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40 CFR PART 68)
?ency_Preparedness and Prevention Office
l> Printed on recycled paper
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THIS EDITION
This document is a revision of the November 1998 Risk Management Program Guidance for Ammonia
Refrigeration. The revisions are needed to reflect several amendments to 40 CFR part 68 as well as to
reflect the availability of the software for submission of RMPs. The specific changes include the
following:
+ The change from SIC codes to NAICS codes to define the industrial sectors subject to
Program 3; and
+ The final requirements for submission of RMPs,
Other regulatory changes are not included in this document because they are not relevant to ammonia
refrigeration (e.g., the exemption of flammable fuels).
The revisions also update items, such as web page addresses, where needed. Pages that include
substantive revisions to the previous text are noted by a new date in the footer. Appendices C and D in
the 1998 document, which provided EPA and OSHA contacts, have been eliminated; addresses for
websites that provide this information and are updated frequently are included in the Technical
Assistance appendix.
FOR UPDATES
To keep up to date 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 Chemical Emergency
Preparedness and Prevention Office website at:
www.epa.gov/ceppo/
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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 1-11
1.7 When You Must Comply 1-13
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 2-10
2.4 Programs 2-10
2.5 Program 2 2-11
2.6 Dealing with Program Levels 2-11
2.7 Summary of Program Requirements 2-13
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 Scenario Analysis 4-3
4.2 Alternative Release Scenario 4-13
4.3 Defining Offsite Receptors 4-19
4.4 Documentation 4-23
Appendix 4A Brief Summary of the Various States in Which Ammonia Exists in a Typical
Refrigeration Facility , 4-25
Appendix 4B Equations for Log-Log Graphs and Calculations 4-30
Appendix 4C Information about Accidental Releases of Ammonia 4-34
CHAPTERS MANAGEMENT SYSTEM
5.1 General Information 5-1
5.2 How to Meet the Management System Requirements 5-1
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CHAPTER 6 PREVENTION PROGRAM (PROGRAM 3)
! i
6.1 Prevention Program 3 and OSHA PSM
6.2 Process Safety Information (§ 68.65)
6.3 Process Hazard Analysis (§ 68.67)
6.4 Operating Procedures (§ 68.69)
6.5 Training (§ 68.71)
6.6 Mechanical Integrity (§ 68.73)
6.7 Management of Change (§ 68.75)
6.8 Pre-Startup Review (§ 68.77)
6.9 Compliance Audits (§ 68.79)
6.10 Incident Investigation (§68.81)
6,11 Employee Participation (§ 68.83)
6.12 Hot Work Permits (§ 68.85)
6.13 Contractors (§ 68.87)
Appendix 6-A PHA Techniques
CHAPTER 7 EMERGENCY RESPONSE
7.1 Non-Responding Sources
7,2 Elements of an Emergency Response Program
7.3 Developing an Emergency Response Program
7.4 Integration of Existing Program
7.5 Have I Met Part 68 Requirements
7.6 Coordination with Local Emergency Planning Committees
CHAPTERS RISK MANAGEMENT PLAN
8.1 Elements of the RMP
8.2 RMP Submission
8.3 Resubmission and Updates
CHAPTER 9 IMPLEMENTATION
•if
9.1 Implementing Agency
9.2 Reviews/Audits/Inspections
9.3 Relationship with Title V Permit Programs
9.4 Penalties for Non-Compliance
' I'
CHAPTER 10 COMMUNICATION WITH THE PUBLIC
10.1 Basic Rules of Risk Communication
10.2 Sample Questions for Communicating with the Public
10.3 Communication Activities and Techniques
10.4 For More Information
6-1
6-2
6-5
6-8
6-10
6-10
6-13
6-13
6-14
6-14
6-16
6-16
6-17
6-19
7-1
7-2
7-5
7-8
7-11
7-14
8-1
8-2
8-3
9-1
9-2
9-4
9-4
10-1
10-4
10-13
10-18
APPENDICES
APPENDIX A
PART 68
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APPENDIX B
APPENDIX C
APPENDIX D
APPENDIX E
SELECTED NAICS CODES
TECHNICAL ASSISTANCE
OSHA GUIDANCE ON PSM
HAZARD ALERT
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LIST OF BOXES AND EXHIBITS
IN RMP GUIDANCE
LIST OF EXHIBITS
CHAPTER 1
Exhibit 1-1
Exhibit 1-2
Exhibit 1-3
CHAPTER 2
Exhibit 2-1
Exhibit 2-2
Exhibit 2-3
Exhibit 2-4
CHAPTERS
Exhibit 3-1
CHAPTER 4
Exhibit 4-1
Exhibit 4-2
Exhibit 4-3
Exhibit 4-4
Exhibit 4-5
Exhibit 4-6
Figure 4-1
Figure 4-2
Figure 4-3
Evaluate Facility to Identify Covered Processes
Process
Stationary Source
Evaluate Program Levels for Covered Processes
Program Level Criteria
Develop Risk Management Program and RMP
Comparison of Program Requirements Program
Atmospheric Stability Classes
Steps for an Offsite Consequence Analysis
Required Parameters for Modeling Ammonia
Ten-Minute Building Release Attenuation Factors for Prolonged Releases
Distances to Toxic Endpoint for Anhydrous Ammonia Liquefied Under Pressure
Distances to Toxic Endpoint for Anhydrous Ammonia
Release Rates and Distances to Toxic Endpoints for Leaks of Anhydrous Ammonia
(Alternative Scenario)
Guidance on Effectiveness of Building Mitigation for Worst-Case Scenarios
Worst-Case Scenario — Predicted Distances to Toxic Endpoint for Anhydrous Ammonia
Alternative Case Scenario — Predicted Distances to Toxic Endpoint for Anhydrous
Ammonia
Guidance on Effectiveness of Building Mitigation for Alternative Scenarios
Simplified Presentation of Worst Case and Alternative Scenario on a Local Map
Figure 4-4
Figure 4-5
Two Stage Ammonia System
Single Stage Ammonia System
Figure 4-A. 1 Vapor Pressure of Ammonia as a Function of Temperature
CHAPTER 5
Exhibit 5-1
CHAPTER 6
Exhibit 6-1
Exhibit 6-2
Exhibit 6-3
Exhibit 6-4
Exhibit 6-5
Exhibit 6-6
Exhibit 6-7
Exhibit 6-8
Exhibit 6-9
Exhibit 6-10
Exhibit 6-11
Exhibit 6-12
Sample Management Documentation
Comparable EPA and OSHA Terms
Summary of Program 3 Prevention Program
Process Safety Information Requirements
Process Hazard Analysis Requirements
Operating Procedures Requirements
Mechanical Integrity Chart
Management of Change Requirements
Pre-startup Review Requirements
Incident Investigation Requirements
Employee Participation Requirements
Hot Work Permits Requirements
Contractors Chart
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Exhibit 6a-l Applicability of PHA Techniques
Exhibit 6a-2 Time and Staffing for PHA Techniques
CHAPTER?
Exhibit 7-1 Federal Guidance on Emergency Planning and Response
Exhibit 7-2 Federal Emergency Planning Regulations
Exhibit 7-3 Integrated Contingency Plan Outline
CHAPTER 8
Exhibit 8-1 RMP Updates
CHAPTER 10
Exhibit 10-1 Seven Cardinal Rules of Risk Communication
LIST OF BOXES
INTRODUCTION
State Programs
If You Are New to Regulations
What Is a Local Emergency Planning Committee?
CHAPTER 1
State Programs
Qs and As: Stationary Source
Qs and As: Process
Qs and As: Compliance Dates
CHAPTER2
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: OSHA
CHAPTERS
Qs and As: Property Damage
Qs and As: Accident History
CHAPTER4
RMP*Comp
How to Obtain Census Data and LandView
How to Obtain USGS Maps
CHAPTER 6
Qs and As: Process Safety Information
Qs and As: Offsite Consequences
CHAPTER 7
What Is a Response
What Is a Local Emergency Planning Committee?
How Does the Emergency Response Program Apply?
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CHAPTER 8
Qs and As: RMP Updates
Q and A: Revising a PHA
CHAPTER 9
Qs and As: Delegation
Qs and As: Audits
CHAPTER 10
What Does Your Worst-case Distance Mean?
What Does It Mean That We Could Be Exposed If We Live/Work/Shop/Go to School X Miles Away?
IfThere 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?
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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 CFRpart 68 and covered by
this guidance document. This table lists the types of entities that EPA is now
aware could potentially be regulated by this rule (see Appendix Bfor a more
detailed list of potentially affected NAICS codes). 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
Cold storage
facilities
NAICS
Codes
11
311
4224
4228
4931
SIC
Codes
01
20
514
518
411
Examples of Potentially Regulated
Entities
Agricultural operations
Food processors
Frozen and refrigerated foods distributors
Beer and wines distributors
Refrigerated warehouses
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INTRODUCTION
WHY SHOULD I READ THIS GUIDANCE?
If you handle, manufacture, use, or store any of the toxic and flammable substances
listed in 40 CFR 68.130 (see Appendix A of this document) 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 ammonia. This
document provides guidance 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 10,000
pounds of ammonia in a process, whichever is later.
This guidance is intended for food processors, food distributors, and refrigerated
warehouses who use ammonia as a refrigerant, as well as any other facility that has
an ammonia refrigeration system. Information not applicable to ammonia
refrigeration systems has been omitted. If you have other processes that use
regulated substances (see Appendix A of this document) other than ammonia, there
will be information that is applicable to those other operations that is not presented
in this document. For those operations, you should consult the General Guidance of
Risk Management Programs.
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 statute 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:
+ 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.
+ 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.
November 19, 1998
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Introduction
-11-
+ 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.
I
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.
HOW DO I USE THIS DOCUMENT?
This is a technical guidance document designed for owners and operators of sources
covered by part 68. It will help you to:
+ Determine if you are covered by the rule;
+ Determine what level of requirements is applicable to your covered
process(es);
+ Understand which specific risk management program activities must be
conducted;
+ 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
+ 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. You should view and retain this
guidance as a reference document for use when you are unsure about what a
requirement means. 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 than 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 9 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.
November 19,1998
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-ill-
Introduction
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
Only sources with more than a threshold quantity of a regulated substance
(for anhydrous ammonia, more than 10,000 pounds) 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. 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 an ammonia covered process
and the results of the offsite consequence analysis for that process, it may be
subject to one of two 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 7
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.
REQUIREMENTS ARE PERFORMANCE BASED
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
November 19, 1998
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Introduction
-IV-
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.
While a facility with a large, complex ammonia system may benefit from a
computerized maintenance tracking 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.
" . ' i I
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.
l! v J'l i
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 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.
April 24,2000
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-V-
Introduction
IF 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.
November 19, 1998
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Introduction
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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:
+ Collect information from facilities on hazardous substances that pose a risk to the
community;
+ Develop a contingency plan for the community based on this information; and
+ 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.
November 19,1998
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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:
+ The owner or operator of a stationary source (facility)
+ That has more than a threshold quantity
+ Of a regulated substance
+ 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 ammonia refrigeration 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
deterrnining applicability.
November 19, 1998
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EXHIBIT 1-1
EVALUATE FACILITY TO IDENTIFY COVERED PROCESSES
Is your facility
a stationary
source?
Do you have
any regulated
substances?
STOP!
You are not covered
by the rule.
Define your
processes
Do you have any
regulated substances
above a threshold quantity
in a process?
You are subject
to the rule.
Assign Program levels to
covered processes
(see Exhibit 2-1)
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1-3
Chapter 1
General 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 9 for a discussion of
state implementation of part 68.
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
+ 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."
EPA has added some language in the rule to clarify issues related to transportation
(see below).
FARMS (§68.125)
The rule has only one exemption: for ammonia when held by a farmer for use as an
agricultural nutrient 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, or the use of ammonia as a refrigerant It does not apply to farm
cooperatives or to groups of farmers who buy, use, and sell ammonia.
November 19, 1998
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Chapter 1
General Applicability
1-4
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. For example, if you process poultry (NAICS 311) and operate a waste
treatment facility (NAICS 562) that handles primarily wastes from your poultry operations, the waste
treatment is considered a support 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.
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 the quantity unloaded. Some issues related to
transportation are still under discussion with DOT.
November 19,1998
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1-5
Chapter 1
General Applicability
RELATIONSHIP TO OSHA PROCESS SAFETY MANAGEMENT STANDARD EXEMPTIONS
The OSHA Process Safety Management (PSM) standard (29 CFR 1910.119)
exempts retail facilities and unoccupied, remotely located facilities (other OSHA
exemptions are not relevant to ammonia refrigeration systems). Your processes are
not exempt from the Risk Management Program simply because they qualify for one
of the OSHA exemptions.
1.3 REGULATED SUBSTANCES AND THRESHOLDS (§ 68.130)
The list of substances regulated under § 68.130 is in Appendix A. The threshold
quantity for anhydrous ammonia is 10,000 pounds. If you do not have ammonia or
any of other regulated 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.
1.4 WHAT IS A PROCESS
The concept of "process" is key to whether you are subject to this rule. Process is
defined in 40 CFR 68.3 as:
"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."
"Vessel" in § 68.3 means any reactor, tank, drum, barrel, cylinder, vat, kettle, boiler,
pipe, hose, or other container.
EPA's definition of process is identical to the definition of process under the OSHA
PSM standard. Understanding the definition of process is important in determining
whether you have a threshold quantity of a regulated substance and what level of
requirements you must meet if the process is covered.
What does this mean to you?
+ If you store a regulated substance in a single vessel in quantities above the
threshold quantity, you are covered.
+ 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.
+ If you have multiple unconnected vessels, containing the same substance,
you will have to determine whether they need to be considered together as
co-located.
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General Applicability
1-6
A process can be as simple as a single storage vessel or a group of drums or
cylinders in one location or as complicated as a system of interconnected reactor
vessels, distillation columns, receivers, pumps, piping, and storage vessels.
I • ' ii ' j
SINGLE VESSELS
If you have only a single vessel containing regulated substances, you need not worry
about the other possibilities for defining a process and can skip to section 1.5. For
the purposes of defining a threshold quantity, you need only consider the quantity in
this vessel.
M * i
f ! !J
INTERCONNECTED VESSELS
i ,; . .'.••• i j
In general, if you have two or more vessels containing a regulated substance that are
connected through piping or hoses for the transfer of the regulated substance, you
must consider the total quantity of a regulated substance 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 sometimes
disconnected, 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, both tanks could be affected. 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.
Once you have determined that a process is covered (the quantity of a regulated
substance exceeds its threshold), you must also consider equipment, piping, hoses, or
other interconnections that do not carry or contain the regulated substance, but that
are important for accidental release prevention. Equipment or connections which
contain utility services, process cooling water, steam, electricity, or other non-
regulated substances may be considered part of a process if such equipment could
cause a regulated substance release or interfere with mitigating the consequences of
an accidental release. Your prevention program for this process (e.g., PSM program)
will need to cover such equipment If, based on your analysis, it is determined that
interconnected equipment or connections not containing the regulated substance
cannot cause a regulated substance release or interfere with mitigation of the
consequences of such a release, then such equipment or connections could safely be
considered outside the limits or boundaries of the covered process.
In some cases, determining the boundaries of a process for purposes of the RMP rule
may be complicated. In the preamble to the June 20, 1996 rule (61 FR 31668), 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 processes) for purposes of OSHA PSM will be the
limits of your process(es) for purposes of RMP (except in cases involving
atmospheric storage tanks containing flammable regulated substances, which are
exempt from PSM but not RMP). If your facility is not covered by OSHA PSM and
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Chapter 1
General Applicability
is complicated from an engineering perspective, you should consider contacting your
implementing agency for advice on determining process boundaries.
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
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 have two separate ammonia
refrigeration systems that are in a single building. For these cases, you should ask
yourself:
+ Could a release from one of the systems lead to a release from the other?
For example, would the ammonia released from one system be confined to
that system and burn, and/or would the fire spread to the other system?
+ Could an event external to the containers, such as a fire or explosion or
collapse or collision (e.g., a vehicle collides with several stored containers),
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 ammonia, 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
ammonia, 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.
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
your fire brigade will be able to prevent any spread. You should ask yourself how
far the fire would spread if the worst happens — the fire brigade is slow to arrive,
the water supply fails, or the local fire department decides it is safer to let the fire
burn itself out. If you have separate vessels containing a regulated substance that
could be affected by the same accident, 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 vessels that have the same regulated substance. A covered
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General Applicability
1-8
process includes any vessels that altogether 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 ammonia refrigeration systems, each containing
slightly less than a threshold quantity of ammonia and located a considerable
distance apart, and you have other storage or process vessels in between with other
regulated substances above their thresholds, the two ammonia systems may be
considered to be part of a larger process involving the other intervening vessels and
other regulated substances, based on co-location.
Exhibit 1-2 provides illustrations of what may be defined as a process.
QS&AS
PROCESS
Q. Do I have to do my hazard review, process hazard analysis, or other prevention activity on the
whole process or can I break it into separate units?
A. Once you have determined that you have a covered process, you can divide the covered process
any way you want to implement the prevention program. If you have multiple interconnected storage
and reactor vessels in your process, you may want to treat them separately when you conduct the
hazard review or process hazard analysis, if only to make the analyses easier to manage. Storage and
reactor vessels may require separate maintenance programs. You should do what makes sense for
you.
Q. How far apart do separate vessels 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 vessels 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 vessels 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 fee, an explosion, a
natural disaster).
1.5 THRESHOLD QUANTITY IN A PROCESS
! i
The threshold quantity for anhydrous ammonia is 10,000 pounds. You should
determine whether the maximum quantity of ammonia in a process is greater than
10,000 pounds. 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) which covers
ammonia when you have more than 500 pounds on site.
November 19,1998
i jjiil; .,i i
(i j; iiiii
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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
B
2 or more vessels co-located
different substances
each above TQ
1 process
2 vessels, located so they won't be
involved in a single release
same or different substances
each above TQ
2 processes
2 locations with regulated substances
each above TQ
1 or 2 processes
depending on distance
Flammable
1 series of interconnected vessels
same or different substances above TQs
plus a co-located storage vessel
containing flammables
1 process
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Chapter 1
General Applicability
1-10
QUANTITY IN A VESSEL
To determine if you have the threshold quantity of ammonia 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.
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
j j
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.
i
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.
If you have determined that you must consider co-located vessels as one process, you
must determine the maximum quantity for each vessel and sum up the quantities of
all such vessels.
EXCLUSIONS (§ 68.115)
The rule has a number of exclusions that allow you to ignore certain items 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
defined at § 68.3 (as defined under 29 CFR 1910.1200(b)) that:
+ Is formed to a specific shape or design during manufacture,
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General Applicability
+ Has end use functions dependent in whole or in part upon the shape or
design during end use, and
+ Does not release or otherwise result in exposure to a regulated substance
under normal conditions of processing and use.
This exclusion will generally not apply to ammonia refrigeration systems.
USES (§ 68.115(b)(5))
You also do not need to include regulated substances in your calculation when in use
for the following purposes:
+ Use as a structural component of the stationary source;
+ Use of products for routine janitorial maintenance;
+ Use by employees of foods, drugs, cosmetics, or other personal items
containing the regulated substances; and
+ 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
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 hi determining whether a threshold quantity is present. This exclusion
does not extend to:
+ Specialty chemical production;
+ Manufacture, processing, or use of substances in pilot plant scale operations;
and
+ Activities conducted outside the laboratory.
This exclusion will generally not apply to ammonia refrigeration systems.
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.
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1-12
SIMPLE SOURCES
1
i
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.
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.
j
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.
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Chapter 1
General Applicability
JOINT VENTURES
1.7
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
among the sites. Remember, the rule applies to covered processes at a single
location.
Exhibit 1-3 provides examples of stationary source decisions.
WHEN YOU MUST 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 started prior to June 21, 1999, you had to be in compliance 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 more than a threshold quantity of ammonia in a process.
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EXHIBIT 1-3: STATIONARY SOURCE
Schematic Representation
Description
Interpretation
ABC Chemicals
General Chemicals Division
ABC Chemicals
Plastics Division
same owner
same industrial group
ABC Chemicals
Agricultural Chemicals Division
1 stationary source
1 RMP
ABC Chemicals
ABC Chemicals
two owners
XYZ Gases
2 stationary sources
2RMPs
1 ABC
1 XYZ
ABC Chemicals
ABC Refinery
two owners
three industrial groups
XYZ Gases
3 stationary sources
1 ABC Chemicals
1 ABC Refinery
1 XYZ Gases
ABC Chemicals
two owners
ABC-MNO Joint-Venture
2 stationary sources
2RMPs
same owner
same industrial group
contiguous property
1 stationary source
1 RMP
Building owned by Brown Properties
Farm Chemicals Inc. _ _
Brown Property offices
two owners
Pet Supply Storage
(no regulated substances)
2 stationary sources
2RMPs
1 ABC Chemicals
1 Farm Chemicals
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1-15
Chapter 1
General Applicability
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 a new covered process added after the initial compliance date, you must be in compliance on
the date you first have a regulated substance above the threshold quantity. There is no grace period.
You must develop and implement all the applicable rule elements and update your RMP before you
start operating the new process.
Q. What if I change a process by adding to the system?
A. Because increasing the size of the system is a major change to your process, you will have six
months to come into compliance and update your RMP to reflect changes in your prevention program
elements and report any other changes.
Q. What if the quantity in the process fluctuates? I may not have a threshold quantity on June 21,
1999, but I will before then and after then.
A. You do not need to comply with the rule and file an RMP until you have more than threshold
quantity in a process; however, once you have more than threshold quantity in a process after June
21, 1999, you must be in compliance immediately. In this situation, with fluctuating quantities, it
may be prudent to file by June 21, 1999, so you will be in compliance when your quantity exceeds
the threshold.
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General Applicability
1-16
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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
defines three Program levels based on processes' relative potential for public impacts
and the level of effort needed to prevent accidents. For each Program level, the rule
defines requirements that reflect the level of risk and effort associated with the
processes at that level. The Program levels are as follows:
Program 1: Processes with no public receptors within the distance to an
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 limited hazard assessment requirements and minimal
prevention and emergency response requirements.
Program 2: Processes not eligible for Program 1 or subject to Program 3
are placed in Program 2, which imposes streamlined prevention program
requirements, as well as additional hazard assessment, management, and
emergency response requirements.
Program 3: Processes not eligible for Program 1 and either subject to
OSHA's PSM standard under federal or state OSHA programs or classified
in one often specified North American Industry Classification System
(NAICS) codes are placed in Program 3, which imposes OSHA's PSM
standard as the prevention program as well as additional hazard assessment,
management, and emergency response requirements.
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 enforce only 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 enforce 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 level(s) for your process(es), keep in mind the following:
(1) Each process is assigned to a program level, which indicates the risk
management measures necessary to comply with this regulation for that
process, not the facility as a whole. The eligibility of one process for a
April 24, 2000
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I
EXHIBIT 2-1
EVALUATE PROGRAM LEVELS FOR COVERED PROCESSES
•YesH
Yes
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?
Is the process
classified in one of the
listed NAICS codes?
Is the process
subject to the OSHA
PSM Standard?
Process
Subject to
Program
Level 2
Yes
Yes
Yes
Process
Eligible for
Program
Level 1
Process
Subject to
Program
Level 3
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Chapter 2
Applicability of Program Levels
program level does not influence the eligibility of other covered processes
for other program levels.
(2) Any process that meets the criteria for Program 1 can be assigned to
Program 1, even if it is subject to OSHA PSM or is in one of the NAICS
codes listed for Program 3.
(3) Program 2 is the default program level. There are no "standard criteria"
for Program 2. Any process that does not meet the 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 a series of interconnected units, as well as several storage vessels 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 one or more 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.)
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Applicability of Program Levels
2-4
WHAT Is A PUBLIC RECEPTOR?
The rule (§ 68.3) defines public as "any person except 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.
i I
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 where members of the public could be exposed to toxic concentrations,
radiant heat, or overpressure, as a result of'an accidental release." 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 business
hours."
The first step in identifying public receptors is determining what is "offsite." For
most facilities, that determination will be straightforward. If you restrict access to all
of your property all of the time, "offsite" is anything beyond your property
boundaries. Ways of restricting access include fully fencing the property, placing
security guards at a reception area or using ID badges to permit entry.
If you do not restrict access to a section of your property and the public has routine
and unrestricted access to it during or after business hours, that section would be
"offsite." For example, if your operations are fenced but the public has unrestricted
access to your parking lot during or after business hours, the parking lot is "offsite."
In the case of facilities such as hospitals, schools, and hotels that shelter members of
the public as part of their function or business, the parts of the facility that are used
to shelter the public would be "offsite."
Not all areas offsite are potential public receptors. The point of identifying public
receptors is to locate those places where there are likely to be, at least some of the
tune, members of the public whose health could be harmed by short-term exposure to
an accidental release at your site. The basic test for identifying a public receptor is
thus whether an area is a place where it is reasonable to expect that members of the
public will routinely gather at least some of the tune.
The definition of "public receptor" itself specifies the types of areas where members
of the public may routinely gather at least some of the time: residences, institutions
such as hospitals and schools, buildings in general, parks and recreational areas.
There should be little difficulty in identifying residences, institutions and businesses
as such, and virtually any residence, institution and business will qualify as a public
receptor, even when the property is used only seasonally (as in a vacation home).
Notably, a residence includes its yard, if any, and an institution or business includes
its grounds to the extent that employees or other members of the public are likely to
routinely gather there at least some of the time for business or other purposes (see
discussion of recreational areas below). The only circumstances that would justify
not considering such a property a public receptor would be where your facility owns
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Applicability of Program Levels
or controls the property and restricts access to it, or no member of the public inhabits
or occupies it at any time. Where a hospital, school, or other entity that provides
public shelter is itself subject to the part 68 rule, it will be its own public receptor
except for those areas where members of the public are not allowed to go at any
time.
Buildings other than residences, institutions or businesses are also highly likely to
qualify as public receptors since the function of most buildings is at least in part to
shelter people. Accordingly, toll booth plazas, transit stations, and airport terminals
would qualify as public receptors. For a building not to qualify as a public receptor,
one of the circumstances mentioned above would have to apply.
Every designated park or recreational area, or at least some portion thereof, is apt to
be a public gathering place by virtue of facilities made available to the public (e.g.,
visitors' center, playground, golf course, camping or picnic area, marina or ball field)
or attributes that members of the public routinely seek to use (e.g., beach). It does not
matter whether use of such facilities is seasonal; routine use for at least part of the
year would qualify the area as a public receptor.
At the same time, some portion of a designated park or recreational area may not be
a public receptor. For instance, a large state or national park may include relatively
inaccessible tracts of land that do not contain public facilities or receive routine use.
Occasional hiking, camping or hunting in such areas would not qualify the areas as
public receptors.
An area need not be designated a recreational area to be one in fact. If an area is
routinely used for recreational purposes, even if only seasonally, it is a recreational
area for purposes of the part 68 rule. For example, a marina may not bill itself as a
"recreational area," but if a marina houses recreational boats, it qualifies as a public
receptor. Further, if your facility or a neighboring property owner allows the public
to make routine recreational use of some portion of land (e.g., a ball field or fishing
pond), that portion of land would qualify as a public receptor.
Roads and parking lots are not included as such in the definition of "public
receptor." Neither are places where people typically gather; instead they are used to
travel from one place to another or to park a vehicle while attending an activity
elsewhere. However, if a parking lot is predictably and routinely used as a place of
business (e.g., a farmer's market) or for a recreational purpose (e.g., a county fair), it
would qualify as a public receptor.
In general, farm land would not be considered a public receptor. However, if farm
land, or a portion thereof, is predictably and routinely occupied by farm workers or
other members of public, even if only on a seasonal basis, that portion of the land
would 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 the relevant local officials and land owners
and your implementing agency for guidance.
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2-6
WHAT is A DISTANCE TO AN ENDPOINT FROM A WORST-CASE RELEASE?
•i
In broad terms, the distance to an endpoint is the distance a toxic vapor cloud, fire, or
explosion from an accidental release will travel before dissipating to the point that
serious injuries from short-term exposures will no longer occur. The rule establishes
"endpoints" for each regulated substance and defines the circumstances of a
QS&AS
PUBLIC RECEPTORS
Q. My processes are fenced, but my offices and parking lot for customers are not restricted. What is
considered offsite? What is considered a public receptor?
A. The unrestricted areas would be considered offsite. However, they would not be public receptors
because you are responsible for the safety of those who work in or visit your offices and because
parking lots are not generally public receptors.
Q. What is considered a recreational area?
A. Recreational areas would include land that is designed, constructed, designated, or used for
recreational activities. Examples are national, state, county, or city parks, other outdoor recreational
areas such as golf courses or swimming pools and bodies of waters (oceans, lakes, rivers, and
streams) when used by the public for fishing, swimming, or boating. Public and private areas that are
predictably used for hunting, fishing, bird watching, bike riding, hiking, or camping or other
recreational use also would be considered recreational areas. EPA encourages you to consult with
land owners, 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. EPA recognizes that
some judgment is involved hi determining whether an area should be considered a recreational area.
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,
botii the houses and their yards are considered public receptors because it is likely that residents will
be present in one or the other at least some of the tune, and, in fact, people are likely to be in more
danger if they are outside when a release occurred. The ability of others to restrict access to an area
does not change its status as a public receptor. You need to consider whether that land is generally
unoccupied. If the land is undeveloped or rarely has anyone on it, it is not a public receptor. If you
are not sure of the land's use of occupancy, you should talk with the landowner and the community
about 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.
worst-case release scenario (e.g., scenario, weather, release rate and duration) (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
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2-7 .
Chapter 2
Applicability of Program Levels
total contents of your largest vessel) for each Program 1 process and either use EPA's
guidance or conduct modeling on your own to determine the distance to the endpoint
for that worst-case release. Beyond that endpoint, the effects on people are not
considered to be severe enough to merit the need for additional action under this
rule.
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 public receptors within that area, your process is not eligible for Program 1.
QandA
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 one or more 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 either 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 keeping employee injury and illness logs and should be
familiar to most employers. Medical treatment is further defined as "treatment,
other than first aid, administered by a physician or registered professional personnel
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Chapter 2
Applicability of Program Levels
2-8
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
and so would be considered an injury.
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
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:
+ Collection and disposal of dead animals and contaminated plant life;
+ Collection, treatment, and disposal of soil;
+ Shutoffof drinking water;
+ Replacement of damaged vegetation; or
+ Isolation of a natural area due to contamination associated with an accidental
release.
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 includes areas in addition to those that qualify
as Federal Class I areas under CAA section 162. Under Part 68, national parks, monuments,
wilderness areas, and forests are environmental receptors regardless of size. State parks, monuments,
and forests are also environmental receptors.
DOCUMENTING PROGRAM 1 ELIGIBILITY
For every Program 1 process at your facility, you must keep records documenting the
eligibility of the process for Program 1. For each Program 1 process, your records
should include the following:
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Chapter 2
Applicability of Program Levels
A description of the worst-case release scenario, which must specify the
vessel or pipeline and substance selected as worst case, assumptions and
parameters used, and the rationale for selection. Assumptions may include
use of any administrative controls and any passive mitigation that were
assumed to limit the quantity that could be released;
Documentation of the estimated quantity of the worst-case release, release
rate, and duration of release;
The methodology used to determine distance to endpoints;
Data used to determine that no public receptor would be affected; and
Information on your coordination with public responders.
QS & AS
ACCIDENT HISTORY
Q. What is the relationship between the accident history criteria 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. 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.
In contrast, the Program 1 accident history 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, shelterings-in-place, and evacuations that have occurred must
be reported in the five-year accident history, but they are not considered in determining Program 1
eligibility. Therefore, it is possible for process to be eligible for Program 1 and 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 consequences that disqualify a process for Program 1.
Q. A process involving a regulated substance had an accidental release with offsite consequences
two years ago. The process has been shut down. 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 operating processes that have more than a threshold quantity of a
regulated substance.
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Chapter 2
Applicability of Program Levels
2-10
2.3 QUICK RULES FOR DETERMINING PROGRAM 1 ELIGIBILITY
' ,', i . ,
You generally will not be able to predict with certainty that the worst-case scenario
for a particular process will meet the criteria for Program 1. Processes containing
refrigerated ammonia, however, may be more likely than others to be eligible for
Program 1. The information presented below may be useful in identifying processes
that may be eligible for Program 1.
Toxic GASES
If you have a process containing more than a threshold quantity of ammonia 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 for a worst-case release of the toxic
gas will generally be several miles. As a result, the distance to endpoint is unlikely
to be less than the distance to public receptors, unless the process is very remote. In
some cases, however, ammonia in processes in enclosed areas may be eligible for
Program 1.
: ' ' ' : I
REFRIGERATED AMMONIA
i
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 will 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, the process may still be eligible for Program 1.
2.4 PROGRAMS
'' "' i .I
: . II
|| in | .1 II
Most ammonia refrigeration processes that are not eligible for Program 1 will be
subject to Program 3 requirements because they are subject to the OSHA PSM
Standard. If your ammonia refrigeration process is subject to Program 2
requirements, consult the General Guidance for Risk Management Programs.
i
WHAT ARE THE ELIGIBILITY CRITERIA FOR PROGRAM 3?
Your process is subject to Program 3 if:
'i i'
+ Your process does not meet the eligibility requirements for Program 1, and
1 , ! I
4- Your process is subject to OSHA PSM (federal or state).
WHAT is THE OSHA PSM STANDARD?
The OSHA Process Safety Management standard (codified at 29 CFR 1910.119) is a
set of procedures hi thirteen management areas designed to protect worker health and
safety in case of accidental releases. Similar to EPA's rule, OSHA PSM applies 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
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Chapter 2
Applicability of Program Levels
state) and not eligible for Program 1 are assigned to Program 3 because the Program
3 prevention program is virtually 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 6 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.
2.5 PROGRAM 2
Program 2 is considered a default program level because any covered process that is
not eligible for Program 1 or assigned to Program 3 is, by default, subject to Program
2 requirements. Ammonia refrigeration processes will usually not be eligible for this
program level because they are covered by OSHA PSM. If your ammonia process is
not eligible for Program 1, it will generally be subject to Program 3.
Exhibit 2-2 provides a summary of the criteria for determining Program level.
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 processes subject to different program levels, you will need to
comply with different program requirements for different processes. Nevertheless,
you must submit a single RMP for all covered processes.
If you prefer, you may choose to adopt the most stringent applicable program level
requirements for all covered processes. For example, if 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, though, 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 an OSHA-approved PSM program, does that mean that my processes that
are subject to OSHA PSM under the state rules are in Program 3?
A. Yes, as long as the process does not qualify for Program 1. Any process subject OSHA PSM,
under federal or state rules, is considered to be in Program 3 unless it qualifies for Program 1.
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Chapter 2
Applicability of Program Levels
2-12
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
AMD
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 Alkalies and chlorine
325188 Industrial inorganic
chemicals (not elsewhere
classified)*
325192 Other cyclic crudes and
intermediates*
325199 Industrial organic
chemicals (not elsewhere
classified)*
325211 Plastics materials and
resins
325311 Nitrogenous fertilizers
32532 Agricultural chemicals
(not elsewhere classified
CAN THE PROGRAM LEVEL FOR A PROCESS CHANGE?
A change in a covered process or in the surrounding community can result in a
change in the Program level of the process. If this occurs, you must submit an
updated RMP 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
November 19, 1998
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2-13
Chapter 2
Applicability of Program Levels
will need to "deregister" the process (see Chapter 8 for more information). Typical
examples of switching program levels include:
MOVING UP
From Program 1 to Program 3. You have a covered process subject to Program 1
requirements. A new residential development results in public receptors being
located within the distance to the endpoint for a worst-case release for that process.
The process is, thus, no longer eligible for Program 1. 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.
From Not Covered to Program 1 or 3. You have a process that was not originally
covered by part 68, but, due to an expansion in production, the process holds more
than 10,000 pounds of anhydrous ammonia. You must determine which Program
level applies and come into compliance with the rule by June 21, 1999, or by the
time you exceed the threshold quantity, whichever is later.
SWITCHING DOWN
From Program 3 to Program 1. At the time you submit your RMP, you have a
covered process subject to Program 3 requirements because it 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 accident
will no longer be included in the five-year accident report for the process, so 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 documenting that the process is now in compliance with the new
program level requirements.
From Program 3 to Not Covered. You have a covered process that has been
subject to Program 3 requirements, but due to a reduction in production, the amount
of ammonia it holds 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 of 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 8). Depending on the Program level of each of your
processes, you must comply with the additional requirements described below.
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Chapter 2
Applicability of Program Levels
2-14
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 3 processes, you must conduct and document at least one worst-case
release analysis to cover ammonia. You may need to conduct additional worst-case
release analyses if worst-case releases from different parts of your facility would
affect different public receptors. You must also conduct one alternative release
scenario analysis for ammonia. See Chapter 4 or the RMP Of/site 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 7 for more details. (Because ammonia is listed as a toxic
substance, you do not need to consider its flammability in doing offsite consequence
analyses. If your facility could confine ammonia and create an ignitable cloud,
explosion hazards should be addressed in your process hazard analysis.)
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 6 for more details.
Exhibit 2-3 diagrams the requirements hi general and Exhibit 2-4 lists them in more
detail.
November 19,1998
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EXHIBIT 2-3
DEVELOP RISK MANAGEMENT PROGRAM AND RMP
Program Level 1
Process
Program Level 2
Process
Program Level 3
Process
Conduct and document
worst-case release
analysis
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
2-16
EXHIBIT 2-4
COMPARISON OF PROGRAM REQUIREMENTS
Program 1
Worst-case release analysis
5-year accident history
Program 3
Worst-case release analysis
Alternative release analysis
5-year accident history
Document management system
Prevention Program
Certify no additional prevention steps needed
Process Safety Information
Process Hazard Analysis.
Operating Procedures
Training
Mechanical Integrity
Incident Investigation
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
Submit One Risk Management Plan for All Covered Processes
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CHAPTER 3: FIVE-YEAR ACCIDENT HISTORY
The five-year 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 five-year 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 five-year 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 five-year accident history (on-site 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 five-year 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 five-year 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:
> On-site 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 five-year 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. The descriptions below correspond to the RMP*Submit system
being developed and to data element instructions for the system:
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Chapter 3
Fiyc-Year Accident History
3-2
Date. Indicate the date on which the accidental release began.
1 ! :i
I
I
Time. Indicate the time 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., propane rather than
LPG). 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. If non-regulated substances were also released and
contributed to the impacts, you may want to list them as well, but you are not
required to do so.
" i"
!f : 4 » '> " j li
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.
i
: I
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.
Release source. Indicate all that apply.
+ 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.,
January 22,1999
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Chapter 3
Five-Year Accident History
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 assessing and 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. Historical wind speed and
temperature data (but not stability data) can be obtained from the National Climatic
Data Center (NCDC) at (828) 271-4800; NCDC staff can also provide information
on the nearest weather station. 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
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,
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Chapter 3
Five-Year Accident History
3-4
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. The neutral category D should be used, regardless of wind
speed, for overcast conditions day or night, and for any conditions during the
hour preceding or following the night (one hour before sunset to one hour
after dawn). 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.
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.
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Chapter 3
Five-Year Accident History
EXHIBIT 3-1
ATMOSPHERIC STABILITY CLASSES
SURFACE WIN» SPIES '
AT 10 METERS ABOVE
> (, GROUND" '
Meters per
second
<2
2-3
3-5
5-6
>6
Miles per
hour
<4.5
4.5-7
7-11
11-13
>13
" ^ -DAY • ' ."'-'',
' j" " *
^ ^ 5 D / s
Incoming Solar Radiation
Strong*
A
A-B
B
C
C
Moderate
A-B
B
B-C
C-D
D
Slight**
B
C
C
D
D
, ' NIGHT*
i, ? ^
Thinly
Overcast
or ^ 4/8
low cloud
E
D
D
D
<3/8
Cloud
F
E
D
D
t Night refers to one hour before sunset to one hour after dawn.
* Sun high in the sky with no clouds.
** Sun low in the sky with no clouds.
Medical treatment means treatment, other than first aid, administered by a
physician or registered professional personnel under standing orders from a
physician.
Your OSHA occupational injury and illness log (200 Log) 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.
January 22, 1999
-------
Chapter 3
Five-Year Accident History
3-6
Q&A
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 requked 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.
Deaths. Indicate the number of offsite deaths that are attributable to the
accident or mitigation activities. Offsite deaths means the number of people
offsite 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 people offsite. 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 people offsite who were evacuated to
reduce 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 people offsite 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 reduce 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:
i
> Fish or animal kills.
January 22,1999
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3-7
Chapter 3
Five-Year Accident History
> Lawn, shrub, or crop damage minor defoliation.
> Lawn, shrub, or crop damage major defoliation.
> Water contamination.
> Other (specify).
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.
4- Human Error. An operator performed a task improperly, either by failing to
take the necessary steps or by taking the wrong steps.
4 Weather Conditions. Weather conditions, such as lightning, hail, ice storms,
tornados, hurricanes, floods, earthquakes, or high winds, caused the
accident.
4 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.
4 Equipment Failure. A device or piece of equipment failed to function as
designed, thereby allowing a substance leading to or worsening the
accidental release.
4 Human error. An operator performed an operation improperly or made a
mistake lead to or worsened the accident.
4 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.
4 Overpressurization. The process was operated at pressures exceeding the
design working pressure.
4 . Upset Condition. Incorrect process conditions (e.g., increased temperature
or pressure) contributed to the release.
January 22, 1999
-------
Chapter 3
Five-Year Accident History
3-8
4- 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).
' ' '!
i |
4- 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.
( i
4- Process Design. A failure resulted from an inherent flaw in the design of the
process (e.g., pressure needed to make product exceeds the design pressure
of the vessel).
4- Unsuitable Equipment. The equipment used was incorrect for the process.
For example, the forklift was too large for the corridors.
4- Unusual Weather Conditions. Weather conditions, such as lightning, hail,
ice storms, tornados, hurricanes, floods, earthquakes, or high winds
contributed to the accident.
; i
4- Management Error. A failure occurred because management did not
exercise its managerial control to prevent tide accident from occurring. This
is usually used to describe faulty procedures, inadequate training, inadequate
oversight, or failure to follow existing administrative procedures.
• ' ' r ', , , ,i i
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. .
4- Improved/ Upgraded Equipment. A device or piece of equipment that'did
not function as designed was repaired or replaced.
4- 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).
4- 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.
4- Revised Operating Procedures. Operating procedures were clarified or
changed to ensure that employees and contract employees are trained on
appropriate operating procedures.
January 22,1999
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3-9
Chapter 3
Five-Year Accident History
+ 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).
+ 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 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 occupational 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 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 fa) 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
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
January 22, 1999
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Chapter 3
Five-Year Accident History
3-10
+ 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
! I I
+ The time and duration of the release
+ The medium or media into which the release occurred.
Releases reported to the National Response Center are collected into a database, the
Emergency Response Notification System (ERNS). ERNS data are available on
EPA's web site: http://www.epa.gov.
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
, i
4- 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.
,
QSHA's log of occupational injuries and illnesses, OSHA No. 200, 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 department in which the person was
employed, 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.
Descriptive section of the log:
4- Column B: date of work accident which resulted in injury
January 22,1999
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Chapter 3
3-11 Five-Year Accident History
+ Column C: name of injured person
+ Column F: description of nature of injury or illness
Injury portion of the log:
+ Column 1: date of death is entered if an occupational injury results in a
fatality
+ Column 6: an injury occurred, but did not result in lost workdays
Illness portion of the log:
+ Column 7: for occupational illnesses, an entry is placed in one of the
columns 7a-7g, depending upon which column is applicable.
PART 68 INCIDENT INVESTIGATION
An incident investigation is a requirement of the rule (§68.60 and 68.81). These
requirements are virtually identical to the requirements under OSHA PSM. For
accidents involving processes categorized 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.
January 22, 1999
-------
Chapter 3
Five-Year Accident History
3-12
QS&AS
ACCIDENT HISTORY
Q. When does the five-year period to be reported in the accident history begin?
A. The five-year accident history must include all accidental releases from covered processes
meeting the specified criteria that occurred in five years preceding the date the RMP for the
processes was submitted. For example, if an RMP is submitted on June 1, 1999, the five-year
accident history must cover the period between June 1, 1994 and June 1, 1999.
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 five-year accident history. You may want to explain that the ownership has
changed in your Executive Summary.
Q. If I have a large on-site incident, but no offsite impact, would I have to report it in the five-year
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 five-year 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 five-year 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.
January 22,1999
-------
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. The offsite consequence analysis (OCA) consists of two elements:
+ A worst-case release scenario and
+ 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
an ammonia vapor cloud will travel before dissipating to the point that serious
injuries from short-term exposures will no longer occur.
This chapter gives guidance on how to perform the offsite consequence analysis for
anhydrous ammonia in ammonia refrigeration facilities. Exhibit 4-1 shows the basic
steps used to conduct the OCA.
RMP*Comp™
To assist those using this guidance, the National Oceanic and Atmospheric Administration (NOAA)
and EPA have developed a software program, RMP*Comp™, 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.
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.
Complex models that can account for many site-specific factors may give less
conservative estimates of offsite consequences than the simple methods 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.
April 24, 2000
-------
EXHIBIT 4-1
STEPS FOR OFFSITE CONSEQUENCE ANALYSIS
Gather Basic Data
(quantities and process conditions)
Select Scenario
Toxics
Worst-case and Alternative Release
Flammables
Alternative Release
Estimate Rate of
Release
Flammables
Worst-case Release
Define Distance to Endpoint of Concern
-------
4-3
Chapter 4
Offsite Consequence Analysis
This chapter presents discussions and tables for the worst-case scenario (section 4.1),
followed by discussions and tables for alternative scenarios (section 4.2). The
remaining sections provide guidance on defining offsite impacts (section 4.3), and
documentation (section 4.4).
The guidance presented in this chapter is intended for users — that is, it does not
contain explanations of how the guidance was derived. For those readers who are
interested in following this up, there is a document entitled Backup Information for
the Hazard Assessments in theRMP 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 Backup Document is available from EPA.
4.1 WORST-CASE RELEASE SCENARIO ANALYSIS (§ 68.25)
Exhibit 4-2 presents the parameters that must be used in analyzing the worst-case
and alternative release scenarios.
MANDATORY INPUT
The following input is required by the Risk Management Program rule:
+ The worst-case release quantity Q (Ib) shall be the greater of the following:
> For substances in a vessel, the greatest amount held in a 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.
For ammonia refrigeration systems, a storage vessel or high-pressure receiver is
likely to contain the largest quantity. (See Appendix 4A to this Chapter for a
description of ammonia systems.)
+ Because ammonia is a vapor at ambient temperature and is handled as a
liquid under pressure in most parts of a refrigeration system, the quantity Q
is completely released from the vessel over a period of 10 minutes. This
applies whether the release takes place outside or in a building.
+ Weather conditions. The rule specifically allows anyone who conducts their
OCA based on this guidance to use specific default weather conditions for
wind speed, stability class, average temperature, and humidity.
November 19, 1998
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Chapter 4
Qffsite Consequence Analysis
4-4
EXHIBIT 4-2
REQUIRED PARAMETERS FOR MODELING AMMONIA (40 CFR 68.22)
WORST CASE
ALTERNATIVE SCENARIO
Endpoints (§68.22(a))
Toxic cndpoints are listed in part 68 Appendix A.
Toxic endpoints are listed in part 68 Appendix A.
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 must use typical meteorological
conditions for your site.
Ambient temperature/humidity (§68.22(c))
This guidance assumes 25 °C (77 °F) 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 25 °C 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.
November 19,1998
Mil,,,
-------
4-5
Chapter 4
Offsite Consequence Analysis
If you do your own modeling, 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.
+ For the worst-case scenario, the release must be assumed to take place at
ground level.
+ The toxic endpoint for ammonia is 200 ppm (0.14 mg/L). This airborne
concentration is the maximum airborne concentration below which it is
believed that nearly all individuals can be exposed for up to one hour
without experiencing or developing irreversible or other serious health
effects or symptoms that could impair an individual's ability to take
protective action.
QUANTITY RELEASED AND RELEASE RATE IN THE WORST-CASE RELEASE SCENARIO
QUANTITY RELEASED
Take the largest quantity Q (Ib) of ammonia that is liquefied under pressure in any
vessel in the ammonia refrigeration system. For many systems, this vessel will be
the high pressure receiver with typical pressures in the range 100 to 200 psig. Other
candidate vessels include:
+ An outside vessel in which ammonia is stored as a liquid at ambient
temperature (some, but not all, facilities have such a vessel);
+ An intermediate receiver with typical pressures in the range 20 to 60 psig
(typical of two-stage ammonia refrigeration systems); or
+ A low-pressure receiver with pressures in the range 10-60 psig (typical of
single-stage refrigeration systems).
In the case of a vessel, the quantity does not include any liquid ammonia in pipework
connected to the vessel and in any other vessel that can discharge directly into
pipework connected to the vessel. However, the maximum amount of ammonia that
could be in the vessel at any one time, not just during normal operation, should be
considered. For example, if the vessel is used to store some or all of the ammonia
while the rest of the system is being serviced, then Q should include the additional
quantity of ammonia that is in the vessel at such a time. If there are administrative
controls that limit the amount of ammonia that is allowed in the vessel at any one
time, this limit can also be taken into account when estimating Q. Similarly, if the
largest quantity is in a pipeline, you do not need to consider the quantity of ammonia
in connected vessels.
November 19, 1998
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Chapter 4
Qfisite Consequence Analysis
4-6
RELEASE RATE
Unmitigated Releases. For the worst-case scenario for a substance that is a gas
under ambient conditions, the largest vessel is assumed to fail in a catastrophic
manner, and the release occurs over a period of 10 minutes. The worst-case release
rate is:
where: QR =
Q
2/10
Release rate (Ibs/min)
Quantity released (Ibs)
(1)
The rapid release of ammonia initially liquefied under pressure leads to an airborne
mixture of vapor and droplets. If the vessel is outdoors, all of the vapor and droplets
remain airborne, and the release rate (QR) is the total inventory uniformly distributed
over 10 minutes, as required by the rule.
Mitigated Releases. The rule allows you to consider passive mitigation in
estimating the worst-case release rate. Figure 4-1 displays the procedure to be
followed to determine the release rate for the worst-case scenario. If the release
takes place in a building, the building can be considered to provide passive
mitigation, unless:
+ The building may fail as a result of the release. This is unlikely except in the
case of a large vessel in a very small room. As a rough rule of thumb, if the
room volume (V) divided by the quantity of ammonia (Q) in the vessel is
less than 0.1 ft^/lb, you should look at the possibility that the release of
ammonia will cause failures such as windows blowing out or doors blowing
open.
i i :| '
+ The release takes place facing an opening in the building (door or window).
In this case, you should assume that the door or window will be open, and
the ammonia will be released through these openings.
11" ' ' • .•'',' : i i • ••• .
If the building may fail as a result of the release, estimate the release rate as for an
unmitigated release (Equation 1, QR = Q/10 Ib/rnin). Similarly, if the release would
take place facing doors or windows, the release rate is again the entire inventory
uniformly distributed over 10 minutes (Equation 1).
November 19,1998
-------
Figure 4-1. Guidance on Effectiveness of Building Mitigation for Worst-Case
Scenarios
Identify
Quantity (<$)
in largest
vessel
Indoors Outside
or
Outside?
-.
Release
Rate
O.lQlb/nin
Indoors
Adjacent
to door or
windoW?
Release
Rate
O.lQlb/nin
No
Airborne
Mass0.4Q
Calculate [
0=V/(0.2Q)
Choose N,(hf*
Identify
FRio
(Exhibit 4-3]
Release
Rate
0.04QFR,0
Ib/min
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Chapter 4
Offsite Consequence Analysis
4-8
If the above conditions do not apply, you can assume that rain-out of liquid droplets
is facilitated by impingement on surfaces (in a compressor room, for example), and
only a portion of the released material will become airborne. The remainder collects
in relatively slowly evaporating pools and makes only a small contribution to the rate
of release from the building. To estimate the mitigated release rate, assume the
following:
4- The amount of material airborne in the building is four-tenths of the total
inventory, or 0.4 Q.
-f The airborne material includes 0.2 Q vapor and 0.2 Q liquid droplets.
Exhibit 4-3 provides factors for estimating the mitigated release rate from a building.
To estimate the release rate using these factors, do the following:
, i !
+ Estimate 0 as follows:
> Determine room volume, V, in ft3
> Calculate © from room volume divided by the quantity of ammonia
initially released as vapor, or
0 (fiVlb) = V/(0.2 Q)
i j
4- Determine the active ventilation rate, Nv, in room volumes exchanged per
hour (hr"1), for the building.
, « i
4- From Exhibit 4-3, find the 10-minute building attenuation factor, FR10,
corresponding to your estimated © and the ventilation rate, Nv.
4- Estimate the release rate in Ibs/min from the building attenuation factor and
the airborne quantity (0.4 Q) as follows, assuming the release takes place
over 10 minutes:
QRB
(FR10 x OAQ)/10
(2)
Example 1 A high-pressure receiver containing 5,000 Ib of ammonia is in a room of
dimensions 20 feet x 50 feet x 30 feet = 30,000 ft3. Hence, © = 30,0007(5,000 x 0.2)
= 30 fWlb. The nearest value of © on Exhibit 4-3 is © = 25. The ventilation rate for
the building is 5 hr"1. For © = 25 and Nv = 5, FR!0 = 0.35, and the release rate to the
atmosphere is QRB = (0.35)(0.4)(5,000)/10 = 70 Ib/min, using Equation 2 above.
November 19,1998
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4-9
Chapter 4
Offsite Consequence Analysis
EXHIBIT 4-3
TEN-MINUTE BUILDING RELEASE ATTENUATION FACTORS FOR PROLONGED
RELEASES
e
(ftVlb)
150.0
100.0
50.0
25.0
Nv
(hrj)
0
1
5
10
20
30
40
0
1
5
10
20
30
40
0
1
5
10
20
30
40
0
1
5
10
20
30
40
FR10
(dim)
0.07
0.08
0.32
0.51
0.71
0.80
0.85
0.11
0.11
0.32
0.51
0.71
0.80
0.85
0.20
0.20
0.32
0.51
0.71
0.80
0.85
0.35
0.35
0.35
0.51
0.71
0.80
0.85
e
(ftVlb)
10.0
5.0
1.0
0.5
Nv
(hr1)
0
1
5
10
20
30
40
0
1
5
10
20
30
40
0
1
5
10
20
30
40
0
1
5
10
20
30
40
FR:o
(dim)
0.61
0.61
0.61
0.61
0.71
0.80
0.85
0.79
0.79
0.79
0.79
0.79
0.80
0.85
0.96
0.96
0.96
0.96
0.96
0.96
0.96
0.98
0.98
0.98
0.98
0.98
0.98
0.98
Example 2 The 5,000 Ib vessel in Example 1 is outside. The release rate is,
therefore, QR = 5,000/10 = 500 Ib/min. It can be seen that the building provides
extensive attenuation. However, to take advantage of this potential attenuation, you
must be certain that the worst-case scenario cannot occur outside or adjacent to a
door or window that may be open.
November 19, 1998
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Chapter 4
Offsite Consequence Analysis
4-10
OTHER POTENTIAL WORST-CASE SCENARIOS
The rule requires that you look for other potential scenarios that could affect offsite
populations further away from the site or in different areas than does the release
from the largest vessel. Thus, even if an outside storage vessel is smaller than your
high-pressure receiver, you should consider the release of its contents over a 10-
minute period as a possible worst-case scenario. Similarly, if a pipe containing
ammonia liquefied under pressure is outside for part of its length, you should
consider the release of the contents of that pipe as a possible worst-case scenario.
DISTANCE TO THE Toxic ENDPOINT
Take the estimated worst-case rate of release QR (unmitigated) or QRB (in a
building) and go to Exhibit 4-4. Find the entry in the "Rate of Release" column that
is closest to your estimated release rate. Read off the corresponding distance from
the urban or the rural column. This is the "distance to the endpoint" that must be
submitted (in miles) in the RMP information.
To decide whether the site is rural or urban, the rule gives the following guidance in
§ 68.22(e): "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 and unobstructed."
Figure 4-2 represents Exhibit 4-4 in graphical form. Both apply to releases of
duration 10 minutes.
Example 3 Take the 500 Ib/min release rate from Example 2. From Exhibit 4-4, the
predicted distance to the toxic endpoint is ~ 1.3 miles at a rural site and ~ 0.9 miles
at an urban site. For the 70 Ib/min release of Example 1, these distances become 0.5
miles and 0.3 miles, respectively.
November 19,1998
-------
4-11
Chapter 4
Offsite Consequence Analysis
EXHIBIT 4-4
DISTANCES TO TOXIC ENDPOINT
FOR ANHYDROUS AMMONIA LIQUEFIED UNDER PRESSURE
F Stability, Wind Speed 1.5 Meters per Second
Release Rate
(Ibs/min)
1
2
5
10
15
20
30
40
50
60
70
80
90
100
150
200
250
300
400
500
600
700
750
800
900
Distance to Endpoint (miles)
Rural
0.1
0.1
0.1
0.2
0.2
0.3
0.3
0.4
0.4
0.5
0.5
0.5
0.6
0.6
0.7
0.8
0.9
1.0
1.2
1.3
1.4
1.5
1.6
1.6
1.7
Urban
0.1
0.1
0.1
0.1
0.2
0.2
0.2
0.3
0.3
0.3
0.3
0.4
0.4
0.4
0.5
0.6
0.6
0.7
0.8
0.9
0.9
1.0
1.0
1.1
1.2
Release Rate
(Ibs/min)
1,000
1,500
2,000
2,500
3,000
4,000
5,000
6,000
7,000
7,500
8,000
9,000
10,000
15,000
20,000
25,000
30,000
40,000
50,000
75,000
100,000
150,000
200,000
250,000
750,000
Distance to Endpoint (miles)
Rural
1.8
2.2
2.6
2.9
3.1
3.6
4.0
4.4
4.7
4.9
5.1
5.4
5.6
6.9
8.0
8.9
9.7
11
12
15
18
22
*
*
*
Urban
1.2
1.5
1.7
1.9
2.0
2.3
2.6
2.8
3.1
3.2
3.3
3.4
3.6
4.4
5.0
5.6
6.1
7.0
7.8
9.5
10
13
15
17
*
* More than 25 miles (report distance as 25 miles)
November 19, 1998
-------
Figure 4-2 Worst-Case Scenario - Predicted Distances to Toxic Endpoint
Anhydrous Ammonia @ Atmospheric Stability Class F with Windspeed 1.5 m/s
100.00 -
8
£ 10,00
o
Q.
•o
in
u
1
&
u
n
*J
V)
1.00
0.50
0.20-
0.10
10
„.." i :_, rural
» urban
••Model Limit
20
50 200
100
2000
1000
Rate of Release (Ibs/min)
5000 10000 2000° 5000° 100000
-------
4-13
Chapter 4
Offsite Consequence Analysis
4.2 ALTERNATIVE RELEASE SCENARIO
The owner or operator must identify and analyze at least one "alternative" release
scenario.
CHOICE OF THE ALTERNATIVE SCENARIO
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. Note that this requirement means that the release rate for the
alternative scenario for ammonia must be fairly large, or it generally will not reach
the ammonia endpoint offsite. 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.
Release scenarios you should consider include, but are not limited to, the following,
where applicable:
+ Transfer hose releases due to splits or sudden uncoupling;
+ Process piping releases from failures at flanges, joints, welds, valves and
valve seals, and drains or bleeds;
+ Process vessel or pump releases due to cracks, seal failure, drain bleed, or
plug failure;
+ Vessel overfilling and spill, or overpressurization and venting through relief
valves or rupture disks; and
+ 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 also 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
Novemberl9, 1998
-------
Chapter 4
Offsite Consequence Analysis
4-14
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.
Appendix E of this guidance is a hazard alert for ammonia releases at ammonia
refrigeration facilities. This alert includes a discussion of accidents that have
occurred in the past at such facilities. The information on past accidents may be
helpful to you in developing a reasonable alternative scenario for your facility.
ALTERNATIVE SCENARIOS FOR AMMONIA AT REFRIGERATION FACILITIES
>, " ' i i I
I , i™ ' , „ ', ; , i I
For the alternative scenario analysis, you should use typical meteorological
conditions for your site. This guidance uses an "average" weather condition of wind
speed 3 m/s and D stability class with an ambient temperature of 25 °C. If these are
not reasonable conditions for your site, you may want to use other methods to
analyze alternative scenarios. You may obtain meteorological data from local
weather stations. You can obtain wind speed and temperature data from the National
Climatic Data Center at (828) 271-4800.
For the alternative scenario analysis, you need to estimate the release rate of
ammonia and the distance to the toxic endpoint. Exhibit 4-5 and Figure 4-3 provide
distances to the endpoint for a range of release rates under the weather conditions
discussed above. Note that Exhibit 4-5 and Figure 4-3 (and Equations B-3 and B-4
in Appendix 4B) are intended to apply to releases of any duration.
For the purposes of the present guidance, a simple alternative scenario has been
chosen: an outdoor release through a hole in a tank or pipe containing ammonia
liquefied under pressure, leading to an airborne release. For the release of liquid,
you can estimate the release rate from the Bernoulli Equation; for ammonia liquefied
under pressure, you can assume the liquid vaporizes immediately, and the release
rate of the liquid is the same as the release rate to air. The following is a simplified
version of the Bernoulli Equation, incorporating chemical-specific factors for
ammonia:
QR = HA x (203)(P/2 (3)
where: QR = Release rate (pounds per minute)
HA = Hole area (square inches)
Pg = Gauge pressure (psig)
See Appendix 4B for a discussion of the Bernoulli Equation and the derivation of the
simplified equation above.
November 19,1998
-------
4-15
Chapter 4
Offsite Consequence Analysis
EXHIBIT 4-5
DISTANCES TO TOXIC ENDPOINT FOR ANHYDROUS AMMONIA
D Stability, Wind Speed 3 Meters per Second
Release Rate
(Ibs/min)
<10
10
15
20
30
40
50
60
70
80
90
100
150
200
250
300
400
500
600
700
750
800
Distance to Endpoint (miles)
Rural
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.2
0.2
0.2
0.2
0.2
0.2
0.3
0.3
0.3
0.4
0.4
0.5
0.5
0.5
0.5
Urban
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.2
0.2
0.2
0.2
0.2
0.2
Release Rate
(Ibs/min)
900
1,000
1,500
2,000
2,500
3,000
4,000
5,000
7,500
10,000
15,000
20,000
25,000
30,000
40,000
50,000
75,000
100,000
150,000
200,000
250,000
300,000
Distance to Endpoint (miles)
Rural
0.6
0.6
0.7
0.8
0.9
1.0
1.2
1.3
1.6
1.8
2.2
2.5
2.8
3.1
3.5
3.9
4.8
5.4
6.6
7.6
8.4
9.2
Urban
0.2
0.2
0.3
0.3
0.3
0.4
0.4
0.5
0.5
0.6
0.7
0.8
0.9
1.0
1.1
1.2
1.4
1.6
1.9
2.1
2.3
2.5
November 19, 1998
-------
Si, ,.
\
•o
UI
g
o
0)
o
I
(0
Figure 4-3 Alternative Case Scenario - Predicted Distances To Toxic Endpoint
For Anhydrous Ammonia @ Atmospheric Stability Class D with Windspeed 1.5 mis
0.05
0.02
0.01
RURAL
10
20
50 100
Rate Of Release (Ibs/min)
1000
-------
4-17
Chapter 4
Offsite Consequence Analysis
Exhibit 4-6 provides release rates and distances for pressures of 100 to 180 psig and
hole diameters of 1/4 inch to 12 inches. (The distances are based on Exhibit 4-5).
You may use this exhibit to estimate the distance to the endpoint if this type of
scenario is reasonable for your site.
EXHIBIT 4-6
RELEASE RATES AND DISTANCES TO TOXIC ENDPOINT FOR LEAKS OF ANHYDROUS
AMMONIA (ALTERNATIVE SCENARIO)
Hole
Diameter
(inches)
0.25
0.5
1
2
3
4
5
6
7
8
9
10
11
12
Tank Pressure 100 psig
Release
Rate
(Ib/min)
100
400
1,600
6,400
14,300
25,500
39,900
57,400
78,100
102,000
129,000
159,000
193,000
230,000
Distance (miles)
Rural
0.2
0.4
0.7
1.6
2.2
2.8
3.5
3.9
4.8
5.4
6.6
6.6
7.6
8.4
Urban
0.1
0.2
0.3
0.5
0.7
0.9
1.1
1.2
1.4
1.6
1.9
1.9
2.1
2.3
Tank Pressure 130 psig
Release
Kate
(Ib/min)
110
450
1,800
7,300
16,400
29,100
45,400
65,400
89,100
116,000
147,000
182,000
220,000
262,000
Distance (miles)
Rural
0.2
0.4
0.8
1.6
2.2
3.1
3.9
4.8
5.4
5.4
6.6
7.6
7.6
8.4
Urban
0.1
0.2
0.3
0.5
0.7
1.0
1.2
1.4
1.6
1.6
1.9
2.1
2.1
2.3
Tank Pressure 180 psig
Release
Rate
(Ib/min)
130
540
2,100
8,600
19,300
34,200
53,500
77,000
105,000
137,000
173,000
214,000
259,000
308,000
Distance (miles)
Rural
0.2
0.4
0.8
1.6
2.5
3.1
3.9
4.8
5.4
6.6
6.6
7.6
8.4
9.2
Urban
0.1
0.2
0.3
0.5
0.8
1.0
1.2
1.4
1.6
1.9
1.9
2.1
2.3
2.5
ALTERNATIVE RELEASE SCENARIOS INSIDE A BUILDING
The alternative release scenario inside a building is handled in much the same way as
is the worst-case scenario. See Figure 4-4 for a flow chart describing the procedure.
To use the factors provided in Exhibit 4-3 for estimating the release rate in a
building, you must assume the release takes place over a ten-minute period. The
total quantity released will be your estimated release rate multiplied by 10. If a ten-
minute release is not a reasonable alternative scenario for your site, you will need to
do additional calculations or use a different method for releases in buildings.
November 19, 1998
-------
Figure 4-4. Guidance on Effectiveness of Building Mitigation for Alternative Scenarios
Calculate j -
Release ] Indoors Outdoors Release j
RateQR i or Rate= j
(Ib/min) i Outside? QR j
! _ !
Indoors
Adjacent Yes Release
; to door or Rate =
window? QR
No
Choose Ny !
: (hr1) !
_. ' \
i
: Release ^ Calculate _ Airborne -
Entirely ^ y/Q - Masg
Vapor M - O
a ^ Release Rate
~- CalculateFR10 .. o.lFR1QMa
No ----- --- i Exhibit 4-3 ib/min
Airborne • • - ..
Calculate __ MOGH
0=V/(0.2Q) - .. ...
f^ — I) /Ll I
-------
4-19
Chapter 4
Offsite Consequence Analysis
Example 4 Suppose the release from a /^-inch hole in a tank with pressure 180 psig,
cited in Exhibit 4-6, resulting in a release rate of 550 Ib/min of flashing liquid
ammonia, takes place inside a building with a ventilation rate Nv = 5 hr"1. The
release is assumed to take place over ten minutes, and the total quantity released is
550 x 10 = 5,500 Ib, of which 0.4 x 5,500 = 2,200 Ib becomes airborne. Of the
airborne quantity, 1,100 Ib is vapor and 1,100 Ib is liquid that remains entrained in
the vapor. The remaining 3,300 Ib of liquid forms an evaporating pool on the floor.
The building volume is 50 feet x 20 feet x 20 feet = 20,000 ft3, so that @ =
20,000/1,100 = 18 fWlb.
From Exhibit 4-3, FR10 = 0.35 for 0 = 25 fWlb (the number closest to 18) andNv = 5.
Assuming a ten-minute release, the rate of release from the building is 77 Ib/min
[QRB = (0.35)(0.4)(5,500)/10 from Equation 2 in section 4.1]. Using Exhibit 4-5, the
predicted distance to the toxic endpoint is 0.2 mile for a rural site and 0.1 mile for an
urban site, compared to 0.4 mile (rural) and 0.2 mile (urban) for the same release
outdoors.
As noted above, the attenuation factors in Exhibit 4-3 apply to ten-minute releases.
If you want to use the same method to perform a calculation for a different duration
of release in a building, consult the Backup Information document cited at the
beginning of this chapter for additional information on how to carry out such
calculations.
4.3 DEFINING OFFSITE RECEPTORS
The rule requkes 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.
Figure 4-5 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).
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.
November 19, 1998
-------
Figure 4-5 Simplified Presentation of Worst-Case
and Alternative Scenario on a Local Map
Radius for
Alternative
Scenario
A Street
Radius for
Worst-case Scenario
1/2
Miles
-------
4-21
Chapter 4
OfFsite Consequence Analysis
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
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.
November 19, 1998
-------
Chapter 4
Ofisite Consequence Analysis
4-22
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 ®m 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.
November 19,1998
-------
4-23
Chapter 4
OfFsite Consequence Analysis
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 l: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://mappmg.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.
4.4 DOCUMENTATION
You must maintain on site the following records on the offsite consequence analyses:
+ 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 that were assumed to limit the quantity that could be
released. If the current guidance has been used, Section 4.1 can be
referenced as the basis for the choice of the worst-case scenario.
+ 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 4.2 can be referenced here if the
"canned" scenario is used.
November 19, 1998
-------
(Chapter 4
Qfisite Consequence Analysis
4-24
November 19,1998
Documentation of estimated quantity released, release
release.
Methodology used to determine distance to
reference this guidance).
rate, and duration of
endpoints (it will be sufficient to
Data used to identify potentially affected population and environmental
receptors.
-------
4-25
Chapter 4
Offsite Consequence Analysis
APPENDIX 4A
BRIEF SUMMARY OF THE VARIOUS STATES IN WHICH AMMONIA EXISTS
IN A TYPICAL REFRIGERATION FACILITY
A typical block diagram of a two-stage ammonia refrigeration facility is shown on the next page; a
similar diagram of a single-stage facility is shown on the following page.
Ammonia Liquefied Under Pressure
In many parts of a typical refrigeration system, there is ammonia liquefied under pressure. If the pressure
and temperature are sufficiently high, and if there is a sudden release of liquid ammonia, it will all
become and remain airborne as a mixture of ammonia vapor and very fine liquid droplets that do not fall
to the ground, provided that no obstacles are encountered in the immediate vicinity of the release.
Experimental results clearly show that this is a real physical phenomenon (Goldwire et al, 1985; Kaiser,
1989). The droplets evaporate quickly as air is entrained. The evaporation process cools the air so that a
cold mixture of air and ammonia vapor is formed. The mixture is denser than air, and a heavy vapor
dispersion model is required to adequately predict airborne concentrations downwind of the point of
release.
In many refrigeration facilities, the ammonia travels from the discharge of the compressors through the
evaporative condensers to the high-pressure receiver. The next page shows a range of typical pressures
in the high-pressure receiver from 100-200 psig (approximately 8-15 atmospheres). The figure shows
ammonia vapor pressure as a function of temperature. Pressures of 8-15 atmospheres correspond to
ammonia temperatures of approximately 10-40 °C, or superheats (number of degrees above the
atmospheric boiling point) of about 40-70 °C. These conditions are definitely such as to ensure that all of
any liquid ammonia release will become and remain airborne.
Some (but by no means all) refrigeration facilities have an ammonia storage vessel in addition to the
high-pressure receiver. This vessel will, in all likelihood, be outside, and its pressure will fluctuate with
the external temperature. However, at an ambient temperature of (say) 25 °C, the superheat would be
about 60 °C so that the characteristics of any release from such a vessel are expected to be similar to
those of a release from the high-pressure receiver. A release from such a vessel should be considered as
a candidate for the worst case.
Some refrigeration facilities may not have a high-pressure receiver. In such facilities, ammonia at
pressures as high as 180 psig is confined to pipework, and there may be a low-pressure receiver with a
typical pressure in the range 10-60 psig (~ 2-5 atmospheres), also containing ammonia liquefied under
pressure. From Figure 4-A.l, the corresponding temperatures are -20-0 °C, or superheats of 10-30 °C. It
is only slightly conservative to assume that all of the ammonia released from such a vessel becomes
airborne. Two-stage systems have an intermediate receiver, which has a range of operating pressures
similar to those for low-pressure receivers in a single-stage system.
November 19, 1998
-------
Two-Stage Ammonia Refrigerating System
HIGH STAGE
COMPRESSOR
PRESSURE
REGULATOR
CHECK VALVE
GLOBE VALVE
HAND VALVE
SOLENOnjE VALVE
RELIEF VALVE
CONTROL
LEVEL
|LEGEND|
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,: i, liilni, ,;i III! .f.ii i!l, i1 ..iJltiil ii.i.,' '.iliii, Jill". iiJa-'Luii :'
,,!,'.|lllllllillill!!lll!'!l JLiil'llll
-------
Single-Stage Ammonia Refrigeration System
with High-Side Float Regulator and Pump Circulation
Cooling
Coils
P^j , COMPRESOR
© PUMP
PRESSURE
REGULATOR
Z CHECK VALVE
X GLOBE VALVE
HAND VALVE
SOLENOIDS VALVE
-------
Chapter 4
Offsite Consequence Analysis
4-28
Ammonia at Subatmospheric Pressures
In some facilities (e.g., food processing plants), even colder ammonia may be needed (when, for example,
very rapid freezing of food is necessary). The first figure shows a low-pressure receiver with
subatmospheric pressures as low as 15 inches of water, which corresponds to a temperature well below
the atmospheric boiling point. If released, the ammonia will spill onto the ground and, over an average
period of 10 minutes or more, will evaporate at a much lower rate than a release from a worst-case
rupture in such a vessel as the high-pressure receiver. In addition, these low temperature vessels are
generally inside buildings, and it is likely that this would further reduce the effective rate of release to the
atmosphere external to the refrigeration plant.
Ammonia Gas
Finally, in ammonia refrigeration systems there is ammonia gas (vapor) in the system under a range of
temperatures and pressures. If there is a rupture hi the vapor space of the high-pressure receiver (say),
there will be a buoyant ammonia jet (i.e., the ammonia vapor is less dense than air). However, for a
given hole size and a given pressure, the rate of release of ammonia gas is very much less than that of
Squid ammonia, so that it is unlikely that a vapor release would be the worst-case.
November 19,1998
-------
Figure 4-A-1 Vapor Pressure of Ammonia as a Function of Temperature
-40
-20
-10 0 10
Temperature (°C)
20
30
40
-------
Chapter 4
Ofisite Consequence Analysis
4-30
T ;!! . APPENDIX 4B '.' ' .'!
EQUATIONS FOR LOG-LOG GRAPHS AND CALCULATIONS
(B-l)
(B-2)
LOG-LOG EQUATIONS
The guidance on Figure 4-2 is essentially in the form of a straight line on a log-log plot:
•,.,',. i • i • i|
D = 0.0607(QR)04923
for a rural site and
D = 0.0443(QR)°-4782
for an urban site, where:
D .. = , Distance to the endpoint (miles)
QR = Release rate (Ib/min)
If you wish, you can use Equation 1 or 2 instead of Exhibit 4-4 or Figure 4-2.
The curves on Figure 4-3 are approximately straight lines on a log-log plot:
D = 0.0222(QR)° 478°
at a rural site, and
D = 0.013q(QR)0'4164
at an urban site.
,' , l i ' ,n , , ••: .- iii
If you wish, you can use Equation 3 or 4 instead of Exhibit 4-5 or Figure 4-3.
• ' i i ( . .
ALTERNATIVE RELEASE SCENARIOS
There are many possible alternative scenarios. Some of those identified from a review of past incidents
in refrigeration facilities (see Appendix 4C) include:
ii> ' .."If ! I ' . • .1 :. ;.|. j : 1-
•4- Plant upsets leading to the lifting of relief valves
4- Pipeline failures
4- A blocked-in, liquid-full pipeHne rupturing as it heats up
4- Failures during ammonia delivery, such as a hose leak
The rule states that other scenarios, listed in Section 4.2, should be considered
In addition, active and passive mitigation systems may be considered, provided that they can be shown to
withstand the cause of the release.
(B-3)
(B-4)
November 19,1998
InTNlnlllUll', lllllKUl I
-------
4-31
Chapter 4
Offsite Consequence Analysis
It is apparent that there is a great variety of alternative scenarios. However, EPA requires that only one
such scenario be identified and modeled. Many scenarios are effectively equivalent to a small hole of
diameter 14 inch to Vz inch (e.g., a gasket rupture or a pump seal leak). Remember, however, that the
alternative scenario must result in offsite consequences, unless you can show that no such scenario exists.
The rate of release QR for a liquid release through a hole may be calculated using Bernoulli's formula:
,0.5
where:
PL
A
PE
g
h
= cpLA(2Pg/pL+2gh)1
a constant (typical value 0.8)
the density of the liquid in the vessel (639 kg/m3 for ammonia)
the area of the hole (m2)
the gauge pressure in the vessel (Pa)
the acceleration due to gravity (9.82 m/s2)
the static head (m)
(B-5)
The static head is likely to be negligible when the tank pressure is high, as is likely for liquefied
ammonia; therefore, the 2gh term in Equation B-5 can be ignored.
The following equation drops the 2gh term and includes conversion factors:
= 132.2x6.4516 x 10^x0.8x639xa;/£4x(2x(pg/639)x6895)*
(B-6)
. where: QR =
HA
132.2
6.4516 xlO-4 =
0.8
639
P*
6,895
Release rate (pounds per minute)
Hole area (square inches)
Conversion factor for kilograms per second to pounds per
minute
Conversion factor for square inches to square meters (HA)
Discharge coefficient (0.8)
Liquid density of ammonia (kg/m3)
Gauge pressure in tank (psi)
Conversion factor for psi to Pascals (Pg)
Combining the conversion factors and incorporating the density of ammonia, leads to the equation
presented in the text as Equation 2 for the release rate through a hole of ammonia liquefied under
pressure:
QR = 203xHAx(Pg)')'/'
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 that leads to flashing in the pipe and a reduced rate of release
The scenario needs to be modeled in typical weather conditions. For many sites, Atmospheric Stability
Category D with a moderate wind speed (e.g., 3 m/s) is close to average. The distance to the toxic
endpoint can then be estimated from Figure 4-3 or from Exhibit 4-5, which is a tabulation of Figure 4-3.
These results could simply be quoted in the Risk Management Plan.
November 19, 1998
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it'"1:
Chapter 4
Ofisite Consequence Analysis
4-32
You also may identify your own alternative scenario(s). Consult your trade association (e.g., the
International Institute of Ammonia Refrigeration) for guidance on other scenarios. Your Process Hazards
Analysis is anotiher potential source of pertinent information. However, remember that the regulation
requires that releases large enough to have the potential to exceed the toxic endpoint offsite be
considered.
GENERAL GUIDANCE ON MODELING
If you decide to perform your own modeling, you must carefully consider two major items:
(a) Correct characterization of the source term1
(b) Choice of a suitable dispersion model
i.i HI „ ,',•». if ,i,,, ... i ", ,i i|
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 guidance. There is one document that looks carefully at the definition of source
terms (USEPA, 1993). EPA has also performed an evaluation of dense gas dispersion models (USEPA,
1991). Another review of available models has been given by Hanna et al. (1991).
w»i ' •' , • f /•;>:•' ' , . , . ' . i .IP il .
REFERENCES FOR APPENDIX 4B
Brighton, P.W.!vl(l989). "Pressures Produced by Instantaneous Releases of Chlorine Inside Buildings,"
United Kingdom Health and Safety Executive Report SRD/HSE/R467, Her Majesty's Stationery Office,
London.
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 an3 Mitigating the Consequences of Accidental releases of Hazardous Materials," New
Orleans, LA; American Institute of Chemical Engineers, New York, NY.
Goldwire, Jr., H.C., T.G. McRae, G.W. Johnson, D.L. Hippie, R.P. Koopman, J.W. McLure, L.K. Morris
|rtd R-T. Cederwall (1985). "Desert Tortoise Series Data Report - 1983 Pressurized Ammonia Spills,"
Lawrence Livermore National Laboratories Report UCID-20562, Livermore, CA.
* A "source term" is the source information for the atmospheric dispersion model and is characterized by
the rate of release, the duration of release, temperature, density, momentum, aerosol content, etc.
November 19,1998
-------
Chapter 4
4-33 OfFsite Consequence Analysis
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-89-018, 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.
November 19,1998
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Chapter 4
QfTsite Consequence Analysis
4-34
•• ;' •"•! • • • • APPENDIX 4C "" " '' '
INFORMATION ABOUT ACCIDENTAL RELEASES OF AMMONIA
For a number of years, EPA has been keeping a record of accidental releases in the Accidental Release
Information Program (ARIP). Considerable information is requested of those who have reportable
releases.
The database has numerous entries recorded since its inception, many of which involve ammonia. A list
of all events involving ammonia refrigeration plants, which resulted in an offsite release was obtained.
The original report of each of these events was examined for root cause, as described by the reporting
firm. Other information on the reports was also considered. In some cases, there were multiple
applicable root causes.
In the examination of the data, a comparison of the event to the elements of the Prevention Program was
made. The elements of the Program, which, had they been properly carried out, would have prevented
the release, were judged to be the root causes.
The data garnered from this examination reveal that several sub-elements of Mechanical Integrity are
vital to preventing releases from ammonia refrigeration plants. In particular, a majority of the accidents
have omissions in inspections or tests as a root cause of the releases.
1
These data are presented in the spreadsheet that follows.
November 19,1998
-------
4-35
Chapter 4
Offsite Consequence Analysis
AMP
No.
4153
1770
2579
2825
1281
2850
1078
1080
1338
1901
4140
4209
3320
1394
834
2320
4269
1770
2202
2825
2227
424
4252
1879
799
2332
2340
1098
1878
2579
2907
3218
453
1098
2227
3263
3539
453
Event
Valve disassembled
Flange blew out
Condenser leak
Heat exch. leak
Pipe joint failure
Valve separation
Recip shaft seal
Pipe break
PRV opens
Pump casing worn
PRV failure
Operation
Maintenance
In operation
Maintenance
In operation
In operation
In operation
In operation
In operation
In operation
Maintenance
Sched shutdown
Temp inactive
Temp inactive
Temp shutdown
In operation
Sched shutdown
In operation
Maintenance
Weekend shutdown
In operation
Maintenance
In operation
In operation
In operation
In operation
In operation
Normal startup
In operation
In operation
Root Cause
Contractor selection
E/R training
E/R training
E/R training
M.I. fit for purpose
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection
M.I. inspection (Inf)
M.I. inspection (Inf)
M.I. procedures
M.I. procedures
M.I. procedures
M.I. QC
M.I. QC
M.I. QC (Inf)
M.I. test
M.I. test
M.I. test
M.I. test
M.I. test
PHA
PHA
PHA
PHA
PHA
PHA
PHA
PHA (siting)
PHA (siting)
Procedures
Process
Public CS
Ice cream
Food production
Poultry processing
Citrus concentrate
Milk
Ice mfg.
Meat process
Milk & ice cream
Food processing
Ice
Frozen fish
Ice
Ice cream
Turkey prod.
Frozen juices
Ground beef
Public CS
Ice
Frozen desserts
Poultry processing
Poultry
Sausage mfg.
Food production
Distribution whse.
Meat processing
Public CS
Citrus juices
Public CS
Cheese
Ice
Meat processing
Poultry processing
Public CS
Cheese
Sausage mfg.
Cheese
Poultry
Meat packing
Beer
Sausage mfg.
Remarks
Error in installing a new accumulator
Equipment upgrade stated
Sched 40 thd pipe used instead of welded sch 80
Procedure produced untenable thermal shock
Cast iron flange
Corrosion; new unit on order at the time
Ice machine tube failure
No explanation
Fatigue failure on vibration
Corrective actions inspection and maintenance
Gasket leak on compressor; shut off valve failed to close
Main brg. failure - broken crank
In pressure test to less than stated relief pressure; opened at lower pressure
Equipment upgrade stated
None given; Corr. Actions were Inspections; RC inferred
Condenser replaced with new design
Data missing
Solenoid valve fails to close
Inspection called out
Correction actions PM, inspection and test
Procedure produced untenable thermal shock
Equipment not tied into central controller; restarted improperly after maintenance
Contractor left compressor water off
Sched 40 thd pipe used instead of welded sch 80
Pumps replaced with a "more reliable design"
Strainer casting failure; changed design
Ice buildup; fan destroyed; high-pressure cutout fails
RV neither tested nor replaced
Solenoid valve fails to close
RV set pressure less than high-pressure trip; would not reseat
Inspection called out
Improved control at PLC called out
Procedure produced untenable thermal shock
Not stated; vent re-routed to accumulator
Failed to start water pump on startup
Contractor left compressor water off
RV set pressure less than high-pressure trip; would not reseat
Equipment not tied into central controller; restarted improperly after maintenance
Exposed piping - to be rerouted
Damaged ammonia piping; PHA called out as corrective active
Contractor left compressor water off
November 19,1998
-------
Chapter 4
Offsite Consequence Analysis
: 4-36
ARIP
No.
1106
3218
1106
3090
4170
3538
453
Event
Open line
Valve left open
Not legible
Valve left open
Operation
Construction
Startup new equip
Startup new equip
Maintenance
Temp inactive
Root Cause
Procedures
Procedures
PSSR
PSSR
PSSR
SWP
Training
Process
Cheese
Cheese
Public CS
Meat products
Not legible
Beer
Veg, mfg.
Remarks
RV set pressure less than high-pressure trip; would not reseat
Failed to start water pump on startup
New construction; valve left uncapped at startup
No check for proper installation prior to startup
Details illegible
Valve left open during maintenance
Trapped liquid; operator error; design fault
November 19,1998
-------
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:
+ The risk management program elements are integrated and implemented on
an ongoing basis; and
+ 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.
My 1998
-------
Chapter 5
lyfanagement System
5-2
WHAT DOES THIS MEAN FOR ME AS A SMALL FACILITY?
:f; "': , ' ! ' ,".' " ' ; ' ;:! 1 ; ' ] ,!,: , '"!l *!'
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.
-.'; , , , • • ; , , : • ; , I ••
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
element in your RMP do not require you to update your RMP.
Lines of Authority
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
dlllLiI fillliliii
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,; ..... (i, ..... I'! ...... itlll! ..... iiijiji! I; ..... I , I ...... Li.!! ...... liJll
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: tliai iilEiiiiJiiiiJ' rtiHiii'iiiiiiii.iiiijiiiii1:1' m,,,,
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-------
5-3
Chapter 5
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:
+ Ensure effective communication about process changes between divisions;
+ Clarify the roles and responsibilities related to process safety issues at your
facility;
+ Avoid problems or conflicts among the various people responsible for
implementing elements of the risk management program;
+ Avoid confusion and allow those responsible for implementation to work
together as a team; and
+ 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
-------
Chapters
Management System
5-4
Position
Operations Manager
Training Supervisor
Maintenance Supervisor
Hazmat Team Chief
EXHIBIT 5-1
SAMPLE MANAGEMENT DOCUMENTATION
Primary Responsibility
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
Develop, track, oversee operator
training program
Track competency testing
Set up and track operator refresher
training
Set up training for maintenance
Work with contractors
Develop maintenance schedules
Oversee and document maintenance
Revise schedules as needed
Develop and exercise ER. plan
Train responders
Test and maintain ER equipment
Coordinate with public responders
Select participants in accident
investigations
Changes
New Equipment
New Process Chemistry
New Process Parameters
New Procedures
Change in Process Utilization
New Equipment
New Process Chemistry
New Process Parameters
New Procedures
Change in Process Utilization
New regulatory requirements
New Equipment
New Process Chemistry
New Process Parameters
New Procedures
Change in Process Utilization
New Equipment
New Process Chemistry
New Process Parameters
New Procedures
Change hi Process Utilization
New regulatory requirements
Responsibility re: Changes
Inform head of training
Inform head of maintenance
Inform lead for PHAs
Inform hazmat team as needed
Inform contractors
Revise training and refresher training
courses
Revise maintenance courses, as needed
Inform other leads of need for
additional training
Inform operations manager of potential
problem areas
Inform training supervisor of any
training revisions
Inform contractors
Revise schedules
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
My 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
-------
THIS PAGE INTENTIONALLY LEFT BLANK
-------
CHAPTER 6: 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.
+ 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.
+ 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.
+ 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.
6.1 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 6-1 compares terms in
EPA's rule with then- counterparts in the OSHA PSM standard.
EXHIBIT 6-1
COMPARABLE EPA AND OSHA TERMS
Highly hazardous substance
Employer
Facility
Standard
Regulated substance
Owner or operator
Stationary source
Rule or part
November 19, 1998
-------
Chapter 6
Prevention Program (Program 3)
6-2
There are twelve elements in the Program 3 prevention program. Each element
corresponds with a section of subpart D of part 68. Exhibit 6-2 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
i
EXHIBIT 6-2
SUMMARY OF PROGRAM 3 PREVENTION PROGRAM
(40 CFR PART 68, SUBPART T>)
SECTION
§ 68.65
§ 68.67
§ 68.69
§ 68.71
§ 68.73
§ 68.75
§ 68.77
§ 68.79
§ 68.81
§ 68.83
§ 68.85
§ 68.87
TITLE
Process Safety Information
Process Hazard Analysis (PHA)
Operating Procedures
Training
Mechanical Integrity
Management of Change
Pre-Startup Review
Compliance Audits
Incident Investigation
Employee Participation
Hot Work Permit
Contractors
OSHA mm REFERENCE
PSM standard § 1910.119(d).
PSM standard § 1910.119(e).
PSM standard § 1910.119(f).
PSM standard § 1910.119(g).
PSM standard § 1910.1190).
PSM standard § 1910.119(1).
PSM standard § 1910.119(1).
PSM standard § 1910.119(o).
PSM standard § 1910.119(m)
PSM standard § 1910.119(c).
PSM standard § 1910.119(k).
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
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. IIAR has also
developed PSM guidance that is specific for ammonia refrigeration systems: Process
Safety Management Guidelines for Ammonia Refrigeration, 2nd Edition. .
6.2 PROCESS SAFETY INFORMATION (§ 68.65)
\
Exhibit 6-3 briefly summarizes the process safety information requirements.
November 19,1998
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Chapter 6
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EXHIBIT 6-3
PROCESS SAFETY INFORMATION REQUIREMENTS
For chemicals, you must
complete information on;
•Toxicity
•Permissible exposure limits
•Physical data
•Reactivity
•Corrosivity
•Thermal & chemical
stability
•Hazardous effects of
inadvertent mixing of
materials that could
foreseeably occur
For process technology, you
must provide;
•A block flow diagram or
simplified process flow
diagram
•Information on process
chemistry
•Maximum intended inventory
of the EPA-regulated
chemical
•Safe upper & lower limits for
such items as temperature,
pressure, flows, or
composition
•An evaluation of the
consequences of deviation
For equipment in the
process, you must include
information on;
•Materials of construction
•Piping & instrument
diagrams (P&IDs)
•Electrical classification
•Relief system design &
design basis
•Ventilation system design
•Design codes & standards
employed
•Safety systems
•Material and energy balances
for processes built after June
21,1999
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. EPA's Chemical Safety Alert on Hazards of Ammonia
Releases at Ammonia Refrigeration Facilities, contained in Appendix E of this
document also provides suggests on design issues you may want to consider. Other
sources you may find useful include:
+ Ammonia Data Book, International Institute of Ammonia Refrigeration
(EAR).
+ American National Standard for Equipment, Design, and Installation of
Ammonia Mechanical Refrigerating Systems, ANSI/IIAR Standard 2,
ANSI/EAR 2-1992..
+ American National Standard: Safety Code for Mechanical Refrigeration,
ANSI/ASHRAE Standard 15, ANSI/ASHRAE 1994.
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Chapter 6
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6-4
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 two-
phase 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.
Guidelines for: IIAR Minimum Safety Criteria for a Safe Ammonia
Refrigeration System, EAR, B-109, 1988.
• -: •"• • • . -, , ;: | • '" . ' "
Guidelines for Ammonia Machinery Room Ventilation, IIAR Bulletin 111,
1990.
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Chapter 6
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+ Guidelines for Identification of Ammonia Refrigeration Piping and System
Components, EAR, B-114, 1991.
+ Guidelines for Process Safety Documentation, Center for Chemical Process
Safety of the American Institute of Chemical Engineers 1995.
+ Emergency Relief System Design Using DIERS Technology, American
Institute of Chemical Engineers, 1992.
+ Emergency Relief Systems for Runaway Chemical Reactions and Storage
Vessels: A Summary of Multiphase Flow Methods, American Institute of
Chemical Engineers, 1986.
+ Guidelines for Pressure Relief and Emergency Handling Systems, Center for
Chemical Process Safety of the American Institute of Chemical Engineers,
1998.
+ Loss Prevention in the Process Industries, Volumes I, II, and HI, Frank P.
Lees, Butterworths: London 1996.
6.3 PROCESS HAZARD ANALYSIS (§ 68.67)
Exhibit 6-4 provides a summary of the requirements for process hazard analyses
(PHAs).
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 you are using the PHA conducted
for OSHA PSM). Since 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.
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6-6
EXHIBIT 6-4
PROCESS HAZARD ANALYSIS REQUIREMENTS
The PHA must cover:
•Hazards of the process
•Identification of previous,
potentially catastrophic
incidents
•Engineering and
administrative controls
applicable to the hazards
•Consequence of failure of
controls
•Siting
•Human factors
•Qualitative evaluation of
health and safety impacts of
control failure
Techniques must be one or
more of;
•What If
•Checklist
•What If/Checklist
•Hazard and Operability Study
(HAZOP)
•Failure Mode and Effects
Analysis (FMEA)
•Fault Tree Analysis
•Appropriate equivalent
methodology
Other requirements;
•Analysis must be done by a
team, one member of which
has experience in the process,
one member of which is
knowledgeable in the PHA
technique
•A system must be developed
for addressing the team's
recommendations and
documenting resolution and
corrective actions taken
•The PHA must be updated at
least once every five years
•PHAs and documentation of
actions must be kept for the
life of the process
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 ammonia 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 me 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.
i
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 CPll 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
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Chapter 6
Prevention Program (Program 3)
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 equipment. 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.
WHERE To Go FOR MORE INFORMATION
Appendix 6-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. You might find the following documents
useful.
+ Guidelines for Hazard Evaluation Procedures, 2nd Ed. with Worked
examples, Center for Chemical Process Safety of the American Institute of
Chemical Engineers 1992.
+ Evaluating Process Safety in the Chemical Industry, Chemical
Manufacturers Association.
+ Loss Prevention in the Process Industries, Volumes I, II, and III, Frank P.
Lees, Butterworths: London 1996.
4- Management of Process Hazards (RP 750), American Petroleum Institute.
+ Risk-Based Decision Making (Publication 16288), American Petroleum
Institute.
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6-8
I'll! "Wi!1,! • II1, VIP I
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.
6.4 OPERATING PROCEDURES (§ 68.69)
Exhibit 6-5 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.
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6-9
Chapter 6
Prevention Program (Program 3)
EXHIBIT 6-5
OPERATING PROCEDURES REQUIREMENTS
Steps for each
operating phase
•Initial startup
•Normal operations
•Temporary operations
•Emergency shutdown
•Emergency operations
• Normal shutdown
•Startup following a
turnaround or
emergency shutdown
•Lockout/tagout
•Confined space entry
•Opening process
equipment or piping
•Entrance into the facility
Operating limits
•Consequences of
deviations
•Steps to avoid,
correct deviations
Safety & health
considerations
•Chemical properties & hazards
•Precautions for preventing
chemical exposure
•Control measures for exposure
•QC for raw materials and
chemical inventory
•Special or unique hazards
Safety
systems &
their
functions
•Address
whatever is
applicable
WHERE To Go FOR MORE INFORMATION
EPA's Chemical Safety Alert on Hazards of Ammonia Releases at Ammonia
Refrigeration Facilities, contained in Appendix E of this document, provides
suggestions on procedures you may want to consider. In addition, the following may
be useful:
+ Guidelines for Suggested Safety and Operating Procedures When Making
Refrigeration Plant Tie-ins, IIAR Bulletin 107, 1977.
+ Guidelines for IIAR Safety Criteria for a Safe Ammonia Refrigeration
System, IIAR Bulletin 109, 1988.
+ Guidelines for Start-Up, Inspection, and Maintenance of Ammonia
Refrigeration Systems, IIAR Bulletin 110, 1993.
+ Guidelines for Avoiding Component Failure in Industrial Refrigeration
Systems Caused by Abnormal Pressure or Shock, IIAR Bulletin 116, 1992.
+ Guidelines for Process Safety Fundamentals for General Plant Operations,
Center for Chemical Process Safety of the American Institute of Chemical
Engineers 1995.
+ Guidelines for Safe Process Operations and Maintenance, Center for
Chemical Process Safety of the American Institute of Chemical Engineers
1995.
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:''!, I, '!•'Mini1"!"'1 P'11'
Chapter 6
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6-10
+ Guidelines for Writing Effective Operating and Maintenance Procedures,
Center for Chemical Process Safety of the American Institute of Chemical
",.;. .. " ;:;;',„ ' ™ "i ,';;' . Engineers 1996.
' ' ' ''"' . • . . . - | . .
6.5 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
j ''I "';;;; , |||,|, • , • ,' "„ ' , ',,,,', r ,, 'ii n I, , .1,1 ', ' tr I ., ' I • / , • . ,'' n1 N
used to verify that the employee understood me training.
WHERE To Go FOR MORE INFORMATION
-::;, ;,., : „. •. •. .' ,.... ... ...... : . .,:,,;.,; . .....,; i ,;<, : .;,: ^ • ; ,.,:,.
TJAR has a series of training videos, with workbooks and computerized tests, that
cover the basics of ammonia refrigeration systems.
tii1 • '...(• - • 'i -. :.: '" II
'r', ' -,". i • ' "I',',,, ', .l"lt .. :l : • "; III III
+ Guidelines for Process Safety Fundamentals for General Plant Operations,
Center for Chemical Process Safety of the American Institute of Chemical
Engineers 1995.
in ", ' N ' ,i ." ,. , , ! ' ! ", :,!i ", .,! !i !,!' •• '!'•''. • ii.
" '. i /Hi !l ii. "i . . ", , ii:.. ' > ' .,i,. ' mil. „!, ,i, • • . i. P"! II i '' " " . .',,,- • "'. •
+ Guidelines for Technical Planning for On-Site Emergencies, Center for
Chemical Process Safety of the American Institute of Chemical Engineers
1995.
,,, ,i
+ Federally Mandated Training and Information (Publication 12000),
American Petroleum Institute.
6.6 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 6-6 briefly summarizes the other requirements
for your mechanical integrity program.
111 ' ' ' • ' ' ' i
hi ammonia refrigeration plants, experience indicates that the following can be
:: ,;• •• -•: •: important:
November 19,1998
:! " 1.1" II... I1 I 11.111.; I|M. l.l.l.,l.lr' '.I. ..i I.
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6-11
Chapter 6
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EXHIBIT 6-6
MECHANICAL INTEGRITY CHART
Written
procedures
•Establish &
implement
written
procedures to
maintain the
integrity of
process
equipment.
Training
•Train process
maintenance
employees in an
overview of the
process and its
hazards.
•Make sure this
training covers
the procedures
applicable to
safe job
performance.
Inspection &
testing
•Inspect & test
process equipment.
•Use recognized and
generally accepted
good engineering
practices.
•Follow a schedule
that matches the
manufacturer' s
recommendations or
more frequently if
prior operating
experience indicates
is necessary.
•Document each
inspection & test
with: Date,
inspector name,
equipment identifier,
test or inspection
performed, results.
Equipment
deficiencies
•Correct
equipment
deficiencies
before further
use of process
equipment or
whenever
necessary to
ensure safety.
Quality
assurance
•Establish a QA
program for new
construction &
equipment, newly
installed
equipment,
maintenance
materials, and
spare parts &
equipment.
Periodic walk-throughs to find unusual or increasing vibration, leaks, and
other indications of potential failures. The age of the system and the way in
which the system is used will determine the frequency of such inspections;
older plants or units where frequent changes are made may benefit from
daily walk-throughs.
Inspection of pressure vessels. IIAR's Bulletin 110 provides information on
inspection for stress corrosion cracking.
Periodic replacement or preventive inspection and maintenance of pressure
relief valves. IIAR Bulletin 110 recommends replacement every five years.
ASME, ANSI/ASHRAE 15, and state and local codes may also provide
guidance.
Periodic inspection and calibration of liquid level, temperature and pressure
instruments, switches, and shutdown devices that you determine have safety
implications.
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6-12
4- Periodic inspection of major powered equipment (e.g., compressors, pumps,
large fans, bearings, couplings, shaft seals, mountings) for vibration or
incipient mechanical failure.
4- Consideration of spare parts. Replacement parts must be appropriate for
refrigeration service.
WHERE To Go FOR MORE INFORMATION
ii:!)
Guidance and Reports. EPA's Chemical Safety Alert on Hazards of Ammonia
Releases at Ammonia Refrigeration Facilities, contained in Appendix E of this
document, provides suggestions on preventive maintenance procedures you may
"Want to consider. Other sources of guidance and reports you may find useful include:
L S -f
'»*? '
it; : ' ,'1!
November 19,1998
Guidelines for Suggested Safety and Operating Procedures When Making
Refrigeration Plant Tie-ins, IIAR Bulletin 107, 1977.
• t •
Guidelines for Water Contamination in Ammonia Refrigeration Systems,
IIAR Bulletin 108, 1986.
Guidelines for IIAR Safety Criteria for a Safe Ammonia Refrigeration
System, IIAR Bulletin 109, 1988.
Guidelines for Start-Up, Inspection, and Maintenance of Ammonia
Refrigeration Systems, IIAR Bulletin 110, 1993.
Guidelines for Avoiding Component Failure in Industrial Refrigeration
Systems Caused by Abnormal Pressure or Shock, IIAR Bulletin 116, 1992.
Guidelines for Process Equipment Reliability Data with Data Tables, Center
for Chemical Process Safety of the American Institute of Chemical
Engineers 1989.
Guidelines for Process Safety Documentation, Center for Chemical Process
Safety of the American Institute of Chemical Engineers 1995.
Pressure Vessel Inspection Code: Maintenance inspection, Rating, Repair,
• ana" Alteration (API 510), American Petroleum Institute.
Tank Inspection, Repair, Alteration, and Reconstruction (Std 653), American
Petroleum Institute.
'„, , •:> i;,.; <^ '& &
:,!" i Jininii ; , .!' Liitiiltiiiillfi ,', fi'J1
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6-13
Chapter 6
Prevention Program (Program 3)
6.7 MANAGEMENT OF CHANGE (§ 68.75)
Exhibits 6-7 briefly summarizes EPA's MOC requirements.
EXHIBIT 6-7
MANAGEMENT OF CHANGE REQUIREMENT
MOC procedures
must address:
•Technical basis
for the change
•Impact on safety
and health
•Modifications to
operating
procedures
•Necessary time
period for the
change
• Authorization
requirements for
proposed change
Employees
affected by the
change must:
•Be informed of the
change before
startup
•Trained in the
change before
startup
Update process safety
information if:
•A change covered by
MOC procedures results
in a change in any PSI
required under EPA's
rule (see § 67.65)
Update operating
procedures if:
•A change covered
by MOC procedures
results in a change
in any operating
procedure required
under EPA's rule
(see § 67.69)
6.8
WHERE To Go FOR MORE INFORMATION
+ Management of Change in Chemical Plants: Learning from Case Histories,
Center for Chemical Process Safety of the American Institute of Chemical
Engineers 1993.
+ Plant Guidelines for Technical Management of Chemical Process Safety,
Center for Chemical Process Safety of the American Institute of Chemical
Engineers 1992.
+ Management of Process Hazards (RP 750), American Petroleum Institute.
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
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Chapter 6
Broyentipn Program (Program 3)
6-14
conduct your pre-startup review before you introduce a regulated substance to a
process, and you must address the items listed in Exhibit 6-8.
EXHIBIT 6-8
PRE-STARTUP REVIEW REQUIREMENTS
Design Specifications
•Confirm that new or
modified construction
and equipment meet
design specifications.
Adequate Procedures
•Ensure 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
•Confirm that
each employee
involved in the
process has been
trained completely.
6.9 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. _ i i i }
., ,. , .... ,|
WHERE To Go FOR MORE INFORMATION
4- Guidelines for Auditing Process Safety Management Systems, Center for
Chemical Process Safety of the American Institute of Chemical Engineers
•' "• 1993. ': ' " ' ' "" ^ ' ' | '
4- Process Safety Management—Compliance Guidelines and Enforcement
Procedures, CPL2-2.45A? US OSHA.
6.10 INCIDENT INVESTIGATION (§68.81)
Exhibit 6-9 briefly summarizes the steps you must take for investigating incidents.
•:., " . , ' , ' • , •:• , • • ,:",, •':' -. '','•'< •'<"' i •>•' " ' • , i
i • ! '" " ';:'- ••• •• i • :i II ., ; ,
i, " •• ' • , ' , ,•',' ".' 'it', :•: I ' ^
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6-15
Chapter 6
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EXHIBIT 6-9
INCIDENT INVESTIGATION REQUIREMENTS
•Initiate an investigation
promptly.
Begin investigating no later than 48 hours following the
incident.
•Establish 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.
•Summarize 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.
•Address 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.
•Review 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.
•Retain the report.
Keep incident investigation reports for five years.
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.
WHERE To Go FOR MORE INFORMATION
+ Guidelines for Investigating Chemical Process Incidents, Center for
Chemical Process Safety of the American Institute of Chemical Engineers
1992.
+ Guide for Fire and Explosion Investigations (NFPA 921), National Fire
Protection Association.
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Chapter 6
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6-16
6.11 EMPLOYEE PARTIClPATlbN (§ 68.83)
i" ' ii'l • '"ill! '' I.H • » .,,•!• , , •"!! •„, ! '" •" ' "i • ' '. if"
Exhibit 6-10 briefly summarizes what you must do.
'"Hi,!1 jjli:
11 i| I*;,'1' III1 <
EXHIBIT 6-10
EMPLOYEE PARTICIPATION REQUIREMENTS
•Write a plan.
•Consult with
employees.
•Provide access to
information.
Develop a written plan of action regarding how you will implement
employee participation.
Consult your employees and their representatives regarding conducting
and developing PHAs and other elements of process safety management
in the risk management program rule.
Ensure that your employees and their representatives have access to PHAs
and all other information required to be developed under the rule.
6.12 HOT WORK PERMITS (§ 68.85)
Exhibit 6-11 briefly summarizes how to meet the hot work permit requirement.
EXHIBIT 6-11
HOT WORK PERMITS REQUIREMENTS
•Issue a hot work permit.
•Implement fire prevention and
protection.
•Indicate the appropriate dates.
•Identify the work.
•Maintain the permit on file.
You must issue this permit for hot work conducted on or near a
covered process.
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.
The permit should indicate the dates authorized for hot work.
The permit must identify the object on which hot work is to be
performed.
You must keep the permit on file until workers have completed the
hot work operations.
WHERE To Go FOR MORE INFORMATION
Standard for Fire Prevention in Use of Cutting and Welding Processes
(NFPA 518), National Fire Protection Association.
!|
Standard for Welding, Cutting and Brazing, 29 CFR 1910 Subpart Q.
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6-17
Chapter 6
Prevention Program (Program 3)
6.13 CONTRACTORS (§ 68.87)
Exhibit 6-12 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.
EXHIBIT 6-12
CONTRACTORS CHART
You must...
•Check safety performance. When selecting a
contractor, you must obtain and evaluate
information regarding the safety performance
of the contractor.
•Provide safety and hazards information.
You must inform the contractor of potential
fire, explosion, or toxic release hazards; and of
your emergency response activities as they
relate to the contractor's work and the process.
•Ensure safe practices. You must ensure that
you have safe work practices to control the
entrance, presence, and exit of contract
employees in covered process areas.
•Verify that the contractor acts responsibly.
You must verify that the contractor is fulfilling
its responsibilities.
Your contractor must...
•Ensure training for its employees. The
contractor must train its employees to ensure
that they perform their jobs safely and in
accordance with your source's safety
procedures.
•Ensure its employees know process hazards
and applicable emergency actions. The
contractor must assure that contract employees
are aware of hazards and emergency
procedures relating to the employees' work.
•Document training. The contractor must
prepare a record documenting and verifying
adequate employee training.
•Ensure its employees are following your
safety procedures.
•Inform 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
WHERE To Go FOR MORE INFORMATION
Contractor and Client Relations to Assure Process Safety, Center for
Chemical Process Safety of the American Institute of Chemical Engineers
1996.
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!11' ''i1 !'l i ..... ''''i1:!1"'1!'!'1,!!;1'. n"*1 ...... "'"I"
^ '' , I1 '''
Chapter 6
Prevention Program (Program 3)
6-18
•f API/CMA Managers Guide to Implementing a Contractor Safety Program
(RP 2221), American Petroleum Institute.
•4- Improving Owner and Contractor Safety Performance (RP 2220), American
Petroleum Institute.
November 19,1998
I .......... Ail, ..... I:,!,, >, ;.
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Chapter 6
Prevention Program (Program 3)
APPENDIX 6-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 teamed 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), propane facilities subject to NFPA-58. 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.
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6-20
'ill • i,
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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. AlChE describes this as
a powerful procedure if the staff are experienced; "otherwise, the results are likely to be incomplete."
f • , *i "" •. ' I ., •! • . ,i 'i ,,«..,: . „'!"•'' 1.1 ....i ,;-..,. ! . . . ...I .: ,.
• f!" ":i:: |i'.'$?'• HlM JiJ1' K,:,, i1,:,,1.'?; :" ,,- i1" ,. !':;,;,i s'.,' '', ri-Jji',;,,.' ^1 "tjl ''}\^:-\'^'•'^ •Mii:::"~ ';:"l;"i!' ri-i
A whiat-If usually reviews the entire process, from the introduction of the chemicals to the end.
The: analysis 'may '""focus on particular consequences of concern. AlChE 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 low me 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
15 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. AlChE 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 hi the design, operation, and
maintenance efthf 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
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Chapter 6
6-21 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
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Chapter 6
prevention Program (Program 3)
6-22
Safeguards do not work, AIChE states that "more optimistic assumptions may be satisfactory as long as
alt 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
If stein, and responses'tb equipment failure. AIChE states that on average, an hour is sufficient to
Analyze two to four pieces of equipment. AlChE/CCPS estimates that for a small or simple system an
F\MEA 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.
•?..-: i '!- '"!.:. ".' s • . -: ••'•'>' i"' •'• '»'• " • • •••<•• !•!• |...: ; .'• •; '.i1 '
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 deterrnining 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 fociis 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.
FJTA if qften j|sed 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 w,hich 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.
. ,,. ,... j. . , .,
An FIA 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 man one
fgchnique.
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Chapter 6
Prevention Program (Program 3)
Selecting a Technique
Exhibit 6A-1 is adapted from the AIChE Guidelines and indicates which techniques are
appropriate for particular phases in a process's design and operation.
EXHIBIT 6A-1
APPLICABILITY OF PHA TECHNIQUES
R&D
Design
Pilot Plant Operation
Detailed Engineering
Construction/Start-Up
Routine Operation
Modification
Incident Investigation
Decommissioning
Checklist
/
/
/
/
/
^
/
What-If
S
/
S
S
s
s
s
s
s
What-If-
Checklist
/
/
/
/
/
/
/
HAZOP
/
S
/
S
s
FMEA
/
/
/
/
/
FTA
/
/
/
/
/
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.
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.
A final factor in selecting a technique is time required for various techniques. Exhibit 6A-2
summarizes AIChE's estimates of the time required for various steps. The full team is usually involved in
November 19,1998
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I'TIIM "»"!: , ]| I1!1
Chapter 6
Prevention Program (Program 3)
6-24
the evaluation step; for some techniques, only the team leader and scribe are involved in the preparation
ghd documentation steps.
EXHIBIT 6A-2
TIME AND STAFFING FOR PHA TECHNIQUES
Checklist
What-
If
What-If
Checklist
HAZOP
FMEA
FTA
Simple/Small System
# Staff
Preparation
Modeling
Evaluation
Documentation
1-2
2-4 h
4-8 h
4-8 h
2-3
4-8 h
1-3 d
1-2 d
2-3
6-12 h
6-12 h
4-8 h
3-4
8-12 h
1-3 d
2-6 d
1-2
2-6 h
1-3 d
1-3 d
2-3
1-3 d
3-6 d
2-4 d
3-5 d
Large/Complex Process
# Staff
Preparation
Modeling
Evaluation
Documentation
1-2
1-3 d
3-5 d
2-4 d
3-5
1-3 d
4-7 d
4-7 d
3-5
1-3 d
4-7 d
1-3 w
5-7
2-4 d
1-3 w
2-6 w
2-4
1-3 d
1-3 w
2-4 W
2-5
4-6 d
2-3 w
1-4 w
3-5 w
cl = days (8 hours) w = weeks (40 hours)
f
N
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ovember
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-------
CHAPTER 7: EMERGENCY RESPONSE PROGRAM
If you have at least one Program 3 process at your facility, then 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 retailers and other 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 refrigerated warehouse with only two
full-time employees to expect that a major 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).
7.1 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 (29 CFR 1910.38(a)) 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 7.2 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:
+ 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.
+ If you have a covered process with a regulated flammable, work with the
local fire department regarding a response to a potential release.
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Chapter 7 ' [' "_
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r lip: • i IS!'!1
Although you do not need to describe these activities in your risk management plan,
to document your efforts you should keep a record of:
•f 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.
+ The organization that you worked with on response procedures.
The remainder of this chapter is applicable only to those facilities which 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.
7.2 ELEMENTS OF AN EMERGENCY RESPONSE PROGRAM (§ 68.95)
31
'I'., "tifli ;':;i
If you will respond to releases of regulated substances with your own employees,
your emergency response program must consist of the following elements:
+ An emergency response plan (maintained at the facility) that includes:
> Procedures for informing the public and emergency response
agencies about releases,
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Chapter 7
Emergency Response Program
Documentation of proper first aid and emergency medical treatment
necessary to treat human exposures, and
Procedures and measures for emergency response.
What is a Local Emergency Planning Committee?
Local emergency planning committees (LEPCs) were formed under the Emergency Planning and
Community Right-to-Know Act (TiPCRA) 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:
4- Collect information from facilities on hazardous substances that pose a risk to the
community;
4- Develop a contingency plan for the community based on this information; and
4- 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.
4- Procedures for using, inspecting, testing, and maintaining your emergency
response equipment;
4- 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 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.
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.
Rather than establish another set of federal requirements for an emergency response
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in LVI !'
f ' '! ' I
Chapter?
Emergency Response Program
7-4
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 HAZWOPER standard (29 CFR 1910.120).
Under HAZWOPER, any facility that handles "hazardous substances" (a broad term
that includes ail of the CAA regulated substances and thus applies to all facilities
with covered processes) must comply with either 29 CFR 19l0.38(a) (emergency
action plan) or 1910.119(q) If you wilF use your employees to respond to arelease,
you are subject to the 29 CFR 1910.119(q) requirements. If you determine that the
emergency relponse 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 7.5.
In addition, be careful not to confuse writing a set of emergency response procedures
in a plan with developing an emergency response program. Ah 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 7-1 may be helpful in developing
specific elements of your emergency response pfograin^
."aif .. Biiiiii
Exhibit 7-1
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-1 A), 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.
November 19,1958
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Chapter 7
Emergency Response Program
Finally, remember that under the General Duty Clause of CAA section 1 12(r)(l) 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 or EPA 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. State and local governments in states
without a delegated OSHA program are subject to HAZWOPER under EPA's 40
CFR part 311.
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."
7.3 DEVELOPING AN EMERGENCY RESPONSE PROGRAM
The development of an emergency response program should be approached
systematically. As described in section 7.2, 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:
+ You have already met several federal requirements for emergency planning
and are interested in developing an integrated program to minimize
duplication (section 7.4).
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7-6
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 7.5).
Ill
I
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:
+
4-
+
'4-
4-
4-
4-
4-
4-
4-
4-
Maintenance;
Operations or line personnel;
Upper and line management;
Fire and hazmat response;
Environmental, health, and safely affairs;
Training;
Security;
EPCRA section 302 emergency coordinator (if one exists);
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7-7
Chapter 7
Emergency Response Program
4- Corporate- and industry-sponsored safety, training, and planning efforts; and
4- Federal, state, and local government safety, training, and planning efforts
(see Exhibit 7-2).
Exhibit 7-2
Federal Emergency Planning Regulations
The following is a list of some of the federal emergency planning regulations:
+ EPA's Oil Pollution Prevention Regulation (SPCC and Facility Response Plan Requirements)
- 40 CFRpart 112.7(d) and 112.20-.2l;
4- EPA's Risk Management Programs Regulation - 40 CFR part 68;
4- OSHA's Emergency Action Plan Regulation - 29 CFR 1910.38(a);
4- OSHA's Process Safety Management Standard - 29 CFR 1910.119;
+ OSHA's HAZWOPER Regulation - 29 CFR 1910.120;
4- OSHA's Fire Brigade Regulation - 29 CFR 1910.156;
4- 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.
4 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).
4 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
7.2) is:
4 In place and sufficient to meet the requirements of part 68;
4 In place, but not sufficient to meet the requirements of Part 68; or
4 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 7.6 explains the intent of each of EPA's requirements to help you determine
whether you are already in compliance.
Take additional actions as necessary.
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Chapter 7
Emergency Response Program
7-8
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:
'. '"••-;,!;i-V llfr:.1!.'':-::^••".:.:-:1 T;'- f^ :" .;••':" V.r
+ Identify and characterize the hazards for each covered process. The process
hazards analysis (see Chapter 6), and offsite consequence analysis (see
Chapter 4) should provide this information.
4- 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.
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.
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;
> Floods, temperature extremes, tornadoes, earthquakes, and
hurricanes;
> Loss of utilities, including power failures; and
> Train derailments, bomb threats, and other man-made disasters.
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A number of other federal statutes and regulations require emergency response
planning (see Exhibit 7-2). 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
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l^civcmbcr 19, 1998
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7-9
Chapter 7
Emergency Response Program
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.
As shown in Exhibit 7-3, the ICP format is organized into three main sections: an
introductory section, a core plan, and a series of supporting annexes. The notice
published in the Federal Register explains the intended structure of the ICP and
provides detailed annotation. EPA's EPCRA/RCRA/Superfund Hotline 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.
AN APPROACH TO INTEGRATION
Like many other facilities, you may have opted to develop and maintain separate
documents and procedures for each federal emergency planning requirement.
However, meeting the Clean Air Act emergency response requirements provides you
with the opportunity to integrate several existing programs. Integrating the various
emergency response efforts you conduct (both those mandated by management and
by government) will increase the usefulness of your emergency preparedness
activities and decrease the burden associated with maintaining multiple programs.
Integration will improve your chances to respond effectively to a release by
streamlining your training and eliminating overlaps and conflicts in the roles and
responsibilities of your employees under different programs. However, it is
important to note that, although you are encouraged to integrate your emergency
response efforts, it is not a requirement of the Clean Air Act.
If you have multiple emergency response programs, you should consider integrating
them into a single program with procedures for responding to your most likely
release scenarios. The ICP Guidance discussed above provides comparison matrices
for a number of federal programs that will help you accomplish the following:
+ Distinguish the individual regulatory provisions with which you must
comply, and
November 19, 1998
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Chapter?
Emergency Response Program
7-10
IT!* 1 ""!" ! , lit.
Exhibit 7-3
Integrated Contingency Plan Outline
Section I - Plan Introduction Elements
1. Purpose and Scope of Plan Coverage
2. Table of Contents
3. Current Revision Date
4. General Facility Identification Information
a. Facility name
b. Owner/operator/agent (include physical and mailing address and phone number)
c. Physical address of the facility (include county/parish/borough, latitude/longitude, and directions)
d. Mailing address of the facility (correspondence contact)
c. Other identifying information (e.g., ID numbers, SIC Code, oil storage start-up date)
f. Key contacts) for plan development and maintenance
g. Phone number for key contact(s)
h. Facility phone number
I. Facility fax number
Section II - Core Plan Elements
1. Discovery
2. Initial Response
a. Procedures for internal and external notifications (i.e., contact, organization name, and phone number
of facility emergency response coordinator, facility response team personnel, federal, state, and local
officials)
b. Establishment of a response management system
c. Procedures for preliminary assessment of the situation, including an identification of incident type,
hazards involved, magnitude of the problem, and resources threatened
d. Procedures for establishment of objectives and priorities for response to the specific incident,
including:
(1) Immediate goals/tactical planning (e.g., protection of workers and public as priorities)
(2) Mitigating actions (e.g., discharge/release control, containment, and recovery, as appropriate)
(3) Identification of resources required for response
e. Procedures for implementation of tactical plan
f. Procedure for mobilization of resources
3. Sustained Actions
4. Termination and Follow-Up Actions
Section III - Annexes
Annex 1. Facility and Locality Information
a. Facility maps
b. Facility drawings
c. Facility description/layout, including identification of facility hazards and vulnerable resources and
populations on and off the facility which may be impacted by an incident
November 19,1998
ill I ii
Illlll III
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7-11
Chapter 7
Emergency Response Program
Exhibit 7-3 (continued)
Annex 2. Notification
a. Internal notifications
b. Community notifications
c. Federal and state agency notifications
Annex 3. Response Management System
a. General
b. Command
c. Operations
d. Planning
e. Logistics
f. Finance/procurement/administration
Annex 4. Incident Documentation
a. Post accident investigation
b. Incident history
Annex 5. Training and Exercises/Drills
Annex 6. Response Critique and Plan Review and Modification Process
Annex 7. Prevention
Annex 8. Regulatory Compliance and Cross-Reference Matrices
+ Identify where an integrated effort can meet the requirements of two or more
regulations.
The requirements of various emergency response programs may be similar, but the
subtle differences between requirements will likely determine the degree to which
integration is a feasible and beneficial undertaking. To help you identify the relevant
rules and regulations, the ICP Guidance provides section-by-section regulatory
citations for each emergency response program element for each of the regulatory
programs listed in Exhibit 7-2.
7.5 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 7.2.
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
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.
November 19, 1998
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Chapter?
Emergency Response Program
7-12
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:
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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 meanVb'y'wnicnln'ey will be contacted, the time
frame for notification, and the information that will be provided.
The proper first aid and emergency medical treatment for employees, first
respbnders, and members of the public who may have been exposed to a
release of a regulated substance. Tnis 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.
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;
i» Selection of response strategiesandincident command structure;
> Use of response equipment and other release mitigation activities;
> Protocol and requirements for team entry into hazardous
environments (e.g., minimum number for entry and backup, medical
treatment and transport available); 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
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.
US!/"
Hovcraber 19,1998
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7-13
Chapter 7
Emergency Response Program
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:
+ What offsite response assistance you will require for potential release
scenarios, including fire-fighting, security, and notification of the public;
4- How you will request offsite response assistance; and
4- 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 7.6.
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:
4- How and when to use the equipment properly;
4- How and when the equipment should receive routine maintenance; and
4- 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 3 Prevention Programs will be
considered sufficient to meet this requirement.
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
November 19,1998
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Chapter 7
Emergency Response Program
7-14
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:
+ If they will only need to evacuate, then their training should cover when and
how to evacuate their location.
I
4- 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.
i
4- If they will serve on an emergency response team, then their training should
coyer 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.
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RESPONSE PLAN EVALUATION
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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 tihat would
cause the plan to be updated (e.g., a new covered process) and include a method of
communicating any changes to the plan toyouremployees (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.
1.6 COORDINATION WITH LOCAL EMERGENCY PLANNING ENTITIES (§ 68.95(c)J
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
emefgericy planning district under EPCRA, you will likely need to contact local
agencies individually to determine which entities (e.g., fire department, emergency
management agency, police department, civil defense office, public health agency)
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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
November 19,1998
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7-15
Chapter 7
Emergency Response Program
regulated under EPCRA). If you have not (or if ypur 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:
+ 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;
+ 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;
+ Schedules of emergency exercises designed to test the community response
plan to spur coordinated community-facility exercises;
+ 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
+ Details on incident command structure, emergency points of contact,
availability of emergency medical services, and public alert and notification
systems.
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.
November 19, 1998
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IT i;l
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Chapter 7
Emergency Response Program
7-16
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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' aiid Clean Air Act regulations to
request any information necessary for preparing the community response plan.
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CHAPTER 8: 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 is developing an electronic submission program for your
use. If you cannot submit electronically, you may request a hardship waiver and
submit your RMP on paper. In either case, your RMP is due no later than the latest
of the following dates:
4- June 21, 1999;
4- The date on which a regulated substance is first present above a threshold
quantity in a process; or
4- Three years after the date on which a regulated substance is first listed by
EPA.
EPA's automated tool for submitting RMPs, RMP*Submit™, discussed below, is
available free from the EPCRA hotline (on disk) or can be downloaded from
www.epa.gov/ceppo/.
8.1 ELEMENTS OF THE RMP
The length and content of your RMP will vary depending on the number and
program level 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);
The registration for the facility (§68.1 60);
The certification statement (§ 68 . 1 85);
4-
4-
4-
4-
4-
A worst-case scenario for each Program 1 process; at least one worst-case
scenario to cover all Program 2 and 3 processes involving regulated toxic
substances; at least one worst-case scenario to cover all Program 2 and 3
processes involving regulated flammables (§ 68.165(a));
The five-year accident history for each process (§ 68.168); and
A summary of the emergency response program for the facility (§ 68.180).
Any facility with at least one covered process in Program 2 or 3 must also include in
its RMP:
April 24, 2000
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•' ,7"' i!»|.!i!!,
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Merrifieia, VA 22116-3346
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"ELECTRONIC SUBMISSION
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EPA has made RMP*SubmitTM available to complete and file your RMP.
RMP*Submit™ does the following:
4- Provides a user-friendly, PC-based RMP Submission System available on
diskettes and via the Internet;
4- Uses a standards^based, open systems architecture so private companies can
create compatible software; and
April 24,2000
I I"'1"!
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8-3
Chapter 8
Risk Management Plan
+ Performs data quality checks, accept limited graphics, and provide on-line
help including defining data elements and providing instructions.
The software runs on Windows 3.1 and above. There will not be a DOS or MAC
version.
HARD COPY SUBMISSION
If you are unable to submit electronically for any reason, just fill out the Electronic
Waiver form available in the RMP*Submit™ manual and send it in with your RMP.
See the RMP*Submit manual for more information on the Electronic Waiver. The
forms are also available from http://www.epa.gov/swercepp/rmpsubmt.html#steps
and from the EPCRA hotline (see Appendix C). If you submit on paper, you must
use the official form. If you do not use the official form, your RMP can not be
processed.
IMPORTANT REMINDERS
Do not forget your certification letter. A certification letter is required for all RMP
submissions. See Chapter 3, Section F of the RMP*Submit User's Manual for more
information on the certification letter
Protect your diskette against damage. Mail you diskette in a cardboard diskette
mailer or put some padding around it.
Make sure your Executive Summary is in ASCII DOS Text format and that it is
actually on the diskette submitted. If the Executive Summary is more than 32 KB,
you need to save it as a text file and identify the name of the text file in
RMP*Submit™. If you use a word processing program to develop the summary, you
must save it as ASCII text.
8.3 RESUBMISSION AND UPDATES (§ 68.190)
When you are required to update and resubmit your RMP is based on whether and
what changes occur at your facility. Please refer to the Exhibit 8-1 and note that you
are required to update and resubmit your RMP on the earliest of the dates that apply
to your facility:
WHEN DOES THE OFFSITE CONSEQUENCE ANALYSIS (OCA) NEED TO BE REVISED?
You'll need to revise your OCA when a change at your facility results in the distance
to an endpoint from a worst-case release rising or falling by at least a factor of two.
For example, if you increase your inventory substantially or install passive
mitigation to limit the potential release rate, you should re-estimate the distance at an
endpoint. If the distance is at least doubled or halved, you must revise the RMP. For
most substances, the quantity that would be released would have to increase by more
than a factor of five to double the distance to an endpoint.
April 24, 2000
-------
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CHANGE THAT OCCURS AT YOUR FACILITY
No changes occur
A newly regulated substance is first listed by
EPA
A regulated substance is first present above its
threshold quantity in:
a process already covered; or
— a new process.
A change occurs that results in a revised PHA or
hazard review
A change occurs that requires a revised offsite
consequence analysis
A change occurs that alters the Program level that
previously applied to any covered process
A change occurs that makes the facility no longer
subject to the requirements to submit a Risk
Management Plan
DATE BY WHICH You MUST UPDATE AND
SUBMIT YOUR RMP
Within 5 years of initial submission
Within 3 years of the date EPA listed the newly
regulated substance
On or before the date the quantity of the regulated
substance exceeds the threshold in the process.
Within 6 months of the change
Within 6 months of the change
Within 6 months of the change
Submit a revised registration (indicating that the
RMP is no longer required) to EPA within 6
months of the change
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8-5
Chapter 8
Risk Management Plan
Qs&As
RMP UPDATES
Q. If a facility changes owners, but the manufacturing operations have not changed, are they
required to update their RMP?
A. Yes. If the owner of a facility changes, the RMP on record with EPA should reflect the current
owner by the date ownership changes or responsibility for operation of the facility is transferred.
You do not have to update each section of your RMP if the only thing that has changed is the name
of the owner. If the original RMP was submitted electronically, you must revise the original RMP as
needed and submit the revised RMP on diskette. Since EPA will not alter your submission for you,
sending EPA a letter about the change is not sufficient. Be sure to check the corrections box when
RMP*SUBMIT prompts you for submission type. If the original submission was on paper, make the
changes in red ink on the printout of your RMP submission that the RMP Reporting Center mailed
back to you to retain for your records. Whether you submitted on paper or diskette, you also must
submit a new certification letter reflecting the new facility owner name.
Q. If a facility changes owners and significant changes have been made to plant operations is the
facility required to update all sections of the RMP and resubmit it to EPA?
A. Yes. If the facility has new ownership and plant operations have changed significantly, the new
facility owner/operator needs to send EPA a new diskette with all sections of the RMP updated. You
will receive a recalculated anniversary date based on this new submission. Be sure to check Re-
submission when RMP*SUBMIT prompts you for submission type.
Q&A
"REVISING" A PHA
Q. The rule states that I have to update my RMP whenever I revise a PHA. What constitutes a
revised PHA? Every time I go through management of change procedures I make a notation in the
PHA file for the process, but would that constitute a revised PHA if the change did not affect the
validity of the PHA?
A. All changes (except replacement in kind) are subject to the management of change of procedures.
When processes undergo minor changes (e.g., minor rerouting of a piping run), information is
typically added to a PHA file to reflect the change, even though the validity of the PHA is not
affected by the modification. These minor changes and the addition of information about the change
to the PHA file are not considered a 'revision' of the PHA under the part 68. Major changes that
invalidate' a PHA, leading you to 'update' or 'revalidate' the PHA so that it accurately reflects the
hazards of the process, are considered a revision of the PHA under part 68.
April 24, 2000
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Chapter 8
Risk Management Plan
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CHAPTER 9: IMPLEMENTATION
9.1 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(1) and 40 CFRpart
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/! 12r-sts/l 12r-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
April 24, 2000
-------
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9-2
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)(l)) is not included in part 68 and, therefore, will not
be delegated. States, however, may adopt their own general duty clause under state law.
9.2 REVilWS/AUDiTS/INSPECTIONS (§ 68.220)
l
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 ihey contain any information that is clearly problematic.
For example, ifan 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
1 i ;!|r . i ;;,, ,;• : .•;; ;:|i;:, ;•« J68.220: i | | u _ M ^ ^ " ^
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4- Accident history of other facilities in the same industry
4- Quantity of regulated substances handled at the site
4- Location of the facility and its proximity to public and environmental
1 .receptors
4- Tlie presence of specific regulated substances
4- The hazards identified in the RMP "t
4- A plan providing for random, neutral oversight
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
November 19,1998
ill!
11 ml Hi l
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9-3
Chapter 9
Implementation
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 then-
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.
November 19, 1998
-------
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9:3 RELATIONSHIP WITH TITLE V PERMIT PROGRAMS
!iH:'-'' • I'd: nil1 -If •: jilt 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: ' ' ' " ' ' '
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11
4- List part 68 as an applicable requirement in your permit
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i" "'l 4- 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
^bmitted to the permitting authority. The permitting authority is only required to
lli;f'g^^^j^t yQ^'^yg sub'mtte"d'lKel'RiMP11 and" that if is complete^' The permitting
authority may delegate this review of the RMP to other agencies.
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should contact your permitting authority and determine whether your permit needs to
be amended to reflect part 68.
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9.4 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 a's'se'ss1 civil penalties of not more than $27,500 per day per violation. Any one
convicted of knowingly violating part 68"may also bei punished by a fine pursuant to
Title 18 of the 't/.S. Code or by imprisonment for no more man 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.
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November 19,1998
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9-5
Chapter 9
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.
November 19, 1998
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Chapter 9
Implementation
9-6
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November 19,1998
-------
CHAPTER 10: 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.
10.1 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 rale
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 10-1 outlines seven "rales" 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
November 19, 1998
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Chapter 10
Communication with tlie Public
10-2
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 10-1
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
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Dialogue in the community will be concerned with both hazards and risks; it is
,i . „•;« Ijll/'usefui'tobe'clear about the difference between them.
Hazards are inherent properties that cannot be changed. Ammonia 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 deterniining whether the potential exposure to the hazard can be reduced
£,;' • ,;ir • / «•: » in any way.
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Risk is usually evaluated based on several variables, including the likelihood of a
jelease 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 example7if a release during loading occurs frequently, but the quantity of
chemical released is typically small and does not generally migrate offsite, the
:pvera|lrisC'to"^^^ ,^^e-^ejy-o-5j.~^a catastrophic release occurring
is extremely low, but lie number of people who could be affected if it occurred is
•"|arge', ffie overall risk may still be low because of the low probability that a release
will'occur. On the other hand, if a rejease occurs relatively frequently and a large
number of people could be affected, the overall risk to the public is high.
November 19,1998
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10-3
Chapter 10
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
Novemberl9,1998
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Chapter 10
Communication with the Public
10-4
11
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31! Itilil
parties will know that you retain additional information at your facility (e.g.,
documentation of the results of the offsite consequence analysis reported hi your
RMP)andarereqiittedtbmakeitava^He'toE^X 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 hi other information relevant to risk management
at your facility, such as:
^Submissions' under sections 302, 304,|lf Mij^and'SlS of the Emergency
,'' Planning and Community11 Right to Know A*ct"^SpiSl(A| reporting oh
chemical storage and releases, as well as the comniuhity emergency response
plan prepared under EPCRA section 303.
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Other reports oh hazardous materials made, used, generated, stored, spilled,
released and trahsportedj mat you submitted to fedefal, state, and local
agencies.
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.
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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).
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.
10.2 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 hi thischapter jthat 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 justanswering questions; discuss what
you have done to prevent accidents an3 work with me 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 tEaf you may anticipate. The person
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10-5
Chapter 10
Communication with the Public
from your facility designated as responsible for communicating with the public
should review the following and tali: 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.
November 19,1998
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Communication with the Public
10-6
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 me 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:
• 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.
• 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.
• 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.
November 19,1998
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Chapter 10
Communication with the Public
WHAT DOES IT MEAN THAT WE COULD BE EXPOSED IF WE LIVE/WORK/SHOP/GO TO
SCHOOL X MILES A WA Y?
(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.
November 19, 1998
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Communication witli the Public 10-8
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IF THERE IS AN ACCIDENT, WILL EVERYONE WITHIN THAT DISTANCE BE HURT? WHAT
ABOUT PROPERTY DAMAGE?
In general, no.
I For ammonia, whether someone is hurt by a release depends on many factors. First, the released
chemical 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 ckcle. 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.
I 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.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.
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10-9
Chapter 10
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 often. 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.
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.
November 19,1998
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10-11
Chapter 10
Communication with the Public
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.
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 a fire or explosion at the facility could release larger quantities if multiple vessels are involved,
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.
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Chapter 10
—t-—
Public
10-12
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.
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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 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.
November 19,1998
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Chapter 10
Communication with the Public
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.
10.3 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 10-1)
(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.
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.
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Chapter 10
Communication with the Public
10-14
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ASSIGN RESPONSIBILITIES AND RESOURCES
A policy is only a paper promise until it is reg-ularly 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 aha! 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
i i 'iii! 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 of statements" mat inadvertently and unfairly harm the
organization or its employees. Thus, you should assure that your risk communication
staff is instructed on how todealwith situations that pose these problems. This may
mean that you have an internal procedure enabling your staff to bring such situations
11 i' ill to top management' and legal' counsel 'for "quick'resolutioh, keeping in mind that
unduly defensive or legalistic responses mat result hi restricting the amount of
information that is provided can damage or destroy the risk communication process.
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Your communication staff may find the "following "steps helpful in. addressing the
priority issues in the communication process:
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officials, and gain their insights
+ Incorporate technical expertise, management commitment, and employee
involvementintheirisk communicationprocess
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Use your RlVIP's executive summary to begin the dialogue with the
community; be sure you have tiken all of the steps you present
November 19,1998
II I 11II
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10-15
Chapter 10
Communication with the Public
4- 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
4- 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
4- Review your performance in implementing the prevention and response
programs and prepare to discuss problems identified and actions taken
+ Review your performance in investigating accidents and prepare to discuss
any corrective actions that followed
Other Steps
•f 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
+ Avoid misrepresentations and minimize the roles of public relations
specialists
+ 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:
+ Top management commitment (e.g., owner and facility manager) to
improving safety
+ Honesty, openness, and concern for the community
+ Respect for public concerns and perceptions
November 19,1998
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Chapter 10
Communication wiffi the Public
10-16
^Commitment to maintauiing 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
Commitment to continuous improvement through internal procedures for
evaluating incidents and promoting organizational learning
Knowledge of safety issues and safety management methods
.-••"iaooH working relationships with the LEPC, fire department, and other local
officials
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10-17
Chapter 10
Communication with the Public
Other, more resource-intensive activities of this type to consider include the
following:
4- 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).
4- 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.
4- 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.
4- 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.
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:
4- Arrange facility tours so that members of the public can view operations and
discuss safety procedures with supervisors and employees.
4- 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).
4- 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 10.4 for a reference to more information on this program).
4- 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.
November 19, 1998
-------
; ' is" ll! « '' mmm Mmfm > :K i« m/nt w r* *. r 17;»> ffliiis:; | mm "-i; w'"« f •• t is?* pp^i ifi < a
""'!:",!»' lili!" Ii.1!!!'!-1: 15'
Chapter 10
CornmunicationwitE1 ffie Public
10-18
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.
'iJih.i-'i
. A "UJ
r i-
I
!S llllf
K'V"'. • "i* '''!»• :is iii ilip If community interest is significant, you may also want to consider the following
lii.^:^.'*';i,:S8:i«S«!s:':::.: „:,,""::::"; ;:: ;\::,:,,: :.::;:::;
':' ":" •- "- !": :: •""'•'• •"••-•• ••'••'•• •—•••••— ' •"•' '«'•• •-!= 'f^-1 -"=«. •• —
-'i*i*''1 ;'iiii + Invite public participation in monitoring implementation of your risk
~ ;, ;;,;;_; ~^ "~r ;;™r • '; ^";m|Mgement program elements.
»;;! •';i; - j",: •r"" .; ™£ - jjj; ^,' '.'," "invite public" participation in auditing 'your" performance in safety
=,' -i' , '' ,'V; :!i,:,S!!!!'"™ •?,-,.;,;;:/; .'"responsibilities, such as chemical handling and tracking procedures and
II|, ^__S|,,,j^^,j^ ^ , ^,,,,y.,:ij,,,,,^,,j,,;,,,|j|||™|-,^grg^jj^^p"on~ accidents'and near misses.
h "I: jilllli „,'!"", "II,' 'I
.^iH.l.rf- "'"' "" Organize' a'cbrnniittee comprised of representatives from the facility, other
industry, emergency planning and response organizations, and community
groups1''and chaired by'a cbrnmunity leader to independently evaluate your
sa|gty and communication efforts (e.g., a Community Advisory Panel). You
may also want to finance the committee to pay for an independent
; consultant to assist with technical issues and learn what can be
ity, and 'thereby'sHare control with the community.
I: i f;
'«*IK, 'iiir
ii:::1 i ;
"
I nii B iii iiiii;,,
I ;,:i [
• rift,?"/;' i"',,;;!!!-': ^.'jc.^'^^!!^^^^^.*^^''^'*.!'!1.
ilcation staff shouid review^ mese examples, consider designing their
"I?!'!' lyil!11,'1!!^ I1',1! ill!1,;1 ''HI':'I"!''', t ''fflllllli, V, 'Jli'l'IBIJimi''.^!.^^"!.'^!^^^^^^^^^^ ':, - I, , r / »"' «B '^t '"•*
own activities as well as joint efforts with other local organizations, and ultimately
decide 'with 'the cpjmmunity on which set of practices are feasible and can best create
a healthy risk'cornmuhTcaHbri process in your community. Once these decisions are
™; .niadej'ybu may want'to mtegrate t£e chosen set of practices in an overall
co program for your facility, transform sortie into standard procedures,
and evaluate mem for continuous improvement.
; OTHER COMrMU NJGATiQN
|, ttill!!!,!1!1!, «' hi11!,!!,,1"!'!!..]:,,!!!!!!
i RMP" rule and participating in the communications process
with the community, you should have developed a comprehensive system for
jiff p'-Jg'v^3Jing^'m|ggl2iJ^g91 £n3responding to'cHemlcal 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
yoiif "todustry? ffyou transfer "this knowledge toothers, you can help improve their
chemical g^fbty management capabilities, enhance public safety beyond your
,1,,'llj, community^ and possibly gain economic benefits for your organization.
it | j,; ' ' ,
10.4 FOR MORE INFORMATION
"„" ™ '! ,.,!"!'!' "~~, "I™111,,1™ ' ".,','. ! 1",",,''-.!I.1"'!'. "„', '."! "'"„ . '..'." ,„ '., ,, ',". "T "", ,,I~,I,',,'',' 1"™",!!'!'!,'. ,"'" "-- ',,",„ " "„';,!""„!
Kill I i I II II11 Illlllllll * ,:;;i!,ii,!|v,'iiiliJi!!!' Saiti'I!-.!!'1'Ii ' I""', '>?, i""!!*!,, • n,' I!,'„' ••', "i,!":!?-!,:.,,' "ill! .itJHIi W.iHW t,, ,!«B*aW I'* :j..^ "-'' i» '" I'-,',!,!!>, ' ' ' !',.
Among;me numerous publications on risk communication, the following may be
particularly helpful:
+ Improving Risk Communication, National Academy Press, Washington,
D.C., 1989
November 19,1998
'I
-------
10-19
Chapter 10
Communication with the Public
"Safety Street" and other materials on the Kanawha Valley Demonstration
Program, Chemical Manufacturers Association, Arlington, VA
Community Awareness and Emergency Response Code of Management
Practices and various Guidance, Chemical Manufacturers Association,
Arlington, VA
Communicating Risks to the Public, R. Kasperson and P. Stallen, eds.,
Kluwer Publishing Co., 1991
"Challenges in Risk and Safety Communication with the Public," S. Maher,
Risk Management Professionals, Mission Viejo, CA, April 1996
Primer on Health Risk Communication Principles and Practices, Agency for
Toxic Substances and Disease Registry, on the World Wide Web at
atsdrl.atsdr.cdc.gov: 8080
Risk Communication about Chemicals in Your Community: A Manual for
Local Officials, US Environmental Protection Agency, EPA
EPCRA/Superfund/RCRA/CAA Hotline
Risk Communication about Chemicals in Your Community: Facilitator's
Manual and Guide, US Environmental Protection Agency, EPA
EPCRA/Superfund/RCRA/CAA Hotline
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
November 19, 1998
-------
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W HW 4 ill ......... i -III ..... "IE!"1!*1! ...... II ....... t ........ ' ........ KHOt: "" .....
j«:'. Chapter 16
.Communicationwitii1 the Public
10-20
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-------
Appendix A
40 CFR part 68
-------
''1,,: ........ jiii'.1'1!'1 •" "J , "in ..... 'i. • lii!1
i, ,i,«i| : 11,1111,1,1 , fliiiriiiiini itiii',,f ,, ,,,,;i Tif „
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',.«
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, HI.! M'-:1' V ,
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i ii "i,i'p iipii'i:,; <,ij
;i|{ , •• ,,,'iiiiijj'i!' I,!1;!;'1!,1]!,
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,!! . ,;•'!' .HI lUllllli: - •! 'HIIHiiJI lull 'fi'nilllKilj, Bin • „! 1i|i|iiii|, "i i .ill ': • .',,i.|i iillri .tllili'nPii,:;',; i i, Jill I! n,'! iil'llilJ', it I'", • ..IJilllllf., I, IP" i1"',,«, [' iiiiiilid ilUIFii „! >,,»I iilUllrlilin j jii.hii.jiiiiii Uifujiiii1 „ •' iiii iiiju. I \« \ t1 i.ii jliillil'lKlliililliiJIIil iK/ilii'"! il,, i,]1')',. tS»! ill... '„ ullli.. i'lliliiiilliill '"FiiiJIiii'l'llUliiiilllii ,i '.JIl Jini * ,,IP L » >i inn i I 111 i]:, ,1 ill
-------
Pt. 67, App. A
40 CFR Ch. I (7-1-99 Edition)
local agent, any noncompliance pen-
alties owed by the source owner or op-
erator 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 param-
eters.
68.25 Worst-case release scenario analysis.
68.28 Alternative release scenario analysis.
68.30 Defining offsite impacts—population.
68.33 Defining offsite impacts—environ-
ment.
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.
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
Purpose.
Threshold determination.
68.100
68.115
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.
Subparf 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 require-
ments.
68.220 Audits.
APPENDIX A TO PART 68—TABLE OF Toxic
ENDPOINTS
AUTHORITY: 42 U.S.C. 74i2(r), 760l(a)(i),
7661-7661f.
SOURCE: 59 FR 4493, Jan. 31, 1994, unless
otherwise noted.
36
-------
•nt'fJ'fff-HTM
s ..... t
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ii
• "iJMJIi T' li
vs. •
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ii il ft ii;/0,i:;'l k;
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Environmental Protection Agency
(V. hi
Subpart A—General
Ih
§68.2
li 1111! "" fis1'1
"liM '*'! IIMiill,
I,!1'!'! i 111 III'!
§68.1
: a;',
fcl'il "
I
Scope.
This part sets forth the list of regu-
lated substances and thresholds, the
petition process for adding or deleting
substances,to Aejist: of regulated _sub: _
'j the requirements" for owners or
rs''" of stationary sources cbri-
jjg the prevention of accidental
releases, and the State accidental re-
lease prevention programs approved
under section 112(r). The list of sub-
stances, threshold quantities, and acci-
dent prevention regulations promul-
gated under this part do not limit in
any way the general duty provisions
under section 112(r)(l).
§ 68.2 Stayed provisions.
(a^ Notwithstanding any other provi-
sion^ of this part, the effectiveness of
the following provisions is stayed from
March 2, 1994 to December 22, 1997.
(t) In Sec. 68.3 the definition of "sta:
tionary source," to the extent that
Such definition includes naturally oc-
curring 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 fegii-
I ("III';]!!" ("I f, "lilt'ih,!"
Hi.
I!"
I Iil '!,„.' I:,1,!!" IE "' III!,,1!.,
1*1; ]*:i Mi
I ; Blflij, I > l::l!<
li:!
iiciiri
i.!5:' (i) Gasoline, wKeri in idlstriButfon or
slated storage for use as fuel for inter-
"'pmbustloii^engines;
m" Naturally 'occurririg hydrocarbon
li xjjires, prior"" to entry ""into" a" petro-
leum" refining process" unit' or "a "natural
gas processing plant. Naturally occur-
/"••fjiring hydrocarbon mixtures include any
'. -ai'of the following: cpndensate, crude oil,
•"""field" gas," arid 'jpiroSuced water,' "each as
defined in paragraph (b) of this section;
^•••-—•-^ jinj 'Qj-hg'p' 'fnfxturies that contain a
regulated flammable substance and
that do not have a National Fire Pro-
'"tectlpn Asspciaiaon^flammability haz-,,
ard rating of"4™ th"e "de'finitiori' of which
is !ri the NFPA 704, Standard System
!'j|il||iiifor the Identificatipn ofrthe_Fire Haz-_
;:!H^Qrds°'of Mate'ri'al'sl National'' Fire Pro-
tection Association, Quincy, MA, 1990,
available from the National Fire Pro-
ISlni'ilK Hlilllill "I'!'!"'1' ,,, I1" i "', "iJH , ,,, If , '' <'';;,,', '
iV*B».'il I: "i .•';"" !":' -I. " "l: • ' ,;•.•::.• !':,'"37
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 de-
scribed in paragraph (a) of this section:
Condensate means hydrocarbon liquid
separated from natural gas that con-
denses because of changes in tempera-
ture, pressure, or both, and remains
liquid at standard conditions.
Crude oil means any naturally occur-
ring, 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 ex-
traction 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, com-
pressor, or similar equipment shall not
be considered a "processing site" un-
less such equipment is physically lo-
cated 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 refin-
ing as defined in the Standard Indus-
trial Classification code for petroleum
refining (2911) and used for the fol-
lowing: Producing transportation fuels
(such as gasoline, diesel fuels, and jet
in fuels)iiiS heating fuels (such as kerosene,
"' fuel gas" distillate^ 'arid"fuel oils), or lu-
bricants; separating petroleum; or sep-
arating, cracking, reacting, or reform-
—^ j^tg^jg-gj-gjg 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 re-
forming, catalytic cracking, crude dis-
tillation, lube oil processing, hydrogen
production, isomerization, polymeriza-
tion, thermal processes, and blending,
sweetening, and treating processes. Pe-
troleum refining process units include
sulfu"r"""p"I'arits~'
Produced water means water ex-
tracted from the earth from an oil or
natural gas production well, or that is
separated from oil or natural gas after
extraction.
-------
§68.3
40 CFR Ch. I (7-1-99 Edition)
(c) Notwithstanding any other provi-
sion of this part, the effectiveness of
part 68 is stayed from June 21, 1999 to
December 21, 1999 with respect to regu-
lated flammable hydrocarbon sub-
stances 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 con-
tain greater than a threshold quantity
of another regulated substance, and is
not collocated or interconnected to an-
other 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 unantici-
pated emission of a regulated sub-
stance 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 adminis-
trator of the U.S. Environmental Pro-
tection Agency.
AIChE/CCPS means the American In-
stitute 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 de-
sign 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 regu-
lated substance under normal condi-
tions 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 explo-
sion, involving one or more regulated
substances that presents imminent and
substantial endangerment to public
health and the environment.
Classified information means "classi-
fied information" as defined in the
Classified Information Procedures Act,
18 U.S.C. App. 3, section l(a) as "any
information or material that has been
determined by the United States Gov-
ernment pursuant to an executive
order, statute, or regulation, to require
protection against unauthorized disclo-
sure for reasons of national security."
Condensate means hydrocarbon liquid
separated from natural gas that con-
denses 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 de-
termined under §68.115.
Crude oil means any naturally occur-
ring, 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 De-
partment of Transportation.
Environmental receptor means natural
areas such as national or state parks,
forests, or monuments; officially des-
ignated wildlife sanctuaries, preserves,
refuges, or areas; and Federal wilder-
ness areas, that could be exposed at
any time to toxic concentrations, radi-
ant 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 elec-
tric or gas welding, cutting, brazing, or
similar flame or spark-producing oper-
ations.
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 expo-
sure to toxic concentrations; radiant
heat; or overpressures from accidental
38
-------
I I"::!!!,!'!1!! >l|ll|i,,,lll!,, I," III ,s IIIIIIR 'iniiilll' '<' ' it- I,,-til! 1 If !i:,!i Ill'i 3 'll,1",, " Wfi "riii ill' I":, :,i ,<;, „!,,;', r!|i;; ;f >;,,,:! i* , tii."l'.MnMi!lf,! »•. ,' •JL'W w
•j,iiiiii i : j,, an,ii i ,r' i . ill: i i •• ' ,,r •> ' mijiiiji, iHiiiiii »'.rti:
Hri&iH i ..lilt t ii,!..' ¥ ' 4 ^li1'1 Mii ''• 'ii
I
Environmental Protection Agency
U'f'i'lii'i'Y; P ''! /"liffl?1
liilUIIIII ' dllli'iS I
,, ii:l' ,,,lil'l1!!,1,11 Ji'llhlf 'i'illiil',, illllilli'11:,.,!,!,:..!!,'!1'1
, .....
direct
I (iiiir i,:?:;
" i -1 fii .i','1"1!,
I! r i rit'Jff
I
..^leases1 '.or .from the. -„-,„-, Tl, „,--„,„,
jj'sg'quences 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
"Sew process, 'process "equipmentj b'rreg-
ulatecl substance, an alteration of proc-
|Sss''l"™chernistry that results in any
, Change to safe operating limits, or
, "t other _ alteration .that^ introduces^ new,
• '•"Kazarcl.
W,Mechanical integrity means the proc-
ess of ensuring that process equipment
f,^^fabricated/romjhe proper materials
-'llpfl „ construction ,,and _ is ,properly in-
ILIIIIBfc ,, IJliiii«iiii' ,i,,» iin'r W'V^'H^1 ,,j I|»,,|^|II|«,IIH, ,„,! '« L ,, , , ^ , ^
iiiii replaced 'to
prevent failures anil accidental re-
leases.
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 cap-
ture or control substances upon loss of
containment jto minimize^ exposure of
"the public'or "the" environment.1 P'assive
mitigation means equipment, devices,
"or technologies that function without
human,' mechanical, or other energy
input, Active" mitigation means equip-
ment, devices, or technologies that
need human, mechanical, or other en-
ergy input to function.
NAfCS means North American indus-
try Classification System.
NFJPA' means' the National Fire'"Pro-
tection 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 prod-
, , ucts, or .both^classifigd as.Nqrth Amer-
ican industrial Classification System
(NAICS) code 211112 (previously Stand-
ard Industrial Classification (SIC) code
1321),=
Offsite means areas beyond the prop-
erty boundary of the stationary source,
and areas within the"property" bound-
ary to which the public has routine and
unrestricted access during or outside
business hours.
39
§68.3
OSHA^ mems/'the, _y._S.JiOccupationai1"
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 refin-
ing as defined in NAICS code 32411 for
petroleum refining (formerly SIC code
2911) and used for the following: Pro-
ducing transportation fuels (such as
gSsbline, diesel fuels, and jet fuels),
heating fuels (such as kerosene, fuel
gas distillate, and fuel oils), or lubri-
cants; Separating petroleum; or Sepa-
rating, cracking, reacting, or reform-
ing 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 re-
forming, catalytic cracking, crude dis-
tillation, lube oil processing, hydrogen
production, isomerization, polymeriza-
tion, thermal processes, and blending,
sweetening, and treating processes. Pe-
troleum 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 sub-
stances, or combination of these activi-
ties. For the purposes of this defini-
tion, any group of vessels that are
interconnected, or separate vessels
that are located such that a regulated
substance ,could,,b,ei,i involved in a, poten-
tial release, shall be considered a sin-
gle process.
Produced water means water ex-
tracted 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 em-
ployees or contractors at the sta-
tionary source.
Public receptor means offsite resi-
dences, institutions (e.g., schools, hos-
pitals), industrial, commercial, and of-
fice buildings, parks, or recreational
areas inhabited or occupied by the pub-
lic at any time without restriction by
the stationary source where members
of the public could be exposed to toxic
t;j:'WI Ill' M.3*
-------
§68.10
40 CFR Ch. I (7-1-99 Edition)
concentrations, radiant heat, or over-
pressure, 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 replace-
ment that satisfies the design speci-
fications.
RMP means the risk management
plan required under subpart G of this
part.
Stationary source means any build-
ings, structures, equipment, installa-
tions, or substance emitting stationary
activities which belong to the same in-
dustrial 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 sta-
tionary source does not apply to trans-
portation, including storage incident
to transportation, of any regulated
substance or any other extremely haz-
ardous substance under the provisions
of this part. A stationary source in-
cludes transportation containers used
for storage not incident to transpor-
tation and transportation containers
connected to equipment at a stationary
source for loading or unloading. Trans-
portation 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 nat-
urally occurring hydrocarbon res-
ervoirs. Properties shall not be consid-
ered contiguous solely because of a
railroad or pipeline right-of-way.
Threshold quantity means the quan-
tity 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.
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 dis-
tance 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 sta-
tionary source that has more than a
threshold quantity of a regulated sub-
stance in a process, as determined
under §68.115, shall comply with the re-
quirements 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 require-
ments. 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 regu-
lated substance where exposure to the
substance, its reaction products, over-
pressure generated by an explosion in-
volving the substance, or radiant heat
generated by a fire involving the sub-
stance led to any of the following off-
site:
(i) Death;
(ii) Injury; or
(iii) Response or restoration activi-
ties for an exposure of an environ-
mental receptor;
(2) The distance to a toxic or flam-
mable 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 sta-
tionary source and local emergency
planning and response organizations.
40
-------
I I illiC
ii! RfllM't11:::!!» iti!;;! , i~ llliiii,^^^ ,'. K1 ilMiiH
Ml,,,, Hill' :1 *'
irf,. -.''i *'.iil ji-ru. t., : ':- &• , r•'•!,,,
1";= P I 'SI iiliT'l! ; ; »i:':! I i
>! "!M'"li..'.
"("i* kill,SKI Slllliirii/Jlilli'l!.)1',:!:!,"*'; HIIII'li',!
"I1!!!1 ',,,, "iJ!1 "M :;>:i,,, 'ill;,,!''nf, lli'i,,!' vj" ;l 'illili1!:!! I
iiiv,,,, : 'i i11:' ,!,„ I'l,:1/ ,i i, ,11",' in1 p, ,J ........... H'that reflects all covered processes.
,!'^^f:;:i'"^
-------
§68.15
a process subject to Program 3, as pro-
vided in §68.10(d) shall:
(1) Develop and implement a manage-
ment system as provided in §68.15;
(2) Conduct a hazard assessment as
provided in §§68.20 through 68.42;
(3) Implement the prevention re-
quirements of §§68.65 through 68.87;
(4) Develop and implement an emer-
gency 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 sta-
tionary source with processes subject
to Program 2 or Program 3 shall de-
velop a management system to oversee
the implementation of the risk man-
agement program elements.
(b) The owner or operator shall as-
sign a qualified person or position that
has the overall responsibility for the
development, implementation, and in-
tegration of the risk management pro-
gram elements.
(c) When responsibility for imple-
menting individual requirements of
this part is assigned to persons other
than the person identified under para-
graph (b) of this section, the names or
positions of these people shall be docu-
mented and the lines of authority de-
fined 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 sta-
tionary source subject to this part
shall prepare a worst-case release sce-
nario 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 sec-
tions in this subpart for these proc-
esses.
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 pro-
vided in appendix A of this part.
(2) Flammables. The endpoints for
flammables vary according to the sce-
narios studied:
(i) Explosion. An overpressure of 1
psi.
(ii) Radiant heat/exposure time. A ra-
diant heat of 5 kw/m2 for 40 seconds.
(iii) Lower flamrnability 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 anal-
ysis, 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 applica-
ble to the stationary source show a
higher minimum wind speed or less sta-
ble atmosphere at all times during the
previous three years, these minimums
may be used. For analysis of alter-
native 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/humid-
ity data gathered at the stationary
source or at a local meteorological sta-
tion; 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 me-
teorological 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 deter-
mined by the release scenario.
42
-------
Ill 111
ill 111
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Environmental Protection Agency
11111 (e) Surface roughness. The "owner'or"
operator shall use either urban or rural
topography, as appropriate. Urban
means that there are many obstacles in
1111 tie imm^ifate^'ari^j^obstacles include,
buildings'or trees'." Rural' means 'ny™
ji|""are no'"'buijdings''iri""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 disper-
sion analysis of regulated toxic sub-
stances appropriately account for gas
'"density!
(g) Temperature of released sub-
stance.,,, , For worst case, liquids other
than "gases TiqulSed by refrigeration
only shall be considered to be released
at the highest daily maximum tem-
perature, based on data for the pre-
vious three years appropriate for the
stationary source, or at process tem-
perature, whichever is higher. For al-
ternative scenarios, substances may be
considered to be released at a process
or ambient temperature that is appro-
i Jlinnupu < ... ., ^ .
priate for the scenario.
§68.25 Worst-case release scenario
analysis.
(a) The owner or operator shall ana-
lyze and report in the RMP:
(1) For Program 1 processes, one
worst-case release scenario for each
Program 1 process;
''I'm1*11 (2) "For Program 2 and 3 processes:
f (i| One worst-case release scenario
°s ""estimate's to ^create'the" greatest
distance in any direction to an e"n"d-
iolnt provided in appendix A of this
tart resulting from an accidental re-
.ease , of , regulated toxic substances
HiifSram covered processes 'under worst-
caseconditions defined in §68.22;
(ii) One worst-case release scenario
that is estimated to create the greatest
distance in any direction to an end-
point defined in §68.22(a) resulting from
an accidental release of regulated flam-
S'Sable substances from covered proc-
2|kse5r: unSer^worst-case conBfBons" ^de-
.^TSn^lin'JSI.pvSuri'd^" ', """ , '"'"'"" ,"' „
' ' (fI!) Additional worst:case ' release"
scenarios for a hazard class if a worst-
case release from another covered proc-
ess 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 quan-
tity shall be the greater "of the fol-
lowing:
(1) For substances in a vessel, the
greatest amount held in a single vessel,
taking into account administrative
controls that limit the maximum quan-
tity; or
(2) For substances in pipes, the great-
est amount in a pipe, taking into ac-
countadministrative controls that
limit the maximum quantity.
(c) Worst-case release scenario—toxic
gases. (1) For regulated toxic sub-
stances that are normally gases at am-
bient 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 deter-
mined under paragraph (b) of this sec-
tion, is released as a gas over 10 min-
utes. 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 trie released substance is not
contained by passive mitigation sys-
tems or if the contained pool would
have a depth of 1 cm or less, the owner
or operator shall assume that the sub-
stance is released as a gas in 10 min-
utes;
(ii) If the released substance is con-
tained by passivemitigation 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 volatiliza-
tion rate (release rate) shall be cal-
culated at the boiling point of the sub-
stance and at the conditions specified
in paragraph (d) of this section.
(d) Worst-case release scenario—toxic
liquids. (1) For regulated toxic sub-
stancesthat are normally liquids at
ambient temperature",1 the owner or op-
erator 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
40 CFR Ch. I (7-1-99 Edition)
(i) The surface area of the pool shall
be determined by assuming that the
liquid spreads to 1 centimeter deep un-
less passive mitigation systems are in
place that serve to contain the spill
and limit the surface area. Where pas-
sive 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 characteris-
tics.
(2) The volatilization rate shall ac-
count for the highest daily maximum
temperature occurring in the past
three years, the temperature of the
substance in the vessel, and the con-
centration of the substance if the liq-
uid 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 oper-
ator may use the methodology in the
RMP Offsite Consequence Analysis
Guidance or any other publicly avail-
able 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 condi-
tions may be used provided the owner
or operator allows the implementing
agency access to the model and de-
scribes model features and differences
from publicly available models to local
emergency planners upon request.
(e) Worst-case release scenario—flam-
mable gases. The owner or operator
shall assume that the quantity of the
substance, as determined under para-
graph (b) of this section and the provi-
sions below, vaporizes resulting in a
vapor cloud explosion. A yield factor of
10 percent of the available energy re-
leased 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 sub-
stances that are normally gases at am-
bient 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 deter-
mined under paragraph (b) of this sec-
tion, is released as a gas over 10 min-
utes. The total quantity shall be as-
sumed to be involved in the vapor
cloud explosion.
(2) For flammable gases handled as
refrigerated liquids at ambient pres-
sure:
(i) If the released substance is not
contained by passive mitigation sys-
tems 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 sub-
stance is released as a gas in 10 min-
utes, and the total quantity will be in-
volved in the vapor cloud explosion.
(ii) If the released substance is con-
tained by passive mitigation systems
in a pool with a depth greater than 1
centimeter, the pwner or operator may
assume that the quantity in the vessel
or pipe, as determined under paragraph
(b) of this section, is spilled instanta-
neously to form a liquid pool. The vola-
tilization rate (release rate) shall be
calculated at the boiling point of the
substance and at the conditions speci-
fied 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—flam-
mable liquids. The owner or operator
shall assume that the quantity of the
substance, as determined under para-
graph (b) of this section and the provi-
sions below, vaporizes resulting in a
vapor cloud explosion. A yield factor of
10 percent of the available energy re-
leased 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 sub-
stances that are normally liquids at
ambient temperature, the owner or op-
erator shall assume that the entire
quantity in the vessel or pipe, as deter-
mined under paragraph (b) of this sec-
tion, is spilled instantaneously to form
a liquid pool. For liquids at tempera-
tures 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 as-
sume that the quantity which becomes
vapor in the first 10 minutes is in-
volved in the vapor cloud explosion.
44
-------
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Environmental Protection Agency
(g) Parameters to be applied. The
owner or operator shall use the param-
eters defined in §68.22 to determine dis-
tance to the endpoints. The owner or
operator may use the methodology pro-
jVided iinii.i.^he.....RMP...Offsite Consequence
Analysis Guidance or any commer-
cially or publicly available air disper-
sion modeling techniques, provided the
jte^hjifques account for the modeling
conditions and are recognized by indus-
try as applicable as part of current
practices. Proprietary models that ac-
count for the modeling conditions may
be used provided the owner or operator
allows the implementing agency access
£0 the model and describes model fea-
tures and differences from publicly
available models to local emergency
planners upon request.
•iziriCh) Consideration of passive mitigation.
gassiye mitigation systems may be
.'if: ' H'gJnsIdered for the analysis of worst
gase provided that the mitigation sys-
i;!,ii'ii;,,;;v ;»;;|em_is capable of withstanding the re-
lease event triggering the scenario and
would still function as intended.
y "ft'.iiSjUl) Factors in selecting a worst-case sce-
'"' lijj'iiif'jjfiji^r/o. Notwithstanding the provisions
L"',vlrol_ paragraph (b) of this section, the
owner or operator shall select as the
ijjprst case for flammable regulated
J'ateSToxic'substancesr'a1'scenario "based
on the following factors if such a sce-
nario would result in a greater distance
to an endpoint defined in §68.22(a) be-
yond the stationary source boundary
than the scenario provided under para-
graph (fa) of this section:
(1) Smaller quantities handled at
higher process temperature or pres-
sure; and
(2) Proximity to the boundary of the
stationary source.
I ill "I I'll1 i'I i|i»
[61 FR 31718, June 20, 1996, as amended at 64
FR 28700, May 26, 1999]
§68.28 Alternative release scenario
analysis.
II ||i||iii i niniini n n in n ininiii i ! nr11: i:,",!1:,!,:;11!:!!!!::!:': n,;,!1:',;
(a) The number of scenarios. The
owner or operator shall identify and
analyze at least one alternative release
scenario for each regulated toxic sub-
stance held in a covered process (es) and
at least one alternative release sce-
nario to represent all flammable sub-
stances 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 off-
site, 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 fail-
ures 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 arid 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 appro-
priate 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 avail-
able air dispersion modeling tech-
niques, provided the techniques ac-
count for the specified modeling condi-
tions 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 tp lo,£al emergency planners
upon request.
(d) Consideration of mitigation. Ac-
tive 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
llllllllllllll Illllllllllll lllllllllllll|lllll|lll|ll|llllllllllllllllllllllW
Illllll I 111 111 111 11 SilW^ !:i!S
-------
§68.30
(2) Failure scenarios identified under
§68!50 or §68.67.
§68.30 Defining offsite impacts—popu-
lation.
(a) The owner or operator shall esti-
mate 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. Popu-
lation shall include residential popu-
lation. The presence of institutions
(schools, hospitals, prisons), parks and
recreational areas, and major commer-
cial, 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 informa-
tion, to estimate the population poten-
tially affected.
(d) Level of accuracy. Population shall
be estimated to two significant digits.
§68.33 Defining offsite impacts—envi-
ronment.
(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 deter-
mined 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 infor-
mation provided on local U.S. Geologi-
cal 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 re-
view and update the offsite con-
sequence 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 reason-
ably be expected to increase or de-
crease the distance to the endpoint by
a factor of two or more, the owner or
operator shall complete a revised anal-
ysis 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 de-
scription of the vessel or pipeline and
substance selected as worst case, as-
sumptions and parameters used, and
the rationale for selection; assump-
tions shall include use of any adminis-
trative controls and any passive miti-
gation that were assumed to limit the
quantity that could be released. Docu-
mentation shall include the antici-
pated effect of the controls and mitiga-
tion on the release quantity and rate.
(b) For alternative release scenarios,
a description of the scenarios identi-
fied, assumptions and parameters used,
and the rationale for the selection of
specific scenarios; assumptions shall
include use of any administrative con-
trols and any mitigation that were as-
sumed to limit the quantity that could
be released. Documentation shall in-
clude the effect of the controls and
mitigation on the release quantity and
rate.
(c) Documentation of estimated
quantity released, release rate, and du-
ration of release.
(d) Methodology used to determine
distance to endpoints.
(e) Data used to estimate population
and environmental receptors poten-
tially affected.
§ 68.42 Five-year accident history.
(a) The owner or operator shall in-
clude in the five-year accident history
all accidental releases from covered
processes that resulted in deaths, inju-
ries, or significant property damage on
site, or known offsite deaths, injuries,
evacuations, sheltering in place, prop-
erty damage, or environmental dam-
age.
(b) Data required. For each accidental
release included, the owner or operator
shall report the following information:
(1) Date, time, and approximate dura-
tion 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
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(4) Five- or six-digit NAICS code that
>*Upost; closely corresponds to the proc-
::,:: ,,gss;
(5) The type of release event and its
'I ',,'l|l||ll,,:i ^" l&lillil, 5,,dL,,,,, , „ , ,„, , i|, ,!„, „!!!, ,: ,r,: ,1,
source;
(6) Weather conditions, if knovyn;
:''as*;1 (7) On-site impacts;
i,3fk(% Known offsite impacts;
(9) Initiating event and contributing
fSfectors.if ..known;
(10) Whether offsite responders were
• —""notified if known; and
(I iSlllllllllllil1''>'"HIIBilHI'l11 Mllll'i'!* vlilllli:1 li'li! IIP!I'll" ",iln" "fail, HI Illl'll hi 'i1 ...... |;"tures, ""pressures^ ..... flows, and composi-
''-"Sons; ', ,"''," '„.'_... ...... '.'... ........... "„ ...... ..... . ....... , ........... . ..... . ...... ........
(4) Equipment specifications; and
(5) Codes and standards used to de-
:»|li|ign^ ..... build, "and operate the processl
(b) The owner or operator shall en-
sure that the process is designed in
compliance with recognized and gen-
erally accepted good engineering prac-
tices. Compliance with Federal or state
regulations that address industry-spe-
..... cific safe design or with industry-spe-
cific design codes and standards may be
used to demonstrate compliance with
this paragraph.
(c) The owner or operator shall up-
date the safety information if a major
§68.52
change occurs that makes the informa-
tion inaccurate.
§ 68.50 Hazard review.
(a) The owner or operator shall con-
duct a review of the hazards associated
with the regulated substances, process,
and procedures. The review shall iden-
tify the following:
(1) The hazards associated with the
process and regulated substances;
(2) Opportunities for equipment mal-
functions or human errors that could
cause an accidental release;
(3) The safeguards used or needed to
control the hazards or prevent equip-
ment malfunction or human error; and
(4) Any steps used or needed to detect
fir monitor,releases,
(b) The owner or operator may use
checklists developed by persons or or-
ij,it!rf'ii«'^*ij™j,i 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 haz-
ard review shall, by inspecting all
equipment, determine whether the
process is designed, fabricated, and op-
erated in accordance with the applica-
ble standards or rules.
(c) The owner or operator shall docu-
ment the results of the review and en-
sure that problems identified are re-
solved in a timely manner.
(d) The review shall be updated at
least,,Qnce,,.every five years. The owner
or operator shall also conduct reviews
whenever a major change in the proc-
ess 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 pre-
pare 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 in-
structions provided by equipment man-
ufacturers or developed by persons or
organizations knowledgeable about the
process and equipment may be used as
a basis for a stationary source's oper-
ating procedures.
(b) The procedures shall address the
following:
111 I
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§68.54
40 CFR Ch. I (7-1-99 Edition)
(1) Initial startup;
(2) Normal operations;
(3) Temporary operations;
(4) Emergency shutdown and oper-
ations;
(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 devi-
ations; and
(8) Equipment inspections.
(c) The owner or operator shall en-
sure that the operating procedures are
updated, if necessary, whenever a
major change occurs and prior to start-
up of the changed process.
§68.54 Training.
(a) The owner or operator shall en-
sure that each employee presently op-
erating 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 knowl-
edge, skills, and abilities to safely
carry out the duties and responsibil-
ities as provided in the operating pro-
cedures.
(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 proc-
ess, shall determine the appropriate
frequency of refresher training.
(c) The owner or operator may use
training conducted under Federal or
state regulations or under industry-
specific standards or codes or training
conducted by covered process equip-
ment vendors to demonstrate compli-
ance with this section to the extent
that the training meets the require-
ments of this section.
(d) The owner or operator shall en-
sure that operators are trained in any
updated or new procedures prior to
startup of a process after a major
change.
§68.56 Maintenance.
(a) The owner or operator shall pre-
pare and implement procedures to
maintain the on-going mechanical in-
tegrity of the process equipment. The
owner or operator may use procedures
or instructions provided by covered
process equipment vendors or proce-
dures in Federal or state regulations or
industry codes as the basis for sta-
tionary source maintenance proce-
dures.
(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 employ-
ee'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 per-
form or cause to be performed inspec-
tions and tests on process equipment.
Inspection and testing procedures shall
follow recognized and generally accept-
ed good engineering practices. The fre-
quency of inspections and tests of proc-
ess equipment shall be consistent with
applicable manufacturers' rec-
ommendations, industry standards or
codes, good engineering practices, and
prior operating experience.
§68.58 Compliance audits.
(a) The owner or operator shall cer-
tify that they have evaluated compli-
ance with the provisions of this sub-
part at least every three years to
verify that the procedures and prac-
tices developed under the rule are ade-
quate 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 de-
velop a report of the audit findings.
(d) The owner or operator shall
promptly determine and document an
48
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Environmental Protection Agency
appropriate response to each of the
* "'findings of the compliance audit and
'l! document that deficiencies have been
t'i^! i L:S:LH$li
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iE:i'(eJ1>rhe owner or operator shall retain
"" ""'Hie two (2) most'' recent compliance
audit reports. This requirement does
„, ^2g>t J*Pi>ly. *°, ^y compliance audit re-
port that is more than five years old.
r'l'WIIill,, lil, 'II11,'!!*!":1!:,
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§68.60 Incident investigation.
Ill I ij!l|IM , f l|!'!l IIIIIIIIITII'I1 L'li'' IIIIBI' „ p II ?, „ 'llJ'I'rSI lit ' I1 Ii! ' !»! ,f ,l!,!! !ll!,' I'M
, owner ,P.r,,,,°Pe,rator shall inves-
acli 'Incident which resulted in,
d^ reasonably have resulted in a
ataslrSphic release.
(b) An incident investigation shall be
;!;j""!jijtfated as promptly as possible, but
'^'"Hptjater than 48 hours following the
':: Incident.
A summary shall be prepared at
conclusion of the investigation
includes at a minimum:
l Bate of incident;
ate investigation began;
A description of the incident;
"factors that cpntributed to
and,
recommendations"" resulting
ii from the investigation.
(d) The owner or operator shall
promptly address and resolve the inves-
tigation findings and recommenda-
tions. Resolutions and corrective ac-
tipnsi-iishialliibeiidocujmented.
J^JJJ (p| "The findings sh'all "b"e
'•"-:'witH all artected personnel whose job
tasks are affected by the findings.
(f) Investigation summaries shall be
retained for five years.
§68.65
stances. This process safety informa-
tion shall include information per-
taining to the hazards of the regulated
substances used or produced by the
process, information pertaining to the
technology of the process, and informa-
tion pertaining to the equipment in the
process.
(b) Information pertaining to the
hazards of the regulated substances in
t:he process. This information shall
consist of at least the following:
(1) Toxicity information;
(2) Permissible exposure limits;
(3) Physicai' data;
(4) Reactivity data:
(5) Corrosivlty 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 subpara-
I',"!11!!, 1,'f
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-Program 3 Prevention
Program
.•J^i'fMSqaScs; 61 FR 31722, June 20, 1996. unless
'•«•' :!
-------
§68.67
40 CFR Ch. I (7-1-99 Edition)
(vi) Design codes and standards em-
ployed;
(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 docu-
ment 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, main-
tained, inspected, tested, and operating
in a safe manner.
§ 68.67 Process hazard analysis.
(a) The owner or operator shall per-
form an initial process hazard analysis
(hazard evaluation) on processes cov-
ered by this part. The process hazard
analysis shall be appropriate to the
complexity of the process and shall
identify, evaluate, and control the haz-
ards involved in the process. The owner
or operator shall determine and docu-
ment the priority order for conducting
process hazard analyses based on a ra-
tionale which includes such consider-
ations as extent of the process hazards,
number of potentially affected employ-
ees, age of the process, and operating
history of the process. The process haz-
ard analysis shall be conducted as soon
as possible, but not later than June 21,
1999. Process hazards analyses com-
pleted 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 meth-
odologies that are appropriate to deter-
mine 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
(7) An appropriate equivalent meth-
odology.
(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 appro-
priate application of detection meth-
odologies to provide early warning of
releases. (Acceptable detection meth-
ods might include process monitoring
and control instrumentation with
alarms, and detection hardware such as
hydrocarbon sensors.);
(4) Consequences of failure of engi-
neering 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 meth-
odology being used.
(e) The owner or operator shall estab-
lish 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; docu-
ment what actions are to be taken;
complete actions as soon as possible;
develop a written schedule of when
these actions are to be completed; com-
municate 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 revali-
dated by a team meeting the require-
ments in paragraph (d) of this section,
to assure that the process hazard anal-
ysis is consistent with the current
50
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iil'S1'! •
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ii* Environmental Protection Agency
cess. Updated and revalidated proc-
hazard analyses completed to com-
bly with 29 CFR 1910.119(e) are accept-
able to meet the requirements of this
"Sragrapli.
l"(gj" THe owner or operator sHall re-
~. "1 "!!'.!' ""fain process hazards analyses and up-
dates or revalidatibris" for each process
•• .'.• -. .: covered by this section, as well as the
,;:;;;;;::;f™1:,„,;,'"i:1"I'!,1",! 'I1!;: documented resolution of recommenda-
i, iistipns described in paragraph (e) of this
section for the life of the process.
iniii nil iPPiiiiiiiiiiiiiiiillini
68.69 Operating procedures.
11"i Tin i i in in iiiiiii in i i in in i ii
The owner or operator shall de-
.pp and" "imple'inerit" written operating
ledures that provide clear instruc-
safely conducting activities
_•_• [IBvoIyed~ln^each ^covered_ process con-
witH th'e "process"safety infor-
mation and shall address at least the
following elements.
(1) Steps for each operating phase:
(j) Initial startup;
l|l|ll!™^^^ (II) Normal operations;
-—- (iii) Temporary operations;
[="1 (iv) Emergency snutdowri including
—'the conditions under which emergency
shutdown is required, and the assign-
11 ment of shutdown responsibility to
iiiil'quallfieB" operators to ensure that
dniergency 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:
Consequences of deviation; and
Steps required to correct or avoid
'"'""deviation.
Safety and health considerations:
^rpperties of, and hazards pre-
inted by, the chemicals used in the
[ 111 Illlilllll ^ , ,i, ,n , i , ,
ili
§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 as-
sure that they reflect current oper-
ating practice, including changes that
result from changes in process chemi-
cals, technology, and equipment, and
changes to stationary sources. The
owner or operator shall certify annu-
ally that these operating procedures
are cttrTeiit and accurate.
(d) The owner or operator shall de-
velop and implement safe work prac-
tices to provide for the control of haz-
ards during operations such as lockout/
tagout; confined space entry; opening
process equipment or piping; and con-
trol over entrance into a stationary
source by maintenance, contractor,
laboratory, or other support personnel.
These safe work practices shall apply
to employees and contractor employ-
• :,,
IBIS"!', SI,'
(ii) Precautions necessary to preverit
Exposure, including engineering con-
IflSxals, administrative controls, and per-
lf "Mpnal protective equipment;
JiflJi'ijii;: f jtiijiiis- t^BL.'dUX CPItml measures, to „ be, taken if,,,
physical contact or airborne exposure
,,,, ,,,, , , , ,,„ ,,,,,,,_^,__j
:;; ,;:• • «•; „;/. :::~, (i\^ .Quality control for raw materials
!":: "'"' :l :"! "' '"gnd control of hazardous chemical in-
ventory levels; and,
(v) Any special or unique hazards.
(4) Safety systems and their func-
tions.
§68.71 Training.
(a) Initial training. (1) Each employee
presently involved in operating a proc-
ess, and each employee before being in-
volved in operating a newly assigned
process, shall be trained in an overview
of the process and in the operating pro-
cedures as specified in §68.69. The
training shall include emphasis on the
specific safety and health hazards,
emergency operations including shut-
down, and safe work practices applica-
ble to the employee's job tasks.
(2) In lieu of initial training for those
employees already involved in oper-
ating a process on June 21, 1999 an
owner or Operator may certify in writ-
ing that the employee has the required
knowledge, skills, and abilities to safe-
ly carry out the duties and responsibil-
ities as specified in the operating pro-
cedures.
(b) Refresher•training. Refresher train-
ing sifiall be provided at least every
three years, and more often if nec-
essary, 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 con-
sultation with the employees involved
Illlill Hill I
111 II Illl 111111 "111 I'll
51
i 111 in in n i
-------
§68.73
40 CFR Ch. I (7-1-99 Edition)
in operating the process, shall deter-
mine the appropriate frequency of re-
fresher training.
(c) Training documentation. The owner
or operator shall ascertain that each
employee involved in operating a proc-
ess 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 em-
ployee 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 de-
vices;
(4) Emergency shutdown systems;
(5) Controls (including monitoring
devices and sensors, alarms, and inter-
locks) and,
(6) Pumps.
(b) Written procedures. The owner or
operator shall establish and implement
written procedures to maintain the on-
going integrity of process equipment.
(c) Training for process maintenance
activities. The owner or operator shall
train each employee involved in main-
taining the on-going integrity of proc-
ess equipment in an overview of that
process and its hazards and in the pro-
cedures 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) Inspec-
tions 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 con-
sistent with applicable manufacturers'
recommendations and good engineering
practices, and more frequently if deter-
mined to be necessary by prior oper-
ating experience.
(4) The owner or operator shall docu-
ment each inspection and test that has
been performed on process equipment.
The documentation shall identify the
date of the inspection or test, the name
of the person who performed the in-
spection or test, the serial number or
other identifier of the equipment on
which the inspection or test was per-
formed, 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 in-
formation 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 con-
struction of new plants and equipment,
the owner or operator shall assure that
equipment as it is fabricated is suit-
able for the process application for
which they will be used.
(2) Appropriate checks and inspec-
tions 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 as-
sure 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 estab-
lish and implement written procedures
to manage changes (except for "re-
placements in kind") to process chemi-
cals, technology, equipment, and proce-
dures; and, changes to stationary
sources that affect a covered process.
(b) The procedures shall assure that
the following considerations are ad-
dressed prior to any change:
(1) The technical basis for the pro-
posed change;
(2) Impact of change on safety and
health;
(3) Modifications to operating proce-
dures;
(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 af-
fected by a change in the process shall
52
-------
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' ' ~ ' ' ' •
. ;,: j3'>': ifiv jiilli'li u !iiilii"]iii>Ir ,:n 1,3'ai I I I II
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 inves-
tigate each incident which resulted in,
or could reasonably have resulted in a
catastrophic release of a regulated sub-
stance.
(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 experi-
ence 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) J5atg 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 estab-
lish a system to promptly address and
resolve the incident report findings and
recommendations. Resolutions and cor-
rective actions shall be documented.
(f) The report shall be reviewed with
all affected personnel whose job tasks
are relevant to the incident findings in-
cluding contract employees where ap-
plicable.
(g) Incident investigation reports
shall be retained for five years.
§ 68.83 Employee participation.
(a) The owner or operator shall de-
velop a written plan of action regard-
ing the implementation of the em-
ployee participation required by this
section.
I I I Illllii
II 111 Hi
-------
§68.85
40 CFR Ch. I (7-1-99 Edition)
(b) The owner or operator shall con-
sult with employees and their rep-
resentatives on the conduct and devel-
opment of process hazards analyses and
on the development of the other ele-
ments of process safety management in
this rule.
(c) The owner or operator shall pro-
vide to employees and their representa-
tives 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 oper-
ations conducted on or near a covered
process.
(b) The permit shall document that
the fire prevention and protection re-
quirements in 29 CFR 1910.252(a) have
been implemented prior to beginning
the hot work operations; it shall indi-
cate the date(s) authorized for hot
work; and identify the object on which
hot work is to be performed. The per-
mit shall be kept on file until comple-
tion of the hot work operations.
168.87 Contractors.
(a) Application. This section applies
to contractors performing maintenance
or repair, turnaround, major renova-
tion, 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 select-
ing a contractor, shall obtain and
evaluate information regarding the
contract owner or operator's safety
performance and programs.
(2) The owner or operator shall in-
form 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 ex-
plain to the contract owner or operator
the applicable provisions of subpart E
of this part.
(4) The owner or operator shall de-
velop and implement safe work prac-
tices consistent with §68.69(d), to con-
trol the entrance, presence, and exit of
the contract owner or operator and
contract employees in covered process
areas.
(5) The owner or operator shall peri-
odically evaluate the performance of
the contract owner or operator in ful-
filling their obligations as specified in
paragraph (c) of this section.
(c) Contract owner or operator respon-
sibilities. (I) The,contract owner or op-
erator shall assure that each contract
employee is trained in the work prac-
tices necessary to safely perform his/
her job.
(2) The contract owner or operator
shall assure that each contract em-
ployee is instructed in the known po-
tential 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 em-
ployee has received and understood the
training required by this section. The
contract owner or operator shall pre-
pare a record which contains the iden-
tity 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 em-
ployee 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 oper-
ator of a stationary source with Pro-
gram 2 and Program 3 processes shall
comply with the requirements of §68.95.
(b) The owner or operator of sta-
tionary source whose employees will
not respond to accidental releases of
regulated substances need not comply
54
-------
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Environmental Protection Agency
with §68.95 of this part provided that
they meet the following:
..... ;-^^!J For stationary sources with any
"regulated toxic substance held in a
™ ""'process ......... above" the threshold quantity,
•"- "the stationary source is included in the
''y ..... g^gpggj^y " reSpO'nse' ..... plan
under 42'U.S.C. 11003;
(2) For stationary sources with only
rSgulated flammable substances held in
i,,ii,jgggggii,^^e ^^ yjjgshbld quantity,
e "owner or ....... operator ""has coordinated
..... 'I'liiiiiiiiiiii ............. - c .............. .,,,,, ....... ^i , ,
HI ...... rgjponse actions with the local fire de-
partment; and
(3) Appropriate mechanisms are in
place to notify emergency responders
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§68.95 Emergency response program.
....... .......................... (a) ..... The"" owner or operator shall de-
jIjj'^SlPP ....... and""iniplefri"e"rit ....... an emergency re-
sponse prograrn for the purpose of pro-
tecting public health and the environ-
program shall include the
eements:
emergency response plan,
which shall be maintained at the sta-
tionary source and contain at least the
following elements:
;'f;^2(il[ ..... Procedures ....... for ...... informing the pub-
lic and local emergency response agen-
^bout accidental releases;
..... 22£Hm^!:a!:!2n ,,2f Pr?Pe f! ,^I'??"fllci
erge'h'cy ..... ^gg-^^j treafmeri't""rie'c-
to treat accidental human expo-
and , ................ "
Procedures and measures for
emergency response after an accidental
!!':! ..... re|ease of a regulated substance;
viETi!^ .......... Iprocedures for the use of emer-
i!:«i ..... ^ency1" response equipment and for its
..... ffispectib'ri", ..... testing, ..... arid maintenance;
for all employees in rel-
ianprbcedures; and
rpcedures to review and ^update,
^ rSpHate"," the"""e"merge"h'cy respbrise
plan to reflect changes at the sta-
tionary source and ensure that employ-
IBs are informed of changes.
(b) A written plan that complies with
Bother ...... Federal, contingency plan regula-
"-"'Soris ........... or" 'is .......... cbhslsteht1 vvith the'ap-"
§68.115
also complies with paragraph (c) of this
section.
(c) The emergency response plan de-
veloped under paragraph (a)(l) 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 plan-
ning committee or emergency response
officials, the owner or operator shall
promptly provide to the local emer-
gency response officials information
necessary for developing and imple-
menting the community emergency re-
sponse plan.
Subpart F—Regulated Substances
for Accidental Release Prevention
,; . .. i
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 amend-
ed, identifies their threshold quan-
tities, and establishes the requirements
for petitioning to add or delete sub-
stances from the list.
§68.115 Threshold determination.
I 1:1 in IUJH , ill":1' it HI
i H'l-rt"" ii':1:'
••••fprbach in t'Ee National Sesponse
rfeam's Integrated Contingency Plan
Guidance ("One Plan") and that,
ier matters, includes the ele-
in paragraph (a) of this
il'jIi'IecSon," shall satisfy the requirements
'it'lfof, t;|ils, section if the owner or operator
lii'KSt1ti'll!'at'!:H'fiJ,'si ; WJW -"1,
(a) A threshold quantity of a regu-
latedsubstance listed in §68.130 is
present at a stationary source if the
total quantity of the regulated sub-
stance contained in a process exceeds
the threshold.
(b) For the purposes of determining
whether more than a threshold quan-
tity 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 concentra-
tion of the regulated substance in the
mixture is one percent or greater by
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^\f'':;'^ ^l~1i;,-!,!'i"'1. i:,"',!!'"!,',,l '„„"'' ••' '•". ;::':' L ••"'•] *:>: ••^:: ': ;'1''i:r;:^!,; •'," If1'1.'
ililliilJIi,, 'I' l* lij, "i |i,.i a '! i:** | iii Will !! , i 'I" .n! '" ' • '' K' """.' " H, t ,!' '•!! V • L' 1|1" : ,',',!,„ ,!: i11''!:?.1'1!" " '" l'"1, « t ill i '"lii'l" 'Illr, '<• i',,"**,*",!,' '!!!":, ''ill", !• . '•,' 1, t ' :•'
in, •• '», , ,,• , • i i, i H,
",!"• ' I!,™; ' ;,; ""'''i1 ; • ',;" !,'," , '' '!! ,", '! „'" '"!!:!!' ' 'l!;!!!:!,!1:!:!1'1!1 :,!'!' '''!'!
!•!:. ".:'"! '•T-.1'' ':: ••'•'.•• '':':••': --',!:=' :"''.!..'•:
1 1. "i :,"Min.'i ,,i • i,;,: "" . :: ' i; ,,"i;',.;, viiui!1, ;i i;* , vP'1'!" L.H ••:"
i " , , ' , , , , .'.I!,,, , ,
-------
§68.115
40 CFR Ch. I (7-1-99 Edition)
weight, but the owner or operator can
demonstrate that the partial pressure
of the regulated substance in the mix-
ture (solution) under handling or stor-
age 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 por-
tion of the process need not be consid-
ered when determining whether more
than a threshold quantity is present at
the stationary source. The owner or op-
erator shall document this partial pres-
sure measurement or estimate.
(2) Concentrations of a regulated flam-
mable substance in a mixture, (i) General
provision. If a regulated substance is
present in a mixture and the con-
centration 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 para-
graph (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 deter-
mining whether a threshold quantity is
present at the stationary source, the
entire weight of the mixture shall be
treated as the regulated substance un-
less the owner or operator can dem-
onstrate that the mixture itself does
not have a National Fire Protection
Association flammability hazard rat-
ing of 4. The demonstration shall be in
accordance with the definition of flam-
mability hazard rating 4 in the NFPA
704, Standard System for the Identi-
fication 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 deter-
mined in accordance with NFPA 30,
Flammable and Combustible Liquids
Code, National Fire Protection Asso-
ciation, Quincy, MA, 1996. Available
from the National Fire Protection As-
sociation, 1 Batterymarch Park, Quin-
cy, MA 02269-9101. This incorporation
by reference was approved by the Di-
rector of the Federal Register in ac-
cordance 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 Fed-
eral 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 re-
lated storage for use as fuel for inter-
nal 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 re-
fining process unit, regulated sub-
stances in naturally occurring hydro-
carbon mixtures.need not be considered
when determining whether more than a
threshold quantity is present at a sta-
tionary source. Naturally occurring
hydrocarbon mixtures include any
combination of the following: conden-
sate, crude oil, field gas, and produced
water, each as defined in §68.3 of this
part.
(3) Articles. Regulated substances con-
tained in articles need not be consid-
ered 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 jani-
torial maintenance;
(iii) Use by employees of foods, drugs,
cosmetics, or other personal items con-
taining the regulated substance; and
56
-------
mill
' SJ'!!
'"''I! MI, !, i
Environmental Protection Agency
„. rvi i' i-ii'i iniip
'!'-..!^''!,!, ..... m
i< '„„ ninni' 'I/1 ji"i'
:'" Fi.KiC'S,
<; , in; 1 ,,,;,; ..... nil
68.120 Petition process.
, nil 11 ii 11 in 111 11 11 fi i in 111 . KM, i" .' i"!
.fteg^ Any person may petition the Ad-
!!§", S'-'ifiinlstrator to modify, by addition or
' the list of regulated sub-
rj^s identified in §68.130. Based on
^orniation presented by the peti-
jg( 'r the Administrator may grant or
j|:*' Hjieny a petition.
(b) A substance may be added to the
in the case of an accidental re-
11:1'; n Ill, I'.I'll;:,
I nil ft ."in mi,,i I'll, :jii 'I11,:,,!|
I1'";: lease, it is known to cause or may be
Peasonably1 "anticipated11 to cause death,
Ixijury, 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
irid environmental effects of the sub-
:'i!,i:t;;atangel,are,^ayailable ,to determine that
the substance, in the case of an acci-
dental release, is not known to cause
arid IXiay not be reasonably anticipated
'" f'o" 'cause death, injury, or serious ad-
, iiiXqrgg effects to human health or the
environment.
[o substance for which a national
ambient air quality standard
has been established shall be added to
. No substance regulated under
of the Clean Air Act, as amend-
p,:,. shall be added^p the list.
" _' (e'5 The burden of" proof is on the peti-
':; tioner to demonstrate that the criteria
§68.120
.
for addition and deletion are met. A pe-
tition will be denied if this demonstra-
tion is not made.
(f) The Administrator will not accept
additional petitions on the same sub-
stance following publication of a final
notice of the decision to grant or deny
a petition, unless new data becomes
available that could significantly af-
fect the basis for the decision.
(g) Petitions to modify the list of
regulated substances must contain the
following:
(1) Name and address of the peti-
tioner and a brief description of the or-
ganization(s) that the petitioner rep-
resents, if applicable;
(2) Name, address, and telephone
number of a contact person for the pe-
tition;
(3) Common chemical name(s), com-
mon synonym(s), Chemical Abstracts
Service number, and chemical formula
and structure; ]
(4) Action requested (add or delete a
substance); [[[
i (5) Rationale supporting the peti-
tioner's position; that is, how the sub-
stance 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 peti-
tion must include sufficient informa-
tion to scientifically support the re-
"" quest ...... to ...... modify the list. Such informa-
tion shall include:
(i) A list of all supportrdocuments;
(ii) Documentation of literature
searches conducted, including, but not
limited to, identification of the data-
base^) 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 seri-
ous 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 acci-
dent history data, indicating the po-
tential for serious adverse human
Health or environmental effects from
an accidental release. These data may
57
I
-------
§68.125
include, but are not limited to, phys-
ical and chemical properties of the sub-
stance, such as vapor pressure; mod-
eling results, including data and as-
sumptions used and model documenta-
tion; and historical accident data, cit-
ing data sources.
(h) Within 18 months of receipt of a
petition, the Administrator shall pub-
lish 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 provi-
sions 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 quan-
tities 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.—LIST OF REGULATED
Toxic SUBSTANCES AND THRESHOLD QUAN-
TITIES FOR ACCIDENTAL RELEASE PREVENTION
[Alphabetical Order—77 Substances]
40 CFR Ch. I (7-1-99 Edition)
TABLE 1 TO §68.130.—LIST OF REGULATED
Toxic SUBSTANCES AND THRESHOLD QUAN-
TITIES FOR ACCIDENTAL RELEASE PREVEN-
TION—Continued'
{Alphabetical Order—77 Substances]
Chemical name
Acrolein [2-
Propenal].
Acrylonitrile [2-
Propenenitrile].
Acrylyl chloride
[2-Propenoyl
chloride].
Ally! alcohol [2-
Propen-l-ol].
Allylamine [2-
Propen-l-
amine].
Ammonia (anhy-
drous).
Ammonia (cone
20% or greater).
Arsenous tri-
chloride.
Arsine
Boron trichloride
[Borane,
trichloro-].
Boron trifluoride
[Borane,
trifluoro-].
CAS No.
107-02-8
107-13-1
814-68-6
107-18-61
107-11-9
7664-41-7
7664-41-7
7784-34-1
7784—42 1
10294-34-5
7637-07-2
Threshold
quantity
(Ibs)
5,000
20,000
5,000
..15,000
10,000
10,000
20,000
15,000
1,000
5,000
5,000
Basis for
listing
b
b
b
b
b
a, b
a, b
b
b
b
b
Chemical name
Boron trifluoride
compound with
methyl ether
(1:1) [Boron,
trifluoro [oxybis
[metane]]-, T-4-
Bromine
Carbon disulfide
Chlorine
Chlorine dioxide
[Chlorine oxide
(CI02)].
Chloroform
[Methane,
trichloro-].
Chloromethyl
ether [Methane,
oxybis[chloro-].
Chloromethyl
methyl ether
[Methane,
chloromethoxy-
Crotonaldehyde
[2-Butenal].
Crotonaldehyde,
(E)- [2-Butenal,
(E)-].
Cyanogen chlo-
ride.
Cyclohexylamine
[Cyclohexana-
mine].
Diborane
Dimethyldichloro-
silane [Silane,
dichlorodimeth-
yi-].
1,1-
Dimethylhydra-
zine [Hydra-
zine, 1,1 -di-
methyl-].
Epichlorohydrin
[Oxirane,
(Chloromethyl)-].
Ethylenediamine
[1,2-
Ethanediamine].
Ethyleneimine
[Aziridine].
Ethylene oxide
[Oxirane].
Fluorine
Formaldehyde
(solution).
Furan
Hydrazine
Hydrochloric acid
(cone 37% or
greater).
Hydrocyanic acid
CAS No.
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
1 9287—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
Threshold
quantity
(Ibs)
15,000
10 000
20,000
2,500
1,000
20,000
1,000
5,000
20,000
20,000
10,000
15,000
2 500
5,000
15,000
20,000
20,000
10,000
10,000
1 000
isiooo
5 000
15,000
15,000
2,500
Basis for
listing
b
a b
b
a b
c
b
b
b
b
b
c
b
,
b
b
D
b
3
a, b
)
b
d
a, b
58
-------
ii'S?
KM
!:>.,ii|.
'll'ir1'"!!
!• ii1'"
:'.'|..'"!l'l!|r CUTII ,1;
<* '
t. ;
'v'fiiiiv , '..ftM- ! iii ,. il, i1.' i,-!.::, ';,,',f ,, flijlpi; .i:,'1 ,t ;|,
ii ,' ''I! ,11 .•,..' i •.>! : :: " •'!,. "n ' ' SrTi, fiii,:,i, " 7 'I .il|i,,,,i:
: .„ : ' '. "i , , i, [f ' > ,,,li!l,,i ;i; t": i "K'
, , , „ , '„ 1 iv . ,,;.•• :j |,,, Hi,], i?;,, -I .I:',1
i:,.:,"'",>i -i i 1'M'i 'i1' ••, ill',. 'PlUifc1.' Jf'B'!>'>l illy
.-'«."' - :- "'•"•••"
!!,i,: '". ,, ,» ;;";: ,;,:
lii'i,!! :„'„ '; , in1 i '
,f. ti i- , Hi,, in,,
";';:. i '.'••. ::.=.'. .'i" ~; J^\~[
•. ;; M"! ",„' r . IPS III : ll'iil, I1,,1
."-i" . ii1.; ; I",;.' i'i .ill,': I, -nil
,,,..f n!>ii. tain,,, iif1'!'! «.„,',
• '" '•' ' ' ' :' '" '" ' ' ' " "" ' '"
, i
Invifonrnental Protection Agency
l|il"'|l"s " :''=::: '" '*i'"'il '";':i '"ABLE 1 TO*'^SJ31.1^.^4jST'"oF REGULATED ' TABLE !ll'T""'fo"" j
"™: ;;::';;; ,""' ' ' ;;,,:';" „;;; ,":" Toxic SUBSTANCES AND THRESHOLD QUAN- Toxic SUBST
::;::•!!,„!; ':, '.•?. :,".: •: ="„',":', !", TITIES FOR ACCIDENTAL RELEASE PR§VEN- fifiES f^
',SS.' !'.';"'.! .5. ,: ' Sii'.K'11' ;-' TION— Continued TION— Contin
1 .— V| ; ; ;, ,r ; ;:;; .«;. K — j | . ,; f • ;; .. , ; • ,. ,, , , .;;;;; ;„;;;; , : (Alphabetical Order— 77 SubStanCBS] ^ [Alphab
'' 'cho'rhlcal name"
till!! |..'i,i.|..j;:f,!li' ,, illllllllllliiiiili ,r ,, sSi,:, ";:ii ,', 11 ^, •'•
Hydrogen chlo-
!!!"!!!!: !, " ::. : ,ii; , : : SI ;i " " „ • ,!!!!!!!!;;!!!!!;;: ,!'; :,!; , :,': 'i,,,'1: "!!!;i ' fWa (I'nhy-
f K i-lsi "ii, i:j .!.i:!!njS , ; |, '." ii i i'ii vi „ '!" '* ii" "' ! , , iuwSSflSyiffl
fiir i," P. |...|.i itiii:; " inniii.iTi.ni; i.i:i .if1 VIM:,: .iiijpijiii^^
iii,!" i, • I.T :•; :i "i,?:,::;: • : ':: •; ::::: : •" ' i :: , •.; : .: i: '"'„: .Hydrogen ftuo-
j of greater)
1 [Hydrofluoric
•old]-
Hydrogen sele-
,;;„",, ; ;;;"";;; ;;;:: ;"n; ;;" ' ;ii;""lll," in,l" liiiTi/i'.',™, 'lii «!!!!!!!!!!!," nM«
Hydrosen suWtds
Iron,
.lijlifciiffl,;1:,''! ..'iijiilii. '.;R) ,'' '• '.."iV"'1 i*'1:!*' Hronc^b^ryli"
1 11 11 "i iii!1'11!1!,,, ,1" il'1 , " 1 i, ..'li1' '."i ,,i i 't1':/1:1' (FelCO)5)
l, , , "„, ,,i", , ,ii ' ,i,,;i ,«i, (TB-S^H)-].
Isobutyronilr.lo
1 ••'ll • iif '" ! "" ' - ' ' : ' • '" [PropanonftrKa,1"
1 , , .,,,„,,;,, ,,, ,,,, „ ,„„ cnlofoformate
1 ii™1:! .-I1™. ,!" :!" i!!1"15 "i1' •!• •.' *'."' '>™ jCwbooocWort-
1 "i. .' " ' •.••" ', i dte acid, 1-
1 molhylolhyl
I ;• estwj.
1 illllll. I J!|..;"ll IJIiSI,, ; •:•••!.: .J.":W\ .ll.jlM^JS'y10"1"11®
[i iSi:1 f1 ."B. ! !' 1 i," !,,ij, , ii, iEi5 !:i • -, ,-! *:WiP.'. ' 9H JL-iHii^yl^
I Molhyl chloride
1 [Methane,
I',,:,:-:""1 .i,,1,,11 , i::::";, L*-; ' .,; ;l!', " J'^SF cBRSS-l.
1 ""ii: "l "i:i,,i „!" .iriiii: i": ri; "liiisi:, ;„;,.,,::;-::;: 'iT-'" ,•!!•=¥ m'SffiytosterSJ
1 1, [Hydrazlne,
1 mothyS-].
1 i'Miip: i iii:1*!- " III; '.,!„= "liyiiiii11:,,'1: iii- Methyl teocyanata
Iii iiiii,':. i*'— i;i ' *m i '. .iiiii"::' '"!!: "rap" $"•'• ifSm \gaiymnltO-].
t En. ii i'i'1,1 i,^" ^ i i i iiiii i .a :; ,, B ., ij i !«. ;i *i"tK^y»hao "
1 ii,i,i, iiifii;iii'5 i£; ' ', BV'r',1 ~i iff;1!11,; iSifjiftlocyanio' "
1 ii i,,,iii,i.iiii iii ,„; ' i iiiiii ii. ,,„, ,,, ,ii,|i "iii, ii, iiiiiii Mothytirlchtorosli-
1 ari'IISIIano,
1 ,,,.,. :> ,,, ,„, , „ „ Irichiaromolhyl-
1 ,„ ,, i iiiiiiiiiiii.! i, •• ,,,|i;|i;i,,iiii|||. .ill.1;"""!" Nicko' carbonyl ..
1 i" -'• "- "i— iii- ii , 'ii —i "i'-ii ,i -"' i" -i,"- fjj|ri5-"'5c(d"(conc""
I _ ' _ ™r ;'""; _ ; ;_ ~ ~ i ' ; ;;; ; • ; • ••"• ' i eojtor graatei;
I gen oxide
• n i n mi linn linn in i i i inn n rMott
'!,','!,' llliiliii i i
CAS No.
7647-01-0
7664-39-3
7783-06-4
13463-40-6
78-82-0
108-23-6
126-98-7
74^87-3'
79-22-1
60-34-4
624-83-9
W-93-1
556-64-9
75-79-6
13463-39-3
7697-37-2
10102-43-9
Threshold
quantity
5,000
1,000
500
10,000
2,500
20,000
15,000
10,000
10,000
5,000
15,000
10,000
10,000
20,000
5,000
1,000
15,000
10,000
H r Chemical name
a Oleum (Fuming
Sulfuric acid)
[Sulfuric acid,
mixture with
a, b sulfur trioxide]1.
'";:";',;'; Peracetic acid
[Etharieperoxoi-
c acid].
Perchloromethyl-
mercaptan
[Methanesulfe-
b nyl chloride,
trlchloro-].
a, b Phosgene [Car-
b bonio dlchlo-
ride].
Phosphorus
oxychloride
3 [Phosphoryl
'chloride].
Phosphorus trl-
b chloride [Phos-
phorous tri-
chloride].
Piperidine .....
r i , ,| ili|il||h .propionit'nle
" ' [Propanehitnfe],
^ ... Propyl
chloroformate
[Carbonochlori-
dic acid,
a propylester].
Propyleneimine
,: , tAziridine, 2-
b methyl-].
Propylene oxide
[Oxirane, meth-
yl-].
Sulfur dioxide
D (anhydrous).
Sulfur tetra-
fluoride [Sulfur
a> b fluoride (SF4),
CT-4)-).
Sulfur trioxide
., Tetramethyllead
, „ [Plumbane,
D tetramethyl-].
Tetranitro-
methane [Meth-
ane, tetranitro-]
Titanium tetra-
D chloride rjlta-
, , , nium chibride
,1 (TICI4) (T-4)-].
. Toluene 2,4-
diisocyanate
• ,„ [Benzene, 2,4-
diisocyanato-1-
b, , , . ., . methyl-]i.
§68.130
I'Sil'S'oT— CsT OF "' ' 'REGULAtED
ANCES AND THRESHOLD QUAN-
^CCIDENTAL RELEASE PREVEN-
ued
etical Order— 77 Substances]
CAS No.
8014-95-7
79-21-0
694-42-3
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
7550-45-0
584-84-9
rh,reshold
quamity
(Ibs)
id,j)bo
10,000
I
10,000
soo
5,000
5,000
-; t ;;
15^000
15,000
10^000
15,000
I
10,000
i " 10J.OOO
S.ooo
,: i; :
2,500
10,000
1 4,000
II
10,000
2,500
ii
10,000
Basis for
listing
e
)
i " , J r
)
a, b
b
b
i :;,,'.. ,; t1'.
b
b
b " '
i if
b
b .. . '
. . ' i...: INI .ii
, ' 1 II i;,,,,
b " '' ' ' '"'
a, b
'; i1!' '" '; "" ' " 1 1" ;:;
b
a, b ,' , '. ' ', ,
b „ i, "', '„,' "
b,
a
59
-------
§68.130
40 CFR Ch. I (7-1-99 Edition)
TABLE 1 TO §68.130.—LIST OF REGULATED
Toxic SUBSTANCES AND THRESHOLD QUAN-
TITIES FOR ACCIDENTAL RELEASE PREVEN-
TION—Continued
[Alphabetical Order—77 Substances]
TABLE 1 TO §68.130.—LIST OF REGULATED
Toxic SUBSTANCES AND THRESHOLD QUAN-
TITIES FOR ACCIDENTAL RELEASE PREVEN-
TION—Continued
[Alphabetical Order—77 Substances]
Chemical name
Toluene 2,6-
diisocyanate
[Benzene, 1,3-
diisocyanato-2-
methyl-]1.
Toluene
dlisocyanate
(unspecified
isomer) [Ben-
zene, 1 ,3-
diisocyanatom-
ethyl-]'.
Trimethylchlorosi-
lane [Silane,
chlorotrimethyl-
CAS No.
91-08-7
26471-62-5
75-77-^t
Threshold
quantity
(Ibs)
10,000
10,000
10,000
Basis for
listing
a
a
b
Chemical name
Vinyl acetate
monomer [Ace-
tic add ethenyl
ester].
CAS No.
108-05-4
Threshold
quantity
(Ibs)
15,000
Basis for
listing
b
TABLE 2 TO §68.130.-
1The 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 hydro-
gen chloride, and history of accidents.
e Toxicity of sulfur trioxide and sulfuric acid, potential to
release sulfur trioxide, and history of accidents.
LIST OF REGULATED Toxic SUBSTANCES AND THRESHOLD QUANTITIES FOR
ACCIDENTAL RELEASE PREVENTION
[CAS Number Order—77 Substances]
CAS No.
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^t4-5
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
Chemical name
Formaldehyde (solution)
1,1-Dimethylhydrazine [Hydrazine, 1,1-dimethyI-]
Chloroform [Methane, trichloro-]
Methyl chloride [Methane, chloro-]
Hydrocyanic acid
Methyl mercaptan [Methanethiol] t
Carbon disulfide
Phosgene [Carbonic dichloride] .
Propyleneimine [Aziridine, 2-methyl-] .,
Tetramethyllead [Plumbane, tetramethyl-]
Trimethylchlorositane [Silane, chlorotrimethyl-]
Dimethyldichlorosiiane [Silane, dichlorodimethyi-]
Isobutyronitrile [Propanenitrile, 2-methyl-]
Peracetic acid [Ethaneperoxoic acid] .. .
Epichlorohydrin [Oxirane, (chloromethyl)-]
Acrolein [2-PropenaJ]
Propionitrile [Propanenitrile]
Acrylonitriie [2-Propenenitrile]
Ethylenediamine [1,2-Ethanediamine]
Allyl alcohol [2-Propen-1-ol]
Chloromethyl methyl ether [Methane chloromethoxy-]
Vinyl acetate monomer [Acetic acid ethenyl ester]
Cyclohexylamine [Cyclohexanamine]
Propyl chloroformate [Carbonochloridic acid propylester]
Furan
Piperidine
Crotonaldehyde, (E)- [2-Butenal, (E)-]
Methacrylonitrile [2-Propenenitrile, 2-methyl-]
Ethyleneimine [Aziridine]
Hydrazine
trifluoro[oxybis[methanej]-, T-4-.
Threshold
quantity
(Ibs)
Basis for
listing
b
b
a b
b
b
60
-------
^ IF
i©^ta|; Protection Agency
rssTABLE 2 TO §68.130.—LIST OF REGULATED Toxic SUBSTANCES AND THRESHOLD QUANTITIES FOR
:,„:::- , :;— ; ,• -„ „„ ::,,;„: • • • ,:,:::: • "ACCIDENTAL RELEASE PREVENTION—Continued
'rder—77 Substances]
i'« li
I
iiiiiii K'
llU'i'iilll, '.'fttllll!'!
Ill fl!;:,,!"V,,,,Siil,i I;,] J
IIHillliii .'ii.illr1 ','! II I ii:!V, ' illlii'illl1
IIIIHMI 'ii! lnliiTI ,| 1,!JI|
MliNil Ii Ai: lilii'iiJEIilllHIIL
I llBi l ill IP1!1,*!)!:;: „
l
't[*:. ^iffi
I Iliil.
ll HUKIillli ililii,!! I'llll Mi i!i!
111,"'1
f(:rais!''iiio.il
jijlH 4 :H'
MI|gi§iBl77Z4
'"'gijj^flfrB
556-64 ~9
g@4_04^g
""^^'aza :;:~ ::,:::::.
624-S3-9 .. ...» ......
"31-wsRr.r™™""
N''!|f70Z3CK3
744&-09~5
_„„„
7^37^07^2 .„.,.....„
7647-01-0
::7"647-oT^b ^.7;.JLZ'J
7664-39-3 ......,.,
7€64-4l™7
76C4™41~7
ii"7'697-37'-2
,n,,_^,^__™ n, ,M
rTT^s^iS^e ir^««™
117782-41-4 „........„..,..
7782™50-S
''7783-06-4
JTOS^sw.::™:.:.™
Tjas^eo-o ,..™......™..
fiTgRS-i™
::f|03igiZ2
8014-95-7 . — ™,
10025-87-3 . . .. - .
^Beas^H* ::::.„.;:::
|llj0294™34-5
i»,,|^^__,™™
^3463-40-6 ....
19287-45-7
26471-62-5 » ........
!!!»
Chemical name
Toluene 2 4-diisocyanate [Benzene, 2,4-diisocyanato-1 -methyl-]1
Perch loromothyf me rcaptan [Methanesulfenyl chloride, trichloro-]
Methyl Isocyanate [Methane, isocyanato-j
Acrytyl chloride [2-Propenoyl chloride]
Suffur trtoxide
Titanium tetrachloride [Titanium chloride (T1CI4) (T-4)-]
Boron trifluoride [Borane, trifiuoro-]
Hydrochloric acid (cone 37% or greater) .
Hydrogen chloride (anhydrous) [Hydrochloric acid]
Hydrogen fluoride/Hydrofluoric acid (cone 50% or greater) [Hydrofluoric acid]
Fluorine ,
Hydrogen selenide
Sulfur tetrafluoride [Sulfur fluoride (SF4), (T-4)-]
Oleum (Fuming Su If uric acid) [Sulfuric acid, mixture with sulfur irioxide]1
Phosphorus oxychlbride [Phosphoryl chloride]
Chlorine dioxide [Chlorine oxide (CIO2)] ..
Nitric oxide [Nitrogen oxide (NO)]
Boron trichloride [Borane, trichloro-] „.
Nickel carbonyl
Iron, pentacarbonyl- [Iron carbonyl (Fe(CO)3), (TB-5-11)-]
Toluene diisocyanate (unspecified isomer) [Benzene, 1,3-diisocyanatomethyl-
u1-
TtlTesliold
quantity
ob
io,boo
1 boo
30,000
10,000
10,000
10,000
5,000
20,000
5,000
10,000
2,500
15,000
s.boo
1,000
10,000
20,000
15,000
15,000
10,000
,i, 2'g^
10,000
5Qq
2,500
15,000
i,bw
5,000
10,000
5,000
1,000
10,000
5,0oo
1,000
2,500
2,600
10,000
Basis for
listing
c "
b
b
b
a
b
a, b
b
b
a, b
a, 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
', i iiiiiiiiiiiiii1" t
The mixture _.
NOTE: Basis for .. _
" a Mandated for listing by Congress.
""b 'dh EHS Bit, vapor pressure 10 mmHg or greater.
c Toxic gas.
loeamo! app'ly'to ifiesu'b's'ta'noe'.'
d To!dclty of hydrogen chloride, potential to release hydrogen chloride, and history of accidents.
::"" : 'I"1!1'!!'1 o Toxicity of sulfur trfoxide and sulfuric acid, potential to release sulfur trioxide, and history of accidents.
il*, ^i:;-.::("l^"*\«SjAri^.0.IO §68 130—LIST OF REGULATED FLAMMABLE SUBSTANCES AND THRESHOLD QUANTITIES
•iff i?' tt iiiii •• ''iiillll' I Hi ' JiFf "(W' III I" Im i 11" I 'i FOR ACCIDENTAL RELEASE PREVENTION
[Alphabetical Order—63 Substances]
iii ML, iiji; iii it ill! "i« i1 'u'jii,
lIM^j:- -'ij
-'- •-• - ";:" : •
Hi i HU'llllllllll1 Jill1:', lit!!1' l|l|l|l|llllil, " , '
,< iiiiii1 ii ii i in
If,;;!
'l>;il!i
i-Bif^i*''
11 II | ill Bromctfifiuorothylcno [Ethor
I l"l 'Mli 1,3-Buladffjne .»...»........«.«
i i Butane ». ...„..»...„.»,.,,....
. i" 1 "I, IS!1! 2"'ft "-— -ij IIMIJI——IIII—I... p~T|l1' ' ' ir
Chemical name
fV«
: ::::::::: Chlarine mbhoxlda TChtorine nvMai _ _ _
, ,n ,i|i ||'ij| pipn, , , |;ii|iiiiiSS', " la' imillSSiii, I * ,B* v: ™"" *- ««*>«•*!
'::;li|:ji!f; 1*8JHS[,[5Bf1y.Vff!;'1;Sill'.^1'f'11
iiii,'S srfiwiw,*;;^:?-! :;;*;;'*.•.* &'&&'•
CAS No.
Ill Illlll III ill n
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
I!i:i:'!i<:::iBiii:,!:;I
Thresfroid
quantity
(Ibs)
10,000
10,000
10,000
10,000
10,000
10000
10,000
io,boo
10000
10,000
i ,,,10,000
10,000
10,000
f'ii'.ilff:.
Basis for
listing
g
f
f
f
f
f
f
f
f
f
f
f
g
'
'Jii;'".1*:,
61
I, wiii' ii"'.i 1111111,11, in'W' in ni1 '.
-------
§68.130
40 CFR Ch. I (7-1-99 Edition)
TABLE 3 TO §68.130.—LIST OF REGULATED FLAMMABLE SUBSTANCES AND THRESHOLD QUANTITIES
FOR ACCIDENTAL RELEASE PREVENTION—Continued
[Alphabetical Order—63 Substances]
Chemical name
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-dim ethyl-]
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-dimethyJ-]
Vinyf acetylene [1-Buten-3-yne]
Vinyl chloride [Ethene, chloro-]
Vinyl ethyl ether [Ethene, etnoxy-]
Vinyl fluoride [Ethene, fluoro-] ,
Vinylidene chloride [Ethene, 1,1 -dichloro-]
Vinylidene fluoride [Ethene, 1,1-difluoro-]
Vinyl methyl ether [Ethene, methoxy-]
CAS No.
75 50-3
107-25-5
Threshold
quantity
(Ibs)
10,000
Basis for
listing
NOTE: Basis for Listing:
a Mandated for listing by Congress.
f Flammable gas.
g Volatile flammable liquid.
TABLE 4 TO §68.130.—LIST OF REGULATED FLAMMABLE SUBSTANCES AND THRESHOLD QUANTITIES
FOR ACCIDENTAL RELEASE PREVENTION
[CAS Number Order—63 Substances]
CAS No.
60-29-7
74-82-8
74-84-0
74-85-1
Chemical name
Ethyl ether [Ethane, 1 1 '-oxybis-]
Methane .-.
Ethane
Ethylene [Ethene]
CAS No.
74_85_1
Threshold
quantity
(Ibs)
m nnn
Basis for
listing
9
f
62
-------
•I1'!,s,! |!i",|i,,|| eta ',{' '
IIII'S.!.'.!.!''! I Stir ''-I'I
PI,"I'll,;,!11 II,',,1111111 Mill,1 r, ', ,'"'
illii'K "j,: "'«!', i!"i
•lllEl II'!, fit
iiiii'''-!'' «;<•:!> ..... •»
«i f i'i,
" t ...... :;
I
liiRili W'
;lpyi[onmental Protection Agency^ "^^ '^ ^ _^ " '_ " ^™ ^ ^'' "J ^"^S*®-^?M
iyi|to^^ ^IRESHOLD''^^^!^! "
FOR ACCIDENTAL RELEASE PREVENTION—Continued
If Is;!),!;1': ||: i!.'1 rn1; '• lljjt,. 1 .Ifiiiilljli': r%"'~i!'l:i',i''''S'<
• ' ' " CAS No.
Fin : t rr! |; ,,,i(|||i . ') ,. iijr;i! i ; c :;<•; Slsf !* W-«M .....................
1'i'iChH'iiir1 i, 'iJ'ihB1 ..;iinn ;i inwri;;, "[i, ::iii,,".i'', • ,1'i1', i/'ivsuJS-OO-S
Sff mfm "'i,;' ' : iif-il'',;,, IfSf111:1 pln&s IZIII
i! /.^[Jtl^1- 1,,!,; ,, Sail ;i, ; "!' lk1..ili^flSi.1~™~~~
75-19-4
75-28-5 . ., ...~-
75-29-8
75-31-0 ...... .
,75-35-4
i' I1"1' 1" m ''' I'lTsljs-? . ::::
i "' 75-sb-a ..;;»
; 78-78-4
I ii |||79-3M «-««:
106-97-8 —
106-S8-9 ... .JZ..™.,
I III I Hi l Ilk 106-99-0 ..„..,„....,.....
, , , ,i, „ a, i ., , 107-00-6
J '''I f. 1' I'!' •' M . 1 ' illJn "l™ '•:! Vi". 1 ' ^ 07-01" 7 .»«.
107-2&-5
LPc^lTw 5jr«if'r'«*"i!,rrr
I j f; ' . j '',; ij";1 u i!!ii|:,!'if:r , . ' fff 1 11;: j, «, •. 1: ;> ";• rftf^ga^T" -j "' """"
1 109-92~2 "«. —
Illiif'lUlWIJ'Bi'W .'. Illlliliil ;» i. !, •'l NVWV IIMStlS-tO-S .™
1 IIP',! M'liiiiiiir M. Pm, in!1 dill!!"!1!1 ,i'ii|l ' IIIIHII MHV "l,,1 ,|: '>'•:,} "I Hil1 i liniNiillL 1|15_1|1-.7 „.,.,„,„„.„„.
1 124M(K3 . — ., —
1 i: ,;,:::;;;:;' ;;: : i ± , : • ; :::;: r,: ' ;,; ;; :•. : , : , • f ™^63-S8-l
1 f1 iwd , ]j ;; ' " ^ '• jjiii; ' ii:; vii? U, i '; •:: liiilM^-ea-i
1 S9&-73-2
I 627-20-3
1 1333-74-0 ....».....'.».
IF', ,ii" i'' i ii! Flii'ffi^zzi:
I 7803-62-5
1 10025-78-2
1 25167-67-3
"' ''' '' ' ' ' !!' " ' ' '"' " Che'rnicai'' name ' '' '' ' "' '
1-Butana
i,3:Butadl8ri8
IP
^ j , "'' y j. .
Tetrafluoroethylene [Ethane, tetrafiuoro-]
Carion oxysulfide [Carbon oxids sulfide (COS)]
2,2-Oimethylpropane [Propane, 2,2-dimethyl-]
Sil3n6 •
Butane
CAS No.
Ill 1
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
, 1,15-11-7
116-14-3
,„;,,,,, 124-40-3
460-19-5
463-58-1
463-82-1
504-6O-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-^t
1333-74-0
4109-96-0
7791-21-1
7803-62-5
10025-78-2
25167-67-3
Threshold
quantity
(Ibs)
10.000
10^000
10,00,0
10,000
10,000
10.000
10,000
10.000
10,000
10,000
10,600
10,000
10,000
10,000
10,000
10,000
io;,ooo
10,000
10,000
10,000
10,000
10,000
10,000
10,060
10,000
10,000
10,000
id.o'oo
10',000
10,000
' id.oob
10,000
10",000
10,000
10,000
1C*,000
10,000
10,000
10,000
10,000
10,000
10,000
10,000
16,000
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
Basis for
listing
>, f
g
)
g
g
3
f
g
g
g
f
f
f
f
f
f
f '
g
g
g „
g
f
f
t
f
f
f
f
f ;
g
f
g
g
f
g
g
f
f
f
f
f
g
f
1 l ill » lli li ll i M llll in Note: Basis for Usling: a Mandated for listing by Congress. f Flammable gas. g Volatile flammable liquid.
1 [59VR ^493. ian. 31. 1994. Redesignated at 61 FR 31717, June 20, 1996, as amended at 62 FR 45131
1 Aug. 25, 1997; 63 FR 645, Jan. 6, 1998]
... ii mini j .' ,.< ;;,
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 sub-
mit a single RMP that includes the in-
formation 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 speci-
fied by EPA prior to June 21, 1999.
(b) The owner or operator shall sub-
mit 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 ex-
clude 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 re-
view by Federal and state representa-
tives who have received the appro-
priate security clearances.
(e) Procedures for asserting that in-
formation submitted in the RMP is en-
titled 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 con-
fidential business information.
(a) Except as provided in paragraph
(b) of this section, an owner or oper-
ator of a stationary source required to
report or otherwise provide informa-
tion 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)(l) through (b)(6) and (b)(8),
(b)(10) through (b)(13) and NAICS code
and Program level of the process set
forthin§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)(l), (f) through (k);
(5) Prevention program data required
by §68.175(b), (d), (e)(l), (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 con-
fidential, provided in a format to be
specified by EPA;
(2) A sanitized .(redacted) copy of the
RMP, with the notation "CBI" sub-
stituted for the information claimed
confidential, except that a generic cat-
egory or class name shall be sub-
stituted for any chemical name or
identity claimed confidential; and
(3) The document or documents sub-
stantiating each claim of confidential
business information, as described in
§68.152.
[64 FR 979, Jan. 6, 1999]
§68.152 Substantiating claims of con-
fidential business information.
(a) An owner or operator claiming
that information is confidential busi-
ness 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. In-
formation not so marked will be treat-
ed as public and may be disclosed with-
out notice to the submitter. If informa-
tion that is submitted as part of the
substantiation is claimed confidential,
64
-------
Ill II
1111 III
II 111
111II
II 1111
II 111
"I Ill
Environmental Protection Agency
'•"the owner or operator must provide a
iiii'Sarii'Szed ahd'unsanlSzed version of the
I
•ili
(c) The owner, operator, or senior of-
;' H'cJal with iriiriagemerit responsibility
of the stationary source shall sign a
certification that the signer has per-
'•iiii-Jiprially examined the information sub-
mitted and that based on inquiry of the
persons who compiled the information,
the information is true, accurate, and
Mfijilete, and that those portions of
ne^substaritiation claimed, as, confiden-,,,,
ial b'usiriess'iriformatlon'wb'uH, if' dis-
other
I! 1 '!
;- 'ti;
11 > I1-! ' i .r"'i
n'UBR"LH:«u ,;ilfl!il:iiiiili*',''":'t I ii
if FR 980, Jan. _6V 1999]
§ 68.155 Executive summary.
', ",„;;, \';,::~~The owner or operator shall provide
In the RMP an .executive summary that
includes a brief description of the fol-
'.; ;",,;; ;;;;;;;"lowing elements:
i- :"i;"';;"',' F*=" (aj The accidental release prevention
arid emergency response policies at the
stationary source;
(b) The stationary source and regu-
I'ateS" suK'starices "handled;
„ i ;«?'[ 3in"(c) The worst-case release scenario(s)
'!. vji aiirand the ^ternatiye jelease ,scenario(s),
• |,^ ,T]l,ii!|n'gulyjn1g adlriirii'strafive' coritrbls" 'arid
^'irnitig^ation measures to limit the dis-
,; ."'l,!,;';;"1 ,;;!!"I^ces,iforieachireported scenario;
|d} The general accidental release
: " -:':'"' ":::"- prevSntlbn "program 'arid chemical-spe-
,., .,., ,,, ciflc prevention steps;
'," [^i':;,'1 ',—^1 (e) The five-year accident history;
,'';'i':'i'i;! jjjjj (f) The emergericy response' program;
l'•%;:' :1 Sf'lha
(g) Planned changes to improve safe-
f "I'll III 11
| ..... ,!:| ..... ItMiilil'
""
l'illlJI'li
..... a;.
•IH -If
:!i:i ! 1:1 W:
.ill,"!"!
§ 68.160 Registration.
iii'«" ii iiiiiiE: Jiiiiniii i HI i i i . jw
•i"} ^IjH. (a) The owner or operator shall com-
plete a single registration form and in-
clude it in the RMP. The form shall
cover all regulated substances handled
.' "t^ii^n.cgyered processes.
1 iiiiW (bl The registr'atI6ri'"shall include the
following data:
;l '••'~1^' (Jj Stationary source name, street,
city, county, state, zip code, latitude
arid longitude, method for obtaining
,',.! I;,,;!.,!!, latitude and longitude, and description
:' 'li'" of location that latitude'arid longitude
represent;
(2) The stationary source Dun and
Bradstreet number;
§68.165
(3) Name and Dun and Bradstreet
number of the corporate parent com-
"panyl "
(4) The name, telephone number, and
mailing address of the owner or oper-
ator;
(5) The name and title of the person
or position with overall responsibility
for RMP elements and implementation;
(6) The name, title, telephone num-
ber, and 24-hour telephone number of
the emergency contact;
(7) For each covered process, the
name arid CAS number of each regu-
lated substance held above the thresh-
old quantity in the process, the max-
i imum quantity of each regulated sub-
Stance 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 identi-
fier;
(9) The number of full-time employ-
ees 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
CAATitle Vbperaarigpermit, the per-
mit number; and
(13) The date of the last safety in-
spection of the stationary source by a
Federal, state, or local government
agency and the identity of the inspect-
ing entity.
(14) Source or Parent Company E-
Mail Address (Optional);
(15) Source Homepage address (Op-
tional)
(16) Phone number at the source for
public inquiries (Optional);
(17) Local Emergency Planning Com-
mittee (Optional);
(18) OSHA Voluntary Protection Pro-
gram 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 sub-
mit 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 rep-
reserit all regulated toxic substances
65
-------
§68.168
40 CFR Ch. I (7-1-99 Edition)
held above the threshold quantity and
one worst-case release scenario to rep-
resent all regulated flammable sub-
stances held above the threshold quan-
tity. If additional worst-case scenarios
for toxics or flammables are required
by §68.25(a)(2)(iii), the owner or oper-
ator 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 rep-
resent all regulated flammable sub-
stances held above the threshold quan-
tity.
(b) The owner or operator shall sub-
mit 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 evapo-
ration) ;
(6) Quantity released in pounds;
(7) Release rate;
(8) Release duration;
(9) Wind speed and atmospheric sta-
bility class (toxics only);
(10) Topography (toxics only);
(ll) Distance to endpoint;
(12) Public and environmental recep-
tors within the distance;
(13) Passive mitigation considered;
and
(14) Active mitigation considered (al-
ternative 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 sec-
tion. If the same information applies to
more than one covered process, the
owner or operator may provide the in-
formation only once, but shall indicate
to which processes the information ap-
plies.
(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 re-
view or revision of the safety informa-
tion and a list of Federal or state regu-
lations or industry-specific design
codes and standards used to dem-
onstrate compliance with the safety in-
formation 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 haz-
ard 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 re-
view.
(f) The date of the most recent review
or revision of operating procedures.
(g) The date of the most recent re-
view 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 re-
view or revision of maintenance proce-
dures and the -date of the most recent
equipment inspection or test and the
equipment inspected or tested.
(i) The date of the most recent com-
pliance audit and the expected date of
completion of any changes resulting
from the compliance audit.
(j) The date of the most recent inci-
dent investigation and the expected
date of completion of any changes re-
sulting from the investigation.
(k) The date of the most recent
change that triggered a review or revi-
sion of safety information, the hazard
review, operating or maintenance pro-
cedures, or training.
[61 FR 31726, June 20, 1996, as amended at 64
FR 980, Jan. 6, 1999]
66
-------
^^ '"mi11 |, ^i^iiiiij i
ill v; ;• '''! jii'TIP!1' "ii'" .1" !!• i» '*•; l|m F ih',1 I'll, i n Ii,! ;i'" : •!'''i! i1 iili',! Iff'1' '„ Jtf 'illy1 ""i*: IffLilL i": ' 'I1 "i, I." v'; nil "I!1""'" I,1 WHI'"!'if ii1!', .'""i?", iBI!!*! \\'"
I'll'lll"!"!1! !i!f'I!1!1: ,,'
, iij i IfiMi], 'IMIIIIIK11 ill'ill'1
-I"!!! mi" i 'i,:i i 1 IP''"Hi' , '" ,!' ' in ',i "' j,n: tin 'limn1 >'
J! ill' III I I ': 'lillllNMlii'' ri ' '" i III, ' ' I,',!!!,!', !',' I!L!V|,||
T'j; /.,'••'.«( , ; I';1,1',1!!) *,ln " Jf, Jill-a,. Wi', ,, j~>|»l<','',", H}1'' i|', '"". if
Li .-:'•:, - -J .r .i', ". •: ,:' .i M I- i •' i •,. liiJiK ! I,!.!!,;, ;«'I it ' t. , '.;V
i, lift Ll'I, ,;,aiii"i "Ii liUMIII
I ill! El
•I'i m t TH
SHKt4S.ll":
"
.fill I
es:
I'll
I IHrtl, ' I1' I'SIBl Ill M, I1 ill!'ill
Liil Will III!" til1
llll'illl;;!!
! i , =*•
! ,, .r '
'
[I I1'IJ1'!''I','SB1'11 "II'"', ii,"1!!!'1"'
Environmental Protection Agency
§ 68.175 Prevention program/Program
llllll iiinii i i in ii i n in ii
(a) For each Program 3 process, the
owner or operator shall provide the in-
formation 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 proc-
esseg'the' information' applies.
| (b"J The "five- or sjbc^d*l'glt NAICS code
that most closely corresponds to the
,„ i|||lllllllllllllllllll|i, ' il|,|!ilii,,'i,i,i 'i , ,„, il Hill1 lijrSllllllllllllMli" SH.i," I ,' , I'll'! :<«l I'lhlli III I ll,'l<< '
process.
(c) t The nameCs) of the substance(s)
covered.
(d).The,,,date on.which the safety in-
formation was last reviewed or revised.
(e) The date of completion of the
most1 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;
"li"'il::"' "(5) Moriftorlng arid detection systems "
i •' \ si in use; and
• •:; ' ' (6) Changes since the last PHA.
(fj The date of the most recent review
ivision of operating procedures.
I file"'"1 date" of the most recent'"re-"
""or revision of .training programs;
" "~ ''(l|' Tlie "'type"' of training' "provided—
'I'i Eiassro6m7' classroom plus on the job,
!"";i |M i::'"!l'l:" Bn"the job; and
•' "" ', l^"!;'^ The type of competency testing
used.
I :,„,,, ;,,;,,:« (^i). The date of the most recent re-
J.I view or revision of maintenance proce-
„ „, i,,i,!l,|i,|1,1 , dures^^and ,the,_ date,, of .the most recent
' "n' "'Jl'l'!:!'; IH^lBprnent ffispecS'bn or "test 'an3 the
"*IitiHfcii'7 fecjuljginent inspected or tested.
11'1'"1"' 'i; '"" ''(I) The "date of the most recent
change that triggered management of
change procedures and the date of the
:,:': :" "",'"! {"tiSSE recent review or "revision of man-
. L... i _ i,,,,g™_^n^ "of "change procedures.
Vv'r1'ij'jjj'J'jJ The date of the most recent pre-
,", j!'!i|j|f ;jj||i|artup review.
, '4i!i- *MiSSf ^ Tj16. date of the mbst'recerit,,,'com-
":' '" |ilfsince audit"and" the expected" date of
completion of any changes resulting
from the compliance audit;
(1) The date, of ^the most recent inci-
dent investigation and the expected
date of completion of any changes re-
spiting from the investigation;
§68.185
(m) The date of the most recent re-
view or revision of employee participa-
tion plans;
(n) The date of the most recent re-
view or revision of hot work permit
procedures;
(o) The date of the most recent re-
view or revision of contractor safety
procedures; and
(p) The date of the most recent eval-
uationof contractor safety perform-
ance.
[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 pro-
vide in the RMP the following informa-
tion:
(1) Do you have a written emergency
response plan?
(2) Does the plan include .specific ac-
tions to be taken in response to an ac-
cidental releases of a regulated sub-
stance?
(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 re-
view or update of the emergency re-
sponse plan;
(6) The date of the most recent emer-
gency response training for employees.
(b) The owner or operator shall pro-
vide 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 pro-
vided 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
li ill I
iiilHll
lilt
ill i "l1
-------
§68.190
the best of the signer's knowledge, in-
formation, and belief formed after rea-
sonable inquiry, the information sub-
mitted is true, accurate, and complete.
§68.190 Updates. '
(a) The owner or operator shall re-
view 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 sta-
tionary source shall revise and update
the RMP submitted under §68.150 as
follows:
(1) Within five years of its initial sub-
mission 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 list-
ed 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 con-
sequence analysis as provided in §68.36;
and
(7) Within six months of a change
that alters the Program level that ap-
plied to any covered process.
(c) If a stationary source is no longer
subject to this part, the owner or oper-
ator 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 other-
wise 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 infor-
mation by the Department of Defense
or other Federal agencies or contrac-
tors of such agencies shall be con-
trolled by applicable laws, regulations,
or executive orders concerning the re-
lease of classified information.
§68.215 Permit content and air per-
mitting 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 meet-
ing the requirements of this part by
the date provided in §68.10(a) or;
(ii) As part of the compliance certifi-
cation 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 sub-
mit any additional relevant informa-
tion requested by the air permitting
authority or designated agency.
(c) For 40 CFR part 70 or part 71 per-
mits issued prior to the deadline for
registering and submitting the RMP
and which do not contain permit condi-
tions described in paragraph (a) of this
section, the owner or operator or air
permitting authority shall initiate per-
mit 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 au-
thority 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 main-
tained by the air permitting authority.
68
-------
Ill
•111
I Jill ..... idiH ........ I'li
i ii'ipiii
.
IlilC'fiF'f:'! Hill!'1!'*
•ft: I" „;:.''
illillliiiiiiilii;"!,!',!,'','
Environmental Protection Agency
i 111 in lull i in ii i i n " i
The state may enter a written agree-
!:,,,menj; with .the Administrator. under
1"gPA,,i}^lljrnpiemerit and enforce
lents of paragraph (e) of
; lection.
• jiMee, (e} '.The air... permitting authority or
'"'tjesignated by delegation or
under paragraph (d) of this
ITISc'tioh "shall, at a minimum:
I" .(1)" Verily tfiat the" source" owner"'" or'
operator has registered and submitted
"i'lllll-lll'an' RMP or a revised plan when re-
lillliriir f ...'Mill 'M'T
I i ,:]:' I C'ki
I I I T i 'i. , K
E ,::„ lil I iiff ..... ll i:ii| llll
..... i,,, s
HIT .1 .'
llH!f,,|i
Til1:
iiiliii (2) | Verify that the source owner or
1 "perator" has submitted a source cer-
Ificatibn or in its absence has sub-
mitted a compliance schedule con-
sistent with paragraph (a) (2) of this
section;
"™~(3) For some or all of the sources sub-
ject to this section, use one or more
."^mechanisms such as, but not limited
'Siirip, a completeness check, source au-
dits, record reviews, or facility inspec-
tions to ensure that permitted sources
"are In compliance with"" the requife-
„ ^.oienjs of this part; and
flil-'flj Initiate enforcement action based
on paragraphs (e)(l) and (e)(2) of this
^'i!lTCCuon..as'.'apprc5>H1a1te1." '
,1 § 68.220 Audits.
'iililllilii luiii i u 111 in 11 n n i in ii i
*.•"' (a) In addition to inspections for the
purpose of regulatory development and
enforcement of the Act, the imple-
menting 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 com-
pliance with subpart G of this part.
I (b) The implementing agency shall
111 select, ''stationary sources' for audits
based ori any Of the following criteria:
(1) Accident history of the stationary
source;
,,,,||, ii'l' U; Ill]
|i;.i11' I1 ll'i Jliil'iii,,
inn IP ...I'1 ii, n M illinium,!
''.fieer i, u r
jifii
in iiiiiii''iu iii ii'iriihiiii1
11 'I i'r'iT;"i"Ji .DMHini"
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history of other sta-
'- Efonary sources "in the same industry; "
JJJJJ^^ RHSS^^y °^ regulated substances
^•^gjgggj^jg'gj^e stationary source;
^St^ (4) Location of the stationary source
'""" a'n'd Its"prbjeimit;y to the public and en-
vironmental receptors;
(5) The presence of specific regulated
iiriLrilllllllllllllllllllllilii1 3 * •• "
I ."substances;
-: , - (Ji|j' The hazards identified in the
l» KMP-anrf.'_,..'"" '"'"",'"'„ '.".",. ",''"," '„ I '„".'."!.'
3^n gr'oviolihg for neutral, ran-
pversight.
nil i n
jdits.
§68.220
•'('•', ,'i -
(c) Exemption from audits. A sta-
tionary source with a Star or Merit
ranking under OSHA's voluntary pro-
tection 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 imple-
menting 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 indus-
try standards and guidelines (such as
AIChE/CCPS guidelines and ASME and
API standards) to the extent that such
standards and guidelines are applica-
ble, and shall include a timetable for
their implementation.
(f) Written response to a preliminary de-
termination. (1) The owner or operator
shall respond in writing to a prelimi-
nary determination made in accord-
ance with paragraph (e) of this section.
The response 'shall state" the owner or
operator will implement the revisions
contained in the preliminary deter-
mination in accordance with the time-
table included in the preliminary de-
termination 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 re-
vision. Such explanation may include
substitute revisions.
(2) The written response under para-
graph (f)(l) of this section shall be re-
ceived by the implementing agency
within 90 days of the issue of the pre-
liminary determination or a shorter
period of time as the implementing
agency specifies in the preliminary de-
termination 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 addi-
tional timefor the response to be re-
ceived.
^^ . r ,,„ ,., | , , „,,„„,;!,,„ I, „,,,,,,,.,, , ,
69
'•IT..*
'ill:1:
| lillllill lifl'viiJII
I: :
iiEj'iH ..... i
i^ ...... 'limit ...... H^J
i^'M tillPi ,B in i ii i
ll Ill
III 11111 lllnl I
-------
§68.220
(g) After providing the owner or oper-
ator an opportunity to respond under
paragraph (f) of this section, the imple-
menting agency may issue the owner
or operator a written final determina-
tion of necessary revisions to the sta-
tionary source's RMP. The final deter-
mination may adopt or modify the re-
visions 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 expla-
nation of the basis for the revision. A
final determination that fails to adopt
a substitute revision provided under
paragraph (f) of this section shall in-
clude an explanation of the basis for
finding such substitute revision unrea-
sonable.
40 CFR Ch. I (7-1-99 Edition)
(h) Thirty days after completion of
the actions detailed in the implemen-
tation schedule set in the final deter-
mination 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 sub-
mits 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 pre-
clude, limit, or interfere in any way
with the authority of EPA or the state
to exercise its enforcement, investiga-
tory, and information gathering au-
thorities concerning this part under
the Act.
70
-------
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Environmental Protection Agency
Pt. 68, App. A
Toxic end-
point (mg/L)
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74-87-3
79-22-1 ,„„... .............. *...
60-34-4
624-83-9
75-79-6
13463-39-3
7697-37 2
79 21-0
594-42-3
75-44 5
7803-51-2
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75-56-9
26471-62-5
75-77-4
: t -. f Chemical name _.;.:.,...
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Miethyltrichlorosilano [Silane, trichloro methyl*] j..«™ .>.^,,>,..-f.,..^, .«.«-..,.«..»-,.«.*..«.«..*...«. •-•• .............
Nickel carbonyl .V. 1,— ..».,. «-. ^.^.....w..".......^.. *
Nitric oxide [Nitrogen oxide (NO)} : ~! 5 -.- . .«i..*l.. ......;.»...,»..«....,
Phosphorus trichloride [Phosphorous trichloride] .rt,&.. _,..„.,..,,..,... ;
Sulfur tetrafluoride [Sulfur fluoride (SF4) (T-4)-] ,. ,.„.,... i,;..,..;. , ;.3... ....... .v...1.. =..... ..V.V..VA. .
Toxic end* ii
point (mo/L) 81
0.82 it
0.0019 &
0.0094 ^
0.0012 !•-
0.049 ss
0.085 ^i
0.018 M
0.026 .
0.031 t
0.010 ^
0,0045 ^?
0.0076 »:
0.00081 Ii
0,0035 If
0.0030 i;
0.028 ~*
0.022 ]L
0.0037 ?:
0.010 E
0.12 ^
0.59 ^
0.0078 I1
0,0092 t-
0.010 NJ
0.0040 ii
0.0040
0.020
0,0070
0.0070
0.0070
0.050
0.26
[61 FR 31729.:::Tune 20, 1996, ras amended at 62 FR 45132, Aug. 25, 1997]
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-------
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 Industrial-
Commercial-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 die 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 die
reducing zone shall be determined at
least every 15 minutes by measuring the
air flow of all the air entering die
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 die 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 die
C.AOG incinerator shall keep records of
the monitoring required by paragraph
(a)(3) of this section for a period of 2
years following die 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 die
reports required under this subpart is
each 6 month period. All reports shall
be submitted to the Administrator and
shall be postmarked by die 30th day
following the end of the reporting
period.
[FRDoc. 00-5797 Filed 3-10-00; 8:45 am]
BILLING CODE 6560-50-P
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 68
[FRL-6550-1]
BIN 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 die fuels provision of the
recendy 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 diose
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 dirough 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
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mi i1 nil r liiiiiii iiii
11. iii iiM i
13244
Federal Register/Vol. 65, No. 49/Monday, March 13, 2000/Rules and Regulations
'111"
V. Rationale for Issuance of Rule Without
I III! III! II Prior Notice
VI. Summary of Revisions to Rule
VII. Administrative Requirements
A-Docket
B. Executive Order 12866
C. Exgsjijjvo OrderlSO^S
0. ExflcuUve 5n!orT3084
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 etseq.
G. Paperwork Reduction Act
H. Unfunded Mandates Reform Act
I, National Technology Transfer and
Advancement Act
III!-.
jiiiv,
I. Introduction and Background
, i1 w 11'«':' mil IN si! |:i 'i iiiiini 11 nil inn in i in 11 inn in n i i i n iiiiini i °
A, Statutory Authority
'
being issued under
of the Clean,,,,Air Act
i amradeifb"y~tne 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
IjimmodiatQly removed EPA's authority
lammable substance when
used as a fuel or held for sale as a fuel
::".'ir':nit a retail facility * * * solely because
:"j •;jfjj!j,..:j; pC.tibji S2?pl°sive or flammable properties
, ;;,,;:;,,;,,;;;;;;...of.the substance,„unless afire or
111 '"'""I" """'explosion caused by the substance will
::"' .if jfc£jtJsMt in acute adyej:se.health_ effects
from human exposure to the substance,
" acluding the unburned fuel or its
ombustion byproducts, other than
those caused by the heat of the fire or
impact of the explosion."
";; The Act de|nesJ^retaill'faciUty"las "a
""llalforiary"source at wh'icE more than
one-half of the income is obtained from
....,,. , ,„. ..direct .gales, to.end users or at which
more than one-half of the fuel sold, by
vttlume, is sold through a cylinder
|. „. ,, , P^9t«9 Program-"
B. Background on Chemical Accident
II1"111 Wi;:1'!'!"!1: "IIIRFR1,,
'lotions
. , ,
A gpst|on 112|rj
rehients for th'e prevention and'
I SlisiJL'KilPiMS8!^011 °f accidental chemical
releases. The focus is on those
chemicals that pose the greatest risk to
I public health and the environment in
I—I™ ."'"i!" ;™'the event of an accidental release.
'•Section 112(r)(3) mandates t£afE"pA
identify aTleast 100 such chemicals and
| |!ii|[promulgate a list of "regulated
jubsjances" with threshold quantities.
~£ects J3PA to issue
regulations requirhig stationary sources
that contain more than a threshold
quantity of a regulated substance to
4; i^agjvelop and implement a risk
..j^ijyjB|^^gg^gj|j. pjQgjfgj|j gjjjj suojnit a j-jsk
•./"""ffiiffiagSffiSht 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, flamjnable
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
pfopylene 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 them 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); gp^g^-^g^ ^e 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)(ll) as they relate to DOT
requirements under the Federal
Hazardous Transportation Law.
K. 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.
i i
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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 tiiese 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
(subpartD 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.—LIST OF COMMON FUELS
Chemical name
Acetylene [Ethyne]
Butane
1-Butene
2-Butene
Butene
2-Butene-cis
2-Butene-trans [2-Butene, (E)]
Ethane
Ethylene [Ethene]
Hydrogen
CAS No.
74-86-2
106-97-8
106-98-9
107-01-7
25167-67-3
590-18-1
624-64-6
74-84-0
74-85-1
1333-74-0
-------
TABLE 1.—LIST OF COMMON FUELS—
Continued
Chemical name
IlllllK
IsobulagaJProoarie, "'^, "~2.
2-meJfp-| I..7»»V.'!'.~~.~.i..»ir
Isopcnlano (Butane,
2-methyi-]
Mathar&jMurgHjtuuwiiawrvm
Pentang stasfvwsv.rwrawvssa,
' ''H'anua.ft.^^^^MB,.;^
2-Pontone. E)-
2-p«ntene, (Z)-
l.™.l""J3rogana
i'1ii%iv ..............I.................
, .I,,: mi' HII iniiiiiiii! nyi |iia ii i Bagmiiiiasgi a, '
CAS No.
75-28-5
78-78-4
74-82-8
109-66-0
109-67-1
646-04-8
627-20-3
74-98-6
115-07-1
At the same time, all of the substances
I listed above are sometimes used as
RilNlll.' KiiiWilPOi'i IIIHIKii:
: Further, every listed" flammable
:"li^gtoco has the potential to be used
L™ asftiel, since it may be burned to create
" tjo oj power. Consequently, the List
.. .........................
articular chemicals
flammablg ..... gubstancesjist.
"' ....... ' ...........
1/3246 Federal Register/Vol. 65, No. 49/Monday, March 13, 2000/Rules and Regulations
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 B.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 Its 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 Ibs. 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.
r (listing regulated
substances) that excludes flammable
substances when used as a fuel, or held
iijii for sale as a fuel at a retail facility from
{he list of regulated substances. The
jjjv&'gency has also annotated both versions
oftho flammable substances list (one
L, vdrsion lists the_ substances
alphabetically, the other By Chemical
Abstract Service (CAS) number) to
Radicate that any flammable substance,
fS^hen used as a fuel, or held for sale as^
a fuel at a retail facility, is excluded"
prom the, ]lst.
As previously mentioned, the Act
defines _a "retail facility" as a stationary
source at whlcE more than one-half of
the income is obtained from direct sales
"'_"r''_ lo' end users qr,,at which .rnore than one:
half 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
:ir:KJwfffistog its PSM Standard (OSHA
iiil Directive CPL2-2.45 A CH-1-Process
™ MSI. -Safety Management of Highly
,.
an estab'iisEment that
would otherwise be subject to the PSM
standard at which more than half of the
obtained from direct sales to
users.
of the income test portion
of the now Act's retail facility definition
I HiiiHVB^^^^ ...... ui' ........ ; ..... ............. .................... «• ; ...... * .......... ....... «' ........ »"« ................ 3 ............................... •* f .-,...
I1!!!!!11-1*:1 ..... IWSMSMS to provide relief to the same facilities
l^s-siM.'KS11^ for OSHA'S retail facUi1?
I exemption, and conversely, to require
STacQitics that do not quality for OSHA's
.,;,'iijcbiiiptlon, and thus are subject to the
program, to also be subject to the
illilililii'iillliii.'liillli!1"1 I!"
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.
HI. 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 Ibs 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.
if iff , I'l'ili , i
|:1!!!ir= III',,111
'i,,, tliiilt j l 111,
n iiiiifiiii i 11 ill
11 1 (II , ill1 i "I
111 illllll
IIIII II III III 1 1 1
i mi ii null in niiinnn ii i
4 1 ' 1 l ' 1 Ii IK
1 " 1 III 1 i
II II
1 II 1 1 II 1 IIIII II 1 1 111
1 '1 ' i 1 hi Ill i
ii" n ii i 'ii nil i
1 1 III IIIII IIIII
1 111 Hill II III III 111 111 Illllll IIIII III
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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 then- 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.
-------
;;;;;;-;;";;;I324C 1 'Z _,.""federal Register/Vol. 65, No. 49/Monday, March 13, 2000/Rules and Regulations
I ' "! Ti" ' ": Soct!biT8~8."3; Definitions, has been
! ::r:i::. I - 1""^Seyl8pd_to_add_a_ definition of retail
|ii|i|ac|Jityras''difEed'''fii the new law.
1:1 """ Section 618™l26"hasTjeerra33ecfto1
create an exclusion for; regulated
,,»i flammable substances used as.fuel or
hold for sale as fuel at retail facilities.
Iiybo exclusion is derived from the new
-Jaw.
i'Sjfe In Section 68.130, footnotes have been
,,aK.i'J»!'r,iMjiddod to Tables 3 and 4. These two
=;; ™j:, ;;-™|a}ilp,Sl, list the regulated flammable
i iii>: i s*1 ililluDStancos and" their threshold
.._ ,, .'• j!|MSntities. Table 3 lists the regulated
I i flammable substances in alphabetical
'"- i""'1' ' ' ' --^— —»"'i~ Table 4 lists them hi CAS
,„__ r. The footnotes remind the
I nHmxqadcr. of the exclusion for regulated
li^^-^ll^jflanunablQ substances. The reference to
I- , ;„•; , - , .each footnote .appears as an asterisk
: (3lP|i|pii3JB|wing the term "flammable
;" :l ;™suT>stance" in the titles of Tables 3 and
I iiiii • isWnBCifaSi Administrative Requirements
it* mm&m^A.'tiocket
r r| ts!™''|s!; ^Tho docketis an organized and
[' i| 3j&l'i|Ef]Mffijilelo"BIe'"of all tEe information
.... 'iiifijii i,(f iiiLcon,sidgre,d,,by the EPA in the
[ U1 M: SI. ITdsyeiopment of this rulemaking. The
doclot is a dynamic file, because it
allows members of the public and
-identify
Li .
jif ...... ;ijii!||'f4'
.
articipate in the rulemaking
ith the proposed and
p'rSrnulgaled rules and their preambles,
jib,aiiiGQXitontsof the docket serve ..... as the .........................
j«jt$prfj[ |n the case of judicial review.
??^0"1 307(dI(7)(A) of the CAA.)
official record for this rulemaking
TfjiTa««!S.Bi ..... S™, ........ ,,, ...... , ............. ,. ............................. , ....................... — ................. - ........... . ..... ,. o
as been established under Docket A-
gg-3 Sj' and is available for inspection
=from 8:00 a.m. to 5:30 p.m., Monday
t^ excluding legal
lFiift^tfk V°^ M* i>t~ . i i i. i
fi holidays. The official rulemaking record
Is located at the address in ADDRESSES
at the beginning of this document.
]S. Executive Order 12866
wi" ' iMi:" . ill 11 ii i 1111 iiiii ii 1111 ill i in nil i i in n ill i i n in i i 11 in
:~j; ;OndorExecu|iye Order 12866 (58FR
^l^l'^^gto^or 4n 1993^ the Agency
• """"'musl" determine whether the regulatory
action is "significant" and therefore
subject to OMB review and the
; requirements of the Executive Order.
i;':jjf»i»i^lpjQ£dor defines "significant
M' ^^§uT?toiy^acnon.H"as one that is likely
.•: _; :;:;,;, .toiosult js a rule that may:
| ElliHi-11 | (1) Have., an annual' effect on the
ijL^TOJjJjJ.c^^^^rbf $100 million or more or
t l^'M^MI^yqiOTTy"^^^ in a material way the
|l. i j|ii||,|j jljiiij^g^giiijjf. g gggfcnTof the economy,
productivity, competition, jobs, the
J! iS'i'i liiiiiSKfJ {in.1!!1 environment, public health or safety, or
"*_'"'"State, local, or tribal governments or
(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
(4J Raise novel fegal 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 deterrnined to be "economically
significant'5 as defined under E.O.
12866, and (2) concerns an
environmental health orpsafety 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 planner) 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,
II Wit
•Hi ....... I
, ,<; jiiiis:""
!S'h:li!l;
illil
!''! I '
i • ifi' 4, :
.Sir
• WBiH'M!1;
,•>•'$&"* /:Wii''
•f
•M
:(:;»: .i[ iff .*
i''!?"1:! ..... liiSi
-------
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 hi 40 CFR
part 9 and 48 CFR Chapter 15.
H. Unfunded Mandates Reform Act
Title E 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 cost-
effective 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.
/. Congressional Review Act
The Congressional Review Act, 5
U.S.C. 801 etseq., 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.
-------
illlR^^^^^^^^^ I"!!! !i1, Mi !' MM'S mift',' " Jllilllllll .• !tl,i,i,s 1 *m^S M ili! Jllii !•;!' iii i, .1 iii!:l; i'l" If: ''.. • [Alphabetical Order-63 Substances]
.,-.-, ;: ,: • • For tho reasons stated in the
preamble, EPA amends 40 CFRpart 68
as follows:
MlSFE'rPEn 1." Tha authority section for part 68 is
,.„,,
:.Auth3nly{42 O.S.C 7412(rJ, 7601 (a) (1).
1 '"" '""' Subpart A—[Amended]
2, Section 68.3 is amended to add the
following definition in alphabetical
'"'
Definitions.
'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:
•Mandated for listing by Congress.
- ^/eammablegas.
olatile flammable liquid.
TABLE 4 TO §68.130.—LIST OF REGU-
™: LATED FLAMMABLE SUBSTANCES 1
AND THRESHOLD QUANTITIES FOR
ACCIDENTAL RELEASE PREVENTION
I! i! [CAS Number Order-63 Substances]
JEv™*».5™ Retail facility means a stationary
iSSifSmi'SfSLSOUrco Bt.which, .more,than one-half of
,,,dire,ct,,sales
, , T. .is;'. {o ond users or at which more than one-
half of the fuel sold, by volume, is sold
PJl _*.!.f l J^ii;oiuj[h a cylinder exchange program.
D'jLlHIrl.'ll ""dl
Subpart F—[Amended]
3, Soddoja,68.126 is added to subpart
™,_ _,J_g. jj__£
!«!H^ IIIK^ Illiiifi
, ^, „ ,,. 1,68.126 jExclusjon.
'
1A 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:
•Mandated for listing by Congress.
fFlammable gas.
" ' i!' sVolatile flammable liquid.
[FRDoc. 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
toffss"ouri',"!LT.E.C7 £ee~64 FiR"399637 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.
i!^41iiiil!!i.if'.W.<'!>'i«
FEDERAL COMMUNICATIONS
COMMISSION
List of Subjects in 47 CFR Part 73
Radio broadcasting.
............................ Part ..... 7,3_,aftifis,,47, ..... pf,th,e.Cpde,,of
Federal Regulations is amended as
follows:
• iRillli '
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-------
Appendix B
Selected NAICS Codes
-------
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i*:!;', .'''Si: „,; I*!!*:..,;; ""' »« I
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-------
SELECTED 1997 NAICS CODES
11 Agriculture
11111 Soybean Farming
11113 Dry Pea and Bean Fanning
11114 Wheat Fanning
11115 Com Fanning
111191 Oilseed and Grain Fanning
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
NA1CS Codes
B-2
311911 Roasted Nuts and Peanut Butter Manufacturing
311919 Other Snack Food Manufacturing
jj ,,j,^ Coiffee aid Tea Manufacturing
31193 Flavoring Syrup and Concentrate Manufacturing
...;, §1,1,241 .Mayonnaise, Dressing and Other Prepared
; •,.; :::» .^r^^^ri-Sauce Manufacturing
' i«,' ;§'"J""|"§9 i '" p"22JJ5fe {^epareS Food" Manufacturing
311999 All Other Miscellaneous Food Manufacturing
,a ,,,,11 r ,„.,, I,,;,, .i;,.•; 21,2, .Beverage and Tobacco Product Manufacturing
fj|flt Ice'MSufacturirig
; - 'i'^IIMi ^fewenes \
,S":i™P"± ^^iStfTs*'"Wineries '"" '
, 'IK , " r 3121,4 Distilleries
TbbaccoTPrbduct Manufacturing
1 1KEEMS i dm mm S
313 Textile Mills
,,|13 J11 Yarn Sginning Mills
"""=™~=| SionwovenFabric Mills
31324 Knit Fabric Mills
- •• •' 313241 Weft Knit Fabric Mils
'Zf.;:M%n38i TexBIeand Flbnc Finishing Mills
• mill IB I l:,!.'l'h,|..|ll „ Illlll Will . 1 lipillllhlhgiwlllllliy «« IIH . » B UNI' M' 'S !1 "1 tf" ,'iJ'Jj1
I jjjij|, ;:,;,;f,j,;j,,, jj;: j,, ,, ;2133,J,1 ll2?iH2Yel,£''ffi^S.lmlSSnS MlllS
I : i":! i': i?i i is i iiiir liiiiii,; iiiii: I" :i : JiiB^^ n sBi'lfS'w w • ;.wmf, •»'«': v::::':.; ii; > #w i
„ Jl,!,iUt11'!!'t W 'i,,, 3'H Textile Product Mills
III ,i I h. Hi; 1:1 '!-.[ > ilHiaSmn ye , ym itifyx/f "" "' • • • • » ~
[ ,3,,l,41,l Carpet and Rug Mills
31499 All Other Textile Product Mills
:/f;[::,- .. »=: j2,i,4992 TjreCord and Tire Fabric Mills
,,,,,, ^, ,-_™ _ oSer Miscellaneous Textile Product Mills
| h' , IIIT',:!!,, * liliilK III II I II IIII I ( I (I III I Illlll
315 Apparel Manufacturing
315111 Sheer Hosiery Mills
-3|522 Men'sand"B'oys"'"Cut and Sew Apparel
321 Wood Product Manufacturing
"||l"219 Reconstituted Wood Product Manufactunng
liiiiii' /id;: IKII '(ii'ni: '•• iiiiiiji,:1:]11!'' ' ! ij as,;; iiiiiB iiiijiiiiiii "'iiiiiii'-' :.msiini iiiiinii'i'iif :'ij "'.11,1 w~;;.j' :•:•''.• si!1 i
322 Paper Manufacturing
32211 ;|u|p'"MilIs
322||'!jgger Mills
' 32212 f f^icrTSccept Newsprint) 'Mills'
322122 Newsprint Mills
32213 Paperboaid Mills
,1 KKjIii"
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 Oth'M'HalncTno'rganic Chemical Manufacturing
325181 Alkalies and Chlorine Manufacturing
325182 Carbon Black Manufacturing
i§! 325188 All Other Basic Inorganic Chemical
!'? '" . 'I ' Jlllil ilH'llft ll|Vlall|lllllt-llllllllI ii »"'. l.ij 'Jllll,!!ll-:llJ«l>«, 1- • l-II, .1 ,1,111 l :• , • J.I 'III. ...
' Manufactunng
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
i|i:!: 3252 Resin, Synthetic Rubber, and Artificial and
Synthetic Fibers and Filaments Manufacturing
32521 Resin arid Synthetic Rubber Manufacturing
325211 Plastics Material and Resin Manufacturing
325212 Synthetic Rubber Manufacturing
32522 Artificial and Synthetic Fibers and Filaments
l in n11'l ill i Manufacturing
325221 Cellulosic Organic Fiber Manufacturing
325222 Noncellulosic Organic Fiber Manufacturing
3253 Pesticide, Fertilizer and Other Agricultural
Chemical Manufacturing
325311 Nitrogenous Fertilizer Manufacturing
323|'',Pr|nt|ngiid Related Support Activities
''"" ............ Illl"" ..... -,,.-. .....................................
323 1 1 7 Book Printing
323 119 Other Commercial Printing
III II tin' i. ' '•] 'llllXllllllii" .fl'lllllIK . ' I illllll ' f ".'I ifj iv-;V ' ill: III: i'lllii :.•*; 1! :I;B t .'. ;/i 1 .i •":'.. '
cb^ [ ,_,
3241 1 ......... trolcgni Refineries
3241 2 1 Asphalt Paving Mixture and Block
111 I IB"1 ..... i-.nliSilOi'tiiiS ............... f .............. — is ............. " [[[
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
II '"ll.'1 '<' :<:'! .llililiiiHIIJin^ 'j —i« ^ ':'
325413 In-Vitro Diagnostic Substance Manufactunng
325414 Biological Product (except Diagnostic)
Manufacturing
3255 Paint, Coating, and Adhesive Manufacturing
1"' ;'32'551,, Paint,and Coating Manufacturing
32552 Adhesive Manufacturing
3256 Soap, Cleaning Compound and Toilet Preparation
Manufacturing
-------
B-3
Appendix B
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)
3 31421 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 Die-
Casting)
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
-------
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iiV'i Vllfill !
iiil* i - . lliiJ ,]'; ,;, .yfctti'1
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, "«, ' IF i- '„• ; 1 - ;:
III'")' ' •(" Hi" ' 'I t"1:;1 lit''" ,.
Appendix B
Codes
' ',i, "7 " ';, ™i""i ..... ;;;'"; r:!;"1 ;;'
v, '. • * " ..... "
,"';:;; ........... I";1,, :; ...... ' ..... ;'
* 1 ,>'«
.,„',>,•:;} "!-:" i: I"! I''M (i'Sii'l'-ill '/!• ! .if1;) ' ffeliC i.''!1!!'ill*!'*!
, I"1;! "iij" , ,; Hi.1 ,;i: a; ; - >,; •, ;•• y,: firti ''"i "!• j.i
t-L :': ..... , ...... KM ...... ;!' ,<•(' SIM!! .
I1 1. Illilll;' ..... •:•; liinii, ill
B-4
332612 Spring (Light Gauge) Manufacturing
33281 Coating, Engraving, Heat Treating, and Allied
Activities
332|l 1" "'JJIJe^^ea'tJiBa^ig
!i: 332$ 12 " MetallCoating,Engraving(exceptJewelry'ancl
11" " '" ^iiverware),''landAll!e"3l Service's "to
• IIIIIII I III Pill III I ill III II nil Illllllllllllllllllllll Illllllilf''! {, ' , ', ' "llrl'l ' I , ', , ,,,111 ",
Manufacturers
332813 Electroplating, Plating, Polishing, Anodizing
and Coloring
332,912 HuldPower Valve .and^ Hose Fitting
"", I-,:' if i Manufacturing
-', ,,3329,1,9,, Pita Metal Valve,and Pipe Fitting
is liiii is" i;.em ,, ^ '. f'33299 All Other Fabricated Metal Product Manufacturing
I't'iPllliJ 'I "i'||f 'Ililll'',, ' '|||||"i|i IIIIIIIIIIIHi''igillilH^^^ i|lllililiill':ll|ii|i illlllillllilillW^ ill' i', 'illl'lll'ili II ii ["I "iUllllMil 'ni
i;:;';;ji'iijii'i,"g, -',,,:,:• • ij^gg;0;,} ..Ball andRoilerBeanngManufacturing
::"::,::::::::;::::=:::::, ' '. 332992 Small Arms Ammunition Manufacturing
', ", i, mil' , • ' .!,|3299'9 All Other pisceilaneous Fabricated Metal
llti'if^ il'i'1?1,'' l!l^^^^^^^^^ Product Manufacturing
ii! iiiiliiii i1 Sii;. "''mi" <(' ' iiiillr ilil i,,S"iim JVIMMIIH, .'iiiiH 'ijiiiiiiii'ii'i'jiiii ic iSti'B^^^^^^^^^^^^^^^ IF i'liii', ;i!>:; iv ;i i;^ i
334 Computer and Electronic Product Manufacturing
33411 Computer and Peripheral Equipment
Manufacturing
• 333 Machinery^ Mannfacturing
USIJ Agricultural Implement Manufacturing
!£;: iss' 'iii!';:;:'' 'iii-'.l.i.iSSSll I ESfrn-Machinery and Equipment Manufacturing
§33112 Lawn' and Garden Tractor and Home Lawn and
' ' •": •':.; •. :•;:, •:..- :;, • ' ':: MI ,:.::; Garden Equipment Manufacturing
33312 Construction Machinery Manufacturing
'!!::: ''' ::£"! ;!SS ' -.'• .333295 Semiconductor Machinery Manufacturing
-;;';„;; „-,:,;_;,;—,," ; , ,133298 AliOther Industrial Machinery Manufacturing
333311 Automatic Vending Machine Manufacturing
,' j'ij; i, i, ijl' '' ;|1 , |33314 ^ ^g^^In^ument aad^Ge'ns M^facturing
;:r,^,,^|l|||l|^llll'llll..lllil^
"334T12"
'334113''
334Tf9"
33422
33441
334411"
334412
334413
334414
334415
334416
334417
334418
334419
334519
334613
Computer Storage Device Manufacturing
Somputer Terminal Manufacturing'
61heTCom'puite7p'erip'herai'EqSpmerit
Manufacturing
Radio and Television Broadcasting and Wireless
Communications Equipment Manufacturing
Semiconductor and Other Electronic Component
Manufacturing
Elfecbon'TurJe'Manuractimng
Bare Printed Circuit Board Manufacturing
Semiconductor and" ^Related Device
Manufacturing
Electronic Capacitor Manufacturing
Electronic Resistor Manufacturing
Electronic Coil, Transformer, and Other
Inductor Manufacturing
Electronic Connector Manufacturing
Printed Circuit Assembly (Electronic
Assembly) Manufacturing
Other Electronic Component Manufacturing
Other Measuring and Controlling Device
Manufacturing
Magnetic and Optical Recording Media
Manufacturing
335
'3333.1$! ............................. O,th,eE,Cornme,,rcial,, and Service ..... Industry
,; ............................................... Machinery Manufacturing
• 33341 5 Air-Conditioning and Warm Air Heating
't—'1 "''• ';:'~ ..... ""TSqmpme^'an'df Som^ercial' anSlnSiistnal
,3^5',] ,;:' " ji/jsjiSefngeration Equipment Manufacturing
3335 1 Metalworking Machinery Manufacturing
533511 ............ |JJ3us trial Mol d'Man'u^ictunng
333512 ......................... MachineTooliMe^ Cutting Types)
[[[ Manufacturing
333515 Cutting Tool and Machine Tool Accessory
Manufacturing
3336 1 1 Turbine and Turbine Generator Set Unit
' ............................................... Manufacturing
33351 3 ...................... Me<;§?imcal Power Transmission Equipment
Electrical Equipment, Appliance and
Component Manufacturing
335 1 1 Electric Lamp Bulb and Part Manufacturing
335122 Commercial, Industrial and Institutional
Electric Lighting Fixture Manufacturing
jijjjjjjj otEer Eighting Equipment Manufacturing"
33522 Major Appliance Manufacturing
335222 Household Refrigerator and Home Freezer
..................................... ___ _-
8 ^'"rOtierEngi"8 Equipment Manufacturing
33391 1 Pump and Pumping Equipment Manufacturing
333924 Industrial truck, Tractor, Trailer and Stacker
Machinery Manufacturing
333995 Fluid Power Cylinder and Actuator Manufacturing
333996 Fluid Power Pump and Motor Manufacturing
333999 All Other Miscellaneous General Purpose
Machinery Manufacturing
33531 Electrical E^uipmen^'Manufacturing
3353 1 1 Power, Distribution and Specialty Transformer
Manufacturing
3353 12 Motor and Generator Manufacturing
33591 Battery Manufacturing
335911 Storage Battery Manufacturing
3359 12 Primary Battery Manufacturing
335921 Fiber Optic Cable Manufacturing .....................................
33599 All Other Electrical Equipment and
Component Manufacturing
33599 1 Carbon and Graphite Product Manufacturing
335999 All Other Miscellaneous Electrical Equipment
and Component Manufacturing
336 Transportation Equipment Manufacturing
-------
B-5
Appendix B
NAICS Codes
Manufacturing
336111 Automobile Manufacturing
336112 Light Tmck and Utility Vehicle Manufacturing
33612 Heavy Duly 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
3 3 6611 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
337 Furniture and Related Product Manufacturing
33712 Household and Institutional Furniture
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
4229 Miscellaneous Nondurable Goods Wholesalers
42291 Farm Supplies Wholesalers
42299 Other Miscellaneous Nondurable Goods
-------
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IMMT * i-
Appendix B
NAICS Codes
B-6
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44-45 Retail Trade
3S1,1" fetsffloiliBS-Hiil6!?
442291 Window Treatment Stores
j^ing'Material and Supplies Dealers
422 Nursery" "an (fSanlen' Centers
.siiiiiyi'is " i |ll!i *a •
1 Grocery Stores
lM523,,Frait.andVegetable Markets
'I'M?'!"!' Gasoline Stations
S5291 Warehouse Clubs and Superstores
35359 Alf Other Miscellaneous Store Retailers
iu .ill," i ii ::l!|r||lii;"li||ii ii; I1i
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48-49
488 ^Support Activities for Transportation
i'^liirvT:!!^;:!^.^*;^1;;^^:!^,;^*!,"^:''' '"'Till!
'.7 '..."81 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
1 *": '•'•• •''• f ' ' ^ABuseJTSospiials ^
62231 Sp"ecMty^exc'ept Psychiatric and Substance
Abuse) Hospitals
•IF I..'!'.)*:! I'/liili, ii: .il'..1:
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485 1 1 Urban Transit Systems
486 Pipeline Transportation
3881 1 Airport Operations
488119 Other Airport Operations
I88J9 Other Support Activities for Air Transportation
.J8839 Other Support Activities for Water Transportation
si
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General" Warehousing and Storage
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54138 Testing Labs
54171 Research and Development in the Physical,
Engineering, and Life Sciences
illlllln .i'.,!!!:'!'!)"; HI!
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561431 Private Mail Centers
'
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lilt'fBrfsJl "ill • Ii lllillii11 .lli'l'ii il'l"'""^" S 1""1 '''* I: '' l|i: '"l|li" : '•"'•' " •'' '" '
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56292 Materials Recovery Facilities
56299 All Other Waste Management Services
562998 All O&er Miscellaneous Waste Management
Services
I II Ii
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-------
APPENDIX C
TECHNICAL ASSISTANCE
May 12, 2000
-------
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-------
APPENDIX C: TECHNICAL ASSISTANCE
WHERE CAN I GET HELP?
This appendix provides points of contact for the resources that are available to facilities
in complying with 40 CFR part 68 from EPA, OSHA,; and several other entities involved
in process safety and risk management issues.
U.S. ENVIRONMENTAL PROTECTION AGENCY
+ Chemical Emergency Preparedness and Prevention Office
1200 Pennsylvania Ave, NW (Mailcode 5104)
Washington, DC 20460
(202) 260-8600
www.epa.gov/ceppo/
CEPPO administers the RMP program at the national level. The CEPPO
homepage on the Internet provides access to downloadable versions of numerous
risk management program documents, many of which are also available upon
request from the National Center for Environmental Publications and
Information, see below.
+ EPCRA/Superfund/RCRA/CAA Hotline
Toil-Free: (800) 424-9346
Local: (703)412-9810
TDD: (800)553-7672
TDD Local: (703)412-3323
Monday - Friday, 9:00 am - 6:00 pm EST
www.epa.gov/epaoswer/hotline/mdex.htm
Questions or comments: epahotline@bah.com
EPA's RCRA, Superfund, and EPCRA Hotline is a publicly accessible service
that provides up-to-date information on EPA programs. The Hotline responds to
factual questions on a variety of federal EPA regulations, including those
developed under Clean Air Act section 112(r). The Hotline also responds to
requests for individual copies of documents.
+ National Service Center for Environmental Publications
P.O. Box 42419
Cincinnati, OH 45242
Phone: (800)490-9198
Fax: (513)489-8695
www.epa.gov/ncepihom/
May 12, 2000
-------
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1ii:: IB,*;';, i mm •,' ^mauwB f it v ^iM,mf :;,M;mi 'in.:iw"'i/ssii-'t^ •;• ja#;. Miui^'MS.^iiiD.ij ip|UIIBKmw iiii1 • ^ "• it • i* "
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u i ~f "; ii:,;; _': ~^~;~ i 'n ^"youf documents at cost.
'""" '^aional'TechnwalJnfbrmation Service
Technology Administration
,:;;"",;;:,U.S. .Department of Commerce
I :;:; :;::;;::"."".;;;;;:;; ; ;;:;=;;;;;,; ;;;;;;;:;:.,,:;;;;;;;;;:,;;;.' :::5285" Port-Royal Road
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Phone: ,iiii(80p)| 553-6847 ^toll-free)
;:i;:;; s~;; —7 ,^ J !;?.TPiK^7D31 3'2r-8?547 (verify receipt at (703) 487-4679)
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E-Mail: orders@ntis.fedworld.gov
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:^^ ..... SSS^Sia^aS'^SBSS; ...... tecEScal, ...... enimeering, [[[
^ ..... llr aBaiHslriess-reIated'''imcbrmation. Documents not available through the EPA
Hotiine are often available from NTIS. You can place your order by telephone,
*'"" " ' • s:'"f •* '" :jl ;' ' " •-*:; • S! oV'elmaiL |5fS"":ia!so offers online ordering for products added to the
v>.?wt. faimf.iAmmi'/'t. nxtt
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Office of Air Quality Planning and Standards
The Office of Air Quality Planning and Standards administers EPA's operating
am. Permits incorporate"terms and conditions to assure that the
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May 12,2000
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-------
C-3
Appendix C
Technical Assistance
source complies with all applicable requirements. The RMP regulations are
considered to be an applicable requirement.
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.
+ Office of Information and Consumer Affairs
U.S. Department of Labor
RoomN3647
200 Constitution Avenue, NW
Washington, DC 20210
(202)523-8151
www.osha.gov
+ OSHA Process Safety Management Homepage
www.osha-slc.gov/SLTC/processsafetyrnanagement/index.html
The PSM homepage on the Internet provides access to downloadable versions of
numerous process safety management documents.
+ OSHA Consultation Services
www.osha.gov/oshprogs/consult.html
Using a free consultation service largely funded by OSHA, employers 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. Primarily targeted for smaller businesses, this safety
and health consultation program is completely separate from the OSHA
inspection effort.
+ OSHA Office of Training & Education
Head Registrar
OSHA Training Institute
Des Plaines, Illinois
(847)297-4913
www.osha-slc.gov/Training/index.html
The OSHA Office of Training and Education offers short-term training through
the OSHA Training Institute. The Office also administers the OSHA Training
Institute Education Centers program, in which designated nonprofit
May 12, 2000
-------
Ill 111 II 111 11111
Appendix C
'Technical Assistance
II 1111 111 I III I II I
C-4
i ,.: [ i; • ,;,„,, ,,ij; -s;:?,;;,i.; , i; -, ; organizations in each federal region offer the most frequently requested courses
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'" 'l^'a"co^erafiviB 'relationship at a workplace that has implemented
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OSHA Regulations" ...... FederarRe^ster notices", ..... Iriterpretations and Compliance
Letters OSHA"Reg^ti6ns''(preamHes' to'final rules), Review Commission
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-------
C-5
Appendix C
Technical Assistance
OTHER ORGANIZATIONS
International Institute of Ammonia Refrigeration
1110 North Glebe Road, Suite 250
Arlington, VA 22201
Phone: 703-312-4200
www.iiar.org
E-Mail: iiar@iiar.org
EAR publishes a guidance document for OSHA PSM compliance as well as
other guidance and standards for ammonia refrigeration systems.
American Institute of Chemical Engineers
345 E. 47th St.
New York, NY 10017-2395
(212) 705-7338
www.aiche.org/
Center for Chemical Process Safety
345 E. 47th St., 12th FL
New York, NY 10017-2395
(212)705-7319
www.aiche.org/ccps/
AIChExpress Service Center
(800) AIC-HEME (242-4363)
Monday - Friday, 9:00 am - 5:00 pm EST
E-Mail: xpress@aiche.org
AIChE prints a Continuing Education catalog for its educational and training
programs and an annual Publications Catalog from which documents can be
purchased.
Small Business Administration (SBA)
409 Third Street, SW
Washington, DC 20416
(800) 827-5722
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 C
Technical Assistance
C-6
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E-mail; gpoaccess@gpo.gov
' '''"'i p'fione:'' (202) 512= 1530 (local)
Phone: (888) 293-6498 (toll-free)
i512-1262
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-------
APPENDIX D
OSHA GUIDANCE ON PSM
-------
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-------
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.
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Appendix D
OSHA Guidance on PSM
D-2
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The information pertaining to process equipment design must be documented. In other words, what were
the CQd^esand1 ..... sto3ar3s relieffon^ These codes and standards are
published by such organizations as the American Society of Mechanical Engineers, American Petroleum
Institute," AmencanNationaT 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,^ A^ Manufacturers Association, and model building
code groups! In addition, vaiffousengmVeraig 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 pGase fTow'for venting devices. This type of technically recognized report would
Constitute goooTengineering practice.
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PROCESS HAZARD ANALYSIS
X process hazard analysis (PHA), sometimes called a process hazard evaluation, is one of the most
important elements "of 'the 'process safety mamgemenfpfogram:' A PHA is an organized and systematic
effort to identify and analyze tne' significance of potential hazards associated with the processing or
handling of highly hazardous chemicals. A PHA provides information which will assist employers and
employees ; uTmaIEing"dl5cIsi6:ns' for improving safety and reducing the consequences of unwanted or
unplanned releases of hazardous chemicals.
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A PHA is directed toward analyzing potential causes and consequences of fires, explosions, releases of
foxic or flammable chemicals and major spills of hazardous chemicals. The PHA focuses on equipment,
•'• line process.
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selection ..... ofaJ metSodofogy or teclmique will be influenced by many factors including the
! lie process." Is it a process that has been operated for a long period
...... , ..... ?4 .^SHiiy® ®^E£^®??™ ..... ™2,™^,,,,I^~~d-^!ti1 its us??,,,°r' is it: a
^'c^wnicnTa^b'een changed ..... frequenfly'BytE'e1 ..... Session ..... of'mnovative features? Also, the
of tte process wiU influence the decision as to the appropriate PHA methodology to
are ...... suTijectlo'HrtaElmutalions. For example, the checklist methodology
is very stable and no changes are made, but it is not as effective when the
has undergone extensive change. The checklist may miss the most recent changes and
- ..... Another limitation to be considered concerns the
'"";"; '^fum^onTmaoS'by'flieleam orlmalystrThe 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
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D-3
Appendix D
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.
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Appendix D
OSHA Guidance on PSM
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When the employer has a number of processes which require a PllA, 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
aversely affecting the largest nui55er Ofemplbyees] This prioritizing should consider the potential
leVenty of a chemical release, the number of potentially affected employees, the operating history of the
':|r5ce!ss'suc£ ...... as tfie ..... fiequency' oFcEe'mical releases; ..... the age of the process and any other relevant factors.
Jh'e'se factors wouKJ suggest a ra nking 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
geterminlig wmcif process should be of the highest priority and thereby the employer would obtain the
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' I5PEM1MG PROOBURES
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"if if1:1!'^''!"'""" fiMntained, samples to be collected, and safety and health precautions to be taken. The procedures need
to be technicallyIc'curate, ^^ersfandable to employees, and revised periodically to ensure that they
ifi, ''M,'': rcHect cuxtsnt operations. Tneprocess safety" information package is to be used as a resource to better
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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 mat they are accurate and provide practical
Instructions on how to actually carry out job duties safely.
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Operating procedures will include specific instructions or details on what steps are to be taken or
fallowed jn garrying out the stated procedures. These operating instructions for each procedure should
Igludf appropriate information on safety
"SplicationsT 5For example;' line operating procedures addressing operating parameters will contain
operating instructions about pressure limits, temperature ranges, flow rates, what to do when an upset
:56iStion occursj ^^|1™j^.J^s ^jJi^frumenfi are"pertinent if an upset condition occurs, and other
'gUbjects! A^Io^ierexainpre'' ofusing ope"ra"tmg ms'teuctiofis "'to "p'r'opgr]y j^^^y. Operating procedures is
m starting up or shutthig down the process. In these cases, different parameters will be required from
those of normal operation^ Th"eS'e" operatinjg insiiuctiohs'rie'ed to clearly indicate the distinctions between
Startup ™£™™~|'^era]J0ns"^ heating up a unit to reach the
15rrnal operating parameters. A^So'fh'e operating instructions need to describe the proper method for
increasing the temperature of the unit until the normal operating temperature parameters are achieved.
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irocess control systems add complexity to operating instructions. These operating
toslructions need to describe the logic of the software as well as the relationship between the equipment
ggd the controlr system; otherwise, it may not be apparent to the operator.
Operating procedures and instructions are important for training operating personnel. The operating
often viewed as the standard operating practices (SOPs) for operations. Control room
II an2 operating staff, in general, need to have a full understanding of operating procedures. If
lures and instructions need to be prepared in a second
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language understood by the workers. I
^Ichange 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.
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D-5
Appendix D
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 hi 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.
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Appendix D
OSHA Guidance on PSM
D-6
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Employers need to periodically evaluate their training programs to see if the necessary skills, knowledge,
andiQUtines are being properly understood and implemented by their trained employees. The means or
methods for evaluating the fraining 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
,,,^_^_._g_j,,™_^__^_^gn^J£ at m~e level ofknowledge and skill that was expected, the employer
will need to revise the training program, provide retraining, or provide more frequent refresher training
ilslions 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
mfbrmaSon.
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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 Eazardous 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 of4 process equipment.
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Elements of a mechanical hiteg^ryjprogram mclude'meiden^ibaHon'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.
ic first line of defense an employer has available is to operate and maintain the process as designed,
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1 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
ISfolSction systems like sprinklers, water spray, or deluge systems, monitor guns, etc., dikes, designed
dj[a|nage systems, and other systems which would control or mitigate hazardous chemicals once an
|iEwanl|d release occurs. These primary and secondary lines of defense are what the mechanical
! primary and secondary lines of defenses where
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ffiS'j^sJjtep of an effective mechanical integrity program is to compile and categorize a list of process
eguigment and mstrumentation for inclusion in the program. This list would include pressure vessels,
llolage firiks, process piping, relief and vent systems, fire protection system components, emergency
JShutdo^ systems, and alarms and interlocks and pumps. For the categorization of mstrumentation and
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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.
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Appendix D
OSHA Guidance on PSM
D-8
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IVI ANAGEMENT OF CHANGE
To properly manage changes to process chemicals, technology, equipment and facilities, one must define
jjjfhat is mgairit Bychanged E 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 ffie change! FoFKcanipTej flreopraa^g'procedufes"contain the operating parameters (pressure limits,
||= ^^~^:=|=gL:;||{)w^e^ -^-j ^fl"^ importance of operating within these limits. While the
•^^fl^ig^^-^e^e^^ty to maintain safe operation within the established parameters, any
operation outside of these parameters requires review and approval by a written management of change
kfoc'edure. Management of change covers changes hi process technology and changes to equipment and
Changes in."process technology can result from changes in production rates, raw
.tation, equipment unavailability, new equipment, new product development, change
operating conditions to improve yield or quality. Equipment changes include
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; others change in materials of construction, equipment specifications, piping pre-arrangements,
,,_^__,gp,,^,«™«™""revisions and changes in alarms and interlocks. Employers
need to establish means and methods to detect both technical changes and mechanical changes.
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temporary changes have caused a number of catastrophes over the years, and employers need to
gSlgblish 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
l|BHg|i«ii.!i|i«L«™^'^Jj£an"enL TranpTaaryHi^glss 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
\v of tEese changes is invaluable in assuring that the safety and health
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HSlderations are being incorporated into the operating procedures and the process. Employers may
wish to devejpp 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,
I'lie tMJmlcj^asIs fpr'tfie S^ge^Tafety anThe'altri'considerations, documentation of changes for the
^^|^!^J^p^g^J^e^'J|!^^ten>ance procedures'" inspection and testing, F&D3S, electrical classification,
raSung ^j'-'-^^j^^g™^1 pre"startup inspection, duration if a temporary change, approvals and
luthonzation^ Where "trieimpact of the change is minor and well understood, a check list reviewed by an
""authorized'person wim''proper'cb'mmuni'c'ation to others who are affected may be sufficient.
| I*1! !!
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jSQweye^'!for a mor^coi^Iex'br"significant'"design change, a halzaird'evaluation procedure with approvals
by "operations^"maintenance"," and safery departments may be appf ^gafg. 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
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manual^ are updated. Copies of process changes need to be kept in an accessible location to ensure that
j't^i; l^^j^ QJ^g'e>g'^^"^^|a'gJe~t^ operating' personnel as well as to PHA team members when a PHA is
being done or one is being updated.
i M
PRE-STARTUP REVIEW
For new processes, the employer will find a PHA helpful hi 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
I! Ill1 ill:'If!
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(ill Kill
I1 (i
-------
D-9
Appendix D
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 PBA 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
-------
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p'repanning stage j 5ie auctit team 'can systematically analyze
ad"any otnercofpblratepb'Iicie's that are relevant. For
ludltteanf wffl'review''^ aspecte of'th'e training program as part of the overall audit. The
"£"?*'*•?! i?!l'*ii^ 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
=^"~~K.'!i.i "i" I i" "Eiowledge 'and~awaifeness' of "the salsty prbc'eBures^ duties J' rules'^ emergeney response assignments, etc.
"i'.".-^™:" "~"'&Sring"'ffie In^ectibn^ g.^ ^ea^j -— observe acraal practices such as safety and health policies,
ftifi|IKl«; mi1; prieedures, and work authorization practices. This approach enables the team to identify deficiencies
lift lii'" fc:!^£[3?I^E4!^^l^!£^?i£^y.€,^Q^Pn§, or improvements are necessary.
! |:J9;ii*:]|H '^/iH^^^^ 'U&f'^Mify.
p::11 i^.-irjL-i •:•£. An audit is a technique used to gather sufficient facts and information, including statistical information,
' !Q YSrjfy compliance with standards. Auditors should select as part of Heir preplanning a sample size
adegreeoFconJSdence mat "fEe'audif reflects the level of compliance with the standard.
systematic analysis, should document areas which require corrective action
L:!li;!!l!:;l' !ll! !!!r Is welTis those areas wnere'tihe1 procesiTsalety ^"^g-j^g^i —-|~ -g effective and working in an
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: ig^ Ifjgctive .manner. This provides a record of the audit procedures and findings, and serves as a baseline of
| -|jj,:;j:t|g5eration data for fature audits. It will assist future auditors in determining changes or trends from
K! Bffi'fiJSi JiEi •; grevipus audits. '
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Corrective action is one of the most important parts of the audit. It includes not only addressing the
'1 I I 1 ,1 I imp . , _ ,, • , » ' _ : s
identified deficiencies, but also planning, follow up, and documentation. The corrective action process
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J|5fmaliy 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
I procedure:'6r minor maintenance effort to remedy the concern. Management of change procedures need
I to be used, as appropriate, even for what may seem to be a minor change. Many of the deficiencies can be
I acted on promptly, while some may require engineering studies or in-depth review of actual procedures
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and practices. There may be instances where no action is necessary and this is a valid response to an
!!s;ilr>s{!!a. 't'Liii audit *^id^ng! All actions taken, inclu3ing an explanation wEere no action is tak'en on a finding, needs to
be documented as to what was done and why.
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I :; liiiji Mtl&jpd. 4k? pdit person or team responsible be properly documented by the employer.
W'ilWBi! i.!-k'i (To"control tEe cbrriBictive action"pfbce'ss','iffiLe employer'should consider the use of a tracking system. This
["^ -:~- : •': teackui^s^stem might •n'™J~"5e"-pe'r]0"(j|cI ——-—™j|- ^--^--|.—j-j- _—~— levels" of" management, sjpecific
'^;:^Z.i::,.::;,: gigorfs such as completion of an engineering study, and a final implementation report to provide closure
, i;:;;;11: 'z.^^*.. , „:;»;,;; fgr, audit .findings that have been through management of change, if appropriate, and then shared with
^.™:r.^~~ ••-":•': SifoctccI e^plcye^' a^3'man^ement. TlGistype' bFtrackuig system provides the employer with the status
;ii= ";;E:s "If ,|he corrective action. It also provides the documentation required to verify that appropriate corrective
I iHm^^^^^^^^^^ i • actions" Were liken on deficiencies identified in the audit.
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Incident investigation is the process of identifying the underlying causes of incidents and implementing
siep's to prevent similar events from occurring. The intent of an incident investigation is for employers to
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! [ '" ] ! '"
-------
D-ll
Appendix D
OSHA Guidance onPSM
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 then-
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.
-------
si:::::;:;: ., :; Appendix D
D-12
II I II
ii'.iiii 11 .•• *>' '•
.- M, CONTRACTORS
111 II 11(111 IIIIIII
•llppipyers 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
1^=1^^ ^..^ppmpiisTi"^ desIred joS'ta^kli wlfiiout'cbmpirbmising the safety and health of employees at-a facility.
*i» is not known to the hiring employer, the employer
k^'*** li:'ll""i''" ***LUl "' ' ' '" 8""J|^g JJ^^alion ^ yyuj-y an^^^ness rates ~g experience an3 should obtain contractor
Iditignaliy^1 the employer must as¥ure"tb^lne 'cbn&actofSs tfie"appropriate job skills,
knowledge and certifications (such as for pressure vessel welders). Contractor work methods and
! Wtl?BJ*f .'iii';': gfe|j|ggggg sliouTcr'i&e e'va]u^;e"g; for example^ does 'the contractor conducting demolition work swing
i,,, haiiiiiif'iuriiihiiiiyiii!; Jsi'1"1,1*!.,, iiiU'Mf^j , , , , z ^ ^ , T • j 11 J o
jgads over operating processes or does the contractor avoid sucn hazards.'
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. ,_^,,,,,,,,__,,.,^^^gjg^i^^-^o^e:£gaj[y-j^!aj.jjous tagks such as confined space entry activities and non-routine repair
! i ~"; ~ " riictlvMels it is quUe'importanTtn^'ffieir activiHes 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
l'^[ J "r.!T J ° J to"ali"affecte3 einjnbyersi s^g-"— - -^a W0f£^uffi0n^tib'n' ^^m keeps an employer informed of
SSilfract employee activities, and as a benefit the employer will have better coordination and more
! •;;::-;•"•"-•••:- .;•-'-': |i|g~|m:|g| gonlfol over 'ffie worFfaeuig'performed in the process area. A well run and well maintained
^^''fMJjiji •<*:! ':gKjegii Where employee "safety Is "Mly recognized""will'benefit all of those who work in the facility
'I:1" * IJ''^ :" ,,i" 5|hether,ffiey be contoct employees or employees of the owner.
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xvEPA
United States
Environmental Protection
Agency
Office of Solid Waste
and Emergency Response
(5104)
EPA550-F-98-017
August 1998
www.epa.gov/ceppo
HAZARDS OF AMMONIA RELEASES
AT AMMONIA REFRIGERATION
FACILITIES
The Environmental Protection Agency (EPA) is issuing this Alert as part of its ongoing
effort to protect human health and the environment. EPA is striving to learn the causes
and contributing factors associated with chemical accidents and to prevent their
recurrence. Major chemical accidents cannot be prevented solely through command and
control regulatory requirements, but by understanding the fundamental root causes,
widely disseminating the lessons learned, and integrating these lessons learned into
safe operations. EPA will publish Alerts to increase awareness of possible hazards. It
is important that personnel who operate refrigeration systems, managers of facilities,
SERCs, LEPCs, emergency responders and others review this information and take
appropriate steps to minimize risk.
PROBLEM
Anhydrous ammonia is used as
a refrigerant in mechanical
compression systems at a
large number of industrial facilities.
Ammonia is a toxic gas under ambi-
ent conditions. Many parts of a
refrigeration system contain ammo-
nia liquefied under pressure. Re-
leases of ammonia have the potential
for harmful effects on workers and
the public; if the ammonia is under
pressure, larger quantities may be
released rapidly into the air. Also,
some explosions have been attributed
to releases of ammonia contaminated
with lubricating oil. This Alert further
discusses these potential hazards and
the steps that can be taken to mini-
mize risks. This Alert should be
reviewed by personnel who operate
and maintain refrigeration systems,
managers of facilities, and emergency
responders (e.g., haz mat teams).
ACCIDENTS
A number of accidental releases
of ammonia have occurred
from refrigeration facilities in
the past. Causes of these releases
include plant upsets, leading to the
lifting of relief valves; leaks in rotat-
ing seals; pipeline failures; vehicular
traffic hitting pipes, valves, and
evaporators; and failures during
ammonia delivery, such as hose leaks.
Some of these releases have killed
and injured workers, caused injuries
off site, or resulted in evacuations.
The following describes several
recent incidents in more detail.
A specific incident demonstrates the
need for mechanical protection to
protect refrigeration equipment from
impact. In a 1992 incident at a meat
packing plant, a f orklif t struck and
ruptured a pipe carrying ammonia
for refrigeration. Workers were
evacuated when the leak was de-
tected. A short time later, an explo-
sion occurred that caused extensive
damage, including large holes in two
sides of the building. The forklift was
believed to be the source of ignition.
In this incident, physical barriers
would have provided mechanical
protection to the refrigeration system
and prevented a release.
Another incident highlights the need
for an adequate preventive mainte-
nance program and scheduling. In a
1996 incident in a produce cold
storage facility, oil pressure got low
Chemical Emergency Preparedness and Prevention Office
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Two other incidents illustrate the potential for effects. The ERPG-2 for ammonia is 200 ppm. EPA
serious effects from accidental releases from ammo- nas acjppted the ERPG-2 as the toxic endpoint for
n|a refrigeration systems, although the causes of ammonia for the offsite consequence analysis
:=jlj^i! ^s^releases.were.rwt^pbrEed. In a 1986 incident required by the Risk Management Program (RMP)
in a packing plant slaughterhouse, a refrigeration Rule under section 112(r) of the Clean Air Act.
™ a» Eight workers
'Illll ^efl'<ically injured7su%ring respiratory burns In refrigeration systems/ammonia is liquefied
I, fromammonia inhalation, and 17 others were less under pressure. Liquid ammonia that is acciden-
severely hurt. A1989 ammonia release in a frozen tally released may aerosolize (i.e., small liquid
5'wwiK pizza planfled to: the'evacuation of nearly all of the droplets may be released along with ammonia gas)
4500 residents of the town where the plant was and behave as a dense gas, even though it is
" :{ ; s ' ! '* lSja ' |tar^c[wlimim1end'cap'''ofa normally lighter than air (i.e., it may travel along
16-inch suction line of the ammonia refrigeration
system was kno^eof bf£ Up to 45,000 pounds of
:'i i ammonia was released{Jorming5 cloud 24 city
blocks long. About 50 area residents were taken to
hospitals, where they were treated with oxygen
and released, while dozens of others were treated
. 'wjtr^ oxygen at evacuafion centers.
the ground instead of immediately rising into the
air). This behavior may increase the potential for
exposure of workers and the public.
Although pure ammonia vapors are not flam-
mable at concentrations of less than 16%, they may
be a fire and explosion hazard at concentrations
between 16 and 25%. Mixtures involving ammo-
nia contaminate3"wltrnui3ncatiiig"oil from the
system, however, may have a much broader
mm'onia i us^d widely arid in large quanti- explosive range. A study conducted to determine
ties for a variety of purposes. More than the influence of od on the flanunabdrty limits of
, *. ^8Q% of ammonia produced is used for ammoniafoun dthatoilr,.due edth e lower flam,
asriculturSPurposeJs;le£thantwopercentiSused maWity limit as lowas 8%, depending onthe type
1 :jteg^J^w ofjmmonia is generally safe and concentration of oil (Fenton, et al., 1995).
i. j. „ ^^^^j-^rr An important property of ammonia is its pungent
odor. Odor threshold varies with the individual
but ammonia can be usually detected at concentra-
tions in the range of about 5 ppm to 50 ppm.
Concentrations above about 100 ppm are uncom-
fortable to most people; concentrations in the
range of 300 to 500 ppm will cause people to leave
the area immediately.
e3
,^^SiS; ....... £!§ llSE°£tant to recoSnize'
however; that ammonia is toxic and can be a
ihazard to human health. It may be harmful if
' ..... ^f^tnatrealE'AanSniSEafibh (OSHA) Permis-
sible Exposure Level (PEL) is 50 parts per million
(PPm)/ 8-hour time-weighted average. Effects of
inhalation of ammonia range from irritation to
i^g! Jllgiratory injuries, with possible fatality at
• •j%gg£I; ----- —-- n ~™ ^gg'f^atiorral Institute of
Occupational Safety and Health (NIOSH) has
anserous to Life and
HAZARD REDUCTION
''.JHealS'.^iroLH) level of 300 ppm for the purposes of
'||^ap«|^—l—g-— XrnnuJnJa11g("1co'rrosive and can
T
bum the skin and eyes. Liquefied ammonia can
h»f!Ei»S5t:'^Ws^ frostbite.
!he Chemical Accident Prevention Group of
EPA's Region III (Pennsylvania, Maryland,
Virginia, West Virginia, Delaware, and the
District of Columbia) has been evaluating facilities
in Region III with ammonia refrigeration systems
to gather information on safety practices and
I "-"ii
-------
HAZARDS OF AMMONIA RELEASES AT AMMONIA REFRIGERATION FACILITIES
AUGUST 1998
technologies and to share its knowledge with
these facilities. Region III has conducted more
than 120 audits from 1995 to the present of both
large and small facilities using ammonia for
refrigeration. To share their findings from the
audits, including both the deficiencies observed
and the actions that facilities are taking to increase
safety, Region III has made presentations to the
Refrigerating Engineers and Technicians Associa-
tion (RETA). This Alert is intended to communicate
these findings to a wider audience.
Ammonia refrigeration facilities should be aware
of the potential hazards of ammonia releases and
of the steps that can be taken to prevent such
releases. They should be prepared to respond
appropriately if releases do occur. Here are steps
that ammonia refrigeration facilities could take to
prevent releases and reduce the severity of re-
leases that do occur include:
• Establish training programs to ensure that the
ammonia refrigeration system is operated and
maintained by knowledgeable personnel.
• Consider using a spring-loaded ball valve
(dead-man valve) in conjunction with the oil
drain valve on all oil out pots (used to collect
oil that leaks through seals) as an "emergency
stop valve."
• Develop written standard operating proce-
dures for removing oil from the oil out pots.
Consider developing an in-house checklist to
guide mechanics through the procedure.
• Remove refrigeration oil from the refrigera-
tion system on a regular basis. Never remove
oil directly from the refrigeration system
without pumping down and properly isolat-
ing that component.
• Provide barriers to protect refrigeration
equipment, i.e., lines, valves, and refrigeration
coils, from impact in areas where forklifts are
used. Consider starting a forklift driver
training program.
• Develop and maintain a written preventive
maintenance program and schedule based on
the manufacturer's recommendations for all
of the refrigeration equipment. The preven-
tive maintenance program should include,
but not be limited to:
a) compressors
b) pumps
c) evaporators
d) condensers
e) control valves
f) all electrical safety(s), including
1) high pressure cutouts
2) high temperature cutouts
3) low pressure cutouts
4) low temperature cutouts
5) low oil pressure cutouts
g) ammonia detectors
h) emergency response equipment, including,
1) air monitoring equipment
2) self-contained breathing apparatus (SCBA)
3) level A suit
4) air- purifying respirators
Perform vibration testing on compressors.
Document and analyze results for trends.
Maintain a leak-free ammonia refrigeration
system. Investigate all reports of an ammonia
odor and repair all leaks immediately. Leak test
all piping, valves, seals, flanges, etc., at least four
times a year. Some methods which can be used
for leak testing are sulfur sticks, litmus paper,
or a portable monitor equipped with a flexible
probe.
Consider installing ammonia detectors in areas
where a substantial leak could occur or if the
facility is not manned 24 hours/day. The am-
monia detectors should be monitored by a local
alarm company or tied into a call-down system.
Ensure that the ammonia detectors are cali-
brated regularly against a known standard.
Check the operation of ammonia sensors and
alarms regularly.
Replace pressure relief valves (PRVs) on a five-
year schedule; document replacement dates by
stamping the replacement date onto each unit's
tag.
Replace single PRVs with dual relief valves. A
dual relief valve installation consists of one
three-way dual shut-off valve with two pres-
sure safety relief valves.
For large systems with many PRVs, consider
using the arrangement shown in Exhibit 1 for
detecting leakage. This arrangement includes
installation: of a rupture disc upstream of each
PRV with a gauge port or transducer in be-
tween the disc and PRV and installation of an
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HAZARDS OF AMMONIA RELEASES AT AMMONIA REFRIGERATION FACILITIES
AUGUST 1998
mmonia sensor in the PRV common mani-
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R K !!TSe"nSo,r wotud set off an alarm. A check of
either the pressure gauge or transducer signal
[|*f r vS'iSS&M P^111^ easy identification of which
EXHIBIT 1
RUPTURE DISC/DUAL RELIEF VALVE ASSEMBLY
To common
manifold tying
in all PRVs ,
disc
•Three-way valve
Consider installing a low water level probe
with an alarm in the water sump for the
^al^r'ative condenser(s) to warn of water
supply failure.
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Ensure that the ammonia refrigeration system
is rfoufinely monitored. Consider using a
I ISsllii!'
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(e.g., temperature and pressure
levels) and reviewing the log on a regular
basis. Consider having the chief engineer and
^^^^ "
l|i|ine room log. In designing new systems
, __«,.,._.,.__,,.^.^ ^stems', consider the
uter controls to monitor the
• Keep an accurate record of the amount of
ammonia that is purchased for the initial
charge to the refrigeration system(s) and the
'' ' "Smofint' tilt is replaced. Consider keeping a
record of the amount of lubricating oil added
fofche system and removed from the system.
in n in i n iMiiiiiiiiiiiii
Ensure that good housekeeping procedures
are followed in the compressor rooms.
Ensure that refrigeration system lines and
vales'" 'are 'aHequaFely identified (e.g., by color
coding or labeling) by using an in-house
system.
Properly post ammonia placards (i.e. NFPA
704 NH3 diamond) and warning signs in
areas where ammonia is being used as a
refrigerant or being stored (for example,
compressor room doors). Properly
identify the chemicals within the piping
system(s); label all process piping, i.e.
piping containing ammonia, as "AM-
MONIA." Label must use black letters
with yellow background. (This require-
ment is not the same as the in-house
color coding system.)
• Periodically inspect all ammonia
refrigeration piping for failed insulation/
vapor barrier, rust, and corrosion.
Inspect any ammonia refrigeration
piping underneath any failed insulation
systems for rust and corrosion. Replace
all deteriorated refrigeration piping as
needed. Protect all un-insulated refrig-
eration piping from rust and/or corro-
sion by cleaning, priming, and painting
-i™.— - — - ..... _™-r—
Carry out regular inspections of emergency
equipment and keep respirators, including
air-purifying and self-contained breathing
apparatus [SCBAJ,' arid other equipment in
good shape; ensure that personnel are trained
in proper use of this equipment. For SCBA, it
is important to ensure that air is bone dry. For
air-purifying respirators, replace cartridges as
needed and check expiration dates.
Consider using the compressor room ammo-
nia detector to control the ventilation fans.
Identify the king valve and other emergency
isolation valves with a large placard so that
they can easily be identified by emergency
responders, in case of an emergency. These
valves should be clearly indicated on the
piping and instrumentation diagrams
(P&IDs) and/or process flow diagrams.
arid instructions on what to do during and
after a power failure.
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HAZARDS OF AMMONIA RELEASES AT AMMONIA REFRIGERATION FACILITIES
AUGUST 1998
• Establish written emergency procedures and
instructions on what to do in the event of an
ammonia release.
• Mount a compressor room ventilation fan
manual switch outside of the compressor room
and identify it with a placard for use in an
emergency. Good practice would be to have
ventilation switches located outside and inside
of each door to the compressor room.
• Mount windsocks in appropriate places and
incorporate their use into the facility emergency
response plan. In addition to the emergency
response plan, consider developing additional
materials (posters, signs, etc.) to provide useful
information to employees and emergency
responders in case of an emergency.
• Keep piping and instrumentation diagrams
(P&IDs), process flow diagrams, ladder dia-
grams, or single lines up-to-date and incorpo-
rate them into training programs for operators.
• Stage a realistic emergency response spill
exercise with the local fire company.
References
Fenton, D.L., K.S. Chapman, R.D. Kelley, and A.S.
Khan. 1995. Operating Characteristics of a flare/
oxidizer for the disposal of ammonia from and
industrial refrigeration facility. ASHRAE Transac-
tions. 101 (2), pp. 463-475. Atlanta, GA: American
Society of Heating, Refrigeration, and Air-Condition-
ing Engineers.
INFORMATION RESOURCES
General References
The Alaska DEC fact sheet on preventing accidental
releases of anhydrous ammonia is available at:
http://es.inel.gov/techinfo/facts/alaska/ak-fs03.html.
CEPPO has prepared a general advisory on ammo-
nia (OSWER 91-008.2 Series 8 No. 2), available
at: http://www.epa.gov/ceppo/acc-his.html.
Statutes and Regulations
The following are a list of federal statutes and
regulations related to process safety, accident
prevention, emergency planning, and release
reporting.
EPA
Clean Air Act (CAA)
• General Duty Clause [Section 112(r) of the
Act]- Facilities have a general duty to prevent
and mitigate accidental releases of extremely
hazardous substances, including ammonia.
• Risk Management Program (RMP) Rule [40
CFR 68]- Facilities that have anhydrous
ammonia in quantities greater than 10,000
pounds are required to develop a hazard
assessment, a prevention program, and an
emergency response program. EPA has
developed a model guidance to assist ammo-
nia refrigeration facilities comply with the
RMP rule.
Emergency Planning and Community Right-to-
Know (EPCRA)
• Emergency Planning [40 CFR Part 355] -
Facilities that have ammonia at or above 500
pounds must report to their LEPC and SERC
and comply with certain requirements for
emergency planning.
• Emergency Release Notification [40 CFR Part
355]- Facilities that releaselOO pounds or more
of ammonia must immediately report the
release to the LEPC and the SERC.
• Hazardous Chemical Reporting [40 CFR Part
370]- Facilities that have ammonia at or above
500 pounds must submit a MSDS to their
LEPC, SERC, and local fire department and
comply with the Tier ]/ Tier II inventory
reporting requirements.
• Toxic Chemicals Release Inventory [40 CFR
Part 372] - Manufacturing businesses with ten
or more employees that manufacture, process,
or otherwise use ammonia above an appli-
cable threshold must file annually a Toxic
Chemical Release form with EPA and the
state.
Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA)
• Hazardous Substance Release Reporting [40
CFR Part 302]- Facilities must report to the
National Response Center (NRC) any
-------
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HAZARDS OF AMMONIA RELEASES AT AMMONIA REFRIGERATION FACILITIES
AUGUST 1998
environmental release of ammonia which
exceeds 100 pounds. A release may trigger a
"---response by EPA, or by one or more Federal or
Sf State emergency response authorities.
OSHA
• PtocessSafety Management (PSM) Standard [29
;QFR 1910] Ammonia (anhydrous) is listed as a
. ''" ......
"I mfflSnlim quantities ..... at or 'above the threshold
,1;, »^a'gg^;-0yjg/(jgg-p^n(is ..... are subject-to a number
of requirements for management of hazards,
. Jnclpding performing a process hazards analysis
and m^}nm|a}ning mechanical integrity of equip-
ment
iiiii i1 i i ii
ii
t, Hazard Communication [29 CFR 1910.1200] -
_ nil iiiiii|i| ill 11 iinii in ii 11 . in1] j . . .
fe||eguires that the potential hazards of toxic and
Hi Effili^aMrdous chejmca^be evaluated and that
-; Impoye rs'tra nsmittnis information1 to'Sieir
^l.^;,;;,;;^,. employees.
!»;;!«! i ss'!5 For additional information, contact OSHA
Public Information at (202) 219-8151.
M; ;- • ~ Web site: ht^://www.osha.gov
Codes and Standards
There are a number of American National Standards
Institute (ANSI) Standards available for refrigeration
systems. Some examples are given below.
AMSI/ASHRAE Standard 15-1994 - Safety Code for
Mechanical Refrigeration
Available for purchase from the American Society of
Heating, Refrigerating and Air-Conditioning Engi-
rte'ers (ASHRAE) International Headquarters,
\ffii Tullie Circle, ME, Atlanta, GA 30329-2305.
Customer service: 1-800-527-4723
I
ANSI/IIAR 2-1992 - Equipment, Design, and Installa-
tion of Ammonia Mechanical Refrigeration Systems
Available from the International Institute of Ammonia
Refrigeration (HAR)
1200 l9th7SSeeC'NW^ ', " "*'"..'" ..' ^ .."'..'" ,'."" " „ ''',„'' ~'~',
Suite 300
Washington, DC 22036-2422
(202) 857-1110
Web site: http ://www.iiar. org
ISO 5149-1993 - Mechanical Refrigerating Systems
Used for Cooling and Heating - Safety Requirements
Available from the American National Standards
Institute (ANSI)
11 West 42nd Street
III 1 I II lllllll|i|lu
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