program (Program 2) 

Process flows and compositions will apply to you if you transfer substances through 

piping or hoses and if you mix the substance. It is important in these cases that you 

understand the safe limits. The pipe or hose vendors will be able to provide you with 

the maximum flow rates that their products are designed to handle. You must also 

be aware of any hazards that could be created if your processes are contaminated; for 

example, if your substance or equipment could be contaminated by water, you must 

know whether that creates different hazards, such as corrosion. 

For most Program 2 processes, mixing will not be an issue, but if you are mixing 

substances, you should understand what will happen if the composition varies. If 

you are uncertain about the effects of changing composition and do not have a 

chemist or chemical engineer on your staff, the substance manufacturer should be 

able to help. 

Equipment Specifications. You must document any equipment you use to store, 

repackage, or move regulated substances. Equipment specifications will usually 

include information on the materials of construction, actual design, and tolerances. 

The vendor should be able to provide this information; you may have the 

specifications in your files from the time of purchase. You are not expected to 

develop engineering drawings of your equipment to meet this requirement. For 

warehouses, this requirement will apply mainly to forklifts and other equipment used 

to lift or move drums, barrels, pallets, etc., as well as storage racks. It is important 

that you understand the limitations on this equipment so that it can be operated and 

used properly. 

The actual containers for the regulated substances will probably be designed to meet 

DOT specifications. You need only ensure that containers you store meet DOT 

specifications; you do not need to maintain copies of the DOT specifications unless 

you package regulated substances at your warehouse. DOT specifications are 

generally found in 49 CFR part 178. 

If you repackage, you are likely to have more equipment on which you must maintain 

documentation. For example, you will need to document the specifications for all of 

the following that apply to your covered processes: bulk storage tanks, piping, 

pressure relief valves, emergency shutoff valves, temperature, pressure, and level 

gauges, valves, pumps, compressors, hoses, wet air scrubber systems, flame 

ionization systems, condensation or distillation systems, and carbon adsorption 

systems. You may want to file vendor specification information in a single location 

to make it easy to find and update. 

Codes and Standards. You must document the codes and standards you used to 

design and build your facility and that you follow to operate. These codes will 

include the electrical and building codes that you must comply with under state laws. 

Besides the construction of the building, in storage areas, you should consider racks 

that you use for storage, sprinkler systems, heating and ventilation systems, and any 

other equipment or design features that affect the safety of your storage. Bulk 

storage containers are also subject to codes, such as ASME pressure vessel codes. 

Exhibit 6-3 lists some codes that may be relevant to your operation. 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-6 

Note that the National Fire Protection Association (NFPA) codes may have been 

adopted as state or local codes. The American National Standards Institute (ANSI) 

is an umbrella, standards-setting organization, which imposes a specific process for 

gaining approval of standards and codes. ANSI codes may include codes and 

standards also issued by other organizations. 

The CMA Warehouse Assessment Protocol has a section on loss prevention (section 

4 of the protocol) that can help you identify areas of concern on design. 

EXHIBIT 6-3

CODES AND STANDARDS

Organization Subject/Codes 

American National Standards Institute (ANSI) Piping, Electrical, Power wiring, Instrumentation, 

Lighting, Product storage and handling, Insulation and 

fireproofing, Painting and coating, Ventilation, Noise 

and Vibration, Fire protection equipment, Safety 

equipment, Pumps, Compressors, Motors, 

Refrigeration equipment, Pneumatic conveying 

National Fire Protection Association (NFPA) Fire pumps, Flammable liquid code, Plant equipment 

and layout, Electrical system design, Shutdown 

systems, Venting requirements, Gas turbines and 

engines, Storage tanks 

American Society for Testing Materials (ASTM) Inspection and testing, Noise and vibration, Materials 

of construction, Piping materials and systems, 

Instrumentation 

HOW DO I DOCUMENT ALL THIS? 

EPA does not expect you to develop piles of papers to document your safety 

information. Your MSDS(s) are usually three or four pages long. You only have to 

keep them on file, as you already do for OSHA. Equipment specifications are 

usually on a few sheets or a booklet provided by the vendor; you need only keep 

these up-to-date and on file. You can probably document the other information on a 

one or more sheets that simply list each of the required items and any codes or 

standards that apply. See Exhibit 6-4 for a sample. Maintain that sheet in a file and 

update it whenever any item changes or new equipment is added. 

The equipment specifications and list of standards and codes will probably meet the 

final requirement, that you ensure that your process is designed in compliance with 

January 27, 1999 
Chapter 6 

6-7 Prevention Program (Program 2) 

EXHIBIT 6-4 

SAMPLE SAFETY INFORMATION SHEET 

ITEM CURRENT DATA/LIMITS 

MSDS 

Nitric Acid 

Chorine 

Ammonia 

Acrylonitrile 

Formaldehyde 

Hydrochloric Acid 

Hydrofluoric Acid 

Ethylene oxide 

Acrolein 

Flammable mixtures 

Date of last update: 

1994 

1996 

1995 

1997 

1994 

1997 

1995 

1996 

1999 

5 mixtures (1998, 1997, 1999) 

Maximum Intended Inventory (warehouse) Largest Vessel: 55 gallon drums 

Maximum storage in any section 1,000 drums 

Maximum area storage for flammables 30,000 square feet. 

Aerosol (flammable) storage less than 100 cubic feet 

Maximum Intended Inventory 

Tank (chlorine) 

Tank (ammonia) 

60,000 gallons (nominal water capacity) 

40,000 gallons (nominal water capacity) 

Temperature (warehouse) 

Temperature (chlorine tank) 

Temperature (ammonia tank) 

Upper: 

Lower: 

Upper: 

Lower: 

Upper: 

Lower: 

Pressure (chlorine tank) 

Pressure (ammonia tank) 

Upper: 

Lower: 

Upper: 

Lower: 

Flow rate (chlorine) 

Flow rate (ammonia) 

Loading: 

Unloading: 

Loading: 

Unloading: 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-8 

ITEM CURRENT DATA/LIMITS 

Equipment Specifications

 Fork lifts

 Sprinkler system

 Wet system

 Foam system

 Rack system

 Storage racks

 Exhaust fans

 Fire extinguishers

 Alarm system 

Safety relief valves

 RV1

 RV2

 RV3

 RV4 

Excess flow valve

 EFV1

 EFV2

 EFV3

 EFV4 

Emergency shutoff valve

 ESV1

 ESV2 

Pump 1 

Pump 2 

Compressor 1 

Compressor 2 

Tank level indicator 1 

Tank level indicator 2 

Tank pressure indicator 1 

Tank pressure indicator 2 

Tank temperature indicator 1 

Tank temperature indicator 2 

Specifications on file: 

On file (last update, 1992) 

Construction drawings and specifications 

Construction drawings and specifications 

Construction drawings and specifications 

Manufacturer’s specifications (1985) 

Manufacturer’s specifications (1993) 

Manufacturer’s specifications (1995) 

Manufacturer’s specifications (1985) 

Each relieves at 

Replaced 9/96 

Replaced 4/97 

Replaced 5/94 

Replaced 2/99 

3", closes at 225 GPM with 100 PSIG inlet 

2", closes at 

3", closes at 

2", closes at 

1 1/4", closes at 

2", closes at 

Manufacturer’s specifications (1995) 

Manufacturer’s specifications (1992) 

Manufacturer’s specifications (1995) 

Manufacturer’s specifications (1997) 

Manufacturer’s specifications (1994) 

Manufacturer’s specifications (1996) 

Manufacturer’s specifications (1998) 

Manufacturer’s specifications (1996) 

Manufacturer’s specifications (1993) 

Manufacturer’s specifications (1994) 

Codes and Standards

 Building construction 

Floor

 Interior walls

 Ceiling

 Fire doors 

State building and fire code

 Electrical State electrical code

 Sprinkler system State building code; NFPA 

Ventilation system State building code 

Piping design ASME 

Tanks ASME (ID number) 

January 27, 1999 
Chapter 6 

6-9 Prevention Program (Program 2) 

ITEM CURRENT DATA/LIMITS 

Racks

 Stack heights, separations 

recognized and generally good engineering practices. If you have any doubt that you 

are meeting this requirement, you should contact your trade association to determine 

if there are practices or standards that you are not aware of that may be useful in 

your operation. 

After you have documented your safety information, you should double check it to 

be sure that the files you have reflect the equipment you are currently using. It is 

important to keep this information up to date. Whenever you replace equipment, be 

sure that you put the new equipment specifications in the file and consider whether 

any of your other prevention elements need to be reviewed to reflect the new 

equipment. 

6.3 HAZARD REVIEW (§ 68.50) 

The hazard review will help you determine whether you’re meeting applicable codes 

and standards, identify and evaluate the types of potential failures, and focus your 

emergency response planning efforts. 

WHAT DO I NEED TO DO? 

The hazard review is key to understanding your operation and continuing to operate 

safely. You must identify and review specific hazards and safeguards of your 

Program 2 processes. Exhibit 6-5 summarizes things you must do for a hazard 

review. 

HOW DO I START? 

There are three possible approaches to conducting a hazard review; which you use 

will depend on your particular situation. 

Processes designed to industry-specific codes. If all or part of your facility and its 

operation was designed and built to comply with a federal or state standard for that 

operation or an industry-specific design code, your hazard review will be relatively 

simple. The standard-setting organization has already conducted a hazard review, 

identified the hazards, and designed the equipment and operating requirements to 

minimize the risks. You can use the code or standard as a checklist. The purpose of 

your review is to ensure that your equipment still meets the code and is being 

operated in appropriate ways. 

January 27, 1999
Chapter 6 

Prevention Program (Program 2) 6-10 

Industry checklist. CMA’s Warehouse Assessment Protocol, particularly the 

Warehouse Assessment (as opposed to the Management Systems Assessment), can 

provide the basis for a hazard review checklist for your storage operations. CMA 

and IWLA have already identified what your general hazards are and what types of 

equipment and procedures you should be using. Your job is to use the checklist to 

decide if you meet the requirements and, if you do not, whether you should. In some 

cases, your individual circumstances may make a checklist item unnecessary. You 

EXHIBIT 6-5

HAZARD REVIEW REQUIREMENTS

Conduct a review & 

identify... 

Use a guide for 

conducting the 

review. 

Document results & 

resolve problems. 

Update your hazard 

review. 

UThe hazards 

associated with the 

Program 2 process & 

regulated substances. 

UOpportunities for 

equipment malfunction 

or human error that 

could cause a release. 

USafeguards that will 

control the hazards or 

prevent the 

malfunction or error. 

USteps to detect or 

monitor releases. 

UYou may use any 

checklist (such as you 

might in a model risk 

management program) 

to conduct the review. 

UFor a process 

designed to industry 

standards like NFPA58 or Federal /state 

design rules, check the 

equipment to make 

sure that it’s fabricated, 

installed, and operated 

properly. 

UYour hazard review 

must be documented 

and you must show that 

you have addressed 

problems. 

UYou must update 

your review at least 

once every five years 

or whenever there is a 

major change in the 

process. 

UYou must resolve 

problems identified in 

the new review before 

you startup the 

changed process. 

should tailor this checklist to add chemical-specific concerns. For example, if you 

handle a wide range of chemicals across hazard classes, you will want to be sure that 

these materials are segregated properly. If you have an operating engineer on staff, 

he or she may be able to conduct the review. If you do not have any technical staff, 

your vendor or trade association may be able to help you. If you seek outside help, 

however, work with them closely so that you understand what they find. 

Develop your own checklist. If you do not choose to use the CMA protocol or 

industry standards, you will have to conduct your own hazard review. As discussed in 

the requirements section, the review must identify: 

g The hazards of the substance and process; 

g Possible equipment failures or human errors that could lead to a release; 

g Safeguards used to prevent failures or errors; and 

g Steps needed to detect or monitor releases. 

January 27, 1999 
Chapter 6 

6-11 Prevention Program (Program 2) 

You will probably be able to define the hazards of the substances themselves using 

the MSDSs, which list the hazardous properties of substances. However, the hazards 

of the process (as opposed to substance or the equipment) must also be defined. If 

you repackage or mix chemicals, or if you fail to segregate hazard classes, you will 

probably need to define process hazards. Your safety information should help here. 

The next step may be to conduct a simplified What If analysis where you ask for 

each piece of equipment and procedure, “What if this fails?” and “What if the 

operator fails to do this?” Most industry standards and codes have already 

considered these questions and developed responses, in terms of design and 

operating practices. If you are doing this on your own, the important thing to 

remember is that you should not assume that something will not happen without a 

sound technical basis for that assumption. Ask why something could not happen and 

whether the safeguards that you think protect the equipment or operator are really 

adequate. In many cases, they may be adequate, but it is useful to ask, to force 

yourself to examine your own assumptions. 

From this exercise, you should develop a checklist of items that you need to check. 

For example, you may have decided that your storage racks can hold a certain 

weight. The checklist would then include an item to check procedures to be sure that 

they reflect this limit. You may have identified puncturing drums with a forklift as 

the most likely operator error. Your checklist might then include both a check of 

operating procedures that address proper practices, plus a check of the width of 

corridors separating racks or pallets to ensure that forklift operators have enough 

space to maneuver. If you have listed mixing tank pump failure as a possible 

problem, the checklist might then include the following items to check: pump 

maintenance plans, tank high-level alarms, overflow tanks. You would also want to 

ask what effect a power outage would have on the pump. You may want to consider 

the particular procedures that have to be followed for safe operation of the 

equipment and ask what will happen if an operator omits a step or does them out of 

order. Do your procedures address these possible problems? Will failure of the 

pump affect the safe operating limits you have documented in your safety 

information? 

When you finish the checklist, it is useful to show it to your operators. They are 

familiar with the equipment and may be able to point out other areas of concern. A 

review with your vendors or trade association may also help; their wider knowledge 

of the industry may give them ideas about failures you may not have experienced or 

considered. 

CAUTION 

Whichever approach you use, remember, you should consider external events as well 

as internal failures. If you are in an area subject to earthquakes, hurricanes, floods, 

or heavy snow you should examine whether your warehouse would survive these 

natural events without releasing the substance. You should consider the potential 

impacts of lightning strikes and power failures (e.g., if you lost heating in midwinter 

would that create dangerous situations?). These considerations may not be part of 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-12 

standard checklists. If you use these standards, you may have to modify them to 

address these site-specific concerns. Never use someone else’s checklist blindly. 

You must be sure that it addresses all of your potential problems. 

DOCUMENTING THE REVIEW 

You should maintain a copy of the checklist you used. The easiest way to document 

findings is to enter them into the checklist after each item. This approach will give 

you a simple, concise way of keeping track of findings and recommendations. 

Exhibit 6-6 provides a sample of part of a checklist. You may also want to create a 

separate document of recommendations that require implementation or other 

resolution. EPA does not require that you implement every recommendation. It is 

up to you to decide which recommendations are necessary and feasible. You may 

decide that other steps are as effective as the recommended actions or that the risk is 

too low to merit the expense. You must, however, document your decision on each 

recommendation. 

UPDATES 

You must update the review every five years or whenever a major change occurs. If 

you repackage chemicals, you are more likely to have changes than if you only store 

substances. For example, if you install new equipment or begin repackaging a 

substance you had previously only stored, you will need to revise your hazard review 

or conduct a new review. For the warehouse part of your operations, major changes 

will probably be limited. If you start storing a new substance, particularly if it is in a 

hazard class you have not handled before, you would want to consider whether the 

new type of hazard requires any additional actions (e.g., different type of fire 

suppression system, new segregation patterns). In most cases, adding new regulated 

substances in a hazard class you already handle (flammable liquids, acids) will not 

be considered a major change. Even if the changes prove to be minor and do not 

require an update, you should examine the process carefully before starting. You 

will operate more safely if you take the time to evaluate the hazards before 

proceeding. 

WHERE CAN I LOOK FOR MORE INFORMATION? 

Although the reports below target the chemical industry, you may find useful 

information in them: 

g Guidelines for Hazard Evaluation Procedures, 2nd Ed. with Worked 

examples, Center for Chemical Process Safety of the American Institute of 

Chemical Engineers. 

g Evaluating Process Safety in the Chemical Industry, Chemical 

Manufacturers Association. 

January 27, 1999 
Chapter 6 

6-13 Prevention Program (Program 2) 

EXHIBIT 6-6 

SAMPLE CHECKLIST1 

Storage and Handling Yes No Comments 

Are chemicals segregated from foods/consumer 

goods? 

Are chemicals segregated by hazard class? 

Are damaged containers marked and segregated? 

Are product temperature specifications followed? 

Are there floor markings to indicate storage 

spaces, aisles, staging areas, and routes? 

Are products stacked properly to height 

specifications in accordance with fire regulations? 

Are there indications of exceeding height 

requirements, such as crushed boxes? 

Are aisle distances between stacking racks 

appropriate for safe access with mechanical 

handling equipment? 

Is aisle distance maintained for safe access for fire 

fighting? 

Is there at least one meter between the top of the 

stack and sprinkler heads? 

Are products stored outside of the pathway of 

forced air conditioning and heating units? 

Are products stored in areas other than on the 

floor? 

Is there a designated area for drums or 

intermediate bulk containers stored outside? 

Are empty pallets stored in accordance with fire 

regulations? 

Are container labels visible? 

1

 Adapted from the CMA Warehouse Assessment Protocol, 1996 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-14 

g Handling and Storage: Warehouse Assessment Protocol, Chemical 

Manufacturers Association. 

In addition, the following apply to specific storage and handling: 

g 29 CFR 1910.111, OSHA’s standard for the storage and handling of 

anhydrous ammonia. 

g ANSI K61.1, ANSI standards for the storage and handling of anhydrous 

ammonia 

g 29 CFR 1910.106, OSHA’s standard for flammable gases. 

g 29 CFR 1910.101, OSHA’s standard for compressed gases. 

g Compressed Gas Association (various publications on the safe storage and 

handling of compressed gases). 

6.4 OPERATING PROCEDURES (§ 68.52) 

Written operating procedures describe what tasks a process operator must perform, 

set safe process operating parameters that must be maintained, and set safety 

precautions for operations and maintenance activities. These procedures are the 

guide for telling your employees how to work safely everyday, giving everyone a 

quick source of information that can prevent or mitigate the effects of an accident, 

and providing workers and management with a standard against which to assess 

performance. 

WHAT DO I NEED TO DO? 

You must prepare written operating procedures that give workers clear instruction 

for safely conducting activities involving a covered process. You may use 

standardized procedures developed by industry groups as the basis for your operating 

procedures, but be sure to check that these standard procedures are appropriate for 

your activities. If necessary, you must update your Program 2 operating procedures 

whenever there is a major change and before you startup the changed process. 

Exhibit 6-7 briefly summarizes what your operating procedures must address. 

Your operating procedures must be: 

g Appropriate for your equipment and operations;

g Complete; and

g Written in language that is easily understood by your operators.

The procedures do not have to be long. If you have simple equipment that requires a

few basic steps, that is all you have to cover. 

January 27, 1999 
Chapter 6 

6-15 Prevention Program (Program 2) 

WHERE TO START 

If you already have written procedures, you may not have to do anything more. 

Review the procedures. If you are satisfied that they meet the criteria listed above, 

you are finished. You may want to check them against any recommended procedures 

provided by equipment manufacturers, trade associations, or standard 

EXHIBIT 6-7

OPERATING PROCEDURES REQUIREMENTS

Steps for each operating phase Operating limits 

UInitial startup UConsequences of deviating 

UNormal operations USteps to avoid, correct deviations 

UTemporary operations 

UEmergency shutdown 

UEmergency operations 

UNormal shutdown 

UStartup following a normal or emergency shutdown or 

a major change 

setting organizations, but you are not required to do so. You are responsible for 

ensuring that the procedures explain how to operate your equipment and store 

chemicals safely. 

If you do not have written procedures, you may want to check with equipment 

manufacturers, trade associations, or standard setting organizations. They may have 

recommended practices and procedures that you can adapt. Do not accept anyone 

else’s procedures without checking to be sure that they are appropriate for your 

particular equipment and uses and are written in language that your operators will 

understand. You may also want to review any requirements imposed under state or 

federal rules. For example, if you are subject to federal rules for loading and 

unloading of hazardous materials, those rules may dictate some procedures. Copies 

of these rules may be sufficient for those operations. 

WHAT DO THESE PROCEDURES MEAN? 

The rule lists eight procedures. Not all of them will be applicable to you if you only 

store substances. The following is a brief description to help you decide whether 

you need to develop procedures for each item. If a particular element does not apply, 

do not spend any time on it. We do not expect you to create a document that is 

meaningless to you. You should spend your time on items that will be useful to you. 

Initial Startup. This item will probably only apply to you if you repackage or mix 

chemicals. If you handle the chemicals, as opposed to containers, this item covers all 

the steps you need to take before you start a process for the first time. You should 

include all the steps needed to check out equipment as well as the steps needed to 

start the process itself. 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-16 

Normal Operations. These procedures should cover your basic operations. These 

are your core procedures that you expect your operators to follow on a daily basis to 

run your warehouse safely. For a warehouse, these would include the following: 

g Segregation and storage procedures 

g Use of forklifts 

g Loading and unloading 

g Examination for damage and labeling 

g Stock controls 

g Site security 

g Bracing and stacking 

g Hot work 

g Handling damaged containers 

For repackaging operations, normal operations would also include unloading into 

storage tanks and repackaging into smaller containers. 

Some of these operations are covered by federal or state rules (e.g., loading and 

unloading may be covered by US DOT; hot work is covered by OSHA). Your 

procedures should represent compliance with any applicable rules. 

Temporary Operations. These operations are short-term; they will usually occur 

either when your regular process is down or when additional capacity is needed for a 

limited period. The procedures should cover the steps you need to take to ensure that 

these operations will function safely. The procedures will generally cover prestartup checks and determinations (e.g., will the material be segregated properly). 

The actual operating procedures for running the temporary process will be written as 

the operation is put into place. 

You may need to consider procedures to ensure that if a new substance or product is 

brought into the warehouse for temporary storage, the necessary steps are taken 

before that storage to ensure that it is safe (e.g., barrels are not stacked too high, or 

located with incompatible substances). 

Emergency Shutdowns and Operations. These procedures generally will apply 

only if you repackage regulated substances. If you do, these procedures cover the 

steps you need to take if you must shutdown your process quickly. These procedures 

may be brief because shutting a process down may be no different in an emergency 

than in ordinary circumstances; you may simply shut off the flow or stop any 

unloading or loading. 

Normal Shutdown. These procedures probably will apply only if you repackage. 

Startup following a normal or emergency shutdown or a major change. These 

procedures will be similar to those for initial startup. Startup procedures following 

normal shutdown may include fewer equipment checks because you may not need to 

check equipment on a frequent basis. You should include all the steps your workers 

January 27, 1999 
Chapter 6 

6-17 Prevention Program (Program 2) 

should take to ensure that the process can operate safely. These procedures may not 

apply to warehouses in most instances. 

Consequences of Deviations. Your operating procedures should tell the workers 

what will happen if something starts to go wrong and should be consistent with the 

safety information you develop. For example, if a rack appears to be sagging inward, 

the operator must know (1) whether this poses a problem that must be addressed and 

(2) what steps to take to correct the problem or otherwise respond to it. If the 

pressure in your storage tanks rises, your operator must know at what point higher 

pressure poses a hazard and the steps to take to address the problem. You should 

include this information in each of the other procedures (startup, normal operations, 

shutdowns), rather than as separate documents. 

If you have substances with a distinctive odor, color, or other characteristic that 

operators will be able to sense, you should include in your procedures information 

about what to do if they notice leaks. Frequently, people are the most sensitive leak 

detectors. Take advantage of their abilities to catch leaks before they become 

serious. 

Equipment Inspections. You should include steps for routine inspection of 

equipment by operators as part of your other procedures. These inspections cover 

the items that operators should look for on a daily basis to be sure that the equipment 

is running safely (e.g., vibration checks). These inspections are not the same as 

those detailed checks that maintenance workers will perform, but rather are the 

“eyeball,” “sound,” and “feel” tests that experienced operators do often without 

realizing it. Your operators, your vendors, and your trade association can help you 

define the things that should trigger concern: How much vibration is normal? What 

does a smoothly running motor sound like? 

CMA PROTOCOL 

The CMA Warehouse Assessment Protocol provides a checklist of operational 

practices in its Management Systems Assessment. You may want to review this list; 

some of the items on the list are not specifically covered by the rule (e.g., traffic 

office procedures), but may be important to efficient running of your warehouse. 

For warehouses, more than for many other businesses covered by this rule, the total 

operation of the business is relevant to safety. Although many of the substances you 

handle will not be subject to this rule, you are likely to use the same procedures that 

you use for covered substances for the other chemicals you store. 

UPDATING PROCEDURES 

You must update your procedures whenever you change your process in a way that 

alters the steps needed to operate safely. If you add new equipment, you will need to 

expand your procedures or develop a separate set to cover the new items. 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-18 

WHAT KIND OF DOCUMENTS DO I HAVE TO KEEP? 

You must maintain your current set of operating procedures. You are not required to 

keep old versions; in fact, you should avoid doing so because keeping copies of 

outdated procedures may cause confusion. You should date all procedures so you 

will know when they were last updated. 

6.5 TRAINING (§ 68.54) 

Training programs often provide immediate benefits because trained workers have 

fewer accidents, damage less equipment, and improve operational efficiency. 

Training gives workers the information they need to understand how to operate 

safely and why safe operations are necessary. A training program, including 

refresher training, is the key to ensuring that the rest of your prevention program is 

effective. You already have some type of training program because you must 

conduct training to comply with OSHA’s Hazard Communication standard (29 CFR 

1910.1200). 

WHAT DO I NEED TO DO? 

You must train all new workers in your operating procedures developed under the 

previous element; if any of your more experienced workers need training on these 

procedures, you should also train them. Any time the procedures are revised, you 

must train everyone using the new procedures. At least once every three years, you 

should provide refresher training on the operating procedures even if they have not 

changed. The training must cover all parts of the operating procedures, including 

information on the consequences of deviations and steps needed to address 

deviations. 

For current workers, you may certify in writing that the employees have the 

“required knowledge, skills, and abilities to safely carry out the duties and 

responsibilities as provided in the operating procedures.” This “grandfather clause” 

means that you do not need to conduct additional training for employees who are 

employed prior to June 21, 1999, and who have the appropriate knowledge and skills 

to operate covered processes safely, in accordance with the operating procedures. 

This certification should be kept in your files; you do not need to submit it to EPA. 

You are not required to provide a specific amount of training or type of training. 

You should develop a training approach that works for you. If you are a small 

facility, one-on-one training and on-the-job training may work best. Larger facilities 

may want to provide classroom training or video courses developed by vendors or 

trade associations before moving staff on to supervised work. You may have senior 

operators present the training or use trainers provided by vendors or other outside 

sources. The form and the length of the training will depend on your resources and 

your processes. If you can teach someone the basics in two hours and move them on 

to supervised work, that is all right. The important thing is that your workers 

understand how to operate safely and can carry out their tasks properly. We are 

interested in the results of the training, not the details of how you achieve them. 

January 27, 1999 
Chapter 6 

6-19 Prevention Program (Program 2) 

Find a system that works for you. Exhibit 6-8 lists things that you may find useful in 

developing your training program. 

HOW DOES THIS TRAINING FIT WITH OTHER REQUIRED TRAINING? 

You are required by OSHA to provide training under the hazard communication 

standard; this training covers the hazards of the chemicals and steps to take to 

prevent exposures. DOT has required training for loading and unloading of 

hazardous materials. Some of that training will cover items in your operating 

procedures. You do not need to repeat that training to meet EPA’s requirements. 

You may want to integrate the training programs, but you do not have to do so. 

EXHIBIT 6-8 

TRAINING CHART 

UWho needs training? Clearly identify the employees who need to be trained and the subjects to be 

covered. 

UWhat are the 

objectives? 

Specify learning objectives, and write them in clear, measurable terms before 

training begins. Remember that training must address the process operating 

procedures. 

UHow will you meet the 

training objectives? 

Tailor the specific training modules or segments to the training objectives. 

Enhance learning by including hands-on training like using simulators whenever 

appropriate. Make the training environment as much like the working 

environment as you can, consistent with safety. Allow your employees to 

practice their skills and demonstrate what they know. 

UIs your training 

program working? 

Evaluate your training program periodically to see if your employees have the 

skills and know the routines required under your operating procedures. Make 

sure that language or presentation are not barriers to learning. Decide how you 

will measure your employees’s competence. 

UHow will your 

program work for new 

hires and refresher 

training? 

Make sure all workers – including maintenance and contract employees – receive 

initial and refresher training. If you make changes to process chemicals, 

equipment, or technology, make sure that involved workers understand the 

changes and the effects on their jobs. 

WHAT KIND OF DOCUMENTATION DO I NEED TO KEEP? 

You are not required to maintain documentation of your training program. You may, 

however, want to keep an attendance log for any formal training courses and 

refresher training to ensure that everyone who needs to be trained is trained. Such 

logs will help you when you do a compliance audit; without such logs you will have 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-20 

to rely on your memory and the memory of your operators. Again, you are not 

required to keep them for this rule. 

6.6 MAINTENANCE (§ 68.56) 

You have several elements you must satisfy: you must develop maintenance 

procedures, train your workers in these procedures, and carry out inspections and 

tests on your equipment; if you use a contractor for maintenance, you must ensure 

that the contractors are able to follow your procedures. Maintenance procedures 

should cover routine maintenance, inspection, and testing. For storage operations, 

maintenance will apply primarily to equipment used to move storage containers 

(lifts, conveyors, ladders, dock equipment). If you repackage regulated substances, 

your tanks, hoses, and pumps will be covered. 

WHAT DO I NEED TO DO? 

You must prepare and implement procedures for maintaining the mechanical 

integrity of process equipment, and train your workers in the maintenance 

procedures. You may use procedures or instructions from equipment vendors, in 

Federal or state regulations, or in industry codes as the basis of your maintenance 

program. You should develop a schedule for inspecting and testing your equipment 

based on manufacturers’ recommendations or your own experience. Exhibit 6-9 

briefly summarized the elements of a maintenance program that would satisfy EPA’s 

rule. 

HOW DO I START? 

Your first steps will probably be to determine whether you already meet all these 

requirements. If you review your existing written procedures and determine that 

they are appropriate, you do not need to revise or rewrite them. If your workers are 

already trained in the procedures and carry them out, you may not need to do 

anything else. 

If you do not have written procedures, you will need to develop them. Your 

equipment vendors may be able to provide procedures and maintenance schedules. 

Using these as the basis of your program is acceptable. Your trade association may 

also be able to help you with industry-specific checklists. If there are existing 

standards, your trade association can provide you with the references. Copies of 

these may form the basis for your maintenance program. If there are federal or state 

regulations that require certain maintenance, you should use these as well. 

January 27, 1999 
6-21 

Chapter 6 

Prevention Program (Program 2) 

EXHIBIT 6-9 

MAINTENANCE GUIDELINES 

Written procedures Training Inspection & testing 

UYou may use someone 

else’s procedures as 

the basis for your 

program. If you 

choose to develop 

your own, you must 

write them down. 

UTrain process maintenance 

employees in process hazard 

and how to avoid or correct 

an unsafe condition. 

UMake sure this training 

covers the procedures 

applicable to safe job 

performance. 

UInspect & test process 

equipment. 

UUse recognized and generally 

accepted good engineering 

practices. 

UFollow a schedule that matches 

the manufacturer’s 

recommendations or that prior 

operating experience indicates 

is necessary. 

You need to determine if procedures provided by vendors, manufacturers, trade 

associations, or others are appropriate for your operation. If you are operating in a 

standard way (e.g., using your equipment in the way it was designed for), you may 

assume that these other procedures will work for you. If you are using equipment for 

purposes other than those for which it was designed, you need to decide whether 

your use changes the kind of maintenance or frequency of inspection and testing. 

TRAINING 

Once you have written procedures, you must ensure that your maintenance workers 

are trained in the procedures and in the hazards of the process. As with the training 

discussed in the previous section, how you provide this training is up to you. We 

believe that you are in the best position to decide how to train your workers. 

Vendors may provide the training or videos; you may already provide training on 

hazards and how to avoid or correct them as part of Hazard Communication Standard 

training. You do not need to repeat this training to comply with this rule. 

If you hire contractors to do your maintenance, you must ensure that they are trained 

to carry out the procedures. You can do this by providing training or by developing 

agreements with the contractor that gives you the assurance that only trained workers 

will sent to your site. In some cases, you may be able to rely on licenses (e.g., 

electricians). 

INSPECTION AND TESTING 

You must establish a schedule for inspection and testing equipment associated with 

covered processes. You may obtain recommendations from manufacturers, vendors, 

or trade associations. You should, however, use your own experience as a basis for 

examining any schedules you obtain from others. Many things may affect whether a 

schedule is appropriate. The manufacturer may assume a certain rate of use. If your 

use (e.g., the hours per day a forklift is operated) varies considerably, the variations 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-22 

may affect the wear on the equipment. Extreme weather conditions may also impact 

wear on equipment. 

Talk with your operators as you prepare or adopt these procedures and schedules. If 

their experience indicates that equipment fails more frequently than the manufacturer 

expects, you should adjust the inspection schedule to reflect that experience. Your 

trade association may also be able to provide advice on these issues. 

WHAT KIND OF DOCUMENTATION MUST I KEEP? 

You must keep your written procedures and schedules as well as any agreements you 

have with contractors. You are not required to keep training logs or maintenance 

logs to comply with this rule. You may, however, want to maintain such logs for 

your own use. Without some record, you will have to rely on workers’ memories 

about when something was last checked. As workers leave or change jobs at your 

company, it can be difficult to keep track of when inspections and tests were done. 

Maintaining a record of when something was last done or is scheduled to be done 

next can help keep your program working smoothly. 

6.7 COMPLIANCE AUDITS (§ 68.58) 

Any risk management program should be reviewed periodically to ensure that 

employees and contractors are implementing it properly. A compliance audit is a 

way for you to evaluate and measure the effectiveness of your risk management 

program. An audit reviews each of the prevention program elements to ensure that 

they are up-to-date and are being implemented and will help you identify problem 

areas and take corrective actions. As a result, you’ll be running a safer operation. 

WHAT DO I NEED TO DO? 

At least every three years, you must certify that you have evaluated compliance with 

EPA’s requirements for the prevention program for each covered process. At least 

one person on your audit team must be knowledgeable about the process. You must 

develop a report of your findings, determine and document an appropriate response 

to each finding, and document that you have corrected any deficiency. 

The purpose of the compliance audit is to ensure that you are continuing to 

implement the risk management program as required. Remember, the risk 

management program is an on-going process; it is not a set of documents that you 

develop and put on a shelf in case the government inspects your site. To be in 

compliance (and gain the benefits) procedures must be followed on a daily basis; 

documents must be kept up to date. The audit will check these items and provide 

you with items that need to be improved. 

You must check each of the items in prevention program. Because you have simple 

procedures, the audit should not take a long time. You may want to use the CMA 

protocol warehouse assessment protocol as the basis of your audit of your storage 

operations. The NACD Responsible Distribution Process implementation guide may 

January 27, 1999 
Chapter 6 

6-23 Prevention Program (Program 2) 

be a useful starting part of an audit checklist as well; the guide covers more activities 

than are covered by part 68, as does the CMA protocol. You may tailor the audit to 

cover only requirements of part 68, or you may decide to expand the audit to cover 

the full range of your activities. 

Once you have the checklist, you, your chief operator, or some other person who is 

knowledgeable about your process, singly or as a team, should walk through the 

facility and check on each of the items, writing down comments and 

recommendations. You may want to talk with employees to determine if they have 

been trained and are familiar with the procedures. You must respond to each of the 

findings and document what actions, if any, you take to address problems. You 

should take steps to correct any deficiencies you find. 

You may choose to have the audit conducted by a qualified outside party. For 

example, you may have someone from another part of your company do the audit or 

hire an expert in warehousing. If you do either of these, you should have someone 

work with the person, both to understand the findings and answer questions. 

Remember, this is an audit of compliance with the prevention program of this rule. 

You may choose to expand the scope to cover your compliance with other parts of 

the rule and the overall safety of your operation, but you are not required to do so. 

WHAT KIND OF DOCUMENTATION MUST I KEEP? 

You must keep a written record of the findings and actions for five years. You may 

also want to keep a record of who conducted the audit, but you are not required to 

do this. Exhibit 6-10 provides a sample format for documenting the audit and 

subsequent actions. 

EXHIBIT 6-10

SAMPLE AUDIT CHECKLIST

FOR SAFETY INFORMATION AND HAZARD REVIEWS

Element Yes/No/NA Action/Completion Data 

Safety Information 

MSDSs updated? 

Maximum intended inventory determined? 

Determined 

Safe upper and lower temperature? 

Segregation of incompatible substances 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-24 

Element Yes/No/NA Action/Completion Data 

Equipment specifications 

Forklifts 

Fire suppression systems 

Ventilation system 

Tanks 

Pumps 

Compressors 

Hazard Review 

Are incompatible materials appropriately 

segregated? 

Is the fire suppression system appropriate for 

materials stored? 

Are stack heights in accordance with industry 

standards and codes? 

Has equipment been inspected to determine if 

it is operated according to industry standards 

and codes? 

Are the results of the inspections 

documented? 

Have inspections been conducted after every 

major change? 

6.8 INCIDENT INVESTIGATION (§ 68.60) 

Incidents can provide valuable information about site hazards and the steps you need 

to take to prevent accidental releases. Often, the immediate cause of an incident is 

the result of a series of other problems that need to be addressed to prevent 

recurrences. For example, an operator’s mistake may be the result of poor training. 

Equipment failure may result from improper maintenance or misuse. Without a 

thorough investigation, you may miss the opportunity to identify and solve these 

problems. 

WHAT DO I NEED TO DO? 

You must investigate each incident that resulted in, or could have resulted in a 

“catastrophic release of a regulated substance.” A catastrophic release is one that 

presents an imminent and substantial endangerment to public health and the 

environment. The easiest way to understand imminent and substantial endangerment 

is to consider whether the release could have exposed the public to levels that exceed 

the toxic or flammable endpoints. If a release had that potential, even if no such 

January 27, 1999 
Chapter 6 

6-25 Prevention Program (Program 2) 

exposure occurred (because of favorable weather conditions or because the adjoining 

facilities were unoccupied at the time), you should investigate. Most warehouse 

accidents will not meet this criterion; minor spills of toxic substances that are 

contained within the warehouse building are unlikely to represent a potential 

catastrophic release. Minor fires, however, may if the fire had the potential to spread 

and release toxic substances. Spills of toxic regulated substances outside may pose a 

threat to the public and should be investigated. Exhibit 6-11 briefly summarizes the 

steps you must take for investigating incidents. 

HOW DO I START? 

You should start with a simple set of procedures that you will use to begin an 

investigation. You may want to assign someone to be responsible for compiling the 

initial incident data and putting together the investigation team. If you have a small 

facility, your “team” may be one person who works with the local responders, if they 

were involved. 

EXHIBIT 6-11 

INCIDENT INVESTIGATION REQUIREMENTS 

UInitiate an investigation promptly. Begin investigating no later than 48 hours 

following the incident. 

USummarize the investigation in a report. Among other things, this report will include the 

factors contributing to the incident. Remember 

that identifying the root cause may be more 

important than identifying the initiating event. 

Remember, also, that the purpose of the report is 

to help management take corrective action. 

UAddress the team’s findings and 

recommendations. 

Establish a system to address the incident report 

findings and recommendations and document 

resolutions and corrective actions. 

UReview the report with your staff and 

contractors. 

You must share the report - its findings and 

recommendations - with affected workers whose 

job tasks are relevant to the incident. 

URetain the report. Keep incident investigation summaries for five 

years. 

The purpose of the investigation is to find out what went wrong and why, so you can 

prevent it from happening again. Do not stop at the obvious failure or “initiating 

event” (e.g., the hose was clogged, the operator forgot to check the connection); try 

to determine why the failure occurred. In many cases, the underlying cause will be 

what matters (e.g., the operator did not check the connection because the operating 

procedures and training did not include this step). If the accident occurred because 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-26 

of operator error, you should determine if the operator made the mistake because he 

or she had been trained in the wrong procedures or because design flaws made 

mistakes likely. If you write off the accident as operator error alone you miss the 

chance to take the steps needed to prevent such errors the next time. Similarly, if 

equipment fails, you should try to decide whether it had been used or maintained 

improperly. 

Remember, your goals are to prevent accidents, not to blame someone, and correct 

any problems in your prevention program. In this way, you can prevent recurrences. 

In many cases, an investigation will not take long. If you have a complex facility, if 

equipment has been severely damaged, or the workers seriously hurt, an 

investigation may take several days. You should talk with the operators who were in 

the area at the time and check records on maintenance (another reason for keeping 

logs). If equipment has failed in an unusual way, you may need to talk to the 

manufacturer and your trade association to determine if similar equipment has 

suffered similar failures. 

You must develop a summary of the accident and its causes and make 

recommendations to prevent recurrences. You must address each recommendation 

and document the resolution and any actions taken. Finally, you must review the 

findings with operators affected by the findings. 

WHAT KIND OF DOCUMENTATION MUST I KEEP? 

You must maintain the summary of the accident, recommendations, and actions. A 

sample format is shown in Exhibit 6-12 that combines all of these in a single form. 

Note that the form also includes accident data that you will need for the five-year 

accident history. These data are not necessarily part of the incident investigation 

report, but including them will create a record you can use later to create the accident 

history. 

EXHIBIT 6-12 

SAMPLE INCIDENT INVESTIGATION REPORT 

Hydrofluoric Acid Release 

Date: May 15, 1998; 3 pm Substance: Hydrofluoric acid 

(70%) 

Quantity: 1800 pounds 

Duration: 2 hours Weather: 82E F, 8 mph winds 

Description: A forklift punctured two 55-gallon drums of HF and severely 

damaged two other drums on the pallet, which then split open as 

they fell off the loading dock. Five workers and two local 

responders were treated for exposure. Neighboring facilities were 

notified to shelter in place. 

January 27, 1999 
Chapter 6 

6-27 Prevention Program (Program 2) 

Hydrofluoric Acid Release 

Findings Recommendations Actions 

The forklift controls stuck. Institute more frequent 

inspections and tests of the 

forklifts. 

Changed inspection and testing 

intervals; revised procedures; 

conducted training on new 

procedures 

Operator and other workers left 

the scene to protect themselves. 

It took 15 minutes for the 

hazmat staff to suit up and 

begin responding. 

Conduct exercises quarterly for 

hazmat staff. Conduct refresher 

training for other staff on 

evacuation and notification 

procedures. 

Exercise schedule established. 

Refresher training provided; 

safety meetings added and held 

on a monthly basis to review 

safety issues 

Inadequate quantities of 

neutralizer were available. 

Supply had not been 

replenished after several minor 

spills. 

Check and replenish supply 

monthly or after each use. 

Routine checks added to work 

order schedule. 

6.9 CONCLUSION 

Many of you will need to do little that’s new to comply with the Program 2 

prevention program, because you already are complying with many program 

elements through other Federal rules, state requirements, and RDP. And if you’ve 

voluntarily implemented OSHA’s PSM standard for your Program 2 process, you’ll 

meet the lesser Program 2 prevention program requirements. No matter what choices 

you make in complying with the Program 2 prevention program, keep these things in 

mind: 

� Integrate the elements of your prevention program. For Program 2 owners 

and operators, a major change in any single element of your program should 

lead to a review of other elements to identify any effect caused by the 

change. 

� Make accident prevention an institution at your site. Like the entire risk 

management program, a prevention program is more than a collection of 

written documents. It is a way to make safe operations and accident 

prevention the way you do business everyday. 

� Check your operations on a continuing basis and ask if you can improve 

them to make them safer as well as more efficient. 

January 27, 1999 
Chapter 6 

Prevention Program (Program 2) 6-28 

APPENDIX 6A 

COMPARISON OF RDP AND PROGRAM 2 PREVENTION ELEMENTS 

EPA’s Risk Management Program NACD’s Responsible Distribution ProcessK

Program 2 Prevention Matching RDP Components 

Safety Information Product Stewardship (Section F) 

Handling & Storage (Section A,E,G) 

Document & maintain MSDSs. 

Document & maintain maximum inventory. 

Document & maintain storage and process limits. 

Document & maintain equipment specifications. 

Document & maintain codes & standards used to design, build, 

& operate the process. 

Ensure process is designed in compliance with recognized 

codes & standards. 

Update safety information if there is a major change at your 

business that makes the safety information inaccurate. 

Product Stewardship 

Section F. A process to encourage re-sellers to communicate to their customers the 

principles and goals of the Responsible Distribution ProcessSM . 

Procedures should be established to obtain information (i.e. MSDS, product 

specifications, safety information) 

Handling & Storage 

Section A: Procedures for ensuring that containers are appropriate for the chemical 

being shipped, comply with regulatory requirements, and are free from leaks and 

visible defects. 

Section E. A process for selecting owned and contracted facilities and sites for 

chemical storage or handling that emphasizes safety, fitness, and includes reviews. 

Section G. Facility design, construction, maintenance, inspection, and security 

practices that promote facility integrity, consistent with recognized codes and 

regulations. 

Hazard Review Risk Management 

Conduct a review & identify hazards associated with Program 2 

process, opportunities for errors resulting in a release, 

safeguards, and steps to detect or monitor releases. 

Use a guide for conducting the review. 

Document results & resolve problems. 

Update your hazard review. 

Section A. Senior management commitment, through policy, communications, and 

resources, to ongoing improvements in chemical distribution safety. 

Section B. Regular review with manufacturers of the hazards of materials, the 

likelihood of accidents or releases, the potentials for human and environmental 

exposure from release of the materials, and the route and methods of transport. 

Section C. Identification and implementation of risk reduction measures. 

Operating Procedures Job Procedures & Training 

May 24, 2000 
Chapter 6 

6-29 Prevention Program (Program 2) 

Prepare written operating procedures that give workers clear 

instructions for safely conducting activities involving a covered 

process. 

Procedures must be appropriate for your equipment and 

operations, complete, and written in language easily understood 

by your operators. 

Section A. Identification of the skills and knowledge necessary to perform each job. 

Section B. Establishment of procedures and work practices for safe operating and 

maintenance activities. 

Training Job Procedures & Training (Section C) 

Compliance Review & Training (Section C) 

Handling & Storage (Section C) 

Must train all new workers in your developed operating 

procedures. 

If procedures are revised, you must train all workers using the 

new procedures. 

Training must cover all parts of the operating procedures, 

including information on the consequences of deviations and 

steps needed to address deviations. 

Training as required by OSHA, under the hazard 

communication standard, and DOT for loading and unloading 

hazardous materials. 

Job Procedures & Training 

Section C. Training for all personnel, including outside contract personnel, as 

appropriate, to reach and maintain proficiency in safe work practices and the skill and 

knowledge necessary to perform their job, including confirmation of job competence. 

Compliance Review & Training 

Section C. Training for all employees in the implementation of applicable regulations, 

as well as member company’s specific requirements. 

Handling & Storage 

Section C. Procedures for loading and unloading chemicals at the member company’s 

facilities that result in protection of personnel, a reduction of emissions to the 

environment, and ensure that chemicals are loaded and unloaded into and out of proper 

storage facilities. 

Maintenance Handling & Storage (Section G) 

Job Procedures & Training (Section B & C) 

May 24, 2000 
Chapter 6 

Prevention Program (Program 2) 6-30 

Develop maintenance procedures (for storage operations, 

applies to equipment used to move storage containers; for 

repackaging, applies to tanks, hoses, & pumps). 

Train workers in these procedures. 

Carry out inspections and test on your equipment. 

Ensure that contractors are able to follow your procedures. 

Handling & Storage 

Section G. Facility design, construction, maintenance, inspection, and security 

practices that promote facility integrity, consistent with recognized codes and 

regulations. 

Job Procedures & Training 

Section B. Establishment of procedures and work practices for safe operating and 

maintenance activities. 

Section C. Training for all personnel, including outside contract personnel as 

appropriate, to reach and maintain proficiency in safe work practices and the skill and 

knowledge necessary to perform their job, including confirmation of job competence. 

Compliance Audits Adjunct Policies: Internal Audits Policy, 

Corrective & Preventive Action Policy 

At least every three years, you must certify that you have 

evaluated compliance with EPA’s requirements for the 

prevention program for each covered process. 

At least one person on your audit team must be knowledgeable 

about the process. 

You must develop a report of your findings, determine and 

document an appropriate response to each finding, and 

document that you have corrected any deficiency. 

Internal Audits Policy 

Member companies must establish documented procedures for regularly-scheduled 

internal audits to verify the implementation of policies and procedures supporting the 

RDP Code of Management Practice. The audits will be used to evaluate the 

effectiveness of the policies and procedures. Internal audits shall be done on a yearly 

basis beginning with successful completion of the Interim Verification Process. 

Audits should be recorded and results brought to the attention of appropriate 

management personnel who must take timely corrective or preventive action. Annual 

audit results should be retained until the next Third-party On-Site Verification is 

completed. 

Corrective & Preventive Action Policy 

Member companies shall establish a Corrective and Preventive Action system for RDPrelated issues. This system should permit the identification and communication of 

inadequacies or improvements in each member company’s implementation of RDP. 

Member companies shall establish and maintain procedures for implementing 

corrective action and preventive actions arising from internal and external audits or 

other sources. Any corrective or preventive action taken to resolve the cause or RDP 

implementation inadequacy shall be appropriate, as determined by member company 

management, to the magnitude of the cause or inadequacy and commensurate with the 

risk involved. 

May 24, 2000 
Chapter 6 

6-31 Prevention Program (Program 2) 

Incident Investigation Emergency Response & Public Preparedness 

You must investigate each incident that resulted in, or could 

have resulted in a “catastrophic release of a regulated 

substance.” 

Section A. A process for responding to, reporting on, and investigating chemical 

distribution incidents and releases involving the member company’s chemicals, and 

implementation of appropriate preventive measures developed from the investigative 

You must develop a summary of the accident and its causes and 

make recommendations to prevent recurrences. 

You must address each recommendation and document the 

process. 

Section B. A system of internal investigation, reporting, appropriate corrective action, 

and follow-up for each incident that results or could have resulted in a fire, explosion, 

or accidental chemical release. 

resolution and any actions taken. 

You must review the findings with operators affected by the 

findings. 

DISCLAIMER 

This Side-By-Side Comparison (side-by-side) was prepared by the staff of the National Association of Chemical Distributors (NACD). Every attempt was made to make the 

information contained herein as accurate and up-to-date as possible. Neither the NACD, nor any of its employees, contractors, subcontractors, or their employees makes any 

warranty, expressed or implied, or assumes any legal liability for the contents of this side-by-side, nor assumes any liability for the use of this side-by-side by any party, nor 

assumes any liability for the results conveyed by the use of this side-by-side by any party to a third party. 

May 24, 2000 
CHAPTER 7: PREVENTION PROGRAM (PROGRAM 3) 

Many of you will need to do little that is new to comply with the Program 3 

prevention program, because you already have the OSHA PSM program in place. 

Whether you're building on the PSM standard or creating a new program, keep these 

things in mind. 

g EPA and OSHA have different legal authority — EPA for offsite 

consequences, OSHA for on-site consequences. If you are already 

complying with the PSM standard, your process hazard analysis (PHA) team 

may have to assess new hazards that could affect the public or the 

environment offsite. Protection measures that are suitable for workers (e.g., 

venting releases to the outdoors) may be the very kind of thing that imperils 

the public. 

g Integrate the elements of your prevention program. You must ensure that a 

change in any single element of your program leads to a review of other 

elements to identify any effect caused by the change. 

g Most importantly, make accident prevention an institution at your site. Like 

the entire risk management program, a prevention program is more than a 

collection of written documents. It is a way to make safe operations and 

accident prevention the way you do business everyday. 

7.1 PROGRAM 3 PREVENTION PROGRAM AND OSHA PSM 

The Program 3 prevention program includes the requirements of the OSHA PSM 

standard. Whenever we could, EPA used OSHA's language verbatim. However, 

there were a few terms that EPA had to change to reflect the differences between its 

authority and OSHA's. For example, OSHA regulates to protect workers; EPA's 

responsibility is to protect public health and safety and the environment. Therefore, 

an "owner or operator" subject to EPA's rule must investigate catastrophic releases 

"that present(s) (an) imminent and substantial endangerment to public health and the 

environment," but an OSHA "employer" would focus its concerns on the workplace. 

To clarify these distinctions, we deleted specific references to workplace impacts 

and "safety and health" contained in OSHA's PSM standards. We also used different 

schedule dates and references where appropriate. Exhibit 7-1 compares terms in 

EPA's rule with their counterparts in the OSHA PSM standard. 

January 27, 1999 
Chapter 7 

Prevention Program (Program 3) 7-2 

EXHIBIT 7-1 

COMPARABLE EPA AND OSHA TERMS 

OSHA TERM EPA TERM 

Highly hazardous substance 

Employer 

Facility 

Standard 

Regulated substance 

Owner or operator 

Stationary source 

Rule or part 

There are twelve elements in the Program 3 prevention program. Each element 

corresponds with a section of subpart D of part 68. Exhibit 7-2 sets out each of the 

twelve elements, the corresponding section numbers, and OSHA references. Two 

OSHA elements are not included. Emergency response is dealt with separately in 

part 68; the OSHA trade secrets requirement (provision of trade secret information to 

employees) is beyond EPA's statutory authority. 

EXHIBIT 7-2 

SUMMARY OF PROGRAM 3 PREVENTION PROGRAM 

(40 CFR PART 68, SUBPART D)

SECTION TITLE OSHA PSM REFERENCE 

§ 68.65 Process Safety Information PSM standard § 1910.119(d). 

§ 68.67 Process Hazard Analysis (PHA) PSM standard § 1910.119(e). 

§ 68.69 Operating Procedures PSM standard § 1910.119(f). 

§ 68.71 Training PSM standard § 1910.119(g). 

§ 68.73 Mechanical Integrity PSM standard § 1910.119(j). 

§ 68.75 Management of Change PSM standard § 1910.119(l). 

§ 68.77 Pre-Startup Review PSM standard § 1910.119(I). 

§ 68.79 Compliance Audits PSM standard § 1910.119(o). 

§ 68.81 Incident Investigation PSM standard § 1910.119(m) 

§ 68.83 Employee Participation PSM standard § 1910.119(c). 

§ 68.85 Hot Work Permit PSM standard § 1910.119(k). 

§ 68.87 Contractors PSM standard § 1910.119(h). 

OSHA provided guidance on PSM in non-mandatory appendix C to the standard. 

OSHA has reprinted this appendix as PSM Guidelines for Compliance (OSHA 

3133). The OSHA guidance is reproduced, reordered to track part 68, in Appendix 

January 27, 1999 
Chapter 7 

7-3 Prevention Program (Program 3) 

QS &AS

IMPLEMENTATION AND PROCESS

Q. My process is a series of storage vessels, connected by piping, with a few co-located tanks of 

other substances. Do I have to implement one prevention program to cover all aspects of the process 

even if different operators and different hazards are involved in various parts of the process? 

A. You should implement the program in the way that makes sense to you. For a process such as 

yours, you may need to divide the process into sections (e.g., storage units) for the PHA and 

compliance audits, to keep the analyses manageable. Operating and maintenance procedures (and the 

training in these procedures) should be developed for operating units; combining procedures for 

different types of units into a single document may make them harder to use; training operators in 

procedures they do not need would waste time and perhaps confuse operators. You may want to 

collect and store process safety information by individual units to make it easier to use. Other parts 

of the program (contractors, employee participation, procedures for pre-startup, management of 

change, and hot work) are likely to be common to all parts of the process. 

Q. I have a tank with more than 10,000 pounds of propane. I use the propane to heat the offices. The 

propane is not subject to PSM or the risk management program rule. The tank, however, is close to 

equipment that has chlorine above the applicable threshold and is subject to OSHA PSM and Program 

3. Is the tank considered part of the chlorine process? 

A. If a fire or explosion in the propane tank could cause a release of chlorine or other regulated 

substances or interfere with mitigation of such a release, the tank is considered part of the process. 

When you do your PHA for the process, you must evaluate how the propane tank could cause a 

release of chlorine and determine what steps may be needed to prevent such releases. 

D. The remainder of this chapter briefly outlines the major requirements and 

provides a discussion of any differences between EPA and OSHA. In some cases, 

further guidance is provided on the meaning of specific terms. For more detailed 

guidance, you should refer to the OSHA guidance in Appendix D. 

7.2 PROCESS SAFETY INFORMATION (§ 68.65) 

Exhibit 7-3 briefly summarizes the process safety information requirements. 

WHERE TO GO FOR MORE INFORMATION 

Diagrams. You may find it useful to consult Appendix B of OSHA's PSM final rule, 

computer software programs that do P&IDs, or other diagrams. 

Guidance and Reports. Various engineering societies issue technical reports 

relating to process design. Other sources you may find useful include: 

g Guidelines for Process Safety Documentation, Center for Chemical Process 

Safety of the American Institute of Chemical Engineers 1995. 

January 27, 1999 May 10, 2000 
Chapter 7 

Prevention Program (Program 3) 7-4 

EXHIBIT 7-3 

PROCESS SAFETY INFORMATION REQUIREMENTS

 For chemicals, you must 

complete information on: 

UToxicity 

UPermissible exposure limits 

UPhysical data 

UReactivity 

UCorrosivity 

UThermal & chemical 

stability 

UHazardous effects of 

inadvertent mixing of 

materials that could 

foreseeably occur 

For process technology, you 

must provide: 

UA block flow diagram or 

simplified process flow 

diagram 

UInformation on process 

chemistry 

UMaximum intended inventory 

of the EPA-regulated 

chemical 

USafe upper & lower limits for 

such items as temperature, 

pressure, flows, or 

composition 

UAn evaluation of the 

consequences of deviation 

For equipment in the 

process, you must include 

information on: 

UMaterials of construction 

UPiping & instrument 

diagrams (P&IDs) 

UElectrical classification 

URelief system design & 

design basis 

UVentilation system design 

UDesign codes & standards 

employed 

USafety systems 

UMaterial and energy balances 

for processes built after June 

21, 1999 

g Emergency Relief System Design Using DIERS Technology, American 

Institute of Chemical Engineers, 1992. 

g Emergency Relief Systems for Runaway Chemical Reactions and Storage 

Vessels: A Summary of Multiphase Flow Methods, American Institute of 

Chemical Engineers, 1986. 

g Guidelines for Pressure Relief and Emergency Handling Systems, Center for 

Chemical Process Safety of the American Institute of Chemical Engineers, 

1998. 

g Loss Prevention in the Process Industries, Volumes I, II, and III, Frank P. 

Lees, Butterworths: London 1996. 
Chapter 7 

7-5 Prevention Program (Program 3) 

QS & AS

PROCESS SAFETY INFORMATION

Q. What does “materials of construction” apply to and how do I find this information? 

A. You must document the materials of construction for all process equipment in a covered process. 

For example, you need to know the materials of construction for process vessels, storage vessels, 

piping, hoses, valves, and flanges. Equipment specifications should provide this information. 

Q. What does “electrical classification” mean? 

A. Equipment and wiring for locations where fire and explosion hazards may exist must meet 

requirements based on the hazards. Each room, section, or area must be considered separately. 

Equipment should be marked to show Class, Group, and operating temperature or temperature range. 

You must determine the appropriate classification for each area and ensure that the equipment used is 

suitable for that classification. The equipment covered includes transformers, capacitors, motors, 

instruments, relays, wiring, switches, fuses, generators, lighting, alarms, remote controls, 

communication, and grounding. Electrical classification will be included in equipment specifications. 

Q. What does “relief system design basis” mean? 

A. Relief systems include, but are not limited to, relief valves, relief headers, relief drums, and 

rupture disks. Design basis means documenting how the loads and sizes of the relief system, as well 

as inlet and outlet sizes, were determined. This includes a description of overpressure scenarios 

considered, the scenario that creates the largest load to be relieved, the assumptions used, and if the 

device meets a certain code. Relief devices on pressure vessels must conform to ASME codes. 

Industry codes (e.g., API RP 520) also provide guidance on scenarios that should be considered and 

on equations for sizing of devices. Scenarios you may need to consider include fire, blocked flow, 

control valve failure, overheating, power outage, tube rupture, and cooling water failure. For twophase flow, you should review AIChE publications from the Design Institute for Emergency Relief 

Systems (DIERS). 

Q. What do I have to do for material and energy balances? 

A. For new processes, you must document both material and energy inputs and outputs of a process. 

For example, you would document the quantity of a regulated substance added to the process, the 

quantity consumed during the process, and the quantity that remains in the output. This requirement 

will not generally apply to storage processes. 

January 27, 1999 
Chapter 7 

Prevention Program (Program 3) 7-6 

7.3 PROCESS HAZARD ANALYSIS (§ 68.67) 

Exhibit 7-4 provides a summary of the requirements for process hazard analyses 

(PHAs). 

EXHIBIT 7-4 

PROCESS HAZARD ANALYSIS REQUIREMENTS

Techniques must be one or

The PHA must cover:: more of: Other requirements: 

UHazards of the process UWhat If UAnalysis must be done by a 

UIdentification of previous, UChecklist team, one member of which 

potentially catastrophic UWhat If/Checklist has experience in the process, 

incidents UHazard and Operability Study one member of which is 

UEngineering and (HAZOP) knowledgeable in the PHA 

administrative controls UFailure Mode and Effects technique

applicable to the hazards Analysis (FMEA) UA system must be developed 

UConsequence of failure of UFault Tree Analysis for addressing the team’s

controls UAppropriate equivalent recommendations and 

USiting methodology documenting resolution and 

UHuman factors corrective actions taken 

UQualitative evaluation of UThe PHA must be updated at 

health and safety impacts of least once every five years 

control failure UPHAs and documentation of 

actions must be kept for the 

life of the process 

EPA/OSHA DIFFERENCES 

You can use a PHA conducted under the OSHA PSM standard as your initial process 

hazard analysis. All OSHA PHAs must have been completed by May 1997. 

Therefore, the only "new" PHAs will be for non-OSHA Program 3 processes. If the 

process is subject to OSHA PSM, you can update and revalidate your PHA on 

OSHA's schedule. 

Offsite impacts. You should consider offsite impacts when you conduct a PHA 

under EPA's rule (except for an initial PHA where are using the PHA conducted for 

OSHA PSM). If you are in the Program 3 prevention program because you must 

comply with the PSM standard, you may not have fully considered offsite 

consequence because the focus of PSM is worker protection. Practically speaking, 

however, there should be few instances where the scenarios considered for OSHA 

fail to address offsite impacts. A well-done PHA should identify all failure scenarios 

that could lead to significant exposure of workers, the public, or the environment. 

The only issue that may require further consideration for part 68 processes is 

whether any protection measures that were adequate for worker safety are inadequate 

for public and environmental safety. 

January 27, 1999 
Chapter 7 

7-7 Prevention Program (Program 3) 

Consider two circumstances — one where OSHA’s PSM standard and EPA’s risk 

management program rule lead to the same result, and another where protecting 

workers could mean endangering the public and the environment. For flammables, 

any scenario that could affect the public almost certainly would have the potential to 

affect workers; measures taken to protect your employees likely will protect the 

public and the environment. For toxics under PSM, however, you may plan to 

address a loss of containment by venting toxic vapors to the outside air. In each 

circumstance, a PHA should define how the loss of containment could occur. 

However, for EPA, the PHA team should reassess venting as an appropriate 

mitigation measure. 

Updating and revalidating your PHA. For EPA, you must complete the initial 

PHA for each Program 3 process not later than June 21, 1999, and update it at least 

once every five years. You may complete an initial PHA before that date. You may 

use an OSHA PHA as your initial PHA, and update and revalidate it every five years 

on the OSHA schedule. A PHA completed after August 19, 1996 (the effective date 

of part 68) should consider offsite impacts. 

REJECTING TEAM RECOMMENDATIONS 

You may not always agree with your PHA team's recommendations and may wish to 

reject a recommendation. OSHA's compliance directive CPL 2-2.45A-revised states 

that you may decline a team recommendation if you can document one of the 

following: (1) the analysis upon which the recommendation is based contains factual 

errors; (2) the recommendation is not necessary to protect the health of employees or 

contractors; (3) an alternative measure would provide a sufficient level of protection; 

or (4) the recommendation is infeasible. For part 68, you should also consider 

whether recommendations are not necessary to protect public health and the 

environment. 

UPDATING YOUR PHA 

You should update or revalidate your PHA whenever there is a new hazard or risk 

created by changes to your process. Such changes might include introducing a new 

process, process equipment, or regulated substance; altering process chemistry that 

results in any change to safe operating limits; or other alteration that introduces a 

new hazard. You might, for example, introduce a new hazard if you installed a gas 

pipeline next to a storage tank containing a regulated substance. Other candidates 

could be making changes in process constituents that increase the possibility of 

runaway reactions or polymerization. EPA recommends that you consider 

revalidating your PHA whenever adjoining processes create a hazard. Remember 

that you have a general duty to prevent accidents and ensure safety at your source, 

which may require you to take steps beyond those specified in the risk management 

program rule. 

January 27, 1999 
Chapter 7 

Prevention Program (Program 3) 7-8 

QS & AS

OFFSITE CONSEQUENCES

Q. What does EPA mean by "consider offsite consequences"? Do we have to do an environmental 

impact assessment (EIA)? 

A. EPA does not expect you to do an EIA. Potential consequences to the public and the environment 

are already analyzed in the offsite consequence analysis. In the PHA, EPA only expects you to 

identify any failure scenarios that could lead to public exposures and to examine whether your 

strategies are adequate to reduce the risk of such exposures. 

Q. If I need to revise a PHA to consider offsite consequences, when do I have to do that? 

A. In general, for a PHA completed to meet the requirements of OSHA PSM, you should revise the 

PHA to consider offsite consequences when you update that PHA. Any PHA for a covered process 

completed or updated for OSHA PSM after August 19, 1996, when part 68 was effective, should 

examine offsite consequences. For example, if you completed an initial PHA for OSHA PSM in May 

1993, OSHA requires that you update that PHA by May 1998. In that update, you should consider 

offsite consequences. If you complete your initial PHA for OSHA in May 1995, you must update it 

by May 2000; PHAs conducted for part 68 must include consideration of offsite consequences at that 

time. 

WHERE TO GO FOR MORE INFORMATION 

Appendix 7-A of this chapter provides a summary of each of the techniques, a 

description of the types of processes for which they may be appropriate, and 

estimates about the time and staff required for each. 

Part 68 and OSHA PSM require that whichever technique or techniques you use, you 

must have at least one person on the PHA team who is trained in the use of the 

technique. Training on such techniques is available from a number of professional 

organizations as well as private companies. You may have staff members who are 

capable of providing this training as well. Many trade associations publish detailed 

guidance on methods for conducting a process hazard analysis. You might find the 

following documents useful. 

g Guidelines for Hazard Evaluation Procedures, 2nd Ed. with Worked 

examples, Center for Chemical Process Safety of the American Institute of 

Chemical Engineers 1992. 

g Evaluating Process Safety in the Chemical Industry, Chemical 

Manufacturers Association. 

January 27, 1999 
Chapter 7 

7-9 Prevention Program (Program 3) 

g Loss Prevention in the Process Industries, Volumes I, II, and III, Frank P. 

Lees, Butterworths: London 1996. 

g Management of Process Hazards (RP 750), American Petroleum Institute. 

g Risk-Based Decision Making (Publication 16288), American Petroleum 

Institute. 

7.4 OPERATING PROCEDURES (§ 68.69) 

Exhibit 7-5 summarizes what your operating procedures must address. Operating 

procedures must be readily accessible to workers who operate or maintain the 

process. You must review operating procedures as often as necessary to assure that 

they reflect current practices and any changes to the process or facility. You must 

certify annually that the operating procedures are current and accurate. 

EXHIBIT 7-5

OPERATING PROCEDURES REQUIREMENTS

Steps for each 

operating phase 

UInitial startup 

UNormal operations 

UTemporary operations 

UEmergency shutdown 

UEmergency operations 

U Normal shutdown 

UStartup following a 

turnaround or 

emergency shutdown 

ULockout/tagout 

UConfined space entry 

UOpening process 

equipment or piping 

UEntrance into the facility 

Operating limits 

UConsequences of 

deviations 

USteps to avoid, 

correct deviations 

Safety & health 

considerations 

UChemical properties & hazards 

UPrecautions for preventing 

chemical exposure 

UControl measures for exposure 

UQC for raw materials and 

chemical inventory 

USpecial or unique hazards 

Safety 

systems & 

their 

functions 

UAddress 

whatever is 

applicable 

WHERE TO GO FOR MORE INFORMATION 

Chapter 7 of this document provides descriptions of each operating phase and when 

these phases may not apply to certain operations. 

g Guidelines for Process Safety Fundamentals for General Plant Operations, 

Center for Chemical Process Safety of the American Institute of Chemical 

Engineers 1995. 

January 27, 1999 
Chapter 7 

Prevention Program (Program 3) 7-10 

g Guidelines for Safe Process Operations and Maintenance, Center for 

Chemical Process Safety of the American Institute of Chemical Engineers 

1995. 

g Guidelines for Writing Effective Operating and Maintenance Procedures, 

Center for Chemical Process Safety of the American Institute of Chemical 

Engineers 1996. 

7.5 TRAINING (§ 68.71) 

You are required to train new operators on the operating procedures and cover health 

and safety hazards, emergency operations, and safe work practices applicable to the 

employee's tasks. For workers involved in operating the process before June 21, 

1999, you may certify in writing that they are competent to operate the process 

safely, in accordance with the operating procedures. At least every three years you 

must provide refresher training (you must consult with employees involved in 

operating the process to determine the appropriate frequency). Finally, you are 

required to determine that each operator has received and understood the training 

and keep a record for each employee with the date of the training and the method 

used to verify that the employee understood the training. 

WHERE TO GO FOR MORE INFORMATION 

g Guidelines for Process Safety Fundamentals for General Plant Operations, 

Center for Chemical Process Safety of the American Institute of Chemical 

Engineers 1995. 

g Guidelines for Technical Planning for On-Site Emergencies, Center for 

Chemical Process Safety of the American Institute of Chemical Engineers 

1995. 

g Federally Mandated Training and Information (Publication 12000), 

American Petroleum Institute. 

7.6 MECHANICAL INTEGRITY (§ 68.73) 

You must have a mechanical integrity program for pressure vessels and storage 

tanks, piping systems, relief and vent systems and devices, emergency shutdown 

systems, controls, and pumps. Exhibit 7-6 briefly summarizes the other requirements 

for your mechanical integrity program. 

WHERE TO GO FOR MORE INFORMATION 

Guidance and Reports. Other sources of guidance and reports you may find useful 

include: 

January 27, 1999 
Chapter 7 

7-11 Prevention Program (Program 3) 

g Guidelines for Process Equipment Reliability Data with Data Tables, Center 

for Chemical Process Safety of the American Institute of Chemical 

Engineers 1989. 

EXHIBIT 7-6

MECHANICAL INTEGRITY CHART

Written 

procedures 

UEstablish & 

implement 

written 

procedures to 

maintain the 

integrity of 

process 

equipment. 

Training 

UTrain process 

maintenance 

employees in an 

overview of the 

process and its 

hazards. 

UMake sure this 

training covers 

the procedures 

applicable to 

safe job 

performance. 

Inspection & 

testing 

UInspect & test 

process equipment. 

UUse recognized and 

generally accepted 

good engineering 

practices. 

UFollow a schedule 

that matches the 

manufacturer’s 

recommendations or 

more frequently if 

prior operating 

experience indicates 

is necessary. 

UDocument each 

inspection & test 

with: Date, 

inspector name, 

equipment identifier, 

test or inspection 

performed, results. 

Equipment 

deficiencies 

UCorrect 

equipment 

deficiencies 

before further 

use of process 

equipment or 

whenever 

necessary to 

ensure safety. 

Quality 

assurance 

UEstablish a QA 

program for new 

construction & 

equipment, newly 

installed 

equipment, 

maintenance 

materials, and 

spare parts & 

equipment. 

g Guidelines for Process Safety Documentation, Center for Chemical Process 

Safety of the American Institute of Chemical Engineers 1995. 

g Pressure Vessel Inspection Code: Maintenance Inspection, Rating, Repair, 

and Alteration (API 510), American Petroleum Institute. 

g Tank Inspection, Repair, Alteration, and Reconstruction (Std 653), American 

Petroleum Institute. 

7.7 MANAGEMENT OF CHANGE (§ 68.75) 

Exhibits 7-7 briefly summarizes EPA's MOC requirements. 

January 27, 1999 
Chapter 7 

Prevention Program (Program 3) 7-12 

EXHIBIT 7-7 

MANAGEMENT OF CHANGE REQUIREMENTS 

MOC procedures 

must address: 

UTechnical basis 

for the change 

UImpact on safety 

and health 

UModifications to 

operating 

procedures 

UNecessary time 

period for the 

change 

U Authorization 

requirements for 

proposed change 

Employees 

affected by the 

change must: 

UBe informed of the 

change before 

startup 

UTrained in the 

change before 

startup 

Update process safety 

information if: 

UA change covered by 

MOC procedures results 

in a change in any PSI 

required under EPA’s 

rule (see § 67.65) 

Update operating 

procedures if: 

UA change covered 

by MOC procedures 

results in a change 

in any operating 

procedure required 

under EPA’s rule 

(see § 67.69) 

WHERE TO GO FOR MORE INFORMATION 

g Management of Change in Chemical Plants: Learning from Case Histories, 

Center for Chemical Process Safety of the American Institute of Chemical 

Engineers 1993. 

g Plant Guidelines for Technical Management of Chemical Process Safety, 

Center for Chemical Process Safety of the American Institute of Chemical 

Engineers 1992. 

g Management of Process Hazards (RP 750), American Petroleum Institute. 

7.8 PRE-STARTUP REVIEW (§ 68.77) 

You must conduct your pre-startup safety review for new stationary sources or 

modified stationary sources when the modification is significant enough to require a 

change in safety information under the management of change element. You must 

conduct your pre-startup review before you introduce a regulated substance to a 

process, and you must address the items listed in Exhibit 7-8. 

January 27, 1999 
Chapter 7 

7-13 Prevention Program (Program 3) 

EXHIBIT 7-8 

PRE-STARTUP REVIEW REQUIREMENTS 

Design Specifications 

UConfirm that new or 

modified construction 

and equipment meet 

design specifications. 

Adequate Procedures 

UEnsure that 

procedures for safety, 

operating, maintenance, 

and emergencies are 

adequate and in place. 

PHA/MOC 

Perform a PHA and 

resolve or implement any 

recommendations for new 

process. Meet 

management of change 

requirements for modified 

process. 

Training 

UConfirm that 

each employee 

involved in the 

process has been 

trained completely. 

7.9 COMPLIANCE AUDITS (§ 68.79) 

You must conduct an audit of the process to evaluate compliance with the prevention 

program requirements at least once every three years. At least one person involved 

in the audit must be knowledgeable in the process. You must develop a report of the 

findings and document appropriate responses to each finding and document that 

deficiencies have been addressed. The two most recent audit reports must be kept 

on-site. 

WHERE TO GO FOR MORE INFORMATION 

g Guidelines for Auditing Process Safety Management Systems, Center for 

Chemical Process Safety of the American Institute of Chemical Engineers 

1993. 

7.10 INCIDENT INVESTIGATION (§ 68.81) 

Exhibit 7-9 briefly summarizes the steps you must take for investigating incidents. 

You must investigate each incident which resulted in, or could have resulted in, a 

"catastrophic release of a regulated substance." A catastrophic release is one that 

“presents an imminent and substantial endangerment to public health and the 

environment.” Although the rule requires you to investigate only those incidents 

which resulted in, or could reasonably have resulted in a catastrophic release, EPA 

encourages you to investigate all accidental releases. Investigating minor accidents 

or near misses can help you identify problems that could result in major releases if 

left unaddressed. 

January 27, 1999 
Chapter 7 

Prevention Program (Program 3) 7-14 

EXHIBIT 7-9 

INCIDENT INVESTIGATION REQUIREMENTS 

UInitiate an investigation 

promptly. 

Begin investigating no later than 48 hours following the 

incident. 

UEstablish a knowledgeable 

investigation team. 

Establish an investigation team to gather the facts, analyze the 

event, and develop the how and why of what went wrong. At 

least one team member must have knowledge of the process 

involved. Consider adding other workers in the process area 

where the incident occurred. Their knowledge will be 

significant and should give you the fullest insight into the 

incident. 

USummarize the investigation in a 

report. 

Among other things, the report must identify the factors 

contributing to the incident. Remember that identifying the root 

cause may be more important than identifying the initiating 

event. The report must also include any recommendations for 

corrective actions. Remember that the purpose of the report is to 

help management take corrective action. 

UAddress the team’s findings and 

recommendations. 

Establish a system to address promptly and resolve the incident 

report findings and recommendations; document resolutions and 

corrective actions. 

UReview the report with your 

staff and contractors. 

You must share the report - its findings and recommendations ­

with affected workers whose job tasks are relevant to the 

incident. 

URetain the report. Keep incident investigation reports for five years. 

WHERE TO GO FOR MORE INFORMATION 

g Guidelines for Investigating Chemical Process Incidents, Center for 

Chemical Process Safety of the American Institute of Chemical Engineers 

1992. 

g Guide for Fire and Explosion Investigations (NFPA 921), National Fire 

Protection Association. 

7.11 EMPLOYEE PARTICIPATION (§ 68.83) 

Exhibit 7-10 briefly summarizes what you must do. 

January 27, 1999 
Chapter 7 

7-15 Prevention Program (Program 3) 

EXHIBIT 7-10 

EMPLOYEE PARTICIPATION REQUIREMENTS 

UWrite a plan. Develop a written plan of action regarding how you will implement 

employee participation. 

UConsult with 

employees. 

Consult your employees and their representatives regarding conducting 

and developing PHAs and other elements of process safety management 

in the risk management program rule. 

UProvide access to 

information. 

Ensure that your employees and their representatives have access to PHAs 

and all other information required to be developed under the rule. 

7.12 HOT WORK PERMITS (§ 68.85) 

Exhibit 7-11 briefly summarizes how to meet the hot work permit requirement. 

EXHIBIT 7-11

HOT WORK PERMITS REQUIREMENTS

UIssue a hot work permit. You must issue this permit for hot work conducted on or near a 

covered process. 

UImplement fire prevention and 

protection. 

You must ensure that the fire prevention and protection 

requirements in 29 CFR 1910.252(a) are implemented before the 

hot work begins. The permit must document this. 

UIndicate the appropriate dates. The permit should indicate the dates authorized for hot work. 

UIdentify the work. The permit must identify the object on which hot work is to be 

performed. 

UMaintain the permit on file. You must keep the permit on file until workers have completed the 

hot work operations. 

WHERE TO GO FOR MORE INFORMATION 

g Standard for Fire Prevention in Use of Cutting and Welding Processes 

(NFPA 518), National Fire Protection Association. 

g Standard for Welding, Cutting and Brazing, 29 CFR 1910 Subpart Q. 

7.13 CONTRACTORS (§ 68.87) 

Exhibit 7-12 summarizes both yours and the contractors' responsibilities where 

contractors perform maintenance or repair, turnaround, major renovation, or 

specialty work on or adjacent to a covered process. 

January 27, 1999 
Chapter 7 

Prevention Program (Program 3) 7-16 

EXHIBIT 7-12 

CONTRACTORS CHART 

You must... Your contractor must... 

UCheck safety performance. When selecting a UEnsure training for its employees. The

contractor, you must obtain and evaluate contractor must train its employees to ensure 

information regarding the safety performance that they perform their jobs safely and in

of the contractor. accordance with your source’s safety 

procedures. 

UProvide safety and hazards information. 

You must inform the contractor of potential UEnsure its employees know process hazards 

fire, explosion, or toxic release hazards; and of and applicable emergency actions. The

your emergency response activities as they contractor must assure that contract employees 

relate to the contractor’s work and the process. are aware of hazards and emergency 

procedures relating to the employees’ work. 

UEnsure safe practices. You must ensure that 

you have safe work practices to control the UDocument training. The contractor must

entrance, presence, and exit of contract prepare a record documenting and verifying 

employees in covered process areas. adequate employee training. 

UVerify that the contractor acts responsibly. UEnsure its employees are following your 

You must verify that the contractor is fulfilling safety procedures. 

its responsibilities. 

UInform you of hazards. The contractor must 

tell you of any unique hazards presented by its 

work or of any hazards it finds during 

performance. 

EPA/OSHA DIFFERENCES 

EPA has no authority to require that you maintain an occupational injury and illness 

log for contract employees. Be aware, however, that OSHA does have this authority, 

and that the PSM standard does set this requirement. (See 29 CFR 

1910.119(h)(2)(vi)). 

WHERE TO GO FOR MORE INFORMATION 

g Contractor and Client Relations to Assure Process Safety, Center for 

Chemical Process Safety of the American Institute of Chemical Engineers 

1996. 

g API/CMA Managers Guide to Implementing a Contractor Safety Program 

(RP 2221), American Petroleum Institute. 

g Improving Owner and Contractor Safety Performance (RP 2220), American 

Petroleum Institute. 

January 27, 1999 
Chapter 7 

7-17 Prevention Program (Program 3) 

APPENDIX 7-A

PHA TECHNIQUES

This appendix provides descriptions of each of the PHA techniques listed in the OSHA PSM 

standard and § 68.67. These descriptions include information on what each technique is, which types of 

processes they may be appropriate for, what their limitations are, and what level of effort is typically 

associated with each. This information is based on Guidelines for Hazard Evaluation Procedures, 2nd 

Ed., published by AIChE/CCPS. If you are interested in more detailed discussion and worked examples, 

you should refer to the AIChE/CCPS volume. 

Neither the information below nor the full AIChE/CCPS volume will provide you with enough 

information to conduct a PHA. The rule requires that your PHA team include at least one person trained 

in the technique you use. Training in PHA techniques is available from a number of organizations. If 

you must conduct multiple PHAs, you are likely to need to update your PHAs frequently, or you have a 

complex process that will take several weeks to analyze, you may want to consider training one or more 

of your employees. If you have a single process that is unlikely to change more than once every five 

years, you may find it more cost-effective to hire a trained PHA leader. 

DESCRIPTIONS OF TECHNIQUES 

CHECKLISTS 

Checklists are primarily used for processes that are covered by standards, codes, and industry 

practices — for example, storage tanks designed to ASME standards, ammonia handling covered by 

OSHA (29 CFR 1910.111). Checklists are easy to use and can help familiarize new staff with the 

process equipment. AIChE/CCPS states that checklists are a highly cost-effective way to identify 

customarily recognized hazards. Checklists are dependent on the experience of the people who develop 

them; if the checklist is not complete, the analysis may not identify hazardous situations. 

Checklists are created by taking the applicable standards and practices and using them to 

generate a list of questions that seek to identify any differences or deficiencies. If a checklist for a 

process does not exist, an experienced person must develop one based on standards, practices, and 

facility or equipment experience. A completed checklist usually provides "yes," "no," "not applicable," 

and "need more information" answers to each item. A checklist analysis involves touring the process 

area and comparing equipment to the list. 

AIChE/CCPS estimates that for a small or simple system a checklist will take 2 to 4 hours to 

prepare, 4 to 8 hours to evaluate the process, and 4 to 8 hours to document the results. For larger or more 

complex processes, a checklist will take 1 to 3 days to prepare, 3 to 5 days to evaluate, and 2 to 4 days to 

document. 

January 27, 1999 
Chapter 7 

Prevention Program (Program 3) 7-18 

WHAT-IF 

A What-If is a brainstorming approach in which a group of people familiar with the process ask 

questions about possible deviations or failures. These questions may be framed as What-If, as in "What 

if the pump fails?" or may be expressions of more general concern, as in "I worry about contamination 

during unloading." A scribe or recorder takes down all of the questions on flip charts or a computer. The 

questions are then divided into specific areas of investigation, usually related to consequences of interest. 

Each area is then addressed by one or more team members. 

What-If analyses are intended to identify hazards, hazardous situations, or accident scenarios. 

The team of experienced people identifies accident scenarios, consequences, and existing safeguards, 

then suggest possible risk reduction alternatives. The method can be used to examine deviations from 

design, construction, modification, or operating intent. It requires a basic understanding of the process 

and an ability to combine possible deviations from design intent with outcomes. AIChE describes this as 

a powerful procedure if the staff are experienced; "otherwise, the results are likely to be incomplete." 

A What-If usually reviews the entire process, from the introduction of the chemicals to the end. 

The analysis may focus on particular consequences of concern. AIChE provides the following example 

of a What-If question: "What if the raw material is the wrong concentration?" The team would then try 

to determine how the process would respond: "If the concentration of acid were doubled, the reaction 

could not be controlled and a rapid exotherm would result." The team might then recommend steps to 

prevent feeding wrong concentrations or to stop the feed if the reaction could not be controlled. 

A What-If of simple systems can be done by one or two people; a more complex process requires 

a larger team and longer meetings. AIChE/CCPS estimates that for a small or simple system a What-If 

analysis will take 4 to 8 hours to prepare, 1 to 3 days to evaluate the process, and 1 to 2 days to document 

the results. For larger or more complex processes, a What-If will take 1 to 3 days to prepare, 4 to 7 days 

to evaluate, and 4 to 7 days to document. 

WHAT-IF/CHECKLIST 

A What-If/Checklist combines the creative, brainstorming aspects of the What-If with the 

systematic approach of the Checklist. The combination of techniques can compensate for the weaknesses 

of each. The What-If part of the process can help the team identify hazards and accident scenarios that 

are beyond the experience of the team members. The checklist provides a more detailed systematic 

approach that can fill in gaps in the brainstorming process. The technique is generally used to identify 

the most common hazards that exist in a process. AIChE states that it is often the first PHA conducted 

on a process, with subsequent analyses using more detailed approaches. 

The purpose of a What-If/Checklist is to identify hazards and the general types of accidents that 

could occur, evaluate qualitatively the effects of the effects, and determine whether safeguards are 

adequate. Usually the What-If brainstorming precedes the use of the checklist, although the order can be 

reversed. 

The technique usually is performed by a team experienced in the design, operation, and 

maintenance of the process. The number of people required depends on the complexity of the process. 

AIChE/CCPS estimates that for a small or simple system a What-If/Checklist analysis will take 6 to 12 

hours to prepare, 6 to 12 hours to evaluate the process, and 4 to 8 hours to document the results. For 

January 27, 1999 
Chapter 7 

7-19 Prevention Program (Program 3) 

larger or more complex processes, a What-If/Checklist will take 1 to 3 days to prepare, 4 to 7 days to 

evaluate, and 1 to 3 weeks to document. 

HAZOP 

The Hazard and Operability Analysis (HAZOP) was originally developed to identify both 

hazards and operability problems at chemical process plants, particularly for processes using 

technologies with which the plant was not familiar. The technique has been found to be useful for 

existing processes as well. A HAZOP requires an interdisciplinary team and an experienced team leader. 

The purpose of a HAZOP is to review a process or operation systematically to identify whether 

process deviations could lead to undesirable consequences. AIChE states that the technique can be used 

for continuous or batch processes and can be adapted to evaluate written procedures. It can be used at 

any stage in the life of a process. 

HAZOPs usually require a series of meetings in which, using process drawings, the team 

systematically evaluates the impact of deviations. The team leader uses a fixed set of guide words and 

applies them to process parameters at each point in the process. Guide words include "No," "More," 

"Less," "Part of," "As well as," Reverse," and "Other than." Process parameters considered include flow, 

pressure, temperature, level, composition, pH, frequency, and voltage. As the team applies the guide 

words to each process step, they record the deviation, with its causes, consequences, safeguards, and 

actions needed, or the need for more information to evaluate the deviation. 

HAZOPs require more resources than simpler techniques. AIChE states that a simple process or 

a review with a narrow scope may be done by as few as three or four people, if they have the technical 

skills and experience. A large or complex process usually requires a team of five to seven people. 

AIChE/CCPS estimates that for a small or simple system a HAZOP analysis will take 8 to 12 hours to 

prepare, 1 to 3 days to evaluate the process, and 2 to 6 days to document the results. For larger or more 

complex processes, a HAZOP will take 2 to 4 days to prepare, 1 to 3 weeks to evaluate, and 2 to 6 weeks 

to document. 

FAILURE MODE AND EFFECTS ANALYSIS (FMEA) 

A Failure Mode and Effects Analysis (FMEA) evaluates the ways in which equipment fails and 

the system's response to the failure. The focus of the FMEA is on single equipment failures and system 

failures. An FMEA usually generates recommendations for increasing equipment reliability. FMEA 

does not examine human errors directly, but will consider the impact on equipment of human error. 

AIChE states that FMEA is "not efficient for identifying an exhaustive list of combinations of equipment 

failures that lead to accidents." 

An FMEA produces a qualitative, systematic list of equipment, failure modes, and effects. The 

analysis can easily be updated for design or systems changes. The FMEA usually produces a table that, 

for each item of equipment, includes a description, a list of failure modes, the effects of each failure, 

safeguards that exist, and actions recommended to address the failure. For example, for pump operating 

normal, the failure modes would include fails to stop when required, stops when required to run, seal 

leaks or ruptures, and pump case leaks or ruptures. The effects would detail both the immediate effect 

and the impact on other equipment. Generally, when analyzing impacts, analysts assume that existing 

January 27, 1999 
Chapter 7 

Prevention Program (Program 3) 7-20 

safeguards do not work, AIChE states that "more optimistic assumptions may be satisfactory as long as 

all equipment failure modes are analyzed on the same basis." 

An FMEA requires an equipment list or P&ID, knowledge of the equipment, knowledge of the 

system, and responses to equipment failure. AIChE states that on average, an hour is sufficient to 

analyze two to four pieces of equipment. AIChE/CCPS estimates that for a small or simple system an 

FMEA will take 2 to 6 hours to prepare, 1 to 3 days to evaluate the process, and 1 to 3 days to document 

the results. For larger or more complex processes, an FMEA will take 1 to 3 days to prepare, 1 to 3 

weeks to evaluate, and 2 to 4 weeks to document. 

FAULT TREE ANALYSIS (FTA) 

A Fault Tree Analysis (FTA) is a deductive technique that focuses on a particular accident or 

main system failure and provides a method for determining causes of the event. The fault tree is a 

graphic that displays the combinations of equipment failures and human errors that can result in the 

accident. The FTA starts with the accident and identifies the immediate causes. Each immediate cause 

is examined to determine its causes until the basic causes of each are identified. AIChE states that the 

strength of FTA is its ability to identify combinations of basic equipment and human failures that can 

lead to an accident, allowing the analyst to focus preventive measures on significant basic causes. 

AIChE states that FTA is well suited for analyses of highly redundant systems. For systems 

vulnerable to single failures that can lead to accidents, FMEA or HAZOP are better techniques to use. 

FTA is often used when another technique has identified an accident that requires more detailed analysis. 

The FTA looks at component failures (malfunctions that require that the component be repaired) and 

faults (malfunctions that will remedy themselves once the conditions change). Failures and faults are 

divided into three groups: primary failures and faults occur when the equipment is operating in the 

environment for which it was intended; secondary failures and faults occur when the system is operating 

outside of intended environment; and command faults and failures are malfunctions where the equipment 

performed as designed but the system that commanded it malfunctioned. 

An FTA requires a detailed knowledge of how the plant or system works, detailed process 

drawings and procedures, and knowledge of component failure modes and effects. AIChE states that 

FTAs need well trained and experienced analysts. Although a single analyst can develop a fault tree, 

input and review from others is needed 

AIChE/CCPS estimates that for a small or simple system an FTA will take 1 to 3 days to prepare, 

3 to 6 days for model construction, 2 to 4 days to evaluate the process, and 3 to 5 days to document the 

results. For larger or more complex processes, an FTA will take 4 to 6 days to prepare, 2 to 3 weeks for 

model constructions, 1 to 4 weeks to evaluate, and 3 to 5 weeks to document. 

OTHER TECHNIQUES 

The rule allows you to use other techniques if they are functionally equivalent. The AIChE 

Guidelines includes descriptions of a number of other techniques including Preliminary Hazard Review, 

Cause-Consequence Analysis, Event Tree Analysis, and Human Reliability Analysis. You may also 

develop a hybrid technique that combines features of several techniques or apply more than one 

technique. 

January 27, 1999 
Chapter 7 

7-21 Prevention Program (Program 3) 

SELECTING A TECHNIQUE 

Exhibit 7A-1 is adapted from the AIChE Guidelines and indicates which techniques are 

appropriate for particular phases in a process's design and operation. 

EXHIBIT 7A-1 

APPLICABILITY OF PHA TECHNIQUES 

Checklist What-If What-IfChecklist HAZOP FMEA FTA 

Design T T T 

Detailed Engineering T T T T T T 

Construction/Start-Up T T T 

Routine Operation T T T T T T 

Modification T T T T T T 

Incident Investigation T T T T 

Decommissioning T T T 

Factors in Selecting a Technique 

Type of process will affect your selection of a technique. AIChE states that most of the 

techniques can be used for any process, but some are better suited for certain processes than others. 

FMEA efficiently analyzes the hazards associated with computer and electronic systems; HAZOPs do not 

work as well with these. Processes or storage units designed to industry or government standards can be 

handled with checklists. 

AIChE lists What-If, What-If/Checklist, and HAZOP as better able to handle batch processes 

than FTA or FMEA because the latter do not easily deal with the need to evaluate the time-dependent 

nature of batch operations. 

Analysis of multiple failure situations is best handled by FTA. Single-failure techniques, such as 

HAZOP and FMEA, are not normally used to handle these although they can be extended to evaluate a 

few simple accident situations involving more than one event. 

AIChE states that when a process has operated relatively free of accidents for a long time, the 

potential for high consequence events is low, and there have been few changes to invalidate the 

experience base, the less exhaustive techniques, such as a Checklist, can be used. When the opposite is 

true, the more rigorous techniques are more appropriate. 

January 27, 1999 
Chapter 7 

Prevention Program (Program 3) 7-22 

A final factor in selecting a technique is time required for various techniques. Exhibit 7A-2 

summarizes AIChE's estimates of the time required for various steps. The full team is usually involved in 

the evaluation step; for some techniques, only the team leader and scribe are involved in the preparation 

and documentation steps. 

EXHIBIT 7A-2

TIME AND STAFFING FOR PHA TECHNIQUES

Checklist WhatIf What-If 

Checklist 

HAZOP FMEA FTA 

Simple/Small System 

# Staff 1-2 2-3 2-3 3-4 1-2 2-3 

Preparation 2-4 h 4-8 h 6-12 h 8-12 h 2-6 h 1-3 d 

Modeling 3-6 d 

Evaluation 4-8 h 1-3 d 6-12 h 1-3 d 1-3 d 2-4 d 

Documentation 4-8 h 1-2 d 4-8 h 2-6 d 1-3 d 3-5 d 

Large/Complex Process 

# Staff 1-2 3-5 3-5 5-7 2-4 2-5 

Preparation 1-3 d 1-3 d 1-3 d 2-4 d 1-3 d 4-6 d 

Modeling 2-3 w 

Evaluation 3-5 d 4-7 d 4-7 d 1-3 w 1-3 w 1-4 w 

Documentation 2-4 d 4-7 d 1-3 w 2-6 w 2-4 w 3-5 w 

h = hours d = days (8 hours) w = weeks (40 hours) 

January 27, 1999 
CHAPTER 8: EMERGENCY RESPONSE PROGRAM 

If you have only Program 1 processes at your facility, you must coordinate your 

emergency response activities with local responders. 

If you have at least one Program 2 or Program 3 process at your facility, part 68 may 

require you to implement an emergency response program, consisting of an 

emergency response plan, emergency response equipment procedures, employee 

training, and procedures to ensure the program is up-to-date. This requirement 

applies if your employees will respond to some releases involving regulated 

substances. (See the box on the next page for more information on What is 

Response?) 

EPA recognizes that, in some cases (particularly for small operations with few 

employees), it may not be appropriate for employees to conduct response operations 

for releases of regulated substances. For example, it would be inappropriate, and 

probably unsafe, for a distributor holding large amounts of ammonia or chlorine with 

only one full-time employee to expect that a tank fire could be handled without the 

help of the local fire department or other emergency responder. EPA does not intend 

to force such facilities to develop emergency response capabilities. At the same 

time, you are responsible for ensuring effective emergency response to any releases 

at your facility. If your local public responders are not capable of providing such 

response, you must take steps to ensure that effective response is available (e.g., by 

hiring response contractors). 

8.1 NON-RESPONDING FACILITIES (§ 68.90(b)) 

EPA has adopted a policy for non-responding facilities similar to that adopted by 

OSHA in its Hazardous Waste Operations and Emergency Response (HAZWOPER) 

Standard (29 CFR 1910.120), which allows certain facilities to develop an 

emergency action plan to ensure employee safety, rather than a full-fledged 

emergency response plan. If your employees will not respond to accidental releases 

of regulated substances, then you need not comply with the emergency response plan 

and program requirements. Instead, you are simply required to coordinate with local 

response agencies to ensure that they will be prepared to respond to an emergency at 

your facility. (You may want to briefly review the program design issues discussed 

in section 8.2 of this chapter prior to making this decision.) This will help to ensure 

that your community has a strategy for responding to and mitigating the threat posed 

by a release of a regulated substance from your facility. To do so, you must ensure 

that you have set up a way to notify emergency responders when there is need for a 

response. Coordination with local responders also entails the following steps: 

g If you have a covered process with a regulated toxic, work with the local 

emergency planning entity to ensure that the facility is included in the 

community emergency response plan prepared under EPCRA regarding a 

response to a potential release. 

January 27, 1999 
Chapter 8 

Emergency Response Program 8-2 

g If you have a covered process with a regulated flammable, work with the 

local fire department regarding a response to a potential release. 

Although you do not need to describe these activities in your risk management plan, 

to document your efforts you should keep a record of: 

g The emergency contact (i.e., name or organization and number) that you will 

call for a toxic or flammable release, and 

WHAT IS “RESPONSE”? 

EPA interprets “response” to be consistent with the definition of response specified under OSHA’s 

HAZWOPER Standard. OSHA defines emergency response as “a response effort by employees from 

outside the immediate release area or by other designated responders ... to an occurrence which 

results, or is likely to result, in an uncontrolled release of a hazardous substance.” The key factor 

here is that responders are designated for such tasks by their employer. This definition excludes 

“responses to incidental releases of hazardous substances where the substance can be absorbed, 

neutralized, or otherwise controlled at the time of release by employees in the immediate release area, 

or by maintenance personnel” as well as “responses to releases of hazardous substances where there 

is no potential safety or health hazard (i.e., fire, explosion, or chemical exposure).” Thus, if you 

expect your employees to take action to end a small leak (e.g., shutting a valve) or clean up a spill that 

does not pose an immediate safety or health hazard, this action could be considered an incidental 

response and you would not need to develop an emergency response program if your employees are 

limited to such activities. 

However, due to the nature of the regulated substances subject to EPA’s rule, only the most minor 

incidents would be included in this exception. In general, most activities will qualify as a response 

due to the immediacy of the dispersion of a toxic plume or spread of a fire, the volatilization of a 

spill, and the threat to people on and off site. As a result, if you will have your employees involved in 

any substantial way in responding to releases, you will need to develop an emergency response 

program. Your emergency response procedures need only apply to “response” actions; other 

activities will be described in your maintenance and operating procedures. 

g The organization that you worked with on response procedures. 

The remainder of this chapter is applicable only to those facilities that will conduct a 

more extensive level of response operations. As noted above, you may want to 

review the next section before making a decision on whether the facility will take 

responsibility for conducting any response activities. 

8.2 ELEMENTS OF AN EMERGENCY RESPONSE PROGRAM (§ 68.95) 

If you will respond to releases of regulated substances with your own employees, 

your emergency response program must consist of the following elements: 

g An emergency response plan (maintained at the facility) that includes: 

January 27, 1999 
Chapter 8 

8-3 Emergency Response Program 

WHAT IS A LOCAL EMERGENCY PLANNING COMMITTEE?

Local emergency planning committees (LEPCs) were formed under the Emergency Planning and 

Community Right-to-Know Act (EPCRA) of 1986. The committees are designed to serve as a 

community forum for issues relating to preparedness for emergencies involving releases of 

hazardous substances in their jurisdictions. They consist of representatives from local government 

(including law enforcement and firefighting), local industry, transportation groups, health and 

medical organizations, community groups, and the media. LEPCs: 

g Collect information from facilities on hazardous substances that pose a risk to the 

community; 

g Develop a contingency plan for the community based on this information; and 

g Make information on hazardous substances available to the general public. 

Contact the mayor's office or the county emergency management office for more information on 

your LEPC. 

› Procedures for informing the public and emergency response 

agencies about releases, 

› Documentation of proper first aid and emergency medical treatment 

necessary to treat human exposures, and 

› Procedures and measures for emergency response. 

g Procedures for using, inspecting, testing, and maintaining your emergency 

response equipment; 

g Training for all employees in relevant procedures; and 

g Procedures to review and update, as appropriate, the emergency response 

plan to reflect changes at the facility and ensure that employees are informed 

of changes. 

Finally, your plan must be coordinated with the community plan developed under the 

Emergency Planning and Community Right-to-Know Act (EPCRA, also known as 

SARA Title III). In addition, at the request of local emergency planning or response 

officials, you must provide any information necessary for developing and 

implementing the community plan. 

In keeping with the approach outlined in Chapter 6, EPA is not requiring facilities to 

document training and maintenance activities. However, as noted above, facilities 

must maintain an on-site emergency response plan as well as emergency response 

equipment maintenance and program evaluation procedures. 

Although EPA's required elements are essential to any emergency response program, 

they are not comprehensive guidelines for creating an adequate response capability. 

January 27, 1999 
Chapter 8 

Emergency Response Program 8-4 

Rather than establish another set of federal requirements for an emergency response 

program, EPA has limited the provisions of its rule to those the CAA mandates. If 

you have a regulated substance on site, you are already subject to at least one 

emergency response rule: OSHA's emergency action plan requirements (29 CFR 

1910.38). Under OSHA HAZWOPER (29 CFR 1910.120) any facility that handles 

"hazardous substances" (a broad term that includes all of the CAA regulated 

substances and thus applies to all facilities with covered processes) must comply 

with either 29 CFR 1910.38(a) or 1910.120(q). If you have a hazmat team, you are 

subject to the 29 CFR 1910.120(q) requirements. If you determine that the 

emergency response programs you have developed to comply with these other rules 

satisfy the elements listed at the beginning of this section, you will not have to do 

anything additional to comply with these elements. Additional guidance on making 

this decision is provided in section 8.5. 

In addition, be careful not to confuse writing a set of emergency response procedures 

in a plan with developing an emergency response program. An emergency response 

plan is only one element of the integrated effort that makes an emergency response 

program. Although the plan outlines the actions and equipment necessary to respond 

effectively, training, program evaluation, equipment maintenance, and coordination 

with local agencies must occur regularly if your plan is to be useful in an emergency: 

The goal of the program is to enable you to respond quickly and effectively to any 

emergency. The documents listed in Exhibit 8-1 may be helpful in developing 

specific elements of your emergency response program. 

Finally, remember that under the General Duty Clause of CAA section 112(r)(1) you 

are responsible for ensuring that any release from your processes can be handled 

effectively. If you plan to rely on local responders for some or all of the response, 

you must determine that those responders have both the equipment and training 

needed to do so. If they do not, you must take steps to meet any needs, either by 

developing your own response capabilities, developing mutual aid agreements with 

other facilities, hiring response contractors, or providing support to local responders 

so they can acquire equipment or training. 

RELATIONSHIP TO HAZWOPER 

If you choose to establish and maintain onsite emergency response capabilities, then 

you will be subject to the detailed provisions of the OSHA HAZWOPER Standard. 

HAZWOPER covers preparing an emergency response plan, employee training, 

medical monitoring of employees, recordkeeping, and other issues. Call your state 

or federal district OSHA office (see Appendix C) for more information on 

complying with the HAZWOPER Standard. 

January 27, 1999 
Chapter 8 

8-5 Emergency Response Program 

EXHIBIT 8-1

FEDERAL GUIDANCE ON EMERGENCY PLANNING AND RESPONSE

Hazardous Materials Emergency Planning Guide (NRT-1), National Response Team, March 1987. 

Although designed to assist communities in planning for hazmat incidents, this guide provides useful 

information on developing a response plan, including planning teams, plan review, and ongoing 

planning efforts. 

Criteria for Review of Hazardous Materials Emergency Plans (NRT-1A), National Response Team, 

May 1988. This guide provides criteria for evaluating response plans. 

Integrated Contingency Plan, National Response Team, (61 FR 28642, June 5, 1996). This provides 

guidance on how to consolidate multiple plans developed to comply with various federal regulations 

into a single, functional emergency response plan.. 

Emergency Response Guidebook, U.S. Department of Transportation, 2000. This guidebook lists 

over 1,000 hazardous materials and provides information on their general hazards and recommended 

isolation distances. 

Response Information Data Sheets (RIDS), US EPA and National Oceanic and Atmospheric 

Administration. Developed for use with the Computer-Aided Management of Emergency Operations 

(CAMEO) software, these documents outline the properties, hazards, and basic safety and response 

practices for thousands of hazardous chemicals. 

HOW DOES THE EMERGENCY RESPONSE PROGRAM APPLY? 

The requirements for the emergency response program are intended to apply across all covered 

processes at a facility. Although certain elements of the program (e.g., how to use specific items of 

response equipment) may differ from one process to another, EPA does not intend or expect you to 

develop a separate emergency response program for each covered process. With this in mind, you 

should realize that your emergency response program will probably apply to your entire facility, 

although technically it need only apply to covered processes. 

For example, a facility may have two storage tanks, one containing slightly more than a threshold 

quantity of a regulated substance and one with slightly less. The facility is likely to adopt the same 

response approach (e.g., procedures, equipment, and training) for releases whether or not the process 

is “covered.” Similarly, a facility may have two adjacent flammables storage tanks, one containing a 

regulated substance above the threshold and the other containing another, unlisted flammable. The 

facility is likely to adopt the same approach for releases whether or not the process is “covered.” 

January 27, 1999 
Chapter 8 

Emergency Response Program 8-6 

8.3 DEVELOPING AN EMERGENCY RESPONSE PROGRAM 

The development of an emergency response program should be approached 

systematically. As described in section 8.2, all facilities complying with these 

emergency response program provisions will already be subject to OSHA 

HAZWOPER. As a result, you are likely to fall into one of two groups: 

g You have already met several federal requirements for emergency planning 

and are interested in developing an integrated program to minimize 

duplication (section 8.4). 

g You have a pre-existing emergency response program (perhaps based on an 

internal policy decision) and need to determine what additional activities you 

will need to conduct (section 8.5). 

If you are complying with RDP, you also will have an emergency response plan to 

meet the RDP requirements. A comparison of the part 68 requirements and RDP, 

prepared by NACD, is provided in Appendix 8A to this chapter. As with the 

prevention program, if the actions you take to comply with RDP meet the 

requirements of part 68, no further action will be needed. 

STEPS FOR GETTING STARTED 

The following steps outline a systematic approach that can serve as the framework

for the program development process in each of these cases. Following these initial

steps will allow you to conduct the rest of the process more efficiently.

Form an emergency response program team. The team should consist of

employees with varying degrees of emergency response responsibilities, as well as

personnel with expertise from each functional area of your facility. You should

consider including persons from the following departments or areas:

g Maintenance;

g Operations or line personnel;

g Upper and line management;

g Legal;

g Fire and hazmat response;

g Environmental, health, and safety affairs;

g Training; 

g Security; 

g EPCRA section 302 emergency coordinator (if one exists);

g Public relations; and

g Personnel.

Of course, the membership of the team will need to be more or less extensive

depending on the scope of the emergency response program. A three-member team

may be appropriate for a small facility with a couple of process operators

January 27, 1999 
Chapter 8 

8-7 Emergency Response Program 

cross-trained as fire responders, while a facility with its own hazmat team and 

environmental affairs department may need a dozen representatives. 

Collect relevant facility documents. Members of the development team should 

collect and review all of the following: 

g Site plans; 

g Existing emergency response plans and procedures; 

g Submissions to the LEPC under EPCRA sections 302 and 303; 

g Hazard evaluation and release modeling information; 

g Hazard communication and emergency response training; 

g Emergency drill and exercise programs; 

g After-action reports and response critiques; and 

g Mutual aid agreements. 

Identify existing programs to coordinate efforts. The team should identify any 

related programs from the following sources: 

g Corporate- and industry-sponsored safety, training, and planning efforts; and 

g Federal, state, and local government safety, training, and planning efforts 

(see Exhibit 8-2). 

EXHIBIT 8-2

FEDERAL EMERGENCY PLANNING REGULATIONS

The following is a list of some of the federal emergency planning regulations: 

g EPA's Oil Pollution Prevention Regulation (SPCC and Facility Response Plan Requirements) 

- 40 CFR part 112.7(d) and 112.20-.21; 

g EPA's Risk Management Programs Regulation - 40 CFR part 68; 

g OSHA's Emergency Action Plan Regulation - 29 CFR 1910.38(a); 

g OSHA's Process Safety Standard - 29 CFR 1910.119; 

g OSHA's HAZWOPER Regulation - 29 CFR 1910.120; 

g EPA's Resource Conservation and Recovery Act Contingency Planning Requirements - 40 

CFR part 264, Subpart D, 40 CFR part 265, Subpart D, and 40 CFR 279.52. 

g EPA's Emergency Planning and Community Right-to-Know Act Requirements - 40 CFR part 

355. (These planning requirements apply to communities, rather than facilities, but will be 

relevant when facilities are coordinating with local planning and response entities). 

g EPA’s Storm water Regulations - 40 CFR 122.26. 

Facilities may also be subject to state and local planning requirements. 

Determine the status of each required program element. Using the information 

collected, you should assess whether each required program element (see section 

8.2) is: 

January 27, 1999 
Chapter 8 

Emergency Response Program 8-8 

g In place and sufficient to meet the requirements of part 68; 

g In place, but not sufficient to meet the requirements of Part 68; or 

g Not in place. 

This examination will shape the nature of your efforts to complete the emergency 

response program required under the risk management program. For example, if you 

are already in compliance with OSHA's HAZWOPER Standard, you have probably 

satisfied most, if not all, of the requirements for an emergency response program. 

Section 8.6 explains the intent of each of EPA's requirements to help you determine 

whether you are already in compliance. 

Take additional actions as necessary. 

TAILORING YOUR PROGRAM TO YOUR HAZARDS 

If your processes and chemicals pose a variety of hazards, it may be necessary to 

tailor some elements of your emergency response program to these specific hazards. 

Unless each part of your program element is appropriate to the release scenarios that 

may occur, your emergency response program cannot be fully effective. Your 

program should include core elements that are appropriate to most of the scenarios, 

supplemented with more specific response information for individual scenarios. 

This distinction should be reflected in your emergency response plan, which should 

explain when to access the general and specific response information. To do this, 

you will need to consider the following four steps: 

g Identify and characterize the hazards for each covered process. The process 

hazards analysis (see Chapter 7) or hazard review (see Chapter 6), and 

offsite consequence analysis (see Chapter 4) should provide this information. 

g For each program element, compare the activities involved in responding to 

each type of accident scenario and decide if they are different enough to 

require separate approaches. For example, response equipment and training 

will likely be different for releases of toxic versus flammable gases. 

g For those program elements that may be chemical- or process-specific, 

identify what and how systems and procedures need to be modified. For 

example, if existing mitigation systems are inadequate for responding to 

certain types of releases, you will need to consider what additional types of 

equipment are needed. 

g Consider possible causes of emergencies in developing your emergency 

response program. You should consider both the hazards at your facility and 

in the surrounding environment. In making this determination, you should 

consider your susceptibility to: 

› Fires, spills, and vapor releases; 

January 27, 1999 
Chapter 8 

8-9 Emergency Response Program 

› Floods, temperature extremes, tornadoes, earthquakes, and 

hurricanes; 

› Loss of utilities, including power failures; and 

› Train derailments, bomb threats, and other man-made disasters. 

8.4 INTEGRATION OF EXISTING PROGRAMS 

A number of other federal statutes and regulations require emergency response 

planning (see Exhibit 8-2). On June 5, 1996, the National Response Team (NRT), a 

multi-agency group chaired by EPA, published the Integrated Contingency Plan 

Guidance in the Federal Register (61 FR 28642). This guidance is intended to be 

used by facilities to prepare emergency response plans for responding to releases of 

oil and hazardous substances. The guidance provides a mechanism for consolidating 

multiple plans that you prepared to comply with various regulations into a single, 

functional emergency response plan or integrated contingency plan (ICP). 

The ICP guidance does not change existing regulatory requirements; rather, it 

provides a format for organizing and presenting material currently required by 

regulations. Individual regulations are often more detailed than the ICP guidance. 

To ensure full compliance, you will still need to read and comply with all of the 

federal regulations that apply. The guidance contains a series of matrices designed 

to assist you in consolidating various plans while documenting compliance with 

these federal requirements. 

The NRT and the agencies responsible for reviewing and approving plans to which 

the ICP option applies have agreed that integrated response plans prepared according 

to the guidance will be acceptable and the federally preferred method of response 

planning. The NRT anticipates that future development of all federal regulations 

addressing emergency response planning will incorporate use of the ICP guidance. 

The notice published in the Federal Register explains the intended structure of the 

ICP and provides detailed annotation. EPA's EPCRA/RCRA/Superfund Hotline (1­

800-535-0202) can supply you with a copy and answer general questions about the 

guidance; for further information and guidance on complying with specific 

regulations, you should contact the appropriate federal agencies. 

8.5 HAVE I MET PART 68 REQUIREMENTS? 

EPA believes that the creation of multiple response plans to meet slightly different 

federal or state standards is counterproductive, diverting resources that could be used 

to develop better response capabilities. Therefore, as part of the overall effort to 

reduce the imposition of potentially duplicative or redundant federal requirements, 

EPA has limited its requirements for the emergency response program to the general 

provisions mandated by Congress, as described in section 8.2. 

As a result, EPA believes that facilities subject to other federal emergency planning 

requirements may have already met the requirements of these regulations. For 

example, plans developed to comply with other EPA contingency planning 

January 27, 1999 
Chapter 8 

Emergency Response Program 8-10 

requirements and the OSHA HAZWOPER rule (29 CFR 1910.120) will likely meet 

the requirements for the emergency response plan (and most of the requirements for 

the emergency response program). The following discussion presents some general 

guidance on what actions you need to take for each of the required elements. 

EMERGENCY RESPONSE PLAN 

If you already have a written plan to comply with another planning regulation, you 

do not need to write another plan, but only add to it as necessary to cover the 

elements listed below. 

Keep in mind: At a minimum, your plan must describe: 

g Your procedures for informing the public and offsite emergency response 

agencies of a release. This must include the groups and individuals that will 

be contacted and why, the means by which they will be contacted, the time 

frame for notification, and the information that will be provided. 

g The proper first aid and emergency medical treatment for employees, first 

responders, and members of the public who may have been exposed to a 

release of a regulated substance. This must include standard safety 

precautions for victims (e.g., apply water to exposed skin immediately) as 

well as more detailed information for medical professionals. You must also 

indicate who is likely to be responsible for providing the appropriate 

treatment: an employee, an employee with specialized training, or a medical 

professional. 

g Your procedures for emergency response in the event of a release of a 

regulated substance. This must include descriptions of the actions to be 

taken by employees and other individuals on-site over the entire course of 

the release event: 

› Activation of alarm systems and interpretation of signals;

› Safe evacuation, assembly, and return;

› Selection of response strategies and incident command structure;

› Use of response equipment and other release mitigation activities;

and 

› Post-release equipment and personnel cleanup and decontamination. 

PLANNING COORDINATION 

One of the most important issues in an emergency response program is deciding 

which response actions will be assigned to employees and which will be handled by 

offsite personnel. As a result, talking to public response organizations will be 

critical when you develop your emergency response procedures. Although EPA is 

not requiring you to be able to respond to a release alone, you should not simply 

assume that local responders will be able to manage an emergency. You must work 

January 27, 1999 
Chapter 8 

8-11 Emergency Response Program 

with them to determine what they can do, and then expand your own abilities or 

establish mutual aid agreements or contracts to handle those situations for which you 

lack the appropriate training or equipment. 

If you have already coordinated with local response agencies on how to respond to 

potential releases of regulated substances and you have ensured an effective 

response, you do not need to take any further action. 

Keep in mind: Your coordination must involve planning for releases of regulated 

substances from all covered processes and must cover: 

g What offsite response assistance you will require for potential release 

scenarios, including fire-fighting, security, and notification of the public; 

g How you will request offsite response assistance; and 

g Who will be in charge of the response operation and how will authority be 

delegated down the internal and offsite chain of command. 

Coordination equivalent to that required for planning for extremely hazardous 

substances under EPCRA sections 302-303 will be considered sufficient to meet this 

requirement. A more detailed discussion of this element is provided in section 8.6. 

EMERGENCY EQUIPMENT 

If you already have written procedures for using and maintaining your emergency 

response equipment, you do not need to write new procedures. 

Keep in mind: Your procedures must apply to any emergency equipment relevant to 

a response involving a covered process, including all detection and monitoring 

equipment, alarms and communications systems, and personal protective equipment 

not used as part of normal operations (and thus not subject to the prevention program 

requirements related to operating procedures and maintenance). The procedures 

must describe: 

g How and when to use the equipment properly; 

g How and when the equipment should receive routine maintenance; and 

g How and when the equipment should be inspected and tested for readiness. 

Written procedures comparable to those necessary for process-related equipment 

under the OSHA PSM Standard and EPA's Program 2 and 3 Prevention Programs 

will be considered sufficient to meet this requirement. 

January 27, 1999 
Chapter 8 

Emergency Response Program 8-12 

EMPLOYEE TRAINING 

If you already train your employees in how to respond to (or evacuate from) releases 

of regulated substances, then you do not need a new training program. 

Keep in mind: Your training must address the actions to take in response to releases 

of regulated substances from all covered processes. The training should be based 

directly on the procedures that you have included in your emergency response plan 

and must be given to all employees and contractors on site. Individuals should 

receive training appropriate to their responsibilities: 

g If they will only need to evacuate, then their training should cover when and 

how to evacuate their location. 

g If they may need to activate an alarm system in response to a release event, 

then their training should cover when and how to use the alarm system. 

g If they will serve on an emergency response team, then their training should 

cover how to use emergency equipment and how the incident command 

system works. 

Emergency response training conducted in compliance with the OSHA HAZWOPER 

Standard and 29 CFR 1910.38 will be considered sufficient to meet this requirement. 

RESPONSE PLAN EVALUATION 

If you already have a formal practice for regular review and updates of your plan 

based on changes at the facility, you do not need to develop additional procedures. 

Keep in mind: You must also identify the types of changes to the facility that would 

cause the plan to be updated (e.g., a new covered process) and include a method of 

communicating any changes to the plan to your employees (e.g., through training). 

You may want to set up a regular schedule on which you review your entire 

emergency response plan and identify any special conditions (e.g., a drill or exercise) 

that could result in an interim review. 

8.6 COORDINATION WITH LOCAL EMERGENCY PLANNING ENTITIES (§ 68.95(c)) 

Once you determine that you have at least one covered process, you should open 

communications with local emergency planning and response officials, including 

your local emergency planning committee if one exists. Because your LEPC consists 

of representatives from many local emergency planning and response agencies, it is 

likely to be the best source of information on the critical emergency response issues 

in your community. However, in some cases, there may not be an active LEPC in 

your community. If so, or if your state has not designated your community as an 

emergency planning district under EPCRA, you will likely need to contact local 

agencies individually to determine which entities (e.g., fire department, emergency 

January 27, 1999 
Chapter 8 

8-13 Emergency Response Program 

management agency, police department, civil defense office, public health agency) 

have jurisdiction for your facility. 

KEY COORDINATION ISSUES 

If you have any of the toxic regulated substances above the threshold quantity, you 

should have already designated an emergency coordinator to work with the LEPC on 

chemical emergency preparedness issues (a requirement for certain facilities 

regulated under EPCRA). If you have not (or if your facility has only regulated 

flammable substances), you may want to do so at this time. The emergency 

coordinator should be the individual most familiar with your emergency response 

program (e.g., the person designated as having overall responsibility for this program 

in your management system — see Chapter 5). 

Involvement in the activities of your LEPC can have a dramatically positive effect on 

your emergency response program, as well as on your relationship with the 

surrounding community. Your LEPC can provide technical assistance and guidance 

on a number of topics, such as conducting response training and exercises, 

developing mutual aid agreements, and evaluating public alert systems. The 

coordination process will help both the community and the facility prepare for an 

emergency, reducing expenditures of time and money, as well as helping eliminate 

redundant efforts. 

You should consider providing the LEPC with draft versions of any emergency 

response program elements related to local emergency planning efforts. This 

submission can initiate a dialogue with the community on potential program 

improvements and lead to coordinated training and exercise efforts. In return, your 

LEPC can support your emergency response program by providing information from 

its own emergency planning efforts, including: 

g Data on wind direction and weather conditions, or access to local 

meteorological data, to help you make decisions related to the evacuation of 

employees and public alert notification; 

g Lists of emergency response training programs available in the area for 

training police, medical, and fire department personnel, to help you identify 

what training is already available; 

g Schedules of emergency exercises designed to test the community response 

plan to spur coordinated community-facility exercises; 

g Lists of emergency response resources available from both public and 

private sources to help you determine whether and how a mutual aid 

agreement could support your program; and 

g Details on incident command structure, emergency points of contact, 

availability of emergency medical services, and public alert and notification 

systems. 

January 27, 1999 
Chapter 8 

Emergency Response Program 8-14 

Upon completion of your emergency response plan, you should coordinate with the 

LEPC, local response organizations, local hospitals, and other response organizations 

(e.g., state hazmat team) and offer them a copy of the plan. In some instances, only a 

portion of the plan may be of use to individuals or organizations; in such cases, you 

should consider making only that portion of the plan available. For instance, it may 

be appropriate to send a hospital only the sections of your plan that address 

emergency medical procedures and decontamination. 

You may also want to provide your LEPC and local response entities with a 

description of your emergency response program elements, as well as any important 

subsequent amendments or updates, to ensure that the community is aware of the 

scope of your facility response efforts prior to an emergency. Although the summary 

of your emergency response program will be publicly available as part of your RMP, 

this information may not be as up-to-date or as comprehensive. Remember, the 

LEPC has been given the authority under EPCRA and Clean Air Act regulations to 

request any information necessary for preparing the community response plan. 

PLANNING FOR FLAMMABLE SUBSTANCES 

In the case of regulated flammable substances, the fire department with jurisdiction over your facility 

may already be conducting fire prevention inspections and pre-planning activities under its own 

authority. Your participation in these efforts (as requested) will allow local responders to gather the 

information they need and prepare for an emergency. If there is no local fire department, or if there 

is only a volunteer fire department in your area, you may need to contact other local response or 

planning officials (e.g., police) to determine how you can work with the community. 

January 27, 1999 
8-15 

Chapter 8 

Emergency Response 

APPENDIX 8A 

COMPARISON OF EMERGENCY RESPONSE PROGRAM AND RDP 

EPA’s Risk Management Program NACD’s Responsible Distribution ProcessSM 

Emergency Response Plan Emergency Response and Public Preparedness 

NOTE: If you already have a written plan to comply with 

another planning regulation, you do not need to write another 

plan. 

Plan must describe procedures for informing the public 

and offsite emergency response agencies of a release. 

Procedures must include the groups and individuals that 

will be contacted and why, the means by which they will 

be contacted, the time frame for notification, and the 

information that will be provided. 

Section A. A process for responding to, reporting on, and investigating 

chemical distribution incidents and releases involving the member company’s 

chemicals, and implementation of appropriate preventive measures developed 

from that investigative process. 

Emergency response plans should contain, but may not be limited to the 

following elements: 

Plan must describe procedures for informing the public 

and offsite emergency response agencies of a release. 

Procedures must include the groups and individuals that 

will be contacted and why, the means by which they will 

be contacted, the time frame for notification, and the 

information that will be provided. 

1. Scope and authority 

2. Organization - home phone numbers of key company people, 

emergency phone numbers of suppliers 

3. Alarms 

4. Communications 

5. Control and command centers 

The plan must include the proper first aid and emergency 

medical treatment for employees, first responders, and 

members of the public who may have been exposed to a 

release of a regulated substance. This must include 

standard safety precautions for victims as well as more 

detailed information for medical professionals. The plan 

must also indicate who is likely to be responsible for 

providing the appropriate treatment. 

6. Plant site evacuation - employee meeting sites 

7. Personnel check-off lists 

January 27, 1999 
Chapter 8 

Emergency Response 8-16 

The plan must include procedures for emergency response 

in the event of a release of a regulated substance. This 

must include descriptions of the actions to be taken by 

employees and other individuals on-site over the entire 

course of the release event. 

Coordination with local response agencies must involve 

planning for releases of regulated substances from all 

covered processes. 

8. Fire-fighting - rescue plan for trapped people 

9. Spill response 

10. Community evacuation - notify all company personnel in event of 

accident 

Coordination must cover what offsite response assistance 

you will require for potential release scenarios, including 

fire-fighting, security, and notification of the public; how 

you will request offsite response assistance; and who will 

be in charge of the response operation and how will 

authority be delegated down the internal and offsite chain 

of command. 

11. Cessation of operations 

12. First aid - location of emergency equipment 

13. Emergency transportation 

14. Area security, 

15. Utilities and public services 

16. Mutual aid organizations 

17. Outside agencies 

18. Public sector and media management 

19. Community relations 

20. Return to normal operations 

21. Regulatory issues 

22. Training 

23. Drills 

24. Audits 

25. Regular review and update of the process 

26. Regular verification of emergency numbers 

Section G. Coordination of the written facility emergency response plan 

with the local emergency response team and other facilities. If no 

community plan exists, the facility should assist with efforts to create one. 

January 27, 1999 
Chapter 8 

8-17 Emergency Response 

Emergency Response Equipment Procedures Emergency Response & Public Preparedness 

NOTE: If you already have written procedures for 

using and maintaining your emergency response 

equipment, you do not need to write new procedures. 

Procedures must apply to any emergency equipment 

relevant to a response involving covered processes, 

including all detection and monitoring equipment, 

alarms and communications systems, and personal 

protective equipment not used as part of normal 

operations. 

Procedures must describe how and when to use the 

equipment properly, how and when the equipment 

should receive routine maintenance, and how and when 

the equipment should be inspected and tested for 

readiness. 

See Section A Above 

Employee Training Emergency Response & Public Preparedness 

NOTE: If you already train your employees in how to 

respond to (or evacuate from) releases of regulated 

substances, as appropriate, then you do not need a new 

training program. 

Your training must address the actions to take in 

response to releases of regulated substances from all 

covered processes. 

Training must be given to all employees and contractors 

on site. 

See Section A Above 

January 27, 1999 
Chapter 8 

Emergency Response 8-18 

Procedures to Ensure the Program is Up-To-Date Emergency Response & Public Preparedness 

NOTE: If you already have a formal practice for 

regular review and updates of your plan based on 

changes at the facility, you do not need to develop 

additional procedures. 

You must identify the types of changes to the facility 

that would cause the plan to be updates and include a 

method of communicating any changes to the plan to 

your employees. 

Section E. Annual review, testing, and assessment of the operability of the 

member company’s written emergency response plan. 

Additional RDP Emergency Response & Public Preparedness 

Components 

Section B. A system of internal investigation, reporting, appropriate 

corrective action and follow-up for each incident that results or could have 

resulted in a fire, explosion, or accidental chemical release. 

Section C. Procedures for making emergency response information 

concerning the member company’s chemicals available to response agencies. 

Section D. Communications with state and local emergency planning and 

response organizations on the potential hazards of the member company’s 

chemicals. 

Section F. Facility tours for first responders to promote emergency 

preparedness and to provide current knowledge of facility operations. 

Section H. Participation in the Local Emergency Planning Committee’s 

process to develop and periodically test the local emergency response plan. 

January 27, 1999 
Chapter 8 

8-19 Emergency Response 

DISCLAIMER 

This Side-By-Side Comparison (side-by-side) was prepared by the staff of the National Association of Chemical Distributors (NACD). Every 

attempt was made to make the information contained herein as accurate and up-to-date as possible. Neither the NACD, nor any of its 

employees, contractors, subcontractors, or their employees makes any warranty, expressed or implied, or assumes any legal liability for the 

contents of this side-by-side, nor assumes any liability for the use of this side-by-side by any party, nor assumes any liability for the results 

conveyed by the use of this side-by-side by any party to a third party. 

January 27, 1999 
8-20 

Chapter 8

Emergency Response

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CHAPTER 9: RISK MANAGEMENT PLAN (PART 68, SUBPART G)

You must submit one risk management plan (RMP) to EPA for all of your covered

processes (§ 68.150). EPA has developed a system to submit your RMP via the

Internet (RMP*eSubmit) for your use. Your RMP is due no later than the latest of

the following dates:

•	 The date on which your facility first has a regulated substance above the

threshold quantity in a process; or

•	 Three years after the date on which a regulated substance is first listed by

EPA, if your facility has that regulated substance above the threshold

quantity.

You must fully update and resubmit all nine sections of your RMP at least every five

years. Under certain circumstances, RMPs must be updated and resubmitted before

their five­year anniversary (see 40 CFR §68.190(b)). Your five­year anniversary date

is listed in the notification letter or e­mail that was sent to you after you submitted

your last RMP.

The Agency has an Internet­based system, called RMP*eSubmit, for submitting a

new RMP or making changes or corrections to an existing RMP.  RMP*eSubmit is

available on EPA’s Central Data Exchange (CDX) – the Agency's electronic

reporting site. If you are new to submitting RMPs, you should go to EPA’s public

Web site at www.epa.gov/emergencies/rmp to find instructions on how to obtain a

CDX account and register as an RMP submitter or certifier in CDX.

Facilities that submit RMPs and later change their process(es) in ways that make

them no longer subject to part 68 (e.g., switching to unregulated substances or

reducing inventories of regulated substances to less than threshold quantities) must

de­register their RMP within six months of making the change.

Finally, facilities submitting changes to their RMPs must identify the type of change

being submitted and the reason for the change (e.g., submission of an updated RMP

as a result of a process change at the plant). This information will help implementing

agencies understand the nature of the RMP submission being made.

9.1	 ELEMENTS OF THE RMP

The length and content of your RMP will vary depending on the number and program

levels of the covered processes at your facility. See Chapter 2 for detailed guidance

on how to determine the program levels of each of the covered processes at your

facility.

Any facility with one or more covered processes must include in its RMP:

•	 An executive summary (§ 68.155);

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Chapter 9

Risk Management Plan 9­2

•	 The registration for the facility (§ 68.160);

•	 The certification statement (§ 68.185);

•	 A worst­case scenario analysis for each Program 1 process; at least one

worst­case scenario analysis to cover all Program 2 and 3 processes involving

regulated toxic substances; at least one worst­case scenario analysis to cover

all Program 2 and 3 processes involving regulated flammables (§ 68.165(a));

•	 The five­year accident history for each process (§ 68.168); and

•	 Information concerning emergency response at the facility (§ 68.180). 

Any facility with at least one covered process in Program 2 or 3 must also include:

•	 At least one alternative release scenario analysis for each regulated toxic

substance in Program 2 or 3 processes and at least one alternative release

scenario analysis to cover all regulated flammables in Program 2 or 3

processes (§ 68.165(b));

•	 A summary of the prevention program for each Program 2 process

(§ 68.170); and

•	 A summary of the prevention program for each Program 3 process

(§ 68.175).

Subpart G of part 68 (see Appendix A) describes the data required for each of the

elements. RMP*eSubmit and its accompanying user’s manual contain more detailed

instructions.  RMP*eSubmit is designed to limit the number of text entries.  For

example, the rule requires you to report on the major hazards identified during a PHA

or hazard review and on public receptors potentially affected by worst­case and

alternative release scenarios. RMP*eSubmit provides a list of options for you to

check for these elements. Except for the executive summary, the RMP consists

primarily of yes/no answers, numerical information (e.g., dates, quantities, distances),

and a few text answers (e.g., names, addresses, chemical identity). Where possible,

RMP*eSubmit provides “pick lists” to help you complete the form.  For example,

RMP*eSubmit provides a list of regulated substances and automatically fills in the

CAS numbers when you select a substance. The RMP*eSubmit User’s Manual and

on­line help screens explain each data element and provide guidance on acceptable

data entry. Access to both RMP*eSubmit and the RMP*eSubmit User’s Manual is

available free of charge – for further instructions visit EPA’s Web site at

www.epa.gov/emergencies/rmp.

9.2	 RMP SUBMISSION

ELECTRONIC SUBMISSION

EPA has made RMP*eSubmit available to complete and file your RMP.

RMP*eSubmit does the following:

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Chapter 9

9­3 Risk Management Plan

•	 Provides a user­friendly, Web­based RMP Submission System;

•	 Performs data quality checks, accepts limited graphics, and provides on­line help

including defining data elements and providing instructions;

•	 Online reporting simplifies the process. It saves you time, and improves data

quality and security;

•	 EPA uses industry­standard technology, including encryption used by most

commercial banks, as well as stringent user ID and password protocols to protect

your information; and

•	 You will be able to access your RMP online at any time.

For a facility to submit their RMP, the certifier will be required to have a CDX

account. Some facilities may use CDX to report other data to the Agency, and if your

facility’s certifying official already has a CDX account, he/she can use it to obtain

access to RMP*eSubmit. If you are new to CDX, visit EPA’s public Web site at

www.epa.gov/emergencies/rmp, to learn how to obtain a CDX account and gain

access to RMP*eSubmit.

HARD COPY SUBMISSION

If you are unable to submit electronically you may fill out the Paper Submission form

available in the RMP*eSubmit User’s Manual and send it in with your RMP. See the

RMP*eSubmit User’s Manual for more information on the Paper Submission form.

If you submit on paper, you will need to use the official form. If you do not use the

official form, your RMP cannot be processed. You can download the RMP*eSubmit

User’s Manual free of charge at www.epa.gov/emergencies/rmp.

IMPORTANT REMINDERS

If you submit on paper, do not forget your certification letter. A certification letter is

required for all RMP submissions. See the RMP*eSubmit User’s Manual for more

information on the certification letter. 

If you use the RMP*eSubmit system, you will certify your RMP electronically –

however, you will be required to submit a one­time Electronic Signature Agreement

form prior to the first time you submit an RMP using RMP*eSubmit. The CDX

system will guide you through the ESA process when you first register for CDX

access as an RMP certifying official.

EPA’s old PC­based electronic reporting software – RMP*Submit – will no longer be

available for download from the EPA Web site beginning in March 2009. 

WHERE DO I SEND MY RMP?

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Chapter 9

Risk Management Plan 9­4

If you use RMP*eSubmit, your RMP will be submitted over the Internet. The

process will require you to complete and mail a one­time Electronic Signature

Agreement to EPA prior to your first RMP submission using RMP*eSubmit.

If you submit a hard copy RMP, you must also include a certification letter (see the

RMP*eSubmit User’s Manual for more information on the certification letter).

After completing the certification letter and RMP forms, you should send them

together via certified mail to:

RMP Reporting Center

P.O. Box 10162
	

Fairfax, VA 22038
	

For courier and FEDEX packages, the address is:

RMP Reporting Center
 

c/o CGI Federal, Inc.
 

12601 Fair Lakes Circle
	

Fairfax, VA 22033
	

9.3	 ISSUES PERTAINING TO SUBMISSIONS OF AND ACCESS TO CLASSIFIED,

CONFIDENTIAL BUSINESS INFORMATION (CBI), AND TRADE SECRETS

WHAT SHOULD I DO ABOUT CLASSIFIED INFORMATION?

Only Federal agencies and their contractors at Federal facilities may make claims of

classified information. If you have such a claim, EPA urges you not to submit the

information you claim as classified as part of your RMP. If any classified

information is critical to the clarity and completeness of any part of the RMP, you

should submit that information separately, on paper, in an annex to the RMP. Any

annex marked as classified will be reviewed only by Federal and state representatives

who have received security clearances and are thereby authorized to review such

information.

WHAT SHOULD I DO ABOUT CONFIDENTIAL BUSINESS INFORMATION (CBI)?

Under CAA section 114(c), 40 CFR part 2 and part 68, you may claim some

information included in your RMP as CBI if you are able to show that the

information meets the substantive criteria set forth in 40 CFR 2.301. These criteria

generally require that the data be commercial or financial in nature, that they not be

available to the public through other means, that you take appropriate steps to prevent

disclosure, and that disclosure of the data would be likely to cause substantial harm to

your competitive position. Review of any CBI claims will be handled as provided for

in 40 CFR part 2. However, part 68 provides that certain RMP data elements may

not be claimed as CBI because they do not convey any business­sensitive

information. EPA has developed specific procedures for submission of CBI claims

for RMPs. See §§ 68.151 and 68.152 for details on what data may be claimed as CBI

and how to assert such claims. It is worth noting that few CBI claims have been

asserted since RMPs were first submitted in 1999.

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Chapter 9

9­5 Risk Management Plan

In general the part 68 procedures provide that:

•	 Owners or operators must substantiate CBI claims at the time they make the

claim by providing documentation demonstrating that the claim meets the criteria

set forth in 40 CFR 2.301.

•	 Substantiating information may be claimed confidential by marking it as CBI.

Information that is not so marked will be treated as public and may be disclosed

without notice to the submitter. If substantiating information is claimed

confidential, the owner or operator must provide a sanitized and unsanitized

version of the substantiating information.

•	 The owner, operator, or senior official with management responsibility of the

stationary source must sign a certification that the signer has personally examined

the information submitted and that, based on inquiry of the persons who

compiled the information, the information is true, accurate, and complete, and

that those portions of the substantiation claimed as confidential would, if

disclosed, reveal trade secrets or other confidential business information.

If your RMP will include CBI, contact the RMP Reporting Center by phone at 703-

227­7650 or by e­mail at RMPRC@epacdx.net to obtain instructions on how to 

complete your submission.

9.4 RMP UPDATES, CORRECTIONS AND DE­REGISTRATIONS (§ 68.190)

Whether and when you are required to fully update and resubmit, correct, or deregister your RMP is based on what changes occur at your facility. Please refer to the

Exhibit 9­1 and note that you are required to take action with regard to your RMP on

the earliest of the dates that apply to your facility. In some cases, changes at the

facility may require only a partial revision of the RMP or a simple correction of

administrative or emergency contact information. Exhibit 9­1 also covers these

situations.

Corrections to submissions made in hardcopy form or via the Agency’s previous

electronic reporting software (RMP*Submit) will need to be made in RMP*eSubmit.

Regardless of how you submitted your last RMP, all data for your current RMP will

be available via RMP*eSubmit, and can be corrected on­line as necessary.

CAN I FILE PREDICTIVELY?

Predictive filing is an option that allows you to submit an RMP that includes

regulated substances that may not be held at the facility at the time of submission.

This option is intended to assist facilities such as chemical warehouses, chemical

distributors, and batch processors whose operations involve highly variable types and

quantities of regulated substances, but who are able to forecast their inventory with

some degree of accuracy. Under § 68.190, you are required to update and resubmit

your RMP no later than the date on which a new regulated substance is first present

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Chapter 9

Risk Management Plan 9­6

in a covered process above a threshold quantity. By using predictive filing, you will

not be required to update and re­submit your RMP every time you receive a new

regulated substance if that substance was included in your latest RMP submission (as

long as you receive it in a quantity that does not trigger a revised offsite consequence

analysis as provided in § 68.36). RMP*eSubmit contains an option to indicate that

your RMP is a predictive filing. 

If you use predictive filing, you must implement your Risk Management Program and

prepare your RMP exactly as you would if you actually held all of the substances

included in the RMP. This means that you must meet all rule requirements for each

regulated substance for which you file, whether or not that substance is actually held

on site at the time you submit your RMP. Depending on the substances for which

you file, this may require you to perform additional worst­case and alternative­case

scenarios and to implement additional prevention program elements. If you use this

option, you must still update and resubmit your RMP if you receive a regulated

substance that was not included in your latest RMP. You must also continue to

comply with the other update requirements stated in § 68.190.

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Chapter 9

9­7 Risk Management Plan

EXHIBIT 9­1
 

RMP UPDATES, CORRECTIONS AND DE­REGISTRATIONS
 

Change That Occurs Date by Which You Must Update, Correct or

De­register your RMP

No changes occur At least once every 5 years from its initial

submission or most recent update

A newly regulated substance is first listed by

EPA

Within 3 years of the date EPA listed the newly

regulated substance if your facility has more than a

threshold quantity of that substance in a process

A regulated substance first becomes present

above its threshold quantity in:

­ a process already covered; or

­ a new process

On or before the date the quantity of the regulated

substance exceeds the threshold in the process

A change occurs at your facility that requires a

revised PHA or hazard review

Within 6 months of the change

A change occurs at or near your facility that

requires a revised offsite consequence analysis

(e.g., you increase your inventory of a

regulated substance such that it increases the

distance to the endpoint by a factor of 2 or

more, or a new public receptor is constructed

near your facility)

Within 6 months of the change

A change occurs that alters the Program level

that previously applied to any covered process

Within 6 months of the change

An accidental release meeting the reporting

criteria of § 68.42 occurs at your facility

Add to and correct accident history information and

incident investigation data elements within 6 months

of the date of the accident (revising other RMP

sections is not required unless facility changes

resulting from an accident trigger a full update)

Facility emergency contact information

changes

Correct the emergency contact information within

one month of the change (revising other RMP

elements is not required).

Minor administrative change (i.e., correct a

clerical error or supply additional information)

Correct the information as soon as practicable

(revising other RMP elements is not required).

A change occurs that makes the facility no

longer subject to the requirement to submit an

RMP

Submit a de­registration letter to EPA within 6

months of the change, indicating that the RMP is no

longer required

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Chapter 9

Risk Management Plan 9­8

HOW DO I DE­REGISTER?

If your facility is no longer covered by this rule, you must submit a letter to the RMP

Reporting Center within six months indicating that your stationary source is no

longer covered.

RECURRING ACCIDENT PREVENTION PROGRAM REQUIREMENTS

Don’t forget that in addition to updating your RMP submission, the Risk

Management Program regulation contains various recurring implementation

requirements for covered facilities’ accident prevention and emergency response

programs. When you update your RMP, you should ensure that you are up to date

with implementation of these requirements and that your updated RMP reflects the

most recent information for your prevention and emergency response programs.  The

following is a list of some key elements in your RMP that you should review, as well

as recurring prevention and emergency response program implementation

requirements that you should make sure are completed:

•	 Review and update your offsite consequence analyses (OCA) at least once every

5 years (40 CFR 68.36). 

For your worst­case and alternate­case scenarios, you should review your

documentation to determine that the parameters and assumptions used in the

analyses are still appropriate. Such assumptions include the use of any

administrative controls or passive mitigation, the estimated quantity released, the

release rate, and the duration of release. The results of this review should be

documented and maintained as part of your RMP records.  Any changes to the

scenarios resulting from this review, including changes in the distance­toendpoint, should be reported in your updated submission.

You should review the data used to identify and estimate population and

environmental receptors to be sure that it is current. For example, new

construction in your area may have resulted in public receptors closer to your

facility than was the case when you first conducted the OCA for your facility.

Also, you may have used Census data to estimate the residential population

within the distance to endpoint. If so, you should update this estimate based on

the latest Census data.  Census data can be found in publications of the US

Census Bureau. These publications, including the County and City Data Book,

are available on the Census Bureau website (www.census.gov) and in public

libraries.

•	 For Program 2, review and update your hazard review at least once every 5 years

(40 CFR 68.50).

The review and any updates of the hazard review, as well as resolution of any

problems identified, must be documented. You should report the date of your

most recent hazard review update, and the completion date for any changes

resulting from the hazard review, in your RMP update.

September 2009
   

                       

           

                     

                        

                  

                   

                          

   

                   

                    

                       

                       

             

               

           

             

                

                   

                         

                  

                       

              

                          

                       

                       

      

               

                

                 

                        

                         

          

                       

                 

                   

      

               

                             

                  

                        

                

                           

Chapter 9

9­9 Risk Management Plan

•	 For Program 3, update and revalidate your process hazard analysis (PHA) at least

once every 5 years (40 CFR 68.67). 

This revalidation must be conducted by a team with expertise in engineering and

process operations. The team must include at least one employee who has

experience and knowledge specific to the process being evaluated. Also, one

member of the team must be knowledgeable in the specific PHA methodology

being used. The revalidation is intended to assure that the PHA is consistent with

the current process.

To revalidate your PHA, you should evaluate your current process hazard

analysis for accuracy and completeness. This evaluation should include checking

that all modifications to your process are reflected in the PHA; evaluating the

process safety information to ensure that it is complete, current, and accurate;

verifying that operating procedures are adequate, up­to­date, and implemented;

documenting that PHA recommendations have been incorporated into equipment

design, process conditions, mechanical integrity, operating procedures, training,

and emergency response; verifying that recommendations have been

implemented; reviewing incident investigation reports. Updated and revalidated

PHAs completed to comply with OSHA’s Process Safety Management Standard

(29 CFR 1910.119(e)) are acceptable to meet this requirement as long as they

also considered hazards that could result in off­site consequences.

The revalidation and any updates of the process hazard analyses, as well as

resolution of any recommendations, must be documented. This documentation

must be retained as part of your RMP records for the life of the process. You

should report the date of your most recent process hazard update, and the

completion date for any changes resulting from the process hazard update, in

your RMP update.

•	 The Risk Management Program requires several aspects of your prevention

program to be periodically implemented or reviewed. The most recent dates for

these activities should be reported in your RMP update:

Training in operating procedures (40 CFR 68.54 and 68.71): For both Program 2

and 3, you are required to provide refresher training at least every three years,

and more often if necessary.

Compliance audits (40 CFR 68.58 and 68.79):  For both Program 2 and 3, you are

required to audit your procedures and practices for compliance with the Risk

Management Program regulations at least every three years to verify their

adequacy and implementation.

Maintenance/Mechanical Integrity (40 CFR 68.56 and 68.73):  For both Program

2 and 3, you are required to inspect and test your process equipment according to

the schedule that you have established based on good engineering practices.

Operating procedures (40 CFR 68.89): For Program 3 only, you are required to

certify annually that your operating procedures are current and accurate.

Management of change (40 CFR 68.75):  For Program 3 only, you are required to

September 2009
   

             

                       

  

         

                       

                         

                       

               

   

    

                       

                       

                       

                

               

                       

                   

                     

                    

                     

                    

                       

                    

                     

                   

  

Chapter 9

Risk Management Plan 9­10

update your process safety information and your procedures and practices for a

covered process in the event of any change to the process chemicals, technology,

equipment, or procedures.

• Correction of your five­year accident history. 

You must submit a correction that revises your five­year accident history within

six months of an accidental release of a regulated substance from a covered

process that resulted in deaths, injuries, or significant property damage on site, or

known off­site deaths, injuries, evacuations, sheltering in place, property damage,

or environmental damage.

• Verify your process information.

Although you have an ongoing responsibility to monitor whether changes to your

process or to the quantities stored or handled alter your program level eligibility,

your five­year update is an opportunity to verify that each covered process still

meets the eligibility criteria for its program level.

• Review your emergency response program or coordination with local officials. 

If your employees will take part in responding to accidental releases, you are

required to periodically review and update, as appropriate, your emergency

response program and to notify your employees of any changes to your

emergency response plan (40CFR 68.95). You must include the date of your

most recent review of your emergency response program and most recent training

in your re­submission. You should contact your Local Emergency Planning

Committee (LEPC) to verify whether your facility is currently included in the

community emergency response plan. You should also review and update your

procedures for notifying emergency responders in an emergency.  These last two

steps are particularly important if your employees will not respond to accidental

releases.

September 2009
CHAPTER 10: IMPLEMENTATION 

10.1 IMPLEMENTING AGENCY 

The implementing agency is the federal, state, or local agency that is taking the lead 

for implementation and enforcement of part 68. The implementing agency will 

review RMPs, select some RMPs for audits, and conduct on-site inspections. The 

implementing agency should be your primary contact for information and assistance. 

WHO IS MY IMPLEMENTING AGENCY? 

Under the CAA, EPA will serve as the implementing agency until a state or local 

agency seeks and is granted delegation under CAA section 112(l) and 40 CFR part 

63, subpart E. You should check with the EPA Regional Office to determine if your 

state has been granted delegation or is in the process of seeking delegation. The 

Regional Office will be able to provide contact names at the state or local level. See 

http://www.epa.gov/swercepp/pubs/112r-sts/112r-sts.html for addresses and contact 

information for EPA Regions and state implementing agencies. 

IF THE PROGRAM IS DELEGATED, WHAT DOES THAT MEAN? 

To gain delegation, a state or local agency must demonstrate that it has the authority 

and resources to implement and enforce part 68 for all covered processes in the state 

or local area. Some states may, however, elect to seek delegation to implement and 

enforce the rule for only sources covered by an operating permit program under Title 

V of the CAA. When EPA determines that a state or local agency has the required 

authority and resources, EPA may delegate the program. If the state’s rules differ 

from part 68 (a state’s rules are allowed to differ in certain specified respects, as 

discussed below), EPA will adopt, through rulemaking, the state program as a 

substitute for part 68 in the state, making the state program federally enforceable. In 

most cases, the state will take the lead in implementation and enforcement, but EPA 

maintains the ability to enforce part 68 in states in which EPA has delegated part 68. 

Should EPA decide that it is necessary to take an enforcement action in the state, the 

action would be based on the state rule that EPA has adopted as a substitute for part 

68. Similarly, citizen actions under the CAA would be based on the state rules that 

EPA has adopted. 

Under 40 CFR 63.90, EPA will not delegate the authority to add or delete substances 

from § 68.130. EPA has proposed, in revisions to part 63, that the authority to revise 

Subpart G (relating to RMPs) will not be delegated. Even if your state or local 

authority is the implementing agency, you must file your RMP with EPA (see 

Chapter 9). You should check with your state to determine whether you need to file 

additional data for state use or submit amended copies of the RMP with the state to 

cover state elements or substances. 

If your state has been granted delegation, it is important that you contact them to 

determine if the state has requirements in addition to those in part 68. State rules 

May 12, 2000 
Chapter 10 

Implementation 10-2 

may be more stringent than part 68. This document does not cover state 

requirements. 

QS & AS

DELEGATION

Q. In what ways may state rules be more stringent? Does this document provide guidance on state 

differences? 

A. States may impose more detailed requirements, such as requiring more documentation or more 

frequent reporting, specifying hours of training or maintenance schedules, imposing equipment 

requirements or call for additional analyses. Some states are likely to cover at least some additional 

chemicals and may use lower thresholds. This document does not cover state differences. 

Q. Will the general duty clause be delegated? 

A. The general duty clause (CAA section 112(r)(1)) is not included in part 68 and, therefore, will not 

be delegated. States, however, may adopt their own general duty clause under state law. 

10.2 REVIEWS/AUDITS/INSPECTIONS (§ 68.220) 

The implementing agency is required under part 68 to review and conduct audits of 

RMPs. Reviews are relatively quick checks of the RMPs to determine whether they 

are complete and whether they contain any information that is clearly problematic. 

For example, if an RMP for a process containing flammables fails to list fire and 

explosion as a hazard in the prevention program, the implementing agency may flag 

that as a problem. The RMP data system will perform some of the reviews 

automatically by flagging RMPs submitted without necessary data elements 

completed. 

Facilities may be selected for audits based on any of the following criteria, set out in 

§68.220: 

g Accident history of the facility 

g Accident history of other facilities in the same industry 

g Quantity of regulated substances handled at the site 

g Location of the facility and its proximity to public and environmental 

receptors 

g The presence of specific regulated substances 

g The hazards identified in the RMP 

g A plan providing for random, neutral oversight 

January 27, 1999 
Chapter 10 

10-3 Implementation 

WHAT ARE AUDITS AND HOW MANY WILL BE CONDUCTED? 

Under the CAA and part 68, audits are conducted on the RMP. Audits will generally 

be reviews of the RMP to review its adequacy and require revisions when necessary 

to ensure compliance with part 68. Audits will help identify whether the underlying 

risk management program is being implemented properly. The implementing agency 

will look for any inconsistencies in the dates reported for compliance with 

prevention program elements. For example, if you report that the date of your last 

revision of operating procedures was in June 1998 but your training program was last 

reviewed or revised in December 1994, the implementing agency will ask why the 

training program was not reviewed to reflect new operating procedures. 

The agency will also look at other items that may indicate problems with 

implementation. For example, if you are reporting on a distillation column at a 

refinery, but used a checklist as your PHA technique, or you fail to list an 

appropriate set of process hazards for the process chemicals, the agency may seek 

further explanations as to why you reported in the way you did. The implementing 

agency may compare your data with that of other facilities in the same industrial 

sector using the same chemicals to identify differences that may indicate compliance 

problems. 

If audits indicate potential problems, they may lead to requests for more information 

or to on-site inspections. If the implementing agency determines that problems exist, 

it will issue a preliminary determination listing the necessary revisions to the RMP, 

an explanation of the reasons for the revisions, and a timetable. Section 68.220 

provides details of the administrative procedures for responding to a preliminary 

determination. 

The number of audits conducted will vary from state to state and from year to year. 

Neither the CAA nor part 68 sets a number or percentage of facilities that must be 

audited during a year. Implementing agencies will set their own goals, based on their 

resources and particular concerns. 

WHAT ARE INSPECTIONS? 

Inspections are site visits to check on the accuracy of the RMP data and on the 

implementation of all part 68 elements. During inspections, the implementing 

agency will probably review the documentation for rule elements, such as the PHA 

reports, operating procedures, maintenance schedules, process safety information, 

and training. Unlike audits, which focus on the RMP but may lead to determinations 

concerning needed improvements to the risk management program, inspections will 

focus on the underlying risk management program itself. 

Implementing agencies will determine how many inspections they need to conduct. 

Audits may lead to inspections or inspections may be done separately. Depending on 

the focus of the inspection (all covered processes, a single process, or particular part 

of the risk management program) and the size of the facility, inspections may take 

several hours to several weeks. 

January 27, 1999 
Chapter 10 

Implementation 10-4 

10.3 RELATIONSHIP WITH TITLE V PERMIT PROGRAMS 

Part 68 is an applicable requirement under the CAA Title V permit program and 

must be listed in a Title V air permit. You do not need a Title V air permit solely 

because you are subject to part 68. If you are required to apply for a Title V permit 

because you are subject to requirements under some other part of the CAA, you 

must: 

g List part 68 as an applicable requirement in your permit 

g Include conditions that require you to either submit a compliance schedule 

for meeting the requirements of part 68 by the applicable deadlines or 

include compliance with part 68 as part of your certification statement. 

You must also provide the permitting agency with any other relevant information it 

requests. 

The RMP and supporting documentation are not part of the permit and should not be 

submitted to the permitting authority. The permitting authority is only required to 

ensure that you have submitted the RMP and that it is complete. The permitting 

authority may delegate this review of the RMP to other agencies. 

If you have a Title V permit and it does not address the part 68 requirement, you 

should contact your permitting authority and determine whether your permit needs to 

be amended to reflect part 68. 

10.4 PENALTIES FOR NON-COMPLIANCE 

Penalties for violating the requirements or prohibitions of part 68 are set forth in 

CAA section 113. This section provides for both civil and criminal penalties. EPA 

may assess civil penalties of not more than $27,500 per day per violation. Any one 

convicted of knowingly violating part 68 may also be punished by a fine pursuant to 

Title 18 of the U.S. Code or by imprisonment for no more than five years, or both; 

anyone convicted of knowingly filing false information may be punished by a fine 

pursuant to Title 18 or by imprisonment for no more than two years. 

January 27, 1999 
Chapter 10 

10-5 Implementation 

QS & AS

AUDITS

Q. If we are a Voluntary Protection Program (VPP) facility under OSHA’s VPP program, are we 

exempt from audits? 

A. You are exempt from audits based on accident history of your industry sector or on random, 

neutral oversight. An implementing agency that is basing its auditing strategy on other factors may 

include your facility although EPA expects that VPP facilities will generally not be a high priority for 

audits unless they have a serious accident. 

Q. If we have been audited by a qualified third party, for ISO 14001 certification or for other 

programs, are we exempt from audits? 

A. No, but you may want to inform your implementing agency that you have gained such 

certification and indicate whether the third party reviewed part 68 compliance as part of its audit. 

The implementing agency has the discretion to determine whether you should be audited. 

Q. Will we be audited if a member of the public requests an audit of our facility? 

A. The implementing agency will have to decide whether to respond to such public requests. EPA’s 

intention is that part 68 implementation reflect that hazards are primarily a local concern. 

January 27, 1999 
Chapter 10

Implementation 10-6

January 27, 1999 
CHAPTER 11: COMMUNICATION WITH THE PUBLIC 

Once you have prepared and submitted your RMP, EPA will make it available to the 

public. Public availability of the RMP is a requirement under section 114(c) of the 

Clean Air Act (the Act provides for protection of trade secrets, and EPA will 

accordingly protect any portion of the RMP that contains Confidential Business 

Information). Therefore, you can expect that your community will discuss the 

hazards and risks associated with your facility as indicated in your RMP. You will 

necessarily be part of such discussions. The public and the press are likely to ask you 

questions because only you can provide specific answers about your facility and your 

accident prevention program. This dialogue is a most important step in preventing 

chemical accidents and should be encouraged. You should respond to these 

questions honestly and candidly. Refusing to answer, reacting defensively, or 

attacking the regulation as unnecessary are likely to make people suspicious and 

willing to assume the worst. A basic fact of risk communication is that trust, once 

lost, is very hard to regain. As a result, you should prepare as early as possible to 

begin talking about these issues with the community, Local Emergency Planning 

Committees (LEPCs), State Emergency Response Commissions (SERCs), other local 

and state officials, and other interested parties. 

Communication with the public can be an opportunity to develop your relationship 

with the community and build a level of trust among you, your neighbors, and the 

community at large. By complying with the RMP rule, you are taking a number of 

steps to prevent accidents and protect the community. These steps are the individual 

elements of your risk management program. A well-designed and properly 

implemented risk management program will set the stage for informative and 

productive dialogue between you and your community. The purpose of this chapter 

is to suggest how this dialogue may occur. In addition, note that some industries 

have developed guidance and other materials to assist in this process; contact your 

trade association for more information. 

11.1 BASIC RULES OF RISK COMMUNICATION 

Risk communication means establishing and maintaining a dialogue with the public 

about the hazards at your operation and discussing the steps that have been or can be 

taken to reduce the risk posed by these hazards. Of particular concern under this rule 

are the hazards related to the chemicals you use and what would happen if you had 

an accidental release. 

Many companies, government agencies, and other entities have confronted the same 

issue you may face: how to discuss with the public the risks the community is 

subject to. Exhibit 11-1 outlines seven “rules” of risk communication that have been 

developed based on many experiences of dealing with the public about risks. 

A key message of these "rules" is the importance and legitimacy of public concerns. 

People generally are less tolerant of risks they cannot control than those they can. 

For example, most people are willing to accept the risks of driving because they have 

some control over what happens to them. However, they are generally more 

July 1998 
Chapter 11 

Communication with the Public 11-2 

uncomfortable accepting the risks of living near a facility that handles hazardous 

chemicals if they feel that they have no control over whether the facility has an 

accident. The Clean Air Act’s provision for public availability of RMPs gives public 

an opportunity to take part in reducing the risk of chemical accidents that might 

occur in their community. 

Exhibit 11-1: Seven Cardinal Rules of Risk Communication 

1. Accept and involve the public as a legitimate partner 

2. Plan carefully and evaluate your efforts 

3. Listen to the public’s specific concerns 

4. Be honest, frank, and open 

5. Coordinate and collaborate with other credible sources 

6. Meet the needs of the media 

7. Speak clearly and with compassion 

HAZARDS VERSUS RISKS 

Dialogue in the community will be concerned with both hazards and risks; it is 

useful to be clear about the difference between them. 

Hazards are inherent properties that cannot be changed. Chlorine is toxic when 

inhaled or ingested; propane is flammable. There is little that you can do with these 

chemicals to change their toxicity or flammability. If you are in an earthquake zone 

or an area affected by hurricanes, earthquakes and hurricanes are hazards. When you 

conduct your hazard review or process hazards analysis, you will be identifying your 

hazards and determining whether the potential exposure to the hazard can be reduced 

in any way (e.g., by limiting the quantity of chlorine stored on-site). 

Risk is usually evaluated based on several variables, including the likelihood of a 

release occurring, the inherent hazards of the chemicals combined with the quantity 

released, and the potential impact of the release on the public and the environment. 

For example, if a release during loading occurs frequently, but the quantity of 

chemical released is typically small and does not generally migrate off site, the 

overall risk to the public is low. If the likelihood of a catastrophic release occurring 

is extremely low, but the number of people who could be affected if it occurred is 

large, the overall risk may still be low because of the low probability that a release 

will occur. On the other hand, if a release occurs relatively frequently and a large 

number of people could be affected, the overall risk to the public is high. 

July 1998 
Chapter 11 

11-3 Communication with the Public 

The rule does not require you to assess risk in a quantitative way because, in most 

cases, the data you would need to estimate risk levels (e.g., one in 100 years) are not 

available. Even in cases where data such as equipment failure rates are available, 

there are large uncertainties in using that data to determine a numerical risk level for 

your facility, because your facility is probably not the same as other facilities, and 

your situation may be dynamic. Therefore, you may want to assign qualitative 

values (high, medium, low) to the risks that you have identified at your facility, but 

you should be prepared to explain the terms if you do. For example, if you believe 

that the worst-case release is very unlikely to occur, you must give good reasons; 

you must be able to provide specific examples of measures that you have taken to 

prevent such a release, such as installation of new equipment, careful training of 

your workers, rigorous preventive maintenance, etc. You should also be able to 

show documentation to support your claim. 

WHO WILL ASK QUESTIONS? 

Your Local Emergency Planning Committee (LEPC) and other facilities can help 

you identify individuals in the following groups who may be reviewing RMP data 

and asking questions. Interested parties may include: 

(1) Persons living near the facility and elsewhere in the community or working 

at a neighboring facility 

(2) Local officials from zoning and planning boards, fire and police 

departments, health and building code officials, elected officials, and various 

county and state officials 

(3) Your employees 

(4) Special interest groups including environmental organizations, chambers of 

commerce, unions, and various civic organizations 

(5) Journalists, reporters, and other media representatives 

(6) Medical professionals, educators, consultants, neighboring companies and 

others with special expertise or interests 

In general, people will be concerned about accident risks at your facility, how you 

manage the risks, and potential impacts of an accident on health, safety, property, 

natural resources, community infrastructure, community image, property values, and 

other matters. Those individuals in the public and private sector who are responsible 

for dealing with these impacts and the associated risks also will have an interest in 

working with you to address these risks. 

WHAT INFORMATION ABOUT YOUR FACILITY IS AVAILABLE TO THE PUBLIC? 

Even though the non-confidential information you provide in your RMP is available 

to the public, it is likely that people will want additional information. Interested 

July 1998 
Chapter 11 

Communication with the Public 11-4 

parties will know that you retain additional information at your facility (e.g., 

documentation of the results of the offsite consequence analysis reported in your 

RMP) and are required to make it available to EPA or its implementing agency 

during inspections or compliance audits. Therefore, they may request such 

information. EPA encourages you to provide public access to this information. If 

EPA or its implementing agency were to request this information, it would be 

available to the public under section 114(c) of the CAA. 

The public may also be interested in other information relevant to risk management 

at your facility, such as: 

g Submissions under sections 302, 304, 311-312, and 313 of the Emergency 

Planning and Community Right to Know Act (EPCRA) reporting on 

chemical storage and releases, as well as the community emergency response 

plan prepared under EPCRA section 303. 

g Other reports on hazardous materials made, used, generated, stored, spilled, 

released and transported, that you submitted to federal, state, and local 

agencies. 

g Reports on workplace safety and accidents developed under the 

Occupational Safety and Health Act that you provide to employees, who may 

choose to make the information publicly available, such as medical and 

exposure records, chemical data sheets, and training materials. 

g Any other information you have provided to public agencies that can be 

accessed by members of the public under the federal Freedom of Information 

Act and similar state laws (and that may have been made widely available 

over the Internet). 

g Any published materials on facility safety (either industry- or site-specific), 

such as agency reports on facility accidents, safety engineering manuals and 

textbooks, and professional journal articles on facility risk management. 

11.2 SAMPLE QUESTIONS FOR COMMUNICATING WITH THE PUBLIC 

Smaller businesses may not have the resources or time to develop the types of 

outreach programs, described later in this chapter, that many larger chemical 

companies have used to handle public questions and community relations. For many 

small businesses, communication with the public will usually occur when you are 

asked questions about information in your RMP. It is important that you respond to 

these questions constructively. Go beyond just answering questions; discuss what 

you have done to prevent accidents and work with the community to reduce risks. 

The people in your community will be looking to you to provide answers. 

To help you establish a productive dialogue with the community, the rest of this 

section presents questions you are likely to be asked and a framework for answering 

them. These are elements of the public dialogue that you may anticipate. The person 

July 1998 
Chapter 11 

11-5 Communication with the Public 

from your facility designated as responsible for communicating with the public 

should review the following and talk to other community organizations to determine 

which questions are most likely to be raised and identify other foreseeable issues. 

Remember that others in the community, notably LEPCs and other emergency 

management organizations are also likely to be asked these and other similar 

questions. You should consider the unique features of your facility, your RMP, and 

your historical relationship with the community (e.g., prior accidents, breakdowns in 

the coordination of emergency response efforts, and management-labor disputes), 

and work together with these other organizations to answer these questions for your 

situation and to resolve the issues associated with them. 

July 1998 
Chapter 11 

Communication with the Public 11-6 

What does your worst-case release distance mean? 

The distance is intended to provide an estimate of the maximum possible area that might be affected 

under catastrophic conditions. It is intended to ensure that no potential risks to public health are 

overlooked, but the distance to an endpoint estimated under worst-case conditions should not be 

considered a “public danger zone.” 

In most cases, the mathematical models used to analyze the worst-case release scenario as defined in 

the rule may overestimate the area that would be impacted by a release. In other cases, the models 

may underestimate the area. For distances greater than approximately six miles, the results of toxic 

gas dispersion models are especially uncertain, and you should be prepared to discuss such 

possibilities in an open, honest manner. 

Reasons that modeling may underestimate the distance generally relate to the inability of some 

models to account for site-specific factors that might tend to increase the actual endpoint distance. 

For example, assume a facility is located in a river valley and handles dense toxic gases such as 

chlorine. If a release were to occur, the river valley could channel the toxic cloud much farther than 

it might travel if it were to disperse in a location with generally flat terrain. In such cases, the actual 

endpoint distance might be longer than that predicted using generic lookup tables. 

Reasons that the area may be overestimated include: 

C For toxics, the weather conditions (very low wind speed, calm conditions) assumed for a 

worst-case release scenario are uncommon and probably would not last as long as the time 

the release would take to travel the distance estimated. If weather conditions are different, 

the distance would be much shorter. 

C For flammables, although explosions can occur, a release of a flammable is more likely to 

disperse harmlessly or burn. If an explosion does occur, however, this area could be 

affected by the blast; debris from the blast could affect an even broader area. 

C In general, some models cannot take into account other site-specific factors that might tend 

to disperse the chemicals more quickly and limit the distance. 

Note: When estimating worst case release distances, the rule does not allow facilities to take into 

account active mitigation systems and practices that could limit the scope of a release. Specific 

systems (e.g., monitoring, detection, control, pressure relief, alarms, mitigation) may limit a release 

or prevent the failure from occurring. Also, if you are required to analyze alternative release 

scenarios (i.e., if your facility is in Program 2 or Program 3), these scenarios are generally more 

realistic than the worst case, and you can offer to provide additional information on those scenarios. 

July 1998 
Chapter 11 

11-7 Communication with the Public 

What does it mean that we could be exposed if we live/work/shop/go to school 

X miles away? 

(For an accident involving a flammable substance): 

The distance means that people who are in that area around the facility could be hurt if the contents 

of a tank or other vessel exploded. The blast of the explosion could shatter windows and damage 

buildings. Injuries would be the result of the force of the explosion and of flying glass or falling 

debris. 

(For an accident involving a toxic substance): 

The distance is based on a concentration of the chemical that you could be exposed to for an hour 

without suffering irreversible health effects or other symptoms that would make it difficult for you to 

escape. If you are within that distance, you could be exposed to a greater concentration of the 

chemical. If you were exposed to higher levels for an extended period of time (10 minutes, 30 

minutes, or longer), you could be seriously hurt. However, that does not mean that you would be. 

Remember, for worst case scenarios, the rule requires you to make certain conservative assumptions 

with respect to, for example, wind speed and atmospheric stability. If the wind speed is higher than 

that used in the modeling, or if the atmosphere is more unstable, a chemical release would be 

dispersed more quickly, and the distances would be much smaller and the exposure times would be 

shorter. If the question pertains to an alternative release scenario, you probably assumed typical 

weather conditions in the modeling. Therefore, the actual impact distance could be shorter or longer, 

and you should be prepared to acknowledge this and clearly explain how you chose the conditions 

for your release scenario. 

In general, the possibility of harm depends on the concentration of the chemical you are exposed to 

and the length of time you are exposed. 

July 1998 
Chapter 11 

Communication with the Public 11-8 

IF THERE IS AN ACCIDENT, WILL EVERYONE WITHIN THAT DISTANCE BE HURT? WHAT 

ABOUT PROPERTY DAMAGE? 

In general, no. For an explosion, everyone within the circle would certainly feel the blast wave since 

it would move in all directions at once. However, while some people within the circle could be hurt, 

it is unlikely that everyone would be since some people would probably be in less vulnerable 

locations. Most injuries would probably be due to the effects of flying glass, falling debris, or 

impact with nearby objects. 

Two types of chemicals may be modeled - toxics and flammables. Releases of flammables do not 

usually lead to explosions; released flammables are more likely to disperse without igniting. If the 

released flammable does ignite, a fire is more likely than an explosion, and fires are usually 

concentrated at the facility. 

For toxic chemicals, whether someone is hurt by a release depends on many factors. First, the 

released chemicals would usually move in the direction of the wind (except for some dense gases, 

which may be constrained by terrain features to flow in a different direction). Generally, only 

people downwind from the facility would be at risk of exposure if a release occurred, and this is 

normally only a part of the population inside the circle. If the wind speed is moderate, the 

chemicals would disperse quickly, and people would be exposed to lower levels of the chemical. If 

the release is stopped quickly, they might be exposed for a very short period time, which is less 

likely to cause injury. However, if the wind speed is low or the release continues for a long time, 

exposure levels will be higher and more dangerous. The population at risk would be a larger 

proportion of the total population inside the circle. You should be prepared to discuss both 

possibilities. 

Generally, it is the people who are closest to the facility — within a half mile or less — who would 

face the greatest danger if an accident occurred. 

Damage to property and the environment will depend on the type of chemical released. In an 

explosion, environmental impacts and property damage may extend beyond the distance at which 

injuries could occur. For a vapor release, environmental effects and property damage may occur as a 

result of the reactivity or corrosivity of the chemical or toxic contamination. 

July 1998 
Chapter 11 

11-9 Communication with the Public 

HOW SURE ARE YOU OF YOUR DISTANCES? 

Perhaps the largest single difficulty associated with hazard assessment is that different models and 

modeling assumptions will yield somewhat different results. There is no one model or set of 

assumptions that will yield “certain” results. Models represent scientists’ best efforts to account for 

all the variables involved in an accidental release. While all models are generally based on the same 

physical principles, dispersion modeling is not an exact science due to the limited opportunity for 

real-world validation of results. No model is perfect, and every model represents a somewhat 

different analytical approach. As a result, for a given scenario, people can use different consequence 

models and obtain predictions of the distance to the toxic endpoint that in some situations might vary 

by a factor of ten. Even using the same model, different input assumptions can cause wide variations 

in the predictions. It follows that, when you present a single predicted value as your best estimate of 

the predicted distance, others will be able to claim that the answer ought to be different, perhaps 

greater, perhaps smaller, depending on the assumptions used in modeling and the choice of model 

itself. 

You therefore need to recognize that your predicted distance lies within a considerable band of 

uncertainty, and to communicate this fact to those who have an interest in your results. A 

neighboring facility handling the same covered substances as you do may have come up with a 

different result for the same scenario for these reasons. 

If you use EPA’s RMP Offsite Consequence Analysis Guidance or one of the industry-specific 

guidance documents that EPA has developed, you will be able to address the issue of uncertainty by 

stating that the results you have generated are conservative (that is they are likely to overestimate 

distances). However, if you use other models, you will have to provide your own assessment of 

where your specific prediction lies within the plausible range of uncertainties. 

WHY DO YOU NEED TO STORE SO MUCH ON-SITE? 

If you have not previously considered the feasibility of reducing the quantity, you should do so when 

you develop your risk management program. Many companies have cited public safety concerns as 

a reason for reducing the quantities of hazardous chemicals stored on-site or for switching to nonhazardous substitutes. If you have evaluated your process and determined that you need a certain 

volume to maintain your operations, you should explain this fact to the public in a forthright manner. 

As appropriate, you should also discuss any alternatives, such as reducing storage quantities and 

scheduling more frequent deliveries. Perhaps these options are feasible - if so, you should consider 

implementing them; if not, explain why you consider these alternatives to be unacceptable. For 

example, in some situations, more frequent deliveries would mean more trucks carrying the 

substance through the community on a regular basis and a greater opportunity for smaller-scale 

releases because of more frequent loading and unloading. 

July 1998 
Chapter 11 

Communication with the Public 11-10 

WHAT ARE YOU DOING TO PREVENT RELEASES? 

If you have rigorously implemented your risk management program, this question will be your 

chance, if you have not already done so, to tell the community about your prevention activities, the 

safe design features of your operations, the specific activities that you are performing such as 

training, operating procedures, maintenance, etc., and any industry codes or standards you use to 

operate safely. If you have installed new equipment or safety systems, upgraded training, or had 

outside experts review your site for safety (e.g., insurance inspectors), you could offer to share the 

results. You may also want to mention state or federal rules you comply with. 

WHAT ARE YOU DOING TO PREPARE FOR RELEASES? 

For such questions, you will need to talk about any coordination that you have done with the local 

fire department, LEPC, or mutual aid groups. Such coordination may include activities such as 

defining an incident command structure, developing notification protocols, conducting response 

training and exercises, developing mutual aid agreements, and evaluating public alert systems. This 

description is particularly important if your employees are not designated or trained to respond to 

releases of regulated substances. 

If your employees will be involved in a response, you should describe your emergency response plan 

and the emergency response resources available at the facility (e.g., equipment, personnel), as well 

as through response contractors, if appropriate. You also may want to indicate the types of events 

for which such resources are applicable. Finally, indicate your schedule for internal emergency 

response training and drills and exercises and discuss the results of the latest relevant drill or 

exercise, including problems found and actions taken to address them. 

DO YOU NEED TO USE THIS CHEMICAL? 

Again, if you have not yet considered the feasibility of switching to a non-hazardous substitute, you 

should do so when you develop your risk management program. Assuming that there is no 

substitute, you should describe why the chemical is critical to what you produce and explain what 

you do to handle it safely. If there are substitutes available, you should describe how you have 

evaluated such options. 

July 1998 
Chapter 11 

11-11 Communication with the Public 

WHY ARE YOUR DISTANCES DIFFERENT FROM THE DISTANCES IN THE EPA LOOKUP TABLES? 

If you did your own modeling, this question may come up. You should be ready to explain in a 

general way how your model works and why it produces different results. EPA allows using other 

models (as long as certain parameters and conditions specified by the rule are met) because it 

realizes that EPA lookup table results will not necessarily reflect all site-specific conditions. 

In addition, although all models are generally based on the same physical principles, dispersion 

modeling is not an exact science due to the limited opportunity for real-world validation of the 

results. Thus, the method by which different models combine the basic factors such as wind speed 

and atmospheric stability can result in distances that readily vary by a factor of two (e.g., five miles 

versus ten miles). The introduction of site-specific factors can produce additional differences. 

EPA recognizes that different models will produce differing predictions of the distance to an 

endpoint, especially for releases of toxic substances. The Agency has provided a discussion of the 

uncertainties associated with the model it has adopted for the OCA Guidance. You need to 

understand that the distances produced by another model lie within a band of uncertainty and be able 

to demonstrate and communicate this fact to those who are reviewing your results. 

HOW LIKELY ARE THE WORST-CASE AND ALTERNATIVE RELEASE SCENARIOS? 

It is generally not possible to provide accurate numerical estimates of how likely these scenarios are. 

EPA has stated that providing such numbers for accident scenarios rarely is feasible because the data 

needed (e.g., on rates for equipment failure and human error) are not usually available. Even when 

data are available, there are large uncertainties in applying the data because each facility’s situation 

is unique. 

In general, the risk of the worst-case scenario is low. Although catastrophic vessel failures have 

occurred, they are rare events. Combining them with worst-case weather conditions makes the 

overall scenario even less likely. This does not mean that such events cannot or will not happen, 

however. 

For the alternative scenario, the likelihood of the release is greater and will depend, in part, on the 

scenario you chose. If you selected a scenario based on your accident history or industry accident 

history, you should explain this to the public. You should also discuss any steps you are taking to 

prevent such an accident from recurring. 

July 1998 
Chapter 11 

Communication with the Public 11-12 

IS THE WORST-CASE RELEASE YOU REPORTED REALLY THE WORST ACCIDENT YOU CAN HAVE? 

The answer to this question will depend on the type of facility you have and how you handle 

chemicals. EPA defined a specific scenario (failure of the single largest vessel) to provide a 

common basis of comparison among facilities nationwide. So, if you have only one vessel, EPA’s 

worst case is likely to be the worst event you could have. 

On the other hand, if you have a process which involves multiple co-located or interconnected 

vessels, it is possible that you could have an accident more severe than EPA’s worst case scenario. 

If credible scenarios exist that could be more serious (in terms of quantities released or 

consequences) than the EPA worst case scenario, you should be ready to discuss them. For example, 

if you store chemicals in small containers such as 55-gallon drums, the EPA-defined worst-case 

release scenario may involve a limited quantity, but a fire or explosion at the facility could release 

larger quantities if multiple containers are involved. In this case, you should be ready to frankly 

discuss such a scenario with the public. If you take precautions to prevent such scenarios from 

occurring, you should explain these precautions also. If an accidental release is more likely to 

involve multiple drums than a single drum as a result, for example, of the drums being stored closely 

together, then you must select such a scenario as your alternative release scenario so that information 

on this scenario is available in your RMP. 

Chemical manufacturers may want to talk about releases that could result from runaway reactions 

that could continue for several hours. This type of event could result in longer exposure times. 

WHAT ABOUT THE ACCIDENT AT THE [NAME OF SIMILAR FACILITY] THAT HAPPENED LAST MONTH? 

This question highlights an important point: you need to be aware of events in your industry (e.g., 

accidents, new safety measures) for two reasons. First, your performance likely will be compared to 

that of your competitors. Second, learning about the circumstances and causes of accidents at other 

facilities like yours can help you prevent such accidents from occurring at your facility. 

You should be familiar with accidents that happen at facilities similar to yours, and you should have 

evaluated whether your facility is at risk for similar accidents. You should take the appropriate 

measures to prevent the accident from occurring and be prepared to describe these actions. If your 

facility has experienced a similar release in the past, this information may be documented in your 

accident history or other publicly available records, depending on the date and nature of the incident, 

the quantity released, and other factors. If you have already taken steps specifically designed to 

address this type of accident, whether as a result of this accident, a prior accident at your facility, or 

other internal decision-making, you should describe these efforts. If, based on your evaluation, you 

determine that the accident could not occur at your facility, you should discuss the pertinent 

differences between the two facilities and explain why you believe those differences should prevent 

the accident from occurring at your facility. 

July 1998 
Chapter 11 

11-13 Communication with the Public 

WHAT ACTIONS HAVE YOU TAKEN TO INVOLVE THE COMMUNITY IN YOUR ACCIDENT PREVENTION 

AND EMERGENCY PLANNING EFFORTS? 

If you have not actively involved the community in accident prevention and emergency planning in 

the past, you should acknowledge this as an area where you could improve and start doing so as you 

develop your risk management program. First, you may want to begin participating in the LEPC and 

regional mutual aid organizations if you aren’t doing so already. Other opportunities for community 

involvement are fire safety coordination activities with the local fire department, joint training and 

exercises with local public and private sector response personnel, the establishment of green fields 

between the facility and the community, and similar efforts. 

When discussing accident prevention and emergency planning with the community, you should 

indicate any national programs in which you participate, such as the Chemical Manufacturers 

Association’s Responsible Care program or Community Awareness and Emergency Response 

program or OSHA’s Voluntary Protection Program. If fully implemented, these programs can help 

improve the safety of the facility and the community. You may have future plans to participate in 

areas described previously or have new initiatives associated with the risk management program. Be 

sure you ask what else the community would like you to do and explain how you will do it. 

CAN WE SEE THE DOCUMENTATION YOU KEEP ON SITE? 

If the requested information is not confidential business information, EPA encourages you to make it 

available to the public. Although you are not required to provide this information to the public, 

refusing to provide it simply because you are not compelled to is not the best approach. If you 

decide not to provide any or most of this material, you should have good reasons for not doing so 

and be prepared to explain these reasons to the public. Simply taking a defensive position or 

referring to the extent of your legal obligations is likely to threaten the effectiveness of your 

interaction with the community. Offer as much information as possible to the public; if particular 

documents would reveal proprietary information, try to provide a redacted copy, summary, or some 

other form that answers the community’s concerns. You may want to work with your LEPC on this 

issue. You should also be aware that information that EPA or the implementing agency obtains as 

part of an inspection or investigation conducted under section 114 of the Clean Air Act would be 

available to the public under section 114(c) of the Act to the extent it does not reveal confidential 

business information. 

11.3 COMMUNICATION ACTIVITIES AND TECHNIQUES 

Although this section is most applicable to larger companies, small businesses may 

want to review it and use some of the ideas to expand their communications with the 

public. To prepare for effective communication with the community, you should: 

(1) Adopt an organizational policy that includes basic risk communication 

principles (see exhibit 11-1). 

July 1998 
Chapter 11 

Communication with the Public 11-14 

(2) Assign responsibilities and resources to implement the policy. 

(3) Plan to use "best communication practices". 

ADOPT AN ORGANIZATIONAL COMMUNICATIONS POLICY 

An organizational policy will support communication with the public on your RMP 

and make it an integral part of management practices. Otherwise, breakdowns are 

likely to occur, which could cause mistrust, hostility and conflicts. 

A policy helps to establish communication as a normal organizational function and 

to present it as an opportunity rather than a burden or threat. The policy can be 

incorporated in an organization's policies, an approach taken by many companies 

who belong to the Responsible Care program of the Chemical Manufacturers 

Association (CMA). These companies have adopted CMA's Codes of Management 

Practices, which contain risk communication principles and practices. 

Remember that what you communicate is more important than the type of 

communication policy or program you use, and what you actually do to maintain a 

safe facility is more important than anything you say. Your company’s safety and 

prevention steps in your risk management program should serve as the core elements 

of any risk communication program. 

ASSIGN RESPONSIBILITIES AND RESOURCES 

A policy is only a paper promise until it is regularly and effectively implemented. 

Thus, you should follow up your communication policy by (1) having top 

management participate at the outset and at key points throughout the 

communication process, and (2) assigning communication responsibilities within 

your organization and providing the necessary resources. 

Experience has demonstrated that assigning responsibility to knowledgeable 

managers, plant engineers, and staff and encouraging participation by employees, 

(most of whom are likely to be community residents) is a good communications 

practice. Delegating communication functions to outside technical consultants, 

attorneys, and public relations specialists has repeatedly failed to impress the 

community and even tends to incur mistrust. (However, if you hired a firm with 

acknowledged expertise in dispersion modeling, you may want them on hand to help 

respond to technical questions.) 

Communications staff will need work time and resources to prepare presentation 

materials, hold meetings with interested persons in the community, and do other 

work necessary to respond to questions and concerns and maintain ongoing dialogue. 

A training program in communication skills and incentives for good performance 

also may be advisable. 

Organizations have a legitimate interest in preventing disclosure of confidential 

business information or statements that inadvertently and unfairly harm the 

July 1998 
Chapter 11 

11-15 Communication with the Public 

organization or its employees. Thus, you should assure that your risk communication 

staff is instructed on how to deal with situations that pose these problems. This may 

mean that you have an internal procedure enabling your staff to bring such situations 

to top management and legal counsel for quick resolution, keeping in mind that 

unduly defensive or legalistic responses that result in restricting the amount of 

information that is provided can damage or destroy the risk communication process. 

Your communication staff may find the following steps helpful in addressing the 

priority issues in the communication process: 

Prior to RMP Submittal 

g Enlist employee support for, and involvement in, the communication 

process. 

g Build on work you have done with your LEPC, fire department, and local 

officials, and gain their insights. 

g Incorporate technical expertise, management commitment, and employee 

involvement in the risk communication process. 

g Use your RMP's executive summary to begin the dialogue with the 

community; be sure you have taken all of the steps you present. 

g Taking a community perspective, identify which data elements need to be 

clarified, interpreted, or amplified, and which are most likely to raise 

community concerns; then compile the information needed to respond and 

determine the most understandable methods (e.g., use of graphics) for 

presenting the information. 

At Submittal 

g Review the RMP to assure that you are familiar with its data elements and 

how they were developed. In particular, review the hazard assessment, 

prevention, and response program features, as well as documentation of the 

methods, data, and assumptions used, especially if an outside consultant 

performed the analyses and developed these materials. You have certified 

their accuracy and your spokesperson should know them intimately, as they 

reflect your plan. 

g Review your performance in implementing the prevention and response 

programs and prepare to discuss problems identified and actions taken. 

g Review your performance in investigating accidents and prepare to discuss 

any corrective actions that followed. 

July 1998 
Chapter 11 

Communication with the Public 11-16 

Other Steps 

g Identify the most likely concerns about risks identified in the RMP but not 

fully addressed, consult with management and safety engineering, and 

determine additional measures the organization will take to resolve these 

concerns. 

g Avoid misrepresentations and minimize the roles of public relations 

specialists. 

g Identify "best communication practices" (as described in the next section) 

and plan how to use them. 

USE "BEST COMMUNICATION PRACTICES" 

Many facilities already have gained considerable experience in communicating with 

the public. Lessons from their experiences are described below. However, the value 

of these best practices and your credibility will depend on your facility's possession 

and ongoing demonstration of certain essential qualities: 

g Top management commitment (e.g., owner and facility manager) to 

improving safety 

g Honesty, openness, and concern for the community 

g Respect for public concerns and perceptions 

g Commitment to maintaining a dialogue with all sectors of the community, to 

learning from this dialogue, and to being prepared to change your practices 

to make your facility more safe 

g Commitment to continuous improvement through internal procedures for 

evaluating incidents and promoting organizational learning 

g Knowledge of safety issues and safety management methods 

g Good working relationships with the LEPC, fire department, and other local 

officials 

g Active support for the LEPC and related activities 

g Employee support and commitment 

g Continuation of commitment despite potential public hostility or mistrust 

Another note: Because each facility and community involves a unique combination 

of factors, the practices used to achieve good risk communication in one case do not 

necessarily ensure the same quality result when used in another case. Therefore, 

July 1998 
Chapter 11 

11-17 Communication with the Public 

while it is advisable for you to review such experience to identify "best 

communication practices," you should carefully evaluate such practices to determine 

if they can be adapted to fit your unique circumstances. For example, if your facility 

is in the middle of an urban area, you probably will use different approaches than 

you would use if it were located in an industrial area far from any residential 

populations. These practices are complementary approaches to delivering your risk 

management message and responding to the concerns of the community. 

With these cautions in mind, a number of "best" practices are outlined below for 

consideration. First, you will want to establish formal channels for 

information-sharing and communication with stakeholders. The most basic 

approaches include the following: 

g Convene public meetings for discussion and dialogue regarding your risk 

management program and RMP and take steps to have the facility owner or 

manager and all sectors of the community participate, including minorities 

and low-income residents. 

g Arrange meetings with local media representatives to facilitate their 

understanding of your risk management program and the program summary 

presented in your RMP. 

g Establish a repository of information on safety matters for the LEPC and the 

public and, if electronic, provide software for public use. Some 

organizations also have provided computer terminals for public use in the 

community library or fire department. 

Other, more resource-intensive activities of this type to consider include the 

following: 

g Create and convene focus groups (small working groups) to facilitate 

dialogue and action on specific concerns, including technical matters, and 

take steps to assure that membership in each group reflects a cross section of 

the community and includes technically trained persons (e.g., engineers, 

medical professionals). 

g Hold seminars on hypothetical release scenarios, prevention and response 

programs, applicable standards and industry practices, analytic methods and 

models (e.g., on dispersion of airborne releases, health effects of airborne 

concentrations), and other matters of special concern or complexity. 

g Convene special meetings to foster dialogue and collaborations with the 

LEPC and the fire department and to establish a mutual assistance network 

with other facility managers in the community or region. 

g Establish hot lines for telephone and e-mail communications between 

interested parties and your designated risk communication staff and, if 

feasible, a web site for posting useful information. 

July 1998 
Chapter 11 

Communication with the Public 11-18 

In all of these efforts, remember to use plain language and commonly understood 

terms; avoid the use of acronyms and technical and legal jargon. In addition, 

depending on your audience, keep in mind that the preparation of multilingual 

materials may be useful or even necessary. 

Secondly, you may want to initiate or expand programs that more directly involve 

the community in your operations and safety programs. Traditional approaches 

include the following: 

g Arrange facility tours so that members of the public can view operations and 

discuss safety procedures with supervisors and employees. 

g Schedule drills and simulations of incidents to demonstrate how prevention 

and response programs work, with participation by community responders 

and other organizations (e.g., neighboring companies). 

g Conduct a “Safety Street” - a community forum generally sponsored by 

several industries in a locality, where your representatives present facility 

safety information, explain risks, and respond to public questions (see 

Section 11.4 for a reference to more information on this program). 

g Periodically reaffirm and demonstrate your commitment to safety in 

accordance with and beyond regulatory requirements and present data on 

your safety performance, using appropriate benchmarks or measures, in 

newsletters and by posting the information at your web site. 

g Publicly honor and reward managers and employees who have performed 

safety responsibilities in superior fashion and citizens who have made 

important contributions to the dialogue on safety. 

If community interest is significant, you may also want to consider the following 

activities: 

g Invite public participation in monitoring implementation of your risk 

management program elements. 

g Invite public participation in auditing your performance in safety 

responsibilities, such as chemical handling and tracking procedures and 

analysis and follow-up on accidents and near misses. 

g Organize a committee comprised of representatives from the facility, other 

industry, emergency planning and response organizations, and community 

groups and chaired by a community leader to independently evaluate your 

safety and communication efforts (e.g., a Community Advisory Panel). You 

may also want to finance the committee to pay for an independent 

engineering consultant to assist with technical issues and learn what can be 

done to improve safety, and thereby share control with the community. 

July 1998 
Chapter 11 

11-19 Communication with the Public 

Your communication staff should review these examples, consider designing their 

own activities as well as joint efforts with other local organizations, and ultimately 

decide with the community on which set of practices are feasible and can best create 

a healthy risk communication process in your community. Once these decisions are 

made, you may want to integrate the chosen set of practices in an overall 

communication program for your facility, transform some into standard procedures, 

and monitor and evaluate them for continuous improvement. 

OTHER COMMUNICATION OPPORTUNITIES 

By complying with the RMP rule and participating in the communications process 

with the community, you should have developed a comprehensive system for 

preventing, mitigating, and responding to chemical accidents at your facility. Why 

not share this knowledge with your staff, others you do business with (e.g., 

customers, distributors, contractors), and, perhaps through industry groups, others in 

your industry? If you transfer this knowledge to others, you can help improve their 

chemical safety management capabilities, enhance public safety beyond your 

community, and possibly gain economic benefits for your organization. 

11.4 FOR MORE INFORMATION 

Among the numerous publications on risk communication, the following may be 

particularly helpful: 

g Improving Risk Communication, National Academy Press, Washington, 

D.C., 1989 

g "Safety Street" and other materials on the Kanawha Valley Demonstration 

Program, Chemical Manufacturers Association, Arlington, VA 

g Community Awareness and Emergency Response Code of Management 

Practices and various Guidance, Chemical Manufacturers Association, 

Arlington, VA 

g Communicating Risks to the Public, R. Kasperson and P. Stallen, eds., 

Kluwer Publishing Co., 1991 

g "Challenges in Risk and Safety Communication with the Public,” S. Maher, 

Risk Management Professionals, Mission Viejo, CA, April 1996 

g Primer on Health Risk Communication Principles and Practices, Agency for 

Toxic Substances and Disease Registry, on the World Wide Web at 

atsdr1.atsdr.cdc.gov:8080 

g Risk Communication about Chemicals in Your Community: A Manual for 

Local Officials, US Environmental Protection Agency, EPA 

EPCRA/Superfund/RCRA/CAA Hotline 

July 1998 
Chapter 11 

Communication with the Public 11-20 

g Risk Communication about Chemicals in Your Community: Facilitator's 

Manual and Guide, US Environmental Protection Agency, EPA 

EPCRA/Superfund/RCRA/CAA Hotline 

g Chemicals, the Press, and the Public: A Journalist's Guide to Reporting on 

Chemicals in the Community, US Environmental Protection Agency, EPA 

EPCRA/Superfund/RCRA/CAA Hotline 

July 1998 
Appendix A

40 CFR part 68

Pt. 67, App. A 

local agent, any noncompliance penalties owed by the source owner or operator shall be paid to the State or 

local agent. 

APPENDIX A TO PART 67—TECHNICAL 

SUPPORT DOCUMENT 

NOTE: EPA will make copies of appendix A 

available from: Director, Stationary Source 

Compliance Division, EN–341, 401 M Street, 

SW., Washington, DC 20460. 

[54 FR 25259, June 20, 1989] 

APPENDIX B TO PART 67—INSTRUCTION 

MANUAL 

NOTE: EPA will make copies of appendix B 

available from: Director, Stationary Source 

Compliance Division, EN–341, 401 M Street, 

SW., Washington, DC 20460. 

[54 FR 25259, June 20, 1989] 

APPENDIX C TO PART 67—COMPUTER 

PROGRAM 

NOTE: EPA will make copies of appendix C 

available from: Director, Stationary Source 

Compliance Division, EN–341, 401 M Street, 

SW., Washington, DC 20460. 

[54 FR 25259, June 20, 1989] 

PART 68—CHEMICAL ACCIDENT


PREVENTION PROVISIONS


Subpart A—General 

Sec. 

68.1 Scope. 

68.2 Stayed provisions. 

68.3 Definitions. 

68.10 Applicability. 

68.12 General requirements. 

68.15 Management. 

Subpart B—Hazard Assessment 

68.20 Applicability. 

68.22	 Offsite consequence analysis parameters. 

68.25 Worst-case release scenario analysis. 

68.28 Alternative release scenario analysis. 

68.30 Defining offsite impacts—population. 

68.33	 Defining offsite impacts—environment. 

68.36 Review and update. 

68.39 Documentation. 

68.42 Five-year accident history. 

Subpart C—Program 2 Prevention Program 

68.48 Safety information. 

68.50 Hazard review. 

68.52 Operating procedures. 

68.54 Training. 

40 CFR Ch. I (7–1–99 Edition) 

68.56 Maintenance. 

68.58 Compliance audits. 

68.60 Incident investigation. 

Subpart D—Program 3 Prevention Program 

68.65 Process safety information. 

68.67 Process hazard analysis. 

68.69 Operating procedures. 

68.71 Training. 

68.73 Mechanical integrity. 

68.75 Management of change. 

68.77 Pre-startup review. 

68.79 Compliance audits. 

68.81 Incident investigation. 

68.83 Employee participation. 

68.85 Hot work permit. 

68.87 Contractors. 

Subpart E—Emergency Response 

68.90 Applicability. 

68.95 Emergency response program. 

Subpart F—Regulated Substances for


Accidental Release Prevention


68.100 Purpose. 

68.115 Threshold determination. 

68.120 Petition process. 

68.125 Exemptions. 

68.130 List of substances. 

Subpart G—Risk Management Plan 

68.150 Submission. 

68.151	 Assertion of claims of confidential 

business information. 

68.152	 Substantiating claims of confidential 

business information. 

68.155 Executive summary. 

68.160 Registration. 

68.165 Offsite consequence analysis. 

68.168 Five-year accident history. 

68.170 Prevention program/Program 2. 

68.175 Prevention program/Program 3. 

68.180 Emergency response program. 

68.185 Certification. 

68.190 Updates. 

Subpart H—Other Requirements 

68.200 Recordkeeping. 

68.210	 Availability of information to the 

public. 

68.215	 Permit content and air permitting 

authority or designated agency requirements. 

68.220 Audits. 

APPENDIX A TO PART 68—TABLE OF TOXIC 

ENDPOINTS 

AUTHORITY: 42 U.S.C. 7412(r), 7601(a)(1), 

7661–7661f. 

SOURCE: 59 FR 4493, Jan. 31, 1994, unless 

otherwise noted. 

36

Environmental Protection Agency 

Subpart A—General 

§ 68.1 Scope. 

This part sets forth the list of regulated substances and thresholds, the 

petition process for adding or deleting 

substances to the list of regulated substances, the requirements for owners or 

operators of stationary sources concerning the prevention of accidental 

releases, and the State accidental release prevention programs approved 

under section 112(r). The list of substances, threshold quantities, and accident prevention regulations promulgated under this part do not limit in 

any way the general duty provisions 

under section 112(r)(1). 

§ 68.2 Stayed provisions. 

(a) Notwithstanding any other provision of this part, the effectiveness of 

the following provisions is stayed from 

March 2, 1994 to December 22, 1997. 

(1) In Sec. 68.3, the definition of ‘‘stationary source,’’ to the extent that 

such definition includes naturally occurring hydrocarbon reservoirs or 

transportation subject to oversight or 

regulation under a state natural gas or 

hazardous liquid program for which the 

state has in effect a certification to 

DOT under 49 U.S.C. 60105; 

(2) Section 68.115(b)(2) of this part, to 

the extent that such provision requires 

an owner or operator to treat as a regulated flammable substance: 

(i) Gasoline, when in distribution or 

related storage for use as fuel for internal combustion engines; 

(ii) Naturally occurring hydrocarbon 

mixtures prior to entry into a petroleum refining process unit or a natural 

gas processing plant. Naturally occurring hydrocarbon mixtures include any 

of the following: condensate, crude oil, 

field gas, and produced water, each as 

defined in paragraph (b) of this section; 

(iii) Other mixtures that contain a 

regulated flammable substance and 

that do not have a National Fire Protection Association flammability hazard rating of 4, the definition of which 

is in the NFPA 704, Standard System 

for the Identification of the Fire Hazards of Materials, National Fire Protection Association, Quincy, MA, 1990, 

available from the National Fire Pro­

§ 68.2 

tection Association, 1 Batterymarch 

Park, Quincy, MA 02269–9101; and 

(3) Section 68.130(a). 

(b) From March 2, 1994 to December 

22, 1997, the following definitions shall 

apply to the stayed provisions described in paragraph (a) of this section: 

Condensate means hydrocarbon liquid 

separated from natural gas that condenses because of changes in temperature, pressure, or both, and remains 

liquid at standard conditions. 

Crude oil means any naturally occurring, unrefined petroleum liquid. 

Field gas means gas extracted from a 

production well before the gas enters a 

natural gas processing plant. 

Natural gas processing plant means 

any processing site engaged in the extraction of natural gas liquids from 

field gas, fractionation of natural gas 

liquids to natural gas products, or 

both. A separator, dehydration unit, 

heater treater, sweetening unit, compressor, or similar equipment shall not 

be considered a ‘‘processing site’’ unless such equipment is physically located within a natural gas processing 

plant (gas plant) site. 

Petroleum refining process unit means 

a process unit used in an establishment 

primarily engaged in petroleum refining as defined in the Standard Industrial Classification code for petroleum 

refining (2911) and used for the following: Producing transportation fuels 

(such as gasoline, diesel fuels, and jet 

fuels), heating fuels (such as kerosene, 

fuel gas distillate, and fuel oils), or lubricants; separating petroleum; or separating, cracking, reacting, or reforming intermediate petroleum streams. 

Examples of such units include, but are 

not limited to, petroleum based solvent 

units, alkylation units, catalytic 

hydrotreating, catalytic hydrorefining, 

catalytic hydrocracking, catalytic reforming, catalytic cracking, crude distillation, lube oil processing, hydrogen 

production, isomerization, polymerization, thermal processes, and blending, 

sweetening, and treating processes. Petroleum refining process units include 

sulfur plants. 

Produced water means water extracted from the earth from an oil or 

natural gas production well, or that is 

separated from oil or natural gas after 

extraction. 

37

§ 68.3 

(c) Notwithstanding any other provision of this part, the effectiveness of 

part 68 is stayed from June 21, 1999 to 

December 21, 1999 with respect to regulated flammable hydrocarbon substances when the substance is intended 

for use as a fuel and does not exceed 

67,000 pounds in a process that is not 

manufacturing the fuel, does not contain greater than a threshold quantity 

of another regulated substance, and is 

not collocated or interconnected to another covered process. 

[59 FR 4493, Jan. 31, 1994, as amended at 61 

FR 31731, June 20, 1996; 64 FR 29170, May 28, 

1999] 

§ 68.3 Definitions. 

For the purposes of this part: 

Accidental release means an unanticipated emission of a regulated substance or other extremely hazardous 

substance into the ambient air from a 

stationary source. 

Act means the Clean Air Act as 

amended (42 U.S.C. 7401 et seq.) 

Administrative controls mean written 

procedural mechanisms used for hazard 

control. 

Administrator means the administrator of the U.S. Environmental Protection Agency. 

AIChE/CCPS means the American Institute of Chemical Engineers/Center 

for Chemical Process Safety. 

API means the American Petroleum 

Institute. 

Article means a manufactured item, 

as defined under 29 CFR 1910.1200(b), 

that is formed to a specific shape or design during manufacture, that has end 

use functions dependent in whole or in 

part upon the shape or design during 

end use, and that does not release or 

otherwise result in exposure to a regulated substance under normal conditions of processing and use. 

ASME means the American Society 

of Mechanical Engineers. 

CAS means the Chemical Abstracts 

Service. 

Catastrophic release means a major 

uncontrolled emission, fire, or explosion, involving one or more regulated 

substances that presents imminent and 

substantial endangerment to public 

health and the environment. 

Classified information means ‘‘classified information’’ as defined in the 

40 CFR Ch. I (7–1–99 Edition) 

Classified Information Procedures Act, 

18 U.S.C. App. 3, section 1(a) as ‘‘any 

information or material that has been 

determined by the United States Government pursuant to an executive 

order, statute, or regulation, to require 

protection against unauthorized disclosure for reasons of national security.’’ 

Condensate means hydrocarbon liquid 

separated from natural gas that condenses due to changes in temperature, 

pressure, or both, and remains liquid at 

standard conditions. 

Covered process means a process that 

has a regulated substance present in 

more than a threshold quantity as determined under § 68.115. 

Crude oil means any naturally occurring, unrefined petroleum liquid. 

Designated agency means the state, 

local, or Federal agency designated by 

the state under the provisions of 

§ 68.215(d) . 

DOT means the United States Department of Transportation. 

Environmental receptor means natural 

areas such as national or state parks, 

forests, or monuments; officially designated wildlife sanctuaries, preserves, 

refuges, or areas; and Federal wilderness areas, that could be exposed at 

any time to toxic concentrations, radiant heat, or overpressure greater than 

or equal to the endpoints provided in 

§ 68.22(a) , as a result of an accidental 

release and that can be identified on 

local U. S. Geological Survey maps. 

Field gas means gas extracted from a 

production well before the gas enters a 

natural gas processing plant. 

Hot work means work involving electric or gas welding, cutting, brazing, or 

similar flame or spark-producing operations. 

Implementing agency means the state 

or local agency that obtains delegation 

for an accidental release prevention 

program under subpart E, 40 CFR part 

63. The implementing agency may, but 

is not required to, be the state or local 

air permitting agency. If no state or 

local agency is granted delegation, 

EPA will be the implementing agency 

for that state. 

Injury means any effect on a human 

that results either from direct exposure to toxic concentrations; radiant 

heat; or overpressures from accidental 

38

Environmental Protection Agency 

releases or from the direct consequences of a vapor cloud explosion 

(such as flying glass, debris, and other 

projectiles) from an accidental release 

and that requires medical treatment or 

hospitalization. 

Major change means introduction of a 

new process, process equipment, or regulated substance, an alteration of process chemistry that results in any 

change to safe operating limits, or 

other alteration that introduces a new 

hazard. 

Mechanical integrity means the process of ensuring that process equipment 

is fabricated from the proper materials 

of construction and is properly installed, maintained, and replaced to 

prevent failures and accidental releases. 

Medical treatment means treatment, 

other than first aid, administered by a 

physician or registered professional 

personnel under standing orders from a 

physician. 

Mitigation or mitigation system means 

specific activities, technologies, or 

equipment designed or deployed to capture or control substances upon loss of 

containment to minimize exposure of 

the public or the environment. Passive 

mitigation means equipment, devices, 

or technologies that function without 

human, mechanical, or other energy 

input. Active mitigation means equipment, devices, or technologies that 

need human, mechanical, or other energy input to function. 

NAICS means North American Industry Classification System. 

NFPA means the National Fire Protection Association. 

Natural gas processing plant (gas plant) 

means any processing site engaged in 

the extraction of natural gas liquids 

from field gas, fractionation of mixed 

natural gas liquids to natural gas products, or both, classified as North American Industrial Classification System 

(NAICS) code 211112 (previously Standard Industrial Classification (SIC) code 

1321). 

Offsite means areas beyond the property boundary of the stationary source, 

and areas within the property boundary to which the public has routine and 

unrestricted access during or outside 

business hours. 

§ 68.3 

OSHA means the U.S. Occupational 

Safety and Health Administration. 

Owner or operator means any person 

who owns, leases, operates, controls, or 

supervises a stationary source. 

Petroleum refining process unit means 

a process unit used in an establishment 

primarily engaged in petroleum refining as defined in NAICS code 32411 for 

petroleum refining (formerly SIC code 

2911) and used for the following: Producing transportation fuels (such as 

gasoline, diesel fuels, and jet fuels), 

heating fuels (such as kerosene, fuel 

gas distillate, and fuel oils), or lubricants; Separating petroleum; or Separating, cracking, reacting, or reforming intermediate petroleum streams. 

Examples of such units include, but are 

not limited to, petroleum based solvent 

units, alkylation units, catalytic 

hydrotreating, catalytic hydrorefining, 

catalytic hydrocracking, catalytic reforming, catalytic cracking, crude distillation, lube oil processing, hydrogen 

production, isomerization, polymerization, thermal processes, and blending, 

sweetening, and treating processes. Petroleum refining process units include 

sulfur plants. 

Population means the public. 

Process means any activity involving 

a regulated substance including any 

use, storage, manufacturing, handling, 

or on-site movement of such substances, or combination of these activities. For the purposes of this definition, any group of vessels that are 

interconnected, or separate vessels 

that are located such that a regulated 

substance could be involved in a potential release, shall be considered a single process. 

Produced water means water extracted from the earth from an oil or 

natural gas production well, or that is 

separated from oil or natural gas after 

extraction. 

Public means any person except employees or contractors at the stationary source. 

Public receptor means offsite residences, institutions (e.g., schools, hospitals), industrial, commercial, and office buildings, parks, or recreational 

areas inhabited or occupied by the public at any time without restriction by 

the stationary source where members 

of the public could be exposed to toxic 

39

§ 68.10 

concentrations, radiant heat, or overpressure, as a result of an accidental 

release. 

Regulated substance is any substance 

listed pursuant to section 112(r)(3) of 

the Clean Air Act as amended, in 

§ 68.130. 

Replacement in kind means a replacement that satisfies the design specifications. 

RMP means the risk management 

plan required under subpart G of this 

part. 

Stationary source means any buildings, structures, equipment, installations, or substance emitting stationary 

activities which belong to the same industrial group, which are located on 

one or more contiguous properties, 

which are under the control of the 

same person (or persons under common 

control), and from which an accidental 

release may occur. The term stationary source does not apply to transportation, including storage incident 

to transportation, of any regulated 

substance or any other extremely hazardous substance under the provisions 

of this part. A stationary source includes transportation containers used 

for storage not incident to transportation and transportation containers 

connected to equipment at a stationary 

source for loading or unloading. Transportation includes, but is not limited 

to, transportation subject to oversight 

or regulation under 49 CFR parts 192, 

193, or 195, or a state natural gas or 

hazardous liquid program for which the 

state has in effect a certification to 

DOT under 49 U.S.C. section 60105. A 

stationary source does not include naturally occurring hydrocarbon reservoirs. Properties shall not be considered contiguous solely because of a 

railroad or pipeline right-of-way. 

Threshold quantity means the quantity specified for regulated substances 

pursuant to section 112(r)(5) of the 

Clean Air Act as amended, listed in 

§ 68.130 and determined to be present at 

a stationary source as specified in 

§ 68.115 of this part. 

Typical meteorological conditions 

means the temperature, wind speed, 

cloud cover, and atmospheric stability 

class, prevailing at the site based on 

data gathered at or near the site or 

from a local meteorological station. 

40 CFR Ch. I (7–1–99 Edition) 

Vessel means any reactor, tank, 

drum, barrel, cylinder, vat, kettle, 

boiler, pipe, hose, or other container. 

Worst-case release means the release 

of the largest quantity of a regulated 

substance from a vessel or process line 

failure that results in the greatest distance to an endpoint defined in 

§ 68.22(a). 

[59 FR 4493, Jan. 31, 1994, as amended at 61 

FR 31717, June 20, 1996; 63 FR 644, Jan. 6, 1998; 

64 FR 979, Jan. 6, 1999] 

§ 68.10 Applicability. 

(a) An owner or operator of a stationary source that has more than a 

threshold quantity of a regulated substance in a process, as determined 

under § 68.115, shall comply with the requirements of this part no later than 

the latest of the following dates: 

(1) June 21, 1999; 

(2) Three years after the date on 

which a regulated substance is first 

listed under § 68.130; or 

(3) The date on which a regulated 

substance is first present above a 

threshold quantity in a process. 

(b) Program 1 eligibility requirements. A covered process is eligible for 

Program 1 requirements as provided in 

§ 68.12(b) if it meets all of the following 

requirements: 

(1) For the five years prior to the 

submission of an RMP, the process has 

not had an accidental release of a regulated substance where exposure to the 

substance, its reaction products, overpressure generated by an explosion involving the substance, or radiant heat 

generated by a fire involving the substance led to any of the following offsite: 

(i) Death; 

(ii) Injury; or 

(iii) Response or restoration activities for an exposure of an environmental receptor; 

(2) The distance to a toxic or flammable endpoint for a worst-case release 

assessment conducted under Subpart B 

and § 68.25 is less than the distance to 

any public receptor, as defined in 

§ 68.30; and 

(3) Emergency response procedures 

have been coordinated between the stationary source and local emergency 

planning and response organizations. 

40

Environmental Protection Agency 

(c) Program 2 eligibility requirements. A covered process is subject to 

Program 2 requirements if it does not 

meet the eligibility requirements of either paragraph (b) or paragraph (d) of 

this section. 

(d) Program 3 eligibility requirements. A covered process is subject to 

Program 3 if the process does not meet 

the requirements of paragraph (b) of 

this section, and if either of the following conditions is met: 

(1) The process is in NAICS code 

32211, 32411, 32511, 325181, 325188, 325192, 

325199, 325211, 325311, or 32532; or 

(2) The process is subject to the 

OSHA process safety management 

standard, 29 CFR 1910.119. 

(e) If at any time a covered process 

no longer meets the eligibility criteria 

of its Program level, the owner or operator shall comply with the requirements of the new Program level that 

applies to the process and update the 

RMP as provided in § 68.190. 

(f) The provisions of this part shall 

not apply to an Outer Continental 

Shelf (‘‘OCS’’) source, as defined in 40 

CFR 55.2. 

[61 FR 31717, June 20, 1996, as amended at 63 

FR 645, Jan. 6, 1998; 64 FR 979, Jan. 6, 1999] 

§ 68.12 General requirements. 

(a) General requirements. The owner 

or operator of a stationary source subject to this part shall submit a single 

RMP, as provided in §§ 68.150 to 68.185. 

The RMP shall include a registration 

that reflects all covered processes. 

(b) Program 1 requirements. In addition to meeting the requirements of 

paragraph (a) of this section, the owner 

or operator of a stationary source with 

a process eligible for Program 1, as provided in § 68.10(b), shall: 

(1) Analyze the worst-case release 

scenario for the process(es), as provided 

in § 68.25; document that the nearest 

public receptor is beyond the distance 

to a toxic or flammable endpoint defined in § 68.22(a); and submit in the 

RMP the worst-case release scenario as 

provided in § 68.165; 

(2) Complete the five-year accident 

history for the process as provided in 

§ 68.42 of this part and submit it in the 

RMP as provided in § 68.168; 

§ 68.12 

(3) Ensure that response actions have 

been coordinated with local emergency 

planning and response agencies; and 

(4) Certify in the RMP the following: 

‘‘Based on the criteria in 40 CFR 68.10, 

the distance to the specified endpoint 

for the worst-case accidental release 

scenario for the following process(es) is 

less than the distance to the nearest 

public receptor: [list process(es)]. Within the past five years, the process(es) 

has (have) had no accidental release 

that caused offsite impacts provided in 

the risk management program rule (40 

CFR 68.10(b)(1)). No additional measures are necessary to prevent offsite 

impacts from accidental releases. In 

the event of fire, explosion, or a release 

of a regulated substance from the process(es), entry within the distance to 

the specified endpoints may pose a danger to public emergency responders. 

Therefore, public emergency responders should not enter this area except as 

arranged with the emergency contact 

indicated in the RMP. The undersigned 

certifies that, to the best of my knowledge, information, and belief, formed 

after reasonable inquiry, the information submitted is true, accurate, and 

complete. [Signature, title, date 

signed].’’ 

(c) Program 2 requirements. In addition to meeting the requirements of 

paragraph (a) of this section, the owner 

or operator of a stationary source with 

a process subject to Program 2, as provided in § 68.10(c), shall: 

(1) Develop and implement a management system as provided in § 68.15; 

(2) Conduct a hazard assessment as 

provided in §§ 68.20 through 68.42; 

(3) Implement the Program 2 prevention steps provided in §§ 68.48 through 

68.60 or implement the Program 3 prevention steps provided in §§ 68.65 

through 68.87; 

(4) Develop and implement an emergency response program as provided in 

§§ 68.90 to 68.95; and 

(5) Submit as part of the RMP the 

data on prevention program elements 

for Program 2 processes as provided in 

§ 68.170. 

(d) Program 3 requirements. In addition to meeting the requirements of 

paragraph (a) of this section, the owner 

or operator of a stationary source with 

41

§ 68.15 

a process subject to Program 3, as provided in § 68.10(d) shall: 

(1) Develop and implement a management system as provided in § 68.15; 

(2) Conduct a hazard assessment as 

provided in §§ 68.20 through 68.42; 

(3) Implement the prevention requirements of §§ 68.65 through 68.87; 

(4) Develop and implement an emergency response program as provided in 

§§ 68.90 to 68.95 of this part; and 

(5) Submit as part of the RMP the 

data on prevention program elements 

for Program 3 processes as provided in 

§ 68.175. 

[61 FR 31718, June 20, 1996] 

§ 68.15 Management. 

(a) The owner or operator of a stationary source with processes subject 

to Program 2 or Program 3 shall develop a management system to oversee 

the implementation of the risk management program elements. 

(b) The owner or operator shall assign a qualified person or position that 

has the overall responsibility for the 

development, implementation, and integration of the risk management program elements. 

(c) When responsibility for implementing individual requirements of 

this part is assigned to persons other 

than the person identified under paragraph (b) of this section, the names or 

positions of these people shall be documented and the lines of authority defined through an organization chart or 

similar document. 

[61 FR 31718, June 20, 1996] 

Subpart B—Hazard Assessment 

SOURCE: 61 FR 31718, June 20, 1996, unless 

otherwise noted. 

§ 68.20 Applicability. 

The owner or operator of a stationary source subject to this part 

shall prepare a worst-case release scenario analysis as provided in § 68.25 of 

this part and complete the five-year 

accident history as provided in § 68.42. 

The owner or operator of a Program 2 

and 3 process must comply with all sections in this subpart for these processes. 

40 CFR Ch. I (7–1–99 Edition) 

§ 68.22 Offsite consequence analysis 

parameters. 

(a) Endpoints. For analyses of offsite 

consequences, the following endpoints 

shall be used: 

(1) Toxics. The toxic endpoints provided in appendix A of this part. 

(2) Flammables. The endpoints for 

flammables vary according to the scenarios studied: 

(i) Explosion. An overpressure of 1 

psi. 

(ii) Radiant heat/exposure time. A radiant heat of 5 kw/m2 for 40 seconds. 

(iii) Lower flammability limit. A 

lower flammability limit as provided in 

NFPA documents or other generally 

recognized sources. 

(b) Wind speed/atmospheric stability 

class. For the worst-case release analysis, the owner or operator shall use a 

wind speed of 1.5 meters per second and 

F atmospheric stability class. If the 

owner or operator can demonstrate 

that local meteorological data applicable to the stationary source show a 

higher minimum wind speed or less stable atmosphere at all times during the 

previous three years, these minimums 

may be used. For analysis of alternative scenarios, the owner or operator 

may use the typical meteorological 

conditions for the stationary source. 

(c) Ambient temperature/humidity. 

For worst-case release analysis of a 

regulated toxic substance, the owner or 

operator shall use the highest daily 

maximum temperature in the previous 

three years and average humidity for 

the site, based on temperature/humidity data gathered at the stationary 

source or at a local meteorological station; an owner or operator using the 

RMP Offsite Consequence Analysis 

Guidance may use 25 °C and 50 percent 

humidity as values for these variables. 

For analysis of alternative scenarios, 

the owner or operator may use typical 

temperature/humidity data gathered at 

the stationary source or at a local meteorological station. 

(d) Height of release. The worst-case 

release of a regulated toxic substance 

shall be analyzed assuming a ground 

level (0 feet) release. For an alternative 

scenario analysis of a regulated toxic 

substance, release height may be determined by the release scenario. 

42

Environmental Protection Agency 

(e) Surface roughness. The owner or 

operator shall use either urban or rural 

topography, as appropriate. Urban 

means that there are many obstacles in 

the immediate area; obstacles include 

buildings or trees. Rural means there 

are no buildings in the immediate area 

and the terrain is generally flat and 

unobstructed. 

(f) Dense or neutrally buoyant gases. 

The owner or operator shall ensure 

that tables or models used for dispersion analysis of regulated toxic substances appropriately account for gas 

density. 

(g) Temperature of released substance. For worst case, liquids other 

than gases liquified by refrigeration 

only shall be considered to be released 

at the highest daily maximum temperature, based on data for the previous three years appropriate for the 

stationary source, or at process temperature, whichever is higher. For alternative scenarios, substances may be 

considered to be released at a process 

or ambient temperature that is appropriate for the scenario. 

§ 68.25 Worst-case release scenario 

analysis. 

(a) The owner or operator shall analyze and report in the RMP: 

(1) For Program 1 processes, one 

worst-case release scenario for each 

Program 1 process; 

(2) For Program 2 and 3 processes: 

(i) One worst-case release scenario 

that is estimated to create the greatest 

distance in any direction to an endpoint provided in appendix A of this 

part resulting from an accidental release of regulated toxic substances 

from covered processes under worstcase conditions defined in § 68.22; 

(ii) One worst-case release scenario 

that is estimated to create the greatest 

distance in any direction to an endpoint defined in § 68.22(a) resulting from 

an accidental release of regulated flammable substances from covered processes under worst-case conditions defined in § 68.22; and 

(iii) Additional worst-case release 

scenarios for a hazard class if a worstcase release from another covered process at the stationary source potentially 

affects public receptors different from 

those potentially affected by the worst­

§ 68.25 

case release scenario developed under 

paragraphs (a)(2)(i) or (a)(2)(ii) of this 

section. 

(b) Determination of worst-case release 

quantity. The worst-case release quantity shall be the greater of the following: 

(1) For substances in a vessel, the 

greatest amount held in a single vessel, 

taking into account administrative 

controls that limit the maximum quantity; or 

(2) For substances in pipes, the greatest amount in a pipe, taking into account administrative controls that 

limit the maximum quantity. 

(c) Worst-case release scenario—toxic 

gases. (1) For regulated toxic substances that are normally gases at ambient temperature and handled as a gas 

or as a liquid under pressure, the owner 

or operator shall assume that the 

quantity in the vessel or pipe, as determined under paragraph (b) of this section, is released as a gas over 10 minutes. The release rate shall be assumed 

to be the total quantity divided by 10 

unless passive mitigation systems are 

in place. 

(2) For gases handled as refrigerated 

liquids at ambient pressure: 

(i) If the released substance is not 

contained by passive mitigation systems or if the contained pool would 

have a depth of 1 cm or less, the owner 

or operator shall assume that the substance is released as a gas in 10 minutes; 

(ii) If the released substance is contained by passive mitigation systems 

in a pool with a depth greater than 1 

cm, the owner or operator may assume 

that the quantity in the vessel or pipe, 

as determined under paragraph (b) of 

this section, is spilled instantaneously 

to form a liquid pool. The volatilization rate (release rate) shall be calculated at the boiling point of the substance and at the conditions specified 

in paragraph (d) of this section. 

(d) Worst-case release scenario—toxic 

liquids. (1) For regulated toxic substances that are normally liquids at 

ambient temperature, the owner or operator shall assume that the quantity 

in the vessel or pipe, as determined 

under paragraph (b) of this section, is 

spilled instantaneously to form a liquid 

pool. 

43

§ 68.25 

(i) The surface area of the pool shall 

be determined by assuming that the 

liquid spreads to 1 centimeter deep unless passive mitigation systems are in 

place that serve to contain the spill 

and limit the surface area. Where passive mitigation is in place, the surface 

area of the contained liquid shall be 

used to calculate the volatilization 

rate. 

(ii) If the release would occur onto a 

surface that is not paved or smooth, 

the owner or operator may take into 

account the actual surface characteristics. 

(2) The volatilization rate shall account for the highest daily maximum 

temperature occurring in the past 

three years, the temperature of the 

substance in the vessel, and the concentration of the substance if the liquid spilled is a mixture or solution. 

(3) The rate of release to air shall be 

determined from the volatilization rate 

of the liquid pool. The owner or operator may use the methodology in the 

RMP Offsite Consequence Analysis 

Guidance or any other publicly available techniques that account for the 

modeling conditions and are recognized 

by industry as applicable as part of 

current practices. Proprietary models 

that account for the modeling conditions may be used provided the owner 

or operator allows the implementing 

agency access to the model and describes model features and differences 

from publicly available models to local 

emergency planners upon request. 

(e) Worst-case release scenario—flammable gases. The owner or operator 

shall assume that the quantity of the 

substance, as determined under paragraph (b) of this section and the provisions below, vaporizes resulting in a 

vapor cloud explosion. A yield factor of 

10 percent of the available energy released in the explosion shall be used to 

determine the distance to the explosion 

endpoint if the model used is based on 

TNT equivalent methods. 

(1) For regulated flammable substances that are normally gases at ambient temperature and handled as a gas 

or as a liquid under pressure, the owner 

or operator shall assume that the 

quantity in the vessel or pipe, as determined under paragraph (b) of this section, is released as a gas over 10 min40 CFR Ch. I (7–1–99 Edition) 

utes. The total quantity shall be assumed to be involved in the vapor 

cloud explosion. 

(2) For flammable gases handled as 

refrigerated liquids at ambient pressure: 

(i) If the released substance is not 

contained by passive mitigation systems or if the contained pool would 

have a depth of one centimeter or less, 

the owner or operator shall assume 

that the total quantity of the substance is released as a gas in 10 minutes, and the total quantity will be involved in the vapor cloud explosion. 

(ii) If the released substance is contained by passive mitigation systems 

in a pool with a depth greater than 1 

centimeter, the owner or operator may 

assume that the quantity in the vessel 

or pipe, as determined under paragraph 

(b) of this section, is spilled instantaneously to form a liquid pool. The volatilization rate (release rate) shall be 

calculated at the boiling point of the 

substance and at the conditions specified in paragraph (d) of this section. 

The owner or operator shall assume 

that the quantity which becomes vapor 

in the first 10 minutes is involved in 

the vapor cloud explosion. 

(f) Worst-case release scenario—flammable liquids. The owner or operator 

shall assume that the quantity of the 

substance, as determined under paragraph (b) of this section and the provisions below, vaporizes resulting in a 

vapor cloud explosion. A yield factor of 

10 percent of the available energy released in the explosion shall be used to 

determine the distance to the explosion 

endpoint if the model used is based on 

TNT equivalent methods. 

(1) For regulated flammable substances that are normally liquids at 

ambient temperature, the owner or operator shall assume that the entire 

quantity in the vessel or pipe, as determined under paragraph (b) of this section, is spilled instantaneously to form 

a liquid pool. For liquids at temperatures below their atmospheric boiling 

point, the volatilization rate shall be 

calculated at the conditions specified 

in paragraph (d) of this section. 

(2) The owner or operator shall assume that the quantity which becomes 

vapor in the first 10 minutes is involved in the vapor cloud explosion. 

44

Environmental Protection Agency 

(g) Parameters to be applied. The 

owner or operator shall use the parameters defined in § 68.22 to determine distance to the endpoints. The owner or 

operator may use the methodology provided in the RMP Offsite Consequence 

Analysis Guidance or any commercially or publicly available air dispersion modeling techniques, provided the 

techniques account for the modeling 

conditions and are recognized by industry as applicable as part of current 

practices. Proprietary models that account for the modeling conditions may 

be used provided the owner or operator 

allows the implementing agency access 

to the model and describes model features and differences from publicly 

available models to local emergency 

planners upon request. 

(h) Consideration of passive mitigation. 

Passive mitigation systems may be 

considered for the analysis of worst 

case provided that the mitigation system is capable of withstanding the release event triggering the scenario and 

would still function as intended. 

(i) Factors in selecting a worst-case scenario. Notwithstanding the provisions 

of paragraph (b) of this section, the 

owner or operator shall select as the 

worst case for flammable regulated 

substances or the worst case for regulated toxic substances, a scenario based 

on the following factors if such a scenario would result in a greater distance 

to an endpoint defined in § 68.22(a) beyond the stationary source boundary 

than the scenario provided under paragraph (b) of this section: 

(1) Smaller quantities handled at 

higher process temperature or pressure; and 

(2) Proximity to the boundary of the 

stationary source. 

[61 FR 31718, June 20, 1996, as amended at 64 

FR 28700, May 26, 1999] 

§ 68.28 Alternative release scenario 

analysis. 

(a) The number of scenarios. The 

owner or operator shall identify and 

analyze at least one alternative release 

scenario for each regulated toxic substance held in a covered process(es) and 

at least one alternative release scenario to represent all flammable substances held in covered processes. 

§ 68.28 

(b) Scenarios to consider. (1) For each 

scenario required under paragraph (a) 

of this section, the owner or operator 

shall select a scenario: 

(i) That is more likely to occur than 

the worst-case release scenario under 

§ 68.25; and 

(ii) That will reach an endpoint offsite, unless no such scenario exists. 

(2) Release scenarios considered 

should include, but are not limited to, 

the following, where applicable: 

(i) Transfer hose releases due to 

splits or sudden hose uncoupling; 

(ii) Process piping releases from failures at flanges, joints, welds, valves 

and valve seals, and drains or bleeds; 

(iii) Process vessel or pump releases 

due to cracks, seal failure, or drain, 

bleed, or plug failure; 

(iv) Vessel overfilling and spill, or 

overpressurization and venting through 

relief valves or rupture disks; and 

(v) Shipping container mishandling 

and breakage or puncturing leading to 

a spill. 

(c) Parameters to be applied. The 

owner or operator shall use the appropriate parameters defined in § 68.22 to 

determine distance to the endpoints. 

The owner or operator may use either 

the methodology provided in the RMP 

Offsite Consequence Analysis Guidance 

or any commercially or publicly available air dispersion modeling techniques, provided the techniques account for the specified modeling conditions and are recognized by industry as 

applicable as part of current practices. 

Proprietary models that account for 

the modeling conditions may be used 

provided the owner or operator allows 

the implementing agency access to the 

model and describes model features and 

differences from publicly available 

models to local emergency planners 

upon request. 

(d) Consideration of mitigation. Active and passive mitigation systems 

may be considered provided they are 

capable of withstanding the event that 

triggered the release and would still be 

functional. 

(e) Factors in selecting scenarios. 

The owner or operator shall consider 

the following in selecting alternative 

release scenarios: 

(1) The five-year accident history 

provided in § 68.42; and 

45

§ 68.30 

(2) Failure scenarios identified under 

§ 68.50 or § 68.67. 

§ 68.30 Defining offsite impacts—population. 

(a) The owner or operator shall estimate in the RMP the population within 

a circle with its center at the point of 

the release and a radius determined by 

the distance to the endpoint defined in 

§ 68.22(a). 

(b) Population to be defined. Population shall include residential population. The presence of institutions 

(schools, hospitals, prisons), parks and 

recreational areas, and major commercial, office, and industrial buildings 

shall be noted in the RMP. 

(c) Data sources acceptable. The owner 

or operator may use the most recent 

Census data, or other updated information, to estimate the population potentially affected. 

(d) Level of accuracy. Population shall 

be estimated to two significant digits. 

§ 68.33 Defining offsite impacts—environment. 

(a) The owner or operator shall list in 

the RMP environmental receptors 

within a circle with its center at the 

point of the release and a radius determined by the distance to the endpoint 

defined in § 68.22(a) of this part. 

(b) Data sources acceptable. The 

owner or operator may rely on information provided on local U.S. Geological Survey maps or on any data source 

containing U.S.G.S. data to identify 

environmental receptors. 

68.36 Review and update. 

(a) The owner or operator shall review and update the offsite consequence analyses at least once every 

five years. 

(b) If changes in processes, quantities 

stored or handled, or any other aspect 

of the stationary source might reasonably be expected to increase or decrease the distance to the endpoint by 

a factor of two or more, the owner or 

operator shall complete a revised analysis within six months of the change 

and submit a revised risk management 

plan as provided in § 68.190. 

40 CFR Ch. I (7–1–99 Edition) 

§ 68.39 Documentation. 

The owner or operator shall maintain 

the following records on the offsite 

consequence analyses: 

(a) For worst-case scenarios, a description of the vessel or pipeline and 

substance selected as worst case, assumptions and parameters used, and 

the rationale for selection; assumptions shall include use of any administrative controls and any passive mitigation that were assumed to limit the 

quantity that could be released. Documentation shall include the anticipated effect of the controls and mitigation on the release quantity and rate. 

(b) For alternative release scenarios, 

a description of the scenarios identified, assumptions and parameters used, 

and the rationale for the selection of 

specific scenarios; assumptions shall 

include use of any administrative controls and any mitigation that were assumed to limit the quantity that could 

be released. Documentation shall include the effect of the controls and 

mitigation on the release quantity and 

rate. 

(c) Documentation of estimated 

quantity released, release rate, and duration of release. 

(d) Methodology used to determine 

distance to endpoints. 

(e) Data used to estimate population 

and environmental receptors potentially affected. 

§ 68.42 Five-year accident history. 

(a) The owner or operator shall include in the five-year accident history 

all accidental releases from covered 

processes that resulted in deaths, injuries, or significant property damage on 

site, or known offsite deaths, injuries, 

evacuations, sheltering in place, property damage, or environmental damage. 

(b) Data required. For each accidental 

release included, the owner or operator 

shall report the following information: 

(1) Date, time, and approximate duration of the release; 

(2) Chemical(s) released; 

(3) Estimated quantity released in 

pounds and, for mixtures containing 

regulated toxic substances, percentage 

concentration by weight of the released 

regulated toxic substance in the liquid 

mixture; 

46

Environmental Protection Agency 

(4) Five- or six-digit NAICS code that 

most closely corresponds to the process; 

(5) The type of release event and its 

source; 

(6) Weather conditions, if known; 

(7) On-site impacts; 

(8) Known offsite impacts; 

(9) Initiating event and contributing 

factors if known; 

(10) Whether offsite responders were 

notified if known; and 

(11) Operational or process changes 

that resulted from investigation of the 

release. 

(c) Level of accuracy. Numerical estimates may be provided to two significant digits. 

[61 FR 31718, June 20, 1996, as amended at 64 

FR 979, Jan. 6, 1999] 

Subpart C—Program 2 Prevention

Program 

SOURCE: 61 FR 31721, June 20, 1996, unless 

otherwise noted. 

§ 68.48 Safety information. 

(a) The owner or operator shall compile and maintain the following up-todate safety information related to the 

regulated substances, processes, and 

equipment: 

(1) Material Safety Data Sheets that 

meet the requirements of 29 CFR 

1910.1200(g); 

(2) Maximum intended inventory of 

equipment in which the regulated substances are stored or processed; 

(3) Safe upper and lower temperatures, pressures, flows, and compositions; 

(4) Equipment specifications; and 

(5) Codes and standards used to design, build, and operate the process. 

(b) The owner or operator shall ensure that the process is designed in 

compliance with recognized and generally accepted good engineering practices. Compliance with Federal or state 

regulations that address industry-specific safe design or with industry-specific design codes and standards may be 

used to demonstrate compliance with 

this paragraph. 

(c) The owner or operator shall update the safety information if a major 

§ 68.52 

change occurs that makes the information inaccurate. 

§ 68.50 Hazard review. 

(a) The owner or operator shall conduct a review of the hazards associated 

with the regulated substances, process, 

and procedures. The review shall identify the following: 

(1) The hazards associated with the 

process and regulated substances; 

(2) Opportunities for equipment malfunctions or human errors that could 

cause an accidental release; 

(3) The safeguards used or needed to 

control the hazards or prevent equipment malfunction or human error; and 

(4) Any steps used or needed to detect 

or monitor releases. 

(b) The owner or operator may use 

checklists developed by persons or organizations knowledgeable about the 

process and equipment as a guide to 

conducting the review. For processes 

designed to meet industry standards or 

Federal or state design rules, the hazard review shall, by inspecting all 

equipment, determine whether the 

process is designed, fabricated, and operated in accordance with the applicable standards or rules. 

(c) The owner or operator shall document the results of the review and ensure that problems identified are resolved in a timely manner. 

(d) The review shall be updated at 

least once every five years. The owner 

or operator shall also conduct reviews 

whenever a major change in the process occurs; all issues identified in the 

review shall be resolved before startup 

of the changed process. 

§ 68.52 Operating procedures. 

(a) The owner or operator shall prepare written operating procedures that 

provide clear instructions or steps for 

safely conducting activities associated 

with each covered process consistent 

with the safety information for that 

process. Operating procedures or instructions provided by equipment manufacturers or developed by persons or 

organizations knowledgeable about the 

process and equipment may be used as 

a basis for a stationary source’s operating procedures. 

(b) The procedures shall address the 

following: 

47

§ 68.54 

(1) Initial startup; 

(2) Normal operations; 

(3) Temporary operations; 

(4) Emergency shutdown and operations; 

(5) Normal shutdown; 

(6) Startup following a normal or 

emergency shutdown or a major change 

that requires a hazard review; 

(7) Consequences of deviations and 

steps required to correct or avoid deviations; and 

(8) Equipment inspections. 

(c) The owner or operator shall ensure that the operating procedures are 

updated, if necessary, whenever a 

major change occurs and prior to startup of the changed process. 

§ 68.54 Training. 

(a) The owner or operator shall ensure that each employee presently operating a process, and each employee 

newly assigned to a covered process 

have been trained or tested competent 

in the operating procedures provided in 

§ 68.52 that pertain to their duties. For 

those employees already operating a 

process on June 21, 1999, the owner or 

operator may certify in writing that 

the employee has the required knowledge, skills, and abilities to safely 

carry out the duties and responsibilities as provided in the operating procedures. 

(b) Refresher training. Refresher 

training shall be provided at least 

every three years, and more often if 

necessary, to each employee operating 

a process to ensure that the employee 

understands and adheres to the current 

operating procedures of the process. 

The owner or operator, in consultation 

with the employees operating the process, shall determine the appropriate 

frequency of refresher training. 

(c) The owner or operator may use 

training conducted under Federal or 

state regulations or under industryspecific standards or codes or training 

conducted by covered process equipment vendors to demonstrate compliance with this section to the extent 

that the training meets the requirements of this section. 

(d) The owner or operator shall ensure that operators are trained in any 

updated or new procedures prior to 

40 CFR Ch. I (7–1–99 Edition) 

startup of a process after a major 

change. 

§ 68.56 Maintenance. 

(a) The owner or operator shall prepare and implement procedures to 

maintain the on-going mechanical integrity of the process equipment. The 

owner or operator may use procedures 

or instructions provided by covered 

process equipment vendors or procedures in Federal or state regulations or 

industry codes as the basis for stationary source maintenance procedures. 

(b) The owner or operator shall train 

or cause to be trained each employee 

involved in maintaining the on-going 

mechanical integrity of the process. To 

ensure that the employee can perform 

the job tasks in a safe manner, each 

such employee shall be trained in the 

hazards of the process, in how to avoid 

or correct unsafe conditions, and in the 

procedures applicable to the employee’s job tasks. 

(c) Any maintenance contractor shall 

ensure that each contract maintenance 

employee is trained to perform the 

maintenance procedures developed 

under paragraph (a) of this section. 

(d) The owner or operator shall perform or cause to be performed inspections and tests on process equipment. 

Inspection and testing procedures shall 

follow recognized and generally accepted good engineering practices. The frequency of inspections and tests of process equipment shall be consistent with 

applicable manufacturers’ recommendations, industry standards or 

codes, good engineering practices, and 

prior operating experience. 

§ 68.58 Compliance audits. 

(a) The owner or operator shall certify that they have evaluated compliance with the provisions of this subpart at least every three years to 

verify that the procedures and practices developed under the rule are adequate and are being followed. 

(b) The compliance audit shall be 

conducted by at least one person 

knowledgeable in the process. 

(c) The owner or operator shall develop a report of the audit findings. 

(d) The owner or operator shall 

promptly determine and document an 

48

Environmental Protection Agency 

appropriate response to each of the 

findings of the compliance audit and 

document that deficiencies have been 

corrected. 

(e) The owner or operator shall retain 

the two (2) most recent compliance 

audit reports. This requirement does 

not apply to any compliance audit report that is more than five years old. 

§ 68.60 Incident investigation. 

(a) The owner or operator shall investigate each incident which resulted in, 

or could reasonably have resulted in a 

catastrophic release. 

(b) An incident investigation shall be 

initiated as promptly as possible, but 

not later than 48 hours following the 

incident. 

(c) A summary shall be prepared at 

the conclusion of the investigation 

which includes at a minimum: 

(1) Date of incident; 

(2) Date investigation began; 

(3) A description of the incident; 

(4) The factors that contributed to 

the incident; and, 

(5) Any recommendations resulting 

from the investigation. 

(d) The owner or operator shall 

promptly address and resolve the investigation findings and recommendations. Resolutions and corrective actions shall be documented. 

(e) The findings shall be reviewed 

with all affected personnel whose job 

tasks are affected by the findings. 

(f) Investigation summaries shall be 

retained for five years. 

Subpart D—Program 3 Prevention

Program 

SOURCE: 61 FR 31722, June 20, 1996, unless 

otherwise noted. 

§ 68.65 Process safety information. 

(a) In accordance with the schedule 

set forth in § 68.67, the owner or operator shall complete a compilation of 

written process safety information before conducting any process hazard 

analysis required by the rule. The compilation of written process safety information is to enable the owner or operator and the employees involved in operating the process to identify and understand the hazards posed by those 

processes involving regulated sub­

§ 68.65 

stances. This process safety information shall include information pertaining to the hazards of the regulated 

substances used or produced by the 

process, information pertaining to the 

technology of the process, and information pertaining to the equipment in the 

process. 

(b) Information pertaining to the 

hazards of the regulated substances in 

the process. This information shall 

consist of at least the following: 

(1) Toxicity information; 

(2) Permissible exposure limits; 

(3) Physical data; 

(4) Reactivity data: 

(5) Corrosivity data; 

(6) Thermal and chemical stability 

data; and 

(7) Hazardous effects of inadvertent 

mixing of different materials that 

could foreseeably occur. 

NOTE TO PARAGRAPH (b): Material Safety 

Data Sheets meeting the requirements of 29 

CFR 1910.1200(g) may be used to comply with 

this requirement to the extent they contain 

the information required by this subparagraph. 

(c) Information pertaining to the 

technology of the process. 

(1) Information concerning the technology of the process shall include at 

least the following: 

(i) A block flow diagram or simplified 

process flow diagram; 

(ii) Process chemistry; 

(iii) Maximum intended inventory; 

(iv) Safe upper and lower limits for 

such items as temperatures, pressures, 

flows or compositions; and, 

(v) An evaluation of the consequences 

of deviations. 

(2) Where the original technical information no longer exists, such information may be developed in conjunction with the process hazard analysis 

in sufficient detail to support the analysis. 

(d) Information pertaining to the 

equipment in the process. 

(1) Information pertaining to the 

equipment in the process shall include: 

(i) Materials of construction; 

(ii) Piping and instrument diagrams 

(P&ID’s); 

(iii) Electrical classification; 

(iv) Relief system design and design 

basis; 

(v) Ventilation system design; 

49

§ 68.67 

(vi) Design codes and standards employed; 

(vii) Material and energy balances for 

processes built after June 21, 1999; and 

(viii) Safety systems (e.g. interlocks, 

detection or suppression systems). 

(2) The owner or operator shall document that equipment complies with 

recognized and generally accepted good 

engineering practices. 

(3) For existing equipment designed 

and constructed in accordance with 

codes, standards, or practices that are 

no longer in general use, the owner or 

operator shall determine and document 

that the equipment is designed, maintained, inspected, tested, and operating 

in a safe manner. 

§ 68.67 Process hazard analysis. 

(a) The owner or operator shall perform an initial process hazard analysis 

(hazard evaluation) on processes covered by this part. The process hazard 

analysis shall be appropriate to the 

complexity of the process and shall 

identify, evaluate, and control the hazards involved in the process. The owner 

or operator shall determine and document the priority order for conducting 

process hazard analyses based on a rationale which includes such considerations as extent of the process hazards, 

number of potentially affected employees, age of the process, and operating 

history of the process. The process hazard analysis shall be conducted as soon 

as possible, but not later than June 21, 

1999. Process hazards analyses completed to comply with 29 CFR 

1910.119(e) are acceptable as initial 

process hazards analyses. These process 

hazard analyses shall be updated and 

revalidated, based on their completion 

date. 

(b) The owner or operator shall use 

one or more of the following methodologies that are appropriate to determine and evaluate the hazards of the 

process being analyzed. 

(1) What-If; 

(2) Checklist; 

(3) What-If/Checklist; 

(4) Hazard and Operability Study 

(HAZOP); 

(5) Failure Mode and Effects Analysis 

(FMEA); 

(6) Fault Tree Analysis; or 

40 CFR Ch. I (7–1–99 Edition) 

(7) An appropriate equivalent methodology. 

(c) The process hazard analysis shall 

address: 

(1) The hazards of the process; 

(2) The identification of any previous 

incident which had a likely potential 

for catastrophic consequences. 

(3) Engineering and administrative 

controls applicable to the hazards and 

their interrelationships such as appropriate application of detection methodologies to provide early warning of 

releases. (Acceptable detection methods might include process monitoring 

and control instrumentation with 

alarms, and detection hardware such as 

hydrocarbon sensors.); 

(4) Consequences of failure of engineering and administrative controls; 

(5) Stationary source siting; 

(6) Human factors; and 

(7) A qualitative evaluation of a 

range of the possible safety and health 

effects of failure of controls. 

(d) The process hazard analysis shall 

be performed by a team with expertise 

in engineering and process operations, 

and the team shall include at least one 

employee who has experience and 

knowledge specific to the process being 

evaluated. Also, one member of the 

team must be knowledgeable in the 

specific process hazard analysis methodology being used. 

(e) The owner or operator shall establish a system to promptly address the 

team’s findings and recommendations; 

assure that the recommendations are 

resolved in a timely manner and that 

the resolution is documented; document what actions are to be taken; 

complete actions as soon as possible; 

develop a written schedule of when 

these actions are to be completed; communicate the actions to operating, 

maintenance and other employees 

whose work assignments are in the 

process and who may be affected by the 

recommendations or actions. 

(f) At least every five (5) years after 

the completion of the initial process 

hazard analysis, the process hazard 

analysis shall be updated and revalidated by a team meeting the requirements in paragraph (d) of this section, 

to assure that the process hazard analysis is consistent with the current 

50

Environmental Protection Agency 

process. Updated and revalidated process hazard analyses completed to comply with 29 CFR 1910.119(e) are acceptable to meet the requirements of this 

paragraph. 

(g) The owner or operator shall retain process hazards analyses and updates or revalidations for each process 

covered by this section, as well as the 

documented resolution of recommendations described in paragraph (e) of this 

section for the life of the process. 

§ 68.69 Operating procedures. 

(a) The owner or operator shall develop and implement written operating 

procedures that provide clear instructions for safely conducting activities 

involved in each covered process consistent with the process safety information and shall address at least the 

following elements. 

(1) Steps for each operating phase: 

(i) Initial startup; 

(ii) Normal operations; 

(iii) Temporary operations; 

(iv) Emergency shutdown including 

the conditions under which emergency 

shutdown is required, and the assignment of shutdown responsibility to 

qualified operators to ensure that 

emergency shutdown is executed in a 

safe and timely manner. 

(v) Emergency operations; 

(vi) Normal shutdown; and, 

(vii) Startup following a turnaround, 

or after an emergency shutdown. 

(2) Operating limits: 

(i) Consequences of deviation; and 

(ii) Steps required to correct or avoid 

deviation. 

(3) Safety and health considerations: 

(i) Properties of, and hazards presented by, the chemicals used in the 

process; 

(ii) Precautions necessary to prevent 

exposure, including engineering controls, administrative controls, and personal protective equipment; 

(iii) Control measures to be taken if 

physical contact or airborne exposure 

occurs; 

(iv) Quality control for raw materials 

and control of hazardous chemical inventory levels; and, 

(v) Any special or unique hazards. 

(4) Safety systems and their functions. 

§ 68.71 

(b) Operating procedures shall be 

readily accessible to employees who 

work in or maintain a process. 

(c) The operating procedures shall be 

reviewed as often as necessary to assure that they reflect current operating practice, including changes that 

result from changes in process chemicals, technology, and equipment, and 

changes to stationary sources. The 

owner or operator shall certify annually that these operating procedures 

are current and accurate. 

(d) The owner or operator shall develop and implement safe work practices to provide for the control of hazards during operations such as lockout/ 

tagout; confined space entry; opening 

process equipment or piping; and control over entrance into a stationary 

source by maintenance, contractor, 

laboratory, or other support personnel. 

These safe work practices shall apply 

to employees and contractor employees. 

§ 68.71 Training. 

(a) Initial training. (1) Each employee 

presently involved in operating a process, and each employee before being involved in operating a newly assigned 

process, shall be trained in an overview 

of the process and in the operating procedures as specified in § 68.69. The 

training shall include emphasis on the 

specific safety and health hazards, 

emergency operations including shutdown, and safe work practices applicable to the employee’s job tasks. 

(2) In lieu of initial training for those 

employees already involved in operating a process on June 21, 1999 an 

owner or operator may certify in writing that the employee has the required 

knowledge, skills, and abilities to safely carry out the duties and responsibilities as specified in the operating procedures. 

(b) Refresher training. Refresher training shall be provided at least every 

three years, and more often if necessary, to each employee involved in 

operating a process to assure that the 

employee understands and adheres to 

the current operating procedures of the 

process. The owner or operator, in consultation with the employees involved 

51

§ 68.73 

in operating the process, shall determine the appropriate frequency of refresher training. 

(c) Training documentation. The owner 

or operator shall ascertain that each 

employee involved in operating a process has received and understood the 

training required by this paragraph. 

The owner or operator shall prepare a 

record which contains the identity of 

the employee, the date of training, and 

the means used to verify that the employee understood the training. 

§ 68.73 Mechanical integrity. 

(a) Application. Paragraphs (b) 

through (f) of this section apply to the 

following process equipment: 

(1) Pressure vessels and storage 

tanks; 

(2) Piping systems (including piping 

components such as valves); 

(3) Relief and vent systems and devices; 

(4) Emergency shutdown systems; 

(5) Controls (including monitoring 

devices and sensors, alarms, and interlocks) and, 

(6) Pumps. 

(b) Written procedures. The owner or 

operator shall establish and implement 

written procedures to maintain the ongoing integrity of process equipment. 

(c) Training for process maintenance 

activities. The owner or operator shall 

train each employee involved in maintaining the on-going integrity of process equipment in an overview of that 

process and its hazards and in the procedures applicable to the employee’s 

job tasks to assure that the employee 

can perform the job tasks in a safe 

manner. 

(d) Inspection and testing. (1) Inspections and tests shall be performed on 

process equipment. 

(2) Inspection and testing procedures 

shall follow recognized and generally 

accepted good engineering practices. 

(3) The frequency of inspections and 

tests of process equipment shall be consistent with applicable manufacturers’ 

recommendations and good engineering 

practices, and more frequently if determined to be necessary by prior operating experience. 

(4) The owner or operator shall document each inspection and test that has 

been performed on process equipment. 

40 CFR Ch. I (7–1–99 Edition) 

The documentation shall identify the 

date of the inspection or test, the name 

of the person who performed the inspection or test, the serial number or 

other identifier of the equipment on 

which the inspection or test was performed, a description of the inspection 

or test performed, and the results of 

the inspection or test. 

(e) Equipment deficiencies. The owner 

or operator shall correct deficiencies in 

equipment that are outside acceptable 

limits (defined by the process safety information in § 68.65) before further use 

or in a safe and timely manner when 

necessary means are taken to assure 

safe operation. 

(f) Quality assurance. (1) In the construction of new plants and equipment, 

the owner or operator shall assure that 

equipment as it is fabricated is suitable for the process application for 

which they will be used. 

(2) Appropriate checks and inspections shall be performed to assure that 

equipment is installed properly and 

consistent with design specifications 

and the manufacturer’s instructions. 

(3) The owner or operator shall assure that maintenance materials, spare 

parts and equipment are suitable for 

the process application for which they 

will be used. 

§ 68.75 Management of change. 

(a) The owner or operator shall establish and implement written procedures 

to manage changes (except for ‘‘replacements in kind’’) to process chemicals, technology, equipment, and procedures; and, changes to stationary 

sources that affect a covered process. 

(b) The procedures shall assure that 

the following considerations are addressed prior to any change: 

(1) The technical basis for the proposed change; 

(2) Impact of change on safety and 

health; 

(3) Modifications to operating procedures; 

(4) Necessary time period for the 

change; and, 

(5) Authorization requirements for 

the proposed change. 

(c) Employees involved in operating a 

process and maintenance and contract 

employees whose job tasks will be affected by a change in the process shall 

52

Environmental Protection Agency 

be informed of, and trained in, the 

change prior to start-up of the process 

or affected part of the process. 

(d) If a change covered by this paragraph results in a change in the process 

safety information required by § 68.65 of 

this part, such information shall be updated accordingly. 

(e) If a change covered by this paragraph results in a change in the operating procedures or practices required 

by § 68.69, such procedures or practices 

shall be updated accordingly. 

§ 68.77 Pre-startup review. 

(a) The owner or operator shall perform a pre-startup safety review for 

new stationary sources and for modified stationary sources when the modification is significant enough to require a change in the process safety information. 

(b) The pre-startup safety review 

shall confirm that prior to the introduction of regulated substances to a 

process: 

(1) Construction and equipment is in 

accordance with design specifications; 

(2) Safety, operating, maintenance, 

and emergency procedures are in place 

and are adequate; 

(3) For new stationary sources, a 

process hazard analysis has been performed and recommendations have 

been resolved or implemented before 

startup; and modified stationary 

sources meet the requirements contained in management of change, 

§ 68.75. 

(4) Training of each employee involved in operating a process has been 

completed. 

§ 68.79 Compliance audits. 

(a) The owner or operator shall certify that they have evaluated compliance with the provisions of this subpart at least every three years to 

verify that procedures and practices 

developed under this subpart are adequate and are being followed. 

(b) The compliance audit shall be 

conducted by at least one person 

knowledgeable in the process. 

(c) A report of the findings of the 

audit shall be developed. 

(d) The owner or operator shall 

promptly determine and document an 

appropriate response to each of the 

§ 68.83 

findings of the compliance audit, and 

document that deficiencies have been 

corrected. 

(e) The owner or operator shall retain 

the two (2) most recent compliance 

audit reports. 

[61 FR 31722, June 20, 1996, as amended at 64 

FR 979, Jan. 6, 1999] 

§ 68.81 Incident investigation. 

(a) The owner or operator shall investigate each incident which resulted in, 

or could reasonably have resulted in a 

catastrophic release of a regulated substance. 

(b) An incident investigation shall be 

initiated as promptly as possible, but 

not later than 48 hours following the 

incident. 

(c) An incident investigation team 

shall be established and consist of at 

least one person knowledgeable in the 

process involved, including a contract 

employee if the incident involved work 

of the contractor, and other persons 

with appropriate knowledge and experience to thoroughly investigate and 

analyze the incident. 

(d) A report shall be prepared at the 

conclusion of the investigation which 

includes at a minimum: 

(1) Date of incident; 

(2) Date investigation began; 

(3) A description of the incident; 

(4) The factors that contributed to 

the incident; and, 

(5) Any recommendations resulting 

from the investigation. 

(e) The owner or operator shall establish a system to promptly address and 

resolve the incident report findings and 

recommendations. Resolutions and corrective actions shall be documented. 

(f) The report shall be reviewed with 

all affected personnel whose job tasks 

are relevant to the incident findings including contract employees where applicable. 

(g) Incident investigation reports 

shall be retained for five years. 

§ 68.83 Employee participation. 

(a) The owner or operator shall develop a written plan of action regarding the implementation of the employee participation required by this 

section. 

53

§ 68.85 

(b) The owner or operator shall consult with employees and their representatives on the conduct and development of process hazards analyses and 

on the development of the other elements of process safety management in 

this rule. 

(c) The owner or operator shall provide to employees and their representatives access to process hazard analyses 

and to all other information required 

to be developed under this rule. 

§ 68.85 Hot work permit. 

(a) The owner or operator shall issue 

a hot work permit for hot work operations conducted on or near a covered 

process. 

(b) The permit shall document that 

the fire prevention and protection requirements in 29 CFR 1910.252(a) have 

been implemented prior to beginning 

the hot work operations; it shall indicate the date(s) authorized for hot 

work; and identify the object on which 

hot work is to be performed. The permit shall be kept on file until completion of the hot work operations. 

§ 68.87 Contractors. 

(a) Application. This section applies 

to contractors performing maintenance 

or repair, turnaround, major renovation, or specialty work on or adjacent 

to a covered process. It does not apply 

to contractors providing incidental 

services which do not influence process 

safety, such as janitorial work, food 

and drink services, laundry, delivery or 

other supply services. 

(b) Owner or operator responsibilities. 

(1) The owner or operator, when selecting a contractor, shall obtain and 

evaluate information regarding the 

contract owner or operator’s safety 

performance and programs. 

(2) The owner or operator shall inform contract owner or operator of the 

known potential fire, explosion, or 

toxic release hazards related to the 

contractor’s work and the process. 

(3) The owner or operator shall explain to the contract owner or operator 

the applicable provisions of subpart E 

of this part. 

(4) The owner or operator shall develop and implement safe work practices consistent with § 68.69(d), to control the entrance, presence, and exit of 

40 CFR Ch. I (7–1–99 Edition) 

the contract owner or operator and 

contract employees in covered process 

areas. 

(5) The owner or operator shall periodically evaluate the performance of 

the contract owner or operator in fulfilling their obligations as specified in 

paragraph (c) of this section. 

(c) Contract owner or operator responsibilities. (1) The contract owner or operator shall assure that each contract 

employee is trained in the work practices necessary to safely perform his/ 

her job. 

(2) The contract owner or operator 

shall assure that each contract employee is instructed in the known potential fire, explosion, or toxic release 

hazards related to his/her job and the 

process, and the applicable provisions 

of the emergency action plan. 

(3) The contract owner or operator 

shall document that each contract employee has received and understood the 

training required by this section. The 

contract owner or operator shall prepare a record which contains the identity of the contract employee, the date 

of training, and the means used to 

verify that the employee understood 

the training. 

(4) The contract owner or operator 

shall assure that each contract employee follows the safety rules of the 

stationary source including the safe 

work practices required by § 68.69(d). 

(5) The contract owner or operator 

shall advise the owner or operator of 

any unique hazards presented by the 

contract owner or operator’s work, or 

of any hazards found by the contract 

owner or operator’s work. 

Subpart E—Emergency Response 

SOURCE: 61 FR 31725, June 20, 1996, unless 

otherwise noted. 

§ 68.90 Applicability. 

(a) Except as provided in paragraph 

(b) of this section, the owner or operator of a stationary source with Program 2 and Program 3 processes shall 

comply with the requirements of § 68.95. 

(b) The owner or operator of stationary source whose employees will 

not respond to accidental releases of 

regulated substances need not comply 

54

Environmental Protection Agency 

with § 68.95 of this part provided that 

they meet the following: 

(1) For stationary sources with any 

regulated toxic substance held in a 

process above the threshold quantity, 

the stationary source is included in the 

community emergency response plan 

developed under 42 U.S.C. 11003; 

(2) For stationary sources with only 

regulated flammable substances held in 

a process above the threshold quantity, 

the owner or operator has coordinated 

response actions with the local fire department; and 

(3) Appropriate mechanisms are in 

place to notify emergency responders 

when there is a need for a response. 

§ 68.95 Emergency response program. 

(a) The owner or operator shall develop and implement an emergency response program for the purpose of protecting public health and the environment. Such program shall include the 

following elements: 

(1) An emergency response plan, 

which shall be maintained at the stationary source and contain at least the 

following elements: 

(i) Procedures for informing the public and local emergency response agencies about accidental releases; 

(ii) Documentation of proper first-aid 

and emergency medical treatment necessary to treat accidental human exposures; and 

(iii) Procedures and measures for 

emergency response after an accidental 

release of a regulated substance; 

(2) Procedures for the use of emergency response equipment and for its 

inspection, testing, and maintenance; 

(3) Training for all employees in relevant procedures; and 

(4) Procedures to review and update, 

as appropriate, the emergency response 

plan to reflect changes at the stationary source and ensure that employees are informed of changes. 

(b) A written plan that complies with 

other Federal contingency plan regulations or is consistent with the approach in the National Response 

Team’s Integrated Contingency Plan 

Guidance (‘‘One Plan’’) and that, 

among other matters, includes the elements provided in paragraph (a) of this 

section, shall satisfy the requirements 

of this section if the owner or operator 

§ 68.115 

also complies with paragraph (c) of this 

section. 

(c) The emergency response plan developed under paragraph (a)(1) of this 

section shall be coordinated with the 

community emergency response plan 

developed under 42 U.S.C. 11003. Upon 

request of the local emergency planning committee or emergency response 

officials, the owner or operator shall 

promptly provide to the local emergency response officials information 

necessary for developing and implementing the community emergency response plan. 

Subpart F—Regulated Substances

for Accidental Release Prevention 

SOURCE: 59 FR 4493, Jan. 31, 1994, unless 

otherwise noted. Redesignated at 61 FR 31717, 

June 20, 1996. 

§ 68.100 Purpose. 

This subpart designates substances 

to be listed under section 112(r)(3), (4), 

and (5) of the Clean Air Act, as amended, identifies their threshold quantities, and establishes the requirements 

for petitioning to add or delete substances from the list. 

§ 68.115 Threshold determination. 

(a) A threshold quantity of a regulated substance listed in § 68.130 is 

present at a stationary source if the 

total quantity of the regulated substance contained in a process exceeds 

the threshold. 

(b) For the purposes of determining 

whether more than a threshold quantity of a regulated substance is present 

at the stationary source, the following 

exemptions apply: 

(1) Concentrations of a regulated toxic 

substance in a mixture. If a regulated 

substance is present in a mixture and 

the concentration of the substance is 

below one percent by weight of the 

mixture, the amount of the substance 

in the mixture need not be considered 

when determining whether more than a 

threshold quantity is present at the 

stationary source. Except for oleum, 

toluene 2,4-diisocyanate, toluene 2,6­

diisocyanate, and toluene diisocyanate 

(unspecified isomer), if the concentration of the regulated substance in the 

mixture is one percent or greater by 

55

§ 68.115 

weight, but the owner or operator can 

demonstrate that the partial pressure 

of the regulated substance in the mixture (solution) under handling or storage conditions in any portion of the 

process is less than 10 millimeters of 

mercury (mm Hg), the amount of the 

substance in the mixture in that portion of the process need not be considered when determining whether more 

than a threshold quantity is present at 

the stationary source. The owner or operator shall document this partial pressure measurement or estimate. 

(2) Concentrations of a regulated flammable substance in a mixture. (i) General 

provision. If a regulated substance is 

present in a mixture and the concentration of the substance is below 

one percent by weight of the mixture, 

the mixture need not be considered 

when determining whether more than a 

threshold quantity of the regulated 

substance is present at the stationary 

source. Except as provided in paragraph (b)(2) (ii) and (iii) of this section, 

if the concentration of the substance is 

one percent or greater by weight of the 

mixture, then, for purposes of determining whether a threshold quantity is 

present at the stationary source, the 

entire weight of the mixture shall be 

treated as the regulated substance unless the owner or operator can demonstrate that the mixture itself does 

not have a National Fire Protection 

Association flammability hazard rating of 4. The demonstration shall be in 

accordance with the definition of flammability hazard rating 4 in the NFPA 

704, Standard System for the Identification of the Hazards of Materials for 

Emergency Response, National Fire 

Protection Association, Quincy, MA, 

1996. Available from the National Fire 

Protection Association, 1 

Batterymarch Park, Quincy, MA 02269– 

9101. This incorporation by reference 

was approved by the Director of the 

Federal Register in accordance with 5 

U.S.C. 552(a) and 1 CFR part 51. Copies 

may be inspected at the Environmental 

Protection Agency Air Docket (6102), 

Attn: Docket No. A–96–O8, Waterside 

Mall, 401 M. St. SW., Washington DC; 

or at the Office of Federal Register at 

800 North Capitol St., NW, Suite 700, 

Washington, DC. Boiling point and 

flash point shall be defined and deter40 CFR Ch. I (7–1–99 Edition) 

mined in accordance with NFPA 30, 

Flammable and Combustible Liquids 

Code, National Fire Protection Association, Quincy, MA, 1996. Available 

from the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269–9101. This incorporation 

by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR 

part 51. Copies may be inspected at the 

Environmental Protection Agency Air 

Docket (6102), Attn: Docket No. A–96– 

O8, Waterside Mall, 401 M. St. SW., 

Washington DC; or at the Office of Federal Register at 800 North Capitol St., 

NW., Suite 700, Washington, DC. The 

owner or operator shall document the 

National Fire Protection Association 

flammability hazard rating. 

(ii) Gasoline. Regulated substances in 

gasoline, when in distribution or related storage for use as fuel for internal combustion engines, need not be 

considered when determining whether 

more than a threshold quantity is 

present at a stationary source. 

(iii) Naturally occurring hydrocarbon 

mixtures. Prior to entry into a natural 

gas processing plant or a petroleum refining process unit, regulated substances in naturally occurring hydrocarbon mixtures need not be considered 

when determining whether more than a 

threshold quantity is present at a stationary source. Naturally occurring 

hydrocarbon mixtures include any 

combination of the following: condensate, crude oil, field gas, and produced 

water, each as defined in § 68.3 of this 

part. 

(3) Articles. Regulated substances contained in articles need not be considered when determining whether more 

than a threshold quantity is present at 

the stationary source. 

(4) Uses. Regulated substances, when 

in use for the following purposes, need 

not be included in determining whether 

more than a threshold quantity is 

present at the stationary source: 

(i) Use as a structural component of 

the stationary source; 

(ii) Use of products for routine janitorial maintenance; 

(iii) Use by employees of foods, drugs, 

cosmetics, or other personal items containing the regulated substance; and 

56

Environmental Protection Agency 

(iv) Use of regulated substances 

present in process water or non-contact 

cooling water as drawn from the environment or municipal sources, or use 

of regulated substances present in air 

used either as compressed air or as part 

of combustion. 

(5) Activities in laboratories. If a regulated substance is manufactured, processed, or used in a laboratory at a stationary source under the supervision of 

a technically qualified individual as defined in § 720.3(ee) of this chapter, the 

quantity of the substance need not be 

considered in determining whether a 

threshold quantity is present. This exemption does not apply to: 

(i) Specialty chemical production; 

(ii) Manufacture, processing, or use 

of substances in pilot plant scale operations; and 

(iii) Activities conducted outside the 

laboratory. 

[59 FR 4493, Jan. 31, 1994. Redesignated at 61 

FR 31717, June 20, 1996, as amended at 63 FR 

645, Jan. 6, 1998] 

§ 68.120 Petition process. 

(a) Any person may petition the Administrator to modify, by addition or 

deletion, the list of regulated substances identified in § 68.130. Based on 

the information presented by the petitioner, the Administrator may grant or 

deny a petition. 

(b) A substance may be added to the 

list if, in the case of an accidental release, it is known to cause or may be 

reasonably anticipated to cause death, 

injury, or serious adverse effects to 

human health or the environment. 

(c) A substance may be deleted from 

the list if adequate data on the health 

and environmental effects of the substance are available to determine that 

the substance, in the case of an accidental release, is not known to cause 

and may not be reasonably anticipated 

to cause death, injury, or serious adverse effects to human health or the 

environment. 

(d) No substance for which a national 

primary ambient air quality standard 

has been established shall be added to 

the list. No substance regulated under 

title VI of the Clean Air Act, as amended, shall be added to the list. 

(e) The burden of proof is on the petitioner to demonstrate that the criteria 

§ 68.120 

for addition and deletion are met. A petition will be denied if this demonstration is not made. 

(f) The Administrator will not accept 

additional petitions on the same substance following publication of a final 

notice of the decision to grant or deny 

a petition, unless new data becomes 

available that could significantly affect the basis for the decision. 

(g) Petitions to modify the list of 

regulated substances must contain the 

following: 

(1) Name and address of the petitioner and a brief description of the organization(s) that the petitioner represents, if applicable; 

(2) Name, address, and telephone 

number of a contact person for the petition; 

(3) Common chemical name(s), common synonym(s), Chemical Abstracts 

Service number, and chemical formula 

and structure; 

(4) Action requested (add or delete a 

substance); 

(5) Rationale supporting the petitioner’s position; that is, how the substance meets the criteria for addition 

and deletion. A short summary of the 

rationale must be submitted along 

with a more detailed narrative; and 

(6) Supporting data; that is, the petition must include sufficient information to scientifically support the request to modify the list. Such information shall include: 

(i) A list of all support documents; 

(ii) Documentation of literature 

searches conducted, including, but not 

limited to, identification of the database(s) searched, the search strategy, 

dates covered, and printed results; 

(iii) Effects data (animal, human, and 

environmental test data) indicating 

the potential for death, injury, or serious adverse human and environmental 

impacts from acute exposure following 

an accidental release; printed copies of 

the data sources, in English, should be 

provided; and 

(iv) Exposure data or previous accident history data, indicating the potential for serious adverse human 

health or environmental effects from 

an accidental release. These data may 

57

§ 68.125 

include, but are not limited to, physical and chemical properties of the substance, such as vapor pressure; modeling results, including data and assumptions used and model documentation; and historical accident data, citing data sources. 

(h) Within 18 months of receipt of a 

petition, the Administrator shall publish in the FEDERAL REGISTER a notice 

either denying the petition or granting 

the petition and proposing a listing. 

§ 68.125 Exemptions. 

Agricultural nutrients. Ammonia used 

as an agricultural nutrient, when held 

by farmers, is exempt from all provisions of this part. 

§ 68.130 List of substances. 

(a) Regulated toxic and flammable 

substances under section 112(r) of the 

Clean Air Act are the substances listed 

in Tables 1, 2, 3, and 4. Threshold quantities for listed toxic and flammable 

substances are specified in the tables. 

(b) The basis for placing toxic and 

flammable substances on the list of 

regulated substances are explained in 

the notes to the list. 

TABLE 1 TO § 68.130.—L IST OF REGULATED 

TOXIC SUBSTANCES AND THRESHOLD QUANTITIES FOR ACCIDENTAL RELEASE PREVENTION 

[Alphabetical Order—77 Substances] 

Chemical name CAS No. 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

Acrolein [2­ 107–02–8 5,000 b 

Propenal]. 

Acrylonitrile [2­ 107–13–1 20,000 b 

Propenenitrile]. 

Acrylyl chloride 814–68–6 5,000 b 

[2-Propenoyl 

chloride]. 

Allyl alcohol [2­ 107–18–61 15,000 b 

Propen-l-ol]. 

Allylamine [2­ 107–11–9 10,000 b 

Propen-lamine]. 

Ammonia (anhy­ 7664–41–7 10,000 a, b 

drous). 

Ammonia (conc 7664–41–7 20,000 a, b 

20% or greater). 

Arsenous tri­ 7784–34–1 15,000 b 

chloride. 

Arsine ................. 7784–42–1 1,000 b 

Boron trichloride 10294–34–5 5,000 b 

[Borane, 

trichloro-]. 

Boron trifluoride 7637–07–2 5,000 b 

[Borane, 

trifluoro-]. 

40 CFR Ch. I (7–1–99 Edition) 

TABLE 1 TO § 68.130.—L IST OF REGULATED 

TOXIC SUBSTANCES AND THRESHOLD QUANTITIES FOR ACCIDENTAL RELEASE PREVENTION—Continued 

[Alphabetical Order—77 Substances] 

Chemical name CAS No. 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

Boron trifluoride 353–42–4 15,000 b 

compound with 

methyl ether 

(1:1) [Boron, 

trifluoro [oxybis 

[metane]]-, T-4-. 

Bromine .............. 7726–95–6 10,000 a, b 

Carbon disulfide 75–15–0 20,000 b 

Chlorine .............. 7782–50–5 2,500 a, b 

Chlorine dioxide 10049–04–4 1,000 c 

[Chlorine oxide 

(ClO2)]. 

Chloroform 67–66–3 20,000 b 

[Methane, 

trichloro-]. 

Chloromethyl 542–88–1 1,000 b 

ether [Methane, 

oxybis[chloro-]. 

Chloromethyl 107–30–2 5,000 b 

methyl ether 

[Methane, 

chloromethoxy­

]. 

Crotonaldehyde 4170–30–3 20,000 b 

[2-Butenal]. 

Crotonaldehyde, 123–73–9 20,000 b 

(E)- [2-Butenal, 

(E)-]. 

Cyanogen chlo­ 506–77–4 10,000 c 

ride. 

Cyclohexylamine 108–91–8 15,000 b 

[Cyclohexanamine]. 

Diborane ............. 19287–45–7 2,500 b 

Dimethyldichloro­ 75–78–5 5,000 b 

silane [Silane, 

dichlorodimethyl-]. 

1,1­ 57–14–7 15,000 b 

Dimethylhydrazine [Hydrazine, 1,1-dimethyl-]. 

Epichlorohydrin 106–89–8 20,000 b 

[Oxirane, 

(chloromethyl)-]. 

Ethylenediamine 107–15–3 20,000 b 

[1,2­

Ethanediamine]. 

Ethyleneimine 151–56–4 10,000 b 

[Aziridine]. 

Ethylene oxide 75–21–8 10,000 a, b 

[Oxirane]. 

Fluorine .............. 7782–41–4 1,000 b 

Formaldehyde 50–00–0 15,000 b 

(solution). 

Furan .................. 110–00–9 5,000 b 

Hydrazine ........... 302–01–2 15,000 b 

Hydrochloric acid 7647–01–0 15,000 d 

(conc 37% or 

greater). 

Hydrocyanic acid 74–90–8 2,500 a, b 

58

Environmental Protection Agency § 68.130 

TABLE 1 TO § 68.130.—L IST OF REGULATED TABLE 1 TO § 68.130.—L IST OF REGULATED 

TOXIC SUBSTANCES AND THRESHOLD QUAN- TOXIC SUBSTANCES AND THRESHOLD QUANTITIES FOR ACCIDENTAL RELEASE PREVEN- TITIES FOR ACCIDENTAL RELEASE PREVENTION—Continued TION—Continued 

[Alphabetical Order—77 Substances] [Alphabetical Order—77 Substances] 

Chemical name CAS No. 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

Hydrogen chlo­ 7647–01–0 5,000 a 

ride (anhydrous) [Hydrochloric acid]. 

Hydrogen fluo­ 7664–39–3 1,000 a, b 

ride/ 

Hydrofluoric 

acid (conc 50% 

or greater) 

[Hydrofluoric 

acid]. 

Hydrogen sele­ 7783–07–5 500 b 

nide. 

Hydrogen sulfide 7783–06–4 10,000 a, b 

Iron, 13463–40–6 2,500 b 

pentacarbonyl­

[Iron carbonyl 

(Fe(CO)5), 

(TB-5-11)-]. 

Isobutyronitrile 78–82–0 20,000 b 

[Propanenitrile, 

2-methyl-]. 

Isopropyl 108–23–6 15,000 b 

chloroformate 

[Carbonochloridic acid, 1­

methylethyl 

ester]. 

Methacrylonitrile 126–98–7 10,000 b 

[2­

Propenenitrile, 

2-methyl-]. 

Methyl chloride 74–87–3 10,000 a 

[Methane, 

chloro-]. 

Methyl 79–22–1 5,000 b 

chloroformate 

[Carbonochloridic acid, 

methylester]. 

Methyl hydrazine 60–34–4 15,000 b 

[Hydrazine, 

methyl-]. 

Methyl isocyanate 624–83–9 10,000 a, b 

[Methane, 

isocyanato-]. 

Methyl mercaptan 74–93–1 10,000 b 

[Methanethiol]. 

Methyl 556–64–9 20,000 b 

thiocyanate 

[Thiocyanic 

acid, methyl 

ester]. 

Methyltrichlorosil­ 75–79–6 5,000 b 

ane [Silane, 

trichloromethyl­

]. 

Nickel carbonyl ... 13463–39–3 1,000 b 

Nitric acid (conc 7697–37–2 15,000 b 

80% or greater). 

Nitric oxide [Nitro­ 10102–43–9 10,000 b 

gen oxide 

(NO)]. 

Chemical name CAS No. 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

Oleum (Fuming 8014–95–7 10,000 e 

Sulfuric acid) 

[Sulfuric acid, 

mixture with 

sulfur trioxide] 1. 

Peracetic acid 79–21–0 10,000 b 

[Ethaneperoxoic acid]. 

Perchloromethyl­ 594–42–3 10,000 b 

mercaptan 

[Methanesulfenyl chloride, 

trichloro-]. 

Phosgene [Car­ 75–44–5 500 a, b 

bonic dichloride]. 

Phosphine .......... 7803–51–2 5,000 b 

Phosphorus 10025–87–3 5,000 b 

oxychloride 

[Phosphoryl 

chloride]. 

Phosphorus tri­ 7719–12–2 15,000 b 

chloride [Phosphorous trichloride]. 

Piperidine ........... 110–89–4 15,000 b 

Propionitrile 107–12–0 10,000 b 

[Propanenitrile]. 

Propyl 109–61–5 15,000 b 

chloroformate 

[Carbonochloridic acid, 

propylester]. 

Propyleneimine 75–55–8 10,000 b 

[Aziridine, 2­

methyl-]. 

Propylene oxide 75–56–9 10,000 b 

[Oxirane, methyl-]. 

Sulfur dioxide 7446–09–5 5,000 a, b 

(anhydrous). 

Sulfur tetra­ 7783–60–0 2,500 b 

fluoride [Sulfur 

fluoride (SF4), 

(T-4)-]. 

Sulfur trioxide ..... 7446–11–9 10,000 a, b 

Tetramethyllead 75–74–1 10,000 b 

[Plumbane, 

tetramethyl-]. 

Tetranitro­ 509–14–8 10,000 b 

methane [Methane, tetranitro-]. 

Titanium tetra­ 7550–45–0 2,500 b 

chloride [Titanium chloride 

(TiCl4) (T-4)-]. 

Toluene 2,4­ 584–84–9 10,000 a 

diisocyanate 

[Benzene, 2,4­

diisocyanato-1­

methyl-] 1. 

59

§ 68.130 40 CFR Ch. I (7–1–99 Edition) 

TABLE 1 TO § 68.130.—L IST OF REGULATED TABLE 1 TO § 68.130.—L IST OF REGULATED 

TOXIC SUBSTANCES AND THRESHOLD QUAN- TOXIC SUBSTANCES AND THRESHOLD QUANTITIES FOR ACCIDENTAL RELEASE PREVEN- TITIES FOR ACCIDENTAL RELEASE PREVENTION—Continued TION—Continued 

[Alphabetical Order—77 Substances] [Alphabetical Order—77 Substances] 

Chemical name CAS No. 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

Toluene 2,6­ 91–08–7 10,000 a 

diisocyanate 

[Benzene, 1,3­

diisocyanato-2­

methyl-] 1. 

Toluene 26471–62–5 10,000 a 

diisocyanate 

(unspecified 

isomer) [Benzene, 1,3­

diisocyanatomethyl-] 1. 

Trimethylchlorosi­ 75–77–4 10,000 b 

lane [Silane, 

chlorotrimethyl­

]. 

Chemical name CAS No. 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

Vinyl acetate 108–05–4 15,000 b 

monomer [Acetic acid ethenyl 

ester]. 

1 The mixture exemption in § 68.115(b)(1) does not apply to the substance. 

NOTE: Basis for Listing: 

a Mandated for listing by Congress. 

b On EHS list, vapor pressure 10 mmHg or greater. 

c Toxic gas. 

d Toxicity of hydrogen chloride, potential to release hydrogen chloride, and history of accidents. 

e Toxicity of sulfur trioxide and sulfuric acid, potential to 

release sulfur trioxide, and history of accidents. 

TABLE 2 TO § 68.130.—L IST OF REGULATED TOXIC SUBSTANCES AND THRESHOLD QUANTITIES FOR


ACCIDENTAL RELEASE PREVENTION


[CAS Number Order—77 Substances]


CAS No. Chemical name 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

50–00–0 ..................... 

57–14–7 ..................... 

60–34–4 ..................... 

67–66–3 ..................... 

74–87–3 ..................... 

74–90–8 ..................... 

74–93–1 ..................... 

75–15–0 ..................... 

75–21–8 ..................... 

75–44–5 ..................... 

75–55–8 ..................... 

75–56–9 ..................... 

75–74–1 ..................... 

75–77–4 ..................... 

75–78–5 ..................... 

75–79–6 ..................... 

78–82–0 ..................... 

79–21–0 ..................... 

79–22–1 ..................... 

91–08–7 ..................... 

106–89–8 ................... 

107–02–8 ................... 

107–11–9 ................... 

107–12–0 ................... 

107–13–1 ................... 

107–15–3 ................... 

107–18–6 ................... 

107–30–2 ................... 

108–05–4 ................... 

108–23–6 ................... 

108–91–8 ................... 

109–61–5 ................... 

110–00–9 ................... 

110–89–4 ................... 

123–73–9 ................... 

126–98–7 ................... 

151–56–4 ................... 

302–01–2 ................... 

353–42–4 ................... 

Formaldehyde (solution) .................................................................................... 

1,1-Dimethylhydrazine [Hydrazine, 1,1-dimethyl-] ............................................. 

Methyl hydrazine [Hydrazine, methyl-] ............................................................... 

Chloroform [Methane, trichloro-] ........................................................................ 

Methyl chloride [Methane, chloro-] .................................................................... 

Hydrocyanic acid ................................................................................................ 

Methyl mercaptan [Methanethiol] ....................................................................... 

Carbon disulfide ................................................................................................. 

Ethylene oxide [Oxirane] .................................................................................... 

Phosgene [Carbonic dichloride] ......................................................................... 

Propyleneimine [Aziridine, 2-methyl-] ................................................................ 

Propylene oxide [Oxirane, methyl-] ................................................................... 

Tetramethyllead [Plumbane, tetramethyl-] ......................................................... 

Trimethylchlorosilane [Silane, chlorotrimethyl-] ................................................. 

Dimethyldichlorosilane [Silane, dichlorodimethyl-] ............................................. 

Methyltrichlorosilane [Silane, trichloromethyl-] ................................................... 

Isobutyronitrile [Propanenitrile, 2-methyl-] ......................................................... 

Peracetic acid [Ethaneperoxoic acid] ................................................................ 

Methyl chloroformate [Carbonochloridic acid, methylester] ............................... 

Toluene 2,6-diisocyanate [Benzene, 1,3-diisocyanato-2-methyl-]1 ................... 

Epichlorohydrin [Oxirane, (chloromethyl)-] ......................................................... 

Acrolein [2-Propenal] ......................................................................................... 

Allylamine [2-Propen-1-amine] ........................................................................... 

Propionitrile [Propanenitrile] ............................................................................... 

Acrylonitrile [2-Propenenitrile] ............................................................................ 

Ethylenediamine [1,2-Ethanediamine] ............................................................... 

Allyl alcohol [2-Propen-1-ol] ............................................................................... 

Chloromethyl methyl ether [Methane, chloromethoxy-] ..................................... 

Vinyl acetate monomer [Acetic acid ethenyl ester] ........................................... 

Isopropyl chloroformate [Carbonochloridic acid, 1-methylethyl ester] ............... 

Cyclohexylamine [Cyclohexanamine] ................................................................ 

Propyl chloroformate [Carbonochloridic acid, propylester] ................................ 

Furan .................................................................................................................. 

Piperidine ........................................................................................................... 

Crotonaldehyde, (E)- [2-Butenal, (E)-] ............................................................... 

Methacrylonitrile [2-Propenenitrile, 2-methyl-] ................................................... 

Ethyleneimine [Aziridine] .................................................................................... 

Hydrazine ........................................................................................................... 

Boron trifluoride compound with methyl ether (1:1) [Boron, 

trifluoro[oxybis[methane]]-, T-4-. 

15,000 

15,000 

15,000 

20,000 

10,000 

2,500 

10,000 

20,000 

10,000 

500 

10,000 

10,000 

10,000 

10,000 

5,000 

5,000 

20,000 

10,000 

5,000 

10,000 

20,000 

5,000 

10,000 

10,000 

20,000 

20,000 

15,000 

5,000 

15,000 

15,000 

15,000 

15,000 

5,000 

15,000 

20,000 

10,000 

10,000 

15,000 

15,000 

b 

b 

b 

b 

a 

a, b 

b 

b 

a, b 

a, b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

a 

b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

b 

60

Environmental Protection Agency § 68.130 

TABLE 2 TO § 68.130.—L IST OF REGULATED TOXIC SUBSTANCES AND THRESHOLD QUANTITIES FOR


ACCIDENTAL RELEASE PREVENTION—Continued


[CAS Number Order—77 Substances]


CAS No. Chemical name 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

506–77–4 ................... 

509–14–8 ................... 

542–88–1 ................... 

556–64–9 ................... 

584–84–9 ................... 

594–42–3 ................... 

624–83–9 ................... 

814–68–6 ................... 

4170–30–3 ................. 

7446–09–5 ................. 

7446–11–9 ................. 

7550–45–0 ................. 

7637–07–2 ................. 

7647–01–0 ................. 

7647–01–0 ................. 

7664–39–3 ................. 

7664–41–7 ................. 

7664–41–7 ................. 

7697–37–2 ................. 

7719–12–2 ................. 

7726–95–6 ................. 

7782–41–4 ................. 

7782–50–5 ................. 

7783–06–4 ................. 

7783–07–5 ................. 

7783–60–0 ................. 

7784–34–1 ................. 

7784–42–1 ................. 

7803–51–2 ................. 

8014–95–7 ................. 

10025–87–3 ............... 

10049–04–4 ............... 

10102–43–9 ............... 

10294–34–5 ............... 

13463–39–3 ............... 

13463–40–6 ............... 

19287–45–7 ............... 

26471–62–5 ............... 

Cyanogen chloride ............................................................................................. 

Tetranitromethane [Methane, tetranitro-] ........................................................... 

Chloromethyl ether [Methane, oxybis[chloro-] ................................................... 

Methyl thiocyanate [Thiocyanic acid, methyl ester] ........................................... 

Toluene 2,4-diisocyanate [Benzene, 2,4-diisocyanato-1-methyl-]1 ................... 

Perchloromethylmercaptan [Methanesulfenyl chloride, trichloro-] ..................... 

Methyl isocyanate [Methane, isocyanato-] ........................................................ 

Acrylyl chloride [2-Propenoyl chloride] ............................................................... 

Crotonaldehyde [2-Butenal] ............................................................................... 

Sulfur dioxide (anhydrous) ................................................................................. 

Sulfur trioxide ..................................................................................................... 

Titanium tetrachloride [Titanium chloride (TiCl4) (T-4)-] .................................... 

Boron trifluoride [Borane, trifluoro-] .................................................................... 

Hydrochloric acid (conc 37% or greater) ........................................................... 

Hydrogen chloride (anhydrous) [Hydrochloric acid] ........................................... 

Hydrogen fluoride/Hydrofluoric acid (conc 50% or greater) [Hydrofluoric acid] 

Ammonia (anhydrous) ........................................................................................ 

Ammonia (conc 20% or greater) ....................................................................... 

Nitric acid (conc 80% or greater) ....................................................................... 

Phosphorus trichloride [Phosphorous trichloride] .............................................. 

Bromine .............................................................................................................. 

Fluorine .............................................................................................................. 

Chlorine .............................................................................................................. 

Hydrogen sulfide ................................................................................................ 

Hydrogen selenide ............................................................................................. 

Sulfur tetrafluoride [Sulfur fluoride (SF4), (T-4)-] ............................................... 

Arsenous trichloride ........................................................................................... 

Arsine ................................................................................................................. 

Phosphine .......................................................................................................... 

Oleum (Fuming Sulfuric acid) [Sulfuric acid, mixture with sulfur trioxide]1 ....... 

Phosphorus oxychloride [Phosphoryl chloride] .................................................. 

Chlorine dioxide [Chlorine oxide (ClO2)] ............................................................ 

Nitric oxide [Nitrogen oxide (NO)] ...................................................................... 

Boron trichloride [Borane, trichloro-] .................................................................. 

Nickel carbonyl ................................................................................................... 

Iron, pentacarbonyl- [Iron carbonyl (Fe(CO)5), (TB-5-11)-] ............................... 

Diborane ............................................................................................................. 

Toluene diisocyanate (unspecified isomer) [Benzene, 1,3-diisocyanatomethyl1]1. 

10,000 

10,000 

1,000 

20,000 

10,000 

10,000 

10,000 

5,000 

20,000 

5,000 

10,000 

2,500 

5,000 

15,000 

5,000 

1,000 

10,000 

20,000 

15,000 

15,000 

10,000 

1,000 

2,500 

10,000 

500 

2,500 

15,000 

1,000 

5,000 

10,000 

5,000 

1,000 

10,000 

5,000 

1,000 

2,500 

2,500 

10,000 

c 

b 

b 

b 

a 

b 

a, b 

b 

b 

a, b 

a, b 

b 

b 

d 

a 

a, b 

a, b 

a, b 

b 

b 

a, b 

b 

a, b 

a, b 

b 

b 

b 

b 

b 

e 

b 

c 

b 

b 

b 

b 

b 

a 

1 The mixture exemption in § 68.115(b)(1) does not apply to the substance. NOTE: Basis for Listing: a Mandated for listing by Congress. b On EHS list, vapor pressure 10 mmHg or greater. c Toxic gas. d Toxicity of hydrogen chloride, potential to release hydrogen chloride, and history of accidents. e Toxicity of sulfur trioxide and sulfuric acid, potential to release sulfur trioxide, and history of accidents. 

TABLE 3 TO § 68.130.—L IST OF REGULATED FLAMMABLE SUBSTANCES AND THRESHOLD QUANTITIES


FOR ACCIDENTAL RELEASE PREVENTION


[Alphabetical Order—63 Substances]


Chemical name CAS No. 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

Acetaldehyde .................................................................................................................. 

Acetylene [Ethyne] ......................................................................................................... 

Bromotrifluorethylene [Ethene, bromotrifluoro-] ............................................................. 

1,3-Butadiene ................................................................................................................. 

Butane ............................................................................................................................ 

1-Butene ......................................................................................................................... 

2-Butene ......................................................................................................................... 

Butene ............................................................................................................................ 

2-Butene-cis ................................................................................................................... 

2-Butene-trans [2-Butene, (E)] ....................................................................................... 

Carbon oxysulfide [Carbon oxide sulfide (COS)] ........................................................... 

Chlorine monoxide [Chlorine oxide] ............................................................................... 

2-Chloropropylene [1-Propene, 2-chloro-] ..................................................................... 

75–07–0 

74–86–2 

598–73–2 

106–99–0 

106–97–8 

106–98–9 

107–01–7 

25167–67–3 

590–18–1 

624–64–6 

463–58–1 

7791–21–1 

557–98–2 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

g 

f 

f 

f 

f 

f 

f 

f 

f 

f 

f 

f 

g 

61

§ 68.130 40 CFR Ch. I (7–1–99 Edition) 

TABLE 3 TO § 68.130.—L IST OF REGULATED FLAMMABLE SUBSTANCES AND THRESHOLD QUANTITIES


FOR ACCIDENTAL RELEASE PREVENTION—Continued


[Alphabetical Order—63 Substances]


Chemical name CAS No. 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

1-Chloropropylene [1-Propene, 1-chloro-] ..................................................................... 

Cyanogen [Ethanedinitrile] ............................................................................................. 

Cyclopropane ................................................................................................................. 

Dichlorosilane [Silane, dichloro-] .................................................................................... 

Difluoroethane [Ethane, 1,1-difluoro-] ............................................................................ 

Dimethylamine [Methanamine, N-methyl-] ..................................................................... 

2,2-Dimethylpropane [Propane, 2,2-dimethyl-] .............................................................. 

Ethane ............................................................................................................................ 

Ethyl acetylene [1-Butyne] ............................................................................................. 

Ethylamine [Ethanamine] ............................................................................................... 

Ethyl chloride [Ethane, chloro-] ...................................................................................... 

Ethylene [Ethene] ........................................................................................................... 

Ethyl ether [Ethane, 1,1’-oxybis-] ................................................................................... 

Ethyl mercaptan [Ethanethiol] ........................................................................................ 

Ethyl nitrite [Nitrous acid, ethyl ester] ............................................................................ 

Hydrogen ........................................................................................................................ 

Isobutane [Propane, 2-methyl] ....................................................................................... 

Isopentane [Butane, 2-methyl-] ...................................................................................... 

Isoprene [1,3-Butadinene, 2-methyl-] ............................................................................. 

Isopropylamine [2-Propanamine] ................................................................................... 

Isopropyl chloride [Propane, 2-chloro-] .......................................................................... 

Methane ......................................................................................................................... 

Methylamine [Methanamine] .......................................................................................... 

3-Methyl-1-butene .......................................................................................................... 

2-Methyl-1-butene .......................................................................................................... 

Methyl ether [Methane, oxybis-] ..................................................................................... 

Methyl formate [Formic acid, methyl ester] ................................................................... 

2-Methylpropene [1-Propene, 2-methyl-] ....................................................................... 

1,3-Pentadinene ............................................................................................................. 

Pentane .......................................................................................................................... 

1-Pentene ....................................................................................................................... 

2-Pentene, (E)- ............................................................................................................... 

2-Pentene, (Z)- ............................................................................................................... 

Propadiene [1,2-Propadiene] ......................................................................................... 

Propane .......................................................................................................................... 

Propylene [1-Propene] ................................................................................................... 

Propyne [1-Propyne] ...................................................................................................... 

Silane ............................................................................................................................. 

Tetrafluoroethylene [Ethene, tetrafluoro-] ...................................................................... 

Tetramethylsilane [Silane, tetramethyl-] ......................................................................... 

Trichlorosilane [Silane, trichloro-] ................................................................................... 

Trifluorochloroethylene [Ethene, chlorotrifluoro-] ........................................................... 

Trimethylamine [Methanamine, N,N-dimethyl-] .............................................................. 

Vinyl acetylene [1-Buten-3-yne] ..................................................................................... 

Vinyl chloride [Ethene, chloro-] ...................................................................................... 

Vinyl ethyl ether [Ethene, ethoxy-] ................................................................................. 

Vinyl fluoride [Ethene, fluoro-] ........................................................................................ 

Vinylidene chloride [Ethene, 1,1-dichloro-] .................................................................... 

Vinylidene fluoride [Ethene, 1,1-difluoro-] ...................................................................... 

Vinyl methyl ether [Ethene, methoxy-] ........................................................................... 

590–21–6 

460–19–5 

75–19–4 

4109–96–0 

75–37–6 

124–40–3 

463–82–1 

74–84–0 

107–00–6 

75–04–7 

75–00–3 

74–85–1 

60–29–7 

75–08–1 

109–95–5 

1333–74–0 

75–28–5 

78–78–4 

78–79–5 

75–31–0 

75–29–6 

74–82–8 

74–89–5 

563–45–1 

563–46–2 

115–10–6 

107–31–3 

115–11–7 

504–60–9 

109–66–0 

109–67–1 

646–04–8 

627–20–3 

463–49–0 

74–98–6 

115–07–1 

74–99–7 

7803–62–5 

116–14–3 

75–76–3 

10025–78–2 

79–38–9 

75–50–3 

689–97–4 

75–01–4 

109–92–2 

75–02–5 

75–35–4 

75–38–7 

107–25–5 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

g 

f 

f 

f 

f 

f 

f 

f 

f 

f 

f 

f 

g 

g 

f 

f 

f 

g 

g 

g 

g 

f 

f 

f 

g 

f 

g 

f 

f 

g 

g 

g 

g 

f 

f 

f 

f 

f 

f 

g 

g 

f 

f 

f 

a, f 

g 

f 

g 

f 

f 

NOTE: Basis for Listing:
 a Mandated for listing by Congress.
 f Flammable gas.


g Volatile flammable liquid.


TABLE 4 TO § 68.130.—L IST OF REGULATED FLAMMABLE SUBSTANCES AND THRESHOLD QUANTITIES


FOR ACCIDENTAL RELEASE PREVENTION


[CAS Number Order—63 Substances]


CAS No. Chemical name CAS No. Threshold 

quantity 

(lbs) 

Basis for 

listing 

60–29–7 ..................... 

74–82–8 ..................... 

74–84–0 ..................... 

74–85–1 ..................... 

Ethyl ether [Ethane, 1,1′-oxybis-] .......................................... 

Methane ................................................................................. 

Ethane ................................................................................... 

Ethylene [Ethene] .................................................................. 

60–29–7 

74–82–8 

74–84–0 

74–85–1 

10,000 

10,000 

10,000 

10,000 

g 

f 

f 

f 

62

Environmental Protection Agency § 68.130 

TABLE 4 TO § 68.130.—L IST OF REGULATED FLAMMABLE SUBSTANCES AND THRESHOLD QUANTITIES


FOR ACCIDENTAL RELEASE PREVENTION—Continued


[CAS Number Order—63 Substances]


CAS No. Chemical name CAS No. 

Threshold 

quantity 

(lbs) 

Basis for 

listing 

74–86–2 ..................... 

74–89–5 ..................... 

74–98–6 ..................... 

74–99–7 ..................... 

75–00–3 ..................... 

75–01–4 ..................... 

75–02–5 ..................... 

75–04–7 ..................... 

75–07–0 ..................... 

75–08–1 ..................... 

75–19–4 ..................... 

75–28–5 ..................... 

75–29–6 ..................... 

75–31–0 ..................... 

75–35–4 ..................... 

75–37–6 ..................... 

75–38–7 ..................... 

75–50–3 ..................... 

75–76–3 ..................... 

78–78–4 ..................... 

78–79–5 ..................... 

79–38–9 ..................... 

106–97–8 ................... 

106–98–9 ................... 

196–99–0 ................... 

107–00–6 ................... 

107–01–7 ................... 

107–25–5 ................... 

107–31–3 ................... 

109–66–0 ................... 

109–67–1 ................... 

109–92–2 ................... 

109–95–5 ................... 

115–07–1 ................... 

115–10–6 ................... 

115–11–7 ................... 

116–14–3 ................... 

124–40–3 ................... 

460–19–5 ................... 

463–49–0 ................... 

463–58–1 ................... 

463–82–1 ................... 

504–60–9 ................... 

557–98–2 ................... 

563–45–1 ................... 

563–46–2 ................... 

590–18–1 ................... 

590–21–6 ................... 

598–73–2 ................... 

624–64–6 ................... 

627–20–3 ................... 

646–04–8 ................... 

689–97–4 ................... 

1333–74–0 ................. 

4109–96–0 ................. 

7791–21–1 ................. 

7803–62–5 ................. 

10025–78–2 ............... 

25167–67–3 ............... 

Acetylene [Ethyne] ................................................................ 

Methylamine [Methanamine] ................................................. 

Propane ................................................................................. 

Propyne [1-Propyne] ............................................................. 

Ethyl chloride [Ethane, chloro-] ............................................. 

Vinyl chloride [Ethene, chloro-] ............................................. 

Vinyl fluoride [Ethene, fluoro-] ............................................... 

Ethylamine [Ethanamine] ...................................................... 

Acetaldehyde ......................................................................... 

Ethyl mercaptan [Ethanethiol] ............................................... 

Cyclopropane ........................................................................ 

Isobutane [Propane, 2-methyl] .............................................. 

Isopropyl chloride [Propane, 2-chloro-] ................................. 

Isopropylamine [2-Propanamine] .......................................... 

Vinylidene chloride [Ethene, 1,1-dichloro-] ........................... 

Difluoroethane [Ethane, 1,1-difluoro-] ................................... 

Vinylidene fluoride [Ethene, 1,1-difluoro-] ............................. 

Trimethylamine [Methanamine, N, N-dimethyl-] .................... 

Tetramethylsilane [Silane, tetramethyl-] ................................ 

Isopentane [Butane, 2-methyl-] ............................................. 

Isoprene [1,3,-Butadiene, 2-methyl-] ..................................... 

Trifluorochloroethylene [Ethene, chlorotrifluoro-] .................. 

Butane ................................................................................... 

1-Butene ................................................................................ 

1,3-Butadiene ........................................................................ 

Ethyl acetylene [1-Butyne] .................................................... 

2-Butene ................................................................................ 

Vinyl methyl ether [Ethene, methoxy-] .................................. 

Methyl formate [Formic acid, methyl ester] ........................... 

Pentane ................................................................................. 

1-Pentene .............................................................................. 

Vinyl ethyl ether [Ethene, ethoxy-] ........................................ 

Ethyl nitrite [Nitrous acid, ethyl ester] ................................... 

Propylene [1-Propene] .......................................................... 

Methyl ether [Methane, oxybis-] ............................................ 

2-Methylpropene [1-Propene, 2-methyl-] .............................. 

Tetrafluoroethylene [Ethene, tetrafluoro-] ............................. 

Dimethylamine [Methanamine, N-methyl-] ............................ 

Cyanogen [Ethanedinitrile] .................................................... 

Propadiene [1,2-Propadiene] ................................................ 

Carbon oxysulfide [Carbon oxide sulfide (COS)] .................. 

2,2-Dimethylpropane [Propane, 2,2-dimethyl-] ..................... 

1,3-Pentadiene ...................................................................... 

2-Chloropropylene [1-Propene, 2-chloro-] ............................. 

3-Methyl-1-butene ................................................................. 

2-Methyl-1-butene ................................................................. 

2-Butene-cis .......................................................................... 

1-Chloropropylene [1-Propene, 1-chloro-] ............................. 

Bromotrifluorethylene [Ethene, bromotrifluoro-] .................... 

2-Butene-trans [2-Butene, (E)] .............................................. 

2-Pentene, (Z)- ...................................................................... 

2-Pentene, (E)- ...................................................................... 

Vinyl acetylene [1-Buten-3-yne] ............................................ 

Hydrogen ............................................................................... 

Dichlorosilane [Silane, dichloro-] ........................................... 

Chlorine monoxide [Chlorine oxide] ...................................... 

Silane ..................................................................................... 

Trichlorosilane [Silane,trichloro-] ........................................... 

Butene ................................................................................... 

74–86–2 

74–89–5 

74–98–6 

74–99–7 

75–00–3 

75–01–4 

75–02–5 

75–04–7 

75–07–0 

75–08–1 

75–19–4 

75–28–5 

75–29–6 

75–31–0 

75–35–4 

75–37–6 

75–38–7 

75–50–3 

75–76–3 

78–78–4 

78–79–5 

79–38–9 

106–97–8 

106–98–9 

106–99–0 

107–00–6 

107–01–7 

107–25–5 

107–31–3 

109–66–0 

109–67–1 

109–92–2 

109–95–5 

115–07–1 

115–10–6 

115–11–7 

116–14–3 

124–40–3 

460–19–5 

463–49–0 

463–58–1 

463–82–1 

504–60–9 

557–98–2 

563–45–1 

563–46–2 

590–18–1 

590–21–6 

598–73–2 

624–64–6 

627–20–3 

646–04–8 

689–97–4 

1333–74–0 

4109–96–0 

7791–21–1 

7803–62–5 

10025–78–2 

25167–67–3 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

10,000 

f 

f 

f 

f 

f 

a, f 

f 

f 

g 

g 

f 

f 

g 

g 

g 

f 

f 

f 

g 

g 

g 

f 

f 

f 

f 

f 

f 

f 

g 

g 

g 

g 

f 

f 

f 

f 

f 

f 

f 

f 

f 

f 

f 

g 

f 

g 

f 

g 

f 

f 

g 

g 

f 

f 

f 

f 

f 

g 

f 

Note: Basis for Listing: a Mandated for listing by Congress. f Flammable gas. g Volatile flammable liquid. 

[59 FR 4493, Jan. 31, 1994. Redesignated at 61 FR 31717, June 20, 1996, as amended at 62 FR 45132, 

Aug. 25, 1997; 63 FR 645, Jan. 6, 1998] 

63 
§ 68.150 

Subpart G—Risk Management


Plan


SOURCE: 61 FR 31726, June 20, 1996, unless 

otherwise noted. 

§ 68.150 Submission. 

(a) The owner or operator shall submit a single RMP that includes the information required by §§ 68.155 through 

68.185 for all covered processes. The 

RMP shall be submitted in a method 

and format to a central point as specified by EPA prior to June 21, 1999. 

(b) The owner or operator shall submit the first RMP no later than the 

latest of the following dates: 

(1) June 21, 1999; 

(2) Three years after the date on 

which a regulated substance is first 

listed under § 68.130; or 

(3) The date on which a regulated 

substance is first present above a 

threshold quantity in a process. 

(c) Subsequent submissions of RMPs 

shall be in accordance with § 68.190. 

(d) Notwithstanding the provisions of 

§§ 68.155 to 68.190, the RMP shall exclude classified information. Subject to 

appropriate procedures to protect such 

information from public disclosure, 

classified data or information excluded 

from the RMP may be made available 

in a classified annex to the RMP for review by Federal and state representatives who have received the appropriate security clearances. 

(e) Procedures for asserting that information submitted in the RMP is entitled to protection as confidential 

business information are set forth in 

§§ 68.151 and 68.152. 

[61 FR 31726, June 20, 1996, as amended at 64 

FR 979, Jan. 6, 1999] 

§ 68.151 Assertion of claims of confidential business information. 

(a) Except as provided in paragraph 

(b) of this section, an owner or operator of a stationary source required to 

report or otherwise provide information under this part may make a claim 

of confidential business information 

for any such information that meets 

the criteria set forth in 40 CFR 2.301. 

(b) Notwithstanding the provisions of 

40 CFR part 2, an owner or operator of 

a stationary source subject to this part 

40 CFR Ch. I (7–1–99 Edition) 

may not claim as confidential business 

information the following information: 

(1) Registration data required by 

§ 68.160(b)(1) through (b)(6) and (b)(8), 

(b)(10) through (b)(13) and NAICS code 

and Program level of the process set 

forth in § 68.160(b)(7); 

(2) Offsite consequence analysis data 

required by § 68.165(b)(4), (b)(9), (b)(10), 

(b)(11), and (b)(12). 

(3) Accident history data required by 

§ 68.168; 

(4) Prevention program data required 

by § 68.170(b), (d), (e)(1), (f) through (k); 

(5) Prevention program data required 

by § 68.175(b), (d), (e)(1), (f) through (p); 

and 

(6) Emergency response program data 

required by § 68.180. 

(c) Notwithstanding the procedures 

specified in 40 CFR part 2, an owner or 

operator asserting a claim of CBI with 

respect to information contained in its 

RMP, shall submit to EPA at the time 

it submits the RMP the following: 

(1) The information claimed confidential, provided in a format to be 

specified by EPA; 

(2) A sanitized (redacted) copy of the 

RMP, with the notation ‘‘CBI’’ substituted for the information claimed 

confidential, except that a generic category or class name shall be substituted for any chemical name or 

identity claimed confidential; and 

(3) The document or documents substantiating each claim of confidential 

business information, as described in 

§ 68.152. 

[64 FR 979, Jan. 6, 1999] 

§ 68.152 Substantiating claims of confidential business information. 

(a) An owner or operator claiming 

that information is confidential business information must substantiate 

that claim by providing documentation 

that demonstrates that the claim 

meets the substantive criteria set forth 

in 40 CFR 2.301. 

(b) Information that is submitted as 

part of the substantiation may be 

claimed confidential by marking it as 

confidential business information. Information not so marked will be treated as public and may be disclosed without notice to the submitter. If information that is submitted as part of the 

substantiation is claimed confidential, 

64

Environmental Protection Agency 

the owner or operator must provide a 

sanitized and unsanitized version of the 

substantiation. 

(c) The owner, operator, or senior official with management responsibility 

of the stationary source shall sign a 

certification that the signer has personally examined the information submitted and that based on inquiry of the 

persons who compiled the information, 

the information is true, accurate, and 

complete, and that those portions of 

the substantiation claimed as confidential business information would, if disclosed, reveal trade secrets or other 

confidential business information. 

[64 FR 980, Jan. 6, 1999] 

§ 68.155 Executive summary. 

The owner or operator shall provide 

in the RMP an executive summary that 

includes a brief description of the following elements: 

(a) The accidental release prevention 

and emergency response policies at the 

stationary source; 

(b) The stationary source and regulated substances handled; 

(c) The worst-case release scenario(s) 

and the alternative release scenario(s), 

including administrative controls and 

mitigation measures to limit the distances for each reported scenario; 

(d) The general accidental release 

prevention program and chemical-specific prevention steps; 

(e) The five-year accident history; 

(f) The emergency response program; 

and 

(g) Planned changes to improve safety. 

§ 68.160 Registration. 

(a) The owner or operator shall complete a single registration form and include it in the RMP. The form shall 

cover all regulated substances handled 

in covered processes. 

(b) The registration shall include the 

following data: 

(1) Stationary source name, street, 

city, county, state, zip code, latitude 

and longitude, method for obtaining 

latitude and longitude, and description 

of location that latitude and longitude 

represent; 

(2) The stationary source Dun and 

Bradstreet number; 

§ 68.165 

(3) Name and Dun and Bradstreet 

number of the corporate parent company; 

(4) The name, telephone number, and 

mailing address of the owner or operator; 

(5) The name and title of the person 

or position with overall responsibility 

for RMP elements and implementation; 

(6) The name, title, telephone number, and 24-hour telephone number of 

the emergency contact; 

(7) For each covered process, the 

name and CAS number of each regulated substance held above the threshold quantity in the process, the maximum quantity of each regulated substance or mixture in the process (in 

pounds) to two significant digits, the 

five- or six-digit NAICS code that most 

closely corresponds to the process, and 

the Program level of the process; 

(8) The stationary source EPA identifier; 

(9) The number of full-time employees at the stationary source; 

(10) Whether the stationary source is 

subject to 29 CFR 1910.119; 

(11) Whether the stationary source is 

subject to 40 CFR part 355; 

(12) If the stationary source has a 

CAA Title V operating permit, the permit number; and 

(13) The date of the last safety inspection of the stationary source by a 

Federal, state, or local government 

agency and the identity of the inspecting entity. 

(14) Source or Parent Company EMail Address (Optional); 

(15) Source Homepage address (Optional) 

(16) Phone number at the source for 

public inquiries (Optional); 

(17) Local Emergency Planning Committee (Optional); 

(18) OSHA Voluntary Protection Program status (Optional); 

[61 FR 31726, June 20, 1996, as amended at 64 

FR 980, Jan. 6, 1999] 

§ 68.165 Offsite consequence analysis. 

(a) The owner or operator shall submit in the RMP information: 

(1) One worst-case release scenario 

for each Program 1 process; and 

(2) For Program 2 and 3 processes, 

one worst-case release scenario to represent all regulated toxic substances 

65

§ 68.168 

held above the threshold quantity and 

one worst-case release scenario to represent all regulated flammable substances held above the threshold quantity. If additional worst-case scenarios 

for toxics or flammables are required 

by § 68.25(a)(2)(iii), the owner or operator shall submit the same information 

on the additional scenario(s). The 

owner or operator of Program 2 and 3 

processes shall also submit information 

on one alternative release scenario for 

each regulated toxic substance held 

above the threshold quantity and one 

alternative release scenario to represent all regulated flammable substances held above the threshold quantity. 

(b) The owner or operator shall submit the following data: 

(1) Chemical name; 

(2) Percentage weight of the chemical 

in a liquid mixture (toxics only); 

(3) Physical state (toxics only); 

(4) Basis of results (give model name 

if used); 

(5) Scenario (explosion, fire, toxic gas 

release, or liquid spill and evaporation); 

(6) Quantity released in pounds; 

(7) Release rate; 

(8) Release duration; 

(9) Wind speed and atmospheric stability class (toxics only); 

(10) Topography (toxics only); 

(11) Distance to endpoint; 

(12) Public and environmental receptors within the distance; 

(13) Passive mitigation considered; 

and 

(14) Active mitigation considered (alternative releases only); 

[61 FR 31726, June 20, 1996, as amended at 64 

FR 980, Jan. 6, 1999] 

§ 68.168 Five-year accident history. 

The owner or operator shall submit 

in the RMP the information provided 

in § 68.42(b) on each accident covered by 

§ 68.42(a). 

§ 68.170 Prevention program/Program 

2. 

(a) For each Program 2 process, the 

owner or operator shall provide in the 

RMP the information indicated in 

paragraphs (b) through (k) of this section. If the same information applies to 

more than one covered process, the 

40 CFR Ch. I (7–1–99 Edition) 

owner or operator may provide the information only once, but shall indicate 

to which processes the information applies. 

(b) The five- or six-digit NAICS code 

that most closely corresponds to the 

process. 

(c) The name(s) of the chemical(s) 

covered. 

(d) The date of the most recent review or revision of the safety information and a list of Federal or state regulations or industry-specific design 

codes and standards used to demonstrate compliance with the safety information requirement. 

(e) The date of completion of the 

most recent hazard review or update. 

(1) The expected date of completion 

of any changes resulting from the hazard review; 

(2) Major hazards identified; 

(3) Process controls in use; 

(4) Mitigation systems in use; 

(5) Monitoring and detection systems 

in use; and 

(6) Changes since the last hazard review. 

(f) The date of the most recent review 

or revision of operating procedures. 

(g) The date of the most recent review or revision of training programs; 

(1) The type of training provided— 

classroom, classroom plus on the job, 

on the job; and 

(2) The type of competency testing 

used. 

(h) The date of the most recent review or revision of maintenance procedures and the date of the most recent 

equipment inspection or test and the 

equipment inspected or tested. 

(i) The date of the most recent compliance audit and the expected date of 

completion of any changes resulting 

from the compliance audit. 

(j) The date of the most recent incident investigation and the expected 

date of completion of any changes resulting from the investigation. 

(k) The date of the most recent 

change that triggered a review or revision of safety information, the hazard 

review, operating or maintenance procedures, or training. 

[61 FR 31726, June 20, 1996, as amended at 64 

FR 980, Jan. 6, 1999] 

66

Environmental Protection Agency 

§ 68.175 Prevention program/Program

3. 

(a) For each Program 3 process, the 

owner or operator shall provide the information indicated in paragraphs (b) 

through (p) of this section. If the same 

information applies to more than one 

covered process, the owner or operator 

may provide the information only 

once, but shall indicate to which processes the information applies. 

(b) The five- or six-digit NAICS code 

that most closely corresponds to the 

process. 

(c) The name(s) of the substance(s) 

covered. 

(d) The date on which the safety information was last reviewed or revised. 

(e) The date of completion of the 

most recent PHA or update and the 

technique used. 

(1) The expected date of completion 

of any changes resulting from the PHA; 

(2) Major hazards identified; 

(3) Process controls in use; 

(4) Mitigation systems in use; 

(5) Monitoring and detection systems 

in use; and 

(6) Changes since the last PHA. 

(f) The date of the most recent review 

or revision of operating procedures. 

(g) The date of the most recent review or revision of training programs; 

(1) The type of training provided— 

classroom, classroom plus on the job, 

on the job; and 

(2) The type of competency testing 

used. 

(h) The date of the most recent review or revision of maintenance procedures and the date of the most recent 

equipment inspection or test and the 

equipment inspected or tested. 

(i) The date of the most recent 

change that triggered management of 

change procedures and the date of the 

most recent review or revision of management of change procedures. 

(j) The date of the most recent prestartup review. 

(k) The date of the most recent compliance audit and the expected date of 

completion of any changes resulting 

from the compliance audit; 

(l) The date of the most recent incident investigation and the expected 

date of completion of any changes resulting from the investigation; 

§ 68.185 

(m) The date of the most recent review or revision of employee participation plans; 

(n) The date of the most recent review or revision of hot work permit 

procedures; 

(o) The date of the most recent review or revision of contractor safety 

procedures; and 

(p) The date of the most recent evaluation of contractor safety performance. 

[61 FR 31726, June 20, 1996, as amended at 64 

FR 980, Jan. 6, 1999] 

§ 68.180 Emergency response program. 

(a) The owner or operator shall provide in the RMP the following information: 

(1) Do you have a written emergency 

response plan? 

(2) Does the plan include specific actions to be taken in response to an accidental releases of a regulated substance? 

(3) Does the plan include procedures 

for informing the public and local 

agencies responsible for responding to 

accidental releases? 

(4) Does the plan include information 

on emergency health care? 

(5) The date of the most recent review or update of the emergency response plan; 

(6) The date of the most recent emergency response training for employees. 

(b) The owner or operator shall provide the name and telephone number of 

the local agency with which emergency 

response activities and the emergency 

response plan is coordinated. 

(c) The owner or operator shall list 

other Federal or state emergency plan 

requirements to which the stationary 

source is subject. 

[61 FR 31726, June 20, 1996, as amended at 64 

FR 980, Jan. 6, 1999] 

§ 68.185 Certification. 

(a) For Program 1 processes, the 

owner or operator shall submit in the 

RMP the certification statement provided in § 68.12(b)(4). 

(b) For all other covered processes, 

the owner or operator shall submit in 

the RMP a single certification that, to 

67

§ 68.190 

the best of the signer’s knowledge, information, and belief formed after reasonable inquiry, the information submitted is true, accurate, and complete. 

§ 68.190 Updates. 

(a) The owner or operator shall review and update the RMP as specified 

in paragraph (b) of this section and 

submit it in a method and format to a 

central point specified by EPA prior to 

June 21, 1999. 

(b) The owner or operator of a stationary source shall revise and update 

the RMP submitted under § 68.150 as 

follows: 

(1) Within five years of its initial submission or most recent update required 

by paragraphs (b)(2) through (b)(7) of 

this section, whichever is later. 

(2) No later than three years after a 

newly regulated substance is first listed by EPA; 

(3) No later than the date on which a 

new regulated substance is first 

present in an already covered process 

above a threshold quantity; 

(4) No later than the date on which a 

regulated substance is first present 

above a threshold quantity in a new 

process; 

(5) Within six months of a change 

that requires a revised PHA or hazard 

review; 

(6) Within six months of a change 

that requires a revised offsite consequence analysis as provided in § 68.36; 

and 

(7) Within six months of a change 

that alters the Program level that applied to any covered process. 

(c) If a stationary source is no longer 

subject to this part, the owner or operator shall submit a revised registration 

to EPA within six months indicating 

that the stationary source is no longer 

covered. 

Subpart H—Other Requirements 

SOURCE: 61 FR 31728, June 20, 1996, unless 

otherwise noted. 

§ 68.200 Recordkeeping. 

The owner or operator shall maintain 

records supporting the implementation 

of this part for five years unless otherwise provided in subpart D of this part. 

40 CFR Ch. I (7–1–99 Edition) 

§ 68.210 Availability of information to

the public. 

(a) The RMP required under subpart 

G of this part shall be available to the 

public under 42 U.S.C. 7414(c). 

(b) The disclosure of classified information by the Department of Defense 

or other Federal agencies or contractors of such agencies shall be controlled by applicable laws, regulations, 

or executive orders concerning the release of classified information. 

§ 68.215 Permit content and air permitting authority or designated 

agency requirements. 

(a) These requirements apply to any 

stationary source subject to this part 

68 and parts 70 or 71 of this chapter. 

The 40 CFR part 70 or part 71 permit for 

the stationary source shall contain: 

(1) A statement listing this part as 

an applicable requirement; 

(2) Conditions that require the source 

owner or operator to submit: 

(i) A compliance schedule for meeting the requirements of this part by 

the date provided in § 68.10(a) or; 

(ii) As part of the compliance certification submitted under 40 CFR 

70.6(c)(5), a certification statement 

that the source is in compliance with 

all requirements of this part, including 

the registration and submission of the 

RMP. 

(b) The owner or operator shall submit any additional relevant information requested by the air permitting 

authority or designated agency. 

(c) For 40 CFR part 70 or part 71 permits issued prior to the deadline for 

registering and submitting the RMP 

and which do not contain permit conditions described in paragraph (a) of this 

section, the owner or operator or air 

permitting authority shall initiate permit revision or reopening according to 

the procedures of 40 CFR 70.7 or 71.7 to 

incorporate the terms and conditions 

consistent with paragraph (a) of this 

section. 

(d) The state may delegate the authority to implement and enforce the 

requirements of paragraph (e) of this 

section to a state or local agency or 

agencies other than the air permitting 

authority. An up-to-date copy of any 

delegation instrument shall be maintained by the air permitting authority. 

68

Environmental Protection Agency 

The state may enter a written agreement with the Administrator under 

which EPA will implement and enforce 

the requirements of paragraph (e) of 

this section. 

(e) The air permitting authority or 

the agency designated by delegation or 

agreement under paragraph (d) of this 

section shall, at a minimum: 

(1) Verify that the source owner or 

operator has registered and submitted 

an RMP or a revised plan when required by this part; 

(2) Verify that the source owner or 

operator has submitted a source certification or in its absence has submitted a compliance schedule consistent with paragraph (a)(2) of this 

section; 

(3) For some or all of the sources subject to this section, use one or more 

mechanisms such as, but not limited 

to, a completeness check, source audits, record reviews, or facility inspections to ensure that permitted sources 

are in compliance with the requirements of this part; and 

(4) Initiate enforcement action based 

on paragraphs (e)(1) and (e)(2) of this 

section as appropriate. 

§ 68.220 Audits. 

(a) In addition to inspections for the 

purpose of regulatory development and 

enforcement of the Act, the implementing agency shall periodically 

audit RMPs submitted under subpart G 

of this part to review the adequacy of 

such RMPs and require revisions of 

RMPs when necessary to ensure compliance with subpart G of this part. 

(b) The implementing agency shall 

select stationary sources for audits 

based on any of the following criteria: 

(1) Accident history of the stationary 

source; 

(2) Accident history of other stationary sources in the same industry; 

(3) Quantity of regulated substances 

present at the stationary source; 

(4) Location of the stationary source 

and its proximity to the public and environmental receptors; 

(5) The presence of specific regulated 

substances; 

(6) The hazards identified in the 

RMP; and 

(7) A plan providing for neutral, random oversight. 

§ 68.220 

(c) Exemption from audits. A stationary source with a Star or Merit 

ranking under OSHA’s voluntary protection program shall be exempt from 

audits under paragraph (b)(2) and (b)(7) 

of this section. 

(d) The implementing agency shall 

have access to the stationary source, 

supporting documentation, and any 

area where an accidental release could 

occur. 

(e) Based on the audit, the implementing agency may issue the owner 

or operator of a stationary source a 

written preliminary determination of 

necessary revisions to the stationary 

source’s RMP to ensure that the RMP 

meets the criteria of subpart G of this 

part. The preliminary determination 

shall include an explanation for the 

basis for the revisions, reflecting industry standards and guidelines (such as 

AIChE/CCPS guidelines and ASME and 

API standards) to the extent that such 

standards and guidelines are applicable, and shall include a timetable for 

their implementation. 

(f) Written response to a preliminary determination. (1) The owner or operator 

shall respond in writing to a preliminary determination made in accordance with paragraph (e) of this section. 

The response shall state the owner or 

operator will implement the revisions 

contained in the preliminary determination in accordance with the timetable included in the preliminary determination or shall state that the 

owner or operator rejects the revisions 

in whole or in part. For each rejected 

revision, the owner or operator shall 

explain the basis for rejecting such revision. Such explanation may include 

substitute revisions. 

(2) The written response under paragraph (f)(1) of this section shall be received by the implementing agency 

within 90 days of the issue of the preliminary determination or a shorter 

period of time as the implementing 

agency specifies in the preliminary determination as necessary to protect 

public health and the environment. 

Prior to the written response being due 

and upon written request from the 

owner or operator, the implementing 

agency may provide in writing additional time for the response to be received. 

69

§ 68.220 

(g) After providing the owner or operator an opportunity to respond under 

paragraph (f) of this section, the implementing agency may issue the owner 

or operator a written final determination of necessary revisions to the stationary source’s RMP. The final determination may adopt or modify the revisions contained in the preliminary 

determination under paragraph (e) of 

this section or may adopt or modify 

the substitute revisions provided in the 

response under paragraph (f) of this 

section. A final determination that 

adopts a revision rejected by the owner 

or operator shall include an explanation of the basis for the revision. A 

final determination that fails to adopt 

a substitute revision provided under 

paragraph (f) of this section shall include an explanation of the basis for 

finding such substitute revision unreasonable. 

40 CFR Ch. I (7–1–99 Edition) 

(h) Thirty days after completion of 

the actions detailed in the implementation schedule set in the final determination under paragraph (g) of this 

section, the owner or operator shall be 

in violation of subpart G of this part 

and this section unless the owner or 

operator revises the RMP prepared 

under subpart G of this part as required 

by the final determination, and submits the revised RMP as required 

under § 68.150. 

(i) The public shall have access to the 

preliminary determinations, responses, 

and final determinations under this 

section in a manner consistent with 

§ 68.210. 

(j) Nothing in this section shall preclude, limit, or interfere in any way 

with the authority of EPA or the state 

to exercise its enforcement, investigatory, and information gathering authorities concerning this part under 

the Act. 

70

Environmental Protection Agency Pt. 68, App. A 

APPENDIX A TO PART 68—T ABLE OF 

TOXIC ENDPOINTS 

[As defined in § 68.22 of this part]

CAS No. Chemical name Toxic end­ point (mg/L) 

107–02–8 ............................................107–13–1 ............................................814–68–6 ............................................107–18–6 ............................................107–11–9 ............................................7664–41–7 ..........................................7664–41–7 ..........................................7784–34–1 ..........................................7784–42–1 ..........................................10294–34–5 ........................................7637–07–2 ..........................................353–42–4 ............................................7726–95–6 ..........................................75–15–0 ..............................................7782–50–5 ..........................................10049–04–4 ........................................67–66–3 ..............................................542–88–1 ............................................107–30–2 ............................................4170–30–3 ..........................................123–73–9 ............................................506–77–4 ............................................108–91–8 ............................................19287–45–7 ........................................75–78–5 ..............................................57–14–7 ..............................................106–89–8 ............................................107–15–3 ............................................151–56–4 ............................................75–21–8 ..............................................7782–41–4 ..........................................50–00–0 ..............................................110–00–9 ............................................302–01–2 ............................................7647–01–0 ..........................................74–90–8 ..............................................7647–01–0 ..........................................7664–39–3 ..........................................7783–07–5 ..........................................7783–06–4 ..........................................13463–40–6 ........................................78–82–0 ..............................................108–23–6 ............................................126–98–7 ............................................ 

Acrolein [2-Propenal] ..................................................................................................................................................................................Acrylonitrile [2-Propenenitrile] ..................................................................................................................................................................... Acrylyl chloride [2-Propenoyl chloride] .......................................................................................................................................................Allyl alcohol [2-Propen-1-ol] ........................................................................................................................................................................ Allylamine [2-Propen-1-amine] ...................................................................................................................................................................Ammonia (anhydrous) ................................................................................................................................................................................Ammonia (conc 20% or greater) ................................................................................................................................................................Arsenous trichloride ....................................................................................................................................................................................Arsine .......................................................................................................................................................................................................... Boron trichloride [Borane, trichloro-] ........................................................................................................................................................... Boron trifluoride [Borane, trifluoro-] ............................................................................................................................................................Boron trifluoride compound with methyl ether (1:1) [Boron, trifluoro[oxybis[methane]]-, T-4 ....................................................................Bromine ....................................................................................................................................................................................................... Carbon disulfide .......................................................................................................................................................................................... Chlorine ....................................................................................................................................................................................................... Chlorine dioxide [Chlorine oxide (ClO2)] .................................................................................................................................................... Chloroform [Methane, trichloro-] ................................................................................................................................................................. Chloromethyl ether [Methane, oxybis[chloro-] ............................................................................................................................................ Chloromethyl methyl ether [Methane, chloromethoxy-] .............................................................................................................................. Crotonaldehyde [2-Butenal] ........................................................................................................................................................................Crotonaldehyde, (E)-, [2-Butenal, (E)-] ....................................................................................................................................................... Cyanogen chloride ...................................................................................................................................................................................... Cyclohexylamine [Cyclohexanamine] .........................................................................................................................................................Diborane .....................................................................................................................................................................................................Dimethyldichlorosilane [Silane, dichlorodimethyl-] .....................................................................................................................................1,1-Dimethylhydrazine [Hydrazine, 1,1-dimethyl-] ...................................................................................................................................... Epichlorohydrin [Oxirane, (chloromethyl)-] .................................................................................................................................................Ethylenediamine [1,2-Ethanediamine] ........................................................................................................................................................Ethyleneimine [Aziridine] ............................................................................................................................................................................Ethylene oxide [Oxirane] ............................................................................................................................................................................Fluorine .......................................................................................................................................................................................................Formaldehyde (solution) .............................................................................................................................................................................Furan ........................................................................................................................................................................................................... Hydrazine .................................................................................................................................................................................................... Hydrochloric acid (conc 37% or greater) .................................................................................................................................................... Hydrocyanic acid ........................................................................................................................................................................................Hydrogen chloride (anhydrous) [Hydrochloric acid] ...................................................................................................................................Hydrogen fluoride/Hydrofluoric acid (conc 50% or greater) [Hydrofluoric acid] ......................................................................................... Hydrogen selenide ...................................................................................................................................................................................... Hydrogen sulfide ......................................................................................................................................................................................... Iron, pentacarbonyl- [Iron carbonyl (Fe(CO)5), (TB–5–11)-] ...................................................................................................................... Isobutyronitrile [Propanenitrile, 2-methyl-] ..................................................................................................................................................Isopropyl chloroformate [Carbonochloride acid, 1-methylethyl ester] ........................................................................................................Methacrylonitrile [2-Propenenitrile, 2-methyl-] ............................................................................................................................................ 

0.0011 

0.076 

0.00090 0.036 0.0032 

0.14 

0.14 

0.010 

0.0019 0.010 0.028 0.023 

0.0065 0.16 0.0087 

0.0028 

0.49 

0.00025 0.0018 

0.029 

0.029 0.030 0.16 

0.0011 0.026 

0.012 

0.076 0.49 

0.018 0.090 0.0039 0.012 

0.0012 

0.011 

0.030 

0.011 0.030 0.016 0.00066 

0.042 

0.00044 

0.14 

0.10 0.0027 

71

Pt. 68, App. A 40 CFR Ch. I (7–1–99 Edition) 

72


APPENDIX A TO PART 68—T ABLE OF 

TOXIC ENDPOINTS—Continued

[As defined in § 68.22 of this part]

CAS No. Chemical name Toxic end­ point (mg/L) 

74–87–3 ..............................................79–22–1 ..............................................60–34–4 ..............................................624–83–9 ............................................74–93–1 ..............................................556–64–9 ............................................75–79–6 ..............................................13463–39–3 ........................................7697–37–2 ..........................................10102–43–9 ........................................8014–95–7 ..........................................79–21–0 ..............................................594–42–3 ............................................75–44–5 ..............................................7803–51–2 ..........................................10025–87–3 ........................................7719–12–2 ..........................................110–89–4 ............................................107–12–0 ............................................109–61–5 ............................................75–55–8 ..............................................75–56–9 ..............................................7446–09–5 ..........................................7783–60–0 ..........................................7446–11–9 ..........................................75–74–1 ..............................................509–14–8 ............................................7750–45–0 ..........................................584–84–9 ............................................91–08–7 ..............................................26471–62–5 ........................................75–77–4 ..............................................108–05–4 ............................................ 

Methyl chloride [Methane, chloro-] .............................................................................................................................................................Methyl chloroformate [Carbonochloridic acid, methylester] .......................................................................................................................Methyl hydrazine [Hydrazine, methyl-] .......................................................................................................................................................Methyl isocyanate [Methane, isocyanato-] .................................................................................................................................................Methyl mercaptan [Methanethiol] ...............................................................................................................................................................Methyl thiocyanate [Thiocyanic acid, methyl ester] .................................................................................................................................... Methyltrichlorosilane [Silane, trichloromethyl-] ...........................................................................................................................................Nickel carbonyl ...........................................................................................................................................................................................Nitric acid (conc 80% or greater) ...............................................................................................................................................................Nitric oxide [Nitrogen oxide (NO)] ..............................................................................................................................................................Oleum (Fuming Sulfuric acid) [Sulfuric acid, mixture with sulfur trioxide] .................................................................................................Peracetic acid [Ethaneperoxoic acid] .........................................................................................................................................................Perchloromethylmercaptan [Methanesulfenyl chloride, trichloro-] .............................................................................................................. Phosgene [Carbonic dichloride] .................................................................................................................................................................. Phosphine ...................................................................................................................................................................................................Phosphorus oxychloride [Phosphoryl chloride] ..........................................................................................................................................Phosphorus trichloride [Phosphorous trichloride] ....................................................................................................................................... Piperidine ....................................................................................................................................................................................................Propionitrile [Propanenitrile] ........................................................................................................................................................................ Propyl chloroformate [Carbonochloridic acid, propylester] ......................................................................................................................... Propyleneimine [Aziridine, 2-methyl-] .........................................................................................................................................................Propylene oxide [Oxirane, methyl-] ............................................................................................................................................................Sulfur dioxide (anhydrous) .......................................................................................................................................................................... Sulfur tetrafluoride [Sulfur fluoride (SF4), (T-4)-] .......................................................................................................................................Sulfur trioxide .............................................................................................................................................................................................. Tetramethyllead [Plumbane, tetramethyl-] .................................................................................................................................................. Tetranitromethane [Methane, tetranitro-] .................................................................................................................................................... Titanium tetrachloride [Titanium chloride (TiCl4) (T-4)-] ............................................................................................................................Toluene 2,4-diisocyanate [Benzene, 2,4-diisocyanato-1-methyl-] .............................................................................................................. Toluene 2,6-diisocyanate [Benzene, 1,3-diisocyanato-2-methyl-] .............................................................................................................. Toluene diisocyanate (unspecified isomer) [Benzene, 1,3-diisocyanatomethyl-] ......................................................................................Trimethylchlorosilane [Silane, chlorotrimethyl-] ..........................................................................................................................................Vinyl acetate monomer [Acetic acid ethenyl ester] .................................................................................................................................... 

0.82 

0.0019 

0.0094 0.0012 0.049 0.085 0.018 0.00067 0.026 

0.031 

0.010 0.0045 0.0076 

0.00081 

0.0035 0.0030 

0.028 

0.022 

0.0037 

0.010 0.12 0.59 0.0078 

0.0092 0.010 

0.0040 0.0040 0.020 0.0070 0.0070 0.0070 0.050 0.26 

[61 FR 31729, June 20, 1996, as amended at 62 FR 45132, Aug. 25, 1997] 

Federal Register / Vol. 65, No. 49 / Monday, March 13, 2000 / Rules and Regulations 13243 

finding that notice and public procedure 

is impracticable, unnecessary or 

contrary to the public interest. This 

determination must be supported by a 

brief statement (5 U.S.C. 808(2)). 

As stated previously, we have made 

such a good cause finding, including the 

reasons therefore, and established an 

effective date of March 13, 2000. The 

EPA will submit a report containing this 

rule and other required information to 

the U.S. Senate, the U.S. House of 

Representatives, and the Comptroller 

General of the United States prior to 

publication of the rule in the Federal 

Register. This action is not a ‘‘major 

rule’’ as defined by 5 U.S.C. 804(2). 

List of Subjects in 40 CFR Part 60 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Intergovernmental 

relations, Nitrogen oxides, 

Recordkeeping and reporting 

requirements. 

Dated: March 2, 2000. 

Robert Perciasepe, 

Assistant Administrator, Office of Air and 

Radiation. 

For the reasons set out in the 

preamble, title 40, chapter I, part 60, of 

the Code of Federal Regulations is 

amended as follows: 

PART 60—[AMENDED] 

1. The authority citation for part 60 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7601. 

Subpart Db—Standards of 

Performance for IndustrialCommercial-Institutional Steam 

Generating Units 

2. Section 60.49b is amended by 

revising paragraph (s) and adding 

paragraph (w) to read as follows: 

§ 60.49b Reporting and recordkeeping 

requirements. 

* * * * * 

(s) Facility specific nitrogen oxides 

standard for Cytec Industries Fortier 

Plant’s C.AOG incinerator located in 

Westwego, Louisiana: 

(1) Definitions. 

Oxidation zone is defined as the 

portion of the C.AOG incinerator that 

extends from the inlet of the oxidizing 

zone combustion air to the outlet gas 

stack. 

Reducing zone is defined as the 

portion of the C.AOG incinerator that 

extends from the burner section to the 

inlet of the oxidizing zone combustion 

air. 

Total inlet air is defined as the total 

amount of air introduced into the 

C.AOG incinerator for combustion of 

natural gas and chemical by-product 

waste and is equal to the sum of the air 

flow into the reducing zone and the air 

flow into the oxidation zone. 

(2) Standard for nitrogen oxides. (i) 

When fossil fuel alone is combusted, the 

nitrogen oxides emission limit for fossil 

fuel in § 60.44b(a) applies. 

(ii) When natural gas and chemical 

by-product waste are simultaneously 

combusted, the nitrogen oxides 

emission limit is 289 ng/J (0.67 lb/ 

million Btu) and a maximum of 81 

percent of the total inlet air provided for 

combustion shall be provided to the 

reducing zone of the C.AOG incinerator. 

(3) Emission monitoring. (i) The 

percent of total inlet air provided to the 

reducing zone shall be determined at 

least every 15 minutes by measuring the 

air flow of all the air entering the 

reducing zone and the air flow of all the 

air entering the oxidation zone, and 

compliance with the percentage of total 

inlet air that is provided to the reducing 

zone shall be determined on a 3-hour 

average basis. 

(ii) The nitrogen oxides emission limit 

shall be determined by the compliance 

and performance test methods and 

procedures for nitrogen oxides in 

§ 60.46b(i). 

(iii) The monitoring of the nitrogen 

oxides emission limit shall be 

performed in accordance with § 60.48b. 

(4) Reporting and recordkeeping 

requirements. (i) The owner or operator 

of the C.AOG incinerator shall submit a 

report on any excursions from the limits 

required by paragraph (a)(2) of this 

section to the Administrator with the 

quarterly report required by paragraph 

(i) of this section. 

(ii) The owner or operator of the 

C.AOG incinerator shall keep records of 

the monitoring required by paragraph 

(a)(3) of this section for a period of 2 

years following the date of such record. 

(iii) The owner of operator of the 

C.AOG incinerator shall perform all the 

applicable reporting and recordkeeping 

requirements of this section. 

* * * * * 

(w) The reporting period for the 

reports required under this subpart is 

each 6 month period. All reports shall 

be submitted to the Administrator and 

shall be postmarked by the 30th day 

following the end of the reporting 

period. 

[FR Doc. 00–5797 Filed 3–10–00; 8:45 am] 

BILLING CODE 6560–50–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 68 

[FRL–6550–1] 

RIN 2050–AE74 

Amendments to the List of Regulated 

Substances and Thresholds for 

Accidental Release Prevention; 

Flammable Substances Used as Fuel 

or Held for Sale as Fuel at Retail 

Facilities 

AGENCY: Environmental Protection


Agency (EPA).


ACTION: Final rule.


SUMMARY: EPA is modifying its chemical 

accident prevention regulations to 

conform to the fuels provision of the 

recently enacted Chemical Safety 

Information, Site Security and Fuels 

Regulatory Relief Act (Pub. L. 106–40). 

In accordance with the new law, today’s 

rule revises the list of regulated 

flammable substances to exclude those 

substances when used as a fuel or held 

for sale as a fuel at a retail facility. EPA 

is also announcing there will be no 

further action on a previous proposal 

concerning flammable substances, since 

the new law resolves the issue 

addressed by the proposal. 

DATES: Effective March 13, 2000. 

ADDRESSES: Docket. Supporting material 

used in developing the final rule is 

contained in Docket No. A–99–36. The 

docket is available for public inspection 

and copying between 8:00 am and 5:30 

pm, Monday through Friday (except 

government holidays) at EPA’s Air 

Docket, Room 1500, Waterside Mall, 401 

M Street, SW, Washington, DC 20460; 

phone number: 202–260–7548. A 

reasonable fee may be charged for 

copying. 

FOR FURTHER INFORMATION CONTACT: 

Breeda Reilly, Chemical Emergency 

Preparedness and Prevention Office, 

Environmental Protection Agency, Ariel 

Rios Building, 1200 Pennsylvania Ave, 

NW (5104), Washington, DC 20460, 

(202) 260–0716. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Introduction and Background 

A. Statutory Authority 

B. Background on Chemical Accident


Prevention Regulations


II. Discussion of Modification 

A. Affected Substances 

B. Use or Sale as a Fuel 

III. Previous Actions Related to Fuels 

A. Previous Proposed Rule and


Administrative Stay


B. Litigation and Court Stay 

IV. RMP’s Submitted Prior to Today’s Action 

13244 Federal Register / Vol. 65, No. 49 / Monday, March 13, 2000 / Rules and Regulations 

V. Rationale for Issuance of Rule Without 

Prior Notice 

VI. Summary of Revisions to Rule 

VII. Administrative Requirements 

A. Docket 

B. Executive Order 12866 

C. Executive Order 13045 

D. Executive Order 13084 

E. Executive Order 13132 

F. Regulatory Flexibility Act (RFA), as 

amended by the Small Business 

Regulatory Enforcement Fairness Act of 

1996 (SBREFA) 5 U.S.C. 601 et seq. 

G. Paperwork Reduction Act 

H. Unfunded Mandates Reform Act 

I. National Technology Transfer and


Advancement Act


J. Congressional Review Act 

I. Introduction and Background 

A. Statutory Authority 

This rule is being issued under 

section 112(r) of the Clean Air Act 

(CAA) as amended by the Chemical 

Safety Information, Site Security and 

Fuels Regulatory Relief Act (the Act), 

which President Clinton signed into law 

on August 5, 1999. Section 2 of the Act 

immediately removed EPA’s authority 

to ‘‘list a flammable substance when 

used as a fuel or held for sale as a fuel 

at a retail facility * * * solely because 

of the explosive or flammable properties 

of the substance, unless a fire or 

explosion caused by the substance will 

result in acute adverse health effects 

from human exposure to the substance, 

including the unburned fuel or its 

combustion byproducts, other than 

those caused by the heat of the fire or 

impact of the explosion.’’ 

The Act defines ‘‘retail facility’’ as ‘‘a 

stationary source at which more than 

one-half of the income is obtained from 

direct sales to end users or at which 

more than one-half of the fuel sold, by 

volume, is sold through a cylinder 

exchange program.’’ 

B. Background on Chemical Accident 

Prevention Regulations 

CAA section 112(r) contains 

requirements for the prevention and 

mitigation of accidental chemical 

releases. The focus is on those 

chemicals that pose the greatest risk to 

public health and the environment in 

the event of an accidental release. 

Section 112(r)(3) mandates that EPA 

identify at least 100 such chemicals and 

promulgate a list of ‘‘regulated 

substances’’ with threshold quantities. 

Section 112(r)(7) directs EPA to issue 

regulations requiring stationary sources 

that contain more than a threshold 

quantity of a regulated substance to 

develop and implement a risk 

management program and submit a risk 

management plan (RMP). 

EPA promulgated the initial list of 

regulated substances on January 31, 

1994 (59 FR 4478) (the ‘‘List Rule’’). The 

Agency identified two categories of 

regulated substances—toxic and 

flammable—and listed substances 

accordingly. EPA included 77 chemicals 

on the toxic substances list based on 

each chemical’s acute toxicity and 

several other factors—the chemical’s 

physical state, physical/chemical 

properties and accident history— 

relevant to the likelihood that an 

accidental release of the chemical 

would lead to significant offsite 

consequences. The Agency also placed 

63 substances on the flammable 

substances list, including vinyl 

chloride, a substance mandated for 

listing by Congress. EPA selected 

chemicals for the flammable substances 

list based on their flammability rating 

and the other factors related to 

likelihood of significant offsite 

consequences. 

Of the originally listed substances, 14 

met the criteria for both toxic and 

flammable substances (arsine, cyanogen 

chloride, diborane, ethylene oxide, 

formaldehyde, furan, hydrocyanic acid, 

hydrogen selenide, hydrogen sulfide, 

methyl chloride, methyl mercaptan, 

phosphine, propyleneimine, and 

propylene oxide). EPA placed these 14 

substances on only the toxic substances 

list, because their toxicity poses the 

greater threat to human health and the 

environment. 

Following promulgation of the List 

Rule, EPA issued a rule establishing the 

accidental release prevention 

requirements on June 20, 1996 (61 FR 

31668) (‘‘the RMP Rule’’). Together 

these rules are codified at 40 CFR part 

68. 

In accordance with section 112(r)(7), 

the RMP rule requires that any 

stationary source with more than a 

threshold quantity of a regulated 

substance in a process develop and 

implement a risk management program 

and submit an RMP describing the 

source’s program as well as its five-year 

accident history and potential offsite 

consequences. The rule further provides 

that RMPs be submitted by June 21, 

1999 for sources with more than a 

threshold quantity of a regulated 

substance in a process by that date, or 

within a specified time of the source 

first exceeding the applicable threshold. 

EPA has amended the List and RMP 

Rules several times. On August 25, 1997 

(62 FR 45132), EPA amended the List 

Rule to change the listed concentration 

of hydrochloric acid. On January 6, 1998 

(63 FR 640), EPA again amended the 

List Rule to delist Division 1.1 

explosives (classified by the Department 

of Transportation (DOT)), to clarify 

certain provisions related to regulated 

flammable substances, and to clarify the 

transportation exemption. EPA 

amended the RMP Rule on January 6, 

1999 (64 FR 964) to add several 

mandatory and optional RMP data 

elements, to establish procedures for 

protecting confidential business 

information, to adopt a new industry 

classification system and to make 

technical corrections and clarifications. 

EPA also amended the RMP Rule on 

May 26, 1999 (64 FR 28696) to modify 

the requirements for conducting worst 

case release scenario analyses for 

flammable substances and to clarify its 

interpretation of CAA sections 112(1) 

and 112(r)(11) as they relate to DOT 

requirements under the Federal 

Hazardous Transportation Law. 

II. Discussion of Modification 

A. Affected Substances 

The new Act provides that EPA shall 

not list a flammable substance when 

used as a fuel,1 or held for sale as a fuel 

at a retail facility solely because of its 

explosive or flammable properties, 

except under certain circumstances. The 

purpose of today’s rule is to revise the 

List Rule as needed to conform to the 

Act. 

As described above, the List Rule 

currently contains two lists—one of 

toxic substances and one of flammable 

substances. The toxic substances list 

contains those chemicals that meet the 

criteria listing as toxic substances, even 

if they also meet the criteria for listing 

as flammable substances. Accordingly, 

every chemical on the toxic substances 

list was listed for its toxicity at least and 

not solely because of its explosive or 

flammable properties. The substances 

on the toxics list are thus not affected 

by the new Act. 

The substances on the flammables 

list, on the other hand, are listed 

‘‘solely’’ because they meet a certain 

flammability rating, taking other risk 

factors into account. In deciding what 

flammable substances to list, EPA 

concentrated on those substances that 

have the potential to result in significant 

offsite consequences. Accidents 

involving flammable substances may 

lead to vapor cloud explosions, vapor 

cloud fires, boiling liquid expanding 

vapor explosions (BLEVEs), pool fires, 

and jet fires, depending on the type of 

substance involved and the 

1 EPA has received a number of questions as to 

whether the fuel use exclusion is available only to 

retail facilities. EPA believes that the statute and 

legislative history are clear that the fuel use 

exclusion is available to any facility that uses a 

flammable substance as a fuel. 

Federal Register / Vol. 65, No. 49 / Monday, March 13, 2000 / Rules and Regulations 13245 

circumstances of the accident. 

Historically, flammable substance 

accidents having significant offsite 

impacts involved either vapor cloud 

explosions at refineries and chemical 

plants, or BLEVEs at sources storing 

large quantities of flammable 

substances. Vapor cloud explosions 

produce blast waves that potentially can 

cause offsite damage and kill or injure 

people. High overpressure levels can 

cause death or injury as a direct result 

of an a explosion; such effects generally 

occur close to the site of an explosion. 

People can also be killed or injured 

because of indirect effects of the blast 

(e.g., collapse of buildings, flying glass 

or debris); these effects can occur farther 

from the site of the blast. 

By contrast, the effects of vapor cloud 

fires, in which the vapor cloud burns 

but does not explode, are limited 

primarily to the area covered by the 

burning cloud. BLEVEs, which generally 

involve the rupture of a container, can 

cause container fragments to be thrown 

substantial distances; such fragments 

have the potential to cause damage and 

injury. 

Thermal radiation is the primary 

hazard of pool and jet fires. The 

potential effects of thermal radiation 

generally do not extend for as great a 

distance as those of blast waves and are 

related to the duration of exposure; 

people at some distance from a fire 

would likely be able to escape. 

Based on this analysis and available 

accident history data, the Agency 

concluded that vapor cloud explosions 

and BLEVEs pose the greatest potential 

hazard from flammable substances to 

the public and environment. For 

purposes of the List Rule, EPA 

consequently focused on those 

chemicals with the potential to result in 

vapor cloud explosions or BLEVEs in 

the event of an accidental release. The 

Agency determined that chemicals 

meeting the highest flammability rating 

of the National Fire Protection Agency 

(NFPA) had this potential and used that 

rating as the principal criterion for 

including chemicals on the flammable 

substances list. 

The other factors EPA considered in 

listing flammable substances—physical 

state, physical/chemical properties and 

accident history—all relate to a 

chemical’s potential to be accidentally 

released in a way that could lead to a 

vapor cloud explosion or BLEVE. In 

short, the Agency included chemicals 

on the flammable substances list 

‘‘solely’’ because of their explosive 

potential, a basis now disallowed by the 

new Act for flammable substances when 

used as a fuel or held for sale as a fuel 

at a retail facility. 

The new Act nevertheless allows EPA 

to list a flammable substance when used 

as a fuel, or held for sale as a fuel where 

a fire or explosion caused by the 

substance will result in acute adverse 

health effects from human exposure to 

the substance or its combustion 

byproducts. EPA believes, however, that 

no listed substances on the flammable 

substances list is a candidate for this 

exception. As noted above, flammable 

substances that meet the listing criteria 

for toxic substances are on the toxic 

substances list only. Therefore, none of 

the chemicals on the flammable 

substances list will qualify for the 

exception based on acute health effects 

from exposure to the substance itself. 

Further, combustion byproducts are 

generally not relevant to listing 

flammable substances. For 

hydrocarbons, including the listed 

flammable substances commonly used 

as fuels, typical combustion products 

include water vapor, carbon dioxide, 

carbon monoxide, and relatively small 

amounts of other oxidized inorganic 

substances and do not meet the listing 

criteria for toxic substances. Several 

other listed flammable substances may 

result in combustion byproducts that 

meet the listing criteria for toxic 

substances, but these substances are not 

commonly used as fuels. Further, any 

toxic combustion byproducts will be a 

fraction of the total mass and not likely 

to exceed the applicable threshold for 

coverage by the RMP rule. Quantities 

below the threshold are unlikely to have 

significant offsite consequences. 

For these reasons, EPA believes that 

none of the listed flammable substances 

meet the new statute’s test for listing 

fuels. Consequently, all of the listed 

flammable substances are potentially 

affected by the Act. 

B. Use or Sale as a Fuel 

The Act prohibits the listing of 

flammable substances ‘‘when used as a 

fuel or held for sale as a fuel at a retail 

facility.’’ In limiting EPA’s authority to 

list flammable substances used as a fuel, 

or sold as a fuel at retail facilities, 

Congress sought greater consistency 

between the RMP program and the 

Process Safety Management (PSM) 

Standard implemented by the 

Occupational Health and Safety 

Administration (OSHA). OSHA’s PSM 

Standard is the workplace counterpart 

of EPA’s RMP program. PSM 

requirements protect workers from 

accidental releases of highly hazardous 

substances in the workplace, while the 

RMP rule protects the public and 

environment from the offsite 

consequences of those releases. 

The PSM and RMP programs are 

similar in many ways, covering mostly 

the same chemicals. Establishments 

subject to the PSM Standard must 

comply with the prevention program 

requirements which are the same as the 

RMP rule’s Program 3 requirements 

(subpart D of the Part 68 regulations). 

However, OSHA provides an exemption 

from the PSM Standard for hydrocarbon 

fuels used solely for workplace 

consumption as a fuel (e.g., propane 

used for comfort heating), if such fuels 

are not part of a process containing 

another highly hazardous chemical 

covered by the standard. It also exempts 

such substances when sold by retail 

facilities. 

The two prongs of the limitation on 

EPA’s authority to list flammable 

substances (i.e., use as a fuel or held for 

sale as a fuel by a retail facility) largely 

follow the OSHA exemptions relating to 

fuel. EPA will therefore look to OSHA 

precedent and coordinate with OSHA in 

interpreting and applying the 

limitations to the extent they parallel 

OSHA’s exemptions. For example, the 

new Act does not define the term 

‘‘fuel,’’ but OSHA has given ‘‘fuel’’ its 

ordinary meaning in applying the PSM 

fuel-related exemptions. Webster’s 

Ninth New Collegiate Dictionary (1990) 

defines fuel as ‘‘a material used to 

produce heat or power by burning,’’ and 

EPA has no reason to believe that ‘‘fuel’’ 

as used by the new Act should be 

defined differently. 

Using the ordinary meaning of fuel, 

EPA reviewed the chemicals on its 

flammable substances list to determine 

which are used as fuel. Several of the 

listed substances are typically used as 

fuel, including propane, liquified 

petroleum gas (propane and/or butane 

often with small amounts of propylene 

and butylene); hydrogen; and gaseous 

natural gas (methane). EPA is aware of 

the possibility of other flammable 

substances being used as a fuel in 

particular circumstances. The following 

is a list of regulated flammable 

substances that EPA believes have been 

used as a fuel. 

TABLE 1.—L IST OF COMMON FUELS 

Chemical name CAS No. 

Acetylene [Ethyne] .................. 74–86–2 

Butane .................................... 106–97–8 

1-Butene ................................. 106–98–9 

2-Butene ................................. 107–01–7 

Butene .................................... 25167–67–3 

2-Butene-cis ............................ 590–18–1 

2-Butene-trans [2-Butene, (E)] 624–64–6 

Ethane .................................... 74–84–0 

Ethylene [Ethene] ................... 74–85–1 

Hydrogen ................................ 1333–74–0 

13246 Federal Register / Vol. 65, No. 49 / Monday, March 13, 2000 / Rules and Regulations 

TABLE 1.—L IST OF COMMON FUELS— 

Continued 

Chemical name CAS No. 

Isobutane [Propane, 

2-methyl-] ............................ 75–28–5 

Isopentane [Butane, 

2-methyl-] ............................ 78–78–4 

Methane .................................. 74–82–8 

Pentane .................................. 109–66–0 

1-Pentene ............................... 109–67–1 

2-Pentene, (E)­ ....................... 646–04–8 

2-Pentene, (Z)­ ....................... 627–20–3 

Propane .................................. 74–98–6 

Propylene ................................ 115–07–1 

At the same time, all of the substances 

listed above are sometimes used as 

feedstock chemicals instead of fuel. 

Further, every listed flammable 

substance has the potential to be used 

as fuel, since it may be burned to create 

heat or power. Consequently, the List 

Rule cannot be conformed to the new 

law by deleting particular chemicals 

from the flammable substances list. 

Instead, EPA has added a provision to 

part 68, Subpart F (listing regulated 

substances) that excludes flammable 

substances when used as a fuel, or held 

for sale as a fuel at a retail facility from 

the list of regulated substances. The 

Agency has also annotated both versions 

of the flammable substances list (one 

version lists the substances 

alphabetically, the other by Chemical 

Abstract Service (CAS) number) to 

indicate that any flammable substance, 

when used as a fuel, or held for sale as 

a fuel at a retail facility, is excluded 

from the list. 

As previously mentioned, the Act 

defines a ‘‘retail facility’’ as a stationary 

source at which more than one-half of 

the income is obtained from direct sales 

to end users or at which more than onehalf of the fuel sold, by volume, is sold 

through a cylinder exchange program. 

The income test portion of the 

definition follows the definition of 

‘‘retail facility’’ used by the OSHA in 

enforcing its PSM Standard (OSHA 

Directive CPL2–2.45A CH–1-Process 

Safety Management of Highly 

Hazardous Chemicals—Compliance 

Guidelines and Enforcement 

Procedures): ‘‘an establishment that 

would otherwise be subject to the PSM 

standard at which more than half of the 

income is obtained from direct sales to 

end users.’’ 

The effect of the income test portion 

of the new Act’s retail facility definition 

is to provide relief to the same facilities 

that qualify for OSHA’s retail facility 

exemption, and conversely, to require 

facilities that do not quality for OSHA’s 

exemption, and thus are subject to the 

PSM program, to also be subject to the 

RMP program, provided no other 

exemption applies. EPA will 

consequently coordinate its 

interpretation and application of the 

income test portion of the retail facility 

definition with OSHA. 

The second portion of the retail 

facility definition—concerning cylinder 

exchange programs—goes beyond that 

developed by OSHA and so provides 

greater relief than the OSHA retail 

facility exemption. In general, cylinder 

exchange programs represent a link 

between major retailers (for example, 

hardware stores, home centers and 

convenience stores) and propane 

distributors. The retailer typically 

provides space outdoors and manages 

transactions with end users such as 

homeowners; the propane distributor 

typically provides racks, filled 

cylinders, promotional materials, and 

training to the retailer’s employees. 

Propane distributors may have several 

markets, including cylinder exchange; 

temporary heat during construction; 

commercial cooking, heating, and water 

heating; fuel to power vehicles, forklifts, 

and tractors; agricultural drying and 

heating; and others. 

For propane or other fuel distributors 

which meet the definition of retail 

facility through either direct sales to end 

users or a cylinder exchange program, 

the fuel they hold is no longer covered 

by the RMP rule. For propane or other 

fuel distributors that do not meet the 

definition, the fuel they hold is not 

exempted from the RMP rule by the new 

law or today’s action. EPA has added to 

part 68 a definition of ‘‘retail facility’’ 

that mirrors the statutory definition. 

III. Previous Actions Related to Fuels 

A. Previous Proposed Rule and 

Administrative Stay 

After promulgating the RMP rule, EPA 

became aware that a significant number 

of small, commercial sources use 

regulated flammable substances, 

particularly propane, as fuel in 

quantities in excess of the applicable 

threshold quantity (10,000 lbs in a 

process). As a result, these small 

sources, including farms, restaurants, 

hotels, and other commercial 

operations, were covered by the RMP 

requirements. Many of these sources are 

in rural locations where accidental 

releases are less likely to have 

significant offsite consequences. In light 

of the purpose of section 112(r)—to 

focus comprehensive accident 

prevention requirements on the most 

potentially dangerous sources—EPA 

reexamined whether farms and other 

small fuel users should be covered by 

the RMP rule. 

On May 28, 1999, EPA issued a 

proposed amendment to the List Rule to 

create an exemption from threshold 

quantity determinations for processes 

containing 67,000 pounds or less of a 

listed flammable hydrocarbon fuel (64 

FR 29171). EPA estimated that the 

proposed amendment, if promulgated, 

would reduce the universe of regulated 

sources from 69,485 to 50,300. At the 

same time (64 FR 29167), EPA 

published a temporary stay of the 

effectiveness of the RMP rule for those 

sources that would be exempted under 

the proposal. This stay, which expired 

on December 21, 1999, was in addition 

to, and did not affect, a stay of the rule 

for propane processes entered by the 

U.S. Court of Appeals for the D.C. 

Circuit (See Litigation and Court Stay). 

While EPA was seeking comment on 

the proposed rule, Congress also studied 

the fuel issue and considered ways to 

provide regulatory relief to fuel users 

and retailers. Congress was concerned 

that the RMP rule placed a significant 

regulatory burden on facilities that were 

not previously covered by the OSHA 

PSM Standard. Congress decided to 

amend section 112(r) of the CAA to 

remove EPA’s authority to list any 

flammable substance when used as a 

fuel, or held for sale as a fuel at a retail 

facility, except under specified 

circumstances. 

While the new law and EPA’s 

proposed rule and temporary stay all 

offer regulatory relief with respect to 

fuels, the new law reaches farther than 

EPA’s actions. The new law provides 

relief for all fuels, not just hydrocarbon 

fuels. It also removes fuels from the 

RMP program regardless of the amount 

a stationary source uses or holds for 

retail sale, whereas EPA’s proposal and 

stay only affects sources having no more 

than 67,000 lbs of fuel in a process. The 

new law does limit relief for fuel sellers 

to fuel retailers, whereas EPA’s stay 

does not distinguish between types of 

fuel sellers. However, EPA believes that 

virtually no fuel wholesaler qualifies for 

the Agency’s stay because wholesalers 

typically hold fuel in quantities far 

greater than 67,000 lbs. Even if a few 

wholesalers would have benefitted from 

EPA’s proposed rule, the Agency 

believes that Congress has addressed the 

issue of how to provide regulatory relief 

to fuel users and sellers, and that EPA 

should thus implement Congress’ 

approach without making exceptions to 

it. 

Therefore, EPA is today withdrawing 

the proposed rule as it takes final action 

to amend the List Rule to conform to the 

new law. As previously mentioned, 

EPA’s temporary stay of effectiveness 

expired on December 21, 1999. 

Federal Register / Vol. 65, No. 49 / Monday, March 13, 2000 / Rules and Regulations 13247 

B. Litigation and Court Stay 

Following promulgation of the RMP 

rule in 1996, several petitions for 

judicial review of the rule were filed, 

including one by the National Propane 

Gas Association (NPGA). At NPGA’s 

request, the U.S. Court of Appeals for 

the District of Columbia Circuit entered 

a temporary stay of the RMP rule as it 

applies to propane (Chlorine Institute v. 

Environmental Protection Agency, No. 

96–1279, and consolidated cases (Nos. 

96–1284, 96–1288, and 96–1290), Order 

of April 27, 1999). The judicial stay 

meant that any stationary source, or 

process at a stationary source, subject to 

the RMP rule only by virtue of propane 

was not subject to the RMP rule 

requirements, including those calling 

for a hazard assessment, accident 

prevention program, emergency 

response planning, and submission of 

(or inclusion in) an RMP by June 21, 

1999. 

On Jan. 5, 2000, the Court lifted its 

temporary stay in response to a joint 

motion by EPA and NPGA to dismiss 

the case and lift the stay. As of that date, 

part 68, as revised by the Act, is in effect 

with respect to any facility having more 

than the 10,000 pounds of propane in a 

process unless the facility uses the 

propane as a fuel or sells the propane 

as a retail facility. Facilities that use 

propane in their manufacturing 

processes or hold propane for purposes 

other than on-site fuel use at a non-retail 

facility must immediately come into 

compliance with Section 112(r) of the 

CAA. 

IV. RMP’s Submitted Prior to Today’s 

Action 

EPA has received about 1,966 RMP’s 

that address one or more of the 19 listed 

flammable substances that EPA has 

identified as likely to be used as a fuel. 

EPA cannot unilaterally delete any of 

the RMP’s submitted for flammable 

substances from the RMP database, 

however, because the determination of 

whether a facility is eligible for the 

exclusion is based on information 

which is not reported to EPA, namely, 

whether a facility uses the flammable 

substance as a fuel or holds it for retail 

sale. Instead, EPA plans to send a letter 

to each of the 1,966 facilities to notify 

them of the exclusion, to ask them to 

evaluate their eligibility for the 

exclusion, and to describe the process 

the facilities should use to request a 

withdrawal of or to update these RMP’s. 

For about 950 of the 1,966 RMP’s that 

reported a potential flammable fuel, 

only one chemical is reported. For these 

cases, the facilities will be asked to 

evaluate whether they qualify for the 

exclusion based on use or retail sales. If 

they determine that they do not qualify, 

no further action is required. If they 

determine that they do qualify, they 

may request that EPA withdraw their 

submission and EPA will delete it from 

the RMP database. Facilities will have 

the option of using the form that EPA 

developed to facilitate the withdrawal 

or simply stating their request in a 

letter. Alternatively, facilities can leave 

the RMP as a voluntary submission in 

the database and need not take further 

action. 

The balance of the RMP’s reported 

more than one substance. About 200 

RMP’s reported a toxic chemical 

substance in addition to the potential 

flammable fuel. For these cases, the 

facilities will be asked to evaluate 

whether their flammable substance 

qualifies for the exclusion based on use 

or retail sales. If they determine that 

they do not qualify, no further action is 

required. If they determine that they do 

qualify, they may resubmit their RMP, 

reporting only on the toxic substances. 

Alternatively, facilities can leave the 

original RMP including the flammable 

fuel submission in the database and 

need not take further action. 

About 745 RMP’s reported multiple 

flammable substances. For these cases, 

the facilities will be asked to evaluate 

whether each reported flammable 

substance qualifies for the exclusion 

based on use or retail sales. If they 

determine that none of their reported 

flammable substances qualify, no 

further action is required. If they 

determine that all of the reported 

substances qualify, they may request 

that EPA withdraw their submission 

and EPA will delete it from the RMP 

database. Facilities will have the option 

of using the formal withdrawal process 

or simply sending a letter. Alternatively, 

facilities can leave the RMP as a 

voluntary submission in the database 

and need not take further action. If they 

determine that only some of the 

flammable substances reported qualify, 

they will need to check their flammable 

worst case scenario and off-site 

consequence analysis (OCA). If their 

original worst case analysis is based on 

a flammable substance that is excluded, 

the facility should revise their RMP to 

provide appropriate OCA. Within its 

enforcement discretion, EPA plans to 

treat this similarly to the existing 

requirement to revise RMP’s within 6 

months of a process change, giving 

facilities 6 months to revise their RMP’s. 

If their original worst case analysis is 

based on a flammable substance that is 

not excluded, the facility won’t need to 

update their RMP, except as part of the 

regular reporting cycle. 

V. Rationale for Issuance of Rule 

Without Prior Notice 

Section 553 of the Administrative 

Procedure Act, 5 U.S.C. 553(b)(B), 

provides that, when an agency for good 

cause finds that notice and public 

procedure are impracticable, 

unnecessary or contrary to the public 

interest, the agency may issue a rule 

without providing notice and an 

opportunity for public comment. 

EPA is taking this action without 

prior notice and opportunity to 

comment. As previously mentioned, 

section 2 of the new Act, which took 

effect on August 5, 1999, immediately 

removed EPA’s authority to list 

flammable substances when used as a 

fuel, or held for sale as a fuel at a retail 

facility. Consequently, EPA’s regulation 

containing the list of regulated 

substances subject to the RMP rule 

needs to be modified to reflect the new 

law. 

EPA has determined that there is good 

cause for making today’s rule final 

without prior proposal and opportunity 

for comment because the Agency is 

codifying legislation which focuses 

clearly on a particular set of regulations 

and requires little interpretation by the 

Agency. In addition, EPA believes it is 

in the public interest to issue the 

revised list as soon as possible, to avoid 

confusion about the coverage of the 

RMP rule. As of August 5, 1999, there 

is no statutory basis for extending the 

RMP rule to listed flammable substances 

when used as a fuel, or held for sale as 

a fuel at a retail facility, except under 

certain circumstances. The Agency’s 

rule should therefore be revised to 

reflect the change in authority as soon 

as possible. A comment period is 

unnecessary because today’s action is 

nondiscretionary. A comment period 

would also be contrary to the public 

interest because the resulting delay 

would contribute to confusion about the 

coverage of the RMP rule. Thus, notice 

and public procedure are unnecessary 

and contrary to the public interest. EPA 

finds that this constitutes good cause 

under 5 U.S.C. 553(b)(B). 

The Agency is also issuing this rule 

with an immediate effective date. Since 

its effect is to relieve a restriction (i.e., 

the requirement to comply with the 

RMP rule), EPA may make it effective 

upon promulgation. Further, EPA 

believes it is in the public interest to 

make it immediately effective, for the 

same reasons given above for dispensing 

with prior notice and comment. 

VI. Summary of Revisions to Rule 

This section summarizes the changes 

to the rule. 

13248 Federal Register / Vol. 65, No. 49 / Monday, March 13, 2000 / Rules and Regulations 

Section 68.3, Definitions, has been 

revised to add a definition of retail 

facility, as defined in the new law. 

Section 68.126 has been added to 

create an exclusion for regulated 

flammable substances used as fuel or 

held for sale as fuel at retail facilities. 

The exclusion is derived from the new 

law. 

In Section 68.130, footnotes have been 

added to Tables 3 and 4. These two 

tables list the regulated flammable 

substances and their threshold 

quantities. Table 3 lists the regulated 

flammable substances in alphabetical 

order while Table 4 lists them in CAS 

number order. The footnotes remind the 

reader of the exclusion for regulated 

flammable substances. The reference to 

each footnote appears as an asterisk 

following the term ‘‘flammable 

substance’’ in the titles of Tables 3 and 

4. 

VII. Administrative Requirements 

A. Docket 

The docket is an organized and 

complete file of all the information 

considered by the EPA in the 

development of this rulemaking. The 

docket is a dynamic file, because it 

allows members of the public and 

industries involved to readily identify 

and locate documents so that they can 

effectively participate in the rulemaking 

process. Along with the proposed and 

promulgated rules and their preambles, 

the contents of the docket serve as the 

record in the case of judicial review. 

(See section 307(d)(7)(A) of the CAA.) 

The official record for this rulemaking 

has been established under Docket A– 

99–36, and is available for inspection 

from 8:00 a.m. to 5:30 p.m., Monday 

through Friday, excluding legal 

holidays. The official rulemaking record 

is located at the address in ADDRESSES 

at the beginning of this document. 

B. Executive Order 12866 

Under Executive Order 12866 (58 FR 

51735, October 4, 1993), the Agency 

must determine whether the regulatory 

action is ‘‘significant’’ and therefore 

subject to OMB review and the 

requirements of the Executive Order. 

The Order defines ‘‘significant 

regulatory action’’ as one that is likely 

to result in a rule that may: 

(1) Have an annual effect on the 

economy of $100 million or more or 

adversely affect in a material way the 

economy, a sector of the economy, 

productivity, competition, jobs, the 

environment, public health or safety, or 

State, local, or tribal governments or 

communities; 

(2) Create a serious inconsistency or 

otherwise interfere with an action taken 

or planned by another agency; 

(3) Materially alter the budgetary 

impact of entitlements, grants, user fees, 

or loan programs or the rights and 

obligations of recipients thereof; or 

(4) Raise novel legal or policy issues 

arising out of legal mandates, the 

President’s priorities, or the principles 

set forth in the Executive Order. 

It has been determined that this rule 

is not a ‘‘significant regulatory action’’ 

under the terms of Executive Order 

12866 and is therefore not subject to 

OMB review. 

C. Executive Order 13045 

Executive Order 13045: ‘‘Protection of 

Children from Environmental Health 

Risks and Safety Risks,’’ (62 FR 19885, 

April 23, 1997), applies to any rule that: 

(1) Is determined to be ‘‘economically 

significant’’ as defined under E.O. 

12866, and (2) concerns an 

environmental health or safety risk that 

EPA has reason to believe may have a 

disproportionate effect on children. If 

the regulatory action meets both criteria, 

the Agency must evaluate the 

environmental health or safety effects of 

the planned rule on children, and 

explain why the planned regulation is 

preferable to other potentially effective 

and reasonably feasible alternatives 

considered by the Agency. 

EPA interprets E.O. 13045 as applying 

only to those regulatory actions that are 

based on health or safety risks, such that 

the analysis required under Section 5– 

501 of the Order has the potential to 

influence the regulation. 

This action is not subject to this 

Executive Order because it is not 

economically significant as defined in 

E.O. 12866, and because it does not 

establish an environmental standard 

intended to mitigate health or safety 

risks. 

D. Executive Order 13084 

Under Executive Order 13084, EPA 

may not issue a regulation that is not 

required by statute, that significantly or 

uniquely affects the communities of 

Indian tribal governments, and that 

imposes substantial direct compliance 

costs on those communities, unless the 

Federal government provides the funds 

necessary to pay the direct compliance 

costs incurred by the tribal 

governments, or EPA consults with 

those governments. 

If EPA complies by consulting, 

Executive Order 13084 requires EPA to 

provide to the Office of Management 

and Budget, in a separately identified 

section of the preamble to the rule, a 

description of the extent of EPA’s prior 

consultation with representatives of 

affected tribal governments, a summary 

of the nature of their concerns, and a 

statement supporting the need to issue 

the regulation. In addition, Executive 

Order 13084 requires EPA to develop an 

effective process permitting elected 

officials and other representatives of 

Indian tribal governments ‘‘to provide 

meaningful and timely input in the 

development of regulatory policies on 

matters that significantly or uniquely 

affect their communities.’’ 

Today’s rule does not significantly or 

uniquely affect the communities of 

Indian tribal governments. This action 

reduces burden on flammable fuel users, 

which may include some sources owned 

or operated by Indian tribal 

governments. Accordingly, the 

requirements of section 3(b) of 

Executive Order 13084 do not apply to 

this rule. 

E. Executive Order 13132 

Executive Order 13132, entitled 

‘‘Federalism’’ (64 FR 43255, August 10, 

1999), requires EPA to develop an 

accountable process to ensure 

‘‘meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications.’’ ‘‘Policies that have 

federalism implications’’ is defined in 

the Executive Order to include 

regulations that have ‘‘substantial direct 

effects on the States, on the relationship 

between the national government and 

the States, or on the distribution of 

power and responsibilities among the 

various levels of government.’’ 

Under Section 6 of Executive Order 

13132, EPA may not issue a regulation 

that has federalism implications, that 

imposes substantial direct compliance 

costs, and that is not required by statute, 

unless the Federal government provides 

the funds necessary to pay the direct 

compliance costs incurred by State and 

local governments, or EPA consults with 

State and local officials early in the 

process of developing the proposed 

regulation. EPA also may not issue a 

regulation that has federalism 

implications and that preempts State 

law, unless the Agency consults with 

State and local officials early in the 

process of developing the proposed 

regulation. 

This final rule does not have 

federalism implications. It will not have 

substantial direct effects on the States, 

on the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government, as specified in 

Executive Order 13132. Today’s rule 

reduces the burden for those state, local, 

Federal Register / Vol. 65, No. 49 / Monday, March 13, 2000 / Rules and Regulations 13249 

or tribal governments that may own or 

operate sources that use flammable 

fuels. Thus, the requirements of section 

6 of the Executive Order do not apply 

to this rule. 

F. Regulatory Flexibility Act (RFA), as 

Amended by the Small Business 

Regulatory Enforcement Fairness Act of 

1996 (SBREFA), 5 U.S.C. 601 et seq. 

Under the Regulatory Flexibility Act 

(RFA) of 1980 (5 U.S.C. 601, et seq.), as 

amended by the Small Business 

Regulatory Enforcement Fairness Act of 

1996 (SBREFA), the Agency is required 

to give special consideration to the 

effect of Federal regulations on small 

entities and to consider regulatory 

options that might mitigate any such 

impacts. Small entities include small 

businesses, small not-for-profit 

enterprises, and small governmental 

jurisdictions. 

Today’s final rule is not subject to 

RFA, which generally requires an 

agency to prepare a regulatory flexibility 

analysis for any rule that will have a 

significant economic impact on a 

substantial number of small entities. 

The RFA applies only to rules subject to 

notice-and-comment rulemaking 

requirements under the Administrative 

Procedure Act (APA) or any other 

statute. The rule is subject to the APA, 

but as described in Section IV of this 

preamble, the Agency has invoked the 

‘‘good cause’’ exemption under APA 

Section 553(b), which does not require 

notice and comment. Although this final 

rule is not subject to the RFA, EPA 

nonetheless has assessed the potential 

of this rule to adversely impact small 

entities subject to the rule. EPA does not 

believe the rule will adversely impact 

small entities. This action excludes 

flammable substances when used as a 

fuel, or held for sale as a fuel at a retail 

facility from the list of substances 

regulated by 40 CFR part 68, which will 

reduce burden on many small entities 

that otherwise would be covered by 

these requirements. 

G. Paperwork Reduction Act 

This action does not impose any new 

information collection burden. The 

Office of Management and Budget 

(OMB) has previously approved the 

information collection requirements 

contained in the existing regulations 40 

CFR part 68 under the provisions of the 

Paperwork Reduction Act, 44 U.S.C. 

3501 et seq. and has assigned OMB 

control number 2050–0144 (EPA ICR 

No.1656.06). EPA estimates a burden 

hour reduction of 70,400 hours. 

Burden means the total time, effort, or 

financial resources expended by persons 

to generate, maintain, retain, or disclose 

or provide information to or for a 

Federal agency. This includes the time 

needed to review instructions; develop, 

acquire, install, and utilize technology 

and systems for the purposes of 

collecting, validating, and verifying 

information, processing and 

maintaining information, and disclosing 

and providing information; adjust the 

existing ways to comply with any 

previously applicable instructions and 

requirements; train personnel to be able 

to respond to a collection of 

information; search data sources; 

complete and review the collection of 

information; and transmit or otherwise 

disclose the information. An Agency 

may not conduct or sponsor, and a 

person is not required to respond to a 

collection of information unless it 

displays a currently valid OMB control 

number. The OMB control numbers for 

EPA’s regulations are listed in 40 CFR 

part 9 and 48 CFR Chapter 15. 

H. Unfunded Mandates Reform Act 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA), Public 

Law 104–4, establishes requirements for 

Federal agencies to assess the effects of 

their regulatory actions on State, local, 

and tribal governments and the private 

sector. Under section 202 of the UMRA, 

EPA generally must prepare a written 

statement, including a cost-benefit 

analysis, for proposed and final rules 

with ‘‘Federal mandates’’ that may 

result in expenditures to State, local, 

and tribal governments, in the aggregate, 

or to the private sector, of $100 million 

or more in any one year. Before 

promulgating an EPA rule for which a 

written statement is needed, section 205 

of the UMRA generally requires EPA to 

identify and consider a reasonable 

number of regulatory alternatives and 

adopt the least costly, most costeffective or least burdensome alternative 

that achieves the objectives of the rule. 

The provisions of section 205 do not 

apply when they are inconsistent with 

applicable law. Moreover, section 205 

allows EPA to adopt an alternative other 

than the least costly, most cost-effective 

or least burdensome alternative if the 

Administrator publishes with the final 

rule an explanation why that alternative 

was not adopted. 

Before EPA establishes any regulatory 

requirements that may significantly or 

uniquely affect small governments, 

including tribal governments, it must 

have developed under section 203 of the 

UMRA a small government agency plan. 

The plan must provide for notifying 

potentially affected small governments, 

enabling officials of affected small 

governments to have meaningful and 

timely input in the development of EPA 

regulatory proposals with significant 

Federal intergovernmental mandates, 

and informing, educating, and advising 

small governments on compliance with 

the regulatory requirements. 

Because the Agency has made a ‘‘good 

cause’’ finding that this action is not 

subject to notice-and-comment 

requirements under the Administrative 

Procedures Act or any or any other 

statute (see Section IV of this preamble), 

it is not subject to sections 202 and 205 

of the Unfunded Mandates Reform Act 

of 1995 (UMRA) (Public Law 104–4). 

Pursuant to Section 203 of UMRA, 

EPA has determined that this rule 

contains no regulatory requirements that 

might significantly or uniquely affect 

small governments. This rule does not 

contain any additional requirements, 

rather it reduces the burden on small 

governement sources that use flammable 

substances as fuel. 

I. National Technology Transfer and 

Advancement Act 

Section 12(d) of the National 

Technology Transfer and Advancement 

Act of 1995 (‘‘NTTAA’’), Public Law 

104–113, section 12(d) (15 U.S.C. 272 

note) directs EPA to use voluntary 

consensus standards in its regulatory 

activities unless to do so would be 

inconsistent with applicable law or 

otherwise impractical. Voluntary 

consensus standards are technical 

standards (e.g., materials specifications, 

test methods, sampling procedures, and 

business practices) that are developed or 

adopted by voluntary consensus 

standards bodies. The NTTAA directs 

EPA to provide Congress, through OMB, 

explanations when the Agency decides 

not to use available and applicable 

voluntary consensus standards. 

This action does not involve technical 

standards. Therefore, EPA did not 

consider the use of any voluntary 

consensus standards. 

J. Congressional Review Act 

The Congressional Review Act, 5 

U.S.C. 801 et seq., as added by the Small 

Business Regulatory Enforcement 

Fairness Act of 1996, generally provides 

that before a rule may take effect, the 

agency promulgating the rule must 

submit a rule report, which includes a 

copy of the rule, to each House of the 

Congress and to the Comptroller General 

of the United States. EPA will submit a 

report containing this rule and other 

required information to the U.S. Senate, 

the U.S. House of Representatives, and 

the Comptroller General of the United 

States prior to publication of the rule in 

the Federal Register. A ‘‘major rule’’ 

cannot take effect until 60 days after it 

is published in the Federal Register. 

13250 Federal Register / Vol. 65, No. 49 / Monday, March 13, 2000 / Rules and Regulations 

This action is not a ‘‘major rule’’ as 

defined by 5 U.S.C. 804(2). It takes effect 

today. 

List of Subjects in 40 CFR Part 68 

Environmental protection, Chemicals, 

Chemical accident prevention. 

Dated: March 3, 2000. 

Carol M. Browner, 

Administrator. 

For the reasons stated in the 

preamble, EPA amends 40 CFR part 68 

as follows: 

PART 68—[AMENDED] 

1. The authority section for part 68 is 

revised to read as follows: 

Authority: 42 U.S.C 7412(r), 7601 (a) (1). 

Subpart A—[Amended] 

2. Section 68.3 is amended to add the 

following definition in alphabetical 

order: 

§ 68.3 Definitions. 

* * * * * 

Retail facility means a stationary 

source at which more than one-half of 

the income is obtained from direct sales 

to end users or at which more than onehalf of the fuel sold, by volume, is sold 

through a cylinder exchange program. 

* * * * * 

Subpart F—[Amended] 

3. Section 68.126 is added to subpart 

F to read as follows: 

§ 68.130 List of substances. 

* * * * * 

TABLE 3 TO § 68.130.—L IST OF REGULATED FLAMMABLE SUBSTANCES 1 

AND THRESHOLD QUANTITIES FOR 

ACCIDENTAL RELEASE PREVENTION 

[Alphabetical Order–63 Substances] 

* * * * * 

1 A flammable substance when used as a 

fuel or held for sale as a fuel at a retail facility 

is excluded from all provisions of this part (see 

§ 68.126). 

Note: Basis for Listing:
 a Mandated for listing by Congress.


f Flammable gas.


g Volatile flammable liquid.


TABLE 4 TO § 68.130.—L IST OF REGULATED FLAMMABLE SUBSTANCES 1 

AND THRESHOLD QUANTITIES FOR 

ACCIDENTAL RELEASE PREVENTION 

[CAS Number Order–63 Substances] 

* * * * * 

1 A flammable substance when used as a 

fuel or held for sale as a fuel at a retail facility 

is excluded from all provisions of this part (see 

§ 68.126). 

Note: Basis for Listing:
 a Mandated for listing by Congress.


f Flammable gas.


g Volatile flammable liquid.


[FR Doc. 00–5935 Filed 3–10–00; 8:45 am] 

BILLING CODE 6560–50–P 

KTKY(FM) to specify operation on 

Channel 293C2 at Taft in response to a 

petition filed by Pacific Broadcasting of 

Missouri, L.L.C. See 64 FR 39963, July 

23, 1999. The coordinates for Channel 

293C2 at Taft are 27–52–00 and 97–13– 

08. We shall also allot Channel 291A to 

Refugio, Texas, at coordinates 28–21–58 

and 97–19–11. Mexican concurrence 

has been received for the allotments at 

Refugio and Taft, Texas. With this 

action, this proceeding is terminated. 

EFFECTIVE DATE: April 17, 2000.


FOR FURTHER INFORMATION CONTACT:


Kathleen Scheuerle, Mass Media 

Bureau, (202) 418–2180. 

SUPPLEMENTARY INFORMATION: This is a 

summary of the Commission’s Report 

and Order, MM Docket No. 99–256, 

adopted February 23, 2000, and released 

March 3, 2000. The full text of this 

Commission decision is available for 

inspection and copying during normal 

business hours in the Commission’s 

Reference Center, 445 12th Street, SW, 

Washington, DC. The complete text of 

this decision may also be purchased 

from the Commission’s copy 

contractors, International Transcription 

Services, Inc., 1231 20th Street, NW., 

Washington, DC 20036, (202) 857–3800, 

facsimile (202) 857–3805. 

List of Subjects in 47 CFR Part 73 

Radio broadcasting. 

Part 73 of title 47 of the Code of 

Federal Regulations is amended as 

follows: 

§ 68.126 Exclusion. 

Flammable Substances Used as Fuel 

or Held for Sale as Fuel at Retail 

Facilities. A flammable substance listed 

in Tables 3 and 4 of § 68.130 is 

nevertheless excluded from all 

provisions of this part when the 

substance is used as a fuel or held for 

sale as a fuel at a retail facility. 

4. Section 68.130 is amended by: 

A. Revising the heading of Table 3; 

B. Revising the notes to Table 3 and 

adding a new footnote 1; 

C. Revising the heading to Table 4; 

and 

D. Revising the notes to Table 4 and 

adding a new footnote 1. 

The revisions and additions read as 

follows: 

FEDERAL COMMUNICATIONS 

COMMISSION 

47 CFR Part 73 

[DA No. 00–494, MM Docket No. 99–256; 

RM–9527] 

Radio Broadcasting Services; Refugio 

and Taft, TX 

AGENCY: Federal Communications


Commission.


ACTION: Final rule.


SUMMARY: This document substitutes 

Channel 293C2 for Channel 291C3 at 

Refugio, Texas, reallots Channel 293C2 

from Refugio, Texas, to Taft, Texas, and 

modifies the license for Station 

PART 73—[AMENDED] 

1. The authority citation for Part 73 

continues to read as follows: 

Authority: 47 U.S.C. 154, 303, 334 and 336. 

§ 73.202 [Amended] 

2. Section 73.202(b), the Table of FM 

Allotments under Texas, is amended by 

removing Channel 291C3 and adding 

Channel 291A at Refugio and adding 

Taft, Channel 293C2. 

Federal Communications Commission. 

John A. Karousos, 

Chief, Allocations Branch, Policy and Rules 

Division, Mass Media Bureau. 

[FR Doc. 00–6052 Filed 3–10–00; 8:45 am] 

BILLING CODE 6712–01–U 
Appendix B

Selected NAICS Codes

SELECTED 1997 NAICS CODES

11 Agriculture 

11111 Soybean Farming 

11113 Dry Pea and Bean Farming 

11114 Wheat Farming 

11115 Corn Farming 

111191 Oilseed and Grain Farming 

111199 All Other Grain Farming 

111211 Potato Farming 

111219 Other Vegetable and Melon Farming 

11131 Orange Groves 

11132 Other Citrus 

111331 Apple Orchards 

111332 Grape Vineyards 

111339 Other Non Citrus Fruit Farming 

111422 Floriculture Production 

11191 Tobacco Farming 

11192 Cotton Farming 

11199 All Other Crop Farming 

11211 Beef Cattle Ranching and Farming 

11213 Dual Purpose Cattle Ranching and Farming 

11221 Hog and Pig Farming 

11231 Chicken Egg Production 

11232 Broilers and Other Chicken Production 

11233 Turkey Production 

11234 Poultry Hatcheries 

11239 Other Poultry Production 

112511 Finfish Farming and Fish Hatcheries 

11291 Apiculture 

11299 All Other Animal Production 

115111 Cotton Ginning 

115112 Soil Preparation 

115114 Post Harvest Crop Activities 

11521 Support for Animal Production 

21 Mining 

211 Oil and Gas Extraction 

211111 Crude Petroleum and Natural Gas Extraction 

211112 Natural Gas Liquid Extraction 

21211 Coal Mining 

21221 Iron Ore Mining 

21222 Gold and Silver Ore Mining 

21223 Copper, Nickel, Lead, and Zinc Mining 

21229 Other Metal Ore Mining 

21231 Stone Mining and Quarrying 

212322 Industrial Sand Mining 

212324 Kaolin and Bal Clay Mining 

21239 Other Non-Metallic Mineral Mining 

21311 Support Activities for Mining 

22 Utilities 

22111 Electric Power Generation 

221111 Hydroelectric Power Generation 

221112 Fossil Fuel Electric Power Generation 

221113 Nuclear Electric Power Generation 

221119 Other Electric Power Generation 

2213 Water, Sewage and Other Systems 

22131 Water Supply and Irrigation Systems 

22132 Sewage Treatment Facilities 

22133 Steam and Air Conditioning Supply 

23 Constuction 

2333 Nonresidential Building Construction 

31-33 Manufacturing 

311 Food Manufacturing 

3111 Animal Food Manufacturing 

311111 Dog and Cat Food Manufacturing 

311119 Other Animal Food Manufacturing 

31121 Flour Milling and Malt Manufacturing 

311211 Flour Milling 

31122 Starch and Vegetable Fats and Oils Manufacturing 

311221 Wet Corn Milling 

311222 Soybean Processing 

311223 Other Oilseed Processing 

311225 Fats and Oils Refining and Blending 

31123 Breakfast Cereal Manufacturing 

311313 Beet Sugar Manufacturing 

31132 Chocolate and Confectionery Manufacturing from 

Cacao Beans 

31133 Confectionery Manufacturing from Purchased 

Chocolate 

311411 Frozen Fruit, Juice and Vegetable Manufacturing 

311412 Frozen Specialty Food Manufacturing 

311421 Fruit and Vegetable Canning 

311422 Specialty Canning 

311423 Dried and Dehydrated Food Manufacturing 

311511 Fluid Milk Manufacturing 

311512 Creamery Butter Manufacturing 

311513 Cheese Manufacturing 

311514 Dry, Condensed, and Evaporated Dairy 

Product Manufacturing 

31152 Ice Cream and Frozen Dessert Manufacturing 

311611 Animal (except Poultry) Slaughtering 

311612 Meat Processed from Carcasses 

311613 Rendering and Meat By-product Processing 

311615 Poultry Processing 

311711 Seafood Canning 

311712 Fresh and Frozen Seafood Processing 

311811 Retail Bakeries 

311812 Commercial Bakeries 

311813 Frozen Cakes, Pies, and Other Pastries 

Manufacturing 

311821 Cookie and Cracker Manufacturing 

311822 Flour Mixes and Dough Manufacturing from 

Purchased Flour 

311823 Dry Pasta Manufacturing 

31191 Snack Food Manufacturing 
Appendix B 

NAICS Codes B-2 

311911 Roasted Nuts and Peanut Butter Manufacturing 

311919 Other Snack Food Manufacturing 

31192 Coffee and Tea Manufacturing 

31193 Flavoring Syrup and Concentrate Manufacturing 

311941 Mayonnaise, Dressing and Other Prepared 

Sauce Manufacturing 

311991 Perishable Prepared Food Manufacturing 

311999 All Other Miscellaneous Food Manufacturing 

312 Beverage and Tobacco Product Manufacturing 

312111 Soft Drink Manufacturing 

312113 Ice Manufacturing 

31212 Breweries 

31213 Wineries 

31214 Distilleries 

31222 Tobacco Product Manufacturing 

313 Textile Mills 

313111 Yarn Spinning Mills 

31323 Nonwoven Fabric Mills 

31324 Knit Fabric Mills 

313241 Weft Knit Fabric Mills 

31331 Textile and Fabric Finishing Mills 

313311 Broadwoven Fabric Finishing Mills 

314 Textile Product Mills 

31411 Carpet and Rug Mills 

31499 All Other Textile Product Mills 

314992 Tire Cord and Tire Fabric Mills 

314999 All Other Miscellaneous Textile Product Mills 

315 Apparel Manufacturing 

315111 Sheer Hosiery Mills 

31522 Men’s and Boys’ Cut and Sew Apparel 

321 Wood Product Manufacturing 

321219 Reconstituted Wood Product Manufacturing 

322 Paper Manufacturing 

32211 Pulp Mills 

32212 Paper Mills 

322121 Paper (except Newsprint) Mills 

322122 Newsprint Mills 

32213 Paperboard Mills 

323 Printing and Related Support Activities 

323111 Commercial Gravure Printing 

323117 Book Printing 

323119 Other Commercial Printing 

324 Petroleum and Coal Products Manufacturing 

32411 Petroleum Refineries 

324121 Asphalt Paving Mixture and Block 

Manufacturing 

324191 Petroleum Lubricating Oil and Grease 

Manufacturing 

324199 All Other Petroleum and Coal Products 

Manufacturing 

325 Chemical Manufacturing 

3251 Basic Chemical Manufacturing 

32511 Petrochemical Manufacturing 

32512 Industrial Gas Manufacturing 

32513 Synthetic Dye and Pigment Manufacturing 

325131 Inorganic Dye and Pigment Manufacturing 

325132 Synthetic Organic Dye and Pigment 

Manufacturing 

32518 Other Basic Inorganic Chemical Manufacturing 

325181 Alkalies and Chlorine Manufacturing 

325182 Carbon Black Manufacturing 

325188 All Other Basic Inorganic Chemical 

Manufacturing 

32519 Other Basic Organic Chemical Manufacturing 

325191 Gum and Wood Chemical Manufacturing 

325192 Cyclic Crude and Intermediate Manufacturing 

325193 Ethyl Alcohol Manufacturing 

325199 All Other Basic Organic Chemical 

Manufacturing 

3252 Resin, Synthetic Rubber, and Artificial and 

Synthetic Fibers and Filaments Manufacturing 

32521 Resin and Synthetic Rubber Manufacturing 

325211 Plastics Material and Resin Manufacturing 

325212 Synthetic Rubber Manufacturing 

32522 Artificial and Synthetic Fibers and Filaments 

Manufacturing 

325221 Cellulosic Organic Fiber Manufacturing 

325222 Noncellulosic Organic Fiber Manufacturing 

3253 Pesticide, Fertilizer and Other Agricultural 

Chemical Manufacturing 

32531 Fertilizer Manufacturing 

325311 Nitrogenous Fertilizer Manufacturing 

325312 Phosphatic Fertilizer Manufacturing 

325314 Fertilizer (Mixing Only) Manufacturing 

32532 Pesticide and Other Agricultural Chemical 

Manufacturing 

3254 Pharmaceutical and Medicine Manufacturing 

32541 Pharmaceutical and Medicine Manufacturing 

325411 Medicinal and Botanical Manufacturing 

325412 Pharmaceutical Preparation Manufacturing 

325413 In-Vitro Diagnostic Substance Manufacturing 

325414 Biological Product (except Diagnostic) 

Manufacturing 

3255 Paint, Coating, and Adhesive Manufacturing 

32551 Paint and Coating Manufacturing 

32552 Adhesive Manufacturing 

3256 Soap, Cleaning Compound and Toilet Preparation 

Manufacturing 

32561 Soap and Cleaning Compound Manufacturing 

325611 Soap and Other Detergent Manufacturing 
Appendix B 

B-3 NAICS Codes 

325612 Polish and Other Sanitation Good Manufacturing 

325613 Surface Active Agent Manufacturing 

32562 Toilet Preparation Manufacturing 

3259 Other Chemical Product Manufacturing 

32591 Printing Ink Manufacturing 

32592 Explosives Manufacturing 

32599 All Other Chemical Product and Preparation 

Manufacturing 

325991 Custom Compounding of Purchased Resin 

325992 Photographic Film, Paper, Plate and Chemical 

Manufacturing 

325998 All Other Miscellaneous Chemical Product 

and Preparation Manufacturing 

326 Plastics and Rubber Products Manufacturing 

32611 Unsupported Plastics Film, Sheet and Bag 

Manufacturing 

326113 Unsupported Plastics Film and Sheet (except 

Packaging) Manufacturing 

326121 Unsupported Plastics Profile Shape 

Manufacturing 

32613 Laminated Plastics Plate, Sheet and Shape 

Manufacturing 

32614 Polystyrene Foam Product Manufacturing 

32615 Urethane and Other Foam Product (except 

Polystyrene) Manufacturing 

32616 Plastics Bottle Manufacturing 

32619 Other Plastics Product Manufacturing 

326192 Resilient Floor Covering Manufacturing 

326199 All Other Plastics Product Manufacturing 

3262 Rubber Product Manufacturing 

326211 Tire Manufacturing (except Retreading) 

32629 Other Rubber Product Manufacturing 

326299 All Other Rubber Product Manufacturing 

327 Nonmetallic Mineral Product Manufacturing 

32711 Pottery, Ceramics, and Plumbing Fixture 

Manufacturing 

327111 Vitreous China Plumbing Fixtures and China 

and Earthenware Bathroom Accessories 

Manufacturing 

327125 Nonclay Refractory Manufacturing 

32721 Glass and Glass Product Manufacturing 

327211 Flat Glass Manufacturing 

327212 Other Pressed and Blown Glass and Glassware 

Manufacturing 

327213 Glass Container Manufacturing 

327215 Glass Product Manufacturing Made of 

Purchased Glass 

32731 Cement Manufacturing 

32732 Ready-Mix Concrete Manufacturing 

32739 Other Concrete Product Manufacturing 

32742 Gypsum Product Manufacturing 

32791 Abrasive Product Manufacturing 

327992 Ground or Treated Mineral and Earth 

Manufacturing 

327993 Mineral Wool Manufacturing 

327999 All Other Miscellaneous Nonmetallic Mineral 

Product Manufacturing 

331 Primary Metal Manufacturing 

33111 Iron and Steel Mills and Ferroalloy Manufacturing 

331111 Iron and Steel Mills 

331312 Primary Aluminum Production 

331314 Secondary Smelting and Alloying of Aluminum 

331315 Aluminum Sheet, Plate and Foil Manufacturing 

331316 Aluminum Extruded Product Manufacturing 

331319 Other Aluminum Rolling and Drawing 

33141 Nonferrous Metal (except Aluminum) Smelting 

and Refining 

331411 Primary Smelting and Refining of Copper 

331419 Primary Smelting and Refining of Nonferrous 

Metal (except Copper and Aluminum) 

331421 Copper Rolling, Drawing and Extruding 

331423 Secondary Smelting, Refining, and Alloying of 

Copper 

33149 Nonferrous Metal (except Copper and 

Aluminum) Rolling, Drawing, Extruding and 

Alloying 

331491 Nonferrous Metal (except Copper and 

Aluminum) Rolling, Drawing and Extruding 

331492 Secondary Smelting, Refining, and Alloying of 

Nonferrous Metal (except Copper and 

Aluminum) 

33151 Ferrous Metal Foundries 

331511 Iron Foundries 

331513 Steel Foundries, (except Investment) 

33152 Nonferrous Metal Foundries 

331521 Aluminum Die-Casting Foundries 

331522 Nonferrous (except Aluminum) Die-Casting 

Foundries 

331524 Aluminum Foundries (except Die-Casting) 

331525 Copper Foundries (except Die-Casting) 

331528 Other Nonferrous Foundries (except DieCasting) 

332 Fabricated Metal Product Manufacturing 

33211 Forging and Stamping 

332111 Iron and Steel Forging 

332112 Nonferrous Forging 

332116 Metal Stamping 

332117 Powder Metallurgy Part Manufacturing 

33221 Cutlery and Hand Tool Manufacturing 

332211 Cutlery and Flatware (except Precious) 

Manufacturing 

332321 Metal Window and Door Manufacturing 

332322 Sheet Metal Work Manufacturing 

33243 Metal Can, Box, and Other Metal Container 

(Light Gauge) Manufacturing 

33251 Hardware Manufacturing 
Appendix B 

NAICS Codes B-4 

332612 Spring (Light Gauge) Manufacturing 334 Computer and Electronic Product Manufacturing 

33281 Coating, Engraving, Heat Treating, and Allied 33411 Computer and Peripheral Equipment 

Activities Manufacturing 

332811 Metal Heat Treating 334111 Electronic Computer Manufacturing 

332812 Metal Coating, Engraving (except Jewelry and 334112 Computer Storage Device Manufacturing 

Silverware), and Allied Services to 334113 Computer Terminal Manufacturing 

Manufacturers 334119 Other Computer Peripheral Equipment 

332813 Electroplating, Plating, Polishing, Anodizing Manufacturing 

and Coloring 33422 Radio and Television Broadcasting and Wireless 

332912 Fluid Power Valve and Hose Fitting Communications Equipment Manufacturing 

Manufacturing 33441 Semiconductor and Other Electronic Component 

332919 Other Metal Valve and Pipe Fitting Manufacturing 

Manufacturing 334411 Electron Tube Manufacturing 

33299 All Other Fabricated Metal Product Manufacturing 334412 Bare Printed Circuit Board Manufacturing 

332991 Ball and Roller Bearing Manufacturing 334413 Semiconductor and Related Device 

332992 Small Arms Ammunition Manufacturing Manufacturing 

332999 All Other Miscellaneous Fabricated Metal 334414 Electronic Capacitor Manufacturing 

Product Manufacturing 334415 Electronic Resistor Manufacturing 

334416 Electronic Coil, Transformer, and Other 

333 Machinery Manufacturing Inductor Manufacturing 

33311 Agricultural Implement Manufacturing 334417 Electronic Connector Manufacturing 

333111 Farm Machinery and Equipment Manufacturing 334418 Printed Circuit Assembly (Electronic 

333112 Lawn and Garden Tractor and Home Lawn and Assembly) Manufacturing 

Garden Equipment Manufacturing 334419 Other Electronic Component Manufacturing 

33312 Construction Machinery Manufacturing 334519 Other Measuring and Controlling Device 

333295 Semiconductor Machinery Manufacturing Manufacturing 

333298 All Other Industrial Machinery Manufacturing 334613 Magnetic and Optical Recording Media 

333311 Automatic Vending Machine Manufacturing Manufacturing 

333314 Optical Instrument and Lens Manufacturing 

333315 Photographic and Photocopying Equipment 335 Electrical Equipment, Appliance and 

Manufacturing Component Manufacturing 

333319 Other Commercial and Service Industry 33511 Electric Lamp Bulb and Part Manufacturing 

Machinery Manufacturing 335122 Commercial, Industrial and Institutional 

333415 Air-Conditioning and Warm Air Heating Electric Lighting Fixture Manufacturing 

Equipment and Commercial and Industrial 335129 Other Lighting Equipment Manufacturing 

Refrigeration Equipment Manufacturing 33522 Major Appliance Manufacturing 

33351 Metalworking Machinery Manufacturing 335222 Household Refrigerator and Home Freezer 

333511 Industrial Mold Manufacturing Manufacturing 

333512 Machine Tool (Metal Cutting Types) 33531 Electrical Equipment Manufacturing 

Manufacturing 335311 Power, Distribution and Specialty Transformer 

333515 Cutting Tool and Machine Tool Accessory Manufacturing 

Manufacturing 335312 Motor and Generator Manufacturing 

333611 Turbine and Turbine Generator Set Unit 33591 Battery Manufacturing 

Manufacturing 335911 Storage Battery Manufacturing 

333613 Mechanical Power Transmission Equipment 335912 Primary Battery Manufacturing 

Manufacturing 335921 Fiber Optic Cable Manufacturing 

333618 Other Engine Equipment Manufacturing 

333911 Pump and Pumping Equipment Manufacturing 33599 All Other Electrical Equipment and 

333924 Industrial Truck, Tractor, Trailer and Stacker Component Manufacturing 

Machinery Manufacturing 335991 Carbon and Graphite Product Manufacturing 

333995 Fluid Power Cylinder and Actuator Manufacturing 335999 All Other Miscellaneous Electrical Equipment 

333996 Fluid Power Pump and Motor Manufacturing and Component Manufacturing 

333999 All Other Miscellaneous General Purpose 

Machinery Manufacturing 336 Transportation Equipment Manufacturing 

33611 Automobile and Light Duty Motor Vehicle 
Appendix B 

B-5 NAICS Codes 

Manufacturing 

336111 Automobile Manufacturing 

336112 Light Truck and Utility Vehicle Manufacturing 

33612 Heavy Duty Truck Manufacturing 

33621 Motor Vehicle Body and Trailer Manufacturing 

336211 Motor Vehicle Body Manufacturing 

336212 Truck Trailer Manufacturing 

336213 Motor Home Manufacturing 

336214 Travel Trailer and Camper Manufacturing 

33631 Motor Vehicle Gasoline Engine and Engine Parts 

Manufacturing 

336311 Carburetor, Piston, Piston Ring and Valve 

Manufacturing 

336312 Gasoline Engine and Engine Parts Manufacturing 

33632 Motor Vehicle Electrical and Electronic 

Equipment Manufacturing 

336321 Vehicular Lighting Equipment Manufacturing 

336322 Other Motor Vehicle Electrical and Electronic 

Equipment Manufacturing 

33633 Motor Vehicle Steering and Suspension 

Components (except Spring) Manufacturing 

33634 Motor Vehicle Brake System Manufacturing 

33635 Motor Vehicle Transmission and Power Train 

Parts Manufacturing 

33636 Motor Vehicle Seating and Interior Trim 

Manufacturing 

33637 Motor Vehicle Metal Stamping 

33639 Other Motor Vehicle Parts Manufacturing 

336391 Motor Vehicle Air-Conditioning Manufacturing 

336399 All Other Motor Vehicle Parts Manufacturing 

33641 Aerospace Product and Parts Manufacturing 

336411 Aircraft Manufacturing 

336412 Aircraft Engine and Engine Parts Manufacturing 

336413 Other Aircraft Part and Auxiliary Equipment 

Manufacturing 

336414 Guided Missile and Space Vehicle 

Manufacturing 

336415 Guided Missile and Space Vehicle Propulsion 

Unit and Propulsion Unit Parts Manufacturing 

336419 Other Guided Missile and Space Vehicle Parts 

and Auxiliary Equipment Manufacturing 

33651 Railroad Rolling Stock Manufacturing 

33661 Ship and Boat Building 

336611 Ship Building and Repairing 

336612 Boat Building 

33699 Other Transportation Equipment Manufacturing 

336991 Motorcycle, Bicycle and Parts Manufacturing 

336992 Military Armored Vehicle, Tank and Tank 

Component Manufacturing 

336999 All Other Transportation Equipment 

Manufacturing 

337211 Wood Office Furniture Manufacturing 

339 Miscellaneous Manufacturing 

33911 Medical Equipment and Supplies Manufacturing 

339112 Surgical and Medical Instrument Manufacturing 

339113 Surgical Appliance and Supplies Manufacturing 

339114 Dental Equipment and Supplies Manufacturing 

3399 Other Miscellaneous Manufacturing 

33991 Jewelry and Silverware Manufacturing 

339911 Jewelry (except Costume) Manufacturing 

339912 Silverware and Plated Ware Manufacturing 

339913 Jewelers' Material and Lapidary Work 

Manufacturing 

339914 Costume Jewelry and Novelty Manufacturing 

339991 Gasket, Packing, and Sealing Device 

Manufacturing 

339994 Broom, Brush and Mop Manufacturing 

339999 All Other Miscellaneous Manufacturing 

42 Wholesale Trade 

421 Wholesale Trade, Durable Goods 

42149 Other Professional Equipment and Supplies 

42171 Hardware Wholesalers 

42181 Construction and Mining Machinery 

42184 Industrial Supplies 

422 Wholesale Trade, Nondurable Goods 

42211 Printing and Writing Paper Wholesalers 

4224 Grocery and Related Product Wholesalers 

42241 General Line Grocery Wholesalers 

42242 Packaged Frozen Food Wholesalers 

42243 Dairy Product (except Dried or Canned) 

Wholesalers 

42244 Poultry and Poultry Product Wholesalers 

42246 Fish and Seafood Wholesalers 

42247 Meat and Meat Product Wholesalers 

42248 Fresh Fruit and Vegetable Wholesalers 

42249 Other Grocery and Related Products Wholesalers 

4225 Farm Product Raw Material Wholesalers 

42251 Grain and Field Bean Wholesalers 

42252 Livestock Wholesalers 

42259 Other Farm Product Raw Material Wholesalers 

4226 Chemical and Allied Products Wholesalers 

42261 Plastics Materials and Basic Forms and Shapes 

Wholesalers 

42269 Other Chemical and Allied Products Wholesalers 

42271 Petroleum Bulk Stations and Terminals 

42272 Petroleum and Petroleum Products Wholesalers 

(except Bulk Stations and Terminals) 

42281 Beer and Ale Wholesalers 

42282 Wine and Distilled Alcoholic Beverage 

Wholesalers 

337 Furniture and Related Product Manufacturing 4229 Miscellaneous Nondurable Goods Wholesalers 

33712 Household and Institutional Furniture 42291 Farm Supplies Wholesalers 

Manufacturing 42299 Other Miscellaneous Nondurable Goods 
Appendix B 

NAICS Codes B-6 

44-45 Retail Trade 

4411 Automobline Dealers 

442291Window Treatment Stores 

4441 Building Material and Supplies Dealers 

44422 Nursery and Garden Centers 

44511 Grocery Stores 

44523 Fruit and Vegetable Markets 

44711 Gasoline Stations 

45291 Warehouse Clubs and Superstores 

45399 All Other Miscellaneous Store Retailers 

48-49 Transportation and Warehousing 

488 Support Activities for Transportation 

48211 Rail Transportation 

48311 Water Transportation 

4842 Specialized Freight Trucking 

48511 Urban Transit Systems 

486 Pipeline Transportation 

48811 Airport Operations 

488119 Other Airport Operations 

48819 Other Support Activities for Air Transportation 

48821 Support Activities for Rail Transportation 

48832 Marine Cargo Handling 

48839 Other Support Activities for Water Transportation 

493 Warehousing and Storage 

49311 General Warehousing and Storage 

49312 Refrigerated Warehousing and Storage 

49313 Farm Product Warehousing and Storage 

49319 Other Warehousing and Storage 

54 Professional, Scientific, and Technical Services 

54138 Testing Labs 

54171 Research and Development in the Physical, 

Engineering, and Life Sciences 

56 Administrative and Support , Waste Management 

and Remediation Services 

561431 Private Mail Centers 

56179 Other Services to Buildings 

56221 Waste Treatment and Disposal 

562211 Hazardous Waste Treatment and Disposal 

562212 Solid Waste Landfill 

562213 Solid Waste Combustors and Incinerators 

562219 Other Nonhazardous Waste Treatment and 

Disposal 

5629 Remediation and Other Waste Management 

Services 

56291 Remediation Services 

56292 Materials Recovery Facilities 

56299 All Other Waste Management Services 

562998 All Other Miscellaneous Waste Management 

Services 

61 Educational Services 

6111 Elementary and Secondary Schools 

61131 Colleges, Universities, Professional Schools 

62 Health Care and Social Assistance 

62151 Medical and Diagnostic Laboratories 

621511 Medical Laboratories 

62211 General Medical and Surgical Hospitals 

6222 Psychiatric and Substance Abuse Hospitals 

62221 Psychiatric and Substance Abuse Hospitals 

6223 Specialty (except Psychiatric and Substance 

Abuse) Hospitals 

62231 Specialty (except Psychiatric and Substance 

Abuse) Hospitals 
APPENDIX C: TECHNICAL ASSISTANCE
 

   

   

                       

                         

                     

     

               

           

       

      

                 

                 

                   

                 

                 

                         

                       

     

                           

             

                     

             

           

             

             

               

                         

      

                           

                         

                   

                       

                 

                   

APPENDIX C: TECHNICAL ASSISTANCE

This appendix outlines the resources that are available to warehousing facilities in

complying with 40 CFR part 68, organized by the group providing the assistance.

U.S. ENVIRONMENTAL PROTECTION AGENCY

EPA’s Office of Emergency Management (OEM) administers the RMP program at

the national level.

Street Address: 1200 Pennsylvania Ave, NW (Mailcode 5104)

Washington, DC 20460

Phone Number: (202) 260­8600

WWW Address: www.epa.gov/emergencies/rmp

The Office of Emergency Management homepage on the Internet provides

access to downloadable versions of numerous risk management program

documents, including factsheets, questions and answer documents, the list of

regulated substances and thresholds, the text of the regulatory requirements,

general and industry­specific guidance, risk communication, and RMP data

elements and instructions. It also has links to sources of Material Safety Data

Sheets and other hazardous chemical information, as well as up­to­date lists of

LEPCs and SERCs.

If you do not have Internet access, these documents can be ordered from EPA’s

EPCRA/Superfund/RCRA/CAA Hotline. In addition, the Hotline responds to

factual questions on a variety of federal EPA regulations, including those

developed under Clean Air Act section 112(r).

Phone Number: Toll­Free: (800) 424­9346

Local: (703) 412­9810

TDD: (800) 553­7672

TDD Local: (703) 412­3323

Monday – Friday, 9:00 am – 6:00 pm EST

E­Mail: epahotline@bah.com

The Clean Air Act Amendments of 1990 requires that all States develop a program

to assist small businesses in meeting the requirements of the Act. EPA has

established its own Small Business Assistance Program (SBAP) to provide

technical assistance to these State small business programs. The SBAP Internet site

at www.epa.gov/ttn/sbap was developed to allow State and EPA programs to

share information about their small business assistance materials and activities.

March 2009
Appendix C 

Technical Assistance C-2 

OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION (OSHA) 

OSHA administers the Process Safety Management Standard (29 CFR 1910.119), 

which mandates actions similar to that of EPA’s prevention program. In about half 

of the states, OSHA programs are run by state agencies. For specific points of 

contact for OSHA regional offices, OSHA state consultative programs, and OSHA 

state plan states, see the OSHA web site. 

OSHA Process Safety Management Homepage 

www.osha-slc.gov/SLTC/processsafetymanagement/index.html 

The PSM homepage on the Internet provides access to downloadable versions of 

numerous process safety management documents. 

The OSHA Publications Office provides single copies of various documents related 

to risk management, process safety, accident prevention, and emergency planning 

and response. 

Street Address: U.S. Department of Labor 

Room N3101 

200 Constitution Avenue, NW 

Washington, DC 20210 

Phone Number: (202) 523-9667 

WWW Address: www.osha.gov 

The OSHA Computerized Information System at www.osha.gov/ provides 

downloadable versions of OSHA Standards and related documents, including OSHA 

Regulations, Federal Register notices, Interpretations and Compliance Letters, 

OSHA Regulations (preambles to final rules), and OSHA Directives and Fact Sheets. 

OSHA also publishes a quarterly CD-ROM with all of this information, available for 

Windows and Macintosh computers from: 

U.S. Government Printing Office 

Stock # 729-013-00000-5 

Phone: (202) 512-1800 

Fax: (202) 512-2250 

Price: $38/year (four quarterly releases), $15 (single copy) 

OSHA's Small Business Outreach Training Program has prepared an 

Instructional Guide on various topics in occupational safety and health, designed to 

provide ideas and organizational assistance to an instructor who wishes to present 

these topics, which specifically focus on the needs of small business. The text of the 

Guide is available at www.osha-slc.gov/SLTC/SmallBusiness. 

May 12, 2000 
Appendix C 

C-3 Technical Assistance 

Employers who take advantage of OSHA’s Consultation Services can find out 

about potential hazards at their worksites, improve their occupational safety and 

health management systems, and even qualify for a one-year exemption from routine 

OSHA inspections. Targeted for smaller businesses, this safety and health 

consultation program is completely separate from the OSHA inspection effort. For 

more information, check in at www.osha.gov/oshprogs/consult.html. 

AMERICAN INSTITUTE OF CHEMICAL ENGINEERS (AICHE) 

Street Address: 345 E. 47th St. 

New York, NY 10017-2395 

Phone Number: (212) 705-7338 

WWW Address: www.aiche.org/ 

AIChE and its Center for Chemical Process Safety publish a variety of documents 

including a Continuing Education catalog for its educational and training programs 

and an annual Publications Catalog from which documents can be purchased. They 

are available from: 

AIChExpress Service Center 

(800) AIC-HEME (242-4363) 

Monday - Friday, 9:00 am - 5:00 pm EST 

E-Mail: xpress@aiche.org 

Some of the specific documents available include: 

Guidelines for Safe Storage and Handling of Highly Toxic Hazardous 

Materials (119 pages) 

Publication G-3 

Order No. 0-8169-0400-6 

Price: $65 

Guidelines for Safe Warehousing of Chemicals (forthcoming) 

Publication G-33 

Order No. 0-8169-0659-9 

May 12, 2000 
Appendix C 

Technical Assistance C-4 

CHEMICAL MANUFACTURERS ASSOCIATION (CMA) 

Street Address: 1300 Wilson Blvd. 

Arlington, VA 22209 

Phone Number: (703) 741-5000 

WWW Address: www.cmahq.com/ 

CMA documents, including those listed below, are available from: 

CMA Publications Fulfillment Office 

341 Victory Drive 

Herndon, VA 22070 

Phone: (703) 709-0166 

CMA Responsible Care: Handling and Storage: Warehouse Assessment 

Protocol 

Community Awareness and Emergency Response (CAER) Code Resource 

Guide 

Order No. 024012 

Price: $50 members, $75 non-members 

Safe Warehousing of Chemicals 

Order No. 022003 

Price: $10 members, $15 non-members 

CMA also maintains Chemtrec (Chemical Transportation Emergency Center) to 

provide a centralized information and assistance center for individuals responding to 

chemical emergencies and carriers of hazardous materials: 

Emergency: (800) 424-9300 

Non-Emergency: (800) 262-8200 

INTERNATIONAL WAREHOUSE LOGISTICS ASSOCIATION 

Street Address:	 1300 W. Higgins Rd., Ste. 111 

Park Ridge, IL 60068 

Phone Number:	 (847) 292-1891 

WWW address	 www.warehouselogistics.org/ 

May 12, 2000 
Appendix C 

C-5 Technical Assistance 

NATIONAL ASSOCIATION OF CHEMICAL DISTRIBUTORS 

Street Address: Chemical Educational Foundation 

1525 Wilson Blvd., Ste. 750 

Arlington, VA 22209 

Phone Number: (703) 527-6223 

Fax Number: (703) 527-7747 

WWW Address: www.nacd.com/ 

The Chemical Educational Foundation publishes an Educational Aids and 

Training Catalog and a Product Stewardship Resource Guide. CEF has published 

the following document related to risk management: 

Making It Easy: Community Outreach Ideas and Examples 

NACD Product Stewardship Bulletin #1: Chemical Use, Handling, Storage, 

and Transportation 

NACD Product Stewardship Bulletin #5: Employee Hazardous Materials 

Safety Training 

NACD Product Stewardship Bulletin #8: Risk Management Program 

NATIONAL FIRE PROTECTION ASSOCIATION 

Street Address: 1 Batterymarch Park 

P.O. Box 9101 

Quincy, MA 02269-9101 

Phone Number: (617) 770-3000 

Fax Number: (617) 770-0700 

E-mail: library@NFPA.org. 

WWW Address: www.nfpa.org/ 

NFPA publishes standards related to fire safety, prevention, training, planning, and 

response that have been adopted as the official fire code in many states, as well as 

guidance on how to implement its standards. The collection of NFPA Standards is 

available at many libraries, but NFPA also publishes a bimonthly catalog of its 

standards and fire safety products, which are available from: 

May 12, 2000 
Appendix C 

Technical Assistance C-6 

NFPA Fulfillment Center 

11 Tracy Drive 

Avon, MA 02322-9908 

Phone: (800) 344-3555 

Monday - Friday, 8:30 am - 8:00 pm EST 

Fax: (800) 593-NFPA (6372) 

E-mail: custserv@NFPA.org. 

A listing of these products and subscription service information (as well as a Spanish 

version of the catalog) is provided at the NFPA homepage. 

SMALL BUSINESS ADMINISTRATION 

Street Address: 409 Third Street, SW 

Washington, DC 20416 

Phone Number: (800) 827-5722 

WWW Address: www.sba.gov/ 

SBA was created to help America's entrepreneurs form successful small enterprises. 

SBA's program offices in every state offer financing, training and advocacy for small 

firms. In addition, the SBA works with thousands of lending, educational, and 

training institutions nationwide. 

May 12, 2000 
APPENDIX D

OSHA GUIDANCE ON PSM

APPENDIX D

OSHA GUIDANCE ON PSM

The following text is taken directly from OSHA’s non-mandatory appendix C to the PSM 

standard (29 CFR 1910.119). The only change has been to rearrange the sections to track the order of 

part 68. 

PROCESS SAFETY INFORMATION 

Complete and accurate written information concerning process chemicals, process technology, and 

process equipment is essential to an effective process safety management program and to a process 

hazards analysis. The compiled information will be a necessary resource to a variety of users including 

the team that will perform the process hazards analysis; those developing the training programs and the 

operating procedures; contractors whose employees will be working with the process; those conducting 

the pre-startup reviews; local emergency preparedness planners; and insurance and enforcement officials. 

The information to be compiled about the chemicals, including process intermediates, needs to be 

comprehensive enough for an accurate assessment of the fire and explosion characteristics, reactivity 

hazards, the safety and health hazards to workers, and the corrosion and erosion effects on the process 

equipment and monitoring tools. Current material safety data sheet (MSDS) information can be used to 

help meet this requirement, which must be supplemented with process chemistry information including 

runaway reaction and over pressure hazards if applicable. 

Process technology information will be a part of the process safety information package and it is 

expected that it will include diagrams as well as employer established criteria for maximum inventory 

levels for process chemicals; limits beyond which would be considered upset conditions; and a 

qualitative estimate of the consequences or results of deviation that could occur if operating beyond the 

established process limits. Employers are encouraged to use diagrams which will help users understand 

the process. 

A block flow diagram is used to show the major process equipment and interconnecting process flow 

lines and show flow rates, stream composition, temperatures, and pressures when necessary for clarity. 

The block flow diagram is a simplified diagram. 

Process flow diagrams are more complex and will show all main flow streams including valves to 

enhance the understanding of the process, as well as pressures and temperatures on all feed and product 

lines within all major vessels, in and out of headers and heat exchangers, and points of pressure and 

temperature control. Also, materials of construction information, pump capacities and pressure heads, 

compressor horsepower and vessel design pressures and temperatures are shown when necessary for 

clarity. In addition, major components of control loops are usually shown along with key utilities on 

process flow diagrams. 

Piping and instrument diagrams (P&IDS) may be the more appropriate type of diagrams to show some of 

the above details and to display the information for the piping designer and engineering staff. The 

P&IDS are to be used to describe the relationships between equipment and instrumentation as well as 

other relevant information that will enhance clarity. Computer software programs which do P&IDS or 

other diagrams useful to the information package, may be used to help meet this requirement. 
Appendix D 

OSHA Guidance on PSM D-2 

The information pertaining to process equipment design must be documented. In other words, what were 

the codes and standards relied on to establish good engineering practice. These codes and standards are 

published by such organizations as the American Society of Mechanical Engineers, American Petroleum 

Institute, American National Standards Institute, National Fire Protection Association, American Society 

for Testing and Materials, National Board of Boiler and Pressure Vessel Inspectors, National Association 

of Corrosion Engineers, American Society of Exchange Manufacturers Association, and model building 

code groups. In addition, various engineering societies issue technical reports which impact process 

design. For example, the American Institute of Chemical Engineers has published technical reports on 

topics such as two phase flow for venting devices. This type of technically recognized report would 

constitute good engineering practice. 

For existing equipment designed and constructed many years ago in accordance with the codes and 

standards available at that time and no longer in general use today, the employer must document which 

codes and standards were used and that the design and construction along with the testing, inspection and 

operation are still suitable for the intended use. Where the process technology requires a design which 

departs from the applicable codes and standards, the employer must document that the design and 

construction is suitable for the intended purpose. 

PROCESS HAZARD ANALYSIS 

A process hazard analysis (PHA), sometimes called a process hazard evaluation, is one of the most 

important elements of the process safety management program. A PHA is an organized and systematic 

effort to identify and analyze the significance of potential hazards associated with the processing or 

handling of highly hazardous chemicals. A PHA provides information which will assist employers and 

employees in making decisions for improving safety and reducing the consequences of unwanted or 

unplanned releases of hazardous chemicals. 

A PHA is directed toward analyzing potential causes and consequences of fires, explosions, releases of 

toxic or flammable chemicals and major spills of hazardous chemicals. The PHA focuses on equipment, 

instrumentation, utilities, human actions (routine and non-routine), and external factors that might impact 

the process. These considerations assist in determining the hazards and potential failure points or failure 

modes in a process. 

The selection of a PHA methodology or technique will be influenced by many factors including the 

amount of existing knowledge about the process. Is it a process that has been operated for a long period 

of time with little or no innovation and extensive experience has been generated with its use? Or, is it a 

new process or one which has been changed frequently by the inclusion of innovative features? Also, the 

size and complexity of the process will influence the decision as to the appropriate PHA methodology to 

use. All PHA methodologies are subject to certain limitations. For example, the checklist methodology 

works well when the process is very stable and no changes are made, but it is not as effective when the 

process has undergone extensive change. The checklist may miss the most recent changes and 

consequently the changes would not be evaluated. Another limitation to be considered concerns the 

assumptions made by the team or analyst. The PHA is dependent on good judgment and the assumptions 

made during the study need to be documented and understood by the team and reviewer and kept for a 

future PHA. 
Appendix D 

D-3 OSHA Guidance on PSM 

The team conducting the PHA need to understand the methodology that is going to be used. A PHA team 

can vary in size from two people to a number of people with varied operational and technical 

backgrounds. Some team members may only be a part of the team for a limited time. The team leader 

needs to be fully knowledgeable in the proper implementation of the PHA methodology that is to be used 

and should be impartial in the evaluation. The other full or part time team members need to provide the 

team with expertise in areas such as process technology, process design, operating procedures and 

practices, including how the work is actually performed, alarms, emergency procedures, instrumentation, 

maintenance procedures, both routine and non-routine tasks, including how the tasks are authorized, 

procurement of parts and supplies, safety and health, and any other relevant subject as the need dictates. 

At least one team member must be familiar with the process. 

The ideal team will have an intimate knowledge of the standards, codes, specifications and regulations 

applicable to the process being studied. The selected team members need to be compatible and the team 

leader needs to be able to manage the team and the PHA study. The team needs to be able to work 

together while benefiting from the expertise of others on the team or outside the team, to resolve issues, 

and to forge a consensus on the findings of the study and the recommendations. 

The application of a PHA to a process may involve the use of different methodologies for various parts of 

the process. For example, a process involving a series of unit operations of varying sizes, complexities, 

and ages may use different methodologies and team members for each operation. Then the conclusions 

can be integrated into one final study and evaluation. 

A more specific example is the use of a checklist PHA for a standard boiler or heat exchanger and the use 

of a Hazard and Operability PHA for the overall process. Also, for batch type processes like custom 

batch operations, a generic PHA of a representative batch may be used where there are only small 

changes of monomer or other ingredient ratios and the chemistry is documented for the full range and 

ratio of batch ingredients. Another process that might consider using a generic type of PHA is a gas 

plant. Often these plants are simply moved from site to site and therefore, a generic PHA may be used 

for these movable plants. Also, when an employer has several similar size gas plants and no sour gas is 

being processed at the site, then a generic PHA is feasible as long as the variations of the individual sites 

are accounted for in the PHA. 

Finally, when an employer has a large continuous process which has several control rooms for different 

portions of the process such as for a distillation tower and a blending operation, the employer may wish 

to do each segment separately and then integrate the final results. 

Additionally, small businesses which are covered by this rule, will often have processes that have less 

storage volume, less capacity, and less complicated than processes at a large facility. Therefore, OSHA 

would anticipate that the less complex methodologies would be used to meet the process hazard analysis 

criteria in the standard. These process hazard analyses can be done in less time and with a few people 

being involved. A less complex process generally means that less data, P&IDS, and process information 

is needed to perform a process hazard analysis. 

Many small businesses have processes that are not unique, such as cold storage lockers or water 

treatment facilities. Where employer associations have a number of members with such facilities, a 

generic PHA, evolved from a checklist or what-if questions, could be developed and used by each 

employer effectively to reflect his/her particular process; this would simplify compliance for them. 
Appendix D 

OSHA Guidance on PSM D-4 

When the employer has a number of processes which require a PHA, the employer must set up a priority 

system of which PHAs to conduct first. A preliminary or gross hazard analysis may be useful in 

prioritizing the processes that the employer has determined are subject to coverage by the process safety 

management standard. Consideration should first be given to those processes with the potential of 

adversely affecting the largest number of employees. This prioritizing should consider the potential 

severity of a chemical release, the number of potentially affected employees, the operating history of the 

process such as the frequency of chemical releases, the age of the process and any other relevant factors. 

These factors would suggest a ranking order and would suggest either using a weighing factor system or 

a systematic ranking method. The use of a preliminary hazard analysis would assist an employer in 

determining which process should be of the highest priority and thereby the employer would obtain the 

greatest improvement in safety at the facility. 

OPERATING PROCEDURES 

Operating procedures describe tasks to be performed, data to be recorded, operating conditions to be 

maintained, samples to be collected, and safety and health precautions to be taken. The procedures need 

to be technically accurate, understandable to employees, and revised periodically to ensure that they 

reflect current operations. The process safety information package is to be used as a resource to better 

assure that the operating procedures and practices are consistent with the known hazards of the chemicals 

in the process and that the operating parameters are accurate. Operating procedures should be reviewed 

by engineering staff and operating personnel to ensure that they are accurate and provide practical 

instructions on how to actually carry out job duties safely. 

Operating procedures will include specific instructions or details on what steps are to be taken or 

followed in carrying out the stated procedures. These operating instructions for each procedure should 

include the applicable safety precautions and should contain appropriate information on safety 

implications. For example, the operating procedures addressing operating parameters will contain 

operating instructions about pressure limits, temperature ranges, flow rates, what to do when an upset 

condition occurs, what alarms and instruments are pertinent if an upset condition occurs, and other 

subjects. Another example of using operating instructions to properly implement operating procedures is 

in starting up or shutting down the process. In these cases, different parameters will be required from 

those of normal operation. These operating instructions need to clearly indicate the distinctions between 

startup and normal operations such as the appropriate allowances for heating up a unit to reach the 

normal operating parameters. Also the operating instructions need to describe the proper method for 

increasing the temperature of the unit until the normal operating temperature parameters are achieved. 

Computerized process control systems add complexity to operating instructions. These operating 

instructions need to describe the logic of the software as well as the relationship between the equipment 

and the control system; otherwise, it may not be apparent to the operator. 

Operating procedures and instructions are important for training operating personnel. The operating 

procedures are often viewed as the standard operating practices (SOPs) for operations. Control room 

personnel and operating staff, in general, need to have a full understanding of operating procedures. If 

workers are not fluent in English then procedures and instructions need to be prepared in a second 

language understood by the workers. In addition, operating procedures need to be changed when there is 

a change in the process as a result of the management of change procedures. The consequences of 

operating procedure changes need to be fully evaluated and the information conveyed to the personnel. 
Appendix D 

D-5 OSHA Guidance on PSM 

For example, mechanical changes to the process made by the maintenance department (like changing a 

valve from steel to brass or other subtle changes) need to be evaluated to determine if operating 

procedures and practices also need to be changed. All management of change actions must be 

coordinated and integrated with current operating procedures and operating personnel must be oriented to 

the changes in procedures before the change is made. When the process is shutdown to make a change, 

then the operating procedures must be updated before startup of the process. 

Training in how to handle upset conditions must be accomplished as well as what operating personnel are 

to do in emergencies such as when a pump seal fails or a pipeline ruptures. Communication between 

operating personnel and workers performing work within the process area, such as non-routine tasks, also 

must be maintained. The hazards of the tasks are to be conveyed to operating personnel in accordance 

with established procedures and to those performing the actual tasks. When the work is completed, 

operating personnel should be informed to provide closure on the job. 

TRAINING 

All employees, including maintenance and contractor employees, involved with highly hazardous 

chemicals need to fully understand the safety and health hazards of the chemicals and processes they 

work with for the protection of themselves, their fellow employees and the citizens of nearby 

communities. Training conducted in compliance with 1910.1200, the Hazard Communication standard, 

will help employees to be more knowledgeable about the chemicals they work with as well as familiarize 

them with reading and understanding MSDS. However, additional training in subjects such as operating 

procedures and safety work practices, emergency evacuation and response, safety procedures, routine and 

non-routine work authorization activities, and other areas pertinent to process safety and health will need 

to be covered by an employer's training program. 

In establishing their training programs, employers must clearly define the employees to be trained and 

what subjects are to be covered in their training. Employers in setting up their training program will need 

to clearly establish the goals and objectives they wish to achieve with the training that they provide to 

their employees. The learning goals or objectives should be written in clear measurable terms before the 

training begins. These goals and objectives need to be tailored to each of the specific training modules or 

segments. Employers should describe the important actions and conditions under which the employee 

will demonstrate competence or knowledge as well as what is acceptable performance. 

Hands-on-training where employees are able to use their senses beyond listening, will enhance learning. 

For example, operating personnel, who will work in a control room or at control panels, would benefit by 

being trained at a simulated control panel or panels. Upset conditions of various types could be 

displayed on the simulator, and then the employee could go through the proper operating procedures to 

bring the simulator panel back to the normal operating parameters. A training environment could be 

created to help the trainee feel the full reality of the situation but, of course, under controlled conditions. 

This realistic type of training can be very effective in teaching employees correct procedures while 

allowing them to also see the consequences of what might happens if they do not follow established 

operating procedures. Other training techniques using videos or on-the-job training can also be very 

effective for teaching other job tasks, duties, or other important information. An effective training 

program will allow the employee to fully participate in the training process and to practice their skill or 

knowledge. 
Appendix D 

OSHA Guidance on PSM D-6 

Employers need to periodically evaluate their training programs to see if the necessary skills, knowledge, 

and routines are being properly understood and implemented by their trained employees. The means or 

methods for evaluating the training should be developed along with the training program goals and 

objectives. Training program evaluation will help employers to determine the amount of training their 

employees understood, and whether the desired results were obtained. If, after the evaluation, it appears 

that the trained employees are not at the level of knowledge and skill that was expected, the employer 

will need to revise the training program, provide retraining, or provide more frequent refresher training 

sessions until the deficiency is resolved. Those who conducted the training and those who received the 

training should also be consulted as to how best to improve the training process. If there is a language 

barrier, the language known to the trainees should be used to reinforce the training messages and 

information. 

Careful consideration must be given to assure that employees including maintenance and contract 

employees receive current and updated training. For example, if changes are made to a process, impacted 

employees must be trained in the changes and understand the effects of the changes on their job tasks 

(e.g., any new operating procedures pertinent to their tasks). Additionally, as already discussed the 

evaluation of the employee's absorption of training will certainly influence the need for training. 

MECHANICAL INTEGRITY 

Employers will need to review their maintenance programs and schedules to see if there are areas where 

"breakdown" maintenance is used rather than an on-going mechanical integrity program. Equipment 

used to process, store, or handle highly hazardous chemicals needs to be designed, constructed, installed 

and maintained to minimize the risk of releases of such chemicals. This requires that a mechanical 

integrity program be in place to assure the continued integrity of process equipment. 

Elements of a mechanical integrity program include the identification and categorization of equipment 

and instrumentation, inspections and tests, testing and inspection frequencies, development of 

maintenance procedures, training of maintenance personnel, the establishment of criteria for acceptable 

test results, documentation of test and inspection results, and documentation of manufacturer 

recommendations as to meantime to failure for equipment and instrumentation. 

The first line of defense an employer has available is to operate and maintain the process as designed, 

and to keep the chemicals contained. This line of defense is backed up by the next line of defense which 

is the controlled release of chemicals through venting to scrubbers or flares, or to surge or overflow tanks 

which are designed to receive such chemicals, etc. These lines of defense are the primary lines of 

defense or means to prevent unwanted releases. The secondary lines of defense would include fixed fire 

protection systems like sprinklers, water spray, or deluge systems, monitor guns, etc., dikes, designed 

drainage systems, and other systems which would control or mitigate hazardous chemicals once an 

unwanted release occurs. These primary and secondary lines of defense are what the mechanical 

integrity program needs to protect and strengthen these primary and secondary lines of defenses where 

appropriate. 

The first step of an effective mechanical integrity program is to compile and categorize a list of process 

equipment and instrumentation for inclusion in the program. This list would include pressure vessels, 

storage tanks, process piping, relief and vent systems, fire protection system components, emergency 

shutdown systems and alarms and interlocks and pumps. For the categorization of instrumentation and 
Appendix D 

D-7 OSHA Guidance on PSM 

the listed equipment the employer would prioritize which pieces of equipment require closer scrutiny 

than others. 

Meantime to failure of various instrumentation and equipment parts would be known from the 

manufacturer’s data or the employer's experience with the parts, which would then influence the 

inspection and testing frequency and associated procedures. Also, applicable codes and standards such as 

the National Board Inspection Code, or those from the American Society for Testing and Material, 

American Petroleum Institute, National Fire Protection Association, American National Standards 

Institute, American Society of Mechanical Engineers, and other groups, provide information to help 

establish an effective testing and inspection frequency, as well as appropriate methodologies. 

The applicable codes and standards provide criteria for external inspections for such items as foundation 

and supports, anchor bolts, concrete or steel supports, guy wires, nozzles and sprinklers, pipe hangers, 

grounding connections, protective coatings and insulation, and external metal surfaces of piping and 

vessels, etc. These codes and standards also provide information on methodologies for internal 

inspection, and a frequency formula based on the corrosion rate of the materials of construction. Also, 

erosion both internal and external needs to be considered along with corrosion effects for piping and 

valves. Where the corrosion rate is not known, a maximum inspection frequency is recommended, and 

methods of developing the corrosion rate are available in the codes. Internal inspections need to cover 

items such as vessel shell, bottom and head; metallic linings; nonmetallic linings; thickness 

measurements for vessels and piping; inspection for erosion, corrosion, cracking and bulges; internal 

equipment like trays, baffles, sensors and screens for erosion, corrosion or cracking and other 

deficiencies. Some of these inspections may be performed by state or local government inspectors under 

state and local statutes. However, each employer needs to develop procedures to ensure that tests and 

inspections are conducted properly and that consistency is maintained even where different employees 

may be involved. Appropriate training is to be provided to maintenance personnel to ensure that they 

understand the preventive maintenance program procedures, safe practices, and the proper use and 

application of special equipment or unique tools that may be required. This training is part of the overall 

training program called for in the standard. 

A quality assurance system is needed to help ensure that the proper materials of construction are used, 

that fabrication and inspection procedures are proper, and that installation procedures recognize field 

installation concerns. The quality assurance program is an essential part of the mechanical integrity 

program and will help to maintain the primary and secondary lines of defense that have been designed 

into the process to prevent unwanted chemical releases or those which control or mitigate a release. "As 

built" drawings, together with certifications of coded vessels and other equipment, and materials of 

construction need to be verified and retained in the quality assurance documentation. 

Equipment installation jobs need to be properly inspected in the field for use of proper materials and 

procedures and to assure that qualified craftsmen are used to do the job. The use of appropriate gaskets, 

packing, bolts, valves, lubricants and welding rods need to be verified in the field. Also, procedures for 

installation of safety devices need to be verified, such as the torque on the bolts on ruptured disc 

installations, uniform torque on flange bolts, proper installation of pump seals, etc. If the quality of parts 

is a problem, it may be appropriate to conduct audits of the equipment supplier's facilities to better assure 

proper purchases of required equipment which is suitable for its intended service. Any changes in 

equipment that may become necessary will need to go through the management of change procedures. 
Appendix D 

OSHA Guidance on PSM D-8 

MANAGEMENT OF CHANGE 

To properly manage changes to process chemicals, technology, equipment and facilities, one must define 

what is meant by change. In this process safety management standard, change includes all modifications 

to equipment, procedures, raw materials and processing conditions other than "replacement in kind." 

These changes need to be properly managed by identifying and reviewing them prior to implementation 

of the change. For example, the operating procedures contain the operating parameters (pressure limits, 

temperature ranges, flow rates, etc.) and the importance of operating within these limits. While the 

operator must have the flexibility to maintain safe operation within the established parameters, any 

operation outside of these parameters requires review and approval by a written management of change 

procedure. Management of change covers changes in process technology and changes to equipment and 

instrumentation. Changes in process technology can result from changes in production rates, raw 

materials, experimentation, equipment unavailability, new equipment, new product development, change 

in catalyst and changes in operating conditions to improve yield or quality. Equipment changes include 

among others change in materials of construction, equipment specifications, piping pre-arrangements, 

experimental equipment, computer program revisions and changes in alarms and interlocks. Employers 

need to establish means and methods to detect both technical changes and mechanical changes. 

Temporary changes have caused a number of catastrophes over the years, and employers need to 

establish ways to detect temporary changes as well as those that are permanent. It is important that a 

time limit for temporary changes be established and monitored since, without control, these changes may 

tend to become permanent. Temporary changes are subject to the management of change provisions. In 

addition, the management of change procedures are used to insure that the equipment and procedures are 

returned to their original or designed conditions at the end of the temporary change. Proper 

documentation and review of these changes is invaluable in assuring that the safety and health 

considerations are being incorporated into the operating procedures and the process. Employers may 

wish to develop a form or clearance sheet to facilitate the processing of changes through the management 

of change procedures. A typical change form may include a description and the purpose of the change, 

the technical basis for the change, safety and health considerations, documentation of changes for the 

operating procedures, maintenance procedures, inspection and testing, P&IDS, electrical classification, 

training and communications, pre-startup inspection, duration if a temporary change, approvals and 

authorization. Where the impact of the change is minor and well understood, a check list reviewed by an 

authorized person with proper communication to others who are affected may be sufficient. 

However, for a more complex or significant design change, a hazard evaluation procedure with approvals 

by operations, maintenance, and safety departments may be appropriate. Changes in documents such as 

P&IDS, raw materials, operating procedures, mechanical integrity programs, electrical classifications, 

etc., need to be noted so that these revisions can be made permanent when the drawings and procedure 

manuals are updated. Copies of process changes need to be kept in an accessible location to ensure that 

design changes are available to operating personnel as well as to PHA team members when a PHA is 

being done or one is being updated. 

PRE-STARTUP REVIEW 

For new processes, the employer will find a PHA helpful in improving the design and construction of the 

process from a reliability and quality point of view. The safe operation of the new process will be 

enhanced by making use of the PHA recommendations before final installations are completed. P&IDs 
Appendix D 

D-9 OSHA Guidance on PSM 

are to be completed along with having the operating procedures in place and the operating staff trained to 

run the process before startup. The initial startup procedures and normal operating procedures need to be 

fully evaluated as part of the pre-startup review to assure a safe transfer into the normal operating mode 

for meeting the process parameters. 

For existing processes that have been shutdown for turnaround, or modification, etc., the employer must 

assure that any changes other than "replacement in kind" made to the process during shutdown go 

through the management of change procedures. P&IDS will need to be updated as necessary, as well as 

operating procedures and instructions. If the changes made to the process during shutdown are significant 

and impact the training program, then operating personnel as well as employees engaged in routine and 

non-routine work in the process area may need some refresher or additional training in light of the 

changes. Any incident investigation recommendations, compliance audits or PHA recommendations need 

to be reviewed as well to see what impacts they may have on the process before beginning the startup. 

COMPLIANCE AUDITS 

Employers need to select a trained individual or assemble a trained team of people to audit the process 

safety management system and program. A small process or plant may need only one knowledgeable 

person to conduct an audit. The audit is to include an evaluation of the design and effectiveness of the 

process safety management system and a field inspection of the safety and health conditions and 

practices to verify that the employer's systems are effectively implemented. The audit should be 

conducted or led by a person knowledgeable in audit techniques and who is impartial towards the facility 

or area being audited. The essential elements of an audit program include planning, staffing, conducting 

the audit, evaluation and corrective action, follow-up and documentation. 

Planning in advance is essential to the success of the auditing process. Each employer needs to establish 

the format, staffing, scheduling and verification methods prior to conducting the audit. The format should 

be designed to provide the lead auditor with a procedure or checklist which details the requirements of 

each section of the standard. The names of the audit team members should be listed as part of the format 

as well. The checklist, if properly designed, could serve as the verification sheet which provides the 

auditor with the necessary information to expedite the review and assure that no requirements of the 

standard are omitted. This verification sheet format could also identify those elements that will require 

evaluation or a response to correct deficiencies. This sheet could also be used for developing the 

follow-up and documentation requirements. 

The selection of effective audit team members is critical to the success of the program. Team members 

should be chosen for their experience, knowledge, and training and should be familiar with the processes 

and with auditing techniques, practices and procedures. The size of the team will vary depending on the 

size and complexity of the process under consideration. For a large, complex, highly instrumented plant, 

it may be desirable to have team members with expertise in process engineering and design, process 

chemistry, instrumentation and computer controls, electrical hazards and classifications, safety and health 

disciplines, maintenance, emergency preparedness, warehousing or shipping, and process safety auditing. 

The team may use part-time members to provide for the depth of expertise required as well as for what is 

actually done or followed, compared to what is written. 

An effective audit includes a review of the relevant documentation and process safety information, 

inspection of the physical facilities, and interviews with all levels of plant personnel. Using the audit 
Appendix D 

OSHA Guidance on PSM D-10 

procedure and checklist developed in the preplanning stage, the audit team can systematically analyze 

compliance with the provisions of the standard and any other corporate policies that are relevant. For 

example, the audit team will review all aspects of the training program as part of the overall audit. The 

team will review the written training program for adequacy of content, frequency of training, 

effectiveness of training in terms of its goals and objectives as well as to how it fits into meeting the 

standard's requirements, documentation, etc. Through interviews, the team can determine the employee's 

knowledge and awareness of the safety procedures, duties, rules, emergency response assignments, etc. 

During the inspection, the team can observe actual practices such as safety and health policies, 

procedures, and work authorization practices. This approach enables the team to identify deficiencies 

and determine where corrective actions or improvements are necessary. 

An audit is a technique used to gather sufficient facts and information, including statistical information, 

to verify compliance with standards. Auditors should select as part of their preplanning a sample size 

sufficient to give a degree of confidence that the audit reflects the level of compliance with the standard. 

The audit team, through this systematic analysis, should document areas which require corrective action 

as well as those areas where the process safety management system is effective and working in an 

effective manner. This provides a record of the audit procedures and findings, and serves as a baseline of 

operation data for future audits. It will assist future auditors in determining changes or trends from 

previous audits. 

Corrective action is one of the most important parts of the audit. It includes not only addressing the 

identified deficiencies, but also planning, follow up, and documentation. The corrective action process 

normally begins with a management review of the audit findings. The purpose of this review is to 

determine what actions are appropriate, and to establish priorities, timetables, resource allocations and 

requirements and responsibilities. In some cases, corrective action may involve a simple change in 

procedure or minor maintenance effort to remedy the concern. Management of change procedures need 

to be used, as appropriate, even for what may seem to be a minor change. Many of the deficiencies can be 

acted on promptly, while some may require engineering studies or in-depth review of actual procedures 

and practices. There may be instances where no action is necessary and this is a valid response to an 

audit finding. All actions taken, including an explanation where no action is taken on a finding, needs to 

be documented as to what was done and why. 

It is important to assure that each deficiency identified is addressed, the corrective action to be taken 

noted, and the audit person or team responsible be properly documented by the employer. 

To control the corrective action process, the employer should consider the use of a tracking system. This 

tracking system might include periodic status reports shared with affected levels of management, specific 

reports such as completion of an engineering study, and a final implementation report to provide closure 

for audit findings that have been through management of change, if appropriate, and then shared with 

affected employees and management. This type of tracking system provides the employer with the status 

of the corrective action. It also provides the documentation required to verify that appropriate corrective 

actions were taken on deficiencies identified in the audit. 

INCIDENT INVESTIGATION 

Incident investigation is the process of identifying the underlying causes of incidents and implementing 

steps to prevent similar events from occurring. The intent of an incident investigation is for employers to 
Appendix D 

D-11 OSHA Guidance on PSM 

learn from past experiences and thus avoid repeating past mistakes. Some of the events are sometimes 

referred to as "near misses," meaning that a serious consequence did not occur, but could have. 

Employers need to develop in-house capability to investigate incidents that occur in their facilities. A 

team needs to be assembled by the employer and trained in the techniques of investigation including how 

to conduct interviews of witnesses, needed documentation and report writing. A multi-disciplinary team 

is better able to gather the facts of the event and to analyze them and develop plausible scenarios as to 

what happened, and why. Team members should be selected on the basis of their training, knowledge 

and ability to contribute to a team effort to fully investigate the incident. 

Employees in the process area where the incident occurred should be consulted, interviewed or made a 

member of the team. Their knowledge of the events form a significant set of facts about the incident 

which occurred. The report, its findings and recommendations are to be shared with those who can 

benefit from the information. The cooperation of employees is essential to an effective incident 

investigation. The focus of the investigation should be to obtain facts, and not to place blame. The team 

and the investigation process should clearly deal with all involved individuals in a fair, open and 

consistent manner. 

EMPLOYEE PARTICIPATION 

Section 304 of the Clean Air Act Amendments states that employers are to consult with their employees 

and their representatives regarding the employers efforts in the development and implementation of the 

process safety management program elements and hazard assessments. Section 304 also requires 

employers to train and educate their employees and to inform affected employees of the findings from 

incident investigations required by the process safety management program. Many employers, under their 

safety and health programs, have already established means and methods to keep employees and their 

representatives informed about relevant safety and health issues and employers may be able to adapt 

these practices and procedures to meet their obligations under this standard. Employers who have not 

implemented an occupational safety and health program may wish to form a safety and health committee 

of employees and management representatives to help the employer meet the obligations specified by this 

standard. These committees can become a significant ally in helping the employer to implement and 

maintain an effective process safety management program for all employees. 

HOT WORK PERMIT 

Non-routine work which is conducted in process areas needs to be controlled by the employer in a 

consistent manner. The hazards identified involving the work that is to be accomplished must be 

communicated to those doing the work, but also to those operating personnel whose work could affect 

the safety of the process. A work authorization notice or permit must have a procedure that describes the 

steps the maintenance supervisor, contractor representative or other person needs to follow to obtain the 

necessary clearance to get the job started. The work authorization procedures need to reference and 

coordinate, as applicable, lockout/tagout procedures, line breaking procedures, confined space entry 

procedures and hot work authorizations. This procedure also needs to provide clear steps to follow once 

the job is completed to provide closure for those that need to know the job is now completed and 

equipment can be returned to normal. 
Appendix D 

OSHA Guidance on PSM D-12 

CONTRACTORS 

Employers who use contractors to perform work in and around processes that involve highly hazardous 

chemicals, will need to establish a screening process so that they hire and use contractors who 

accomplish the desired job tasks without compromising the safety and health of employees at a facility. 

For contractors, whose safety performance on the job is not known to the hiring employer, the employer 

will need to obtain information on injury and illness rates and experience and should obtain contractor 

references. Additionally, the employer must assure that the contractor has the appropriate job skills, 

knowledge and certifications (such as for pressure vessel welders). Contractor work methods and 

experiences should be evaluated. For example, does the contractor conducting demolition work swing 

loads over operating processes or does the contractor avoid such hazards? 

Contract employees must perform their work safely. Considering that contractors often perform very 

specialized and potentially hazardous tasks such as confined space entry activities and non-routine repair 

activities it is quite important that their activities be controlled while they are working on or near a 

covered process. A permit system or work authorization system for these activities would also be helpful 

to all affected employers. The use of a work authorization system keeps an employer informed of 

contract employee activities, and as a benefit the employer will have better coordination and more 

management control over the work being performed in the process area. A well run and well maintained 

process where employee safety is fully recognized will benefit all of those who work in the facility 

whether they be contract employees or employees of the owner.