United States
Environmental Protection
Agency
Office of Solid Waste
and Emergency Response
(5104)
EPA550-B-98-Q03
July 1998
www.epa.gov/ceppo/
SEPA
GENERAL GUIDANCE
FOR
RISK MANAGEMENT
PROGRAMS
(40 CFR PART 68)
Office
> Printed on recycled paper
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,» IT
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This document provides guidance to help owners and operators of stationary sources to
determine if their processes are subject to regulation under section 112(r) of the Clean Air Act
and 40 CFR part 68 and to comply with regulations. This document does not substitute for
EPA's regulations, nor is it a regulation itself. Thus, it cannot impose legally binding
requirements on EPA, states, or the regulated community, and may not apply to a particular
situation based upon circumstances. This guidance does not represent final agency action, and
EPA may change it in the future, as appropriate.
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TABLE OF CONTENTS
INTRODUCTION , i
CHAPTER 1: GENERAL APPLICABILITY '. 1-1
1.1 INTRODUCTION M
1.2 GENERAL PROVISIONS " " i_3
1.3 REGULATED SUBSTANCES AND THRESHOLDS (§68.130) .'.'. 1-5
1.4 WHAT IS A PROCESS !_5
1.5 THRESHOLD QUANTITY IN A PROCESS 1-8
1.6 STATIONARY SOURCE "' i_14
1.7 WHEN YOU MUST COMPLY ... '.'.'.'.'.'.'.'.'.'.'.'.'.'.'. 1-15
CHAPTER2: APPLICABILITY OF PROGRAM LEVELS 2-1
2.1 WHAT ARE PROGRAM LEVELS? 2-1
2.2 PROGRAM 1 -...'.'.'.'.'.'. '.'. '..,'.'. 2-2
2.3 QUICK RULES FOR DETERMINING PROGRAM 1 ELIGIBILITY 2-7
2.4 PROGRAM 3 2_10
2.5 PROGRAM 2 '.'.'.'.'.'.'.'.'.'.'. 2-12
2.6 DEALING WITH PROGRAM LEVELS '.'."'.'.'.'.'.'.'. 2-14
2.7 SUMMARY OF PROGRAM REQUIREMENTS 2-16
2.8 EXAMPLE SOURCES '.':'.'.'.'.'.'.'.'. 2-17
CHAPTER 3: FIVE-YEAR ACCIDENT HISTORY .... 3.1
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-S
CHAPTER 4: OFFSITE CONSEQUENCE ANALYSIS 4-1
4.1 INTRODUCTION 4_!
4.2 WORST-CASE RELEASE SCENARIOS '.'. " ".'.'. ...]..... 4-4
4.3 ALTERNATIVE RELEASE SCENARIOS ..4-11
4.4 ESTIMATING OFFSITE RECEPTORS ..'.'.'.'.'.'. 4-19
CHAPTERS: MANAGEMENT SYSTEM 5.1
5.1 GENERAL INFORMATION 5_1
5.2 HOW TO MEET THE MANAGEMENT SYSTEM REQUIREMENTS ..'.'.'.'.'.'.'.'. '. 5-1
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TABLE OF CONTENTS
(Continued)
CHAPTER 6: PREVENTION PROGRAM (PROGRAM 2) 6-1
6.1 ABOUT THE PROGRAM 2 PREVENTION PROGRAM 6-1
6.2 SAFETY INFORMATION (§ 68.48) 6-1
6.3 HAZARD REVIEW (§ 68.50) 6-7
6.4 OPERATING PROCEDURES (§ 68.52) '. 6-13
6.5 TRAINING (§ 68.54) 6-17
6.6 MAINTENANCE (§ 68.56) 6-19
6.7 COMPLIANCE AUDITS (§ 68.58) 6-22
6.8 INCIDENT INVESTIGATION (§ 68.60) 6-24
6.9 CONCLUSION 6-27
CHAPTER 7: PREVENTION PROGRAM (PROGRAM 3) 7-1
7.1 PROGRAM 3 PREVENTION PROGRAM AND OSHA PSM 7-1
7.2 PROCESS SAFETY INFORMATION (§68.65) 7-3
7.3 PROCESS HAZARD ANALYSIS (§68.67) 7-6
7.4 OPERATING PROCEDURES (§68.69) 7-9
7.5 TRAINING (§68.71) 7-9
7.6 MECHANICAL INTEGRITY (§68.73) 7-10
7.7 MANAGEMENT OF CHANGE (§68.75) 7-10
7.8 PRE-STARTUP REVIEW (§68.77) -" 7-12
7.9 COMPLIANCE AUDITS (§68.79) 7-12
7.10 INCIDENT INVESTIGATION (§68.81) 7-13
7.11 EMPLOYEE PARTICIPATION (§68.83) 7-14
7.12 HOT WORK PERMITS (§68.85) 7-14
7.13 CONTRACTORS (§68.87) 7-14
APPENDIX 7A PHA TECHNIQUES 7-16
CHAPTER 8: EMERGENCY RESPONSE PROGRAM 8-1
8.1 NON-RESPONDING FACILITIES (§ 68.90(b)) 8-1
8.2 ELEMENTS OF AN EMERGENCY RESPONSE PROGRAM (§ 68.95) 8-2
8.3 DEVELOPING AN EMERGENCY RESPONSE PROGRAM 8-5
8.4 INTEGRATION OF EXISTING PROGRAMS 8-8
8.5 HAVEIMETPART 68 REQUIREMENTS? 8-11
8.6 COORDINATION WITH LOCAL EMERGENCY PLANNING ENTITIES
(§ 68.95(c)) .8-14
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TABLE OF CONTENTS
(Continued)
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CHAPTER 9: RISK MANAGEMENT PLAN 9-1
9.1 ELEMENTS OF THE RMP 9_1
9.2 RMP SUBMISSION 9-2
9.3 ISSUES PERTAINING TO SUBMISSIONS OF AND ACCESS TO CLASSIFIED,
CONFIDENTIAL BUSINESS INFORMATION (CBI), AND TRADE SECRETS .'.. 9-3
9.4 RESUBMISSION AND UPDATES (§ 68.190) 9.3
CHAPTER 10: IMPLEMENTATION 10-1
10.1 IMPLEMENTING AGENCY 10-1
10.2 REVIEWS/AUDITS/INSPECTIONS (§ 68.220) ! '.'.'.'.'.'.'.'.'.'. 10-2
10.3 RELATIONSHIP WITH TITLE V PERMIT PROGRAMS 10-4
10.4 PENALTIES FOR NON-COMPLIANCE 10-4
CHAPTER 11: COMMUNICATION WITH THE PUBLIC 11-1
11.1 BASIC RULES OF RISK COMMUNICATION 11-1
11.2 SAMPLE QUESTIONS FOR COMMUNICATING WITH THE PUBLIC ........ 11 -4
11.3 COMMUNICATION ACTIVITIES AND TECHNIQUES 11-12
11.4 FOR MORE INFORMATION . . . 11-18
APPENDICES
APPENDIX A
APPENDIX B
APPENDIX C
APPENDIX D
APPENDIX E
40 CFR PART 68 (1997 edition)
SELECTED NAICS CODES
EPA REGIONAL CONTACTS
OSHA CONTACTS
TECHNICAL ASSISTANCE
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LIST OF BOXES AND EXHIBITS
IN RMP GUIDANCE
LIST OF EXHIBITS
CHAPTER1
EXHIBIT 1-1
EXHIBIT 1-2
EXHIBIT 1-3
EVALUATE FACILITY TO IDENTIFY COVERED PROCESSES
PROCESS
STATIONARY SOURCE
CHAPTER 2
EXHIBIT 2-1 PROGRAM LEVEL CRITERIA
EXHIBIT 2-2 COMPARISON OF PROGRAM REQUIREMENTS
CHAPTERS
EXHIBIT 3-1
CHAPTER4
EXHIBIT 4-1
EXHIBIT 4-2
EXHIBIT 4-3
EXHIBIT 4-4
CHAPTERS
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
CHAPTER?
EXHIBIT 7-1
EXHIBIT 7-2
EXHIBIT 7-3
EXHIBIT 7-4
EXHIBIT 7-5
EXHIBIT 7-6
EXHIBIT 7-7
EXHIBIT 7-8
EXHIBIT 7-9
EXHIBIT 7-10
EXHIBIT 7-11
ATMOSPHERIC STABILITY CLASSES
CONSIDERATIONS FOR CHOOSING A MODELING METHOD
POSSIBLE SOURCES OF ASSISTANCE ON MODELING
REQUIRED PARAMETERS FOR MODELING WORST-CASE SCENARIOS
REQUIRED PARAMETERS FOR MODELING ALTERNATIVE SCENARIOS
SAMPLE MANAGEMENT DOCUMENTATION
SUMMARY OF PROGRAM 2 PREVENTION PROGRAM
SAFETY INFORMATION REQUIREMENTS
CODES AND STANDARDS
SAMPLE SAFETY INFORMATION SHEET
HAZARD REVIEW REQUIREMENTS
SAMPLE CHECKLIST (EXTRACT)
OPERATING PROCEDURES REQUIREMENTS
TRAINING CHART
MAINTENANCE GUIDELINES
SAMPLE AUDIT CHECKLIST FOR SAFETY INFORMATION AND HAZARD
REVIEW
INCIDENT INVESTIGATION REQUIREMENTS
SAMPLE INCIDENT INVESTIGATION FORMAT
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
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LIST OF BOXES AND EXHIBITS
IN RMP GUIDANCE
(Continued)
EXHIBIT 7-12 CONTRACTORS CHART
EXHIBIT 7A-1 APPLICABILITY OF PHA TECHNIQUES
EXHIBIT 7A-2 TIME AND STAFFING FOR PHA TECHNIQUES
CHAPTERS
EXHIBIT 8-1 FEDERAL GUIDANCE ON EMERGENCY PLANNING AND RESPONSE
EXHIBIT 8-2 FEDERAL EMERGENCY PLANNING REGULATIONS
EXHIBIT 8-3 INTEGRATED CONTINGENCY PLAN OUTLINE
EXHIBIT 8-4 SAMPLE INTEGRATION EFFORT
CHAPTER 9
EXHIBIT 9-1 RMP UPDATES
CHAPTER 11
EXHIBIT 11-1 SEVEN CARDINAL RULES OF RISK COMMUNICATION
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LIST OF BOXES AND EXHIBITS
IN RMP GUIDANCE
(Continued)
LIST OF BOXES
INTRODUCTION
GUIDANCE FOR INDUSTRY-SPECIFIC RISK MANAGEMENT PROGRAMS
STATE PROGRAMS
IF YOU ARE NEW TO REGULATIONS
WHAT IS A LOCAL EMERGENCY PLANNING COMMITTEE?
CHAPTER 1
STATE PROGRAMS
Qs AND As: STATIONARY SOURCE
AGGREGATION OF SUBSTANCES
Qs AND As: PROCESS
Qs AND As: STATIONARY SOURCE
QsANDAs: COMPLIANCE DATES
CHAPTER 2
Qs AND As: PROCESS AND PROGRAM LEVEL
Qs AND As: PUBLIC RECEPTORS
Qs AND As: ENVIRONMENTAL RECEPTORS
Qs AND As: ACCIDENT HISTORY
Qs AND As: OSHA
CHAPTERS
Qs AND As: PROPERTY DAMAGE
Qs AND As: ACCIDENT HISTORY
CHAPTER 4
RMP OFFSITE CONSEQUENCE ANALYSIS GUIDANCE
Qs AND As: WORST-CASE AND MITIGATION
HOW TO OBTAIN CENSUS DATA AND LANDVIEW
HOW TO OBTAIN USGS MAPS
Qs AND As: OFFSITE CONSEQUENCE ANALYSIS
CHAPTER 6
Q AND A: MAINTENANCE
Q AND A: AUDITS
CHAPTER?
Qs AND As: IMPLEMENTATION AND PROGRAM LEVEL
Qs AND As: PROCESS SAFETY INFORMATION
Qs AND As: OFFSITE CONSEQUENCES
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LIST OF BOXES AND EXHIBITS
IN RMP GUIDANCE
(Continued)
CHAPTERS
WHAT IS A RESPONSE
WHAT IS A LOCAL EMERGENCY PLANNING COMMITTEE?
HOW DOES THE EMERGENCY RESPONSE PROGRAM APPLY?
PLANNING FOR FLAMMABLE SUBSTANCES
CHAPTER 9
QANDA: REVISING A PHA
CHAPTER 10
Qs AND As: DELEGATION
Qs AND As: AUDITS
CHAPTER 11
WHAT DOES YOUR WORST-CASE DISTANCE MEAN?
IF THERE IS AN ACCIDENT, WILL EVERYONE WITHIN THAT DISTANCE BE HURT? WHAT
ABOUT PROPERTY DAMAGE?
WHY DO YOU NEED TO STORE SO MUCH ON SITE?
WHAT ARE YOU DOING TO PREVENT RELEASES?
WHAT ARE YOU DOING TO PREPARE FOR RELEASES?
DO YOU NEED TO USE THIS CHEMICAL?
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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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 chlorine and ammonia
and highly flammable substances such as propane. 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 a threshold quantity of a regulated
substance in a process, whichever is later.
The goal of part 68 — the risk management program — is to prevent accidental
releases of substances that can cause serious harm to the public and the environment
from short-term exposures and to mitigate the severity of releases that do occur. The
1990 Amendments to the Clean Air Act (CAA) require EPA to issue a rule specifying
the type of actions to be taken by facilities (referred to in the 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.
*• Covered facilities also must continue to implement the risk management
program and update their RMPs periodically or when processes change, as
required by the rule.
The phrase "risk management program" refers to all of the requirements of part 68,
which must be implemented on an on-going basis. The phrase "risk management plan
(RMP)" refers to the document summarizing the risk management program that you
must submit to EPA.
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Introduction -ii-
GUIDANCE FOR INDUSTRY-SPECIFIC RISK MANAGEMENT PROGRAMS
EPA is working with industry to develop guidance for industry-specific risk management programs for
the following industries:
+ Propane storage facilities + Warehouses + POTWs
+ Chemical distributors + Ammonia refrigeration
The industry-specific guidances are undergoing review. When completed, these will be available from
EPA (see Appendix E for information on obtaining part 68 documents from EPA).
Industry-specific guidances developed by EPA will take the place of this guidance document and the
Risk Management Program Offsite Consequence Analysis Guidance for the industries addressed. If
an industry-specific program exists for your process(es), you should use it as your basic guidance
because it will provide more information that is specific to your process, including dispersion
modeling and prevention program elements.
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.
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-ni-
Introduction
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 11 for information on state implementation of part 68. Unless your state has been granted
delegation, you must comply with part 68 as described in this document even if your state has different
rules under state law.
WHAT DO I DO FIRST?
Before developing a risk management program, you should do five things:
(1) Determine which, if any, of your processes are covered by this program
Only sources with a threshold quantity of a regulated substance (see 40 CFR
68.130 in Appendix A) in a "process" need to comply with part 68.
"Process" is defined by the rule in § 68.3 and does not necessarily correspond
with an engineering concept of process. The requirements apply only to
covered processes. See Chapter 1 for more information on how to define your
processes and determine if they are subject to the rule.
(2)
Determine the appropriate program level for each covered process
Depending on the specific characteristics of a covered process and the results
of the offsite consequence analysis for that process, it may be subject to one of
three different sets of requirements (called program levels). See Chapter 2 for
more information.
(3) Determine EPA's requirements for the facility and each covered process
Certain requirements apply to the facility as a whole, while others are
.process-specific. See Chapter 2 for more information.
(4) Assess your operations to identify current risk management activities
Because you probably conduct some risk management activities already (e.g.,
employee training, .equipment maintenance, and emergency planning), you
should review your current operations to determine the extent to which they
meet the provisions of this rule. EPA does not expect you to redo these
activities if they already meet the rule's requirements. See Chapters 5 to 8
individually for guidance on how to tell if your existing practices can meet
those required by EPA.
(5) Review the regulations and this guidance to develop a strategy for
conducting the additional actions you need to take for each covered
process. Discuss the requirements with management and staff.
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Introduction -iv-
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 in
a manner that minimizes the risk of a release. This allows you to tailor your program
to fit the particular conditions at your facility. The degree of complexity required in a
risk management program will depend on the complexity of the facility. For example,
the operating procedures for a chemical distributor are likely to be relatively brief,
while those for a chemical manufacturer will be extensive. Similarly, the length of
training necessary to educate employees on such procedures would be proportional to
the complexity of your operating procedures. And while a facility with complex
processes may benefit from a computerized maintenance 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.
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). A consolidated copy of these regulations is available in Appendix A. In
addition, EPA has finalized a rule adopting the provisions covered by the Stay of
Applicability included in the June 20, 1996, final rule, 40 CFR §68.2 (January 6,
1998, 63 FR 640).
EPA is working with industry and local, state, and federal government agencies to
assist sources in complying with these requirements. For more information, refer to
Appendix E (Technical Assistance).. Appendices C and D also provide points of
contact for EPA and OSHA at the state and federal levels for your questions. 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.
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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.
1
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Introduction
-VI-
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;
4- 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.
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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
rale. The exemptions may exclude you from the rule or simply exclude certain
activities from consideration. (Throughout this document, when we say "rule" we
mean the regulations in part 68.)
We then describe what is considered a "process," which is critical because you are
subject to the rule only if you have more than a threshold quantity in a process. The
chapter next describes how to determine whether you have more than a threshold
quantity.
Finally, we discuss how you define your overall stationary source and when you must
comply. These questions are important once you have decided that you are covered.
For most facilities covered by this rule, the stationary source is basically all covered
processes at your site. If your facility is part of a site with other divisions of your
company or other companies, the discussion of stationary source will help you
understand what you are responsible for in your compliance and reporting. Exhibit
1-1 presents the decision process for determining applicability.
STATE PROGRAMS
This guidance applies to only 40 CFR part 68. You should check with your state government to
determine if the state has its own accidental release prevention rules or has obtained delegation from
EPA to implement and enforce part 68 in your state. State rules may be more stringent than EPA's
rules. Unless your state has been granted delegation, you must comply with part 68 as described in
this document even if your state has different rules under state law. See Chapter 11 for a discussion of
state implementation of part 68.
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EXHIBIT 1-1
EVALUATE FACILITY TO IDENTIFY COVERED PROCESSES
Is your facility
a stationary
source?
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?
Yes
You are subject
to the rule.
Assign Program levels to
covered processes
(see Exhibit 2-1)
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Chapter 1
1-3 General Applicability
1.2 GENERAL PROVISIONS
The CAA applies this rule to any person who owns or operates a stationary source.
"Person" is defined to include
"An individual, corporation, partnership, association, State, municipality, political
subdivision of a state, and any agency, department, or instrumentality of the United
States and any officer, agency, or employee thereof."
The rule, therefore, applies to all levels of government as well as private businesses.
CAA section 112(r)(2)(c) defines "stationary sources" as:
. "Any buildings, structures, equipment, installations, or substance emitting stationary
activities
•* 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 on a
farm. This exemption applies to ammonia only when used as a fertilizer by a farmer.
It does not apply to agricultural suppliers or the fertilizer manufacturer. It does not
apply to farm cooperatives or to groups of farmers who buy, use, and sell ammonia.
In the event that a farmer stores one or more other regulated substance above
threshold quantities, that storage would be covered.
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. Storage of natural gas incident to transportation (i.e., gas taken from a
pipeline during non-peak periods and placed in storage fields, then returned to the
pipeline when needed) is not covered. Storage fields include, but are not limited to,
depleted oil and gas reservoirs, aquifers, mines, or caverns. Liquefied natural gas
facilities covered by 49 CFR part 193 are not covered.
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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 manufacture chemicals (NAICS 325) and operate a waste treatment
facility (NAICS 562) that handles primarily wastes generated by your chemical operations, the waste
operation would be considered a support operation. If you operate a petrochemical manufacturing
operation (NAICS 32511) next to your petroleum refinery (NAICS 32411), the two plants would be
considered in different industrial groups and would require two RMPs unless the majority of the
refinery's production was used by the chemical manufacturing plant.
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 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.
RELATIONSHIP TO OSHA PROCESS SAFETY MANAGEMENT STANDARD EXEMPTIONS
The OSHA Process Safety Management (PSM) standard (29 CFR 1910.119) exempts
retail facilities, substances used solely as a fuel if such substances are not part of a
process containing another regulated substance, flammable liquids stored in
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atmospheric storage tanks, and remote oil and gas productions; in addition state and
local governments are not subject to federal OSHA standards. The OSHA exemptions
do not apply or extend to EPA's Risk Management Program Rule. Your processes are
not exempt from the Risk Management Program simply because they qualify for one
of the OSHA exemptions. EPA's rule covers retail facilities, substances used as fuel,
substances stored in atmospheric storage tanks, and state and local governments if
they own or operate a facility where there is more than a threshold quantity in a
process. As discussed in Section 1.5, most oil and gas production facilities as well as
retail gas stations are not subject to the rule because the flammables are excluded from
threshold determinations.
1.3 REGULATED SUBSTANCES AND THRESHOLDS (§68.130)
The list of substances regulated under § 68.130 is in Appendix A. Check the list
carefully. If you do not have any of these substances (either as pure substances or in
mixtures above 1 percent concentration) or do not have them above their listed
threshold quantities, you do not need to read any further because you are not covered.
The list includes 77 chemicals that were listed because they are acutely toxic; they can
cause serious health effects or death from short-term exposures. The list also covers
63 flammable gases and highly volatile flammable liquids. The flammable chemicals
have the potential to form vapor clouds and explode or burn if released. The rule also
covers flammable mixtures that include any of the listed flammables if the mixture
meets the criteria for the National Fire Protection Association's (NFPA) 4 rating.
1.4 WHAT IS A PROCESS
The concept of "process" is key to whether you are subject to this rule. Process is
defined 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?
4- 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
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General Applicability 1-6
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.
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.
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.
INTERCONNECTED VESSELS
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, such as in a large refinery or multi-unit chemical plant, 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
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1-7 ' i General Applicability
PSM rule. Therefore, if your facility is subject to the PSM rule, the limits of your
process(es) for purposes of OSHA PSM will be the limits of your process(es) for
purposes of RMP (except in cases involving atmospheric storage tanks containing
flammable regulated substances, which are exempt from PSM but not RMP). If your
facility is not covered by OSHA PSM and is complicated from an engineering
perspective, you should consider contacting your implementing agency for advice on
determining process boundaries.
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 store a regulated substance in cylinders or barrels or other
containers in a warehouse or outside in a rack. In some cases, you may have two
vessels or systems that are in the same building or room. For each of these cases, you
should ask yourself:
+• Could a release from one of the containers lead to a release from the other?
For example, if a cylinder of propane were to rupture and bum, would the fire
spread to other propane cylinders?
+ Could an event external to.the containers, such as a fire or explosion or
collapse of 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 toxics, a release from a single vessel will not normally
lead to a release from others unless the vessel fails catastrophically and explodes,
sending metal fragments into other vessels. Co-located vessels containing toxic
substances, however, may well be involved in a release caused by a fire or explosion
that occurs from another source. The definition of process is predicated on the
assumption that explosion will take place. In addition, a collapse of storage racks
could lead to multiple vessels breaking open.
If the vessels are separated by fire walls or barricades that will contain the blast waves
from explosions of the substances, you will not need to count the separated vessels,
but you would count any that are in the same room.
You may not dismiss the possibility of a fire spreading based on an assumption that
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.
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General Applicability 1-8
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
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 vessels, each containing slightly less than a threshold quantity of the
same regulated substance and located a considerable distance apart, and you have
other storage, or process vessels in between with other regulated substances above their
thresholds, the two vessels with the first substance 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.
DIFFERENCES WITH OSHA
OSHA aggregates different flammable liquids across vessels in making threshold
determinations; OSHA also aggregates different flammable gases (but does not
aggregate flammable liquids with flammable gases); EPA aggregates neither.
Therefore, if you have three co-located or connected reactor vessels each containing
5,000 pounds of a different flammable liquid, OSHA considers that you have 15,000
pounds of flammable liquids and are covered by the PSM standard. Under EPA's
rule, you would not have a covered process because you do not meet the threshold
quantity for any one of the three substances. OSHA, like EPA, does not aggregate
quantities for toxics as a class (i.e., each toxic substance must meet its own threshold
quantity).
1.5 THRESHOLD QUANTITY IN A PROCESS
The threshold quantity for each regulated substance is listed in 40 CFR §68.30, in
Appendix A. You should determine whether the maximum quantity of each substance
in a process is greater than the threshold quantity listed. If it is, you must comply with
this rule for that process. Even if you are not covered by this rule, you may still be
subject to reporting requirements under the Emergency Planning and Community
Right to Know Act (EPCRA).
QUANTITY IN A VESSEL
To determine if you.have the threshold quantity of a regulated substance in a vessel
involved in a single process, you need to consider the maximum quantity in that vessel
at any one time. You do not need to consider the vessel's maximum capacity if you
never fill it to that level. Base your decision on the actual maximum quantity that you
may have in the vessel. Your maximum quantity may be more than your normal
operating maximum quantity; for example, if you may use a vessel for emergency
storage, the maximum quantity should be based on the quantity that might be stored.
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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
B
2 or more vessels co-located
same substance
total above TQ
1 process
2 or more vessels co-located
different substances
each above TQ
1 process
Q
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
(C
I
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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General Applicability 1-10
AGGREGATION OF SUBSTANCES
A toxic substance is never aggregated with a different toxic substance to determine whether a threshold
quantity is present. If your process consists of co-located vessels with different toxic substances, you
must determine whether each substance exceeds its threshold quantity.
A flammable substance in one vessel is never aggregated with a different flammable substance in
another vessel to determine whether a threshold quantity is present. However, if a flammable mixture
meets the criteria for NFPA-4 and contains different regulated flammables, it is the mixture, not the
individual substances, that is considered in determining if a threshold quantity is present.
"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
The maximum quantity in a pipeline will generally be the capacity of the pipeline
(volume). In most cases, pipeline quantity will be calculated and added to the
interconnected vessels.
INTERCONNECTED/CO-LOCATED VESSELS
If your process consists of two or more interconnected vessels, you must determine the
maximum quantity for each vessel and the connecting pipes or hoses. The maximum
for each individual vessel and pipe is added together to determine the maximum for
the process.
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.
QUANTITY OF A SUBSTANCE IN A MIXTURE
TOXICS WITH LISTED CONCENTRATION
Four toxic substances have listed concentrations in the rule: hydrochloric acid — 37
percent or greater; hydrofluoric acid — 50 percent or greater; nitric acid — 80 percent
or greater; and ammonia — 20 percent or greater.
4- If you have these substances in solution and their concentration is less than
the listed concentration, you do not need to consider them at all.
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1-11 i General Applicability
If you have one of these four above their listed concentration, you must
determine the weight of the substance in the solution and use that to calculate
the quantity present. If that quantity is greater than the threshold, the process
is covered. For example, aqueous ammonia is covered at concentrations
above 20 percent, with a threshold quantity of 20,000 pounds. If the solution
is 25 percent ammonia, you would need 80,000 pounds of the solution to meet
the threshold quantity; if the solution is 44 percent ammonia, you would need
45,455 pounds to meet the threshold quantity (quantity of mixture x
percentage of regulated substance = quantity of regulated substance).
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 fire, an explosion, a natural
disaster).
Note that in a revision to part 68, EPA changed the concentration for hydrochloric
acid to 37 percent or greater (see Appendix A).
TOXICS WITHOUT A LISTED CONCENTRATION
For toxics without a listed concentration, if the concentration is less than one percent
you need not consider the quantity in your threshold determination. If the
concentration in a mixture is above one percent, you must calculate the weight of the
regulated substance in the mixture and use that weight to determine whether a
threshold quantity is present. However, if you can measure or estimate (and
document) that the partial pressure of the regulated substance in the mixture is less
than 10 mm Hg, you do not need to consider the mixture. .Note that the partial
pressure rule does not apply to toluene diisocyanate (2-4, 2-6, or mixed isomers) or
oleum.
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General Applicability 1-12
EPA treats toxic mixtures differently from OSHA. Under the OSHA PSM standard,
the entire weight of the mixture is counted toward the threshold quantity; under part
68, only the weight of the toxic substance is counted.
FLAMMABLES
Flammable mixtures are subject to the rule only if there is a regulated substance in the
mixture above one percent and the entire mixture meets trie NFPA-4 criteria. If the
mixture meets both of these criteria, you must use the weight of the entire mixture (not
just the listed substance) to determine if you exceed the threshold quantity. The •
NFPA-4 definition is as follows:
"Materials that will rapidly or completely vaporize at atmospheric pressure and normal
ambient temperature or that are readily dispersed in air, and that will bum readily.
This degree usually includes:
FLAMMABLE GASES
Flammable cryogenic materials
Any liquid or gaseous material that is liquid while under pressure and has a flash point
below 73 F(22.8 C) and a boiling point below 100 F (37.8 C) (i.e., Class 1A
flammable liquids)
Materials that will spontaneously ignite when exposed to air."
FLAMMABLES NOT COVERED BY PART 68 (§68.115)
The following flammables are not considered part of a "stationary source" and,
therefore, any regulated substances contained in them need not be included in your
calculations of threshold quantities:
+ Naturally occurring hydrocarbon reservoirs; and
+ Naturally occurring hydrocarbon 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.
"Naturally occurring hydrocarbon reservoirs" includes oil and gas fields, where the
hydrocarbons occur in nature, and from which they are pumped; it does not include
natural formations, such as salt domes, where hydrocarbons are stored after they have
been produced or processed. Transportation subject to state oversight or regulation
refers to transportation in pipelines.
You do not need to consider the following flammable substances when you determine
the applicability of the rule:
+ Gasoline, when in distribution or related storage for use as fuel for internal
combustion engines;
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__ 1-13 '_ General Applicability
Naturally occurring hydrocarbon mixtures prior to entry into a petroleum
refining process unit (NAICS code 32411) or a natural gas processing plant
{NAICS code 211112). Naturally occurring hydrocarbon mixtures include
any of the following:
Condensate - hydrocarbon liquid separated from natural gas that condenses
because of changes in temperature, pressure, or both, and that remains liquid
at standard conditions;
Crude oil - any naturally occurring, unrefined petroleum liquid;
Field gas - gas extracted from a production well before the gas enters a natural
gas processing plant (any processing site engaged in the extraction of natural
gas liquids from field gas, fractionation of mixed natural gas liquids to natural
gas products, or both); and
Produced water - water extracted from the earth from an oil or natural gas
production well, or that is separated from oil or natural gas after extraction.
EXCLUSIONS (§68.1 15)
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 (§68.11 5(b)(4))
You do not need to include in your threshold calculations any manufactured item
defined at §68.3 (as defined under 29 CFR 1 9 1 Q. 1 200(b)) that:
+ Is formed to a specific shape or design during manufacture,
+ 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.
USES (§68.1 15(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;
4 Use of products for routine janitorial maintenance;
+• Use by employees of foods, drugs, cosmetics, or other personal items
containing the regulated substances; and
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General Applicability 1-14
+ 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 in 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
4- Activities conducted outside the laboratory.
1.6 STATIONARY SOURCE
The rule applies to "stationary sources" and each stationary source with one or more
covered processes must file an RMP that includes all covered processes.
SIMPLE SOURCES
For most facilities covered by this rule, determining what constitutes a "stationary
source" is simple. If you own or lease'a property, your processes are contained within
the property boundary, and no other companies operate on the property, then your
stationary source is defined by the property boundary and covers any process within
the boundaries that has more than a threshold quantity of a regulated substance. You
must comply with the rule and file a single RMP for all covered processes.
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.
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1-15 General Applicability
OTHER SOURCES
There are situations where two or more separate companies occupy the same site. The
simplest of these cases is if multiple companies lease land at a site (e.g., an industrial
park). Each company that has covered processes must file an RMP that includes
information on its own covered processes at the site. You are responsible for filing an
RMP for any operations that you own or operate.
Another possibility is that one company owns the land and operates there while
leasing part of the site to a second company. If both companies have covered
processes, each is considered a separate stationary source and must file separate RMPs
even if they have contractual relationships, such as supplying product to each other or
sharing emergency response functions.
If you and another company jointly own a site, but have separate operations at the site,
you each must file separate RMPs for your covered processes. Ownership of the land
is not relevant; a stationary source consists of covered processes located on the same
property and controlled by a single owner.
JOINT VENTURES
You and another company may jointly own covered processes. In this case, the legal
entity you have established to operate these processes should file the RMP. If you
consider this entity a subsidiary, you should be listed as the parent company in the
RMP.
MULTIPLE LOCATIONS
If you have multiple operations in the same area, but they are not on physically
connected land, you must consider them separate stationary sources and file separate
RMPs for each, even if the sites are connected by pipelines that move chemicals
among the sites. Remember, the rule applies to covered processes at a single location.
Exhibit 1 -3 provides examples of stationary source decisions.
1.7 WHEN YOU MUST COMPLY
Prior to June 21,1999, if you determine that you have a covered process, you must
comply with the requirements of part 68 no later than June 21, 1999. This means that
if you have the process now or start it on June 1, 1999, you must be in compliance
with the rule on June 21,1999. By that time you must have developed and
implemented all of the elements of the rule that apply to each of your covered
processes, and you must submit an RMP to EPA in a form and manner that EPA will
specify prior to that time.
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 a regulated substance 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
ABC Products
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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General Applicability
Qs&As
STATIONARY SOURCE
Q. I operate a single covered process on a site owned by a large company. I manufacture a regulated
substance that I pipe to the other company for use in its processes. At what point do the piping and
substance become part of the other company's stationary source?
A. The answer will vary. The company that owns and maintains the piping should probably consider
it part of its stationary source. If, however, there is a point (e.g., a valve or meter) where the receiving
company is considered to take ownership of the substance, then you may decide to divide the piping
and its contents at that point.
Q. The definition of process would seem to say that my process is part of the larger company's
process because they are interconnected. Why can't the larger company just include my process in its
RMP?
A. Your process is not part of the larger company's stationary source because it does not meet the
statutory criteria for stationary sources. Although the process may be part of the same industrial group
and is at the same location, it is not under control of the same person. Therefore, the process is a
separate stationary source and must have a separate RMP.
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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 EPA lists a new substance?
A. You will have three years from the date on which the new listing is effective to come into
compliance for any process that is covered because EPA has listed a new substance.
Q. What if I change a process by adding new reactor vessels, but do not change the substances?
A. Because increasing the number of reactor vessels 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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•
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
endppint from a worst-case release and with no accidents with specific off site
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 of nine specified Standard Industrial Classification (SIC) 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.
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
program level does not influence the eligibility of other covered processes for
other program levels.
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Applicability of Program Levels 2-2
(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 SIC 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.)
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
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2-3 Applicability of Program Levels
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.
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
time, 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 time.
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 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, hotel or other entity that provides
public shelter is itself subject to the part 68 rule (e.g., because of on-site propane
storage tanks), it will be its own public receptor except for those areas where members
of the public are not allowed to go at any time
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Applicability of Program Levels 2-4
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.
WHAT is A DISTANCE TO AN ENDPOINT FROM A WORST-CASE RELEASE?
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
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Chapter 2
Applicability of Program Levels
Qs&As
PUBLIC RECEPTORS
Q. My processes are fenced, but my offices and parking lot for customers are not restricted. What is
considered offsite? 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 in 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,
both 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 time, 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.
1
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 ioss of the 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.
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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 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:
4- Collection and disposal of dead animals and contaminated plant life;
+ Collection, treatment, and disposal of soil;
+ Shutoff of drinking water;
+ Replacement of damaged vegetation; or
4- Isolation of a natural area due to contamination associated with an accidental
release.
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2-7 | Applicability of Program Levels
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:
•* 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.
2.3 QUICK RULES FOR DETERMINING PROGRAM 1 ELIGIBILITY
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 certain
substances, however, may be more likely than others to be eligible for Program 1, and
processes containing certain other substances may be very unlikely to be eligible for
Program 1 because of the toxicity and physical properties of the substances. The
information presented below may be useful in identifying processes that may be
eligible for Program 1.
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Applicability of Program Levels 2-8
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.
Toxic GASES
If you have a process containing more than a threshold quantity of any regulated toxic
gas that is not liquefied by refrigeration alone (i.e., you hold it as a gas or liquefied
under pressure), the distance to the endpoint estimated 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, toxic gases in processes in enclosed areas may be
eligible for Program 1.
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2-9 Applicability of Program Levels
REFRIGERATED Toxic GASES
If you have a process containing anhydrous ammonia liquefied by refrigeration alone,
and your worst-case release would take place into a diked area, the chances are good
that the process may be eligible for Program 1, unless there are public receptors very
close to the process. Even if you have many times the threshold quantity of ammonia,
the process may still be eligible for Program 1.
If you have a process containing ethylene oxide, anhydrous hydrogen fluoride, or
methyl chloride liquefied by refrigeration alone, and the release would take place into
a diked area, the process may be eligible for Program 1, depending on the size of the
diked area, the quantity of the regulated substance, and the location of public
receptors.
The worst-case analysis for a process containing chlorine liquefied by refrigeration is
unlikely to show eligibility for Program 1, unless your site is extremely remote from
the public or the release would occur within an enclosure.
Toxic LIQUIDS
The distance to an endpoint for a worst-case release involving toxic liquids kept under
ambient conditions may be smaller than the distance to public receptors in a number
of cases. If public receptors are not found very close to the process (within !/2 mile),
the process may be eligible for Program 1. However, small-sized facilities are highly
unlikely to meet to be eligible for Program 1 if they are in a developed area. Remotely
located facilities or processes found near the center of large (acreage) sites are more
likely to be eligible.
Substances that are potential candidates to be in processes that are eligible for
Program 1 are noted below. Generally, processes that contain toxic liquids at elevated
temperatures, including the toxic liquids listed below, would be less likely to be
eligible for Program 1 than those at ambient temperature, and processes in diked areas
are more likely to be eligible for Program 1 than those in undiked areas.
For processes containing toluene diisocyanate (including toluene 2,4-diisocyanate,
toluene 2,6-diisocyanate, and unspecified isomers) or ethylene diamine, the worst-case
analysis of a spill of more than a threshold quantity into an undiked area under
ambient conditions is likely to demonstrate eligibility for Program 1. If the area of the
spill is diked, even processes containing verylarge quantities of these substances may
be eligible for Program 1. In addition, processes containing the following toxic
liquids under ambient conditions are likely to be eligible for Program 1 if a spill
would take place in a diked area and public receptors are not close to the process:
•* Chloroform
+• Cyclohexylamine
•* Hydrazine
+ Isobutyronitrile
•*• Isopropyl chloroformate
+• Propylene oxide
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Applicability of Program Levels 2-10
•*• Titanium tetrachloride
+ Vinyl acetate monomer
WATER SOLUTIONS OF TOXIC SUBSTANCES
The list of regulated substances includes several common water solutions of toxic
substances. Processes containing such solutions at ambient temperatures may be
eligible for Program 1 (depending in some cases on the concentration of the solution),
if spills would be contained in diked areas and public receptors are not located close to
the process (within Vz mile). As noted above, small-sized facilities in developed areas
are highly unlikely to be eligible for Program 1; remotely located facilities or
processes found near the center of large (acreage) sites are more likely to be eligible.
Processes containing the following water solutions under ambient conditions may be
eligible for Program 1, assuming diked areas that would contain the spill:
+ Ammonia in solution
+ Formaldehyde (commercial concentrations)
•* Hydrofluoric acid (concentration 50 to 70 percent)
^ Nitric acid (commercial concentrations)
+ Oleum
FLAMMABLE SUBSTANCES
Many processes containing regulated flammable substances are likely to be eligible for
Program 1, unless there are public receptors within a very short distance. If you have
a process containing up to about 20,000 pounds (twice the threshold quantity) of a
regulated flammable substance (other than hydrogen), your process is likely to be
eligible for Program 1 if you have no public receptors within about 400 yards (1,200
feet) of the process. If you have up to 100,000 pounds in a process (ten times the
threshold quantity), the process may be eligible for Program 1 if there are no public
receptors within about 700 yards (2,000 feet). In general, it would be worthwhile to
conduct a worst-case analysis for any processes containing only flammables to
determine Program 1 eligibility, unless you have public receptors very close to the
process. Consequently, you may have to conduct more worst-case analyses if you
want to qualify processes for Program 1; for Program 2 and 3 processes, you need
analyze only one worst-case release scenario to cover all flammables. For Program 1,
you must be able to demonstrate, through your worst-case analysis, that every process
you claim is Program 1 meets the criteria.
2.4 PROGRAMS
Any covered process that is not eligible for Program 1 and meets one of the two
criteria specified below is subject to Program 3 requirements, which include risk
management measures and requirements virtually identical to the OSHA PSM
Standard.
WHAT ARE THE ELIGIBILITY CRITERIA FOR PROGRAM 3?
Your process is subject to Program 3 if:
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2-11 Applicability of Program Levels
*• Your process does not meet the eligibility requirements for Program 1, and
*• Either
(a) Your process is subject to OSHA PSM (federal or state); or
(b) Your process is in one of nine SIC codes specified in part 68.
WHAT is THE OSHA PSM STANDARD?
The OSHA Process Safety Management standard (codified at 29 CFR 1910.119) is a
set of procedures in 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
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 8 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.
WHAT ARE THE NINE SIC CODES? (§68.10)
Program 3 requirements are applicable to a covered process if the process is in one of
nine manufacturing SIC codes: 2611, 2812, 2819, 2821, 2865, 2869, 2873, 2879, or
2911. These SIC codes were selected based on an analysis of accidental release data
and represent activities for which a relatively high proportion of sources reported
releases. The following are the SIC codes and the associated activity:
SIC Code Industry
2611 Pulp mills
2812 Alkalies and chlorine
2819 Industrial inorganic chemicals (not elsewhere classified)
2821 Plastics materials and resins
2865 Cyclic crudes and intermediates
2869 Industrial organic chemicals (not elsewhere classified)
2873 Nitrogenous fertilizers
2879 Agricultural chemicals (not elsewhere classified)
2911 Petroleum refining
The U.S. government, in cooperation with the Canadian and Mexican governments,
has adopted the North American Industry Classification System (NAICS) to replace
the SIC codes. EPA has proposed changes to part 68 to replace all references to SIC
codes with references to NAICS codes and to update the industry sectors subject to
Program 3. Check EPA's webpage (www.epa.gov/ceppo/) for up-to-date information
on revisions relating to NAICS codes. Appendix B provides a list of NAICS codes
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Applicability of Program Levels 2-12
for industries that may be subject to part 68. This chapter will be updated when the
revisions are final.
How Do I DEFINE AN SIC CODE FOR A PROCESS?
Unless you have only one process, you probably have not previously needed to assign
an SIC code to each of your processes. If your covered process includes several
industrial activities, you will need to determine the primary SIC code for assigning
Program level based on the primary activity of the process. If the process covers
multiple industrial activities, you may list several SIC codes for the process on the
registration part of the RMP. Even if a process is considered a support activity for
your main production (e.g., your warehouse or wastewater treatment system), you
must assign it a separate, appropriate code (e.g., 4952 for waste treatment) to
determine if it is subject to Program 3.
This assignment does not affect your ability to consider such support processes as part
of the same industrial group for purposes of defining your stationary source; the two
decisions are separate.
SIC CODES FOR A PROCESS vs. PRIMARY FACILITY SIC CODE
For purposes of determining program levels, you must identify the applicable SIC
codes for each individual process. Unless you have only one process, there may not
be a relationship between the covered process SIC code(s) and your facility's primary
SIC code. Your primary SIC code may be similar to the SIC codes that you determine
for several if not all of your processes, but the primary SIC code should not be used as
a default value or to identify an SIC code for a single process. The primary SIC code
is assigned based on the activity that contributes the largest percentage of your
revenue and is the code you use when you complete Census forms.
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, including a streamlined accident prevention program. One or more
processes at your facility are likely to be in Program 2 if:
+ You are a retailer and do not perform any chemical processing activities, such
as a propane retailer.
+ You use propane (or other flammable) as a fuel for heating.
•* You are a publicly owned facility in a state that does not have a delegated
OSHA program.
•*• You use regulated acids in solution in activities that do not fall into one of the
nine SIC codes specified for Program 3.
+ You store regulated liquid flammable substances in atmospheric storage tanks.
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WHAT ARE THE ELIGIBILITY CRITERIA FOR PROGRAM 2?
Your process is subject to Program 2 if:
*• Your process does not meet the eligibility requirements for Program 1;
•* Your process is not subject to OSHA PSM (federal or state); and
*• Your process is not categorized in SIC code 2611, 2812, 2819, 2821, 2865,
2869, 2873, 2879, or 2911.
When determining what program level is appropriate for your covered process, keep
in mind that if it does not meet the Program 1 criteria, if it is not covered by OSHA
PSM, and it is not classified in the SIC codes listed above, the process automatically is
subject to Program 2 requirements.
Exhibit 2-1 provides a summary of the criteria for determining Program level.
EXHIBIT 2-1
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.
No public receptors in worst-case
circle.
Process is subject to OSHA PSM.
Emergency response coordinated
with local responders.
Process is classified in SIC code
2611-Pulp Mills
2812 - Clor-Alkali Manufacturers
2819 - Industrial Inorganics
2821- Plastics and Resins
2865 - Cyclic Crudes and
Intermediates
2869 - Industrial Organics
2873 - Nitrogen Fertilizer
Manufacturers
2879 - Agricultural Chemicals
2911 - Petroleum Refineries
Note: EPA has proposed to revise part 68 to reflect the shift to the new North American Industry
Classification System (NAICS) codes. Check the hotline or the CEPPO web page for up-to-date
information on the changes.
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Chapter 2
Applicability of Program Levels
2-14
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.
Qs & As
OSHA
Q. If my state administers the OSHA program under a delegation from the federal OSHA, 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 to PSM, under
federal or state rules, is considered to be in Program 3 unless it qualifies for Program 1.
Q. I am a publicly owned facility in a state with a delegated OSHA program. Why are my processes
considered to be in Program 3 when the same processes in a state where federal OSHA runs the
program are in Program 2?
A. Federal OSHA cannot impose its rules on state or local governments, but when OSHA delegates its
program to a state for implementation, the state imposes the rules on itself and local governments.
Because these governments are complying with the identical OSHA PSM rules imposed by federal
OSHA, they are subject to Program 3. In meeting their obligations under state OSHA rules, they are
already substantially in compliance with the Program 3 prevention program requirements. State and
local governments in non-state-plan states are not subject to any OSHA rules and must comply with
Program 2.
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 will need to
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Chapter 2
2-15 Applicability of Program Levels
"deregister" the process (see Chapter 9 for more information). Typical examples of
switching program levels include:
MOVING UP
From Program 1 to Program 2 or 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 and must be evaluated
to determine whether Program 2 or Program 3 applies. You must submit a revised
RMP within six months of the program level change, indicating and documenting that
your process is now in compliance with the new program level requirements.
From Not Covered to Program 1, 2 or 3. You have a process that was not
originally covered by part 68, but, due to an expansion in production, the process
holds an amount of regulated substance that now exceeds the threshold quantity. 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.
From Program 2 to Program 3. You have a process that involves a regulated
substance above the threshold that is not in one of the nine SIC codes specified for
Program 3 and that had not been subject to OSHA PSM. However, due to one of the
following OSHA regulatory changes, the process is now subject to the OSHA PSM
standard:
+ An OSHA PSM exemption applicable to your process has been eliminated, or
*• The regulated substance has been added to OSHA's list of highly hazardous
substances.
As a result, the process becomes subject to Program 3 requirements and you must
submit a revised RMP to EPA within six months, indicating and documenting that
your process is now in compliance with the Program 3 requirements.
SWITCHING DOWN
From Program 2 or 3 to Program 1. At the time you submit your RMP, you have a
covered process subject to Program 2/3 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 2 or 3 to Not Covered. You have a covered process that has been
subject to Program 2 or 3 requirements, but due to a reduction in production, the
amount of a regulated substance it holds no longer exceeds the threshold. Therefore,
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Chapter 2
Applicability of Program Levels 2-16
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 9). Depending on the Program level of each of your processes,
you must comply with the additional requirements described below.
PROGRAM 1
For each Program 1 process, you must conduct and document a worst-case release
analysis. You must coordinate your emergency response activities with local
responders and sign the Program 1 certification as part of your RMP submission.
PROGRAMS 2 AND 3
For all Program 2 and 3 processes, you must conduct and document at least one
worst-case release analysis to cover all toxics and one to cover all flammables. You
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 each toxic and one for all
flammables. See Chapter 4 or the RMP Offsite Consequence Analysis Guidance for
specific requirements. You must coordinate your emergency response activities with
local responders and, if you use your own employees to respond to releases, you must
develop and implement an emergency response program. See Chapter 8 for more
details.
For each Program 2 process, you must implement all of the elements of the Program 2
prevention program: safety information, hazard review, operating procedures, training,
maintenance, compliance audits, and incident investigations. See Chapter 6 for more
details.
For each Program 3 process, you must implement all of the elements of the Program 3
prevention program: process safety information, process hazard analysis, standard
operating procedures, training, mechanical integrity, compliance audits, incident
investigations, management of change, pre-startup reviews, contractors, employee
participation, and hot work permits. See Chapter 7 for more details.
Exhibit 2-2 provides a summary of the requirements for each Program level.
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2-17.
Chapter 2
Applicability of Program Levels
EXHIBIT 2-2
COMPARISON OF PROGRAM REQUIREMENTS
Program 1
Worst-case release analysis
5-year accident history
Program 2
Worst-case release analysis
Alternative release analysis
5-year accident history
Document management system
Program 3
Worst-case release analysis
Alternative release analysis
5-year accident history
Document management system
Prevention Program
Certify no additional prevention
steps needed
Safety Information
Hazard Review
Operating Procedures
Training
Maintenance
Incident Investigation
Compliance Audit
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
Develop plan and program and
coordinate with local responders
Submit One Risk Management Plan for AH Covered Processes
2.8 EXAMPLE SOURCES
The six sources described in this section will be used in this document to highlight
important stages in developing a risk management program.
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Chapter 2
Applicability of Program Levels 2-18
Source A
A ceramics manufacturer uses no regulated substances above the thresholds in its
manufacturing processes. The facility, however, has an interruptible gas contract with its local utility
and has a propane storage tank on site as a backup source of power. The maximum quantity in the
tank exceeds the applicable threshold quantity of 10,000 pounds; the tank, therefore, is a covered
process.
The tank is located 300 yards inside the fence line and the nearest public receptor (another
industrial facility) is 100 yards from the fence line. The distance to the overpressure endpoint for a
worst-case release from the tank is approximately 0.2 miles or 352 yards. There is no public receptor
within the distance to an endpoint from a worst-case release, and the process had no accidental releases
of propane with resulting in offsite impacts in the last five years. The process is eligible for Program 1.
Source B
A propane retailer located in a commercial area has a single 18,000-gallon propane tank. The
retailer repackages propane into cylinders for industrial and residential customers and refills small
propane tanks for grills. The propane tank holds more than a threshold quantity and is thus a covered
process.
The facility is bordered by several small businesses. An evaluation of the worst-case release
indicates that the small businesses will be potentially impacted by a worst-case release from the
propane tank. The process is not subject to the OSHA PSM Standard, nor is it categorized in one of
the nine SIC codes specified for Program 3 coverage. The process is subject to Program 2.
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2-19
Chapter 2
Applicability of Program Levels
Source C
An agricultural retailer has a 200-ton tank of ammonia and an 18,000-gallon propane'tank.
The retailer unloads both ammonia and propane from these bulk tanks into smaller tanks that are then
transported to farms. The facility is not fenced. The facility is within 0.15 mile of residences and the
business center of the small town.
The facility has two covered processes: the 200-ton tank of ammonia (Process A) and the
18,000-gallon propane tank (Process B). A worst-case release analysis finds that the worst-case
releases from both processes will potentially impact the residences and the business center of town.
Neither processes are subject to OSHA PSM, nor are they categorized in one of the nine listed SIC
codes for program 3. As a result, both processes are subject to Program 2.
Source D
A metal products manufacturer stores hydrochloric acid (37 percent solution) and uses it in its
plating process, which is connected to a storage tank that holds 50,000 pounds of the solution.
Hydrochloric acid is delivered in tank trucks and unloaded into the storage tank. The manufacturer
also operates a wastewater treatment plant that uses chlorine, supplied from five, interconnected one-
ton tanks, which are stored in a rack. The facility is in an industrial area and borders directly on
another industrial facility, whose workers park in the area close to the fence line. In addition, a river
borders one side of the facility.
The facility has two covered processes: the 50,000-pound tank of hydrochloric acid at 37
percent (Process A) and the process involving five interconnected one-ton tanks of chlorine in the
wastewater treatment plant (Process B). A worst-case release analysis finds that the worst-case releases
from both processes will potentially impact the bordering industrial facility and its workers. Process B
is subject to the OSHA PSM standard, but Process A is not. Process A is also not categorized in one of
the nine listed SIC codes for Program 3. Therefore, Process B is subject to Program 3 and Process A is
subject to Program 2.
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Applicability of Program Levels 2-20
Source E
An inorganic chemical manufacturer uses hydrofluoric acid in solution to manufacture
fluoroboric acid at a site that is approximately 500 yards square. It also has a water treatment plant
using chlorine. The manufacturer stores 10 tons of 70 percent HF solution, which is piped to the
reactor vessels. The wastewater treatment plant stores an average of ten one-ton tanks of chlorine on a
rack. The plant is in an industrial area. The HF storage tank is 150 yards from the property boundary.
The nearest neighboring building or workers are 300 yards away.
The facility has two covered processes: the process involving the 10-ton tank of hydrofluoric
acid at 70 percent (Process A) and process involving the ten one-ton tanks of chlorine in the
wastewater treatment plant (Process B). A worst-case release analysis finds that the worst-case
releases from both processes will potentially impact the neighboring buildings and workers. Process B
is subject to the OSHA PSM standard, but Process A is not. Process A activities are categorized in
SIC code 2819. Therefore, both processes are subject to Program 3.
Source F
A large chemical manufacturer operates a site that is approximately a half mile wide and two
miles long, with a major river on one long side and a four-lane road on the other. There are industrial
facilities on the other side of the road and river (a half-mile wide); neighboring facilities' fence lines
abut the company's property boundary. The company maintains a 300-yard buffer zone on each
narrow end of the facility and 50-yard buffer between its processes and the road and river. The
company manufactures a variety of chemicals, including chloroform, chorine, epichlorohydrin,
ethylene, HC1, hydrogen cyanide, TDI, methyl chloride, phosgene, and propylene, all of which are
present above threshold quantities in process vessels and storage tanks. The TDI process and storage
tanks are located at the center of the facility. The ethylene and propylene tanks are located 500 yards
from the river bank. A propane tank, used as a backup fuel source, is located just inside the buffer
zone, 50 yards from the highway and 100-yards from the entrance of a facility across the highway.
Although the facility has a number of separate production and storage units, several of the
units with regulated toxic substances are considered to be co-located and, therefore, are one process.
The propylene and ethelyne tanks are far enough apart to be considered separate processes. A worst-
case release analysis determines that both of these tanks have no public receptors within the distances
to their endpoint. The TDI process is not co-located or interconnected to any other covered process. A
worst-case release analysis determines that the TDI process's worst-case release would reach its
endpoint within the fenceline. None of these three processes has experienced a release of a regulated
substance during the past five years that resulted in any offsite consequences. Each of these is,
therefore, eligible for Program 1. The propane tank also is not co-located with any other covered
vessel. Because it is used as a backup fuel for buildings on site, but not for any covered processes, it is
not subject to OSHA PSM. Because its worst-case release would impact public receptors, it is subject
to Program 2. The other processes are subject to Program 3 because at least one of the production or
storage units in each process is subject to OSHA PSM.
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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:
Date. Indicate the date on which the accidental release began.
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Five-Year Accident History 3-2
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.
Quantity released. Estimate the amount of each substance released in pounds. The
amount should be estimated to two significant digits, or as close to that as possible.
For example, if you estimate that the release was between 850 and 900 pounds,
provide a best guess. We realize that you may not know precise quantities. For
flammable mixtures, you may report the quantity of the mixture, rather than that of the
individual regulated substances.
Release event Indicate which of the following release events best describes your
accident. Check all that apply:
4 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.
4- Liquid Spill/ Evaporation. A liquid spill/evaporation is a release of the
substance in a liquid state with subsequent vaporization.
4 Fire. A fire is combustion producing light, flames, and heat.
4 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.
4 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.
4- Piping. Piping refers to a system of tubular structures or pipes used to carry
a fluid or gas.
4 Process Vessel. A process vessel is a container in which substances under
certain conditions (e.g., temperature, pressure) participate in a process (e.g.,
substances are manufactured, blended to form a mixture, reacted to convert
them into some other final product or form, or heated to purify).
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Chapters
3-3 ; Five-Year Accident History
* Transfer Hose. A transfer hose is a tubular structure used to connect, often
temporarily, two or more vessels.
+ Valve. A valve is a device used to regulate the flow in piping systems or
machinery. Relief valves and rupture disks open to release pressure in vessels.
+ Pump. A pump is a device that raises, transfers, or compresses fluids or that
attenuates gases by suction or pressure or both.
+ Joint. The surface at which two or more mechanical components are united.
*• Other. Specify other source of the release.
Weather conditions at time of event (if known). This information is important to those
concerned with modeling the effects of accidents. Reliable information from those
involved in the incident or from an on-site weather station is ideal. However, this rule
does not require your facility to have a weather station. If you do not have an onsite
weather station, use information from your local weather station, airport, or other
source of meteorological data. To the extent possible, complete the following:
*• Wind Speed and Direction. Wind speed is an estimate of how fast the wind is
traveling. Indicate the speed in miles per hour. Wind direction is the direction
from which the wind comes. For example, a wind that blows from east to
west would be described as having an eastern wind direction. You may
describe wind direction as a standard compass reading such as "Northeast" or
"South-southwest."
You may also describe wind direction in degrees—with North as zero degrees
and East as 90 degrees. Thus, northeast would represent 45 degrees and
south-southwest would represent 202.5 degrees. Abbreviations for the wind
direction such as NE (for northeast) and SSW (for south-southwest) are also
acceptable.
* Temperature. The ambient temperature at the scene of the accident in degrees
Fahrenheit. If you did not keep a record, you can use the high (for daytime
releases) or low (for nighttime releases) for the day of the release. Local
papers publish these data.
•* Stability Class. Depending on the amount of incoming solar radiation as well
as other factors, the atmosphere may be more or less turbulent at any given
time. Meteorologists have defined six atmospheric stability classes, each
representing a different degree of turbulence in the atmosphere. When
moderate to strong incoming solar radiation heats air near the ground, causing
it to rise and generating large eddies, the atmosphere is considered unstable, or
relatively turbulent. Unstable conditions are associated with stability classes
A and B. When solar radiation is relatively weak, air near the surface has less
of a tendency to rise and less turbulence develops. In this case, the
atmosphere is considered stable or less turbulent with weak winds. The
stability class is E or F. Stability classes D and C represent conditions of
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Chapter 3
Five-Year Accident History
3-4
neutral stability or moderate turbulence respectively. Neutral conditions are
associated with relatively strong wind speeds and moderate solar radiation.
Exhibit 3-1 presents the stability classes associated with wind speeds, time of
day, and cloud cover.
Precipitation Present. Precipitation may take the form of hail, mist, rain,
sleet, or snow. Indicate "yes" or "no" based on whether there was any
precipitation at the time of the accident.
Unknown. If you have no record for some or all of the weather data, indicate
"unknown" for any missing item. We realize that you may not have weather
data for accidents that occurred in the past. You should, however, collect
these data for any future accidents.
EXHIBIT 3-1
ATMOSPHERIC STABILITY CLASSES
SURFACE WIND SPEED 'A&
10 METERS * V %
Meters per
second
' <2
2-3
3-5
5-6
>6
Miles per
hour
<4.5
4.5-7
7-11
11-13
>13
^ . •• s "• _/ ** ^ x •• ,. Tfr A'VV -•/ '•",'''$••> '•
si ^'T1'V"C^ ••' :-',"""'" ,' -;•,
&•*«£? "' ''A y//'^ "•'•. ?;f'y ""'•" ','''*«, % " '\
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
' '< ''V^ftfttaaw" " s '''*"y
- -, ' •-, i¥.^t*W*l, / , „ , '„"•
' ' '» ' tfff" 's * ^ s 'ssj.''
s is »' , " '?< , -S " •• ' '
Thmly
Overcast or
* 4/8 low
cloud
E
D
D
D
^3/8
Cloud
F
E
D
D
* Sun high in the sky with no clouds.
** Sun low in the sky with no clouds.
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.
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Chapter 3
3-5 Five-Year Accident History
Injuries. An injury is any effect that results either from direct exposure to
toxic concentrations, radiant heat, or overpressures from accidental releases or
from indirect consequences of a vapor cloud explosion (e.g., flying glass,
debris, other projectiles) from an accidental release and that requires medical
treatment or hospitalization. You should list injuries to employees and
contractors, offsite responders, and others separately.
Medical treatment means treatment, other than first aid, administered by a
physician or registered professional personnel under standing orders from a
physician.
Your 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.
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 required to conduct a survey to determine if such damage occurred, but if
you know, or could reasonably be expected to know (e.g., because of reporting in the newspapers), that
damage occurred, you must include the accident.
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.
+• Deaths. Indicate the number of offsite deaths that are attributable to the
accident or mitigation activities. Offsite deaths means the number of
community members who were killed by direct exposure to toxic
concentrations, radiant heat, or overpressures from accidental releases or from
indirect consequences of a vapor cloud explosion from an accidental release
(e.g., flying glass, debris, other projectiles).
*• Injuries. Indicate the number of injuries among community members. Injury
means any effect that results either from direct exposure to toxic
concentrations, radiant heat, or overpressures from accidental releases or from
indirect consequences of a vapor cloud explosion from an accidental release
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Five-Year Accident History 3-6
(e.g., flying glass, debris, other projectiles) and that requires medical treatment
or hospitaUzation.
•* Evacuated. Estimate the number of members of the community who were
evacuated to prevent exposure that might have resulted from the accident. A
total count of the number of people evacuated is preferable to the number of
houses evacuated. People who were ordered to move simply to improve
access to the site for emergency vehicles are not considered to have been
evacuated.
+ Sheltered. Estimate the number of members of the community who were
sheltered-in-place during the accident. Sheltering-in-place occurs when
community members are ordered to remain inside their residence or place of
work until the emergency is over to prevent exposure to the effects of the
accidental release. Usually these orders are communicated by an emergency
broadcast or similar method of mass notification by response agencies.
+ Environmental Damage. Indicate whether any environmental damage
occurred and specify the type. The damage to be reported is not Limited to
environmental receptors listed in the rule. Any damage to the environment
(e.g., dead or injured animals, defoliation, water contamination) should be
identified. You are not, however, required to conduct surveys to determine
whether such impact occurred. Types of environmental damage include:
> Fish or animal kills.
> Lawn, shrub, or crop damage minor defoliation.
> Lawn, shrub, or crop damage major defoliation.
> Water contamination.
t> 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.
*• Human Error. An operator performed a task improperly, either by failing to
take the necessary steps or by taking the wrong steps.
+ Weather Conditions. Weather conditions, such as lightning, hail, ice storms,
tornados, hurricanes, floods, or high winds, caused the accident.
+ Unknown.
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3-7 Five-Year Accident History
Contributing factors. These are factors that contributed to the accident, but were not
the initiating event. If you conducted an investigation of the release, you may have
identified factors that led to the initiating event or contributed to the severity of the
release. Indicate all that apply.
* Equipment Failure. A device or piece of equipment foiled to function as
designed, thereby allowing a substance leading to or worsening the accidental
release.
* Human error. An operator performed an operation improperly or made a
mistake lead to or worsened the accident.
*• Improper Procedures. The procedure did not reflect the proper method of
operation, the procedure omitted steps that affected the accident, or the
procedure was written in a manner that allowed for misinterpretation of the
instructions.
*• Overpressurization. The process was operated at pressures exceeding the
design working pressure.
4- . Upset Condition. Incorrect process conditions (e.g., increased temperature or
pressure) contributed to the release.
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).
*• 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.
*• 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).
+ Unsuitable Equipment. The equipment used was incorrect for the process.
For example, the forklift was too large for the corridors.
*• Unusual Weather Conditions. Weather conditions, such as lightning, hail, ice
storms, tornados, hurricanes, floods, or high winds contributed to the accident.
*• Management Error. A failure occurred because management did not exercise
its managerial control to prevent the accident from occurring. This is usually
used to describe faulty procedures, inadequate training, inadequate oversight,
or failure to follow existing administrative procedures.
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Whether offsite responders were notified. If known, indicate whether response
agencies (e.g., police, fire, medical services) were contacted.
Changes introduced as a result of the accident. Indicate any measures that you have
taken at the facility to prevent recurrence of the accident. Indicate all that apply.
+ Improved/ Upgraded Equipment. A device or piece of equipment that did not
function as designed was repaired or replaced.
+ Revised Maintenance. Maintenance procedures were clarified or changed to
ensure appropriate and timely maintenance including inspection and testing
(e.g., increasing the frequency of inspection or adding a testing method).
+ Revised Training. Training programs were clarified or changed to ensure that
employees and contract employees are aware of and are practicing correct
safety and administrative procedures.
+ Revised Operating Procedures. Operating procedures were clarified or
changed to ensure that employees and contract employees are trained on
appropriate operating procedures.
+ New Process Controls. New process designs and controls were installed to
correct problems and prevent recurrence of an accidental release.
4- 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
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3-9 Five-Year Accident History
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(a) requires you to immediately notify the National Response
Center if your facility releases a hazardous substance to the environment in greater
than a reportable quantity (see 40 CFR part 302). Toxic substances regulated under
part 68 are also CERCLA hazardous substances, but most of the flammable
substances regulated under part 68 are not subject to CERCLA reporting. Notice
required under CERCLA includes the following information:
+ The chemical name or identity of any substance involved in the release
+ An indication of whether the substance is on the list referred to in Section
302(a)
•* An estimate of the quantity of substance that was released into the
environment
+ The time and duration of the release
+ The medium or media into which the release occurred.
EPCRA Section 304 requires facilities to report to the community emergency
coordinator of the appropriate local emergency planning committee (LEPC) and state
emergency response commission (SERC) releases of extremely hazardous substances
to the environment in excess of reportable quantities (as set forth in 40 CFR part 302).
All toxic substances regulated under part 68 are subject to EPCRA reporting;
flammables regulated under part 68 are generally not subject to EPCRA reporting.
The report required by EPCRA is to include:
+ Chemical name or identity of all substances involved in the accident
+ An estimate of the quantity of substances released to the environment
^ The time and duration of the release.
The owner or operator is also required to releases Follow-up Emergency Notice as
soon as possible after a release which requires notification. This notice should update
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the previously released information and include additional information regarding
actions taken to respond to the release, any known or anticipated acute or chronic
health risks associated with the release, and where appropriate, advice regarding
medical attention necessary for exposed individuals.
OSHA's log of 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:
+ Column B: date of work accident which resulted in injury
+ 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). 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
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Chapter 3
Five-Year Accident History
+ 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.
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.
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CHAPTER 4: OFFSITE CONSEQUENCE ANALYSIS
RMP OFFSITE CONSEQUENCE ANALYSIS GUIDANCE
This chapter is intended for people who plan to do their own air dispersion modeling. EPA has
prepared a separate document, RMP Offsite Consequence Analysis Guidance, which provides simple
methods and reference tables for determining distance to an endpoint for worst-case and alternative
release scenarios. In conjunction with the National Oceanographic and Atmospheric Administration
(NOAA), EPA has developed a software program, RMP*Comp™, that performs calculations
described in the RMP Offsite Consequence Analysis Guidance. This software is available for free
from the NOAA Internet website at http://www.noaa.gov. In addition, EPA is preparing industry-
guidance for several industries covered by part 68. In these documents, EPA provides chemical-
specific modeling for the covered industries. AH the information provided in this chapter is also
included in EPA's RMP Offsite Consequence Analysis Guidance and the industry-specific
guidance documents available from EPA. If you intend to use those guidances to carry out your
offsite consequence analysis, you may skip this chapter. If you plan to do your own modeling, this
chapter will provide you with the information you need to comply with the rule requirements; it does
not provide methodologies.
4.1 INTRODUCTION
The offsite consequence analysis consists of two elements:
+ A worst-case release scenario analysis applicable to all covered processes,
regardless of program level, as follows:
> To determine whether a process is eligible for Program 1, you must
evaluate the worst-case scenarios for each toxic and flammable
substance held above the threshold in the process. The process is
eligible for Program 1 if there are no public receptors within the
distance to an endpoint for all of the worst-case scenarios analyzed
for the process (and the other Program 1 criteria are met — see
Chapter 2). For every Program 1 process, you must report on
the worst-case scenario with the greatest distance to an
endpoint.
> If your site has Program 2 or Program 3 processes (processes that are
not eligible for Program 1 — see Chapter 2), you must analyze and
report on one worst-case analysis representing all toxic regulated
substances present above the threshold quantity and one worst-case
analysis representing all flammable regulated substances present
above the threshold quantity.
> You may need to submit an additional worst-case analysis if a
worst-case release from elsewhere at the source would potentially
affect public receptors different from those affected by the initial
worst-case scenario(s).
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OfTsite Consequence Analysis 4-2
+ An alternative release scenario analysis, applicable to all Program 2 and
Program 3 processes, as follows:
> Alternative release scenarios should be those that may result in
concentrations, overpressures, or radiant heat levels that reach the
endpoints specified for these effects beyond the fenceline of your
facility.
> You must present information on one alternative release scenario
analysis for each regulated toxic substance held above the threshold
quantity, including the substance considered in the worst-case
analysis.
> You must present information on one alternative release scenario
analysis to represent all flammable substances held above the
threshold quantity.
If the distance to the endpoint for your worst-case release just reaches your fenceline,
you may not have an alternative release scenario with a distance to an endpoint that
goes beyond the fenceline. However, you still must report an alternative release
scenario. You may want to explain in the RMP Executive Summary why the distance
does not extend beyond the fenceline.
HOW SHOULD I CONDUCT THE ANALYSIS?
You may use EPA's RMP Offsite Consequence Analysis Guidance to carry out your
consequence analysis. Results obtained using the methods in EPA's Guidance are
expected to be conservative. Conservative assumptions have been introduced to
compensate for high levels of uncertainty. EPA's guidance is optional, and you are
free to use other air dispersion models, fire or explosion models, or computation
methods provided that:
+ They are publicly or commercially available or are proprietary models that
you are willing to share with the implementing agency;
+ They are recognized by industry as applicable to current practices;
•*• They are appropriate for the chemicals and conditions being modeled;
+ You use the applicable definitions of worst-case scenarios; and
+ You use the applicable parameters specified in the rule.
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Chapter 4
Offsite Consequence Analysis
EXHIBIT 4-1
CONSIDERATIONS FOR CHOOSING A MODELING METHOD
Approach
Simple
guidance
Simple
computer
models
Complex
computer
models
Calculation
methods
Examples
EPA's Offsite
Consequence
Analysis
Guidance
EPA models,
such as
RMP*CompTM
Commercially
available
models
•"Yellow Book"
(Netherlands
TNO)
Advantages
4- Free
4- No computer requirements
4- Simple to use
4- Provides all data needed
4- Provides tables of distances
4- Ensures compliance with rule
4- No/low cost
4- May be simple to use
4- Can consider some site-
specific factors
4- May address a variety of
scenarios
4- May consider many site-
specific factors
4- Low cost
4- No computer requirements
Disadvantages
4- Conservative results
4- Few site-specific factors
considered
4- Little flexibility in scenario
development
4- Some may not be simple to use
4- Likely to give conservative
results
4- May not accept all of EPA's
required assumptions
4- May not include chemical-
specific data
4- May not address all
consequences
4- May be costly
4- May require high level of
expertise
4- May require expertise to apply
methods
4- May require development of a
variety of data
Complex models that can account for many site-specific factors may give less
conservative estimates of offsite consequences than the simplified methods in EPA's
guidance, particularly for alternative scenarios, for which EPA has not specified many
assumptions. However, complex models may be expensive and require considerable
expertise to use; EPA's optional guidance is designed to be simple and
straightforward. You will need to consider the tradeoff in deciding how to carry out
your required consequence analyses. Exhibit 4-1 provides additional suggestions on
making this decision.
Whether you use EPA's guidance or another modeling method, you should bear in
mind that the results you obtain from modeling your worst-case or alternative
scenarios should not be considered to predict the likely results of an accidental release.
The worst-case assumptions are very conservative, and, regardless of the model used,
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Offsite Consequence Analysis 4-4
you can expect very conservative results. Results from modeling alternative scenarios
will be less conservative; however, you still must use conservative endpoints.
In addition, results of an actual release will depend on many site-specific conditions
(e.g., wind speed and other weather conditions) and factors related to the release (e.g.,
when and how the release occurs, how long it takes to stop it). You should make
reasonable assumptions regarding such factors in developing your alternative
scenarios, but the circumstances surrounding an actual release may be different.
Different models likely will provide different results, even with the same assumptions,
and most models have not been verified with experimental data; therefore, results of
even sophisticated modeling have a high degree of uncertainty and should be viewed
as providing a basis for discussion, rather than predictions. Modeling results should
be considered particularly uncertain over long distances (i.e., 10 kilometers or more).
Exhibit 4-2 provides suggestions for assistance on modeling.
4.2 WORST-CASE RELEASE SCENARIOS
EPA has defined a worst-case release as the release of the largest quantity of a
regulated substance that results in the greatest distance from the point of release to a
specified endpoint (§68.3). You must estimate the distance as follows:
+ Part 68, Appendix A lists the toxic endpoint you must use for each regulated
toxic substance. For the worst-case analysis for toxic substances, you are
required to estimate the air dispersion distance to the endpoint, using certain
conservative assumptions concerning quantity released and release conditions.
+ A vapor cloud explosion is specified as the worst-case scenario for flammable
substances. For the worst-case analysis for flammable substances, you need
to estimate the distance to an overpressure endpoint of 1 pound per square
inch (psi) resulting from a vapor cloud explosion of a cloud containing the
largest quantity of the .regulated flammable substance from a vessel or process
pipe line failure.
This section describes the assumptions you must make and what you need to do to
meet the requirements for worst-case scenario analysis under the rule. Exhibit 4-3
summarizes the required parameters for the worst-case analysis.
WORST-CASE RELEASES OF Toxic SUBSTANCES
For the worst-case release analysis for toxic substances, you need to use the
assumptions discussed below, the properties of the substance, and an appropriate air
dispersion model or EPA's optional guidance to estimate the distance from the release
point to the point at which the concentration of the substance in air is equal to the
toxic endpoint specified in the rule. Because the assumptions required for the
worst-case analysis are very conservative, the results likely will be very conservative.
The endpoints specified for the regulated toxic substances are intended to be
protective of the general public. These endpoints are concentrations below which it is
believed nearly all individuals could be exposed for one-half to one hour without any
serious health effects. In addition, the worst-case analysis is carried out using very
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4-5 Offsite Consequence Analysis
EXHIBIT 4-2
POSSIBLE SOURCES OF ASSISTANCE ON MODELING
You may be able to obtain modeling help from the implementing agency in your area; for example,
implementing agencies in California are preparing to provide assistance to regulated sources.
If you use certain models, users' groups may be a source of assistance; for example, there is an
ALOHA model users' group.
If you use a commercial model, you probably can request assistance from the model developer or
distributor.
Publications of the Center for Process Safety of the American Institute of Chemical Engineers (AIChE)
may provide useful information on modeling; examples of such publications include:
>• Guidelines for Evaluating the Characteristics of Vapor Cloud Explosions, Flash Fires, and
BLEVEs( 1994), and
>• Guidelines for Use of Vapor Cloud Dispersion Models (1987).
EPA publications also may provide useful modeling information; examples include:
>• Workbook of Screening Techniques for Assessing Impacts of Toxic Air Pollutants, EPA-
450/4-88-009 (September 1988), and -. . '
* Guidance on the Application of Refined Dispersion Models for Hazardous/Toxic Air Release,
EPA-454/R-93-002 (May 1993).
> EPA guidance is available at http://www.epa.gOv/scram001//
conservative assumptions about weather and release conditions. The distance to the
endpoint estimated under worst-case conditions should not be considered a zone in
which the public would likely be in danger; instead, it is.intended to provide an
estimate of the maximum possible area that might be affected in the unlikely event of
catastrophic conditions. Distances greater than about 10 kilometers are particularly
uncertain. EPA intends the estimated distances to provide a basis for a discussion
among the regulated community, emergency responders, and the public, rather than a
basis for any specific actions.
MODELING ASSUMPTIONS
Quantity. EPA has defined (§68.3) a worst-case release as the release of the largest
quantity of a regulated substance from a vessel or process line failure that results in
the greatest distance to a specified endpoint. For substances in vessels, you must
assume release of the largest amount in a single vessel; for substances in pipes, you
must assume release of the largest amount in a pipe.
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Offeite Consequence Analysis 4-6
EXHIBIT 4-3
REQUIRED PARAMETERS FOR MODELING WORST-CASE SCENARIOS
Endpoints
4- For toxic substances, use the endpoint specified in part 68, Appendix A.
4- For flammable substances, use the endpoint of an overpressure of 1 pound per square inch (psi) for
vapor cloud explosions.
Wind speed/stability
4- 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 demonstrate a higher minimum wind speed or
less stable atmosphere over three years, these minimums may be used.
Ambient temperature/humidity
4- For toxic substances, use the highest daily maximum temperature during the past three years and
average humidity for the site.
Height of release
4- For toxic substances, assume a ground level release.
Topography
4- Use urban or rural topography, as appropriate.
Dense or neutrally buoyant gases
4- Tables or models used for dispersion of regulated toxic substances must appropriately account for gas
density.
Temperature of released substance
4- For liquids (other than gases liquefied by refrigeration), use the highest daily maximum temperature,
based on data for the previous three years, or at process temperature, whichever is higher.
4- Assume gases liquefied by refrigeration at atmospheric pressure are released at their boiling points.
The largest quantity should be determined taking into account administrative controls.
Administrative controls are written procedures that limit the quantity of a substance
that can be stored or processed in a vessel or pipe at any one time, or, alternatively,
occasionally allow a vessel or pipe to store larger than usual quantities (e.g., during
turnaround). You do not need to consider the possible causes of the worst-case
release or the probability that such a release might occur; the release is simply
assumed to take place.
Release Height. All releases are assumed to take place at ground level for the
worst-case analysis. This is a conservative assumption in most cases. Even if you
think a ground-level release is unlikely at your site, you must use this assumption for
the worst-case analysis.
Wind Speed and Atmospheric Stability. Meteorological conditions for the
worst-case scenario are defined in the rule as atmospheric stability class F (stable
atmosphere) and wind speed of 1.5 meters per second (3.4 miles per hour). If,
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4-7 | Offsite Consequence Analysis
however, you can demonstrate that the minimum wind speed at your site (measured at
10 meters) has been higher than 1.5 meters per second, or that the maximum
atmosphere stability has always been less stable than class F, you may use the
minimum wind speed and most stable atmospheric conditions at your site for the
worst-case analysis. To demonstrate higher minimum wind speeds or less stable
atmospheric conditions, you will need to document local meteorological data from the
previous three years that are applicable to your site. If you do not keep weather data
for your site (most sources do not), you may call another nearby source, such as an
airport, or a compiler, such as the National Weather Service, to determine wind speeds
for your area. Exhibit 3-1 in Chapter 3 describes atmospheric stability classes in
relation to wind speed and cloud cover. Your airport or other source will be able to
give you information on cloud cover. A small difference in wind speed probably will
not lead to a significant decrease in the distance to the endpoint
Temperature and Humidity. For the worst-case release of a regulated toxic
substance, you must assume the highest daily maximum temperature that occurred in
the previous three years (the highest temperature reached in the last three years) and
the average humidity for the site. If you have not kept information on temperature and
humidity at your site, you may obtain it from a local meteorological station. EPA's
RMP Offsite Consequence Analysis Guidance assumes a temperature of 25°C (77°F)
and 50 percent humidity. If you use the EPA's guidance for your offsite consequence
analysis, you may use these assumptions even if the actual highest temperature at your
site is higher or lower. If the temperature at your site is significantly lower, EPA's
guidance may give overly conservative results, particularly for toxic liquids. Small
differences in temperature and humidity are unlikely to have a major effect on results,
however.
Topography. Two choices are provided for topography for the worst-case scenario.
If your site is located in an area with few buildings or other obstructions, you should
assume open (rural) conditions. If your site is in an urban location, or is in an area
with many obstructions, you should assume urban conditions.
Gas or Vapor Density. For the worst-case analysis, you must use a model
appropriate for the density of the released gas or vapor. Generally, for a substance
that is lighter than air or has a density similar to that of air, you would use a model for
neutrally buoyant vapors. The initial vapor density of a substance with respect to air
can be estimated from its molecular weight, assuming air has a "molecular weight" of
approximately 29. For a substance that is heavier than air (molecular weight greater
than 29), you generally would use a dense gas model. There are cases where a dense
gas model may be appropriate for a substance with molecular weight of 29 or less
(e.g., release of a compressed gas as a cold vapor) or where a neutrally buoyant plume
model may be appropriate for a substance with a higher molecular weight (e.g., release
by slow evaporation, with considerable mixing with air). In addition, dense gases and
vapors will become neutrally buoyant through mixing with air as they move
downwind. If you can account for such conditions in modeling, you may do so.
ESTIMATING RELEASE RATES
Toxic Gases. Toxic gases include all regulated toxic substances that are gases at
ambient temperature (temperature 25° C, 77° F). For the consequence analysis, the
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Offsite Consequence Analysis 4-8
total quantity in the single largest vessel or process line is assumed to be released as a
gas over a period of 10 minutes, except in the case of gases liquefied by refrigeration
under atmospheric pressure. The release rate (per minute) for a gas (not liquefied by
refrigeration) is the total quantity released divided by 10. Passive mitigation measures
(e.g., enclosure) may be taken into account in the analysis of the worst-case scenario.
A 10-minute release must be assumed for gases regardless of the model you use.
Gases liquefied by refrigeration alone (not under pressure) and released into diked
areas may be modeled as liquids at their boiling points, if the pool formed by the
released liquid would be greater than one centimeter (0.39 inches) in depth. In this
case, you may assume the liquefied gas is released from a pool by evaporation at the
boiling point of the gas. If the refrigerated liquefied gas is not contained by passive
mitigation, or if the pool formed would have a depth of one centimeter or less, you
must treat the released substance as a gas released over 10 minutes. EPA's analysis
indicated that pools of gas liquefied by refrigeration with a depth of one centimeter or
less would evaporate so rapidly at their boiling points that treatment as gaseous
releases over 10 minutes is reasonable.
Toxic liquids. For toxic liquids, you must assume that the total quantity in a vessel is
spilled, forming a pool. For toxic liquids carried in pipelines, you must assume that
the largest quantity that might be released from the pipeline forms a pool. Passive
mitigation systems (e.g., dikes) may be taken into account in consequence analysis.
You must assume that the total quantity spilled spreads instantaneously to a depth of
one centimeter (0.39 inches) in an undiked area or covers a diked area
instantaneously. You estimate the release rate to air as the rate of evaporation from
the pool. To estimate the evaporation rate, you need to estimate the surface area of the
pool. You can take into account the surface characteristics of the area into which the
liquid would be spilled; for example, some models for pool evaporation will take into
account the type of soil if the spill will take place in an unpaved area. Your modeling
also should consider the length of time it will take for the pool to evaporate.
You may use any appropriate model to estimate the evaporation rate of a spilled
regulated substance from a pool and estimate the air dispersion distance to the
specified endpoint of the regulated substance. The release rate can then be used to
estimate the distance to the endpoint.
ESTIMATING DISTANCE TO THE ENDPOINT
You may use any appropriate model, as discussed above, to estimate the distance to
the endpoint specified in part 68 Appendix A for a release of a regulated toxic
substance, using the required modeling assumptions.
WORST-CASE RELEASES OF FLAMMABLE SUBSTANCES
For the worst-case scenario involving a release of a regulated flammable substance (a
flammable gas or volatile flammable liquid), you must assume that the total quantity
of the flammable substance is released into a vapor cloud. A vapor cloud explosion is
assumed to result from the release. You must estimate the distance to an endpoint to
an overpressure level of 1 pound per square inch (psi) from the explosion of the vapor
cloud.
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4-9 Offsite Consequence Analysis
As in the case of the worst-case release analysis for toxic substances, the worst-case
distance to the endpoint for flammable substances is based on a number of very
conservative assumptions. Release of the total quantity of a flammable substance in a
vessel or pipe into a vapor cloud generally would be highly unlikely. Vapor cloud
explosions are also unlikely events; in an actual release, the flammable gas or vapor
released to air might disperse without ignition, or it might burn instead of exploding,
with more limited consequences. The endpoint of 1 psi is intended to be conservative
and protective; it does not define a level at which severe injuries or death would be
commonly expected. An overpressure of 1 psi is unlikely to have serious direct
effects on people; this overpressure may cause property damage such as partial
demolition of houses, which can result in injuries to people,, and shattering of glass
windows, which may cause skin laceration from flying glass.
To carry out the worst-case consequence analysis for flammable substances, you may
use a TNT-equivalent model (i.e., a model that estimates the explosive effects of a
flammable substance by comparison with the effects of an equivalent quantity of the
high explosive trinitrotoluene (TNT), based on the available combustion energy in the
vapor cloud). Such models allow'you to estimate the distance to a specific
overpressure level, based on empirical data from TNT explosions. If you use a
TNT-equivalent model, you must assume that 10 percent of the flammable vapor in
the cloud participates in the explosion (i.e., you assume a 10 percent yield factor for
the explosion). You do not have to use a TNT-equivalent model; other models are
available that take into account more site-specific factors (e.g., degree of confinement
of the vapor cloud). Generally, however, a TNT-equivalent model is the simplest to
use.
NUMBER OF SCENARIOS
The number of worst-case scenarios you must analyze depends on several factors as
discussed below. You only need to consider the hazard (toxicity or flammability) for
which a substance is regulated (i.e., even if a regulated toxic substance is also
flammable, you only need to consider toxicity in your analysis; even if a regulated
flammable substance is also toxic, you only need to consider flammability).
PROGRAM l PROCESSES
To demonstrate that a process is eligible for Program 1 (see Chapter 2), you conduct a
worst-case release analysis of it and that analysis must show that the distance to the
specified endpoint for every regulated substance in the process is smaller than the
distance to any public receptor. If you have several processes that may qualify for
Program 1, you will have to carry out a worst-case analysis for each process to
determine which qualify. You will need to report in the RMP the worst-case results
for those processes you determine to be eligible for Program 1.
If the distance to the endpoint in the worst-case analysis is equal to or greater than the
distance to any public receptor, the process would be in Program 2 or Program 3
(discussed below). When you consider possible eligibility of your processes for
Program 1, you may want to look particularly at processes containing flammable
substances, which are likely to give shorter worst-case distances than toxic substances.
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Offsite Consequence Analysis 4-10
PROGRAM 2 AND 3 PROCESSES
For all your Program 2 and 3 processes together (see Chapter 2), you must carry out
and report in the RMP one worst-case analysis for the regulated toxic substances and
one worst-case analysis for the regulated flammable substances held above their
threshold quantities. The basic purpose of the worst-case analysis is to identify all of
the public receptors that could be affected by a worst-case release. The release that
results in the greatest distance to an endpoint would affect the greatest number of
public receptors so only that release (and not others affecting a subset of the those
receptors) needs to be reported. The reported scenario for toxic substances must be
the scenario estimated to result in the greatest distance to a specified toxic endpoint;
for flammable substances, it must be the scenario estimated to lead to the greatest
distance to 1 psi overpressure for a vapor cloud explosion. Additional worst-case
analyses must be reported for toxic or flammable substances if a worst-case release
from a different location at the facility potentially would affect different public
receptors from those affected by the scenario giving the greatest distance.
IDENTIFYING THE "WORST" WORST-CASE SCENARIO
Toxics. To determine the scenario that gives the greatest distance to an endpoint for
processes containing toxic substances, you may have to analyze more than one
scenario, because the distances depend on more than simply the quantity in a process.
For toxic liquids, for example, distances depend on the magnitude of the toxic
endpoint, the molecular weight and volatility of the substance, and the temperature of
the substance in the process, as well as quantity. A smaller quantity of a substance at
an elevated temperature may give a greater distance to the endpoint than a larger
quantity of the same substance at ambient temperature. In some cases, it may be
difficult to predict which substance and process will give the greatest worst-case
distance. You also may need to carry out analyses of worst-case scenarios for
locations at significant distances from each other to determine whether different public
receptors might be affected by releases.
Flammables. For flammable substances, the greatest quantity in a process is likely to
give the greatest distance to the endpoint, but there may be variations, depending on
heat of combustion and distance to the fenceline. You may have to carry out several
analyses to identify the scenario that gives the greatest distance to the endpoint. As in
the case of toxic substances, you also may need to carry out analyses for locations far
apart from each other to determine whether different public receptors might be
affected.
For both toxic and flammable substances, the worst-case distances should be
considered only approximations.
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Qs & As
WORST-CASE AND MITIGATION
Q. At my facility, if the worst-case release scenarios for regulated toxic substances and the worst-case
scenario for regulated flammable substances involve the same process, must I analyze both?
A. Yes. If the worst-case release scenarios for regulated toxic substances and regulated flammable
substances in Program 2 and 3 processes are associated with the same process, the two worst-case
release scenarios must be analyzed separately.
Q. What measures qualify as "passive mitigation"?
A. Passive mitigation is defined in § 68.3 as "equipment, devices, or technologies that function
without human, mechanical, or other energy input." Passive mitigation systems include building
enclosures, dikes, and containment walls. Measures such as fire sprinkler systems, water curtains,
valves, scrubbers, or flares would not be considered passive mitigation because they require human,
mechanical, or energy input to function.
Q. When analyzing the worst-case scenario for regulated toxic-substances, must I anticipate a specific
cause (e.g., fire, explosion, etc.) of the scenario?
A. No. The worst-case analysis for a release of regulated toxic substances must conform to specific
assumptions as identified in § 68.25(c) and (d). Anticipated causes of the release will not affect the
analysis, and are not required. A specific cause may be considered in analyzing the alternative release
scenarios although it is not a requirement.
Q. Would all of the regulated substances stored in a salt dome be assumed to be released in the worst-
case scenario?
A. The worst case scenario for salt domes would be examined in a manner similar to that for
underground storage tanks. Reservoirs or vessels sufficiently buried underground are passively
mitigated or prevented from failing catastrophically. You should evaluate the failure of piping
connected to underground storage for the worst-case and alternative scenarios.
Q. Are valves in piping considered administrative controls?
A. No, administrative controls are written procedures that limit the quantity stored or flowing through
the pipes. Valves are considered active mitigation systems.
4.3 ALTERNATIVE RELEASE SCENARIOS
There are only a few required assumptions for the alternative scenario analysis.
Exhibit 4-4 summarizes the required assumptions.
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EXHIBIT 4-4
REQUIRED PARAMETERS FOR MODELING ALTERNATIVE SCENARIOS
Endpoints
4- For toxic substances, use the endpoints specified in part 68, Appendix A.
4- For flammable substances, use as the endpoints:
»• Overpressure of 1 pound per square inch (psi) for vapor cloud explosions,
>• Radiant heat of 5 kilowatts per square meter (kW/m2) (or equivalent dose) for fireballs
or pool fires, or
> Lower flammability limit (LFL) for vapor cloud fires.
Wind speed/stability
4- Use typical meteorological conditions at your site.
Ambient temperature/humidity
4- Use average temperature/humidity data gathered at your site or at a local meteorological
station.
Height of release
4- Release height may be determined by the release scenario.
Topography
4- Use urban or rural topography, as appropriate.
Dense or neutrally buoyant gases
4- Tables or models used for dispersion of regulated toxic substances must appropriately account
for gas density.
Temperature of released substance
4- Substances may be considered to be released at a process or ambient temperature that is
appropriate for the scenario.
ACCEPTABLE ALTERNATIVE SCENARIOS
Your alternative scenario for a covered process must be one that is more likely to
occur than the worst-case scenario and that reaches an endpoint offsite, unless no such
scenario exists. You do not need to demonstrate greater likelihood of occurrence or
carry out any analysis of probability of occurrence; you only need to use reasonable
judgement and knowledge of the process. If, using a combination of reasonable
assumptions, modeling of a release of a regulated substance from a process shows that
the relevant endpoint is not reached offsite, you can use the modeling results to
demonstrate that a scenario does not exist for the process that will give an endpoint
offsite. You must report an alternative scenario, however.
Release scenarios you should consider include, but are not limited to, the following,
where applicable:
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4-13 ^ Offsite Consequence Analysis
+ 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 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.
ALTERNATIVE RELEASES OF Toxic SUBSTANCES
To estimate distances to the endpoint for alternative releases of toxic substances, you
need to identify reasonable scenarios for the regulated substances in covered processes
at your site and model these scenarios using appropriate models. As noted above, for
alternative release scenarios, you are permitted to take credit for both passive and
active mitigation systems, or a combination if both are in place. Modeling alternative
releases of toxic substances is discussed below.
Although alternative scenarios are intended to be more likely than worst-case
scenarios, the analysis of alternative scenarios should not be expected to provide
realistic estimates of areas in which the public might be endangered in case of a
release. The same conservative, protective endpoints are used for alternative release
analysis as for worst-case analysis. These endpoints are intended to represent
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exposure levels below which most members of the public will not suffer any serious
health effects. The endpoints are based on exposures for longer periods than may be
likely in an actual release. In addition, modeling carried out to estimate distances to
these endpoints, even when based on more realistic assumptions than used for the
worst-case modeling, likely will provide results with a high degree of uncertainty.
These estimated distances should not be considered a necessarily accurate prediction
of the results of an actual release.
MODELING ASSUMPTIONS
Quantity. EPA has not specified any assumptions you must make concerning
quantity released for an alternative release scenario. You could consider any
site-specific factors in developing a reasonable estimate of quantity released (e.g., the
quantity that could be released from a sheared pipe in the time it would take to shut
off flow to the pipe).
Release Height. You may assume any. appropriate release height for your alternative
scenarios. For example, you may analyze a scenario in which a regulated substance
would be released at a height well above ground level.
Wind Speed and Atmospheric Stability. You should use typical meteorological
conditions at your site to model alternative scenarios. To determine typical
conditions, you may need to obtain local meteorological data that are applicable to
your site. If you do not keep weather data for your site (most sources do not), you
may call another nearby source, such as an airport, or a compiler, such as the National
Weather Service, to determine wind speeds for your area. Your airport or other source
will be able to give you information on cloud cover.
ESTIMATING RELEASE RATES
Toxic Gases. To estimate a release rate for toxic gases, you may make any
appropriate assumptions based on conditions at your site and use any appropriate
model. EPA's RMP Offsite Consequence Analysis Guidance provides a simple
equation and chemical-specific data for estimating the release rate of a gas from a hole
in a vessel or pipe based on hole size, tank pressure, and chemical properties. The
size of the hole might be estimated from, for example, the hole size that would result
from shearing off a valve or pipe from a vessel.
Tank or pipe damage or failure resulting in the release of a gas liquefied under
pressure might be an appropriate alternative scenario at some sites. If such a release
would be possible at your site, you may need to consider a model or method that will
deal with this type of scenario.
You also should consider the duration of the release. EPA does not require you to
assume any specific time period for the release. You could estimate the release
duration based on the length of time it would take to stop the release, or you could
estimate a maximum duration based on a calculated release rate and the quantity in the
tank or pipes. If you estimate that a release of toxic gas would be stopped very
quickly, resulting in a "puff rather than a plume, you may want to use a model that
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4-15 Offsite Consequence Analysis
deals with puff releases. EPA's RMP Offsite Consequence Analysis Guidance is not
appropriate for estimating distance to an endpoint for puff releases.
You may consider both passive and active mitigation in estimating release rates. For
gases, passive mitigation may include enclosed spaces. Active mitigation for gases
may include an assortment of techniques including automatic shutoff valves, rapid
transfer systems (emergency deinventory), and water/chemical sprays. These
mitigation techniques have the effect of reducing either the release rate or the duration
of the release, or both. EPA's RMP Offsite Consequence Analysis Guidance includes
methods of accounting for mitigation. You also may use your knowledge or other
methods to account for mitigation.
Toxic liquids. For alternative releases of toxic liquids, you may consider any scenario
that would be reasonable for your site. For alternative release scenarios, you are
permitted to take credit for both passive and active mitigation systems, or a
combination if both are in place. For liquids, passive mitigation may include
techniques such as dikes and trenches. Active mitigation for liquids may include an
assortment of techniques including automatic shutoff valves, emergency deinventory,
foam or tarp coverings, and water or chemical sprays. These mitigation techniques
have the effect of reducing either the quantity released into the pool or the evaporation
rate from the pool. EPA's RMP Offsite Consequence Analysis Guidance discusses
some methods of accounting for mitigation.
ESTIMATING DISTANCE TO THE ENDPOINT
For worst-case releases, you may use any appropriate model (as discussed in 4.1) to
estimate the distance to the specified endpoint for an alternative release of a regulated
toxic substance. You may use site-specific conditions, including typical weather
. conditions, and consider any site-specific factors appropriate to your scenario. You
must use the endpoints specified in part 68 Appendix A, as for the worst-case
analysis.
ALTERNATIVE RELEASES OF FLAMMABLE SUBSTANCES
Alternative release scenarios for flammable substances are somewhat more
complicated than for toxic substances because the consequences of a release and the
endpoint of concern may vary. For the worst case, the consequence of concern is a
vapor cloud explosion, with an overpressure endpoint. For alternative scenarios
involving fires rather than explosions, other endpoints than overpressure (e.g., heat
radiation) may need to be considered. The rule specifies endpoints for fires based on
the heat radiation level that may cause second degree burns from a 40-second
exposure and the lower flammability limit (LFL), which is the lowest concentration in
air at which a substance will bum. Some possible scenarios involving flammable
substances are discussed below.
•* Vapor cloud fires (flash fires) may result from dispersion of a cloud of
flammable vapor and ignition of the cloud following dispersion. Such a fire
could flash back and could represent a severe heat radiation hazard to anyone
in the area of the cloud. Vapor cloud fires may be modeled using air
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dispersion modeling techniques to estimate distances to a concentration equal
to the LFL.
A pool fire, with potential radiant heat effects, may result from a spill of a
flammable liquid. The endpoint for this type of fire, as listed in the rule, is a
radiant heat level of 5 kilowatts per square meter (kW/m2) for 40 seconds; a
40-second exposure to this heat level could cause second degree burns.
A boiling liquid, expanding vapor explosion (BLEVE), leading to a fireball
that may produce intense heat, may occur if a vessel containing flammable
material ruptures explosively as a result of exposure to fire. Heat radiation
from the fireball is the primary hazard; vessel fragments and overpressure
from the explosion also can result. BLEVEs are generally considered unlikely
events; however, if you think a BLEVE is possible at your site, you should
estimate the distance at which radiant heat effects might lead to second degree
bums. However, if you think a BLEVE is possible at your site, you should
estimate the distance at which radiant heat effects might cause second degree
burns, since that is the effect of concern underlying the rule's endpoint for
fires. The point of offsite consequence analyses is to determine how far away
from the point of release effects of concern could occur, so you should
estimate the distance for BLEVEs even if they do not last for 40 seconds. For
short-duration BLEVEs, you would need to estimate the radiant heat level at
which exposure for the duration of the BLEVE would cause second degree
bums. You then would need to estimate the distance to that heat level. You
then would need to estimate the distance to that heat level. You also may
want to consider models or calculation methods to estimate effects of vessel
fragmentation, although you are not required to analyze such effects.
For a vapor cloud explosion to occur, rapid release of a large quantity of
flammable material, turbulent conditions (caused by a turbulent release or
congested conditions in the area of the release, or both), and other factors are
generally necessary. Vapor cloud explosions generally are considered
unlikely events; however, if conditions at your site are conducive to vapor
cloud explosions, you may want to consider a vapor cloud explosion as an
alternative scenario. The 1 psi overpressure endpoint still applies to a vapor
cloud explosion for purposes of analyzing an alternative scenario, but you
could use less conservative assumptions than for the worst-case analysis,
including any reasonable estimate of the quantity in the cloud and the yield
factor. A vapor cloud deflagration, involving lower flame speeds than a
detonation and resulting in less damaging blast effects, is more likely than a
detonation. You may assume a vapor cloud deflagration for the alternative
scenario, if you think it is appropriate, and use the radiant heat endpoint
(adjusted for duration).
A jet fire may result from the puncture or rupture of a tank or pipeline
containing a compressed or liquefied gas under pressure. The gas discharging
from the hole can form a jet that "blows" into the air in the direction of the
hole; the jet then may ignite. Jet fires could contribute to BLEVEs and
fireballs if they impinge on tanks of flammable substances. A large horizontal
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4-17 Offsite Consequence Analysis
jet fire may have the potential to pose an offsite hazard. You may want to
consider a jet fire as an alternative scenario, if appropriate for your site.
MODELING ASSUMPTIONS
Quantity. EPA has not specified any assumptions you must make concerning
quantity released for alternative scenario analysis for flammable substances. You may
consider any site-specific factors in developing a reasonable estimate of quantity
released, as for toxic substances (e.g., the quantity that could be released from a
ruptured pipe in the time it would take to shut off flow to the pipe).
Release Height. You may assume any appropriate release height for your alternative
scenarios for flammable substances.
)
Wind Speed and Atmospheric Stability. Meteorological conditions may have little
effect on some scenarios for flammable substances (e.g., vapor cloud explosions and
BLEVEs), but may have a relatively large effect on others (e.g., a vapor cloud fire
resulting from downwind dispersion of a vapor cloud and subsequent ignition). You
should use typical meteorological conditions at your site to model appropriate
alternative scenarios. To determine typical conditions, you may need to obtain local
meteorological data that are applicable to your site, as discussed above.
ESTIMATING RELEASE RATES
Flammable Gases. To estimate a release rate for flammable gases, you may make
any appropriate assumptions based on conditions at your site. You may consider the
effects of both passive and active mitigation systems. The methods provided in EPA's
RMP Offsite Consequence Analysis Guidance for rate of release of a gas from a hole
in a vessel or pipe for toxic gases also can be used for flammable gases.
Chemical-specific data are provided for flammable gases, to be used along with hole
size and tank pressure to estimate release rates.
Flammable liquids. For alternative releases of flammable liquids, you may consider
any scenario that would be reasonable for your site. You are permitted to take credit
for both passive and active mitigation systems, or a combination if both are in place,
as for toxic liquids. You could consider release of the liquid into a pool and release to
air by pool evaporation, as for toxic liquids, if you consider this to be a reasonable
scenario.
If evaporation of a flammable liquid from a pool is an appropriate assumption for your
alternative scenario, you can use any scientifically appropriate method to estimate the
evaporation rate. .
ESTIMATING DISTANCE TO THE ENDPOINT
You may use any appropriate model to estimate the distance to the specified endpoiht
for alternative scenarios for regulated flammable substances. Several possible
consequences of releases of flammable substances are discussed below.
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Vapor cloud fire. You may use any appropriate model to estimate distances for a
vapor cloud fire. The LFL endpoint, specified in the rule, would be appropriate for
vapor cloud fires. You may use air dispersion modeling to estimate the maximum
distance to the LFL. You may want to consider, however, whether it is likely that a
flammable gas or vapor could disperse to the maximum distance to the LFL before
reaching an ignition source. The actual dispersion distance before ignition might be
much shorter than the maximum possible distance.
Pool fire. Any appropriate model may be used for pool fires of flammable liquids.
The applicable endpoint specified in the rule is the heat radiation level of 5 kW/m2.
BLEVE. If a fireball from a BLEVE is a potential release scenario at your site, you
may use any model or calculation method to estimate the distance to a radiant heat
level that can cause second degree bums (a heat "dose" equivalent to the specified
radiant heat endpoint of 5 kW/nr for 40 seconds).
Vapor cloud explosion. If you have the potential at your site for the rapid release of
a large quantity of a flammable vapor, particularly into a congested area, a vapor cloud
explosion may be an appropriate alternative release scenario. For the alternative
analysis, you may estimate any reasonable quantity of flammable substance in the
vapor cloud. The endpoint for vapor cloud explosions is 1 psi, as for the worst case;
however, a smaller yield factor may be used for the alternative scenario analysis.
NUMBER OF SCENARIOS
You are required to analyze at least one alternative release scenario for each listed
toxic substance you have in a Program 2 or Program 3 process above its threshold
quantity. Even if you have a substance above the threshold in several processes or
locations, you need only analyze one alternative scenario for it. You also are required
to analyze one alternative release scenario representing all regulated flammable
substances in Program 2 or 3 processes; you do not need to analyze an alternative
scenario for each flammable substance above the threshold. For example, if you have
five listed substances — chlorine, ammonia, hydrogen chloride, propane, and
acetylene — above the threshold in Program 2 or 3 processes, you will need to analyze
one alternative scenario each for chlorine, ammonia, and hydrogen chloride (toxics)
and a single alternative scenario to cover propane and acetylene (flammable
substances).
No alternative scenario analysis is required for regulated substances in Program 1
processes. If the worst-case analysis shows no public receptors within the distance to
the endpoint, and the process meets the other Program 1 criteria, you do not have to
carry out an alternative scenario analysis.
In addition, no alternative scenario analysis is required for any process that does not
contain more than a threshold quantity of a regulated substance, even if you believe
such a process is a likely source of a release.
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4-19 Offsite Consequence Analysis
4.4 ESTIMATING OFFSITE RECEPTORS
The rule requires that you estimate in the RMP residential populations within the
circle defined by the endpoint for your worst-case and alternative release scenarios
(i.e., the center of the circle is the point of release and the radius is the distance to the
endpoint). In addition, you must report in the RMP whether certain types of public
receptors and environmental receptors are within the circles.
RESIDENTIAL POPULATIONS
To estimate residential populations, you may use the most recent Census data or any
other source of data that you believe is more accurate. You are not required to update
Census data or conduct any surveys to develop your estimates. Census data are
available in public libraries and in the LandView system, which is available on
CD-ROM (see box below). The rule requires that you estimate populations to
two-significant digits. For example, if there are 1,260 people within the circle, you
may report 1,300 people. If the number of people is between 10 and 100, estimate to
the nearest 10. If the number of people is less than 10, provide the actual number.
Census data are presented by Census tract.. If your circle covers only a portion of the
tract, you should develop an estimate for that portion. The easiest way to do this is to
determine the population density per square mile (total population of the Census tract
divided by the number of square miles in the tract) and apply that density figure to the
number of square miles within your circle. Because there is likely to be 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.
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4-20
How TO OBTAIN CENSUS DATA AND LAND VIEW®
Census data can be found in publications of the Bureau of the Census, available in public libraries,
including County and City Data Book.
LandView ®IH 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-KTT $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.
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How TO OBTAIN USGS MAPS
t
The production of digital cartographic data and graphic maps comprises the*largest component of the
USGS National Mapping Program. The USGS's most familiar product is the 1:24,000-scale
Topographic Quadrangle Map. This is the primary scale of data produced, and depicts greater detail
for a smaller area than intermediate-scale (1:50,000 and 1:100,000) and small-scale (1:250,000,
1:2,000,000 or smaller) products, which show selectively less detail for larger areas.
U.S. Geological Survey
508 National Center
12201 Sunrise Valley Drive
Reston.VA 20192
www.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
www.mapping.usgs.gov/esic/usimage/dealers.html/. For more information or ordering assistance, call
1 -800-HELP-MAP, or write:
USGS Information Services •
Box 25286
Denver, CO 80225
For additional information, contact any USGS Earth Science Information Center or call
1-800-USA-MAPS.
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4-22
Qs and As
OFFSITE CONSEQUENCE ANALYSIS
Q. How close must a stationary source be to a weather station for that station's data to be applicable to
the stationary source?
A. EPA has not set specific distance limits, but will allow owners and operators to use reasonable
judgement in determining whether data from a weather station is applicable to the stationary source.
Factors such as topography and distance between the stationary source and a weather station should be
taken into consideration when evaluating the applicability of the weather station's data to the stationary
source.
Q. Must air dispersion models that are used to analyze worst-case release scenarios be able to account
for multiple vessels and how those vessels could impact one another in the event of an accidental
release?
A. No. Models used for worst-case release scenario analysis do not need to consider compounding
effects of accidental releases from multiple vessels because worst-case release is defined by the rule as
a single vessel or process line failure that will result in the greatest distance to an endpoint.
Q. If the estimated population changes, would the RMP have to be updated?
A. No. Changes in U.S. Census data do not necessitate the revision of the RMP. However, all
updates to the RMP should use the most recent U.S. Census data.
Q. What if a flammable event has a different time duration than the 5 kw/m2 for 40 seconds?
A. EPA recognizes that flammable events may occur for a different amount of exposure time.
Therefore, the owner or operator should determine the distance to an equivalent exposure - e.g. if the
flammable event occurs for 20 seconds, what is the distance to an equivalent exposure (XX kw/m2)?
Q. Could positive buoyancy models be used?
A. Yes, provided there is a basis for use and the owner or operator explains the rationale for use of
positive buoyancy models.
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EXAMPLES OF WORST CASE
EXAMPLE * SOURCE A
Source A, a ceramics manufacturer, has only one process on site containing a regulated substance
above its threshold quantity: a storage tank containing more than 10,000 pounds of the flammable
substance propane. A worst-case analysis is carried out for the propane tank, assuming release to air
of the total contents of the tank resulting in a vapor cloud explosion. The distance to the 1 psi
overpressure is estimated to be 0.17 miles. The tank is 300 yards inside the fenceline; the nearest
public receptor is 100 yards from the fenceline, or 400 yards (0.23 miles) from.the tank. The distance
to the nearest public receptor is greater than the distance to the endpoint; therefore, Source A's only
regulated process is eligible for Program 1. Source A must report the worst-case analysis to
demonstrate eligibility for Program 1.
EXAMPLE •> SOURCE B
Source B, a small propane retailer, has one covered process on site, an 18,000-gallon propane tank.
This tank holds a maximum of 65,000 pounds of propane. Source B must carry out a worst-case
analysis for this process. The distance to a 1 psi overpressure for a vapor cloud explosion of 65,000
pounds of propane is estimated to be 0.32 miles. The retailer is located in a commercial area, and
several small businesses border the facility and are within the distance to the endpoint; therefore,
Source B's process is not eligible for Program 1. Source B must report the worst-case analysis in the .
RMP.
EXAMPLE - SOURCE C
Source C, a retail operation that supplies ammonia and propane, has two covered processes: a 200-ton
ammonia storage tank and an 18,000-gallon propane storage tank containing a maximum quantity of
about 65,000 pounds. Source C carries out worst-case consequence analyses for both of these
processes, with the following results:
+ For 400,000 pounds of anhydrous ammonia, the distance to the specified endpoint
(0.14 mg/L) is estimated as more than 10 miles; and
+ For a vapor cloud explosion of 65,000 pounds of propane, the distance to an endpoint
is estimated as 0.32 miles.
Residences and a business center are located within 0.15 miles of the facility; therefore, neither
regulated process is eligible for Program 1. Source C must report the results of both worst-case
analyses (one for toxic substances and one for flammable substances) in the RMP.
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Chapter 4
OFfsite Consequence Analysis 4-24
EXAMPLE >SOURCE D
Source D is a medium-sized metal products manufacturer with two processes containing regulated
toxic substances above their thresholds: a tank storing 50,000 pounds of 37 percent hydrochloric acid
for use in plating processes and five interconnected, one-ton tanks of chlorine used in a wastewater
treatment plant. Only one worst-case analysis is required for toxic substances for Program 2 and
Program 3 processes; because of the greater toxicity and volatility of chlorine, Source D expects that a
worst-case release of chlorine would result in the greatest distance to the endpoint. Source D does not
believe the hydrochloric acid process would be eligible for Program 1 because of the proximity of
public receptors (including workers at an adjacent industrial facility), and, therefore, only carries out
the worst-case analysis for the chlorine process. A distance of 2.80 miles to the endpoint is estimated
for a release of 2,000 pounds of chlorine gas. Source D must report this worst-case analysis in the
RMP.
EXAMPLE > SOURCE E
Source E is an inorganic chemical manufacturer with two covered processes: a tank containing 10
tons of 70 percent hydrofluoric acid solution and ten one-ton tanks of chlorine on a rack for
wastewater treatment. Source E must carry out one worst-case analysis for regulated toxic substances
for Program 2 and Program 3 processes. Because the toxic endpoint of chlorine is lower than that of
hydrofluoric acid, and because the release rate will probably be greater for a gas than a solution,
Source E decides to carry out the analysis for chlorine as the required worst-case analysis for toxic
substances. Source E believes the hydrofluoric acid process may be eligible for Program 1 and,
therefore, decides to do a worst-case analysis for this process as well. Results of the worst-case
analyses for these two processes are:
+ 2.80 miles for 2,000 pounds of chlorine
+ 1 mile for 20,000 pounds of 70 percent hydrofluoric acid (released in a diked area)
Homes and businesses are located less than a mile from either process; therefore, the hydrofluoric
acid process is not eligible for Program 1. Source E must report the results of the analysis for chlorine
in the RMP.
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Chapter 4
4-25 Offsite Consequence Analysis
EXAMPLE » SOURCE F
Source F is a large chemical manufacturer with 11 regulated substances above their threshold
quantities, including three flammable substances and eight toxic substances. The processes containing
flammable substances are: three 18,000-gallon tanks containing 26,000 pounds of ethylene, 66,000
pounds of propylene, and 65,000 pounds of propane. The largest quantities of toxic substances in
processes are: 25,000 pounds of toluene diisocyanate (TDI), 100,000 pounds of chloroform, 25,000
pounds of anhydrous hydrogen chloride, 20,000 pounds of chlorine, 80,000 pounds of
epichlorohydrin, 100,000 pounds of methyl chloride, 10,000 pounds of hydrogen cyanide, and 1,000
pounds of phosgene. For the RMP, Source F has to report one worst-case analysis for flammable
substances and one for toxic substances; however, Source F believes the processes containing
flammable substances may be eligible for Program 1 and, therefore, chooses to carry out a worst-case
analysis for each of these processes. In addition, Source F believes the processes containing TDI and
chloroform may be eligible for Process 1, because of the low volatility of TDI and the relatively low
toxicity of chloroform, and decides to carry out analyses to determine eligibility. Source F is not sure
which of the other processes containing toxic substances will give the greatest distance to the
endpoint; therefore, it conducts screening analyses for all these processes. The worst-case distances
for vapor cloud explosions of the flammable substances are:
4- 0.24 miles for 26,000 pounds of ethylene;
4- 0.32 miles for 66,000 pounds of propylene; arid
4- 0.32 miles for 65,000 pounds of propane.
The worst-case distances to the endpoints for the toxic substances are:
4- 0.06 miles for 25,000 pounds of TDI;
4- 0.49 miles for 100,000 pounds of chloroform;
4- 4.8 miles for 25;000 pounds of hydrogen chloride;
4- 10 miles for 20,000 pounds of chlorine;
4 2.2 miles for 80,000 pounds of epichlorohydrin;
4- 2.0 miles for 100,000 pounds of methyl chloride;
4 5.2 miles for 10,000 pounds of hydrogen cyanide; and
4- 11 miles for 1,000 pounds of phosgene.
The processes containing ethylene and propylene are located 500 yards (0.28 miles) from a river (0.5
miles wide). The distance to the endpoint for these two processes does not extend beyond the river,
which is not a recreational area; the processes are eligible for Program 1 (having met the other
criteria). The propane tank is located 200 yards (0.11 miles) from another facility; the distance to the
endpoint reaches this other facility; the propane process is not eligible for Program 1. The distances to
the endpoints for the TDI process is exceeded by the distance to public receptors in any direction;
therefore, this process is also eligible for Program 1.
Source F reports the worst-case analysis results for ethylene, propylene, and TDI to demonstrate
eligibility for Program 1. It reports the results for propane as the required worst-case analysis for
flammable substances and the results for phosgene as the required worst-case analysis for toxic
substances.
1
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Chapter 4
Oflsite Consequence Analysis 4-26
EXAMPLES OF ALTERNATIVE RELEASES
EXAMPLE > SOURCE A
Source A's only covered process (a tank containing 10,000 pounds of the flammable substance,
propane) is in Program 1, because the worst-case analysis showed no public receptors within the
distance to the endpoint. Therefore, Source A does not have to carry out an alternative scenario
analysis.
EXAMPLE > SOURCE B
Source B, a small propane retailer, has one covered process on site, an 18,000-gaIlon tank with a
maximum of 65,000 pounds of propane. The worst-case analysis showed public receptors within the
distance to the endpoint; the propane process is thus not eligible for Program 1, and instead is in
Program 2. Source B must carry out an alternative scenario analysis for this process. Source B can
choose any reasonable scenario for this analysis, considering site characteristics. Source B must be
able to explain its choice, should questions arise.
EXAMPLE > SOURCE C
Source C, a retail operation that supplies ammonia and propane, has two covered processes: an
18,000-gaIlon propane storage tank containing 65,000 pounds of propane (a regulated flammable
substance) and an ammonia storage tank containing 400,000 pounds of anhydrous ammonia (a
regulated toxic substance). The worst-case consequence analyses for these processes indicated neither
is eligible for Program 1. Source C must carry out and report an alternative scenario analysis for each
of these processes. Any reasonable and defensible scenarios can be analyzed for these processes.
EXAMPLE - SOURCE D
Source D is a medium-sized metal products manufacturer with two covered processes containing
regulated toxic substances: a chlorine wastewater treatment plant with 10,000 pounds of chlorine and
a tank containing 50,000 pounds of 37 percent hydrochloric acid. Because of the proximity of public
receptors, neither of these processes is eligible for Program 1. Source D must carry out and report an
alternative scenario analysis for each of these processes. Source D may analyze any scenarios that are
reasonable for the site and processes; the source must be able to explain its choice of scenarios.
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4-27
Chapter 4
Offsite Consequence Analysis
EXAMPLE > SOURCE E
Source E is an inorganic chemical manufacturer with two covered processes, one containing 20,000
pounds of chlorine and the other containing 20,000 pounds of 70 percent hydrofluoric acid. Source
E's worst-case analyses indicated that these processes are not eligible for Program 1. Source E must
carry out and report an alternative scenario analysis for each of these processes. The scenarios may be
developed based on any reasonable and defensible assumptions.
EXAMPLE * SOURCE F
Source F is a large chemical manufacturer with covered processes containing three regulated
flammable substances and eight regulated substances. The worst-case analyses showed that the
processes containing the flammable substances ethylene and propylene are eligible for Program 1, but
a tank containing propane is not eligible. For flammable substances, Source F must carry out and
report one alternative scenario analysis, to represent all regulated flammable substsances, for the tank
with 65,000 pounds propane based on any reasonable assumptions.
The worst-case analyses showed that the process containing 25,000 pounds of the toxic substance
toluene diisocyanate (TDI) also is eligible for Program 1; therefore, Source F does not need to carry
out an alternative scenario analysis for TDI. Source F must carry out and report an alternative scenario
analysis for each regulated toxic substance in a covered non-Program 1 process; thus, scenarios must
be developed and analyzed for hydrogen chloride, chlorine, epichlorohydrin, methyl chloride,
hydrogen cyanide, chloroform, and phosgene. If the substances are found in more than one vessel, the
analysis should be conducted with respect to the vessel that presents the greatest relative risk of a
release. Analyses of each vessel are not needed. Source F can develop any reasonable scenarios for
these substances.
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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.
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Chapter 5
Management System 5-2
WHAT DOES THIS MEAN FOR ME AS A SMALL FACILITY?
As a small facility that must comply with this provision, you most likely have one or
two Program 2 or 3 processes. To begin, you may identify either the qualified person
or position with overall responsibility for implementing the risk management program
elements at your facility. As a small facility, it may make sense and be practical to
identify the name of the qualified person, rather than the position. Recognize that the
only element of your management system that you must report in the RMP is the name
of the qualified person or position with overall responsibility. Further, changes to this
data element in your RMP do not require that you update your RMP.
Identification of a qualified individual or position with overall responsibility
may be all you need to do if the person or position named directly oversees the
employees operating and maintaining the processes. You must define the lines of
authority with an organizational chart or similar document only if you choose to assign
responsibility for specific elements of the risk management program to persons or
positions other than the person with overall responsibility. For a small facility, with
few employees, it is likely that you will meet the requirements of this provision by
identifying the one person or position with the overall responsibility of implementing
the risk management program elements. If this is the case, you need not develop an
organizational chart. For this reason, this chapter does not provide an example
organizational chart for a small facility.
Even if you meet the requirements of this section by naming a single person or
position, it is important to recognize that the person or position assigned the
responsibility of overseeing implementation must have the ability and resources to
ensure that your facility and employees carry out the risk management program,
particularly the prevention elements, on an continuing basis. Key to the effectiveness
. of the rule is integrated management of the program elements.
WHAT DOES THIS MEAN FOR ME AS A MEDIUM OR LARGE FACILITY?
As a medium or large facility you may have more managerial turnover than smaller
sites. For this reason, it may make more sense at your facility to identify a position,
rather than the name of the specific person, with overall responsibility for the risk
management program elements. Remember that the only element of your
management system that you must report in the RMP is the name of the qualified
person or position with overall responsibility. Also note that changes to this data
element in your RMP do not require you to update your RMP.
Unes of Authoritv ^s a relativety ^aiSe 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 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
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Chapters
5-3 Management System
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;
4- 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
4 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.
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Chapters
Management System
5-4
EXHIBIT 5-1
SAMPLE MANAGEMENT DOCUMENTATION
Position
Primary Responsibility
Changes
Responsibility re: Changes
Operations Manager
Developing OPs
Oversight of operation
On-the-job training
On-the-job competency testing
Process Safely Information
Selecting participants for PHAs,
incident investigations
Develop management of change and
pre-startup procedures
New Equipment
New Process Chemistry
New Process Parameters
New Procedures
Change in Process Utilization
Inform head of training
Inform head of maintenance
Inform lead for PHAs
Inform hazmat team as needed
Inform contractors
Training Supervisor
Develop, track, oversee operator
training program
Track competency testing
Set up and track operator refresher
training
Set up training for maintenance
Work with contractors
New Equipment
New Process Chemistry
New Process Parameters
New Procedures
Change in Process Utilization
New regulatory requirements
Revise training and refresher training
courses
Revise maintenance courses, as
needed
Inform other leads of need for
additional training
Maintenance Supervisor
Develop maintenance schedules
Oversee and document maintenance
Revise schedules as needed
New Equipment
New Process Chemistry
New Process Parameters
New Procedures
Change in Process Utilization
Inform operations manager of
potential problem areas
Inform training supervisor of any
training revisions
Inform contractors
Revise schedules
Hazmat Team Chief
Develop and exercise ER plan
Train responders
Test and maintain ER equipment
Coordinate with public responders
Select participants in accident
investigations
New Equipment
New Process Chemistry
New Process Parameters
New Procedures
Change in Process Utilization
New regulatory requirements
Revise the ER plan as needed
Inform operations manager of
problems created by changes
Work with training supervisor to
revise training of team and others
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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
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CHAPTER 6: PREVENTION PROGRAM (PROGRAM 2)
6.1 ABOUT THE PROGRAM 2 PREVENTION PROGRAM
Most Program 2 processes are likely to be relatively simple and may be located at
small businesses. EPA developed the Program 2 prevention program by identifying
the basic elements that are the foundation of sound prevention practices — safety
information, hazard review, operating procedures, training, maintenance, compliance
audits, and accident investigation. By meeting other Federal regulations, state laws,
industry codes and standards, and good engineering practices, you probably have
already met most of the Program 2 prevention elements requirements.
As important as each of the elements is, you will not gain the full benefit from them
unless you integrate them into a risk management system that you implement on an
on-going basis. For example, the hazard review must be built on the safety
information; the results of the hazard review should be used to revise and update
operating and maintenance procedures. Workers must be trained in these procedures
and must use them every day.
You will have substantially less documentation and recordkeeping responsibilities for
a Program 2 process than you will for a Program 3 process. In addition, EPA is
working with various industry sectors to develop industry-specific risk management
programs for Program 2 and 3 processes. The industry-specific guidance will help by
giving standard elements for the sector that can be adopted for a particular business in
the sector. If there is an industry-specific program for your sector, you can skip this
chapter and use that guidance.
There are seven elements in the Program 2 prevention program, which is set forth
Subpart C of part 68. Exhibit 6-1 sets out each of the seven elements and
corresponding section numbers.
You must integrate these seven elements into a risk management program that you and
your staff implement on a daily basis. Understanding and managing risks must be part
of the way you operate. Doing so will provide benefits beyond accident prevention.
Preventive maintenance and routine inspections will reduce the number of equipment
failures and down time; well-trained workers, aware of optimum operating parameters,
will allow you to gain the most efficient use of your processes and raw materials.
6.2 SAFETY INFORMATION (§ 68.48)
The purpose of this requirement is to ensure that you understand the safety-related
aspects of the equipment and processes you have, know what limits they place on your
operations, and adopt accepted standards and codes where they apply. Having
up-to-date safety information about your process is the foundation of an effective
prevention program. Many elements (especially the hazard review) depend on the
accuracy and thoroughness of the information this element requires you to provide.
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Chapter 6
Prevention Program (Program 2)
6,2
EXHIBIT 6-1
SUMMARY OF PROGRAM 2 PREVENTION PROGRAM
Number
§ 68.48
§ 68.50
§ 68.52
§ 68.54
§ 68.56
§ 68.58
§ 68.60
Section Title -
Safety Information
Hazard Review
Operating Procedures
Training
Maintenance
Compliance Audits
Incident Investigation
WHAT Do I NEED To Do?
You must compile and maintain safety information related to the regulated substances
and process equipment for each Program 2 process. You probably have much of this
information already as a result of complying with OSHA standards or other rules.
EPA has limited the information to what is likely to apply to the processes covered
under the Program 2 program. Exhibit 6-2 gives a brief summary of the safety
information requirements for Program 2.
How Do I START?
MSDSs. If you are subject to this rule, you are also subject to the requirements to
maintain Material Safety Data Sheets under the OSHA Hazard Communication
Standard (HCS) (29 CFR 1910.1200). If you do not have an MSDS for a regulated
substance, you should contact your supplier or the manufacturer for a copy. Because
the rule states that you must have an MSDS that meets OSHA requirements, you may
want to review the MSDS to ensure that it is, in fact, complete. Besides providing the
chemical name, the MSDS for a regulated substance (or a mixture containing the
regulated substance) must describe the substance's physical and chemical
characteristics (e.g., flash point, vapor pressure), physical hazards (e.g., flammability,
reactivity), health hazards, routes of entry, exposure limits (e.g., the OSHA
permissible exposure level), precautions for safe handling, generally applicable
control measures, and emergency and first aid procedures. (See 29 CFR 1910.1200(g)
for the complete set of requirements for an MSDS.)
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6-3
Chapter 6
Prevention Program (Program 2)
EXHIBIT 6-2
SAFETY INFORMATION REQUIREMENTS
You must compile and
maintain this safety
information:
•Material Safety Data
Sheets
•Maximum intended
inventory
•Safe upper and lower
parameters
•Equipment specifications
•Codes & standards used to
design, build, and operate the
process
You must ensure:
•That the process is designed
in compliance with recognized
codes and standards
You must update the safety
information if:
•There is a major change at
your business that makes the
safety information inaccurate
Maximum Inventory. You must document the maximum intended inventory of any
vessel in which you store or process a regulated substance above its threshold
quantity. If you are not sure of the capacity of the vessel, you can obtain this
information from the manufacturer of the vessel. In some cases, this information will
be attached to the vessel itself.
You may want to check with any trade association or standards group that develops
standards for your industry to determine if there are any limitations on inventories.
For example, in some cases the maximum capacity of a tank may be 10,000 gallons,
but an industry standard may recommend that the tank never be filled to more than 85
percent capacity. If you follow the standard, your maximum inventory would be
8,500 gallons.
Storage and Process Limits. You must document the safe upper and lower
temperatures and pressures, process flows (if applicable), and compositions (if
applicable) for your process.
Every substance has limits on the temperature and pressures at which it can be stored
or used; these limits are determined by both the properties of the substance and the
vessels it which it is kept. If you do not know these limits, you should contact your
vendor, the substance manufacturer, or your trade association. They will be able to
provide the data you need. It is important that you know these limits so you can take
action to avoid situations where these limits may be exceeded. Many people are aware
of the dangers of overheating their vessels, but extreme low temperatures also may
pose hazards you should know about.
If you are moving substances through pipes or hoses, you need to define safe
temperatures and pressures for that movement; again, these limits will be determined
by both the substance and the piping. For example, the substance may tolerate high
pressures, but the pipes may have structural limits. To operate safely, you must have
this information. The pipe manufacturer will be able to provide these data.
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Chapter 6
Prevention Program (Program 2) 6-4
If you are reacting chemicals, you need to understand whether the reaction will be
compromised if you vary the temperature or pressure. Again, it is important to define
both the upper and lower limits. Reactions may become unstable outside of their
limits and compromise safety. Check with the substance manufacturer for information
'on this subject if you are uncertain about the limits for particular substances you are
using.
The requirement to compile and maintain information on process flows and
compositions will apply to you if you transfer substances through piping or hoses and
if you mix or react the substance. It is important in these cases that you understand
the safe limits for flow and composition. The pipe or hose vendors will be able to
provide you with the maximum flow rates that their products are designed to handle.
You must also be aware of any hazards that could be created if your processes are
contaminated; for example, if your substance or equipment could be contaminated by
water, you must know whether that creates different hazards, such as corrosion.
For most Program 2 processes, reacting or mixing will not be an issue, but if you are
mixing or reacting regulated substances, you should understand what will happen if
the composition varies. If you are uncertain about the effects of changing composition
and do not have a chemist or chemical engineer on your staff, the substance
manufacturer should be able to help you.
Equipment Specifications. You must document the specifications of any equipment
you use to store, move, or react regulated substances in a covered process. Equipment
specifications will usually include information on the materials of construction, actual
design, and tolerances. The vendor should be able to provide this information; you
may have the specifications in your files from the time of purchase. You are not
expected to develop engineering drawings of your equipment to meet this
requirement, but you must be able to document that your equipment is appropriate for
the substances and activities for which it is used, and you must know what the limits
of the equipment are.
Specifications are particularly important if your vessels or pipes are not specifically
designed for your type of operation. Substances may react with certain metals or
corrode them if water is introduced. You should be sure that the vessels you purchase
or lease are appropriate for your operations. Understanding equipment specifications
will help you when you need to buy replacement parts. Any such parts must be
appropriate for your existing equipment and your use of that equipment. It is not
sufficient to replace parts with something that "fits" unless the new part meets the
specifications; substitution of inappropriate parts may create serious hazards.
Codes and Standards. You must document the codes and standards you used to
design and build your facility and that you follow to operate. These codes will
probably include the electrical and building codes that you must comply with under
state or local laws. Your equipment vendors will be able to provide you with
information on the codes they comply with for their products. Exhibit 6-3 lists some
codes that may be relevant to your operation. Note that the National Fire Protection
Association (NFPA) codes may have been adopted as state or local codes. The
American National Standards Institute (ANSI) is an umbrella standards-setting
organization, which imposes a specific process for gaining approval of standards and
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6-5
Chapter 6
Prevention Program (Program 2)
codes. ANSI codes may include codes and standards also issued by other
organizations.
EXHIBIT 6-3
CODES AND STANDARDS
ORGANIZATION
American National
Standards Institute (ANSI)
American Society of
Mechanical Engineers
(ASME)
American Petroleum
Institute (API)
National Fire Protection
Association (NFPA)
American Society for
Testing Materials (ASTM)
SUBJECT/CODES * - , - ' - ^ ^ '
Piping, Electrical, Power wiring, Instrumentation, Lighting, Product
storage and handling, Insulation and fireproofing, Painting and coating,
Ventilation, Noise and Vibration, Fire protection equipment, Safety
equipment, Pumps, Compressors, Motors, Refrigeration equipment,
Pneumatic conveying
Power boilers, Pressure vessels, Compressors, Shell and tube exchangers,
Vessel components, General design and fabrication codes
Welded tanks, Rotating equipment, Bulk liquid storage systems
Fire pumps, Flammable liquid code, LNG storage and handling, Plant
equipment and layout, Electrical system design, Shutdown systems,
Pressure relief equipment, Venting requirements, Gas turbines and engines,
Cooling towers, Storage tanks
Inspection and testing, Noise and vibration, Materials of construction,
Piping materials and systems, Instrumentation
How Do I DOCUMENT ALL THIS?
EPA does not expect you to develop piles of papers to document your safety
information. Your MSDS(s) are usually three or four pages long. You only have to
keep them on file, as you already do for OSHA. Equipment specifications are usually
on a few sheets or in a booklet provided by the vendor; you need only keep these on
file. You can probably document the other information on a single sheet that simply
lists each of the required items and any codes or standards that apply. See Exhibit 6-4
for a sample. Maintain that sheet in a file and update it whenever any item changes or
new equipment is added.
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Chapter 6
Prevention Program (Program 2)
6-6
EXHIBIT 6-4
SAMPLE SAFETY INFORMATION SHEET
'.: . , PROPANE STORAGE ; • '.: ./ v;''-Y •"•' :;i ':"^-:'f
MSDS Propane
Maximum Intended Inventory
Temperature
Pressure
Flow Rate
Vapor Piping
Liquid Piping and Compressor
Discharge
Safety Relief Valves
Excess Flow Valve
Emergency Shutoff Valve
Codes and Standards
Piping Design
Tank Design
On file (1994)
400,000 pounds
Upper: max 1 10°F
Lower: min - 1 5 ° F
Upper: 240 psi @ 110°F
Lower: 35 psi @-15°F
Loading: 100 GPM (max)
Unloading: 265 GPM (max)
250 PSIG
350 PSIG
Each relieves 9,250 SCFM/air
RV 1 replaced 9/96
RV 2 replaced 6/97
RV 3 replaced 8/98
3", closes at 225 GPM with 100 PSIG inlet
2", closes at 100 GPM with 100 PSIG inlet
2", closes at 34,500 SCFH with 100 PSIG inlet
ESV 1 1/4", closes at 26,000 SCFH \vith 100 PSIG inlet
ESV 2", closes at 225 GPM with 100 PSIG inlet
Designed under NFPA-58-1985
ASMEB31-3
ASMENB#0012
The equipment specifications and list of standards and codes will probably meet the
requirement that you ensure that your process is designed in compliance with
recognized and generally good engineering practices. If you have any doubt that you
are meeting this requirement, your trade association may be helpful in determining if
there are practices or standards that you are not aware of that may be useful in your
operation.
After you have documented your safety information, you should double check it to be
sure that the files you have reflect the equipment you are currently using. It is
important to keep this information up to date. Whenever you replace equipment, be
sure that you put the new equipment specifications in the file and consider whether
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any of your other prevention elements need to be reviewed to reflect the new
equipment.
WHERE To Go FOR MORE INFORMATION
MSDSs. MSDSs are available from a number of websites. The University of
California, San Diego Chemistry and Biochemistry Department maintains some
MSDSs on its website: http://www-ehs.ucsd.edu/msds.htm. This site also links to
other pages with MSDSs, including Vermont Safety and Information Resources on the
Internet, http://siri.org. On-line databases also provide MSDSs. EPA has not verified
the accuracy or completeness of MSDSs on any of these sites nor does it endorse any
particular version of an MSDS. You should review any MSDS you use to ensure that
it meets the requirements of OSHA's hazard communication standard (29 CFR
1910.1200).
Guidance arid Reports. Although the reports below target the chemical industry,
you may find useful information in them:
4 Guidelines for Process Safety Documentation, Center for Chemical Process
Safety of the American Institute of Chemical Engineers 1995.
*• Loss Prevention in the Process Industries, Volumes I, II, and III, Frank P.
Lees, Butterworths: London 1996.
6.3 HAZARD REVIEW (§ 68.50)
For a Program 2 process, you must conduct a hazard review. EPA has streamlined the
process hazard analysis (PHA) requirement of OSHA's PSM standard to create a
requirement that will detect process hazards at the simpler processes in Program 2.
The hazard review will help you determine whether you are meeting applicable codes
and standards, identify and evaluate the types of potential failures, and focus your
emergency response planning efforts. Most Program 2 processes will covered by
guidance for industry-specific risk management program guidance documents that will
provide help with this hazard review.
WHAT DO I NEED TO DO?
The hazard review is key to understanding how to operate safely on a continuous
basis. You must identify and review specific hazards and safeguards for your Program
2 processes. EPA lists the types of hazards and safeguards in the rule. Exhibit 6-5
summarizes things you must do for a hazard review.
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6-8
EXHIBIT 6-5
HAZARD REVIEW REQUIREMENTS
Conduct a review &
identify...
Use a guide for
conducting the
review.
Document results &
resolve problems.
Update your hazard
review.
•The hazards
associated with the
Program 2 process &
regulated substances.
•Opportunities for
equipment malfunction
or human error that
could cause a release.
•Safeguards that will
control the hazards or
prevent the malfunction
or error.
•Steps to detect or
monitor releases.
•You may use any
checklist (e.g., one
provided in an industry-
specific risk
management program)
to conduct the review.
•For a process
designed to industry
standards like NFPA-
58 or Federal /state
design rules, check the
equipment to make sure
that it's fabricated,
installed, and operated
properly.
•Your hazard review
must be documented
and you must show that
you have addressed
problems.
•You must update
your review at least
once every five years or
whenever there is a
major change in the
process.
•You must resolve
problems identified in
the new review before
you startup the changed
process.
How Do I START?
There are three possible approaches to conducting a hazard review; which you use will
depend on your particular situation.
Processes designed to legal or industry-specific codes. If your process was
designed and built to comply with a federal or state standard for your industry or an
industry-specific design code, your hazard review will be relatively simple. The
standard-setting organization has already conducted a hazard review for that type of
process, identified the hazards, and developed equipment and operating requirements
to minimize the risks. You can use the code or standard as a checklist. The purpose of
your review is to ensure that your equipment still meets the code and is being operated
in appropriate ways.
If you have a single vessel or other simple equipment, you can probably conduct the
review relatively quickly. You will need a copy of the code or standards and someone
who is familiar with both the requirements and your equipment to ensure that the
person can reasonably assess your compliance. If you have an operating engineer, he
or she may be able to conduct the review. If you do not have any technical staff, your
vendor or trade association may be able to help you. If you seek outside help,
however, work with whoever conducts the review so that you understand what they
find.
Industry checklist/industry-specific risk management program. If there is not a
single code or standard you must meet, you may want to use a checklist developed by
a third party, such as a national trade association. EPA and others are developing
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guidance for industry-specific risk management programs for some industry sectors.
These models will include checklists you can use as the basis of your review.
The trade association or model developers will have already identified what your
hazards are and what types of equipment and procedures you should be using. Your
job is to use the checklist to decide if you meet the requirements and, if you do not,
whether you should. In some cases, your individual circumstances may make a
checklist item unnecessary.
As with an industry-specific standard, if you have an operating engineer or an operator
knowledgeable about the equipment and process, he or she may be able to conduct the
review. If you do not have any technical staff, your vendor or trade association may
be able to help you. If you seek outside help, however, work with whoever conducts
the review so that you understand what they find.
If you use the standards and models, you may have to modify them to address
the site-specific concerns. Never use someone else's checklist blindly. You must
be sure that it addresses all of your potential problems.
Develop your own checklist. If you have no industry standards or checklists, you
will have to conduct your own hazard review. As discussed in the requirements
section (Exhibit 6-5), the review must identify:
+ The hazards of the regulated substance and process;
41 Possible equipment failures or human errors that could lead to a release;
+ Safeguards used or needed to prevent failures or errors; and
•+ Steps used or needed to detect or monitor releases.
You will probably be able to define the hazards of the substance using the MSDS,
which lists the hazardous properties of the substance. The hazards of the process (as
opposed to the equipment) will be limited for most Program 2 processes. However, if
you react or mix chemicals, or your process could be contaminated by water or other
chemicals, you may have process hazards that you need to identify. Your safety
information should help here.
The next step may be to conduct a simplified "What If process, where your technical
staff ask "What if it stops or fails?" for each piece of equipment and "What if the
operator fails to do this?" for each procedure. Most industry standards and codes have
already considered these questions and developed responses in terms of design
standards and operating practices. If you are doing this on your own, the important
thing to remember is that you should not assume that an equipment failure or human
error will not happen. Ask whether the safeguards that you think protect the
equipment or operator are really adequate. In many cases, they may be adequate, but
it is useful to ask, to force yourself to examine your own assumptions.
From this exercise, you should develop a checklist of items that you need to take. For
example, if you have listed mixing tank pump failure as a possible problem, the
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checklist might then include the following items to check: pump maintenance plans,
tank high-level alarms, overflow tanks. You would also want to ask what effect a
power outage would have on the pump. You may want to consider the particular
procedures that have to be followed for safe operation of the equipment and ask what
will happen if an operator omits a step or does them out of order. Do your procedures
address these possible problems? Will failure of the pump affect the safe operating
limits you have documented in your safety information?
When you finish the checklist, it is useful to show it to your operators. They are
familiar with the equipment and may be able to point out other areas of concern. A
review with your vendors or trade association may also help; their wider knowledge of
the industry may give them ideas about failures you may not have experienced or
considered.
You may also use any of the other techniques described in Appendix 7A to Chapter 7.
These techniques generally require more trained staff and more time; they are
particularly appropriate for processes that involve reacting or manufacturing
chemicals.
CAUTION
Whichever approach you use, you should consider reasonably anticipated external
events as well as internal failures. If you are in an area subject to earthquakes,
hurricanes, or floods, you should examine whether your process would survive these
natural events without releasing the substance. In your hazard review, you should
consider the potential impacts of lightning strikes and power failures. If your process
could be hit by vehicles, you should examine the consequences of that. If you have
anything near the process that could burn, ask yourself what would happen if the fire
affected the process. For example, if you have a propane tank and an ammonia tank at
your facility and they are close to each other, when you look at the ammonia tank you
should consider what a fire in the propane tank would do to the ammonia. These
considerations may not be part of standard checklists or model programs.
In addition, you may want to check with vendors, trade associations, or professional
organizations to determine if there are new standards for. safety systems or designs, or
if there are detection or mitigation systems that may be applicable to your process that
you should consider when you evaluate your existing equipment. If your equipment is
designed and built to an earlier version of a standard, you should consider whether
upgrades are needed.
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6-11
Chapter 6
Prevention Program (Program 2)
RESPONDING TO FINDINGS
The person or persons who conduct the review should develop a list of findings and
recommendations. You must ensure that problems identified are addressed in a timely
manner. EPA does not require that you implement every recommendation. It is up to
you to decide which recommendations are necessary and feasible. You may decide
that other steps are as effective as the recommended actions or that the risk is too low
to merit the expense. You must, however, document your decision on each
recommendation. If you are implementing a recommendation, you should document
the schedule for implementation. If you are taking other steps to address the problem
or decide the problem does not merit action, you should document the basis for your
decision.
DOCUMENTING THE REVIEW
You should maintain a copy of the checklist you used. The easiest way to document
findings is to enter them on the checklist after each item. This approach will give you
a simple, concise way of keeping track of findings and recommendations. You may
also want to create a separate document of recommendations that require
implementation or other resolution. Exhibit 6-6 is an extract from the checklist
developed for the guidance for a propane risk management program; it provides a
sample of the level of detail needed in a checklist and a format for documenting your
findings.
EXHIBIT 6-6
SAMPLE CHECKLIST (EXTRACT)
Piping, Equipment, .Container Appurtenances
1 . On installations with stairways and ladders, are
catwalks provided so personnel need not walk on any
portion of the vessel?
2. Is piping designed in accordance with ASME B3 1 .3,
1993 edition?
Pump and compressor discharge and liquid transfer lines
shall be suitable for a working pressure of 350 psi (3-
2.8.2(a) of NFPA 58, 1995 edition)
Vapor piping shall be suitable for a working pressure of
250 psi (3-2.8.2(b of NFPA 58, 1 995 edition)
3. Is the capacity of the pressure relief devices designed
as specified in 2-3.2 and 3-2.5 of NFPA 58, 1995
edition?
4. Are appropriate level gauges, temperature indicators,
and pressure gauges installed on fixed ASME storage
tanks as specified in 2-3.3.2(b), 2-3.3.3, 2.3.4, 2.3.5 of
NFPA 58, 1995 edition?
Yes/No/NA
Comments
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6-12
Piping/Equipment, Container Appurtenances
5. Are appropriate hydrostatic relief valves installed
between every section of liquid piping, which can be
blocked by manual or automatic valves as specified in 2-
4.7 and 3-2.9 of NFPA 58, 1995 edition?
6. Is appropriate corrosion protection installed as
required by 3-2.12 of NFPA 58, 1995 edition?
7. On installations with pumps, are they installed as
specified in 3-2.13 of NFPA 58, 1995 edition?
On installations with an automatic bypass valve, are they
installed on the discharge of the pump as specified in 3-
2.13(b)(D and 2-5.2 of NFPA 58, 1995 edition?
Yes/No/NA
Comments
UPDATES
You must update the review every five years or whenever a major change in a process
occurs. For most Program 2 processes, major changes are likely to occur infrequently.
If you install a new tank next to an existing one, you would want to consider whether
the closeness of the two creates any new hazards. Replacing a tank with an identical
tank would not be considered a change. Replacing a tank with a new type of tank
should trigger an update. Changing process composition or safe operating limits is
considered a major change. Even if changes prove to be minor, you should examine
the process carefully before starting. Combining old and new equipment can
sometimes create unexpected hazards. You will operate more safely if you take the
time to evaluate the hazards before proceeding.
WHERE To Go FOR MORE INFORMATION
Although the reports below target the chemical industry, you may find useful
information in them:
4 Guidelines for Hazard Evaluation Procedures, 2nd Ed. with Worked
examples, Center for Chemical Process Safety of the American Institute of
Chemical Engineers 1992.
4 Evaluating Process Safety in the Chemical Industry, Chemical Manufacturers
Association.
4- Loss Prevention in the Process Industries, Volumes I, II, and HI Frank P.
. Lees, Butterworths: London 1996.
4 Management of Process Hazards (R.P. 750), American Petroleum Institute.
Risk-Based Decision Making (Publication 16288), American Petroleum
Institute.
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Chapter 6
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6.4 OPERATING PROCEDURES (§ 68.52)
Written operating procedures describe in detail what tasks a process operator must
perform, set safe process operating parameters that must be maintained, and set safety
precautions for operations and maintenance activities. These procedures are the guide
for telling your employees how to work safely everyday, giving everyone a quick
source of information that can prevent or mitigate the effects of an accident, and
providing workers and management with a standard against which to assess
performance.
WHAT Do I NEED TO Do?
You must prepare written operating procedures that give workers clear instruction for
safely conducting activities involving a covered process. You may use standardized
procedures developed by industry groups or provided in industry-specific risk
management program guidances as the basis for your operating procedures, but be
sure to check that these standard procedures are appropriate for your activities. If
necessary, you must update your Program 2 operating procedures whenever there is a
major change and before you startup the changed process. Exhibit 6-7 briefly
summarizes what your operating procedures must address.
EXHIBIT 6-7
OPERATING PROCEDURES REQUIREMENTS
Steps for each operating phase
•Initial startup
•Normal operations
•Temporary operations
•Emergency shutdown
•Emergency operations
•Normal shutdown
•Startup following a normal or emergency shutdown or
a major change
Other Procedures
•Consequences of deviating
•Steps to avoid, correct deviations
•Equipment inspections
Your operating procedures must be:
+ Appropriate for your equipment and operations;
*• Complete; and
4- Written in language that is easily understood by your operators.
The procedures do not have to be long. If you have simple equipment that requires a
few basic steps, that is all you have to cover.
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Chapter 6
Prevention Program (Program 2) 6-14
How Do I START?
If you already have written procedures, you may not have to do anything more.
Review the procedures. You may want to watch operators performing the steps to be
sure that the procedures are being used and are appropriate. Talk with the operators to
identify any problems they have identified and any improvements they may have
made. When you are satisfied that they meet the criteria listed above, you are
finished. You may want to check them against any recommended procedures
provided by equipment manufacturers, trade associations, or standard setting
organizations, but you are not required to do so. You are responsible for ensuring that
the procedures explain how to operate your equipment and processes safely.
If you do not have written procedures, you may be able to review your standard
procedures with your operators and write them down. You also may want to check
with equipment manufacturers, trade associations, or standard setting organizations.
They may have recommended practices and procedures that you can adapt. Do not
accept anyone else's procedures without checking to be sure that they are adequate and
appropriate for your particular equipment and uses and are written in language that
your operators will understand. You may also want to review any requirements
imposed under state or federal rules. For example, if you are subject to federal rules
for loading and unloading of hazardous materials, those rules may dictate some
procedures. Copies of these rules are sufficient for those operations if your operators
can understand and use them.
WHAT Do THESE PROCEDURES MEAN?
The rule lists eight procedures. Not all of them may be applicable to you. The
following is a brief description to help you decide whether you need to develop
procedures for each item. If a particular element does not apply, do not spend any
time on it. We do not expect you to create a document that is meaningless to you.
You should spend your time on items that will be useful to you.
Initial Startup. This item applies primarily to facilities that process or use substances
and covers all the steps you need to take before you start a process for the first time.
You should include all the steps needed to check out equipment as well as the steps
needed to start the process itself. If you simply store a regulated substance, there is no
startup. Warehouses, for example, will probably not have procedures for startup.
Retailers who store a substance and download it should have procedures for checking
out and loading the vessel for the first time for this item.
Normal Operations. These procedures should cover your basic operations. If you
are a warehouse, these would include stacking, moving, and repackaging, if you do
that. For retailers, they would cover loading and downloading. For users, the
procedures would include all the steps operators take to check the process and ensure
that equipment is functioning properly and substances are flowing or mixing
appropriately. These are your core procedures that you expect your operators to
follow on a daily basis to run your processes safely.
Temporary Operations. These operations are short-term; they will usually occur
either when your regular process is down or when additional capacity is needed for a
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6-15 Prevention Program (Program 2)
limited period. The procedures should cover the steps you need to take to ensure that
these operations will function safely. The procedures will generally cover pre-startup
checks and determinations (e.g., have you determined what the maximum flow rate
will be). The actual operating procedures for running the temporary process must be
written before the operation is put into place.
This item may apply to most facilities. Even warehouses may need to consider
procedures to ensure that if a new substance or product is brought into the warehouse
for temporary storage, the necessary steps are taken before that storage to ensure that it
is safe (e.g., barrels are not stacked too high or located with incompatible substances).
If it is possible that you will operate your process in a way that is not covered under
normal operations, you should have procedures for temporary operations. If you will
simply shutdown your process (e.g., stop unloading the substance), you can ignore this
item.
Emergency Shutdowns and Operations. These procedures cover the steps you need
to take if you must shutdown your process quickly. For most Program 2 facilities,
these procedures will be brief because shutting a process down will be little different
in an emergency than in ordinary circumstances; you will simply shut off the flow or
stop any unloading or loading. For warehouses, they may not apply. If you have a
more complex process (e.g., one that operates under high pressure or temperature),
you will need procedures to ensure that you can shutdown safely. Normally you
gradually reduce flows, depressurize, and lower temperatures. If you need to do any
of these quickly, you must have procedures that identify the steps workers should take
to carry out these operations safely.
Normal Shutdown. These procedures apply mainly to facilities that process or use
regulated substances. They may apply to you even if you only store a substance and
you empty the tank for cleaning. These.procedures probably will not apply to
warehouses unless they repackage.
These procedures should provide all the steps needed to stop a process safely. For a
complex process or one that operates under extreme conditions, shutdown may take
considerable time and may be hazardous. The procedures should set out the time that
should be taken and the checks that must be made before proceeding to the next steps.
Startup following a normal or emergency shutdown or a major change. These
procedures may be similar to those for initial startup. Startup procedures following
normal shutdown may include fewer equipment checks because you may not need to
check equipment on a frequent basis. You should include all the steps your workers
should take to ensure that the process can operate safely. Startup after an emergency
shutdown will generally require more checks to ensure that valves that were closed are
open and that they and other equipment are still functioning properly. These
procedures will be limited if you only store a substance; they may not apply to
warehouses in most instances.
Consequences of Deviations. Your operating procedures should tell the workers
what will happen if something starts to go wrong. For example, if the pressure or
temperature begins to rise or fall unexpectedly or the flow rate from one feed suddenly
drops sharply, the operator must know (1) whether this poses a problem that must be
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Prevention Program (Program 2) 6-16
addressed, and (2) what steps to take to correct the problem or otherwise respond to it.
Your safety information will have defined the safe operating limits for your substances
and processes; the hazard review will have defined the possible consequences and the
steps needed to prevent a deviation from causing serious problems. You should
include this information in each of the other procedures (startup, normal operations,
shutdowns), rather than as separate documents.
If your substance is one that has a distinctive odor, color, or other characteristic that
operators will be able to sense, you should include in your procedures information
about what to do if they notice leaks. Frequently, people are the most sensitive leak
detectors. Take advantage of their abilities to catch leaks before they become serious.
Equipment Inspections. You should include steps for routine inspection of
equipment by operators as part of your other procedures. These inspections cover the
items that operators should look for on a daily basis to be sure that the equipment is
running safely (e.g., vibration checks). These inspections are not the same as those
detailed checks that maintenance workers will perform, but rather are the "eyeball,"
"sound," and "feel" tests that experienced operators do, often without realizing it.
Your operators, your vendors, and your trade association can help you define the
things that should trigger concern: When is a small leak at a seal normal; when is it a
cause of concern? How much vibration is normal? What does a smoothly running
motor sound like?
UPDATING PROCEDURES
You must update your procedures whenever you change your process in a way that
alters the steps needed to operate safely. If you add new equipment, you will need to
expand your procedures or develop a separate set to cover the new items. Whenever
you change your safety information you should review your procedures to be sure that
they are still appropriate. Anytime you conduct a hazard review, check your operating
procedures as you implement changes to address hazards.
WHAT KIND OF DOCUMENTS Do I HAVE TO KEEP?
You must maintain your current set of operating procedures. You are not required to
keep old versions; in fact, you should avoid doing so because keeping copies of
outdated procedures may cause confusion. You should date all procedures so you will
know when they were last updated.
WHERE To Go FOR MORE INFORMATION
Although the reports below target the chemical industry, you may find useful
information in them:
+ Guidelines for Process Safety Fundamentals for General Plant Operations,
Center for Chemical Process Safety of the American Institute of Chemical
Engineers 1995.
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6-17 Prevention Program (Program 2)
Guidelines for Safe Process Operations and Maintenance, Center for
Chemical Process Safety of the American Institute of Chemical Engineers
1995
Guidelines for Writing Effective Operating and Maintenance Procedures,
Center for Chemical Process Safety of the American Institute of Chemical
Engineers 1996.
6.5 TRAINING (§ 68.54)
Training programs often provide immediate benefits because trained workers have
fewer accidents, damage less equipment, and improve operational efficiency.
Training gives workers the information they need to understand how to operate safely
and why safe operations are necessary. A training program, including refresher
training, is the key to ensuring that the rest of your prevention program is effective.
You already have some type of training program because you must conduct training to
comply with OSHA's Hazard Communication Standard (29 CFR 1910.1200).
WHAT Do I NEED TO Do?
You must train all new workers in your operating procedures developed under the
previous prevention program element; if any of your more experienced workers need
training on these procedures, you should also train them. Any time the procedures are
revised, you must train everyone using the new procedures. At least once every three
years, you must provide refresher training on the operating procedures even if they
have not changed. The training must cover all parts of the operating procedures,
including information on the consequences of deviations and steps needed to address
deviations.
For workers already operating a process, you may certify in writing that the employees
have the "required knowledge, skills, and abilities to safely carry out the duties and
responsibilities as provided in the operating procedures" (§ 68.54(a)). This
"grandfather clause" means that you do not need to conduct additional training for
workers you employed prior to June 21,1999, who have the appropriate knowledge
and skills to operate covered processes safely, in accordance with the operating
procedures. This certification should be kept in your files; you do not need to submit
ittoEPA.
You are not required to provide a specific amount of training or type of training. You
should develop a training approach that works for you. If you are a small facility,
one-on-one training and on-the-job training may work best. Larger facilities may want
to provide classroom training or video courses developed by vendors or trade
associations before moving staff on to supervised work. You may have senior
operators present the training or use trainers provided by vendors or other outside
sources. The form and the length of the training will depend on your resources and
your processes. If you can teach someone the basics in two hours and move them on
to supervised work, that is all right. The important thing is that your workers
understand how to operate safely and can carry out their tasks properly. We are
interested in the results of the training, not the details of how you achieve them. Find
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6-18
a system that works for you. Exhibit 6-8 lists things that you may find useful in
developing your training program.
You are also required to ensure that each worker trained has understood the training
and is competent to operate the process safely. You may decide what kind or kinds of
competency testing to use. Observation by a senior operator may be appropriate in
many cases. If you provided classroom training, you may want to use both testing and
demonstration or observation. You are required to report in the RMP on the type(s) of
competency testing you use.
EXHIBIT 6-8
TRAINING CHART
•Who needs training?
Clearly identify the employees who need to be trained and the subjects to be
covered.
•What are the
objectives?
Specify learning objectives, and write them in clear, measurable terms before
training begins. Remember that training must address the process operating
procedures.
•How will you meet the
training objectives?
Tailor the specific training modules or segments to the training objectives.
Enhance learning by including hands-on training like using simulators whenever
appropriate. Make the training environment as much like the working
environment as you can, consistent with safety. Allow your employees to practice
their skills and demonstrate what they know.
•Is your training
program working?
Evaluate your training program periodically to see if your employees have the
skills and know the routines required under your operating procedures. Make sure
that language or presentation are not barriers to learning. Decide how you will
measure your employees' competence.
•How will your program
work for new hires and
refresher training?
Make sure all workers - including maintenance and contract employees - receive
initial and refresher training. If you make changes to process chemicals,
equipment, or technology, make sure that involved workers understand the
changes and the effects on their jobs.
How DOES THIS TRAINING FIT WITH OTHER REQUIRED TRAINING?
You are required by OSHA to provide training under the Hazard Communication
Standard (29 CFR 1910.1200); this training covers the hazards of the chemicals and
steps to take to prevent exposures. DOT has required training for loading and
unloading of hazardous materials (49 CFR part 172, subpart H). Some of that training
will cover items in your operating procedures. You do not need to repeat that training
to meet EPA's requirements. You may want to integrate the training programs, but
you do not have to do so.
WHAT KIND OF DOCUMENTATION Do I NEED TO KEEP?
In the RMP, you are required to report on the date of the most recent review or
revision of your training program. You are also required to report on the type of
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training required (e.g., classroom or on-the-job) and the type of competency testing
used. You should keep on site any current training materials or schedules used. The
rule does not require you to keep particular records of your training program. It is
enough for you to have on site information that supports what is reported in the RMP
and your implementation of the training program overall. You may want to keep an
attendance log for any formal training courses and refresher training to ensure that
everyone who needs to be trained is trained. Such logs will help you perform a
compliance audit or demonstrate compliance with the rule although you are not
required to keep logs for this rule.
WHERE To Go FOR MORE INFORMATION
•* Guidelines for Process Safety Fundamentals for General Plant Operations,
Center for Chemical Process Safety of the American Institute of Chemical
Engineers 1995.
*• Guidelines for Technical Planning for On-Site Emergencies, Center for
Chemical Process Safety of the American Institute of Chemical Engineers
1995.
+ Federally Mandated Training and Information (Publication 12000),
American Petroleum Institute.
6.6 MAINTENANCE (§ 68.56)
Preventive maintenance, inspection, and testing of equipment is critical to safe
operations. Waiting for equipment to fail often means waiting for an accident that
could harm people and the environment. Further, a thorough maintenance program
. will save you money by cutting down-time caused by equipment failures. Your
hazard review and safety information will have identified equipment that is critical to
safe operations. You should use that information to build your maintenance program.
WHAT Do I NEED TO Do?
You must prepare and implement procedures for maintaining the mechanical integrity
of process equipment, and train your workers in the maintenance procedures. You
may use procedures or instructions from equipment vendors, in Federal or state
regulations, or in industry codes as the basis of your maintenance program. You
should develop a schedule for inspecting and testing your equipment based on
manufacturers' recommendations or your own experience if that suggests more
frequent inspection or testing is warranted. Exhibit 6-9 briefly summarizes the
elements of a maintenance program that would satisfy EPA's rule.
How Do I START?
Your first step will probably be to determine whether you already meet all these
requirements. If you review your existing written procedures and determine that they
are appropriate, you do not need to revise or rewrite them. If your workers are already
trained in the procedures and carry them out, you may not need to do anything else.
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6-20
If you do not have written procedures, you will need to develop them. Your
equipment vendors may be able to provide procedures and maintenance schedules.
Using these as the basis of your program is acceptable unless your use varies from that
contemplated by the vendor or manufacturer (see below). Your trade association may
also be able to help you with industry-specific checklists. If there are existing industry
standards, your trade association can provide you with the references. Copies of these
may form the basis for your maintenance program. If there are federal or state
regulations that require certain maintenance, you should use these as well.
EXHIBIT 6-9
MAINTENANCE GUIDELINES
Written procedures
•You may use
procedures provided
by the vendor or trade
association, etc., as the
basis for your program.
If you choose to
develop your own, you
must write them down.
Training
•Train process maintenance
employees in process hazards
and how to avoid or correct an
unsafe condition.
•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 that prior
operating experience indicates is
necessary.
TRAINING
You need to determine if procedures provided by vendors, manufacturers, trade
associations, or others are appropriate for your operation. If your safety information
indicates that you are operating in a standard way (e.g., using only parts designed for
refrigeration service in your cold storage system), you may assume that these other
procedures will work for you.- If you are using equipment for purposes other than
those for which it was designed, you need to decide whether your use changes the
kinds of maintenance required.
Once you have written procedures, you must ensure that your maintenance workers
are trained in the procedures and in the hazards of the process. As with the training
discussed in the previous section, how you provide this training is up to you. We
believe that you are in the best position to decide how to train your workers. Vendors
may provide the training or videos; you may already provide training on hazards and
how to avoid or correct them as part of Hazard Communication Standard training
under OSHA regulations. You do not need to repeat this training to comply with this
rule.
If you hire contractors to do your maintenance, you should ensure that they are trained
to carry out the procedures. Under the rule, any maintenance contractor is required to
ensure that each contract maintenance worker is trained to perform the maintenance
procedures developed by the facility. You can help this process by providing training
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Chapter 6
6-21 Prevention Program (Program 2)
or by developing agreements with the contractor that give you the assurance that only
trained workers will be sent to your site. For any outside worker, you must ensure that
they are informed of the hazards of your particular process. If you have standard
equipment and hire contractors that specialize in servicing your types of processes,
you can ensure their knowledge through agreements with the contractor.
INSPECTION AND TESTING
You must establish a schedule for inspecting and testing equipment associated with
covered processes. The frequency of inspections and tests must be consistent with
manufacturer's recommendations, industry standards or codes, good engineering
practices, and your prior operating experience. In particular, you should use your own
experience as a basis for examining any schedules recommended by others. Many
things may affect whether a schedule is appropriate. The manufacturer may assume a
constant rate of use (e.g., the amount of substance pumped per hour). If your use
varies considerably, the variations may affect the wear on the equipment. Extreme
weather conditions may also impact wear on equipment.
Talk with your operators as you prepare or adopt these procedures and schedules. If
their experience indicates that equipment fails more frequently than the manufacturer
expects, you should adjust the inspection schedule to reflect that experience. Your
hazard review will have identified these potential problem areas as well and should be
used as you develop schedules. For example, if you determine that corrosion is one of
the hazards of the process, your schedule must address inspections for corrosion and
replacement before failure. Your trade association may also be able to provide advice
on these issues.
WHAT KIND OF DOCUMENTATION MUST I KEEP?
In the RMP, you are required to report on the date of the most recent review or
revision of your maintenance procedures and the date of the most recent equipment
inspection or test and equipment inspected or tested. You must keep on site your
written procedures and schedules as well as any agreements you have with contractors.
The rule does not require that you keep particular records of your maintenance
program. It is enough for you to have on site information that supports what is
reported in the RMP and your implementation of the maintenance program overall.
For example, you may want to keep maintenance logs to keep track of when
inspections and tests were done.
WHERE To Go FOR MORE INFORMATION
Codes and Standards: The following groups develop codes and standards that may
help you determine the appropriate frequency and methods to use for testing and
inspection: National Board Inspection Code, the American Society for Testing and
Material, American Petroleum Institute, National Fire Protection Association,
American National Standards Institute, American Society of Mechanical Engineers.
Guidance and Reports. Although the reports below target the chemical industry, you
may find useful information in them:
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Chapter 6
Prevention Program (Program 2) 6-22
Guidelines for 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,
and Alteration (API 510), American Petroleum Institute.
Tank Inspection, Repair, Alteration, and Reconstruction (Std 653), American
Petroleum Institute.
Q&A
MAINTENANCE
Q. I have a propane tank for fuel use. I lease the tank from the propane supplier. The supplier does
all the maintenance. My staff never work on the equipment. How I do meet this requirement?
A. As part of your contract with the supplier, you should gain an agreement, in writing, that the
supplier will provide maintenance and trained maintenance workers that meet the requirements of 40
CFR 68.56.
6.7 COMPLIANCE AUDITS (§ 68.58)
Any risk management program should be reviewed periodically to ensure that
employees and contractors are implementing it properly. A compliance audit is a way
for you to evaluate and measure the effectiveness of your risk management program.
An audit reviews each of the prevention program elements to ensure that they are
up-to-date and are being implemented and will help you identify problem areas and
take corrective actions. As a result, you'll be running a safer operation.
WHAT Do I NEED TO Do?
At least every three years, you must certify that you have evaluated compliance with
for the prevention program requirements for each covered process. At least one
person on your audit team must be knowledgeable about the covered process. You
must develop a report of your findings, determine and document an appropriate
response to each finding, and document that you have corrected any deficiency.
You must review compliance with each of the required elements of the prevention
program. Because Program 2 processes are generally simple, the audit should not take
a long time. You may want to develop a simple checklist; Exhibit 6-10 provides a
sample format.
Once you have the checklist, you, your chief operator, or some other person who is
knowledgeable about your process, singly or as a team, should walk through the
facility and check on relevant items, writing down comments and recommendations.
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Chapter 6
6-23 Prevention Program (Program 2)
For example, you may want to talk with employees to determine if they have been
trained and are familiar with the procedures.
You must respond to each of the findings and document what actions, if any, you take
to address problems. You should take steps to correct any deficiencies you find.
You may choose to have the audit conducted by a qualified outside party. For
example, you may have someone from another part of your company do the audit or
hire an expert in your process. If you do either of these, you should have an employee
who works with or is responsible for the process accompany the auditor, both to
understand the findings and answer questions.
Again, the purpose of the compliance audit is to ensure that you are continuing to
implement the risk management program as required. Remember, the risk
management program is an on-going process; it is not a set of documents that you
develop and put on a shelf in case the government inspects your site. To be in
compliance with (and gain the benefits of) the rule, procedures must be followed on a
daily basis; documents must be kept up to date. The audit will check compliance with
each prevention program element and indicate areas that need to be improved. You
may choose to expand the scope to cover your compliance with other parts of the rule
and the overall safety of your operation, but you are not required to do so.
WHAT KIND OF DOCUMENTATION MUST I KEEP?
You must keep a written record of audit findings and your response to those findings
and documents that deficiencies have been corrected. You must keep the two most
recent audit reports, but you need not keep a report that is more than five years old.
You may also want to keep a record of who conducted the audit, but you are not
required to do this. .
WHERE To Go FOR MORE INFORMATION
•* Guidelines for Auditing Process Safety Management Systems, Center for
Chemical Process Safety of the American Institute of Chemical Engineers
1993.
Q&A
AUDITS
Q. Does the compliance audit requirement cover all of the Part 68 requirements or just the
prevention program requirements?
A. The compliance audit requirement applies only to the prevention programs under Subpart C.
If you have a Program 2 process, you must certify that you have evaluated compliance with the
Program 2 prevention program provisions at least every three years to verify that the procedures
and practices developed under the rule are adequate and are being followed. You may want to
expand your audit to check other part 68,elements, but you are not required to do so.
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Chapter 6
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6-24
EXHIBIT 6-10
SAMPLE AUDIT CHECKLIST
FOR SAFETY INFORMATION AND HAZARD REVIEW
Element
Safety Information
MSDSs up-to-date?
Maximum intended inventory determined?
Determined
Safe upper and lower temperature?
Safe upper and lower pressures?
Safe process flow rates?
Compositions?
Equipment specifications
Tanks?
Piping?
Pressure relief valves?
Emergency shutoff valves?
Gauges?
Pumps?
Compressors?
Hoses?
Hazard Review
Has equipment been inspected to determine if
it is designed, manufactured, installed, and
operated according to industry standards and
codes?
Are the results of the inspections documented?
Have inspections been conducted after every
major change?
Yes/No/NA
Action/Completion Data
6.8 INCIDENT INVESTIGATION (§ 68.60)
Incidents can provide valuable information about site hazards and the steps you need
to take to prevent accidental releases. Often, the immediate cause of an incident is the
result of a series of other problems that need to be addressed to prevent recurrences.
For example, an operator's mistake may be the result of poor training. Equipment
failure may result from improper maintenance or misuse. Without a thorough
investigation, you may miss the opportunity to identify and solve these problems.
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6-25
Chapter 6
Prevention Program (Program 2)
WHAT Do 1 NEED TO Do?
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. Exhibit 6-11 briefly summarizes the steps you must take for .
investigating incidents. You should also consider investigating minor accidents or
near misses because they may help you identify problems that could lead to more
serious accidents; however, you are not required to do so under part 68.
EXHIBIT 6-11
INCIDENT INVESTIGATION REQUIREMENTS
•Initiate an investigation promptly.
•Summarize the investigation in a report.
•Address the report's findings and
recommendations.
•Review the report with your staff and
contractors.
•Retain the report.
Begin investigating no later than 48 hours
following the incident.
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.
Establish a system to address promptly and resolve
the incident report findings and recommendations
and document resolutions and corrective actions.
You must share the report - its findings and
recommendations - with affected workers whose
job tasks are relevant to the incident.
Keep incident investigation summaries for five
years.
How Do I START?
You should start with a simple set of procedures that you will use to begin an
investigation. You may want to assign someone to be responsible for compiling the
initial incident data and putting together the investigation team. If you have a small
facility, your "team" may be one person who works with the local responders, if they
were involved.
The purpose of the investigation is to find out what went wrong and why, so you can
prevent it from happening again. Do not stop at the obvious failure or "initiating
event" (e.g., the hose was clogged, the operator forgot to check the connection); try to
determine why the failure occurred. In many cases, the underlying cause will be what
matters (e.g., the operator did not check the connection because the operating
procedures and training did not include this step). If the accident occurred because of
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Chapter 6
Prevention Program (Program 2) 6-26
operator error, you should determine if the operator made the mistake because he or
she had been trained inadequately or trained in the wrong procedures or because
design flaws made mistakes likely. If you write off the accident as operator error
alone, you miss the chance to take the steps needed to prevent such errors the next
time. Similarly, if equipment fails, you should try to decide whether it had been used
or maintained improperly.
Remember, your goals are to prevent accidents, not to blame someone, and correct any
problems in your prevention program. In this way, you can prevent recurrences.
In some cases, an investigation will not take long. In other cases, if you have a
complex facility, equipment has been severely damaged, or the workers seriously hurt,
an investigation may take several days. You should talk with the operators who were
in the area at the time and check records on maintenance (another reason for keeping
logs). If equipment has failed in an unusual way, you may need to talk to the
manufacturer and your trade association to determine if similar equipment has
suffered similar failures.
You must develop a summary of the accident and its causes and make
recommendations to prevent recurrences. You must address each recommendation
and document the resolution and any actions taken. Finally, you must review the
findings with operators affected by the findings.
WHAT KIND OF DOCUMENTATION MUST I KEEP?
You must maintain the summary of the accident investigation and recommendations
and document resolutions and corrective actions. A sample format is shown in
Exhibit 6-12 that combines all of these in a single form. Note that the form also
includes accident data that you will need for the five-year accident history. These data
are not necessarily part of the incident investigation report, but including them will
create a record you can use later to create the accident history.
WHERE To Go FOR MORE INFORMATION
Although the reports below target the chemical industry, you may find useful
information in them:
•*• 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
Prevention Program (Program 2)
EXHIBIT 6-12
SAMPLE INCIDENT INVESTIGATION FORMAT
Ammonia Tank Release
Date: May 15, 1998; 3 pm
Duration: 2 hours
Description:
Findings
Hose split because the pressure
was too great
Operator failed to stay at the tank
during loading
Tank required manual shutoff
Substance: Ammonia
Weather: 82 F, 8 mph winds
Quantity: 2 tons
Date Investigation Started:
May 16, 1998
Unloading hose split open and spilled substance; operator was in
the main building and failed to notice spill for several minutes
Recommendations
Replace hose with higher
pressure hose
Revise procedures for checking
on pressure
Conduct refresher training to
stress necessity of remaining at'
the tank during loading
Determine if automatic shutoff
valve is feasible
Actions
Replaced hose as recommended;
revised procedures; conducted
training on new procedures
Refresher training provided;
safety meetings added and held
on a monthly basis to review
safety issues
Automatic shutoff valve
installed
6.9 CONCLUSION
Many of you will need to do little that's new to comply with the Program 2 prevention
program, because complying with other Federal rules, state requirements, and
industry-specific codes and standards results in compliance with many Program 2
elements. And if you've voluntarily implemented OSHA's PSM standard for your
Program 2 process, you'll meet the lesser Program 2 prevention program requirements.
No matter what choices you make in complying with the Program 2 prevention
program, keep these things in mind:
+ Integrate the elements of your prevention program. For Program 2 owners
and operators, a major change in any single element of your program should
lead to a review of other elements to identify any effect caused by the change.
*• Make accident prevention an institution at your site. Like the entire risk
management program, a prevention program is more than a collection of
written documents. It is a way to make safe operations and accident
prevention the way you do business everyday.
Check your operations on a continuing basis and ask if you can improve them
to make them safer as well as more efficient.
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CHAPTER 7: PREVENTION PROGRAM (PROGRAM 3)
Many of you will need to do little that is new to comply with the Program 3
prevention program, because you already have the OSHA PSM program in place.
Whether you're building on the PSM standard or creating a new program, keep these
things in mind.
•* 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.
7.1 PROGRAM 3 PREVENTION PROGRAM AND OSHA PSM
The Program 3 prevention program includes the requirements of the OSHA PSM
standard. Whenever we could, EPA used OSHA's language verbatim. However,
there were a few terms that EPA had to change to reflect the differences between its
authority and OSHA's. For example, OSHA regulates to protect workers; EPA's
responsibility is to protect public health and safety and the environment. Therefore,
an "owner or operator" subject to EPA's rule must investigate catastrophic releases
"that presents) (an) imminent and substantial endangermerit to public health and the
environment," but an OSHA "employer" would focus its concerns on the workplace.
To clarify these distinctions, we deleted specific references to workplace impacts and
"safety and health" contained in OSHA's PSM standards. We also used different
schedule dates and references where appropriate. Exhibit 7-1 compares terms in
EPA's rule with their counterparts in the OSHA PSM standard.
EXHIBIT 7-1
COMPARABLE EPA AND OSHA TERMS
OSHA TERM "
Highly hazardous substance
Employer
Facility
Standard
EPA TERM , •"
Regulated substance
Owner or operator
Stationary source
Rule or part
There are twelve elements in the Program 3 prevention program. Each element
corresponds with a section of subpart D of part 68. Exhibit 7-2 sets out each of the
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Chapter 7
Prevention Program (Program 3)
7-2
twelve elements, the corresponding section numbers, and OSHA references. Two
OSHA elements are not included. Emergency response is dealt with separately in part
68; the OSHA trade secrets requirement (provision of trade secret information to
employees) is beyond EPA's statutory authority.
EXHIBIT 7-2
SUMMARY OF PROGRAM 3 PREVENTION PROGRAM
(40 CFR PART 68, SUBPART D)
SECTION
§ 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 •"'' \ ':•'• •'-.^•: •':•-€•'•" vK:'V,:
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 PSM REFERENCE
PSM standard § 1910.1 19(d).
PSM standard § 1910.1 19(e).
PSM standard § 1910.119(f).
PSM standard §1910.11 9(g).
PSM standard § 1910.1190)-
PSM standard § 1910.119(1).
PSM standard § 1910.1 19(1).
PSM standard § 1910.119(o).
PSM standard § 1910.1 19(m)
PSM standard § 1 9 1 0. 1 1 9(c).
PSM standard § 1910.1 19(k).
PSM standard § 1910.1 19(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 F. 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 F.
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Chapter 7
7-3 Prevention Program (Program 3)
Qs&As
IMPLEMENTATION AND PROGRAM LEVEL
Q. My process is a series of storage and process vessels, connected by piping, containing several
regulated substances, with a few co-located tanks of other substances. Do I have to implement one
prevention program to cover all aspects of the process even if different operators, different process
chemistry, and different hazards are involved in various parts of the process?
A. You should implement the program in the way that makes sense to you. For a complex process
such as yours, you may need to divide the process into sections (e.g., production units for particular
products, storage units) for the PHA and compliance audits, to keep the analyses manageable.
Operating and maintenance procedures (and the training in these procedures) should be developed for
operating units; combining procedures for different types of units into a single document may make
them harder to use; training operators in procedures they do not need would waste time and perhaps
confuse operators. You may want to collect and store process safety information by individual units to
make it easier to use. Other parts of the program (contractors, employee participation, procedures for
pre-startup, management of change, and hot work) are likely to be common to all parts of the process.
Q. I have a tank with more than 10,000 pounds of propane. I use the propane to heat the offices, but
not as a fuel for my covered process, so it is not subject to OSHA PSM and would be Program 2 for
EPA. The tank, however, is close to equipment that has chlorine above the applicable threshold and is
subject to OSHA PSM and Program 3. Is the tank considered part of the process? Does this affect the
program level?
A. If a fire or explosion in the propane tank could cause a release of chlorine or other regulated
substances or interfere with mitigation of such a release, the tank is considered part of a single process
and consequently is.subject to both OSHA PSM and Program 3.
7.2 PROCESS SAFETY INFORMATION (§68.65)
Exhibit 7-3 briefly summarizes the process safety information requirements.
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Chapter 7
Prevention Program (Program 3)
7-4
EXHIBIT 7-3
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. Other sources you may find useful include:
^ Guidelines for Process Safety Documentation, Center for Chemical Process
Safety of the American Institute of Chemical Engineers 1995.
4- 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 III, Frank P.
Lees, Butterworths: London 1996.
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Chapter 7
7-5 Prevention Program (Program 3)
Qs&As
PROCESS SAFETY INFORMATION
Q. What does "materials of construction" apply to and how do I find this information?
A. You must document the materials of construction for all process equipment in a covered process.
For example, you need to know the materials of construction for process vessels, storage vessels,
piping, hoses, valves, and flanges. Equipment specifications should provide this information.
Q. What does "electrical classification" mean?
A. Equipment and wiring for locations where fire and explosion hazards may exist must meet
requirements based on the hazards. Each room, section, or area must be considered separately.
Equipment should be marked to show Class, Group, and operating temperature or temperature range.
You must determine the appropriate classification for each area and ensure that the equipment used is
suitable for that classification. The equipment covered includes transformers, capacitors, motors,
instruments, relays, wiring, switches, fuses, generators, lighting, alarms, remote controls,
communication, and grounding. Electrical classification will be included in equipment specifications.
Q. What does "relief system design basis" mean?
A. Relief systems include, but are not limited to, relief valves, relief headers, relief drums, and rupture
disks. Design basis means documenting how the loads and sizes of the relief system, as well as inlet
and outlet sizes, were determined. This includes a description of overpressure scenarios considered,
the scenario that creates the largest load to be relieved, the assumptions used, and if the device meets a
certain code. Relief devices on pressure vessels must conform to ASME codes. Industry codes (e.g.,
API RP 520) also provide guidance on scenarios that should be considered and on equations for sizing
of devices. Scenarios you may need to consider include fire, blocked flow, control valve failure,
overheating, power outage, tube rupture, and cooling water failure. For 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.
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Chapter 7
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7-6
7.3 PROCESS HAZARD ANALYSIS (§68.67)
Exhibit 7-4 provides a summary of the requirements for process hazard analyses
(PHAs).
EXHIBIT 7-4
PROCESS HAZARD ANALYSIS REQUIREMENTS
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
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 rale (except for an initial PHA where are using the PHA conducted for
OSHA PSM). If you are in the Program 3 prevention program because you must
comply with the PSM standard, you may not have fully considered offsite
consequence because the focus of PSM is worker protection. Practically speaking,
however, there should be few instances where the scenarios considered for OSHA fail
to address offsite impacts. A well-done PHA should identify all failure scenarios that
could lead to significant exposure of workers, the public, or the environment. The
only issue that may require further consideration for part 68 processes is whether any
protection measures that were adequate for worker safety are inadequate for public
and environmental safety.
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Chapter?
7-7 _^^ Prevention Program (Program 3)
Consider two circumstances — one where OSHA's PSM standard and EPA's risk
management program rule lead to the same result, and another where protecting
workers could mean endangering the public and the environment. For flammables,
any scenario that could affect the public almost certainly would have the potential to
affect workers; measures taken to protect your employees likely will protect the public
and the environment. For toxics under PSM, however, you may plan to address a loss
of containment by venting toxic vapors to the outside air. In each circumstance, a
PHA should define how the loss of containment could occur. However, for EPA, the
PHA team should reassess venting as an appropriate mitigation measure.
Updating and revalidating your PHA. For EPA, you must complete the initial
PHA for each Program 3 process not later than June 21,1999, and update it at least
once every five years. You may complete an initial PHA before that date. You may
use an OSHA PHA as your initial PHA, and update and revalidate it every five years
on the OSHA schedule. A PHA completed after August 19, 1996 (the effective date
of part 68) should consider offsite impacts.
REJECTING TEAM RECOMMENDATIONS
You may not always agree with your PHA team's recommendations and may wish to
reject a recommendation. OSHA's compliance directive CPL 2-2.45A-revised states
that you may decline a team recommendation if you can document one of the
following: (1) the analysis upon which the recommendation is based contains factual
errors; (2) the recommendation is not necessary to protect the health of employees or
contractors; (3) an alternative measure would provide a sufficient level of protection;
or (4) the recommendation is infeasible. For part 68, you should also consider
whether recommendations are not necessary to protect public health and the
environment.
UPDATING YOUR PHA
You should update or revalidate your PHA whenever there is a new hazard or risk
created by changes to your process. Such changes might include introducing a new
process, process equipment, or regulated substance; altering process chemistry that
results in any change to safe operating limits; or other alteration that introduces a new
hazard. You might, for example, introduce a new hazard if you installed a gas
pipeline next to a storage tank containing a regulated substance. Other candidates
could be making changes in process constituents that increase the possibility of
runaway reactions or polymerization. EPA recommends that you consider
revalidating your PHA whenever adjoining processes create a hazard. Remember that
you have a general duty to prevent accidents and ensure safety at your source, which
may require you to take steps beyond those specified in the risk management program
rule.
WHERE To Go FOR MORE INFORMATION
Appendix 7-A of this chapter provides a summary of each of the techniques, a
description of the types of processes for which they may be appropriate, and estimates
about the time and staff required for each.
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Chapter 7
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7-8
Part 68 and OSHA PSM require that whichever technique or techniques you use, you
must have at least one person on the PHA team who is trained in the use of the
technique. Training on such techniques is available from a number of professional
organizations as well as private companies. You may have staff members who are
capable of providing this training as well. Many trade associations publish detailed
guidance on methods for conducting a process hazard analysis. You might find the
following documents useful.
* 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 HI, Frank P.
Lees, Butterworths: London 1996.
* Management of Process Hazards (RP 750), American Petroleum Institute.
+ Risk-Based Decision Making (Publication 16288), American Petroleum
Institute.
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.
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7.4 OPERATING PROCEDURES (§68.69)
Exhibit 7-5 summarizes what your operating procedures must address. Operating
procedures must be readily accessible to workers who operate or maintain the process.
You must review operating procedures as often as necessary to assure that they reflect
current practices and any changes to the process or facility. You must certify annually
that the operating procedures are current and accurate.
EXHIBIT 7-5
OPERATING PROCEDURES REQUIREMENTS
Steps for each
operating phase
•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
Chapter 7 of this document provides descriptions of each operating phase and when
these phases may not apply to certain operations.
* 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. .
•*• Guidelines for Writing Effective Operating and Maintenance Procedures,
Center for Chemical Process Safety of the American Institute of Chemical
Engineers 1996.
7.5 TRAINING (§68.71)
You are required to train new operators on the operating procedures and cover health
and safety hazards, emergency operations, and safe work practices applicable to the
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employee's tasks. For workers involved in operating the process before June 21,1999,
you may certify in writing that they are competent to operate the process safely, in
accordance with the operating procedures. At least every three years you must
provide refresher training (you must consult with employees involved in operating the
process to determine the appropriate frequency). Finally, you are required to
determine that each operator has received and understood the training and keep a
record for each employee with the date of the training and the method used to verify
that the employee understood the training.
WHERE To Go FOR MORE INFORMATION
^ Guidelines for Process Safety Fundamentals for General Plant Operations,
Center for Chemical Process Safety of the American Institute of Chemical
Engineers 1995.
^ Guidelines for Technical Planning for On-Site Emergencies, Center for
Chemical Process Safety of the American Institute of Chemical Engineers
1995.
+ Federally Mandated Training and Information (Publication 12000),
American Petroleum Institute.
7.6 MECHANICAL INTEGRITY (§68.73)
You must have a mechanical integrity program for pressure vessels and storage tanks,
piping systems, relief and vent systems and devices, emergency shutdown systems,
controls, and pumps. Exhibit 7-6 briefly summarizes the other requirements for your
mechanical integrity program.
WHERE To Go FOR MORE INFORMATION
Guidance and Reports. Other sources of guidance and reports you may find useful
include:
* 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,
and Alteration (API 510), American Petroleum Institute.
+ Tank Inspection, Repair, Alteration, and Reconstruction (Std 653), American
Petroleum Institute.
7.7 MANAGEMENT OF CHANGE (§68.75)
Exhibits 7-7 briefly summarizes EPA's MOC requirements.
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Chapter 7
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EXHIBIT 7-6
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.
EXHIBIT 7-7
MANAGEMENT OF CHANGE REQUIREMENTS
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)
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7-12
WHERETO 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.
7.8 PRE-STARTUP REVIEW (§68.77)
You must conduct your pre-startup safety review for new stationary sources or
modified stationary sources when the modification is significant enough to require a
change in safety information under the management of change element. You must
conduct your pre-startup review before you introduce a regulated substance to a
process, and you must address the items listed in Exhibit 7-8.
EXHIBIT 7-8
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.
7.9 COMPLIANCE AUDITS (§68.79)
You must conduct an audit of the process to evaluate compliance with the prevention
program requirements at least once every three years. At least one person involved in
the audit must be knowledgeable in the process. You must develop a report of the
findings and document appropriate responses to each finding and document that
deficiencies have been addressed. The two most recent audit reports must be kept on-
site.
WHERE To Go FOR MORE INFORMATION
+ Guidelines for Auditing Process Safety Management Systems, Center for
Chemical Process Safety of the American Institute of Chemical Engineers
1993.
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7.10 INCIDENT INVESTIGATION (§68.81)
Exhibit 7-9 briefly summarizes the steps you must take for investigating incidents.
EXHIBIT 7-9
INCIDENT INVESTIGATION REQUIREMENTS
•Initiate an investigation
promptly.
•Establish a knowledgeable
investigation team.
•Summarize the investigation in a
report.
•Address the team's findings and
recommendations.
•Review the report with your staff
and contractors.
•Retain the report.
Begin investigating no later than 48 hours following the incident.
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.
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.
Establish a system to address promptly and resolve the incident
report findings and recommendations; document resolutions and
corrective actions.
You must share the report - its findings and recommendations -
with affected workers whose job tasks are relevant to the
incident.
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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7-14
7.11 EMPLOYEE PARTICIPATION (§68.83)
Exhibit 7-10 briefly summarizes what you must do.
EXHIBIT 7-10
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.
7.12 HOT WORK PERMITS (§68.85)
Exhibit 7-11 briefly summarizes how to meet the hot work permit requirement.
EXHIBIT 7-11
HOT WORK PERMITS REQUIREMENTS
•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.
7.13 CONTRACTORS (§68.87)
Exhibit 7-12 summarizes both yours and the contractors' responsibilities where
contractors perform maintenance or repair, turnaround, major renovation, or specialty
work on or adjacent to a covered process.
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Chapter 7
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EXHIBIT 7-12
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
1910.119(h)(2)(vi)).
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.
* API/CMA Managers Guide to Implementing a Contractor Safety Program
(RP 2221), American Petroleum Institute.
Improving Owner and Contractor Safety Performance (RP 2220), American
Petroleum Institute.
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Ch'apter?
Prevention Program (Program 3) 7-16
APPENDIX 7-A
PHA TECHNIQUES
This appendix provides descriptions of each of the PHA techniques listed in the OSHA PSM
standard and § 68.67. These descriptions include information on what each technique is, which types of
processes they may be appropriate for, what their limitations are, and what level of effort is typically
associated with each. This information is based on Guidelines for Hazard Evaluation Procedures, 2nd
Ed., published by AIChE/CCPS. If you are interested in more detailed discussion and worked examples,
you should refer to the AIChE/CCPS volume.
Neither the information below nor the full AIChE/CCPS volume will provide you with enough
information to conduct a PHA. The rule requires that your PHA team include at least one person trained in
the technique you use. Training in PHA techniques is available from a number of organizations. If you
must conduct multiple PHAs, you are likely to need to update your PHAs frequently, or you have a
complex process that will take several weeks to analyze, you may want to consider training one or more of
your employees. If you have a single process that is unlikely to change more than once every five years,
you may find it more cost-effective to hire a trained PHA leader.
DESCRIPTIONS OF TECHNIQUES
CHECKLISTS
Checklists are primarily used for processes that are covered by standards, codes, and industry
practices — for example, storage tanks designed to ASME standards, ammonia handling covered by
OSHA (29 CFR 1910.111), 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.
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
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7-17 Prevention Program (Program 3)
questions are then divided into specific areas of investigation, usually related to consequences of interest.
Each area is then addressed by one or more team members.
What-If analyses are intended to identify hazards, hazardous situations, or accident scenarios. The
team of experienced people identifies accident scenarios, consequences, and existing safeguards, then
suggest possible risk reduction alternatives. The method can be used to examine deviations from design,
construction, modification, or operating intent. It requires a basic understanding of the process and an
ability to combine possible deviations from design intent with outcomes. AIChE describes this as a
powerful procedure if the staff are experienced; "otherwise, the results are likely to be incomplete."
A What-If usually reviews the entire process, from the introduction of the chemicals to the end.
The analysis may focus on particular consequences of concern. AIChE provides the following example of
a What-If question: "What if the raw material is the wrong concentration?" The team would then try to
determine how the process would respond: "If the concentration of acid were doubled, the reaction could
not be controlled and a rapid exotherm would result." The team might then recommend steps to prevent
feeding wrong concentrations or to stop the feed if the reaction could not be controlled.
A What-If of simple systems can be done by one or two people; a more complex process requires a
larger team and longer meetings. AIChE/CCPS estimates that for a small or simple system a What-If
analysis will take 4 to 8 hours to prepare, 1 to 3 days to evaluate the process, and 1 to 2 days to document
the results. For larger or more complex processes, a What-If will take 1 to 3 days to prepare, 4 to 7 days to
evaluate, and 4 to 7 days to document.
WHAT-IF/CHECKLIST
A What-If/Checklist combines the creative, brainstorming aspects of the What-If with the
systematic approach of the Checklist. The combination of techniques can compensate for the weaknesses
of each. The What-If part of the process can help the team identify hazards and accident scenarios that are
beyond the experience of the team members. The checklist provides a more detailed systematic approach
that can fill in gaps in the brainstorming process. The technique is generally used to identify the most
common hazards that exist in a process. AIChE states that it is often the first PHA conducted on a process,
with subsequent analyses using more detailed approaches.
The purpose of a What-If/Checklist is to identify hazards and the general types of accidents that
could occur, evaluate qualitatively the effects of the effects, and determine whether safeguards are
adequate. Usually the. What-If brainstorming precedes the use of the checklist, although the order can be
reversed.
The technique usually is performed by a team experienced in the design, operation, and
maintenance of the process. The number of people required depends on the complexity of the process.
AIChE/CCPS estimates that for a small or simple system a What-If/Checklist analysis will take 6 to 12
hours to prepare, 6 to 12 hours to evaluate the process, and 4 to 8 hours to document the results. For 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
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Chapter 7
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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
thfe 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 safeguards
do not work, AIChE states that "more optimistic assumptions may be satisfactory as long as all equipment
failure modes are analyzed on the same basis."
An FMEA requires an equipment list or P&ID, knowledge of the equipment, knowledge of the
system, and responses to equipment failure. AIChE states that on average, an hour is sufficient to analyze
two to four pieces of equipment. AIChE/CCPS estimates that for a small or simple system an FMEA will
take 2 to 6 hours to prepare, 1 to 3 days to evaluate the process, and 1 to 3 days to document the results.
For larger or more complex processes, an FMEA will take 1 to 3 days to prepare, 1 to 3 weeks to evaluate,
and 2 to 4 weeks to document.
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7-19 Prevention Program (Program 3)
FAULT TREE ANALYSIS (FTA)
A Fault Tree Analysis (FTA) is a deductive technique that focuses on a particular accident or main
system failure and provides a method for determining causes of the event. The fault tree is a graphic that
displays the combinations of equipment failures and human errors that can result in the accident. The FTA
starts with the accident and identifies the immediate causes. Each immediate cause is examined to
determine its causes until the basic causes of each are identified. AIChE states that the strength of FTA is
its ability to identify combinations of basic equipment and human failures that can lead to an accident,
allowing the analyst to focus preventive measures on significant basic causes.
AIChE states that FTA is well suited for analyses of highly redundant systems. For systems
vulnerable to single failures that can lead to accidents, FMEA or HAZOP are better techniques to use.
FTA is often used when another technique has identified an accident that requires more detailed analysis.
The FTA looks at component failures (malfunctions that require that the component be repaired) and faults
(malfunctions that will remedy themselves once the conditions change). Failures and faults are divided
into three groups: primary failures and faults occur when the equipment is operating in the environment for
which it was intended; secondary failures and faults occur when the system is operating outside of intended
environment; and command faults and failures are malfunctions where the equipment performed as
designed but the system that commanded it malfunctioned.
An FTA requires a detailed knowledge of how the plant or system works, detailed process
drawings and procedures, and knowledge of component failure modes and effects. AIChE states that
FTAs need well trained and experienced analysts. Although a single analyst can develop a fault tree, input
and review from others is needed
AIChE/CCPS estimates that for a small or simple system an FTA will take 1 to 3 days to prepare,
3 to 6 days for model construction, 2 to 4 days to evaluate the process, and 3 to 5 days to document the
results. For larger or more complex processes, an FTA will take 4 to 6 days to prepare, 2 to 3 weeks for
model constructions, 1 to 4 weeks to evaluate, and 3 to 5 weeks to document.
Other Techniques
The rule allows you to use other techniques if they are functionally equivalent. The AIChE
Guidelines includes descriptions of a number of other techniques including Preliminary Hazard Review,
Cause-Consequence Analysis, Event Tree Analysis, and Human Reliability Analysis. You may also
develop a hybrid technique that combines features of several techniques or apply more than one technique.
Selecting a Technique
Exhibit 7A-1 is adapted from the AIChE Guidelines and indicates which techniques are
appropriate for particular phases in a process's design and operation.
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Chapter?
Prevention Program (Program 3)
7-20 '
EXHIBIT 7A-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
/
/
/
/
/
/
/
/
What-If-
Checklist
/
/
/
/
/
S
S
HAZOP
S
/
S
/
/
FMEA
/
^
/
/
S
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.
AIChE lists What-If, What-If/Checklist, and HAZOP as better able to handle batch processes than
FTA or FMEA because the latter do not easily deal with the need to evaluate the time-dependent nature of
batch operations.
Analysis of multiple failure situations is best handled by FTA. Single-failure techniques, such as
HAZOP and FMEA, are not normally used to handle these although they can be extended to evaluate a
few simple accident situations involving more than one event.
AIChE states that when a process has operated relatively free of accidents for a long time, the
potential for high consequence events is low, and there have been few changes to invalidate the experience
base, the less exhaustive techniques, such as a Checklist, can be used. When the opposite is true, the more
rigorous techniques are more appropriate.
A final factor in selecting a technique is time required for various techniques. Exhibit 7A-2
summarizes AIChE's estimates of the time required for various steps. The full team is usually involved in
the evaluation step; for some techniques, only the team leader and scribe are involved in the preparation
and documentation steps.
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7-21
Chapter 7
Prevention Prosram (Program 3)
EXHIBIT 7A-2
TIME AND STAFFING FOR PHA TECHNIQUES
Checklist
What-If
What-If
Checklist
HAZOP
FMEA
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
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
9-4 w
FTA
2-3
1-3 d
3-6 d
2-4 d
3-5 d
2-5
4-6 d
2-3 w
1-4 w
3-5 w
h = hours
a = days (8 hours)
w = weeks (40 hours)
-------
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CHAPTER 8: EMERGENCY RESPONSE PROGRAM
If you have at least one Program 2 or 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 an ammonia retailer with only one full-time
employee to expect that a tank fire could be handled without the help of the local fire
department or other emergency responder. EPA does not intend to force such
facilities to develop emergency response capabilities. At the same time, you are
responsible for ensuring effective emergency response to any releases at your facility.
If your local public responders are not capable of providing such response, you must
take steps to ensure that effective response is available (e.g., by hiring response
contractors).
8.1 NON-RESPONDING FACILITIES (§ 68.90(b))
EPA has adopted a policy for non-responding facilities similar to that adopted by
OSHA in its Hazardous Waste Operations and Emergency Response (HAZWOPER)
Standard (29 CFR 1910.120), which allows certain facilities to develop an emergency
action plan to ensure employee safety, rather than a full-fledged emergency response
plan. If your employees will not respond to accidental releases of regulated
substances, then you need not comply with the emergency response plan and program
requirements. Instead, you are simply required to coordinate with local response
agencies to ensure that they will be prepared to respond to an emergency at your
facility. (You may want to briefly review the program design issues discussed in 8.2
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.
Although you do not need to describe these activities in your risk management plan, to
document your efforts you should keep a record of:
+ The emergency contact (i.e., name or organization and number) that you will
call for a toxic or flammable release, and
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Chapter 8
Emergency Response Program 8-2
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.
8.2 ELEMENTS OF AN EMERGENCY RESPONSE PROGRAM (§ 68.95)
If you will respond to releases of regulated substances with your own employees, your
emergency response program must consist of the following elements:
+ An emergency response plan (maintained at the facility) that includes:
> Procedures for informing the public and emergency response agencies
about releases,
> Documentation of proper first aid and emergency medical treatment
necessary to treat human exposures, and
> Procedures and measures for emergency response.
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Chapter 8
8-3 ^ Emergency Response Program
What is a Local Emergency Planning Committee?
Local emergency planning committees (LEPCs) were formed under the Emergency Planning and
Community Right-to-Know Act (EPCRA) of 1986. The committees are designed to serve as a
community forum for issues relating to preparedness for emergencies involving releases of
hazardous substances in their jurisdictions. They consist of representatives from local government
(including law enforcement and firefighting), local industry, transportation groups^ health and
medical organizations, community groups, and the media. LEPCs:
+ 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.
•* Procedures for using, inspecting, testing, and maintaining your emergency
response equipment;
+ Training for all employees in relevant procedures; and
•* Procedures to review and update, as appropriate, the emergency response plan
to reflect changes at the facility and ensure that employees are informed of
changes.
Finally, your plan must be coordinated with the community plan developed under the
Emergency Planning and Community Right-to-Know Act (EPCRA, also known as
SARA Title III). In addition, at the request of local emergency planning or response
officials, you must provide any information necessary for developing and
implementing the community plan.
In keeping with the approach outlined in Chapter 6, EPA is not requiring facilities to
document training and maintenance activities. However, as noted above, facilities
must maintain an on-site emergency response plan as well as emergency response
equipment maintenance and program evaluation procedures.
Although EPA's required elements are essential to any emergency response program,
they are not comprehensive guidelines for creating an adequate response capability.
Rather than establish another set of federal requirements for an emergency response
program, EPA has limited the provisions of its rule to those the CAA mandates. If
you have a regulated substance on site, you are already subject to at least one
emergency response rule: OSHA's emergency action plan'requirements (29 CFR
1910.38). Under OSHA HAZWOPER, any facility that handles "hazardous
substances" (a broad term that includes all of the CAA regulated substances and thus
applies to all facilities with covered processes) must comply with either 29 CFR
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Chapter 8
Emergency Response Program 8-4
1910.38(a) or 1910.119(q). If you have a hazmat team, you are subject to the 29 CFR
1910.119(q) requirements. If you determine that the emergency response programs
you have developed to comply with these other rules satisfy the elements listed at the
beginning of this section, you will not have to do anything additional to comply with
these elements. Additional guidance on making this decision is provided in section
8.5.
In addition, be careful not to confuse writing a set of emergency response procedures
in a plan with developing an emergency response program. An emergency response
plan is only one element of the integrated effort that makes an emergency response
program. Although the plan outlines the actions and equipment necessary to respond
effectively, training, program evaluation, equipment maintenance, and coordination
with local agencies must occur regularly if your plan is to be useful in an emergency:
The goal of the program is to enable you to respond quickly and effectively to any
emergency. The documents listed in Exhibit 8-1 may be helpful in developing
specific elements of your emergency response program.
Exhibit 8-1
Federal Guidance on Emergency Planning and Response
Hazardous Materials Emergency Planning Guide (NRT-1), National Response Team, March 1987.
Although designed to assist communities in planning for hazmat incidents, this guide provides useful
information on developing a response plan, including planning teams, plan review, and ongoing
planning efforts.
Criteria for Review of Hazardous Materials Emergency Plans (NRT-1 A), National Response Team,
May 1988. This guide provides criteria for evaluating response plans.
North American Emergency Response Guidebook (NAERG96), U.S. Department of Transportation,
1996. 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.
Finally, remember that under the General Duty Clause of CAA section 112(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.
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8-5
Chapter 8
Emergency Response Program
RELATIONSHIP TO HA2WOPER
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 the list in Appendix D) 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."
8.3 DEVELOPING AN EMERGENCY RESPONSE PROGRAM
The development of an emergency response program should be approached
systematically. As described in section 8.2, all facilities complying with these
emergency response program provisions will already be subject to OSHA
HAZWOPER. As a result, you are likely to fall into one of two groups:
4- You have already met several federal requirements for emergency planning
and are interested in developing an integrated program to minimize
duplication (section 8.4).
•* You have a pre-existing emergency response program (perhaps based on an
internal policy decision) and need to determine what additional activities you
will need to conduct (section 8.5).
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Chapter 8
Emergency Response Program 8-6
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:
+ Maintenance;
+ Operations or line personnel;
+ Upper and line management;
+• Legal;
+ Fire and hazmat response;
+ Environmental, health, and safety affairs;
+ Training;
•* Security;
•*• EPCRA section 302 emergency coordinator (if one exists);
+ Public relations; and
+ Personnel.
Of course, the membership of the team will need to be more or less extensive
depending on the scope of the emergency response program. A three-member team
may be appropriate for a small facility with a couple of process operators cross-trained
as fire responders, while a facility with its own hazmat team and environmental affairs
department may need a dozen representatives.
Collect relevant facility documents. Members of the development team should
collect and review all of the following:
+ Existing emergency response plans and procedures;
+• Submissions to the LEPC under EPCRA sections 302 and 303;
+ Hazard evaluation and release modeling information;
+ Hazard communication and emergency response training;
•*• Emergency drill and exercise programs;
+ After-action reports and response critiques; and
4- Mutual aid agreements.
Identify existing programs to coordinate efforts. The team should identify any
related programs from the following sources:
+ Corporate- and industry-sponsored safety, training, and planning efforts; and
+ Federal, state, and local government safety, training, and planning efforts (see
Exhibit 8-2).
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8-7
Chapter 8
Emergency Response Program
Exhibit 8-2
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 CFR part 112.7(d) and 112.20-.21;
+ MM's Facility Response Plan Regulation - 30 CFR part 254;
+ RSPA's Pipeline Response Plan Regulation - 49 CFR part 194;
+ USCG's Facility Response Plan Regulation - 33 CFR part 154, Subpart F;
+ EPA's Risk Management Programs Regulation - 40 CFR part 68;
+ OSHA's Emergency Action Plan Regulation - 29 CFR 1910.38(a);
+ OSHA's Process Safety Standard - 29 CFR 1910.119;
+ OSHA's HAZWOPER Regulation - 29 CFR 1910.120;
+ OSHA' s Fire Brigade Regulation - 29 CFR 1910.156;
+ 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.
+ 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).
+ EPA's Storm water Regulations - 40 CFR 122.26.
Facilities may also be subject to state and local planning requirements.
Determine the status of each required program element. Using the information
collected, you should assess whether each required program element (see section 8.2)
is:
•*• In place and sufficient to meet the requirements of part 68;
•* In place, but not sufficient to meet the requirements of Part 68; or
*• Not in place.
This examination will shape the nature of your efforts to complete the emergency
response program required under the risk management program. For example, if you
are already in compliance with OSHA's HAZWOPER Standard, you have probably
satisfied most, if not all, of the requirements for an emergency response program.
Section 8.6 explains the intent of each of EPA's requirements to help you determine
whether you are already in compliance.
Take additional actions as necessary.
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Chapter 8
Emergency Response Program 8-8
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:
+ Identify and characterize the hazards for each covered process. The process
hazards analysis (see Chapter 7) or hazard review (see Chapter 6), and offsite
consequence analysis (see Chapter 4) should provide this information.
^ 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.
8.4 INTEGRATION OF EXISTING PROGRAMS
A number of other federal statutes and regulations require emergency response
planning (see Exhibit 8-2). On June 5, 1996, the National Response Team (NRT), a
multi-agency group chaired by EPA, published the Integrated Contingency Plan
Guidance in the Federal Register (61 FR 28642). This guidance is intended to be used
by facilities to prepare emergency response plans for responding to releases of oil and
hazardous substances. The guidance provides a mechanism for consolidating multiple
plans that you prepared to comply with various regulations into a single, functional
emergency response plan or integrated contingency plan (ICP).
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Chapter 8
8-9 ^ Emergency Response Program
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 8-3, 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
*• 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
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Chapter 8
Emergency Response Program
8-10
Exhibit 8-3
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
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8-11
Chapter 8
Emergency Response Program
Exhibit 8-3 (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
integration is a feasible and beneficial undertaking (see Exhibit 8-4). 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 8-2.
8.5 HAVE I MET PART 68 REQUIREMENTS?
EPA believes that the creation of multiple response plans to meet slightly different
federal or state standards is counterproductive, diverting resources that could be used
to develop better response capabilities. Therefore, as part of the overall effort to
reduce the imposition of potentially duplicative or redundant federal requirements,
EPA has limited its requirements for the emergency response program to the general
provisions mandated by Congress, as described in Section 8.2.
As a result, EPA believes that facilities subject to other federal emergency planning
requirements may have already met the requirements of these regulations. For
example, plans developed to comply with other EPA contingency planning
requirements and the OSHA HAZWOPER rule (29 CFR 1910.120) will likely meet
the requirements for the emergency response plan (and most of the requirements for
the emergency response program). The following discussion presents some general
guidance on what actions you need to take for each of the required elements.
EMERGENCY RESPONSE PLAN
If you already have a written plan to comply with another planning regulation, you do
not need to write another plan, but only add to it as necessary to cover the elements
listed below.
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Chapter 8
Emergency Response Program
8-12
Exhibit 8-4
Sample Integration Effort
Written site evacuation procedures are required by several emergency planning regulations.
In keeping with the spirit of the ICP Guidance, rather than preparing multiple sets of
evacuation procedures (and possibly introducing dangerous errors as components are revised
and updated), you may want to compile a single set of procedures that includes the specific
elements mandated by all of the regulations. For example, If you have one or more adjacent
operating areas that evacuate to the same location(s), this approach will be very effective. On
the other hand, if you have widely separated operating areas with different evacuation routes
and assembly points, integration will be less useful.
Area
Shipping Room
Control Room
Tank Farm
Signal
Horn
Horn
Radio
Escape Route
Blue
Green
Red
Assembly Point
Front Gate
Parking Lot
Side Gate
Supervisor
Shipping Supervisor
Lead Operator
Inspector
Keep in mind: At a minimum, your plan must describe:
4- Your procedures for informing the public and offsite emergency response
agencies of a release. This must include the groups and individuals that will
be contacted and why, the means by which they will be contacted, the time
frame for notification, and the information that will be provided.
•*• The proper first aid and emergency medical treatment for employees, first
responders, and members of the public who may have been exposed to a
release of a regulated substance. This must include standard safety
precautions for victims (e.g., apply water to exposed skin immediately) as
well as more detailed information for medical professionals. You must also
indicate who is likely to be responsible for providing the appropriate
treatment: an employee, an employee with specialized training, or a medical
professional.
•*• Your procedures for emergency response in the event of a release of a
regulated substance. This must include descriptions of the actions to be taken
by employees and other individuals on-site over the entire course of the
release event:
Activation of alarm systems and interpretation of signals;
Safe evacuation, assembly, and return;
Selection of response strategies and incident command structure;
Use of response equipment and other release mitigation activities; and
Post-release equipment and personnel cleanup and decontamination.
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8-13
Chapter 8
Emergency Response Program
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.
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;
•* How you will request offsite response assistance; and
+ Who will be in charge of the response operation and how will authority be
delegated down the internal and offsite chain of command.
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 8.6.
EMERGENCY EQUIPMENT
If you already have written procedures for using and maintaining your emergency
response equipment, you do not need to write new procedures.
Keep in-mind: Your procedures must apply to any emergency equipment relevant to a
response involving a covered process, including all detection and monitoring
equipment, alarms and communications systems, and personal protective equipment
not used as part of normal operations (and thus not subject to the prevention program
requirements related to operating procedures and maintenance). The procedures must
describe:
+ How and when to use the equipment properly;
+ . How and when the equipment should receive routine maintenance; and
*• How and when the equipment should be inspected and tested for readiness.
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Emergency Response Program 8-14
Written procedures comparable to those necessary for process-related equipment
under the OSHA PSM Standard and EPA's Program 2 and 3 Prevention Programs will
be considered sufficient to meet this requirement.
EMPLOYEE TRAINING
If you already train your employees in how to respond to (or evacuate from) releases
of regulated substances, then you do not need a new training program.
Keep in mind: Your training must address the actions to take in response to releases
of regulated substances from all covered processes. The training should be based
directly on the procedures that you have included in your emergency response plan
and must be given to all employees and contractors on site. Individuals should receive
training appropriate to their responsibilities:
+ If they will only need to evacuate, then their training should cover when and
how to evacuate their location.
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.
• •*• If they will serve on an emergency response team, then their training should
cover how to use emergency equipment and how the incident command
system works.
Emergency response training conducted in compliance with the OSHA HAZWOPER
Standard and 29 CFR 1910.38 will be considered sufficient to meet this requirement.
RESPONSE PLAN EVALUATION
If you already have a formal practice for regular review and updates of your plan
based on changes at the facility, you do not need to develop additional procedures.
Keep in mind: You must also identify the types of changes to the facility that would
cause the plan to be updated (e.g., a new covered process) and include a method of
communicating any changes to the plan to your employees (e.g., through training).
You may want to set up a regular schedule on which you review your entire
emergency response plan and identify any special conditions (e.g., a drill or exercise)
that could result in an interim review.
8.6 COORDINATION WITH LOCAL EMERGENCY PLANNING ENTITIES (§ 68.95(c))
Once you determine that you have at least one covered process, you should open
communications with local emergency planning and response officials, including your
local emergency planning committee if one exists. Because your LEPC consists of
representatives from many local emergency planning and response agencies, it is
likely to be the best source of information on the critical emergency response issues in
your community. However, in some cases, there may not be an active LEPC in your
community. If so, or if your state has not designated your community as an
emergency planning district under EPCRA, you will likely need to contact local
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8-15 Emergency Response Program
agencies individually to determine which entities (e.g., fire department, emergency
management agency, police department, civil defense office, public health agency)
have jurisdiction for your facility.
KEY COORDINATION ISSUES
If you have any of the toxic regulated substances above the threshold quantity, you
should have already designated an emergency coordinator to work with the LEPC on
chemical emergency preparedness issues (a requirement for certain facilities regulated
under EPCRA). If you have not (or if your facility has only regulated flammable
substances), you may want to do so at this time. The emergency coordinator should
be the individual most familiar with your emergency response program (e.g., the
person designated as having overall responsibility for this program in your
management system — see Chapter 5).
Involvement in the activities of your LEPC can have a dramatically positive effect on
your emergency response program, as well as on your relationship with the
surrounding community. Your LEPC can provide technical assistance and guidance
on a number of topics, such as conducting response training and exercises, developing
mutual aid agreements, and evaluating public alert systems. The coordination process
will help both the community and the facility prepare for an emergency, reducing
expenditures of time and money, as well as helping eliminate redundant efforts.
You should consider providing the LEPC with draft versions of any emergency
response program elements related to local emergency planning efforts. This
submission can initiate a dialogue with the community on potential program
improvements and lead to coordinated training and exercise efforts. In return, your
LEPC can support your emergency response program by providing information from
its own emergency planning efforts, including:
*• 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.
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Upon completion of your emergency response plan, you should coordinate with the
LEPC, local response organizations, local hospitals, and other response organizations
(e.g., state hazmat team) and offer them a copy of the plan. In some instances, only a
portion of the plan may be of use to individuals or organizations; in such cases, you
should consider making only that portion of the plan available. For instance, it may be
appropriate to send a hospital only the sections of your plan that address emergency
medical procedures and decontamination.
You may also want to provide your LEPC and local response entities with a
description of your emergency response program elements, as well as any important
subsequent amendments or updates, to ensure that the community is aware of the
scope of your facility response efforts prior to an emergency. Although the summary
of your emergency response program will be publicly available as part of your RMP,
this information may not be as up-to-date or as comprehensive. Remember, the LEPC
has been given the authority under EPCRA and Clean Air Act regulations to request
any information necessary for preparing the community response plan.
Planning for Flammable Substances
In the case of regulated flammable substances, the fire department with jurisdiction over your facility
may already be conducting fire prevention inspections and pre-planning activities under its own
authority. Your participation in these efforts (as requested) will allow local responders to gather the
information they need and prepare for an emergency. If there is no local fire department, or if there is
only a volunteer fire department in your area, you may need to contact other local response or planning
officials (e.g., police) to determine how you can work with the community.
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CHAPTER 9: RISK MANAGEMENT PLAN (PART 68, SUBPART G)
You must submit one risk management plan (RMP) to EPA for all of your covered
processes (§ 68.150). EPA 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:
+ June 21, 1999;
•* The date on which a regulated substance is first present above a threshold
quantity in a process; or
+ 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, will
be available in January 1999.
9.1 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 (§ 68.160);
•* The certification statement (§ 68.185);
•* 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:
+ At least one alternative release scenario for each regulated toxic substance in
Program 2 or 3 processes and at least one alternative release scenario to cover
all regulated flammables in Program 2 or 3 processes (§ 68.165(b));
•* A summary of the prevention program for each Program 2 process (§ 68.170);
and
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•*• A summary of the prevention program for each Program 3 process (§ 68.
175).
Subpart G of part 68 (see Appendix A) provides more detail on the data required for
each of the elements. The actual RMP form, however, will contain more detailed
guidance to make it possible to limit the number of text entries. For example, the rule
requires you to report on the major hazards identified during a PHA or hazard review
and on public receptors affected by worst-case and alternative case scenarios. The
RMP will provide a list of options for you to check for these elements. Except for the
executive summary, the RMP will consist primarily of yes/no answers, numerical
information (e.g., dates, quantities, distances), and a few text answers (e.g., names,
addresses, chemical identity). Where possible, RMP*Submit™ will provide "pick
lists" to help you complete the form. For example, RMP*Submit™ will provide a list
of regulated substances and automatically fill in the CAS numbers when you select a
substance.
EPA will provide instructions for each of the data elements to be reported in the RMP
with RMP*Submit™. The instructions will explain each data element and help you
understand what acceptable data are for each. The instructions will be made available
with the software and will be posted on EPA's web site.
9.2 RMP SUBMISSION
ELECTRONIC SUBMISSION
By January 1999, EPA will make RMP*Submit™ available to complete and file your
RMP. RMP*Submit™ will do the following:
+ Provide a user-friendly, PC-based RMP Submission System available on
diskettes and via the Internet;
•*• Use a standards-based, open systems architecture so private companies can
create compatible software; and
•* Perform data quality checks, accept limited graphics, and provide on-line help
including defining data elements and providing instructions.
The software will run on Windows 3.1 and above. There will not be a DOS or MAC
version.
Further details on this system will be made available as the system is completed.
RMPs will be submitted to an EPA RMP Record Center on disk.
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.
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9-3 Risk Management Plan
9.3 ISSUES PERTAINING TO SUBMISSIONS OF AND ACCESS TO CLASSIFIED
CONFIDENTIAL BUSINESS INFORMATION (CBI), AND TRADE SECRETS
WHAT SHOULD I Do ABOUT CLASSIFIED INFORMATION?
Only Federal agencies and their contractors at Federal facilities may make claims of
classified information. If you have such a claim, EPA urges you not to submit the
information you can claim as classified as part of your RMP. If any classified
information is critical to the clarity and completeness of any part of the RMP, you
should submit that information separately, on paper, in an annex to the RMP. Any
annex marked as classified will be reviewed only by Federal and state representatives
who have received security clearances and are thereby authorized to review such
information.
WHAT SHOULD I DO ABOUT CONFIDENTIAL BUSINESS INFORMATION (CBI)?
Under CAA section 114(c) and 40 CFR part 2, you may claim information included in
your RMP as CBI. To qualify for CBI protection, you must be able to show that the
information meets the substantive criteria set forth in 40 CFR 2.301. These criteria
generally require that the data be commercial or financial, that they not be available to
the public through other means, that you take appropriate steps to prevent disclosure,
and that disclosure of the data would be likely to cause substantial harm to your
competitive position. Review of any CBI claims will be handled as provided for in 40
CFR part 2. However, EPA has proposed to find that certain RMP data elements are
not claimable as CBI because they do not convey any business-sensitive information.
EPA has also proposed specific procedures for submission of CBI claims for RMPs.
The Agency will update this guidance when EPA issues a final rule addressing these
issues.
9.4 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 9-1 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.
CAN I FILE PREDICTIVELY?
Predictive filing is an option that allows you to submit an RMP that includes regulated
substances that may not be held at the facility at the time of submission. This option
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9-4
EXHIBIT 9-1
RMP UPDATES
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
is intended to assist facilities such as chemical warehouses, chemical distributors, and
batch processors whose operations involve highly variable types and quantities of
regulated substances, but who are able to forecast their inventory with some degree of
accuracy. Under § 68.190, you are required to update and re-submit your RMP no
later than the date on which a new regulated substance is first present in a covered
process above a threshold quantity. By using predictive filing, you will not be
required to update and re-submit your RMP when you receive a new regulated
substance if that substance was included in your latest RMP submission (as long as
you receive it in a quantity that does not trigger a revised offsite consequence analysis
as provided in § 68.36).
If you use predictive filing, you must implement your Risk Management Program and
prepare your RMP exactly as you would if you actually held all of the substances
included in the RMP. This means that you must meet all rule requirements for each
regulated substance for which you file, whether or not that substance is actually held
on site at the time you submit your RMP. Depending on the substances for which you
file, this may require you to perform additional worst-case and alternative-case
scenarios and to implement additional prevention program elements. If you use this
option, you must still update and resubmit your RMP if you receive a regulated
substance that was not included in your latest RMP. You must also continue to
comply with the other update requirements stated in § 68.190.
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9-5 Risk Management Plan
How Do I DE-REGISTER?
If your facility is no longer covered by this rule, you must submit a letter to the RMP
Record Center within six months indicating that your stationary source is no longer
covered.
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.
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CHAPTER 10: IMPLEMENTATION
10.1 IMPLEMENTING AGENCY
The implementing agency is the federal, state, or local agency that is taking the lead
for implementation and enforcement of part 68. The implementing agency will review
RMPs, select some RMPs for audits, and conduct on-site inspections. The
implementing agency should be your primary contact for information and assistance.
WHO Is MY IMPLEMENTING AGENCY?
Under the CAA, EPA will serve as the implementing agency until a state or local
agency seeks and is granted delegation under CAA section 112(1) and 40 CFR part 63,
subpart E. You should check with the EPA Regional Office to determine if your state
has been granted delegation or is in the process of seeking delegation. The Regional
Office will be able to provide contact names at the state or local level. See Appendix
C 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 also plans to propose, in revisions to part 63, that authority.to
revise Subpart G (relating to RMPs) will not be delegated. With respect to RMPs, you
would continue to be required to file your part 68 RMP, in the form and manner
specified by EPA, to the central location EPA designates. You should check with
your state to determine whether you need to file additional data for state use or submit
amended copies of the RMP with the state to cover state elements or substances.
If your state has been granted delegation, it is important that you contact them to
determine if the state has requirements in addition to those in part 68. State rules
may be more stringent than part 68. This document does not cover state
requirements.
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QS&AS
DELEGATION
Q. What states have been granted delegation or are in the process of seeking delegation?
A. Georgia has been granted delegation. The following states have indicated that they are interested
in delegation:
California Delaware Florida Hawaii Louisiana Mississippi
Missouri New Jersey Nevada North Carolina Ohio Rhode Island
South Carolina
Check with your EPA Regional contacts (see Appendix C) for a current list of states granted or seeking
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.
10.2 REVIEWS/AUDITS/INSPECTIONS (§ 68.220)
The implementing agency is required under part 68 to review and conduct audits of
RMPs. Reviews are relatively quick checks of the RMPs to determine whether they
are complete and whether they contain any information that is clearly problematic.
For example, if an RMP for a process containing flammables fails to list fire and
explosion as a hazard in the prevention program, the implementing agency may flag
that as a problem. The RMP data system will perform some of the reviews
automatically by flagging RMPs submitted without necessary data elements
completed.
Facilities may be selected for audits based on any of the following criteria, set out in
§68.220:
+ Accident history of the facility
+ Accident history of other facilities in the same industry
•*• Quantity of regulated substances handled at the site
*• Location of the facility and its proximity to public and environmental
receptors
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•* The presence of specific regulated substances
+ The hazards identified in the RMP
+ 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 to
ensure compliance with part 68. Audits will help identify whether the underlying risk
management program is being implemented properly. The implementing agency will
look for any inconsistencies in the dates reported for compliance with prevention
program elements. For example, if you report that the date of your last revision of
operating procedures was in June 1998 but your training program was last reviewed or
revised in December 1994, the implementing agency will ask why the training
program was not reviewed to reflect new operating procedures.
The agency will also look at other items that may indicate problems with
implementation. For example, if you are reporting on a distillation column at a
refinery, but used a checklist as your PHA technique, or you fail to list an appropriate
set of process hazards for the process chemicals, the agency may seek further
explanations as to why you reported in the way you did. The implementing agency
may compare your data with that of other facilities in the same industrial sector using
the same chemicals to identify differences that may indicate compliance problems.
If audits indicate potential problems, they may lead to requests for more information
or to on-site inspections. If the implementing agency determines that problems exist,
it will issue a preliminary determination listing the necessary revisions to the RMP, an
explanation of the reasons for the revisions, and a timetable. Section 68.220 provides
details of the administrative procedures for responding to a preliminary determination.
The number of audits conducted will vary from state to state and from year to year.
Neither the CAA nor part 68 sets a number or percentage of facilities that must be
audited during a year. Implementing agencies will set their own goals, based on their
resources and particular concerns.
WHAT ARE INSPECTIONS?
Inspections are site visits to check on the accuracy of the RMP data and on the
implementation of all part 68 elements. During inspections, the implementing agency
will probably review the documentation for rule elements, such as the PHA reports,
operating procedures, maintenance schedules, process safety information, and
training. Unlike audits, which focus on the RMP but may lead to determinations
concerning needed improvements to the risk management program, inspections will
focus on the underlying risk management program itself.
Implementing agencies will determine how many inspections they need to conduct.
Audits may lead to inspections or inspections may be done separately. Depending on
the focus of the inspection (all covered processes, a single process, or particular part
of the risk management program) and the size of the facility, inspections may take
several hours to several weeks.
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10.3 RELATIONSHIP WITH TITLE V PERMIT PROGRAMS
Part 68 is an applicable requirement under the CAA Title V permit program and must
be listed in a Title V air permit. You do not need a Title V air permit solely because
you are subject to part 68. If you are required to apply for a Title V permit because
you are subject to requirements under some other part of the CAA, you must:
+ List part 68 as an applicable requirement in your permit
+ Include conditions that require you to either submit a compliance schedule for
meeting the requirements of part 68 by the applicable deadlines or include
compliance with part 68 as part of your certification statement.
You must also provide the permitting agency with any other relevant information it
requests.
The RMP and supporting documentation are not part of the permit and should not be
submitted to the permitting authority. The permitting authority is only required to
ensure that you have submitted the RMP and that it is complete. The permitting
authority may delegate this review of the RMP to other agencies.
If you have a Title V permit and it does not address the part 68 requirement, you
should contact your permitting authority and determine whether your permit needs to
be amended to reflect part 68.
10.4 PENALTIES FOR NON-COMPLIANCE
Penalties for violating the requirements or prohibitions of part 68 are set forth in CAA
section 113. This section provides for both civil and criminal penalties. EPA may,
assess civil penalties of not more than $27,500 per day per violation. Any one
convicted of knowingly violating part 68 may also be punished by a fine pursuant to
Title 18 of the U.S. Code or by imprisonment for no more than five years, or both;
anyone convicted of knowingly filing false information may be punished by a fine
pursuant to Title 18 or by imprisonment for no more than two years.
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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.
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CHAPTER 11: COMMUNICATION WITH THE PUBLIC
Once you have prepared and submitted your RMP, EPA will make it available to the
public. Public availability of the RMP is a requirement under section 114(c) of the
Clean Air Act (the Act provides for protection of trade secrets, and EPA will
accordingly protect any portion of the RMP that contains Confidential Business
Information). Therefore, you can expect that your community will discuss the hazards
and risks associated with your facility as indicated in your RMP. You will necessarily
be part of such discussions, the public and the press are likely to ask you questions
because only you can provide specific answers about your facility and your accident
prevention program. This dialogue is a most important step in preventing chemical
accidents and should be encouraged. You should respond to these questions honestly
and candidly. Refusing to answer, reacting defensively, or attacking the regulation as
unnecessary are likely to make people suspicious and willing to assume the worst. A
basic fact of risk communication is that trust, once lost, is very hard to regain. As a
result, you should prepare as early as possible to begin talking about these issues with
the community, Local Emergency Planning Committees (LEPCs), State Emergency
Response Commissions (SERCs), other local and state officials, and other interested
parties.
Communication with the public can be an opportunity to develop your relationship
with the community and build a level of trust among you, your neighbors, and the
community at large. By complying with the RMP rule, you are taking a number of
steps to prevent accidents and protect the community. These steps are the individual
elements of your risk management program. A well-designed and properly
implemented risk management program will set the stage for informative and
productive dialogue between you and your community. The purpose of this chapter is
to suggest how this dialogue may occur. In addition, note that some industries have
developed guidance and other materials to assist in this process; contact your trade
association for more information.
11.1 BASIC RULES OF RISK COMMUNICATION
Risk communication means establishing and maintaining a dialogue with the public
about the hazards at your operation and discussing the steps that have been or can be
taken to reduce the risk posed by these hazards. Of particular concern under this rule
are the hazards related to the chemicals you use and what would happen if you had an
accidental release.
Many companies, government agencies, and other entities have confronted the same
issue you may face: how to discuss with the public the risks the community is subject
to. Exhibit 11-1 outlines seven "rules" of risk communication that have been
developed based on many experiences of dealing with the public about risks.
A key message of these "rules" is the importance and legitimacy of public concerns.
People generally are less tolerant of risks they cannot control than those they can. For
example, most people are willing to accept the risks of driving because they have
some control over what happens to them. However, they are generally more
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
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_
in their community.
Exhibit 11-1: Seven Cardinal Rules of Risk Communication
1. Accept and involve the public as a legitimate partner
2. Plan carefully and evaluate your efforts
3. Listen to the public's specific concerns
4. Be honest, frank, and open
5. Coordinate and collaborate with other credible sources
6. Meet the needs of the media
7. Speak clearly and with compassion
HAZARDS VERSUS RISKS
Dialogue in the community will be concerned with both hazards and risks; it is useful
to be clear about the difference between them.
Hazards are inherent properties that cannot be changed. Chlorine is toxic when
inhaled or ingested; propane is flammable. There is little that you can do with these
chemicals to change their toxicity or flammability. If you are in an earthquake zone or
an area affected by hurricanes, earthquakes and hurricanes are hazards. When you
conduct your hazard review or process hazards analysis, you will be identifying your
hazards and determining whether the potential exposure to the hazard can be reduced
in any way (e.g., by limiting the quantity of chlorine stored on-site).
Risk is usually evaluated based on several variables, including the likelihood of a
release occurring, the inherent hazards of the chemicals combined with the quantity
released, and the potential impact of the release on the public and the environment.
For example, if a release during loading occurs frequently, but the quantity of
chemical released is typically small and does not generally migrate offsite, the overall
risk to the public is low. If the likelihood of a catastrophic release occurring is
extremely low, but the number of people who could be affected if it occurred is large,
the overall risk may still be low because of the low probability that a release will
occur. On the other hand, if a release occurs relatively frequently and a large number
of people could be affected, the overall risk to the public is high.
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
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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 parties
will know that you retain additional information at your facility (e.g., documentation
of the results of the offsite consequence analysis reported in your RMP) and are
required to make it available to EPA or its implementing agency during inspections or
compliance audits. Therefore, they may request such information. EPA encourages
you to provide public access to this information. If EPA or its implementing agency
were to request this information, it would be available to the public under section
114(c)oftheCAA. ,
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The public may also be interested in other information relevant to risk management at
your facility, such as:
* Submissions under sections 302, 304, 311 -312, and 313 of the Emergency
Planning and Community Right to Know Act (EPCRA) reporting on chemical
storage and releases, as well as the community emergency response plan
prepared under EPCRA section 303
•* Other reports on hazardous materials made, used, generated, stored, spilled,
released and transported, that you submitted to federal, 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
+ 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)
4- 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, for
example
11.2 SAMPLE QUESTIONS FOR COMMUNICATING WITH THE PUBLIC
Smaller businesses may not have the resources or time to develop the types of
outreach programs, described later in this chapter, that many larger chemical
companies have used to handle public questions and community relations. For many
small businesses, communication with the public will usually occur when you are
asked questions about information in your RMP. It is important that you respond to
these questions constructively. Go beyond just answering questions; discuss what you
have done to prevent accidents and work with the community to reduce risks. The
people in your community will be looking to you to provide answers.
To help you establish a productive dialogue with the community, the rest of this
section presents questions you are likely to be asked and a framework for answering
them. These are elements of the public dialogue that you may anticipate. The person
from your facility designated as responsible for communicating with the public should
review the following and talk to other community organizations to determine which
questions are most likely to be raised and identify other foreseeable issues. Remember
that others in the community, notably LEPCs and other emergency management
organizations are also likely to be asked these and other similar questions. You should
consider the unique features of your facility, your RMP, and your historical
relationship with the community (e.g., prior accidents, breakdowns in the coordination
of emergency response efforts, and management-labor disputes), and work together
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with these other organizations to answer these questions for your situation and to
resolve the issues associated with them.
What does your worst-case release distance mean?
The distance is intended to provide an estimate of the maximum possible area that might be affected
under catastrophic conditions. It is intended to ensure that no potential risks to public health are
overlooked, but the distance to an endpoint estimated under worst-case conditions should not be
considered a "public danger zone."
In most cases, the mathematical models used to analyze the worst-case release scenario as defined in
the rule may overestimate the area that would be impacted by a release. In other cases, the models
may underestimate the area. For distances greater than approximately six miles, the results of toxic
gas dispersion models are especially uncertain, and you should be prepared to discuss such
possibilities in an open, honest manner.
Reasons that modeling may underestimate the distance generally relate to the inability of some
models to account for site-specific factors that might tend to increase the actual endpoint distance.
For example, assume a facility is located in a river valley and handles dense toxic gases such as
chlorine. If a release were to occur, the river valley could channel the toxic cloud much farther than it
might travel if it were to disperse in a location with generally flat terrain. In such cases, the actual
endpoint distance might be longer than that predicted using generic lookup tables.
Reasons that the area may be overestimated include:
• 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.
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11-6
What does it mean that we could be exposed if we live/work/shop/go to school
X miles away?
(For an accident involving a flammable substance):
The distance means that people who are in that area around the facility could be hurt if the contents of
a tank or other vessel exploded. The blast of the explosion could shatter windows and damage
buildings. Injuries would be the result of the force of the explosion and of flying glass or falling
debris.
(For an accident involving a toxic substance):
The distance is based on a concentration of the chemical that you could be exposed to for an hour
without suffering irreversible health effects or other symptoms that would make it difficult for you to
escape. If you are within that distance, you could be exposed to a greater concentration of the
chemical. If you were exposed to higher levels for an extended period of time (10 minutes, 30
minutes, or longer), you could be seriously hurt. However, that does not mean that you would be.
Remember, for worst case scenarios, the rule requires you to make certain conservative assumptions
with respect to, for example, wind speed and atmospheric stability. If the wind speed is higher than
that used in the modeling, or if the atmosphere is more unstable, a chemical release would be
dispersed more quickly, and the distances would be much smaller and the exposure times would be
shorter. If the question pertains to an alternative release scenario, you probably assumed typical
weather conditions in the modeling. Therefore, the actual impact distance could be shorter or longer,
and you should be prepared to acknowledge this and clearly explain how you chose the conditions for
your release scenario.
In general, the possibility of harm depends on the concentration of the chemical you are exposed to
and the length of time you are exposed.
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IF THERE IS AN ACCIDENT, WILL EVERYONE WITHIN THAT DISTANCE BE HURT? WHAT
ABOUT PROPERTY DAMAGE?
In general, no. For an explosion, everyone within the circle would certainly feel the blast wave since
it would move in all directions at once. However, while some people within the circle could be hurt, it
is unlikely that everyone would be since some people would probably be in less vulnerable locations.
Most injuries would probably be due to the effects of flying glass, falling debris, or impact with
nearby objects.
Two types of chemicals may be modeled - toxics and flammables. Releases of flammables do not
usually lead to explosions; released flammables are more likely to disperse without igniting. If the
released flammable does ignite, a fire is more likely than an explosion, and fires are usually
concentrated at the facility.
For toxic chemicals, whether someone is hurt by a release depends on many factors. First, the released
chemicals would usually move in the direction of the wind (except for some dense gases, which may
be constrained by terrain features to flow in a different direction). Generally, only people downwind
from the facility would be at risk of exposure if .a release occurred, and this is normally only a part of
the population inside the circle. If the wind speed is moderate, the chemicals would disperse quickly;
and people would be exposed to lower levels of the chemical. If the release is stopped quickly, they
might be exposed for a very short period time, which is less likely to cause injury. However, if the
wind speed is low or the release continues for a long time, exposure levels will be higher and more
dangerous. The population at risk would be a larger proportion of the total population inside the
circle. You should be prepared to discuss both possibilities.
Generally, it is the people who are closest to the facility — within a half mile or less — who would
face the greatest danger if an accident occurred. ,
Damage to property and the environment will depend on the type of chemical released. In an
explosion, environmental impacts and property damage may extend beyond the distance at which
injuries could occur. For a vapor release, environmental effects and property damage may occur as a
result of the reactivity or corrosivity of the chemical or toxic contamination.
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11-8
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.
WHY DO YOU NEED TO STORE SO MUCH ON-SITE?
If you have not previously considered the feasibility of reducing the quantity, you should do so when
you develop your risk management program. Many companies have cited public safety concerns as a
reason for reducing the quantities of hazardous chemicals stored on-site or for switching to non-
hazardous substitutes. If you have evaluated your process and determined that you need a certain
volume to maintain your operations, you should explain this fact to the public in a forthright manner.
As appropriate, you should also discuss any alternatives, such as reducing storage quantities and
scheduling more frequent deliveries. Perhaps these options are feasible - if so, you should consider
implementing them; if not, explain why you consider these alternatives to be unacceptable. For
example, in some situations, more frequent deliveries would mean more trucks carrying the substance
through the community on a regular basis and a greater opportunity for smaller-scale releases because
of more frequent loading and unloading.
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Communication with the Public
WHA TARE YOU DOING TO PREVENT RELEASES?
If you have rigorously implemented your risk management program, this question will be your chance,
if you have not already done so, to tell the community about your prevention activities, the safe design
features of your operations, the specific activities that you are performing such as training, operating
procedures, maintenance, etc., and any industry codes or standards you use to operate safely. If you
have installed new equipment or safety systems, upgraded training, or had outside experts review your
site for safety (e.g., insurance inspectors), you could offer to share the results. You may also want to
mention state or federal rules you comply with.
WHAT ARE You DOING To PREPARE FOR RELEASES?
For such questions, you will need to talk about any coordination that you have done with the local fire
department, LEPC, or mutual aid groups. Such coordination may include activities such as defining
an incident command structure, developing notification protocols, conducting response training and
exercises, developing mutual aid agreements, and evaluating public alert systems. This description is
particularly important if your employees are not designated or trained to respond, to releases of
regulated substances.
If your employees will be involved in a response, you should describe your emergency response plan
and the emergency response resources available at the facility (e.g., equipment, personnel), as well as
through response contractors, if appropriate. You also may want to indicate the types of events for
which such resources are applicable. Finally, indicate your schedule for internal emergency response
training and drills and exercises and discuss the results of the latest relevant drill or exercise, including
problems found and actions taken to address them.
DO YOU NEED TO USE THIS CHEMICAL ?
Again, if you have not yet considered the feasibility of switching to a non-hazardous substitute, you
should do so when you develop your risk management program. Assuming that there is no substitute,
you should describe why the chemical is critical to what you produce and explain what you do to
handle it safely. If there are substitutes available, you should describe how you have evaluated such
options.
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11-10
WHY ARE YOUR DISTANCES DIFFERENT FROM THE DISTANCES IN THE EPA LOOKUP TABLES?
If you did your own modeling, this question may come up. You should be ready to explain in a
general way how your model works and why it produces different results. EPA allows using other
models (as long as certain parameters and conditions specified by the rule are met) because it realizes
that EPA lookup table results will not necessarily reflect all site-specific conditions.
In addition, although all models are generally based on the same physical principles, dispersion
modeling is not an exact science due to the limited opportunity for real-world validation of the results.
Thus, the method by which different models combine the basic factors such as wind speed and
atmospheric stability can result in distances that readily vary by a factor of two (e.g., five miles versus
ten miles). The introduction of site-specific factors can produce additional differences.
EPA recognizes that different models will produce differing predictions of the distance to an endpoint,
especially for releases of toxic substances. The Agency has provided a discussion of the uncertainties
associated with the model it has adopted for the OCA Guidance. You need to understand that the
distances produced by another model lie within a band of uncertainty and be able to demonstrate and
communicate this fact to those who are reviewing your results.
HOW LIKELY ARE THE WORST-CASE AND ALTERNATIVE RELEASE SCENARIOS?
It is generally not possible to provide accurate numerical estimates of how likely these scenarios are.
EPA has stated that providing such numbers for accident scenarios rarely is feasible because the data
needed (e.g., on rates for equipment failure and human error) are not usually available. Even when
data are available, there are large uncertainties in applying the data because each facility's situation is
unique.
In general, the risk of the worst-case scenario is low. Although catastrophic vessel failures have
occurred, they are rare events. Combining them with worst-case weather conditions makes the overall
scenario even less likely. This does not mean that such events cannot or will not happen, however.
For the alternative scenario, the likelihood of the release is greater and will depend, in part, on the
scenario you chose. If you selected a scenario based on your accident history or industry accident
history, you should explain this to the public. You should also discuss any steps you are taking to
prevent such an accident from recurring.
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11-11 Communication with the Public
IS THE WORST-CASE RELEASE YOU REPORTED REALLY THE WORST ACCIDENT YOU CAN HAVE?
The answer to this question will depend on the type of facility you have and how you handle
chemicals. EPA defined a specific scenario (failure of the single largest vessel) to provide a common
basis of comparison among facilities nationwide. So, if you have only one vessel, EPA's worst case is
likely to be the worst event you could have.
On the other hand, if you have a process which involves-multiple co-located or interconnected vessels,
it is possible that you could have an accident more severe than EPA's worst case scenario. If credible'
scenarios exist that could be more serious (in terms of quantities released or consequences) than the
EPA worst case scenario, you should be ready to discuss them. For example, if you store chemicals in
small containers such as 55-gallon drums, the EPA-defmed worst-case release scenario may involve a
limited quantity, but a fire or explosion at the facility could release larger quantities if multiple
containers are involved. In this case, you should be ready to frankly discuss such a scenario with the
public. If you take precautions to prevent such scenarios from occurring, you should explain these
precautions also. If an accidental release is more likely to involve multiple drums than a single drum
as a result, for example, of the drums being stored closely together, then you must select such a
scenario as your alternative release scenario so that information on this scenario is available in your
RMP.
Chemical manufacturers may want to talk about releases that could result from runaway reactions that
could continue for several hours. This type of event could result in longer exposure times.
WHAT ABOUT THE ACCIDENT AT THE [NAME OF SIMILAR FACILITY] THA T 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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11-12
WHAT ACTIONS HA VE YOU TAKEN TO INVOL VE 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,
SERC, and regional mutual aid organizations if you aren't doing so already. Other opportunities for
community involvement are fire safety coordination activities with the local fire department, joint
training and exercises with local public and private sector response personnel, the establishment of
green fields between the facility and the community, and similar efforts.
When discussing accident prevention and emergency planning with the community, you should
indicate any national programs in which you participate, such as the Chemical Manufacturers
Association's Responsible Care program or Community Awareness and Emergency Response
program or OSHA's Voluntary Protection Program. If fully implemented, these programs can help
improve the safety of the facility and the community. You may have future plans to participate in
areas described previously or have new initiatives associated with the risk management program. Be
sure you ask what else the community would like you to do and explain how you will do it.
CAN WE SEE THE DOCUMENTATION YOU KEEP ON SITE?
If the requested information is not confidential business information, EPA encourages you to make it
available to the public. Although you are not required to provide this information to the public,
refusing to provide it simply because you are not compelled to is not the best approach. If you decide
not to provide any or most of this material, you should have good reasons for not doing so and be
prepared to explain these reasons to the public. Simply taking a defensive position or referring to the
extent of your legal obligations is likely to threaten the effectiveness of your interaction with the
community. Offer as much information as possible to the public; if particular documents would reveal
proprietary information, try to provide a redacted copy, summary, or some other form that answers the
community's concerns. You may want to work with your LEPC on this issue. You should also be
aware that information that EPA or the implementing agency obtains as part of an inspection or
investigation conducted under section 114 of the Clean Air Act would be available to the public under
section 114{c) of the Act to the extent it does not reveal confidential business information.
11.3 COMMUNICATION ACTIVITIES AND TECHNIQUES
Although this section is most applicable to larger companies, small businesses may
want to review it and use some of the ideas to expand their communications with the
public. To prepare for effective communication with the community, you should:
(1) Adopt an organizational policy that includes basic risk communication
principles (see exhibit 11-1)
(2) Assign responsibilities and resources to implement the policy
(3) Plan to use "best communication practices"
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11-13 Communication with the Public
ADOPT AN ORGANIZATIONAL COMMUNICATIONS POLICY
An organizational policy will support communication with the public on your RMP
and make it an integral part of management practices. Otherwise, breakdowns are
likely to occur, which could cause mistrust, hostility and conflicts.
A policy helps to establish communication as a normal organizational function and to
present it as an opportunity rather than a burden or threat. The policy can be
incorporated in an organization's policies, an approach taken by many companies who
belong to the Responsible Care program of the Chemical Manufacturers Association
(CMA). These companies have adopted CMA's Codes of Management Practices,
which contain risk communication principles and practices.
Remember that what you communicate is more important than the type of
communication policy or program you use, and what you actually do to maintain a
safe facility is more important than anything you say. Your company's safety and
prevention steps in your risk management program should serve as the core elements
of any risk communication program.
ASSIGN RESPONSIBILITIES AND RESOURCES
A policy is only a paper promise until it is regularly and effectively implemented.
Thus, you should follow up your communication policy by (1) having top
management participate at the outset and at key points throughout the communication
process, and (2) assigning communication responsibilities within your organization
and providing the necessary resources.
Experience has demonstrated that assigning responsibility to knowledgeable
managers, plant engineers, and staff and encouraging participation by employees,
(most of whom are likely to be community residents) is a good communications
practice. Delegating communication functions to outside technical consultants,
attorneys, and public relations specialists has repeatedly failed to impress the
community and even tends to incur mistrust. (However, if you hired a firm with
acknowledged expertise in dispersion modeling, you may want them on hand to help
respond to technical questions.)
Communications staff will need work time and resources to prepare presentation
materials, hold meetings with interested persons in the community, and do other work
necessary to respond to questions and concerns and maintain ongoing dialogue. A
training program in communication skills and incentives for good performance also
may be advisable.
Organizations have a legitimate interest in preventing disclosure of confidential
business information or statements that inadvertently and unfairly harm the
organization or its employees. Thus, you should assure that your risk communication
staff is instructed on how to deal with situations that pose these problems. This may
mean that you have an internal procedure enabling your staff to bring such situations
to top management and legal counsel for quick resolution, keeping in mind that
unduly defensive or legalistic responses that result in restricting the amount of
information that is provided can damage or destroy the risk communication process.
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Your communication staff may find the following steps helpful in addressing the
priority issues in the communication process:
Prior to RMP Submittal
+ Enlist employee support for, and involvement in, the communication process
+ Build on work you have done with your LEPC, fire department, and local
officials, and gain their insights
+ Incorporate technical expertise, management commitment, and employee
involvement in the risk communication process
+ Use your RMP's executive summary to begin the dialogue with the
community; be sure you have taken all of the steps you present
+ 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
+ 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
+ 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
+ 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
•4- ' Identify "best communication practices" (as described in the next section) and
plan how to use them
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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
•* Commitment to maintaining a dialogue with all sectors of the community, to
learning from this dialogue, and to being prepared to change your practices to
make your facility more safe
+ Commitment to continuous improvement through internal procedures for
evaluating incidents and promoting organizational learning
•*• Knowledge of safety issues and safety management methods
*• Good working relationships with the LEPC, fire department, and other local
officials
*• Active support for the LEPC and related activities
•* Employee support and commitment
•* Continuation of commitment despite potential public hostility or mistrust
Another note: Because each facility and community involves a unique combination of
factors, the practices used to achieve good risk communication in one case do not
necessarily ensure the same quality result when used in another case. Therefore, while
it is advisable for you to review such experience to identify "best communication
practices," you should carefully evaluate such practices to determine if they can be
adapted to fit your unique circumstances. For example, if your facility is in the middle
of an urban area, you probably will use different approaches than you would use if it
were located in an industrial area far from any residential populations. These
practices are complementary approaches to delivering your risk management message
and responding to the concerns of the community.
With these cautions in mind, a number of "best" practices are outlined below for
consideration. First, you will want to establish formal channels for
information-sharing and communication with stakeholders. The most basic
approaches include:
•* Convene public meetings for discussion and dialogue regarding your risk
management program and RMP and take steps to have the facility owner or
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Chapter 11
Communication with the Public 11-16
manager and all sectors of the community participate, including minorities
and low-income residents
+ Arrange meetings with local media representatives to facilitate their
understanding of your risk management program and the program summary
presented in your RMP
4- Establish a repository of information on safety matters for the LEPC and the
public and, if electronic, provide software for public use. Some organizations
also have provided computer terminals for public use in the community
library or fire department
Other, more resource-intensive activities of this type to consider include:
•*• 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)
+ 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
•*• 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:
+ " Arrange facility tours so that members of the public can view operations and
discuss safety procedures with supervisors and employees
•*• 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)
Conduct a "Safety Street" - a community forum generally sponsored by
several industries in a locality, where your representatives present facility
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" Chapter 11
11-17 Communication with the Public
safety information, explain risks, and respond to public questions (see Section
11.4 for a reference to more information on this program)
+ 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
*• Publicly honor and reward managers and employees who have performed
safety responsibilities in superior fashion and citizens who have made
important contributions to the dialogue on safety
If community interest is significant, you may also want to consider the following
activities:
+ Invite public participation in monitoring implementation of your risk
management program elements
+ Invite public participation in auditing your performance in safety
responsibilities, such as chemical handling and tracking procedures and
analysis and follow-up on accidents and near misses
*• Organize a committee comprised of representatives from the facility, other
industry, emergency planning and response organizations, and community
groups and chaired by a community leader to independently evaluate your
safety and communication efforts (e.g., a Community Advisory Panel). You
may also want to finance the committee to pay for an independent engineering
consultant to assist with technical issues and learn what can be done to
improve safety, and thereby share control with the community
Your communication staff should review these examples, consider designing their
own activities as well as joint efforts with other local organizations, and ultimately
decide with the community on which set of practices are feasible and can best create a
healthy risk communication process in your community. Once these decisions are
made, you may want to integrate the chosen set of practices in an overall
communication program for your facility, transform some'into standard procedures,
and monitor and evaluate them for continuous improvement.
OTHER COMMUNICATION OPPORTUNITIES
By complying with the RMP rule and participating in the communications process
with the community, you should have developed a comprehensive system for
preventing, mitigating, and responding to chemical accidents at your facility. Why not
share this knowledge with your staff, others you do business with (e.g., customers,
distributors, contractors), and, perhaps through industry groups, others in your
industry? If you transfer this knowledge to others, you can help improve their
chemical safety management capabilities, enhance public safety beyond your
community, and possibly gain economic benefits for your organization.
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Chapter 11
Communication with the Public 11-18
11.4 FOR MORE INFORMATION
Among the numerous publications on risk communication, the following may be
particularly helpful:
+ Improving Risk Communication, National Academy Press, Washington, D.C.,
1989
+ "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
41 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
4- 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
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Appendix A
40 CFR part 68
-------
-------
§67.43
shall be paid to the State or local
agent.
§67.43 Procedure where a formal
State hearing was held.
(a) In reviewing a penalty calculation
for which a hearing conforming to
§67.11(b)(4) was held, the Administrator
may invite comment on issues identi-
fied by him as relevant to his review
and shall propose or make findings as
to the correctness of the determination
and shall evaluate the accuracy and
adequacy of the material transmitted
pursuant to §67.11(b)(5).
(b) The Administrator shall notify all
participants in the State hearing of his
findings and conclusions. If the Admin-
istrator finds that the State deter-
mination conformed to the require-
ments of the Act. part 66 (as modified
by §67.11). the Technical Support Docu-
ment, and the Instruction Manual, his
determination shall constitute a final
action pursuant to section 120. If the
Administrator finds that the State de-
termination did not conform to the re-
quirements of the Act or of part 66 (as
modified by §67.11) or to the Technical
Support Document or Instruction Man-
ual, the findings shall constitute pro-
posed findings, and the notice shall in-
vite participants to file exceptions to
his proposed findings and, if necessary.
schedule a time for argument.
(c) Within 60 days of receipt of any
briefs or exceptions or after oral argu-
ment, the Administrator shall affirm,
modify, or revoke his proposed findings
that the State or local agent's deter-
mination did not conform to the re-
quirements of the Act or of part 66 (as
modified by §67.11) or the Technical
Support Document or Instruction Man-
ual. The decision shall be in writing.
Notice and a copy of the decision,
which shall constitute final adminis-
trative action by EPA pursuant to sec-
tion 120. shall be provided to the source
owner or operator and to all other par-
ticipants in the State hearing.
(d) If the Administrator finds that
deficiencies in the State or local
agent's hearing record prevent him
from determining whether the State or
local agent's determination conformed
to the requirements of the Act and part
66 (as modified by §67.11) or the Tech-
nical Support Document or Instruction
40 CFR Ch. I (7-1-96 Edition)
Manual, he shall notify the State or
local agent of his decision and specify
what dificiencies exist and schedule a
hearing in accordance with subpart F
of part 66. Such notice shall operate to
withdraw EPA's delegation of author-
ity to the State or local agent over the
facility in question unless the State or
local agent within 15 days schedules a
supplemental hearing to correct the de-
ficiencies.
(e) Unless otherwise provided in the
Administrator's notice to the State or
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.
1212
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Environmental Protection Agency
§68.2
68.28 Alternative release scenario analysis.
68.30 Defining offsite impacts population.
68.33 Defining offsite impacts environment.
68.36 Review and update.
68.39 Documentation.
68.42 Five-year accident history.
Subpart C—Program 2 Prevention Program
68.48 Safely information.
€8.50 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
68.100 Purpose.
68.115 Threshold determination.
68.120 Petition process.
68.125 Exemptions.
68.130 List of substances.
Subpart G—Risk Management Plan
68.150 Submission.
68.155 Executive summary.
68.160 Registration.
68.165 Offsite consequence analysis.
68.168 Five-year accident history.
68.170 Prevention program/Program 2.
68.175 Prevention program/Program 3.
68.180 Emergency response program.
68.185 Certification.
68.190 Updates.
Subpart H—Other Requirements
68.200 Recordkeeping.
68.210 Availability of information to the
public.
68.215 Permit content and air permitting
authority or designated agency require-
ments.
68.220 Audits.
APPENDIX A TO PART 68—TABLE OF Toxic
ENDPOINTS
AUTHORITY: 42 U.S.C. 74i2(r). 760i(a)(i).
7661-7661f.
SOURCE: 59 FR 4493. Jan. 31. 1994. unless
otherwise noted.
Subpart A—General
§68.1 Scope.
This part sets forth the list of regu-
lated substances and thresholds, the
petition process for adding or deleting
substances to the list of regulated sub-
stances, the requirements for owners or
operators of stationary sources con-
cerning 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.
(1) 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 regu-
lated flammable substance:
(i) Gasoline, when in distribution or
related storage for use as fuel for inter-
nal combustion engines;
(ii) Naturally occurring hydrocarbon
mixtures prior to entry into a petro-
leum refining process unit or a natural
gas processing plant. Naturally occur-
ring hydrocarbon mixtures include any
of the following: condensate, crude oil,
field gas, and produced water, each as
defined in paragraph (b) of this section;
(iii) Other mixtures that contain a
regulated flammable substance and
1213
-------
§68.3
that do not have a National Fire Pro-
tection Association flammability haz-
ard rating of 4, the definition of which
is in the NFPA 704, Standard System
for the Identification of the Fire Haz-
ards of Materials, National Fire Pro-
tection Association, Quincy, MA, 1990,
available from the National Fire Pro-
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 follow-
ing: Producing transportation fuels
(such as gasoline, diesel fuels, and jet
fuels), heating fuels (such as kerosene,
fuel gas distillate, and fuel oils), or lu-
bricants; separating petroleum; or sep-
arating, 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.
40 CFR Ch. I (7-1-96 Edition)
sweetening, and treating processes. Pe-
troleum refining process units include
sulfur plants.
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.
[59 FR 4493. Jan. 31. 1994, as amended at 61
FR 31731, June 20. 1996]
§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
1214
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Environmental Protection Agency
§68.3
protection against unauthorized disclo-
sure for reasons of national security."
Covered process means a process that
has a regulated substance present in
more than a threshold quantity as de-
termined under §68.115.
Designated agency means the state,
local, or Federal agency designated by
the state under the provisions of
§68.21S(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.
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
releases or from the direct con-
sequences of a vapor cloud explosion
(such as flying glass, debris, and other
projectiles) from an accidental release
and that requires medical treatment or
hospitalization.
Major change means introduction of a
new process, process equipment, or reg-
ulated substance, an alteration of proc-
ess chemistry that results in any
change to safe operating limits, or
other alteration that introduces a new
hazard.
Mechanical integrity means the proc-
ess of ensuring that process equipment
is fabricated from the proper materials
of construction and is properly in-
stalled, maintained, and replaced to
prevent failures and 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 to minimize exposure of
the public or the environment. Passive
mitigation means equipment, devices,
or technologies that function without
human, mechanical, or other energy
input. Active mitigation means equip-
ment, devices, or technologies that
need human, mechanical, or other en-
ergy input to function.
NFPA means the National Fire Pro-
tection Association.
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.
OSHA means the U.S. Occupational
Safety and Health Administration.
Owner or operator means any person
who owns, leases, operates, controls, or
supervises a stationary source.
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 be involved in a poten-
tial release, shall be considered a sin-
gle process.
Public means any person except em-
ployees or contractors at the station-
ary 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
1215
-------
§68.10
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.
SIC means Standard Industrial Clas-
sification.
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. A stationary source
includes transportation containers
that are no longer under active ship-
ping papers and transportation con-
tainers that are connected to equip-
ment at the stationary source for the
purposes of temporary storage, loading,
or unloading. The term stationary
source does not apply to transpor-
tation, including the storage incident
to transportation, of any regulated
substance or any other extremely haz-
ardous substance under the provisions
of this part, provided that such trans-
portation is regulated under 49 CFR
parts 192, 193, or 195. Properties shall
not be considered contiguous solely be-
- cause of a railroad or gas 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.
40 CFR Ch. I (7-1-96 Edition)
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)
EFFECTIVE DATE NOTE: At 61 FR 31717. June
20. 1996. §68.3 was amended by adding the
definitions for Act, Administrative controls
AIChE/CCPS. API, ASME. Catastrophic release.
Classified information. Covered process. Des-
ignated agency. Environmental receptor. Hot
work. Implementing agency. Injury. Major
change. Mechanical integrity. Medical treat-
ment, Mitigation or mitigation system, NFPA.
Offsite, OSHA, Population. Public. Public re-
ceptor. Replacement in kind. RMP. SIC, Typical
meterological conditions, and Worst-case re-
lease, effective Aug. 19. 1996.
§68.10 Applicability.
(a) An owner or operator of a station-
ary 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
1216
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Environmental Protection Agency
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.
(c) Program 2 eligibility require-
ments. A covered process is subject to
Program 2 requirements if it does not
meet the eligibility requirements of ei-
ther paragraph (b) or paragraph (d) of
this section.
(d) Program 3 eligibility require-
ments. A covered process is subject to
Program 3 if the process does not meet
the requirements of paragraph (b) of
this section, and if either of the follow-
ing conditions is met:
(1) The process is in SIC code 2611,
2812. 2819. 2821. 2865. 2869, 2873, 2879, or
2911; or
(2) The process is subject to the
OSHA process safety management
standard. 29 CFR 1910.119.
(e) If at any time a covered process
no longer meets the eligibility criteria
of its Program level, the owner or oper-
ator shall comply with the require-
ments of the new Program level that
applies to the process and update the
RMP as provided in §68.190.
[61 FR 31717. June 20. 1996]
EFFECTIVE DATE NOTE: At 61 FR 31717. June
20. 1996. §68.10 was added, effective Aug. 19.
1996.
§68.12 General requirements.
(a) General requirements. The owner
or operator of a stationary source sub-
ject to this part shall submit a single
RMP, as provided in §§68.150 to 68.185.
The RMP shall include a registration
that reflects all covered processes.
(b) Program 1 requirements. In addi-
tion to meeting the requirements of
paragraph (a) of this section, the owner
or operator of a stationary source with
a process eligible for Program 1. as pro-
vided in §68.10(b). shall:
(1) Analyze the worst-case release
scenario for the process (es), as provided
in §68.25; document that the nearest
public receptor is beyond the distance
to a toxic or flammable endpoint de- '
fined in §68.22(a); and submit in the
RMP the worst-case release scenario as
provided in §68.165;
§68.12
(2) Complete the five-year accident
history for the process as provided in
§68.42 of this part and submit it in the
RMP as provided in §68.168;
(3) Ensure that response actions have
been coordinated with local emergency
planning and response agencies; and
(4) Certify in the RMP the following:
"Based on the criteria in 40 CFR 68.10,
the distance to the specified endpoint
for the worst-case accidental release
scenario for the following process(es) is
less than the distance to the nearest
public receptor: [list processes)]. With-
in the past five years, the process (es)
has (have) had no accidental release
that caused offsite impacts provided in
the risk management program rule (40
CFR 68.10(b)(l)). No additional meas-
ures are necessary to prevent offsite
impacts from accidental releases. In
the event of fire, explosion, or a release
of a regulated substance from the proc-
ess (es). entry within the distance to
the specified endpoints may pose a dan-
ger to public emergency responders.
Therefore, public emergency respond-
ers should not enter this area except as
arranged with the emergency contact
indicated in the RMP. The undersigned
certifies that, to the best of my knowl-
edge, information, and belief, formed
after reasonable inquiry, the informa-
tion submitted is true, accurate, and
complete. [Signature, title, date
signed]."
(c) Program 2 requirements. In addi-
tion to meeting the requirements of
paragraph (a) of this section, the owner
or operator of a stationary source with
a process subject to Program 2, as pro-
vided in §68.10(c), 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 Program 2 preven-
tion steps provided in §§68.48 through
68.60 or implement the Program 3 pre-
vention steps provided in §§68.65
through 68.87;
(4) Develop and implement an emer-
gency response program as provided in
§§68.90 to 68.95; and
(5) Submit as part of the RMP the
data on prevention program elements
for Program 2 processes as provided in
§68.170.
1217
-------
§68.15
(d) Program 3 requirements. In addi-
tion to meeting the requirements of
paragraph (a) of this section, the owner
or operator of a stationary source with
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) Deyelop 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]
EFFECTIVE DATE NOTE: At 61 FR 31718. June'
20. 1996. §68.12 was added, effective Aug. 19.
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]
EFFECTIVE DATE NOTE: At 61 FR 31718. June
20, 1996. §68.15 was added, effective Aug. 19,
1996.
Subpart B—Hazard Assessment
SOURCE: 61 FR 31718. June 20. 1996. unless
otherwise noted.
EFFECTIVE DATE NOTE: At 61 FR 31718. June
20. 1996. subpart B was added, effective Aug
19. 1996.
40 CFR Ch. I (7-1-96 Edition)
§68.20 Applicability.
The owner or operator of a station-
ary source subject to this part shall
prepare a worst-case release scenario
analysis as provided in §68.25 of this
part and complete the five-year acci-
dent history as provided in §68.42. The
owner or operator of a Program 2 and 3
process must comply with all sections
in this subpart for these processes.
§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 flammability limit. A
lower flammability limit as provided in
NFPA documents or other generally
recognized sources.
(b) Wind speed/atmospheric stability
class. For the worst-case release analy-
sis, 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
1218
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Environmental Protection Agency
§68.25
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.
(e) Surface roughness. The owner or
operator shall use either urban or rural
topography, as appropriate. Urban
means that there are many obstacles in
the immediate area; obstacles include
buildings or trees. Rural means there
are no buildings in the immediate area
and the terrain is generally flat and
unobstructed.
(f) Dense or neutrally buoyant gases.
The owner or operator shall ensure
that tables or models used for 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 liquified 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-
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;
(2) For Program 2 and 3 processes:
(i) One worst-case release scenario
that is estimated to create the greatest
distance in any direction to an
endpoint provided in appendix A of this
part resulting from an accidental re-
lease of regulated toxic substances
from covered processes under worst-
case conditions defined in §68.22;
(ii) One worst-case release scenario
that is estimated to create the greatest
distance in any direction to an
endpoint defined in §68.22(a) resulting
from an accidental release of regulated
flammable substances from covered
processes under worst-case conditions
defined in §68.22; and
(iii) Additional worst-case release
scenarios for a hazard class if a worst-
case release from another covered proc-
ess at the stationary source potentially
affects public receptors different from
those potentially affected by the worst-
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 follow-
ing:
(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-
count administrative 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 (fa) 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 the 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 passive mitigation systems
in a pool with a depth greater than 1
cm, the owner or operator may assume
that the quantity in the vessel or pipe,
as determined under paragraph (b) of
this section, is spilled instantaneously
1219
-------
§68.28
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-
stances that are normally liquids at
ambient temperature, 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.
(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-
• Generation 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 opera-
tor 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—
flammables. The owner or operator shall
assume that the quantity of the sub-
stance, as determined under paragraph
(b) of this section, vaporizes resulting
in a vapor cloud explosion. A yield fac-
40 CFR Ch. I (7-1-96 Edition)
tor of 10 percent of the available en-
ergy released in the explosion shall be.
used to determine the distance to the
explosion endpoint if the model used is
based on TNT-equivalent methods.
(f) Parameters to be applied. The owner
or operator shall use the parameters
defined in §68.22 to determine distance
to the endpoints. The owner or opera-
tor may use the methodology provided
in the RMP Offsite Consequence Analy-
sis Guidance or any commercially or
publicly available air dispersion model-
ing techniques, provided the techniques
account for the modeling conditions
and are recognized by industry as ap-
plicable as part of current practices.
Proprietary models that account for
the modeling conditions may be used
provided the owner or operator allows
the implementing agency access to the
model and describes model features and
differences from publicly available
models to local emergency planners
upon request.
(g) Consideration of passive mitigation.
Passive mitigation systems may be
considered for the analysis of worst
case provided that the mitigation sys-
tem is capable of withstanding the re-
lease event triggering the scenario and
would still function as intended.
(h) Factors in selecting a worst-case sce-
nario. Notwithstanding the provisions
of paragraph (b) of this section, the
owner or operator shall select as the
worst case for flammable regulated
substances or the worst case for regu-
lated toxic substances, a 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 (b) of this section:
(1) Smaller quantities handled at
higher process temperature or pres-
sure; and
(2) Proximity to the boundary of the
stationary source:
§68.28 Alternative release scenario
analysis.
(a) The number of scenarios. The
owner or operator shall identify and
analyze at least one alternative release
scenario for each regulated toxic sub-
stance held in a covered process (es) and
1220
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Environmental Protection Agency
68.36
at least one alternative release sce-
nario to represent all flammable sub-
stances held in covered processes.
(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 and spill, or
overpressurization and venting through
relief valves or rupture disks; and
(v) Shipping container mishandling
and breakage or puncturing leading to
a spill.
(c) Parameters to be applied. The
owner or operator shall use the 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 to local 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
(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
1221
-------
§68.39
and submit a revised risk management
plan as provided in §68.190.
§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;
40 CFR Ch. 1 (7-1-96 Edition)
(4) The type of release event and its
source;
(5) Weather conditions, if known;
(6) On-site impacts;
(7) Known offsite impacts;
(8) Initiating event and contributing
factors if known;
(9) Whether offsite responders were
notified if known; and
(10) Operational or process changes
that resulted from investigation of the
release.
(c) Level of accuracy. Numerical esti-
mates may be provided to two signifi-
cant digits.
Subpart C—Program 2 Prevention
Program
SOURCE: 61 FR 31721, June 20. 1996. unless
otherwise noted.
EFFECTIVE DATE NOTE: At 61 FR 31721. June
20. 1996..subparc C was added, effective Aug.
19. 1996.
§68.48 Safety information.
(a) The owner or operator shall com-
pile and maintain the following up-to-
date safety information related to the
regulated substances, processes, and
equipment:
(1) Material Safety Data Sheets that
meet the' requirements of 29 CFR
1910.1200(g);
(2) Maximum intended inventory of
equipment in which the regulated sub-
stances are stored or processed;
(3) Safe upper and lower tempera-
tures, pressures, flows, and composi-
tions;
(4) Equipment specifications; and
(5) Codes and standards used to de-
sign, build, and operate the process.
(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
change occurs that makes the informa-
tion inaccurate.
1222
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Environmental Protection Agency
§68.54
§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
or monitor releases.
(b) The owner or operator may use
checklists developed by persons or or-
ganizations 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 once 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 operat-
ing procedures.
(b) The procedures shall address the
following:
(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.
- 1223
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§68.56
§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 station-
ary source maintenance procedures.
(b) The owner or operator shall train
or cause to be trained each employee
involved in maintaining the on-going
mechanical integrity of the process. To
ensure that the employee can perform
the job tasks in a safe manner, each
such employee shall be trained in the
hazards of the process, in how to avoid
or correct unsafe conditions, and in the
procedures applicable to the 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 ver-
ify that the procedures and practices
developed under the rule are adequate
and are being followed.
(b) The compliance audit shall be
conducted by at least one person
knowledgeable in the process.
(c) The owner or operator shall de-
velop a report of the audit findings.
(d) The owner or operator shall
promptly determine and document an
appropriate response to each of the
findings of the compliance audit and
document that deficiencies have been
corrected.
40 CFR Ch. I (7-1-96 Edition)
(e) The owner or operator shall retain
the two (2) most recent compliance
audit reports. This requirement does
not apply to any compliance audit re-
port that is more than five years old.
§ 68.60 Incident investigation.
(a) The owner or operator shall inves-
tigate each incident which resulted in,
or could reasonably have resulted in a
catastrophic release.
(b) An incident investigation shall be
initiated as promptly as possible, but
not later than 48 hours following the
incident.
(c) A summary shall be prepared at
the conclusion of the investigation
which includes at a minimum: '
(1) Date of incident;
(2) Date investigation began;
(3) A description of the incident;
(4) The factors that contributed to
the incident; and,
(5) Any recommendations resulting
from the investigation.
(d) The owner or operator shall
promptly address and resolve the inves-
tigation findings and recommenda-
tions. Resolutions and corrective ac-
tions shall be documented.
(e) The findings shall be reviewed
with all affected personnel whose job
tasks are affected by the findings.
(f) Investigation summaries shall be
retained for five years.
Subpart D—Program 3 Prevention
Program
SOURCE: 61 FR 31722. June 20. 1996. unless
otherwise noted.
EFFECTIVE DATE NOTE: At 61 FR 31722. June
20. 1996. subpart D was added, effective Aus
19. 1996.
§68.65 Process safety information.
(a) In accordance with the schedule
set forth in §68.67, the owner or opera-
tor shall complete a compilation of
written process safety information be-
fore conducting any process hazard
analysis required by the rule. The com-
pilation of written process safety infor-
mation is to enable the owner or opera-
tor and the employees involved in oper-
ating the process to identify and under-
stand the hazards posed by those proc-
esses involving regulated substances.
1224
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Environmental Protection Agency
This process safety information shall
include information pertaining to the
hazards of the regulated substances
used or produced by the process, infor-
mation pertaining to the technology of
the process, and information pertain-
ing to the equipment in the process.
(b) Information pertaining to the
hazards of the regulated substances in
the process. This information shall
consist of at least the following:
(1) Toxicity information;
(2) Permissible exposure limits;
(3) Physical data;
(4) Reactivity data:
(5) Corrosivity data;
(6) Thermal and chemical stability
data; and
(7) Hazardous effects of inadvertent
mixing of different materials that
could foreseeably occur.
NOTE TO PARAGRAPH (B): Material Safety
Data Sheets meeting the requirements of 29
CFR 1910.1200(g) may be used to comply with
this requirement to the extent they contain
the information required by this subpara-
graph.
(c) Information pertaining to the
technology of the process.
(1) Information concerning the tech-
nology of the process shall include at
least the following:
(i) A block flow diagram or simplified
process flow diagram;
(ii) Process chemistry;
(iii) Maximum intended inventory;
(iv) Safe upper and lower limits for
such items as temperatures, pressures.
flows or compositions; and,
(v) An evaluation of the consequences
of deviations.
(2) Where the original technical in-
formation no longer exists, such infor-
mation may be developed in conjunc-
tion with the process hazard analysis
in sufficient detail to support the anal-
ysis.
(d) Information pertaining to the
equipment in the process.
(1) Information pertaining to the
equipment in the process shall include:
(i) Materials of construction;
(ii) Piping and instrument diagrams
(P&ID's};
(iii) Electrical classification;
(iv) Relief system design and design
basis;
(v) Ventilation system design;
§68.67
(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
1225
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§68.69
(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
process. Updated and revalidated proc-
40 CFR Ch. I (7-1-96 Edition)
ess hazard analyses completed to com-
ply with 29 CFR 19!0.119(e) are accept-
able to meet the requirements of this
paragraph.
(g) The owner or operator shall re-
tain process hazards analyses and up-
dates or revalidations for each process
covered by this section, as well as the
documented resolution of recommenda-
tions described in paragraph (e) of this
section for the life of the process.
§ 68.69 Operating procedures.
(a) The owner or operator shall de-
velop and implement written operating
procedures that provide clear instruc-
tions for safely conducting activities
involved in each covered process con-
sistent with the process safety infor-
mation and shall address at least the
following elements.
(1) Steps for each operating phase:
(i) Initial startup;
(ii) Normal operations;
(Hi) Temporary operations;
(iv) Emergency shutdown including
the conditions under which emergency
shutdown is required, and the assign-
ment of shutdown responsibility to
qualified operators to ensure that
emergency shutdown is executed in a
safe and timely manner.
(v) Emergency operations;
(vi) Normal shutdown; and,
(vii) Startup following a turnaround,
or after an emergency shutdown.
(2) Operating limits:
(i) Consequences of deviation; and
(ii) Steps required to correct or avoid
deviation.
(3) Safety and health considerations:
(i) Properties of, and hazards pre-
sented by, the chemicals used in the
process;
(ii) Precautions necessary to prevent
exposure, including engineering con-
trols, administrative controls, and per-
sonal protective equipment;
(iii) Control measures to be taken if
physical contact or airborne exposure
occurs;
(iv) Quality control for raw materials
and control of hazardous chemical in-
ventory levels; and,
(v) Any special or unique hazards.
(4) Safety systems and their func-
tions.
1226
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Environmental Protection Agency
§68.73
(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 operat-
ing practice, including changes that re-
sult from changes in process chemicals,
technology, and equipment, and
changes to stationary sources. The
owner or operator shall certify annu-
ally that these operating procedures
are current 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-
ees.
§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 operat-
ing a process on June 21, 1999 an 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 specified in the operating pro-
cedures.
(b) Refresher training. Refresher train-
ing shall 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
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 operat-
ing 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
1227
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§68.75
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. (I) 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
be • informed of, and trained in, the
40 CFR Ch. I (7-1-96 Edition)
change prior to start-up of the process
or affected part of the process.
(d) If a change covered by this para-
graph results in a change in the process
safety information required by §68.65 of
this part, such information shall be up-
dated accordingly.
(e) If a change covered by this para-
graph results in a change in the operat-
ing procedures or practices required by
§68.69, such procedures or practices
shall be updated accordingly.
§ 68.77 Pre-startup review.
(a) The owner or operator shall per-
form a pre-startup safety review for
new stationary sources and for modi-
fied stationary sources when the modi-
fication is significant enough to re-
quire a change in the process safety in-
formation.
(b) The pre-startup safety review
shall confirm that prior to the intro-
duction of regulated substances to a
process:
(1) Construction and equipment is in
accordance with design specifications;-
(2) Safety, operating, maintenance,
and emergency procedures are in place
and are adequate; '
(3) For new stationary sources, a
process hazard analysis has been per-
formed and recommendations have
been resolved or implemented before
startup; and modified stationary
sources meet the requirements con-
tained in management of change,
§68.75.
(4) Training of each employee in-
volved in operating a process has been
completed.
§68.79 Compliance audits.
(a) The owner or operator shall cer-
tify that they have evaluated compli-
ance with the provisions of this section
at least every three years to verify
that the procedures and practices de-
veloped under the standard are ade-
quate and are being followed. .
(b) The compliance audit shall be
conducted by at least one person
knowledgeable in the process.
(c) A report of the findings of the
audit shall be developed.
• (d) The owner or operator shall
promptly determine and document an
appropriate response to each of the
findings of the compliance audit, and
1228
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Environmental Protection Agency
§68.87
document that deficiencies have been
corrected.
(e) The owner or operator shall retain
the two (2) most recent compliance
audit reports.
§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) Date of incident;
(2) Date investigation began;
(3) A description of the incident;
(4) The factors that contributed to
the incident; and.
(5) Any recommendations resulting
from the investigation.
(e) The owner or operator shall 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.
(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.
§68.87 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
1229
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§68.90
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. (1) 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 ver-
ify 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.
EFFECTIVE DATE NOTE: At 61 FR 31725. June
20, 1996, subpart E was added, effective Aue
19. 1996. .
§68.90 Applicability.
(a) Except as provided in paragraph
(b) of this section, the owner or opera-
tor 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 station-
ary source whose employees will not
respond to accidental releases of regu-
lated substances need not comply with
§68.95 of this part provided that they
meet the following:
40 CFR Ch. I (7-1-96 Edition)
(1) For stationary sources with any
regulated toxic substance held in a
process above the threshold quantity,
the stationary source is included in the
community emergency response plan
developed under 42 U.S.C. 11003;
(2) For stationary sources with only
regulated flammable substances held in
a process above the threshold quantity.
the owner or operator has coordinated
response actions with the local fire de-
partment; and
(3) Appropriate mechanisms are in
place .to notify emergency responders
when there is a need for a response.
§68.95 Emergency response program.
(a) The owner or operator shall de-
velop and implement an emergency re-
sponse program for the purpose of pro-
tecting public health and the environ-
ment. Such program shall include the
following elements:
(1) An emergency response plan,
which shall be maintained at the sta-
tionary source and contain at least the
following elements:
(i) Procedures for informing the pub-
lic and local emergency response agen-
cies about accidental releases;
(ii) Documentation of proper first-aid
and emergency medical treatment nec-
essary to treat accidental human expo-
sures; and
(iii) Procedures and measures for
emergency response after an accidental
release of a regulated substance;
(2) Procedures for the use of emer-
gency response equipment and for its
inspection, testing, and maintenance;
(3) Training for all employees in rel-
evant procedures; and
(4) Procedures to review and update,
as appropriate, the emergency response
plan to reflect changes at the station-
ary source and ensure that employees
are informed of changes.
(b) A written plan that complies with
other Federal contingency plan regula-
tions or is consistent with the ap-
proach in the National Response
Team's Integrated Contingency Plan
Guidance ("One Plan") and that,
among other matters, includes the ele-
ments provided in paragraph (a) of this
section, shall satisfy the requirements
of this section if the owner or operator
also complies with paragraph (c) of this
section.
1230
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Environmental Protection Agency
§68.115
(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
SOURCE: 59 FR 4493. Jan. 31. 1994. unless
otherwise noted. Redesignated at 61 FR 31717.
June 20. 1996.
EFFECTIVE DATE NOTE: At 61 FR 31717. June
20. 1996. subparc C was redesignated as sub-
part F. effective Aug. 19, 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.
(a) A threshold quantity of a regu-
lated substance 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
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. If a regu-
lated substance is present in a mixture
and the concentration of the substance
is below one percent by weight of the
mixture, the mixture need not be con-
sidered when determining whether
more than a threshold quantity of the
regulated substance is present at the
stationary source. If the concentration
of the regulated substance in the mix-
ture is one percent or greater by
weight, then, for purposes of determin-
ing whether more than a threshold
quantity is present at the stationary
source, the entire weight of the mix-
ture shall be treated as the regulated
substance unless the owner or operator
can demonstrate that the mixture it-
self does not meet the criteria for flam-
mability of flash point below 73°F
(22.8°C) and boiling point below 100°F
(37.8°C). The owner or operator shall
document these flash point and boiling
point measurements or estimates.
(3) Concentrations of a regulated explo-
sive substance in a mixture. Mixtures of
Division 1.1 explosives listed in 49 CFR
172.101 (Hazardous Materials Table) and
other explosives need not be included
when determining whether a threshold
quantity is present in a process, when
the mixture is intended to be used on-
site in a non-accidental release in a
manner consistent with applicable
BATF regulations. Other mixtures of
Division 1.1 explosives listed in 49 CFR
172.101 and other explosives shall be in-
cluded in determining whether more
than a threshold quantity is present in
a process if such mixtures would be
treated as Division 1.1 explosives under
49 CFR parts 172 and 173.
1231
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§68.120
(4) 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.
(5) 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
(iv) Use of regulated substances
present in process water or non-contact
cooling water as drawn from the envi-
ronment or municipal sources, or use
of regulated substances present in air
used either as compressed air or as part
of combustion.
(6) Activities in laboratories If a regu-
lated substance is manufactured, proc-
essed, or used in a laboratory at a sta-
tionary source under the supervision of
a technically qualified individual as de-
fined in §720.3(ee) of this chapter, the
quantity of the substance need not be
considered in determining whether a
threshold quantity is present. This ex-
emption does not apply to:
(i) Specialty chemical production;
(ii) Manufacture, processing, or use
of substances in pilot plant scale oper-
ations; and
(iii) Activities conducted outside the
laboratory.
§ 68.120 Petition process.
(a) Any person may petition the Ad-
ministrator to modify, by addition or
deletion, the list of regulated sub-
stances identified in §68.130. Based on
the information presented by the peti-
tioner, the Administrator may grant or
deny a petition.
(b) A substance may be added to the
list if, in the case of an accidental re-
lease, it is known to cause or may be
reasonably anticipated to cause death,
injury, or serious adverse effects to
human health or the environment.
(c) A substance may be deleted from
the list if adequate data on the health
and environmental effects of the sub-
stance are available to determine that
40 CFR Ch, I (7-1-96 Edition)
the substance, in the case of an acci-
dental release, is not known to cause
and may not be reasonably anticipated
to cause death, injury, or serious ad-
verse effects to human health or the
environment.
(d) No substance for which a national
primary ambient air quality standard
has been established shall be added to
the list. No substance regulated under
title VI of the Clean Air Act, as amend-
ed, .shall be added to the list.
(e) The burden of proof is on the peti-
tioner to demonstrate that the criteria
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);
(5) 'Rationale supporting the petition-
er'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 support documents;
(ii) Documentation of literature
searches conducted, including, but not
limited to, identification of the
database(s) searched, the search strat-
egy, dates covered, and printed results;
(iii) Effects data (animal, human, and
environmental test data) indicating
1232
-------
Environmental Protection Agency
§68.130
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
include, but are not limited to, phys-
ical and chemical properties of the sub-
stance, such as vapor pressure; model-
ing results, including data and assump-
tions used and model documentation;
and historical accident data, citing
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) Explosives listed by DOT as Divi-
sion 1.1 in 49 CFR 172.101 are covered
under section 112(r) of the Clean Air
Act. The threshold quantity for explo-
sives is 5,000 pounds.
(b) 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.
(c) 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]
TABLE 1 TO §68.130.—LIST OF REGULATED
Toxic SUBSTANCES AND THRESHOLD QUAN-
TITIES FOR ACCIDENTAL RELEASE
PREVENTION—Continued
[Alphabetical Order—77 Substances)
Chemical name
Acroteinp-
Properal].
Aon/tor**! (2-
Propenenitrile].
CAS No.
107-02-8
107-13-1
Threshold
quantity
(Ibs)
5.000
20.000
Basis for
listing
b
b
Chemical name
Acrylyl chloride
[2-Propenoyl
chloride].
Allyl 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 tr'rfluoride
[Borane,
trifluoro-].
Boron trifluoride
compound with
methyl ether
(1:1) [Boron.
trifluoro [oxybis
[metane]]-, T-4-.
Bromine .
Carbon disulfide
Chlorine
Chlorine dioxide
[Chlorine oxide
(CI02)].
Chloroform [Meth-
ane, trichloro-].
Chloromethyl
ether [Methane,
oxybisfchloro-].
Chloromethyl
methyl ether
[Methane.
chloromethoxy-].
Crotonaldehyde
[2-Butenal].
Crotonaldehyde,
(E)- [2-Butenal.
(E)-].
Cyanogen chlo-
ride.
Cyclohexylamine
[Cyclohexana-
mine].
Diborane
Dimethyldichtoro-
silane [Silane,
dichlorodimeth-
yl-].
1.1-
Dimethylhydra-
zine [Hydra-
zine, 1.1 -di-
methyl-].
Epichlorohydrin
[Oxirane,
(Chloromethyl)-].
CAS No.
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-O7-2
353-42-4
7726-95-6
75-15-0
7782-50-5
10049-04-4
67-66-3
542-88-1
107-3O-2
4170-30-3
123-73-9
506-77-4
108-91-8
19287-45-7
75-78-5
57-14-7
106-89-8
Threshold
quantity
(Ibs)
5,000
15.000
10.000
10.000
20.000
15,000
1,000
5.000
5.000
15.000
10,000
20.000
2.500
1.000
20.000
1,000
5.000
20.OOO
20,000
10,000
15.000
2,500
5.000
15.000
20.000
Basis for
listing
b
b
b
a. b
a,b
b
b
b
b
b
a. b
b
a, b
c
b
b
b
b
b
c
b
b
b
b
b
1233
-------
§68.130
TABLE 1 TO §68.130.—LIST OF REGULATED
Toxic SUBSTANCES AND THRESHOLD QUAN-
TITIES FOR ACCIDENTAL RELEASE
PREVENTION—Continued
[Alphabetical Order—77 Substances)
Chemical name
Ethylenediamine
[1.2-
Ethanediamine
Ethyleneimine
[Aziridine].
Ethylene oxide
[OxiraneJ.
Fluorine
Formaldehyde
(solution).
Furan
Hydrazine
Hydrochloric acid
(cone 30% or
greater).
Hydrocyanic acid
Hydrogen chloride
(anhydrous)
[Hydrochloric
acid].
Hydrogen fluo-
ride/
Hydrofluoric
acjd (cone 50%
or greater)
[Hydrofluoric
acid].
Hydrogen sele-
nide.
Hydrogen sulfide
Iron,
pentacarbonyl-
[Iron carbonyi
(Fe(CO)5). (TB-
5-11)-].
Isobutyronitrile
[Propanenitrile.
2-methyl-].
Isopropyl
chloroformate
[Carbonochlori-
dic acid, 1-
methylethyl
ester].
Methacrylonitrile
[2-
Propenenitrile,
2-methyl-].
Methyl chloride
[Methane.
chloro-].
Methyl
chloroformate
[Carbonochlori-
dic acid.
methylester].
Methyl hydrazine
[Hydrazine,
methyl-].
Methyl isocyanate
[Methane.
isocyanato-J.
Methyl mercaptan
[Methanethiol].
CAS No.
107-15-3
151-56-4
75-21-8
7782-41-4
50-00-0
11O-00-9
302-01-2
7647-01-0
74-90-8
7647-01-0
7664-39-3
7783-07-5
7783-06-4
. 13463-40-6
78-62-0
108-23-6
126-98-7
74-87-3
79-22-1
60-34-4
624-83-9
74-93-1
Threshoi
quantity
dbs)y
20,000
10.00
10.00
1.000
15.000
5.000
15,000
15.000
2,500
5.000
1,000
500
10.000
2.50O
20.000
15.000
10,000
10.000
5.000
15,000
10.000
10,000
Basis for
listing
b
b
a. b
b
b
b
b
d
a. b
a
a, b
b
a,b
j
>
>
b
40 CFR Ch. I (7-1-96 Edition)
TABLE 1 TO §68.130.—LIST OF REGULATED
Toxic SUBSTANCES AND THRESHOLD QUAN-
TITIES FOR ACCIDENTAL RELEASE
PREVENTION—Continued
[Alphabetical Order—77 Substances]
Chemical name
Methyl
thiocyanate
[Thiocyanic
acid, methyl
ester].
Methyltrichlorosil-
ane[Silane,
triehloromethyl-
Nickel carbonyi .
Nitric acid (cone
80% or greater
Nitric oxide [Nitro-
gen oxide (NO]
Oleum (Fuming
Sulfuric acid)
[Sulfuric acid.
mixture with
sulfur trioxide] '
Peracetcc acid
[Ethaneperoxoi-
e acid].
Perchloromethyl-
mereaptan
[Methanesulfen-
yl chloride.
trichloro-].
Phosgene [Car-
bonic dichlo-
ride].
Phosphine
Phosphorus
oxychloride
[Phosphoryl
chloride].
Phosphorus tri-
chloride [Phos-
phorous tri-
chloride].
Piperidine
Propionitrile
[Propanenitrile].,
Propyl
chloroformate
[Carbonochtori-
dic acid.
propylesterj.
Propyleneimine
[Aziridine, 2-
methyl-].
Propylene oxide
[Oxirane. meth-
yl-].
Sulfur dioxide
(anhydrous).
Sulfur tetra-
fluoride [Sulfur
fluoride (SF4).
(T-4)-]-
Sulfur trioxide
Tetramethyllead
[Plumbane,
tetramethyl-].
Tetranitro-
methane [Meth-
ane, tetranitro-].
CAS No.
SS6-64-9
75-79-6
13463-39-3
7697-37-2
10102-43-9
8014-95-7
79-21-0
594-42-3
75-44-5
7803-51-2
10025-87-3
7719-12-2
110-89-^1
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
Threshoi
quantity
(Ibs)
20.00
5.000
1,000
15,000
10,000
10,000
10,000
10,000
500
5.000
5,000
15,000
15.000
10,000
15,000
10.000
10.000
5.000
2,500
10,000
10.000
10.000
Basis for
listing
b
b
b
b
b
e
b
b
a. b
3
b
?
>
}
. b
a.b
1234
-------
Environmental Protection Agency
§68.130
TABLE 1 TO §68.130.—LIST OF REGULATED
Toxic SUBSTANCES AND THRESHOLD QUAN-
TITIES FOR ACCIDENTAL RELEASE
PREVENTION—Continued
[Alphabetical Order—77 Substances]
TABLE 1 TO §68.130.—LIST OF REGULATED
Toxic SUBSTANCES AND THRESHOLD QUAN-
TITIES FOR ACCIDENTAL RELEASE
PREVENTION—Continued
[Alphabetical Order—77 Substances]
Chemical name
Titanium tetra-
chtortde [Tiia-
nten chloride
(TOW) (T-4H.
Toluene 2.4-
diisocyanate
[Benzene, 2,4-
dSsocyanato-1-
methj*-]'.
Toluene 2.6-
diisocyanate
[Benzene. 1.3-
dSsoeyanato-2-
meihj*-]1.
Totoena
diisocyanate
(unspecified
Isomer) [Ben-
zene. 1,3-
disocyanatom-
«hyHf«.
CAS No.
75SO-4S-0
584-84-9
91-08-7
26471-62-5
Threshold
quantity
(Ibs)'
2,500
10.000
10,000
10.000
Basis for
listing
b
a
a
a
Chemical name
Trimethylchlorosil-
ane [Silane,
chlorotrimethyl-].
Vinyl acetate
monomer [Ace-
tic acid ethenyt
ester].
CAS No.
75-77-4
108-05-4
Threshold
quantity
(IDs)
10,000
15,000
Basis for
listing
b
b
'The mixture exemption in §68.1l5(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.
TABLE 2 TO §68.130.—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 ..
74-83-1 . .
75—15-0 . ,
75—21-8
75-44-5 ... „..
7S-S5-8 .„
75-74-1
75-77-4
75-78-5 ...... ..
75-79-6 ......
78-82-0 ,.„. ..„.„
79-21-0
73-22-1 . ....
91-08-7 . ._
106-89-8
107-02-8
107-11-9
107-12-0
107-13-1 ._.......„..„,.
107—15-3
107-18-6 , . .
107-3O-2 ...
108-05-4 .. .
108-23-6 „„ «...
108-91-8
109-61-5 „
110-00-9
11O-89-4 ...... .
123-73-9 .....
Chemical name
Formaldehyde (solution)
1,1-Dimethylhydrazine [Hydrazine, 1.1-dimethyl-]
Methyl hycfr^Tfop [HydraTm**, methyl-] ,,..,,,,. Jt
Chloroform [Methane, trichtoro-]
Methyl chloride [Methane. chtoro-J
Hydrocyanic acid
Methyl mercaptan [Methanethiol]
Carbon disulftde
Ethytene oxide [Oxirane]
Phosgene [Carbonic dichtoride]
Propyleneimlne [Aziridine. 2-methyl-J
Propylene oxide [Oxirane, methyl-]
Tetramethyilead [Plumbane. tetramethyl-J :
Trimethytehlorosilane [Siiane, chlorotrimethyl-]
Dtmethy!dichk>rosilane [Silane, dichlorodimethyl-]
Methyltrichlorosilane [Silane trichloromethyl-]
Isobutyronitrile [Propanenitrile, 2-methy!-]
Toluene 2.6-diisocyanate [Benzene. 1,3-diisocyanatc-2-methyl-]1
Acrolein [2-Propenafl „
Allylamine [2-Propen-1-amine]
Acrytonitrite [2-Propenenitrite]
Ethytenediamine [1.2-Ethanediamine]
Allyl alcohol [2-Propen-1-olJ „
Vinyl acetate monomer [Acetic acid ethenyl ester]
Isopropyl chiorofonnate [Carbonochloridic acid, 1-methylethyl ester]
Cyctohexylamine [Cyclohexanamine]
Propyl chiorofonnate [Carbonochloridic acid, propylester]
Furan
Piperidine
Crotonaldehyde. (E)- [2-Butenal. (EH
Threshold
quantity
(Ibs)'
15000
15 000
15 000
20000
10000
2500
10,000
20,000
10 000
500
10000
10000
10000
10000
5 000
5 000
20 000
10 000
5 000
10000
20 000
5000
10,000
10 000
20 000
20 000
15000
5 000
15 000
15,000
15000
15000
5 000
15 000
20.000
Basis for
listing
b
b
b
b
a b
b
b
a b
a b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
b
1235
-------
§68.130
40 CFR Ch. I (7-1-96 Edition)
TABLE 2 TO §68.130.—LIST OF REGULATED Toxic SUBSTANCES AND THRESHOLD QUANTITIES FOR
ACCIDENTAL RELEASE PREVENTION—Continued
[CAS Number Order—77 Substances]
CAS No.
126-98-7
151-56-4
302-01-2
353-42-4
506-77-4
509-14-8
542-88-1
556-64-9
584-84-9
594-42-3
624-83-9
814-68-6
4170-30-3 _
7446-11-9
7550-45-0
7637-O7-2
7647-01-0
7647-01-0
7664-39-3
7664-41-7
7697-37-2
7719-12-2
7726-95-6 .
7782-41-4
7782-SO-S
7783-06-4
7783-07-5
7783-60-0
7784-34-1
7803-51-2
8014-95-7
10025-87-3
10049-04-4
101O2-43-9
10294-34-5
13463-39-3
13463-40-6
19287-45-7 .. ..
26471-62-S
Chemical name
Methacrylonitrile [2-Propenenitrile. 2-methyl-]
Ethyleneimine [Aziridine]
Boron trifluoride compound with methyl ether (1:1) [Boron
trifluoro[oxybis[methane]]-. T-4-.
Cyanogen chloride
Tetranitromethane [Methane, tetranitro-]
CMoromethyl ether [Methane, oxybis[chloro-]
Methyl thiocyanate [Thiocyanic acid, methyl ester] .
Toluene 2.4-diisocyanate [Benzene. 2,4-diisocyanato-1-methyl-]'
Perchloromethylmercaptan [Methanesulfenyl chloride, trichloro-]
Methyl isocyanate [Methane, isocyanato-]
Acrylyl chloride [2-Propenoyl chloride]
Crotonaldehyde [2-Butenal]
Sulfur trioxide
Titanium tetrachloride [Titanium chloride (TiCI4) {T-4H .. .
Hydrochloric acid (cone 30% or greater)
Hydrogen chloride (anhydrous) [Hydrochloric acid]
Hydrogen fluoride/Hydrofluoric acid (cone 50% or greater) [Hydrofluoric acid]
Ammonia (anhydrous)
Mitric acid (cone 80% or greater)
Phosphorus trichloride [Phosphorous trichloride] ..
Bromine .
=luorine ..„
Chlorine ;
^ydrogen sulfide
tydrogen selenide
Sulfur tetrafluoride [Sulfur fluoride (SF4) (T-4)-]
Arsenous trichloride
"hosphine
Oleum (Fuming Sulfuric acid) [Sulfuric acid, mixture with sulfur trioxide]'
Phosphorus oxychloride [Phosphoryl chloride] . .
Chlorine dioxide [Chlorine oxide (CICy] ...
Mftrio oxide [Nitrogen oxide (NO)J
Soron trichloride [Borane. trichloro-]
\lickel carbonyl
ron. pentacarbonyj- [Iron carbonyl (Fe(CO)s), (TB-5-1 1)-]
Jiborane
Toluene diisoeyanate (unspecified isomer) [Benzene. 1,3-diisocyanatomethyl-
Threshold
quantity
(Its)
10.000
10,000
15.000
15.000
10,000
10,000
1.000
20.000
10,000
10.000
10.000
5.000
20.000
5,000
10.000
2.500
5.000
15.000
5,000
1,000
10.000
20,000
15,000
15,000
10,000
1.000
2.500
10.000
500
2.500
15,000
1,000
5.000
10.000
5,000
1,000
10,000
5,000
1.000
2,500
2.500
10.000
Basis for
listing
b
b
b
b
c
b
b
b
a
b
a, b
b
•b
a, b
a, b
b
b
d
a
a, b ,
a. b
a. b
b
b
a. b
b
a, b
a. b
)
>
>
>
)
>
)
)
>
)
• ••= ....^tutc cAcoiptiuii in 300. i io^u^ if ooes noi apply 10 me suostance.
NOTE: Basis for Listing:
a Mandated for listing by Congress.
b On EHS list, vapor pressure 10 mmHg or greater.
c Toxic gas.
e Toxicity of sulfur trioxide and Sulfuric acid, potential to release sulfur trioxide. and history of accidents.
TABLE 3 TO §68.130.—LIST OF REGULATED FLAMMABLE SUBSTANCES AND THRESHOLD QUANTITIES
FOR ACCIDENTAL RELEASE PREVENTION
[Alphabetical Order—63 Substances]
Chemical name
Acetaldehyde
Acetylene [Ethyne]
Bromotrifiuorethylene [Ethene, bromotrifluorc-] ...
1,3-Butadiene „
Butane
1-Butene
2-Butene
Butene
CAS No.
25167-67-3
Threshold
quantity
Obs)
innnn
Basis for
listing
9
•f
1236
-------
Environmental Protection Agency
§68.130
TABLE 3 TO §68.130.—LIST OF REGULATED FLAMMABLE SUBSTANCES AND THRESHOLD QUANTITIES
FOR ACCIDENTAL RELEASE PREVENTION—Continued
[Alphabetical Order—63 Substances]
Chemical name
2-Butene-c>s . „....«. „... .
2-Butene-trans [2-Butene, (E)J _
Carbon oxysutfide [Carbon oxide sulfide (COS)]
Chlorine monoxide [Chlorine oxide] ......
2-Chloropropylene [1-Propene. 2-chloro-J «
1-Ch!orppropylene [1-Propene. 1-chloro-J „
Cyanogen [Ethanedinitrile] .... „ «
Cyclopropane ... .„ „ „..., .
Dichtorasilane [Silane. diehtorc-] „
Dilluoroethane [Ethane. 1.1-drfluorc-] _ ..
Dimeshyiiiniine [Methanamine. N-methyl-]
2£-Dimethylpropane [Propane. 2^-dimethyl-] - _
Ethane „
Ethyl acetylene [1-Butyne] ......
Ethylamlne [Ethanamine} „ ...
Ethyl chloride [Ethane, chloro-]
Ethyfene [Ethene] .
Ethyl ether [Ethane. 1.1'-oxybis-]
Ethyl rnercaptan [Ethanethiol] _ „ .
Elhyl nitrite [Nitrous acid, ethyl ester]
Isobutane {Propane. 2-methy!J
Isopentane [Butane 2-methyt-]
Isoprene 11 ,3-Butadinene. 2-methyl-] „ _
Jsopropylamine [2-PropanamJne] „ »
Isopropyi chloride [Propane. 2-chtoro-]
Methane ..... „.„
Methylamine [Methanamine] _
3-MethyM-butene „ „ . .
2-Methyl-1'butene .
Methyl ether [Methane. oxybis-J ..
Methyl formate [Formic acid, methyl ester] _
1.3-Penladinene « ,„
1-Pentene «. ™ -
2-Pentene, (E)- . „ ,
2-Pentene, (2)- « , „
Propadlene [1^-Propadtene] ..
Propane ... ... „
Propyiene [1-Propene]
Propyne [1-Propyne]
Sitane .«...„....„.... „
Tetraduofoethylene [Ethene. tetrafluoro-] _
Tetramethylsilane [Silane. tetramethyl-] _
Trichlorottene [Silane. trichtoro-] „ „„
Trifluorochloroethylene [Ethene. chtorotrflluoro-]
Trkitethylarnine [Methanamine N,N-dimethy!-J ..
Vinyl acetylene [l-Buten-3-yne]
Vinyl chloride [Ethene chloro-] ..
Vinyl ethyl ether [Ethene. ethoxy-]
Vinyl fluoride [Ethene. fluoro-] „
Vinylidene chloride [Ethane. 1.1-dichlorc-]
Vinylktene lluoride [Ethene. 1.1-difluoro-]
Vinyl methyl ether (Ethene, methoxy-]
CAS No.
59O_18_1
624-64-6
463-58-1
7791—21—1
557-98—2
590-21-6
460-19-5
75_19_4
4109-96-0
75-37-6
124-40-3
463-82-1
74—84-0
107-00-6
75-04-7
75-00-3
74_85— 1
60-29-7
75-08-1
109-95-5
1333—74-0
75-28-5
78—78—4
78-79-5
75-31-0
75-29-6
74_82-8
74-69-S
563-45-1
563-46-2
115— 1O-6
107-31-3
S04-60-9
109-67 1
646-O4-8
627-20-3
463-49-0
74_93_g
115-07-1
74—99—7
7803-62—5
116_14_3
75-76-3
10025-78-2
79-38-9
75-50-3
689-97-t
75-01-4
109-92-2
75-02-5
75-35-4
7S_38_7
107-25-5
Threshold
quantity
(tbs)
10000
10000
10000
10 000
10000
10,000
10000
10000
10000
10000
10,000
10.000
10 000
loooo
10000
10000
10,000
10 000
10 000
10 000
10 000
10000
10000
10000
10000
10,000
10000
10 000
10 000
10 000
10,000
10000
10,000
10,000
10000
10 000
10000
10000
10 000
10 000
10000
10000
10000
10000
10,000
10 000
10000
10 000
10 000
loooo
10,000
Basis for
listing
f
f
f
f
9
f
f
f
f
f
f
f
f
f
f
f
g
f
f
f
f
f
f
f
f
f
g
g
f
f
f
f
f
f
f
f
f
a f
f
f
f
NOTE: Basis for Listing:
a Mandated for listing by Congress.
f Flammable gas.
g Volatile flammable liquid.
1237
-------
§68.130
40 CFR Ch. I (7^1-96 Edition)
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
74-86-2
74-89-5
74-98-6
74-99-7
75-00-3
75-01-4
75-02-5
75-04-7
75-07-0
75-08-1
75-19-4
75-28-5
75-29-6
75-31-0
75-35-4
75-37-6
75-38-7
75-50-3..
75-76-3
78-78-4
78-79-5
79-38-9
106-97-8
106-98-9
196-99-0
107-00-6
107-01-7 „
107-25-S .. .
107-31-3
109-66-0
109-67-1
109-92-2
109-95-5
115-07-1
115-10-6
115_11_7
116-14-3
124-40-3
460-19-5
463-49-0 -
463-82-1 .
504-60-9 . ...
557-98-2
563-45-1
563--S6-2
590-18-1
590-21-6
598-73-2
624-64-6
627-20-3 .. ..
646-04-8
689-97-4
1333-74-O
4109-96-0
7791-21-1
7803-62-5
10025-78-2
25167-67-3
Chemical name
Ethyl ether [Ethane, i.i'-oxytais-] ...
Methane
Ethane
Ethylene [Ethene]
Acetylene [Ethyne]
Methylamine [Methanamine]
Propane
Propyne [1-Propyne]
Ethyl chloride [Ethane, chloro-J
Vinyl chloride [Ethene, chloro-J
Vinyl fluoride [Ethene, fluoro-] ....
Ethylamine [Ethanamcne]
Acetaldehyde
Ethyl mercaptan [Ethanethiol]
Cyclopropane
Isobutane [Propane, 2-methyl]
Isopropyl chloride [Propane. 2-ehloro-]
Isopropylamine [2-Propanamine]
Vinylidene chloride [Ethene 1 1-dichloro-]
Difluoroelhane [Ethane, 1.1-difluorc-]
Vinylidene fluoride [Ethene, 1,1-dffluoro-J
Trimethylamine [Methanamine. N. N-dimethyl-]
Tetramethylsilane [Silane, tetramethy!-]
!sopentane [Butane, 2-methyl-]
soprene [1.3,-Butadiene 2-methyl-]
Trifluorochloroethylene [Ethene chlorotrifluorc-]
Butane
1-Butene
1,3-Butadiene
;thyl acetylene [1-Butyne]
2-Butene ..
Vinyl methyl ether [Ethene, methoxy-J ...
Methyl formate [Formic acid, methyl ester]
'entane
-Pentene
Vinyl ethyl ether [Ethene. ethoxy-]
Ethyl nitrite [Nitrous acid, ethyl ester]
'ropylene [1-Propene]
Methyl ether [Methane, oxybis-J
2-Methylpropene [1-Propene, 2-methyl-] ... .
etrafluoroethylene [Ethene, tetrafluoro-]
5imethylamine [Methanamine, N-methyl-]
Cyanogen [Ethanedinltrile] .
'ropadiene [1.2-Propadiene]
Carbon oxysulfide [Carbon oxide sulfide (COS)]
,2-Dimethylpropane [Propane, 2.2-dimethyl-]
,3-Pentadiene
-Chloropropylene [1-Propene, 2-chloro-]
-Methyl-1-butene
-Methyl-1-butene
-Butene-cis •
-Chloropropylene [1-Propene. 1-chloro-J
romotrifluorethylene [Ethene bromotrifluoro-j
-Butene-trans [2-Butene, (E)]
-Pemene. (Z)-
-Pentene. (E)-
inyl acetylene [1-Buten-3-yne]
ydrogen
Xchlorosilane [Silane, dichloro-]
nlorine monoxide [Chlorine oxide]
lane '
'richlorosilane [Silane.trichloro-]
utene
CAS No.
60-29-
74-82-8
74-84-0
74-85-
74-86-
74-89-5
74-98-6
74-99-
75-00-
75-02-5
75-07-0
75-08-
75-19-4
75-28-5
75-29-6
75-31-0
75-35-4
75-37-6
75-38-7
75-50-3
78-78-4
78-79-5
79-38-9
106-97-8
106-98-9
106-99-0
107-00-6
107-01-7
107-25-5
107-31-3
109-66-0
109-67-1
109-92-2
109-95-5
115-07-1
115-10-6
115-11-7
116-14-3
124-40-3
460-19-5
463-49-0
463-58-1
463-82-1
504-60-9
557-98-2
563-45-1
563-46-2
590-18-1
590-21-6
598-73-2
624-64-6
627-20-3
646-04-8
689-97-4
1333-74-0
4109-96-0
7791-21-1
7803-62-5
1O025-78-2
25167-67-3
Thresho
quantity
fibs)
10.00
10.00
10.000
10,000
10.000
10.00
10,000
10.00
10.000
10.00
10.00
10.000
10.000
10.000
10.000
10,000
10.000
10.000
10.000
10,000
10,000
10,000
10.000
10.000
10.000
10.000
10.000
• 10,000
10.000
10.000
10.000
10,000
10,000
10,000
10,000
10.000
10,000
10.000
10.000
10.000
10.000
10,000
10,000
10.000
10.000
10.000
10,000
10.000
10.000
10.000
10.000
10.000
10.000
10,000
10.000
10.000
10,000
10.000
10,000
10.000
10,000
10.000
10.000
Note: Basis for Listing: a Mandated for listing by Congress. f Flammable gas. g Volatile flammable
Basis for
listing
g
f
f
f
f
1
f
f
f
a. f
f
f
g
g
f
f
g
g
3
g
9
)
g
g
g
1
quid.
1238
-------
Environmental Protection Agency
§68.160
Subpart G—Risk Management
Plan
SOURCE: 61 FR 31726. June 20. 1996. unless
otherwise noted.,
EFFECTIVE DATE NOTE: At 61 FR 31726. June
20. 1996. subpart G was added, effective Aug.
19. 1996.
§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.
§ 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:
(a) The accidental release prevention
and emergency response policies at the
stationary source;
(b) The stationary source and regu-
lated substances handled;
(c) The worst-case release scenario (s)
and the alternative release scenario (s),
including administrative controls and
mitigation measures to limit the dis-
tances for each reported scenario;
(d) The general accidental release
prevention program and chemical-spe-
cific prevention steps;
(e) The five-year accident history;
(f) The emergency response program;
and
(g) Planned changes to improve safe-
ty-
§68.160 Registration.
(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
in covered processes.
(b) The registration shall include the
following data:
(1) Stationary source 'name, street,
city, county, state, zip code, latitude,
and longitude;
(2) The stationary source Dun and
Bradstreet number;
(3) Name and Dun and Bradstreet
number of the corporate parent com-
pany;
(4) The name, telephone number, and
mailing address of the owner or opera-
tor;
(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 and CAS number of each regu-
lated substance held above the thresh-
old quantity in the process, the maxi-
mum quantity of each regulated sub-
stance or mixture in the process (in
pounds) to two significant digits, the
SIC code, 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) Whether the stationary source
has a CAA Title V operating permit;
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.
1239
-------
§68.165
§ 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-
resent all regulated toxic substances
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 opera-
tor 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) Physical state (toxics only);
(3) Basis of results (give model name
if used);
(4) Scenario (explosion, fire, toxic gas
release, or liquid spill and vaporiza-
tion);
(5) Quantity released in pounds;
(6) Release rate;
(7) Release duration;
(8) Wind speed and atmospheric sta-
bility class (toxics only);
(9) Topography (toxics only);
(10) Distance to endpoint;
(11) Public and environmental recep-
tors within the distance;
(12) Passive mitigation considered;
and
(13) Active mitigation considered (al-
ternative releases only);
§ 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
40 CFR Ch. I (7-1-96 Edition)
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 SIC code for 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 thejob; 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.
0) 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.
1240
-------
Environmental Protection Agency
§68.190
§68.175 Prevention program/Program
3.
(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-
esses the information applies.
(b) The SIC code for the process.
(c) The name(s) 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
most recent PHA or update and the
technique used.
(1) The expected date of completion
of any changes resulting from the PHA;
(2) Major hazards identified;
(3) Process controls in use;
(4) Mitigation systems in use;
(5) Monitoring and detection systems
in use; and
(6) Changes since the last PHA.
(f) The date of the most recent review
or revision of operating procedures.
(g) The date of the most recent re-
view or revision of training programs;
(1) The type of training provided—
classroom, classroom plus on the job,
on thejob; 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
change that triggered management of
change procedures and the date of the
most recent review or revision of man-
agement of change procedures.
(j) The date of the most recent pre-
startup review.
(k) The date of the most recent com-
pliance 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-
sulting from the investigation;
(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-
uation of contractor safety perform-
ance.
§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 the plan is
coordinated.
(c) The owner or operator shall list
other Federal or state emergency plan
requirements to which the stationary
source is subject.
§ 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
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
1241
-------
§68.200
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.
EFFECTIVE DATE NOTE: At 61 FR 31728. June
20, 1996, subpart H was added, effective Aug.
19. 1996.
§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.
§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).
40 CFR Ch. I (7-1-96 Edition)
(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.
The state may enter a written agree-
ment with the Administrator under
which EPA will implement and enforce
the requirements of paragraph (e) of
this section.
1242
-------
Environmental Protection Agency
(e) The air permitting authority or
the agency designated by delegation or
agreement under paragraph (d) of this
section shall, at a minimum:
(1) Verify that the source owner or
operator has registered and submitted
an RMP or a revised plan when re-
quired by this part;
(2) Verify that the source owner or
operator has submitted a source cer-
tification or in its absence has submit-
ted a compliance schedule consistent
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
to, a completeness check, source au-
dits, record reviews, or facility inspec-
tions to ensure that permitted sources
are in compliance with the require-
ments of this part; and '
(4) Initiate enforcement action based
on paragraphs (e)(l) and (e)(2) of this
section as appropriate.
§68.220 Audits.
(a) In addition to inspections for the
purpose of regulatory development and
enforcement of the Act, -the 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.
(b) The implementing agency shall
select stationary sources for audits
based on any of the following criteria:
(1) Accident history of the stationary
source;
(2) Accident history of other station-
ary sources in the same industry;
(3) Quantity of regulated substances
present at the stationary source;
(4) Location of the stationary source
and its proximity to the public and en-
vironmental receptors;
(5) The presence of specific regulated
substances;
(6) The hazards identified in the
RMP: and
(7) A plan providing for neutral, ran-
dom oversight.
(c) Exemption from audits. A station-
ary source with a Star or Merit rank-
ing under OSHA's voluntary protection
program shall be exempt from audits
under paragraph (b)(2) and (b)(7) of this
section.
§68.220
(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 thajC 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) (1) 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 time for the response to be re-
ceived.
(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
1243
-------
§68.220
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.
(h) Thirty days after completion of
the actions detailed in the implemen-
tation schedule set in the final deter-
40 CFR Ch. I (7-1-96 Edition)
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.
1244
-------
Environmental Protection Agency
Pt. 68, App. A
__
If!
a
E
S
6
3
s
*Q
o
O U7 (D if
^ eo o co co o *- o co n to cp CM o *— en o o »- to CM CD coocncM»-T-o^o
Boron trichloride [Borane, Irlchloro-J .
Boron trilluoride [Borane, Irilluoro-) ...
Boron Irilluoride compound with math
Bromine
Carbon disullide ,.
=;
*^
g
§
il
ll
: t
:
•
C
:j
11
Chlorine
Chlorine dioxide [Chlorine oxide (CIO:
Chloroform [Methane, trichloro-] .'
Chloromethyl ether [Methane, oxybls[i
Chloromelhyl methyl ether [Methane,
Crotonaldehyde [2-Bulenal]
Crotonaldehyde, (£)-, [2-Bulenal, (£)•
Cvanooen chloride !
I Cyclohexy famine [Cyclohexanaminel ,
1 ntk*..Ann
': i I ; : 5 i i I I • • • •
:!:::;: s : :
i i i ; : : ; : : :
! Mi • . , • ' "-1
! j !
; : I '
: : |
! i ! , - •.'
i \ i ...
: • f | = !"
: : ! : 3 ; :
:
'»
"^5
££
8> CD
.§.i-r
Dimelhyldichlorosilane [Silane, dichtor
1,1'Dimelhythydrazine (Hydrazina, 1,1
Epichlorohydrin [Oxirane, (chloromelh
Elhylenediamine(1,2-Elhanediamine]
Elhvleneimine fAziridinel
"3*
c
CO
I
•o
1
§
J.
ffli
j
*c
i
1!
2 o
I. U.
:
c
0
1
: : • •
•c-
•ochloric acid (cone 30% or great!
S,?.'1
r ID
,-
i j : : ' ' "in -
-------
N)
£>•
APPENDIX A TO PART 68—TABLE OF Toxic ENDpoiNTs-Continued
[As dalined in § 68.22 ol Ihls part)
CAS No.
126-98-7
74-87-3
79-22-1
60-34-4
624-83-9
74-93-1 ,
556-64-9
75-79-6
13463-39-3
7697-37-2 .
10102-43-9
8014-95-7
79-21-0
594-42-3
75-44-5
7803-51-2
10025-87-3
7719-12-2
110-89-4 ,. .
107-12-0
109-61-5
75-55-8
75-56-9
7446^09-5
7783-60-0 .'.
7446-11-9
75-74-1
509-14-8
7750-45-0
584-84-9
91-08-7
26471-62-S
75-77-4
108-05-4
Chemical name
Methacrylonilrile [2-Propenenilrile, 2-melhyl-l .
Melhyl chloride [Methane. chloro-J '
Methyl chlorolormatB (Carbonochloridio acid, melhyleslerl
Melhyl hydrazlne (Hydrazlne, methyl-)
Methyl isocyanale (Methane, Isocyanalo-)
Melhyl mercaplan [MelhanethlolJ '
Methyl thiooyanate IThiocyanic acid, methyl ester)
Melhyllrichlorosilane [Silana, Irichloromelhyl-) . '
Nickel carbonyl .. ' ' ••••
Nitric acid (cone 80% or greater) . . "
Nitric oxide (Nitrogen oxide (NO))
Oleum (Fuming Sulfuric acid) [Sulfuric add, mixlure wilh sulfur Irioxide)
Peracetlo acid [Elhaneperoxoio acid)
Perchloromelhylmercaptan [Melhanesulfenyl chloride, trichtoro-)
Phosgene (Carbonic dichloride] '
Phosphine .
Phosphorus oxychloride (Phosphoryi chloride) •
Phosphorus trichloride (Phosphorous trichloride)
Plperidine ' " "
Propionitrile (Propanenltrile) ' ' '
Propyl chloroformale (Carbonochloridic add, propylester) -
Propylenelmine (Aziridine, 2-melhyl-) '
Propylene oxide (Oxlrane, methyl-) '
Sulfur dioxide (anhydrous) Z.'"IZ71' "
Sulfur telralluorlde (Sulfur fluoride (SF4), (T-4)-)
Sulfur Irioxida
Tetramelhyllead (Plumbane, telramethyl-) ' '
Telranilromelhane (Methane, tetranitro-) . "
Titanium letrachloride (Titanium chloride (TiC!4) (T-4)-)
Toluene 2,4-dlisooyanate [Benzene, 2,4-dilsocyanato-1-methyl-)
Toluene 2,6-dilsocyanate [Benzene, 1,3-diisocyanalo-2-melhyl-|
Toluene diisocyanate (unspecified Isomer) [Benzene, 1,3-diisocyanatomethyl-)
rimelhylchlorosilane (Sllane, chlorolrimethyl-) .... '
Toxic
endpoint
(mg/L)
0.0027
0.82
0.0019
0.0094
0.0012
0049
0.085
0.018
0.00067
0.026
0.031
0.010
0.0045
0.0076
0.00081
0.0035
0.0030
0.028
0.022
0.0037
0.010
0.12
0.59 •
0.0078
0.0092
0.010
0.0040
0.0040
0.020
0.0070
0.0070
0.0070
0.050
*
I
g
9
a.
f
3
-------
Environmental Protection Agency
[61 FR 31729. June 20. 1996]
EFFECTIVE DATE NOTE: At 61 FR 31729. June
20. 1996. appendix A was added to part 68, ef-
fective Aug. 19. 1996.
PART 69—SPECIAL EXEMPTIONS
FROM REQUIREMENTS OF THE
CLEAN AIR ACT
Subpart A—Guam
Sec.
69.11 New exemptions.
69.12 Continuing exemptions.
Subpart B—American Samoa (Reserved)
69.21 New exemptions. [Reserved]
Subpart C—Commonwealth of the
Northern Mariana Islands (Reserved)
69.31 New exemptions. [Reserved]
AUTHORITY: Sec. 325. Clean Air Act. as
amended (42 U.S.C. 7625-1).
SOURCE: 50 FR 25577. June 20. 1985. unless
otherwise noted.
Subpart A—Guam
§69.11 New exemptions.
(a) Pursuant to section 325 (a) of the
Clean Air Act ("CAA") and a petition
submitted by the Governor of Guam
("Petition"), the Administrator of the
Environmental Protection Agency
("EPA") conditionally exempts elec-
tric generating units on Guam from
certain CAA requirements.
(1) A waiver of the requirement to ob-
tain a prevention of significant dete-
rioration ("PSD") permit prior to con-
struction is granted for the electric
generating units identified in the Peti-
tion as Cabras Diesel No. 1, the Tenjo
project, and three 6-megawatt diesel
generators to be constructed at Orote.
with the following conditions:
(i) Each electric generating unit
shall not be operated until a final PSD
permit is issued for that unit;
(ii) Each electric generating unit
shall not be operated until that unit
complies with all requirements of its
PSD permit, including, if necessary.
retrofitting with the best available
control technology ("BACT");
(iii) The PSD application for each
electric generating unit shall be
deemed complete without the submit-
§69.11
tal of the required one year of on-site
meteorological data, however, EPA
will not issue a PSD permit to such a
unit prior to submission of such data
or data which the EPA finds to be an
equivalent and acceptable substitute;
and
(iv) If any electric generating unit
covered by this paragraph is operated
either prior to the issuance of a final
PSD permit or without BACT equip-
ment, that electric generating unit
shall be deemed in violation of this
waiver and the CAA beginning on the
date of commencement of construction
of that unit.
(2) A waiver of the three nonattain-
ment area requirements (a construc-
tion ban, the use of lowest achievable
emission rate control equipment, and
emission offset requirements) cur-
rently applicable to the Cabras-Piti
area is granted for electric generating
units with the following conditions:
(i) A tower and meteorological sta-
tion shall be constructed in the Cabras-
Piti area by May 1, 1993;
(ii) Meteorological data shall be col-
lected from the Cabras-Piti station
which is sufficient to run air quality
models both to demonstrate no current
exceedences of the primary national
ambient air quality standard for sulfur
dioxide ("sulfur dioxide NAAQS"), as
set forth at 40 CFR 50.4. and sufficient
to submit a complete request for redes-
ignation of the area to attainment;
(iii) Ambient sulfur dioxide monitors
shall be installed and operated in ac-
cordance with the procedures set forth
at 40 CFR part 58, the PSD air monitor-
ing requirements, and any additional
monitoring requested by EPA to verify
the efficacy of the intermittent control
strategy ("ICS") of fuel switching;
(iv) Within three years from the ef-
fective date of this waiver, the Gov-
ernor of Guam shall submit to the EPA
a complete request that the Cabras-
Piti area be redesignated to attain-
ment for the sulfur dioxide NAAQS;
(v) Electric 'generating .units to be
constructed in the Cabras-Piti area
must submit applications for PSD per-
mits as though the area had been re-
designated to attainment for the sulfur
dioxide NAAQS;
(vi) The Cabras-Piti area electric
generating units shall comply with the
1247
-------
Monday
August 25, 1997
Part VIII
Environmental
Protection Agency
40 CFR Part 68
List of Regulated Substances and
Thresholds for Accidental Release
Prevention; Final Rule
45129
-------
45130 Federal Register / Vol. 62, No. 164 / Monday, August 25, 1997 / Rules and Regulations
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 68
[FRL-5881-8]
List of Regulated Substances and
Thresholds for Accidental Release
Prevention
AGENCY: Environmental Protection
Agency (EPA).
ACTION; Final rule.
SUMMARY: The Environmental Protection
Agency (EPA) is taking final action to
modify the list of regulated substances
and threshold quantities authorized by
section 112(r) of the Clean Air Act as
amended. EPA is vacating the listing
and related threshold for hydrochloric
acid solutions with less than 37%
concentrations of hydrogen chloride.
The current listing and threshold for all
other regulated substances, including
hydrochloric acid solutions with 37% or
greater concentrations and the listing
and threshold for anhydrous hydrogen
chloride, are unaffected by today's
rulemaking. Today's action implements,
In part, a settlement agreement between
EPA and the General Electric Company
(GE) to resolve GE's petition for review
of the rulemaking listing regulated
substances and establishing thresholds
under the accidental release prevention
regulations.
DATES: This rule is effective August 25.
1997.
ADDRESSES: Docket: The docket for this
rulemaking is A-97-28. This rule
amends a final rule, the docket for
which is A-91-74. The docket may be
inspected between 8:00 a.m. and 5:30
p.m.. Monday through Friday, at EPA's
Air Docket, Room M1500, Waterside
Mall. 401 M St., SW, Washington. DC
20460: telephone (202) 260-7548. A
reasonable fee may be charged for
copying.
FOR FURTHER INFORMATION CONTACT: Sicy
Jacob. Chemical Engineer, Chemical
Emergency Preparedness and
Prevention Office, Environmental
Protection Agency. MC 5104, 401 M St.,
SW, Washington. DC 20460. (202) 260-
7249.
SUPPLEMENTARY INFORMATION:
Regulated Entities
Entities potentially affected by this
action include the following types of
facilities if the facility has more than the
IS.OOO-pound threshold quantity of
hydrochloric acid solutions with
concentrations of less than 37%
hydrogen chloride.
Category
Chemical
manufactur-
ers.
Petrochemical
Other manu-
facturers.
Wholesalers ..
Federal
sources.
Example of regulated entities
Industrial inorganics.
Plastics and resins.
Pulp and paper mills, primary
metal production, fab-
ricated metal products,
electronic and other elec-
tric equipment, transpor-
tation equipment, industrial
machinery and equipment,
food processors.
Chemical distributors.
Defense and energy installa-
tions.
This table is not intended to be
exhaustive, but rather provides a guide
for readers regarding entities likely to be
affected by this action. This table lists
types of entities that the EPA is now
aware could potentially be affected by
this action. Other types of entities not
listed in the table could be affected. To
determine whether your facility is
affected by this action, you should
carefully examine today's notice. If you
have questions regarding the
applicability of this action to a
particular entity, consult the person
listed in the preceding For Further
Information Contact section.
The following outline is provided to
aid in reading this preamble to the rule:
Table of Contents
I. Introduction and Background
A. Statutory Authority
B. Regulatory History
C. List Rule Litigation
II. Discussion of the Final Rule and Public
Comments
III. Judicial Review
IV. Required Analyses
A. Executive Order 12866
B. Regulatory Flexibility
C. Paperwork Reduction
D. Unfunded Mandates Reform Act
E. Submission to Congress and the General
Accounting Office
I. Introduction and Background
A. Statutory Authority
This final rule is being issued under
sections 112(r) and 301 of the Clean Air
Act (Act) as amended.
B. Regulatory History
The Clean Air Act (CAA or Act),
section 112(r), requires EPA to
promulgate an initial list of at least 100
substances ("regulated substances")
that, in the event of an accidental
release, are known to cause or may be
reasonably expected to cause death,
injury, or serious adverse effects to
human health and the environment. The
CAA also requires EPA to establish a
threshold quantity for each chemical at
the time of listing. Stationary sources
that have more than a threshold
quantity of a regulated substance are
subject to accident prevention
regulations promulgated under CAA
section 112(r)(7), including the
requirement to develop risk
management plans.
On January 31, 1994, EPA
promulgated the list of regulated
substances and thresholds that identify
stationary sources subject to the
accidental release prevention
regulations (59 FR 4478) (the "List
Rule"). This list included hydrochloric
acid solutions with concentrations of
30% or greater. Such solutions were
assigned a threshold quantity of 15,000
pounds. EPA subsequently promulgated
a rule requiring owners and operators of
stationary sources with listed
substances above their threshold
quantities to develop programs
addressing accidental releases and to
make publicly available risk
management plans ("RMPs")
summarizing these programs. (61 FR
31668, June 20, 1996) (the "RMP Rule").
For further information on these
regulations, section 112(r), and related
statutory provisions, see these notices.
These rules can be found in 40 CFR pan
68, "Chemical Accident Prevention
Provisions," and collectively are
referred to as the accidental release
prevention regulations.
C. List Rule Litigation
The General Electric Company (GE)
filed a petition for judicial review of the
List Rule regarding EPA's listing criteria
under the List Rule, the listing of certain
substances in the List Rule, the setting
of threshold quantities for certain
substances in particular and all
regulated toxic substances generally,
and the petition process for adding and
deleting regulated substances to the list.
Recognizing that the public's interest
would best be served by settlement of
all issues raised in this litigation, GE
and EPA agreed to a settlement on April
7, 1997. Under the terms of the
settlement agreement, on May 22, 1997
(62 FR 27992), EPA proposed to vacate
the listing and related threshold for
hydrochloric acid solutions with less
than 37% concentrations of hydrogen
chloride. EPA is today taking final
action on this proposal.
II. Discussion of the Final Rule and
Public Comments
Today's final rule adopts without •
modification the May 22, 1997 (62 FR
27992), proposal to vacate provisions of
the accidental release prevention
regulations that specifically address
hydrochloric acid solutions with less
than 37% hydrogen chloride. The basis
-------
Federal Register / Vol. 62. No. 164 ft Monday. August 25. 1997 / Rules and Regulations 45131
and purpose of this rulemaking is set
out in the above referenced proposal. As
discussed in the proposal, this action
addresses the essential element of the
dispute between EPA and GE while
eliminating the collateral uncertainty
that would exist about the regulatory
status of the remaining chemicals if the
litigation proceeded. EPA has
vigorously advocated responsible
accident prevention efforts by industry
even before enactment of section 112(r).
The Agency is concerned that
prolonging this dispute may encourage
owners and operators of sources who
are solely concerned about regulatory
compliance to defer engaging in
responsible accident prevention
activities. By implementing the
settlement agreement with GE and by
implementing the settlement agreements
reached in the other two challenges to
the List Rule, EPA will be able to retain
on the list of regulated substances
nearly all of the chemicals originally
listed and eliminate uncertainty about
their regulatory status. As also
discussed in the proposal, the general
duty clause of section 112(r)(l) and the
retention on the list of solutions with
concentrations of 37% or greater
ensures that today's rule is protective of
public health in several respects.
EPA received 11 letters commenting
on the proposed rule. All of the
comments were from industry and trade
associations. All commenters supported
vacating the listing of hydrochloric acid
in concentration below 37%. Several of
them specifically supported EPA's
stated position that this proposal is
protective of public health in several
respects and that this action will
eliminate uncertainty in the regulated
community regarding RMP compliance
for hydrochloric acid solutions.
Several commenters brought up
technical issues regarding the basis for
listing hydrochloric acid in aqueous
solution. EPA stated in the proposed
rule that it was not reopening the
rulemaking record on the listing of
hydrochloric acid within the range of
30% to 37%. Any technical issues
related to the listing of hydrochloric
acid solutions will be addressed if EPA
undertakes future regulatory actions
regarding such solutions. In agreeing to
the settlement with GE and in this
related rulemaking, EPA has not
conceded or acknowledged any
technical deficiencies in its original
listing of HC1 solutions with less than
37% concentration.
One commenter said that solutions at
37%, as well as those below 37%,
should be delisted. EPA considers this
issue outside the scope of the current
rulemaking. The listing of solutions at
37% and above was decided in the
original List Rule and was not reopened
by this rulemaking; objections to the
listing of 37% solutions should have
been made by seeking review of the
original List Rule and are now untimely.
To the extent that the commenter
wishes to reopen the technical merits of
listing solutions that are precisely 37%
HC1, EPA would address that issue
along with other technical issues if EPA
were to take further action on
hydrochloric acid solutions.
Two commenters referred to
comments submitted on the original
proposal to list hydrochloric acid
solution. EPA addressed comments on
the proposed List Rule when it
promulgated the final rule (January 31
1994).
Several commenters questioned the
accident history of hydrochloric acid
solutions and stated that EPA's accident
database does not support listing
hydrochloric acid solutions. To the
extent to which it is relevant, EPA will
consider the up-to-date accident history
if it takes any further regulatory actions
on the listing of hydrochloric acid
solutions.
One commenter stated that EPA
overestimated the number of regulated
sources that would not have to comply
with the List rule as a result of this
vacatur. EPA's estimate of 800 sources
was based on preliminary, conservative
assumptions that EPA used to determine
that a regulatory impact analysis was
not required and was not related to the
basis for the proposal. The number and
type of sources that are affected by a
listing are irrelevant under sections
112(r)(3) and (4). The Agency recognizes
that this estimate may represent a
conservative picture of the effect of the
rule on the regulated community.
One commenter stated his
understanding that hydrochloric acid
solutions of 36.94% would not be
covered by the RMP rule. EPA confirms
that all solutions that can be accurately
measured at less than 37% are
excluded.
EPA also proposed on May 22, 1997,
to extend the RMP rule compliance
deadline for hydrochloric acid solutions
with concentrations of 30% to 37% if
EPA did not take final action to vacate
the hydrochloric acid listing as
proposed. Because EPA is vacating the
listing of such solutions by the final
action today, no action is necessary on
this alternative proposal. If EPA were to
relist these solutions in the future, then
sources would have three years from the
new listing to comply with the RMP
rule.
Finally, as stated in the proposal, EPA
wishes to clarify that this rule will not
affect in any way the listing of
anhydrous hydrogen chloride.
Anhydrous hydrogen chloride will
retain its 5000-pound threshold.
Threshold determination provisions for
regulated toxic substances would apply
to anhydrous hydrogen chloride.
Anhydrous mixtures of hydrogen
chloride would be subject to the mixture
provisions for regulated toxic
substances. Aqueous mixtures of
hydrochloric acid would be affected to
the extent that the minimum
concentration cutoff would be revised.
Based on the reasons discussed above,
EPA is vacating the listing in part 68 of '
hydrochloric acid solutions at
concentrations of less than 37% (from
30% up to 37%) hydrogen chloride.
Solutions of 37% or greater will not be
affected by today's rule and remain on
the list. In addition, EPA is vacating
other provisions of the accidental
release prevention regulations insofar as
they apply to hydrochloric acid '
solutions at concentrations less than
37% hydrogen chloride. For example,
the reference to "hydrochloric acid
(cone 30% or greater)" in the toxic
endpoint table for 40 CFR part 68 will
be revised to refer to concentrations of
37% or greater.
ffl. Judicial Review
Under section 307(b)(l) of the Clean
Air Act (CAA), judicial review of the
actions taken by this final rule is
available only on the filing of a petition
for review in the U.S. Court of Appeals
for the District of Columbia Circuit
within 60 days of today's publication of
this action. Under section 307 (b) (2) of
the CAA, the requirements that are
subject to today's notice may not be
challenged later in civil or criminal •
proceedings brought by EPA to enforce
these requirements.
IV. Required Analyses
A. Executive Order 12866
Under Executive Order 12866 (58 FR
51735, October 4, 1993), the Agency
must judge whether the regulatory
action is "significant," and therefore
subject to OMB review and the
requirements of the Executive Order.
The Order defines "significant
regulatory action" as one that is likely
to result in a rule that may:
(1) Have an annual effect on the
economy of $ 100 million or more or
adversely affect in a material way the
economy, a sector of the economy,
productivity, competition, jobs, the
environment, public health or safety, or
state, local, or tribal government or
communities;
-------
45132 Federal Register / Vol. 62, No. 164 / Monday, August 25, 1997 / Rules and Regulations
(2) Create a serious inconsistency or
otherwise interfere with an action taken
or planned by another agency;
(3) Materially alter the budgetary
impact of entitlements, grants, user fees,
or loan programs or the rights and
obligations of recipients thereof; or
(4; Raise novel legal or policy issues
arising out of legal mandates, the
President's priorities, or the principles
set forth in the Executive Order.
It has been determined that this rule
is not a "significant regulatory action"
under the terms of Executive Order
12866 and, therefore, is not subject to
OMB review.
B. Regulatory Flexibility
EPA has determined that it is not
necessary to prepare a regulatory
flexibility analysis in connection with
this final rule. EPA has also determined
that this rule will not have a significant
negative economic impact on a
substantial number of small entities.
This final rule will not have a
significant negative impact on a
substantial number of small entities
because it will reduce the range of
hydrochloric acid solutions listed under
part 68 and thus reduce the number of
stationary sources subject to part 68.
C. Paperwork Reduction
This rule does not include any
information collection requirements for
OMB to review under the provisions of
the Paperwork Reduction Act.
D. Unfunded Mandates Reform Act
Title n of the Unfunded Mandates
Reform Act of 1995 (UMRA), Pub. L.
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 S100 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 of 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.
EPA has determined that this rule
does not contain a Federal mandate that
may result in expenditures of $100
million or more for State, local, and
tribal governments, in the aggregate, or
the private sector in any one year.
Today's rule will reduce the number of
sources subject to part 68. Thus, today's
rule is not subject to the requirements
of sections 202 and 205 of the UMRA.
For the same reason, EPA has
determined that this rule contains no
regulatory requirements that might
significantly or uniquely affect small
governments.
E. Submission to Congress and the
General Accounting Office
Under 5 U.S.C. 801 (a) (1) (A) as added
by the Small Business Regulatory
Enforcement Fairness Act of 1996, EPA
submitted 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 General Accounting
Office prior to publication of the rule in
today's Federal Register. This rule is
not a "major rule" as defined by 5
U.S.C. 804(2).
List of Subjects in 40 CFR Part 68
Environmental protection. Chemicals,
Chemical accident prevention,
Extremely hazardous substances,
Incorporation by reference.
Intergovernmental relations. Hazardous
substances. Reporting and
recordkeeping requirements.
Dated: August 19, 1997.
Carol M. Browner,
Administrator.
For the reasons set out in the
preamble, title 40, chapter I, subchapter
C, part 68 of the Code of Federal
Regulations is amended as follows:
PART 68—CHEMICAL ACCIDENT
PREVENTION PROVISIONS
1. The authority citation for part 68
continues to read as follows:
Authority: 42 U.S.C. 7412(r), 7601 (a)(l),
7661-7661f:
§ 68.130 Tables 1 and 2 [Amended]
2. In § 68.130 List of substances. Table
1 is amended by revising the listing in
the column "Chemical name" from
"Hydrochloric acid (cone 30% or
greater)" to "Hydrochloric acid (cone
37% or greater)."
3. In § 68.130 List of substances, Table
2 is amended by revising the listing in
the column "Chemical name" from
"Hydrochloric acid (cone 30% or
greater)" to "Hydrochloric acid (cone
37% or greater)," and by adding a note
"d" between note "c" and "e" at the
end of the table to read as follows:
"d Toxicity of hydrogen chloride,
potential to release hydrogen chloride,
and history of accidents.''
Appendix A of Part 68 [Amended]
4. Appendix A of Part 68 is amended
by revising the listing in the column
"Chemical name" from "Hydrochloric
acid (cone 30% or greater)" to
"Hydrochloric acid (cone 37% or
greater)."
[FR Doc. 97-22511 Filed 8-22-97; 8:45 am]
BILUNG CODE 6560-50-P
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Tuesday
January 6, 1998
s -s. s
Part IV
Environmental
Protection Agency
40 CFR Part 68
List of Regulated Substances and
Thresholds for Accidental Release
Prevention; Final Rule
639
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Federal Register / Vol. 63, No. 3 / Tuesday, January 6, 1998 / Rules and Regulations
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 68
[FRL-5940-4J
BIN 2050-AE35
List of Regulated Substances and
Thresholds for Accidental Release
Prevention; Amendments
AGENCY: Environmental Protection
Agency (EPA).
ACTION; Final rule.
SUMMARY: The Environmental Protection
Agency (EPA) is modifying the rule
listing regulated substances and
threshold quantities under section
112(r) of the Clean Air Act as amended.
EPA Is deleting the category of Division
1.1 explosives (as listed by DOT) from
the list of regulated substances.
Regulated flammable substances in
gasoline used as fuel and in naturally
occurring hydrocarbon mixtures prior to
initial processing are exempted from
threshold quantity determinations, and
the provision for threshold
determination of flammable substances
in a mixture is clarified. The definition
of stationary source is modified to
clarify the exemption of transportation
and storage incident to transportation
and to clarify that naturally occurring
hydrocarbon reservoirs are not
stationary sources or parts of stationary
sources. In addition, EPA is clarifying
that the Chemical Accident Prevention
Provisions do not apply to sources
located on the Outer Continental Shelf.
EPA believes these changes will better
focus accident prevention activities on
stationary sources with high hazard
operations and reduce duplication with
other similar requirements.
DATES: This rule is effective January 6,
1998.
ADDRESSES: Docket: The docket for this
rulemaking is A-96-O8. This rule
amends a final rule, the docket for
which is A-91-74. The docket may be
inspected between 8:00 a.m. and 5:30
p.m., Monday through Friday, at EPA's t
Air Docket, Room Ml500, Waterside
Mall, 401 M St., SW, Washington, DC
20460; telephone (202) 260-7548. A
reasonable fee may be charged for
copying.
FOR FURTHER INFORMATION CONTACT:
Vanessa Rodriguez, Chemical Engineer,
(202) 260-7913, Chemical Emergency
Preparedness and Prevention Office,
U.S. Environmental Protection Agency,
MC-5101, 401 M St. SW, Washington,
DC 20460, or the Emergency Planning
and Community Right-to-Know Hotline
at 1-800-424-9346.
SUPPLEMENTARY INFORMATION:
Regulated Entities
Entities potentially affected by this
action are those stationary sources that
have more than a threshold quantity of
a regulated substance in a process.
Regulated categories and entities
include:
Category
Chemical Manufacturers
Ptlrochernlcal
Other Manufacturing
Agriculture
Public Sources
Utilities „
Others
Federal Sources
Examples of regulated entities
sealants, fibers.
chinery, furniture, textiles. j
Fertilizers pesticides
Drinking and waste water treatment works
Electric and Gas Utilities
and cold storage, propane retail, warehousing and wholesalers.
Military and energy installations
This table is not intended to be
exhaustive, but rather provides a guide
for readers regarding entities likely to be
affected by this action. Other types of
entities not listed in the table also could
be affected. To determine whether a
stationary source is affected by this
action, carefully examine the provisions
of today's notice. If you have questions
regarding the applicability of this action
to a particular entity, consult the person
listed in the preceding FOR FURTHER
INFORMATION CONTACT Section.
The following outline is provided to
aid in reading this preamble:
Table of Contents
I Introduction and Background
A. Statutory Authority
B. Regulatory History
C. List Rule Litigation
II, Discussion of the Final Rule and Public
Comments
A. Explosives
B, Regulated Flammable Substances in
Gasoline and in Naturally Occurring
Hydrocarbon Mixtures
C. Clarification of Threshold Determination
of Regulated Flammable Substances in
Mixtures
D. Definition of Stationary Source
E. Applicability to Outer Continental Shelf
m. Summary of Revisions to the Rule
IV. Judicial Review
V. Required Analyses
A. Executive Order 12866
B. Regulatory Flexibility
C. Paperwork Reduction
D. Unfunded Mandates Reform Act
'E. Submission to Congress and the General
Accounting Office
F. National Technology Transfer and
Advancement Act
I. Introduction and Background
A. Statutory Authority
This final rule is being issued under
sections 112(r) and 301 of the Clean Air
Act (CAA or Act) as amended.
B. Regulatory History
The CAA, section 112(r), requires EPA
to promulgate an initial list of at least
100 substances ("regulated substances")
that, in the event of an accidental
release, are known to cause or may be
reasonably expected to cause death,
injury, or serious adverse effects to
human health and the environment. The
CAA also requires EPA to establish a
threshold quantity for each chemical at
the time of listing. Stationary sources
that have more than a threshold
quantity of a regulated substance are
subject to accident prevention
regulations promulgated under CAA
section 112(r)(7), including the
requirement to develop risk
management plans.
On January 31. 1994, EPA
promulgated the list of regulated
substances and thresholds that identify
stationary sources subject to the
accidental release prevention
regulations (59 FR 4478) (the "List
Rule"). The listed substances included
77 acutely toxic substances, 63
flammable gases and volatile flammable
liquids, and Division 1.1 high explosive
substances as listed by the United States
Department of Transportation (DOT) in
49 CFR 172.101. EPA subsequently
promulgated a rule requiring owners
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Federal Register / Vol. 63, No. 3 /.Tuesday. January 6. 1998 / Rules and Regulations 641
and operators of stationary sources with
listed substances above their threshold
quantities to develop programs
addressing accidental releases and to
make publicly available risk
management plans ("RMPs")
summarizing these programs (61 FR
31668, June 20, 1996) (the "RMPRule").
For further information on these
regulations, section 112(r), and related
statutory provisions, see these notices.
These rules can be found in 40 CFR part
68, "Chemical Accident Prevention
Provisions," and collectively are
referred to as the accidental release
prevention regulations.
C. List Rule Litigation
The American Petroleum Institute
(API) and the Institute of Makers of
Explosives ffME) filed petitions for
judicial review of the List Rule
(American Petroleum Institute v. EPA
No. 94-1273 (D.C. Cir.) and
consolidated cases). On March 28, 1996,
EPA made available for public comment
under CAA section 113(g) proposed
settlement agreements with API and
IME (61 FR 13858, March 28, 1996).
Consistent with these agreements, EPA
proposed amendments to the List Rule
on April 15, 1996 (61 FR 16598). On
June 20, 1996, EPA promulgated a stay
of certain provisions of the List Rule
that were affected by the proposed
amendments (61 FR 31730). EPA is
today taking final action on the
amendments proposed in April 1996.
n. Discussion of the Final Rule and
Public Comments
In this final rule, EPA is taking the
following actions to amend the List
Rule: delisting explosives; exempting
from threshold determination regulated
flammable substances in gasoline and in
naturally occurring hydrocarbon
mixtures prior to initial processing;
clarifying the provision for threshold
determination of flammable substances
in mixtures to exempt mixtures that do
not have a National Fire Protection
Association (NFPA) flammability hazard
rating of 4; modifying the definition of
stationary source to clarify the
exemption of transportation and storage
incident to transportation and to clarify
that naturally occurring hydrocarbon
reservoirs are not stationary sources or
parts of stationary sources; and
clarifying that the chemical accident
prevention provisions do not apply to
sources located on the Outer
Continental Shelf ("OCS sources").
These amendments were proposed on
April 15, 1996. EPA received 37 letters
commenting on the proposal. Major
comments are discussed below.
Summaries of all comments and the
Agency's responses can be found in the
summary and response to comments
document in the docket
A. Explosives
EPA is amending the List Rule to
delete the category of high explosives
from the list of regulated substances.
Explosives were initially listed because
of their potential to cause offsite effects
from blast waves. In addition. EPA
believed that there existed potential
gaps in emergency planning and
response communication that made risk
management planning appropriate for
sources with explosives. In accordance
with the Settlement Agreement, ME has
developed and will implement safety
practices that will provide additional
information and enhance the
coordination between explosives
facilities and the emergency planners
and responders. As discussed in the
preamble to the proposed rule of April
15, 1996, EPA concluded that current
regulations and current and
contemplated industry practices
promote safety and accident prevention
in storage, handling, transportation, and
use of explosives. As a result, these
regulations and practices adequately
protect the public and the environment
from" the hazards of accidents involving
explosives. The Agency believes these
actions effectively close the remaining
gap in emergency planning and
• response communications. Therefore,
EPA is taking final action to delist
explosives from the list of regulated
substances under section 112(r).
EPA received six comment letters on
the proposal to delist explosives. All the
commenters supported EPA's proposal,
citing current regulations, current and
contemplated industry practices, and
the regulatory burden imposed by
listing explosives.
B. Regulated Flammable Substances in
Gasoline and 'in Naturally Occurring
Hydrocarbon Mixtures
EPA is taking final action to provide
specific exemptions from threshold
determination for regulated flammable
substances in gasoline used as fuel for
internal combustion engines and for
regulated substances in naturally
occurring hydrocarbon mixtures prior to
initial processing in a petroleum
refining process unit or a natural gas
processing plant. These exemptions
reflect EPA's original intent to exempt
flammable mixtures that do not meet the
criteria for a National Fire Protection
Association (NFPA) flammability hazard
rating of 4 and clarify the regulatory
status of gasoline and naturally
occurring hydrocarbon mixtures.
Naturally occurring hydrocarbon
mixtures would include any or any
combination of the following: natural
gas condensate, crude oil, field gas, and
produced water. This rule includes
definitions of these substances as well
as definitions of natural gas processing
plant and petroleum refining process
unit.
EPA is making minor changes to the
definitions proposed for natural gas
processing plant and petroleum refining
process unit. The North American
Industrial Classification System
(NAICS) code has been added to the
definition for natural gas processing
plant in this final rule. In addition, part
of the proposed definition has been
dropped, because it included the term
being defined and, as a result,
potentially could cause confusion. The
NAICS code also has been added to the
definition of petroleum refining process
unit: The proposed definition of
petroleum refining process unit
included the Standard Industrial
Classification (SIC) code (which is still
cited in the definition); however, SIC
codes have been replaced by NAICS
codes.
EPA received 12 letters in support of
the gasoline exemption. No comments
were submitted opposing this
exemption. Several of the commenters
who supported the exemption also
suggested broadening the exemption to
include blendstocks. natural gasolines,
and other fuels. Several suggestions
were made for clarifying the gasoline
exemption.
EPA does not believe the exemption
should be broadened. Individual
flammable substances that do not meet
the criteria for NFPA 4 for flammability
were not considered for listing as
flammables in development of the list of
regulated substances. Although
substances such as blendstocks and
natural gasoline are not specifically
exempted, any flammable mixtures,
including blendstocks and natural
gasoline, that do not meet the criteria for
an NFPA rating of 4 for flammability are
exempt from threshold determination
(see Clarification of Threshold
Determination of Regulated Flammable
Substances in Mixtures, discussed
below). EPA believes that substances
and mixtures that meet the criteria for
NFPA 4, including blendstocks and
fuels, should be covered by the rule,
regardless of their use. EPA believes
such substances have the same intrinsic
hazards whether they are used as
gasoline blendstocks, as fuels, or for
other purposes. EPA's analysis indicates
that risks associated with the storage
and handling of flammable substances
are a function of the properties of the
materials, not their end use. EPA is
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Federal Register / Vol. 63, No. 3 / Tuesday, January 6, 1998 / Rules and Regulations
exempting gasoline because it does not
meet the NFPA 4 criteria, and EPA
believes it does not represent a
significant threat to the public of vapor
cloud explosions.
EPA received 16 letters supporting the
exemption of naturally occurring
hydrocarbons prior to initial processing.
One commenter suggested modifying
the exemption to incorporate site-
specific factors because conditions
conducive to vapor cloud explosions
might exist at some facilities with
exempted flammable substances,
particularly in the case of oil and gas
production facilities located adjacent to
chemical production facilities. EPA
recognizes that there may be cases
where a facility may not be subject to
the RMP requirements because of this
exemption, but where the potential for
vapor cloud explosions may exist.
Neither Congress nor EPA intended the
List Rule to capture every substance that
may pose a hazard in particular
circumstances. Instead, the statute
required EPA to select the chemicals
posing the greatest risk of serious effects
from accidental releases. To implement
these criteria, EPA focused primarily on
chemicals that posed the most
significant hazards because site-specific
factors vary too gready to be considered
at the listing stage of regulation. EPA
believes the hazards of naturally
occurring hydrocarbon mixtures prior to
entry into a natural gas processing plant
or petroleum refining process unit do
not warrant regulation. The general duty
clause of section 112(r)(l) would apply
when site-specific factors make an
unlisted chemical extremely hazardous.
Also, the particular risk cited by the
commenter probably would be
addressed by the RMP Rule even with
the exemption as promulgated today. In
the case of a chemical facility located
adjacent to an oil and gas production
facility, the owner or operator of the
chemical facility is likely to have
processes covered due to other regulated
substances and would have to consider
site-specific conditions such as the
presence of an adjacent oil and gas
production facility. Therefore, it is
inappropriate to condition this
exemption on site-specific factors.
C. Clarification of Threshold
Determination of Regulated Flammable
Substances in Mixtures
To clarify threshold determination for
regulated flammable substances in
mixtures, EPA is taking final action to
provide that, for mixtures that have one
percent or greater concentration of a
regulated flammable substance, the
entire weight of the mixture shall be
treated as the regulated substance unless
the owner or operator can demonstrate
that the mixture does not have an NFPA
flammability hazard rating of 4, as
denned in the NFPA Standard System
for the Identification of Fire Hazards of
Materials, NFPA 704-1996.
In its proposed rule, to define NFPA
4, EPA cited and proposed to
incorporate by reference NFPA 704,
Standard System for the Identification
of Fire Hazards of Materials (1990
edition). For the definition and
determination of boiling point and flash
point, EPA cited and proposed to
incorporate by reference NFPA 321,
Standard on the Basic Classification of
Flammable and Combustible Liquids
(1991 edition). In this final rule, EPA is
updating these references and
incorporating by reference the 1996
edition of NFPA 704 and the 1996
edition of NFPA 30, Flammable and
Combustible Liquids Code, which
replaces NFPA 321.
Nine comments were submitted
supporting this clarification. No
opposing comments were submitted.
D. Definition of Stationary Source
EPA is promulgating the amendments
to the definition of stationary source
that were proposed on April 15, 1996.
First, EPA is clarifying that the
exemption for regulated substances in
transportation, or in storage incident to
such transportation, is not limited to
pipelines. In addition, EPA is modifying
the definition of stationary source to
clarify that naturally occurring
hydrocarbon reservoirs are not
stationary sources or parts of stationary
sources. Finally, EPA is modifying the
definition of stationary source to clarify
that exempt transportation shall
include, but not be limited to,
transportation activities subject to
regulation or oversight under 49 CFR
parts 192, 193, or 195, as well as
transportation subject to natural gas or
hazardous liquid programs for which a
state has in effect a certification under
49 U.S.C. section 60105.
EPA considers the transportation
exemption to include storage fields for
natural gas where gas taken from
pipelines is stored during non-peak
periods, to be returned to the pipelines
when needed. Such storage fields
include, but are not limited to, depleted
oil and gas reservoirs, aquifers, mines,
and caverns (e.g., salt caverns). For
purposes of this regulation, this type of
storage is incident to transportation and,
therefore, is not subject to the RMP rule.
The transportation exemption also
applies to liquefied natural gas (LNG)
facilities 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 DO
under 49 U.S.C. section 60105. These
facilities include those used to liquefy
natural or synthetic gas or used to
transfer, store, or vaporize LNG in
conjunction with pipeline
transportation.
EPA believes there still may be
potential for confusion regarding the
jurisdiction and regulatory
responsibility of EPA and DOT for
pipelines and for transportation
containers at stationary sources.
"Transportation in commerce" is
defined by DOT pursuant to Federal
Hazardous Materials Transportation
Law (Federal HAZMAT Law, 49 U.S.C.
sections 5107-5127). As a result of
continued questions regarding the scope
of Federal HAZMAT Law and the
applicability of the regulations issued
thereunder, the DOT is currently
working to better delineate and more
clearly define the applicability of its
regulations. DOT currently
contemplates clarifying its jurisdiction
through the rulemaking process. As a
result, there may be a future need for
EPA to further amend the definition of
stationary source to better comport with
DOT clarifications or actions. The
Agency will continue to work closely
with DOT to minimize confusion
regarding transportation containers and'
will coordinate .with DOT to ensure that
compatible interpretations about
regulatory coverage are provided to the
regulated community.
EPA received 15 letters in support of
the exemption of transportation
activities from the definition of
stationary source. No one opposed this
exemption. A number of commenters,
however, believed the modifications
would not eliminate overlap and
confusion between EPA and DOT rules.
A number of commenters also favored
exempting from the stationary source
definition transportation containers no
longer under active shipping papers and
transportation containers connected to
equipment for purposes of temporary
storage, loading, or unloading. Some
commenters stated that EPA would be
undermining DOT'S authority by
regulating activities that are under DOT
jurisdiction. Four commenters
recommended exempting all containers
that are suitable for transportation.
EPA developed the transportation
exemptions discussed here in
consultation with DOT. EPA's
regulations do not supersede or limit
DOT's authorities and, therefore, are in
compliance with CAA section 310. EPA
believes these provisions are consistent
with other EPA regulations, such as the
Emergency Planning and Community
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Federal Register / Vol. 63. No. 3 /Tuesday, January 6. 1998 /Rules and Regulations 643
Right-to-Know Act (EPCRA) regulations
under parts 355 and 370. EPA disagrees
I that suitability for transportation should
be the criterion for determining whether
a container should be considered part of
the stationary source. For example, EPA
believes that a railroad tank car
containing a regulated substance could
be considered a stationary source or part
of a stationary source, even though the
tank car is "suitable for transportation."
Such a tank car could remain at one
location for a long period of time,
serving as a storage container, and could
pose a hazard to the community. EPA
considers a container to be in
transportation as long as it is attached
to the motive power that delivered it to
the site (e.g., a truck or locomotive). If
a container remains attached to the
motive power that delivered it to the
site, even if a facility accepts delivery,
it would be in transportation, and the
contents would not be subject to
threshold determination. As stated
earlier, EPA will continue to work with
DOT to avoid regulatory confusion.
EPA agrees with commenters who
stated that active shipping papers may
not be a suitable criterion for
determining whether a container is in
transportation. EPA is aware that
shipping papers are not always
generated, nor are they required under
DOT rules. Therefore, EPA has modified
the definition of stationary source to .
remove the reference to active shipping
papers. EPA also has modified the
definition to remove the reference to
temporary storage. This-reference may
have been confused with storage
incident to transportation.
EPA has received questions regarding
the statement in the stationary source
definition that properties shall not be
considered contiguous solely because of
a railroad or gas pipeline right-of-way.
In response to these questions,-EPA is
clarifying this statement by deleting the
word "gas." EPA always intended that
neither a railroad right-of-way nor any
pipeline right-of-way should cause
properties to be considered contiguous.
E. Applicability to Outer Continental
Shelf
EPA is providing an applicability
exception for sources on the outer
continental shelf (OCS sources) to
clarify that Part 68 does not apply to
these sources. This exception is
consistent with CAA section 328. which
precludes the applicability of EPA CAA
rules to such sources when such rules
are not related to attaining or
maintaining ambient air quality
standards or to the "prevention of
significant deterioration" provisions of
the CAA. Eleven commenters supported
this exception, and no one opposed it.
HI. Summary of Revisions to the Rule
EPA is amending several sections of
part 68 of title 40 of the Code of Federal
Regulations.
In § 68.3, the definition of stationary
source is revised. The revised definition
specifically states that naturally
occurring hydrocarbon reservoirs are
not stationary sources or parts of
stationary sources. The definition states
that exempt transportation includes, but
is not limited to, transportation
activities subject to oversight or
regulation under 49 CFR parts 192, 193,
or 195, as well as transportation subject
to natural gas or hazardous liquid
programs for which a state has in effect
a certification under 49 U.S.C. section
60105. In addition, the agency has made
non-substantive wording changes to
improve the clarity of this definition.
Several new definitions are added for
§ 68.3, for condensate, crude oil, field
gas, natural gas processing plant,
petroleum refining process unit, and
produced water.
Section 68.10 is amended to clarify
that part 68 does not apply to OCS
sources.
Several revisions are made to § 68.115
on threshold determination. Section
68.115(b)(2) is modified to state that the
entire weight of the mixture containing
a regulated flammable substance shall
be treated as the regulated substance
unless the owner or operator can
demonstrate that the mixture does not
have an NFPA flammability hazard
rating of 4. Another modification to
§ 68.115(b)(2) exempts from threshold
determination regulated flammable
substances in gasoline used as fuel in
internal combustion engines. Regulated
substances in naturally occurring
hydrocarbon mixtures (including
condensate, crude oil, field gas, and
produced water), prior to entry into a
natural gas processing plant or a
petroleum refining process unit, also are
exempt from threshold determination.
Section 68.115(b)(3), on concentrations
of a regulated explosive substance in a
mixture, is deleted, and §§ 68.115(b)(4)
68.115(b)(5), and 68.115(b)(6) are
redesignated as §§ 68.115(b) (3),
68.115(b)(4), and 68.115(b)(5),
respectively.
Section 68.130 is modified by the
deletion of (a), explosives listed by DOT
as Division 1.1. Section 68.130(b) is
redesignated as §§68.130(a), and
§§68.130(c)as68.130(b).
IV. Judicial Review
Under section 307(b)(l) of the Clean
Air Act (CAA), judicial review of the
actions taken by this final rule is
available only on the filing of a petition
for review in the U.S. Court of Appeals
for the District of Columbia Circuit
within 60 days of today's publication of
this action. Under section 307 (b) (2) of
the CAA, the requirements that are
subject to today's notice may not be
challenged later in civil or criminal
proceedings brought by EPA to enforce
these requirements.
V. Required Analyses
A. Executive Order 12866
Under Executive Order 12866 (58 FR
51735, October 4, 1993), the Agency
must judge whether the regulatory
action is "significant," and therefore
subject to OMB review and the
requirements of the Executive Order.
The Order defines "significant
regulatory action" as one that is likely
to result in a rule that may:
(1) Have an annual effect on the
economy of SI00 million or more or
adversely affect in a material way the
economy, a sector of the economy,
productivity, competition, jobs, the
environment, public health or safety, or
state, local, or tribal government or
communities;
(2) Create a serious inconsistency or
otherwise interfere with an action taken
or planned by another agency;
(3) Materially alter the budgetary
impact of entitlements, grants, user fees,
or loan programs or the rights and
obligations of recipients thereof; or
(4) Raise novel legal or policy issues
arising out of legal mandates, the
President's priorities, or the principles
set forth in the Executive Order.
It has been determined that this rule
is not a "significant regulatory action"
under the terms of Executive Order
12866 and, therefore, is not subject to
OMB review. •
B. Regulatory Flexibility
EPA has determined that it is not
necessary to prepare a regulatory
flexibility analysis in connection with
this final rule. EPA has also determined
that this rule will not have a significant
negative economic impact on a
substantial number of small entities.
This final rule will not have a
significant negative impact on a
substantial number of small entities
because it reduces the number of
substances that would be used to
identify stationary sources for regulation
and provides exemptions that will
reduce the number of stationary sources
subject to the accidental release
prevention requirements.
-------
644
Federal Register / Vol. 63, No. 3 / Tuesday, January 6, 1998 / Rules and Regulations
C. Paperwork Reduction
This rule does not include any
information collection requirements for
OMB to review under the provisions of
the Paperwork Reduction Act.
D. Unfunded Mandates Reform Act
Title n 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 S100 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 of 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.
EPA has determined that this rule'
does not contain a Federal mandate that
may result in expenditures of $100
million or more for State, local, and
tribal governments, in the aggregate, or
the private sector in any one year.
Today's rule will reduce the number of
sources subject to part 68. Thus, today's
rule is not subject to the requirements
of sections 202 and 205 of the UMRA.
For the same reason, EPA has
determined that this rule contains no
regulatory requirements that might
significantly or uniquely affect small
governments.
E. Submission to Congress and the
General Accounting Office
Under 5 U.S.C. 801 (a) (1) (A) as added
by the Small Business Regulatory
Enforcement Fairness Act of 1996, EPA
submitted 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 General Accounting
Office prior to publication of the rule in
today's Federal Register. This rule is
not a "major rule" as defined by 5
U.S.C. 804(2).
F. National Technology Transfer and
Advancement Act
Under section 12(d) of the National
Technology Transfer and Advancement
Act ("NTTAA"). the Agency is required
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,
business practice, etc.) which are
developed or adopted by voluntary
consensus standard bodies. Where
available and potentially applicable
voluntary consensus standards are not
used by EPA, the Act requires the
Agency to provide Congress, through
the Office of Management and Budget,
an explanation of the reasons for not
using such standards.
EPA developed its list of regulated
flammable substances for this rule based
on analysis of the hazards of flammable
substances conducted in a review of the
EPCRA section 302 list. As part of this
analysis, EPA identified and evaluated
existing listing and classification
systems, including listing and
classification systems developed for
voluntary consensus standards. This
final rule incorporates, by reference, the
use of a voluntary consensus standard to
identify the chemicals which are
covered according to their flammability,
namely NFPA 704, "Standard System
for the Identification of the Hazards of
Materials for Emergency Response."
EPA identified no other potentially
applicable voluntary consensus
standards.
List of Subjects in 40 CFR Part 68
Environmental protection, Chemicals,
Chemical accident prevention, Clean
Air Act. Extremely hazardous
substances. Hazardous substances.
Intergovernmental relations, Reporting
and recordkeeping requirements.
Dated: December 18,1997.
Carol M. Browner,
Administrator.
For the reasons set out in the
preamble, title 40, chapter I, subchapter
C, part 68 of the Code of Federal
Regulations is amended as follows:
PART 68—CHEMICAL ACCIDENT
PREVENTION PROVISIONS
The authority citation for part 68
continues to read as follows:
Authority: 42 U.S.C. 7412(r), 7601(a)(l),
7661-7661f.
Subpart A—General
2. Section 68.3 is amended by adding
the following definitions in alphabetical
order and revising the definition of
"stationary source" to read as follows:
§68.3 Definitions.
*****
Condensate means hydrocarbon
liquid separated from natural gas that
condenses due to changes in
temperature, pressure, or both, and
remains liquid at standard conditions.
*****
Crude oil means any naturally
occurring, unrefined petroleum liquid.
*****
Field gas means gas extracted from a
production well before the gas enters a
natural gas processing plant.
*****
Natural gas processing plant (gas
plant) means any processing site
engaged in the extraction of natural gas
liquids from field gas, fractionation of
mixed natural gas liquids to natural gas
products, or both, classified as North
American Industrial Classification
System (NAICS) code 211112
(previously Standard Industrial
Classification (SIC) code 1321).
*****
Petroleum refining process unit means
a process unit used in an establishment
primarily engaged in petroleum refining
as defined in NAICS code 32411 for
petroleum refining (formerly SIC code
2911) and used for the following:
Producing transportation fuels (such as
gasoline, diesel fuels, and jet fuels),
heating fuels (such as kerosene, fuel gas
distillate, and fuel oils), or lubricants;
Separating petroleum; or Separating,
cracking, reacting, or reforming
intermediate petroleum streams.
Examples of such units include, but are
not limited to, petroleum based solvent
units, alkylation units, catalytic
hydrotreating, catalytic hydrorefining,
catalytic hydrocracking, catalytic
reforming, catalytic cracking, crude
distillation, lube oil processing,
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Federal Register / Vol. 63. No. 3 / Tuesday. January 6, 1998 / Rules and Regulations
645
hydrogen production, isomerization,
polymerization, thermal processes, and
blending, sweetening, and treating
processes. Petroleum refining process
units include sulfur plants.
*****
Produced water means water
extracted from the earth from an oil or
natural gas production well, or that is
separated from oil or natural gas after
extraction.
*****
Stationary source means any
buildings, structures, equipment,
installations, or substance emitting
stationary activities which belong to the
same industrial group, which are
located on one or more contiguous
properties, which are under the control
of the same person (or persons under
common control), and from which an
accidental release may occur. The term
stationary source does not apply to
transportation, including storage
incident to transportation, of any
regulated substance or any other
extremely hazardous substance under
the provisions of this part. A stationary
source includes transportation
containers used for storage not incident
to transportation and transportation
containers connected to equipment at a
stationary source for loading or
unloading. Transportation includes, but
is not limited to, transportation subject
to oversight or regulation under 49 CFR
parts 192, 193, or 195, or a state natural .
gas or hazardous liquid program for
which the state has in effect a
certification to DOT under 49 U.S.C.
section 60105, A stationary source does
not include naturally occurring
hydrocarbon reservoirs. Properties shall
not be considered contiguous solely
because of a railroad or pipeline right-
of-way.
*****
3. Section 68.10 is amended by
adding a paragraph (f) to read as
follows:
§68.10 Applicability.
* * * * *
(f) The provisions of this part shall
not apply to an Outer Continental Shelf
("OCS") source, as defined in 40 CFR
55.2.
Subpart F—Regulated Substances for
Accidental Release Prevention
4. Section 68.115 is amended by
revising paragraph (b) introductory text
and paragraph (b) (2); removing
paragraph (b) (3): and fay redesignating
paragraphs (b)(4) through (b)(6) as (b)(3)
through (b)(5) to read as follows:
§68.115 Threshold determination.
*****
(b) For the purposes of determining
whether more than a threshold quantity
of a regulated substance is present at the
stationary source, the following
exemptions apply:
*****
(2) Concentrations of a regulated
flammable substance in a mixture, (i)
General provision. If a regulated
substance is present in a mixture and
the concentration of the substance is
below one percent by weight of the
mixture, the mixture need not be
considered when determining whether
more than a threshold quantity of the
regulated substance is present at the
stationary source. Except as provided in
paragraph (b)(2) (ii) and (iii) of this
section, if the concentration of the
substance is one percent or greater by
weight of the mixture, then, for
purposes of determining whether a
threshold quantity is present at the
stationary source, the entire weight of
the mixture shall be treated as the
regulated substance unless the owner or
operator can demonstrate that the
mixture itself does not have a National
Fire Protection Association flammability
hazard rating of 4. The demonstration
shall be in accordance with the
definition of flammability hazard rating
4 in the NFPA 704, Standard System for
the Identification of the Hazards of
Materials for Emergency Response,
National Fire Protection Association,
Quincy, MA, 1996. Available from the
National Fire Protection Association, 1
Batterymarch Park, Quincy, MA 02269-
9101. This incorporation by reference
was approved by the Director of the
Federal Register in accordance with 5
U.S.C. 552(a) and 1 CFR part 51. Copies
may be inspected at the Environmental
Protection Agency Air Docket (6102),
Attn: Docket No. A-96-O8, Waterside
Mall, 401 M. St. SW., Washington D.C.;
or at the Office of Federal Register at
800 North Capitol St., NW, Suite 700,
Washington, D.C. Boiling point and
flash point shall be defined and
determined in accordance with NFPA
30, Flammable and Combustible Liquids
Code, National Fire Protection
Association, Quincy, MA, 1996.
Available from the National Fire
Protection Association, 1 Batterymarch
Park, Quincy, MA 02269-9101. This
incorporation by reference was
approved by the Director of the Federal
Register in accordance with 5 U.S.C.
552(a) and 1 CFR part 51. Copies may
be inspected at the Environmental
Protection Agency Air Docket (6102),
Attn: Docket No. A-96-O8, Waterside
Mall, 401 M. St. SW., Washington D.C.;
or at the Office of Federal Register at
800 North Capitol St., NW. Suite 700,
Washington, D.C. The owner or operator
shall document the National Fire
Protection Association flammability
hazard rating.
(ii) Gasoline. Regulated substances in
gasoline, when in distribution or related
storage for use as fuel for internal
combustion engines, need not be
considered when determining whether
more than a threshold quantity is
present at a stationary source.
(iii) Naturally occurring hydrocarbon
mixtures. Prior to entry into a natural
gas processing plant or a petroleum
refining process unit, regulated
substances in naturally occurring
hydrocarbon mixtures need not be
considered when determining whether
more than a threshold quantity is
present at a stationary source. Naturally
occurring hydrocarbon mixtures include
any combination of the following:
condensate, crude oil, field gas, and
produced water, each as defined in
§68.3 of this part.
* - * * * *
§68.130 [Amended]
5. Section 68.130 is amended by
removing paragraph (a) and
redesignating paragraphs (b) and (c) as
paragrpahs (a) and (b). The tables to the
section remain unchanged.
[FR Doc. 98-267 Filed 1-5-98; 8:45 am]
BILLING CODE 6560-50-P
-------
-------
Appendix B
Selected NAICS Codes
-------
-------
SELECTED 1997 NAICS CODES
21 Mining
211 Oil and Gas Extraction
211111 Crude Petroleum and Natural Gas Extraction
211112 Natural Gas Liquid Extraction
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
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
311212 Rice Milling
311213 Malt Manufacturing
31122 Starch and Vegetable Fats and Oils Manufacturing
311221 Wet Com Milling
311222 Soybean Processing
311223 Other Oilseed Processing
311225 Fats and Oils Refining and Blending
31123 Breakfast Cereal Manufacturing
3113 Sugar and Confectionery Product Manufacturing
31131 Sugar Manufacturing
311311 Sugarcane Mills
311312 Cane Sugar Refining
311313 Beet Sugar Manufacturing
31132 Chocolate and Confectionery Manufacturing from
Cacao Beans
31133 Confectionery Manufacturing from Purchased
Chocolate
•31134 Non-Chocolate Confectionery Manufacturing
3114 Fruit and Vegetable Preserving and Specialty
Food Manufacturing
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
3115 Dairy Product 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
3116 Meat Product Manufacturing
311611 Animal (except Poultry) Slaughtering
311612 Meat Processed from Carcasses
311613 Rendering and Meat By-product Processing
311615 Poultry Processing
3117 Seafood Product Preparation and Packaging
311711 Seafood Canning
311712 Fresh and Frozen Seafood Processing
3118 Bakeries and Tortilla Manufacturing
311811 Retail Bakeries
311812 Commercial Bakeries
311813 Frozen Bakery Product Manufacturing
311821 Cookie and Cracker Manufacturing
311822 Flour Mixes and Dough Manufacturing from
Purchased Flour
311823 Pasta Manufacturing
31183 Tortilla Manufacturing
3119 Other Food Manufacturing
31191 Snack Food Manufacturing
311911 Roasted Nuts and Peanut Butter Manufacturing
311919 Other Snack Food Manufacturing
31192 Coffee and Tea Manufacturing
31193 Flavoring Syrup and Concentrate Manufacturing
311941 Mayonnaise, Dressing and Other Prepared
Sauce Manufacturing
311942 Spice and Extract Manufacturing
31199 All Other Food Manufacturing
311991 Perishable Prepared Food Manufacturing
311999 All Other Miscellaneous Food Manufacturing
312 Beverage and Tobacco Product Manufacturing
3121 Beverage Manufacturing
312111 Soft Drink Manufacturing
312112 Bottled Water Manufacturing
312113 Ice Manufacturing
31212 Breweries
31213 Wineries
31214 Distilleries
3122 Tobacco Manufacturing
31221 Tobacco Stemming and Redrying
31222 Tobacco Product Manufacturing
312221 Cigarette Manufacturing
312229 Other Tobacco Product Manufacturing
313 Textile Mills
3131 Fiber, Yam, and Thread Mills
313111 Yarn Spinning Mills
313112 Yarn Texturing, Throwing and Twisting Mills
313113 Thread Mills
3132 Fabric Mills
31321 Broadwoven Fabric Mills
31322 Narrow Fabric Mills and Schiffli Machine
Embroidery
313221 Narrow Fabric Mills
-------
Appendix B
NAICS Codes
B-2
313222 Schiffli Machine Embroidery
31323 Nonwoven Fabric Mills
31324 Knit Fabric Mills
313241 Weft Knit Fabric Mills
313249 Other Knit Fabric and Lace Mills
31331 Textile and Fabric Finishing Mills
313311 Broadwoven Fabric Finishing Mills
313312 Textile and Fabric Finishing (except Broadwoven
Fabric) Mills
31332 Fabric Coating Mills
314 Textile Product Mills
3141 Textile Furnishings Mills
31411 Carpet and Rug Mills
31412 Curtain and Linen Mills
314121 Curtain and Drapery Mills
314129 Other Household Textile Product Mills
31491 Textile Bag and Canvas Mills
314911 Textile Bag Mills
314912 Canvas and Related Product Mills
31499 All Other Textile Product Mills
314991 Rope, Cordage and Twine Mills
314992 Tire Cord and Tire Fabric Mills
314999 All Other Miscellaneous Textile Product Mills
315 Apparel Manufacturing
315111 Sheer Hosiery Mills
315119 Other Hosiery and Sock Mills
315191 Outerwear Knitting Mills
315192 Underwear and Nightwear Knitting Mills
315991 Hat, Cap and Millinery Manufacturing
315992 Glove and MHten Manufacturing
315993 Men's and Boys' Neckwear Manufacturing
315999 Other Apparel Accessories and Other Apparel
Manufacturing
316 Leather and Allied Product Manufacturing
31611 Leather and Hide Tanning and Finishing
31621 Footwear Manufacturing
316211 Rubber and Plastics Footwear Manufacturing
316212 House Slipper Manufacturing
316213 Men's Footwear (except Athletic) Manufacturing
316214 Women's Footwear (except Athletic)
Manufacturing
316219 Other Footwear Manufacturing
31699 Other Leather and Allied Product Manufacturing
316991 Luggage Manufacturing
316992 Women's Handbag and Purse Manufacturing
316993 Personal Leather Good (except Women's
Handbag and Purse) Manufacturing
316999 All Other Leather Good Manufacturing
321 Wood Product Manufacturing
32111 Sawmills and Wood Preservation
321113 Sawmills
321114 Wood Preservation
32121 Veneer, Plywood, and Engineered Wood Product
Manufacturing
321211 Hardwood Veneer and Plywood Manufacturing
321212 Softwood Veneer and Plywood Manufacturing
321213 Engineered Wood Member (except Truss)
Manufacturing
321214 Truss Manufacturing
321219 Reconstituted Wood Product Manufacturing
32191 Millwork
321911 Wood Window and Door Manufacturing
321912 Cut Stock, Resawing Lumber, and Planing
321918 Other Millwork (including Flooring)
32192 Wood Container and Pallet Manufacturing
32199 All Other Wood Product Manufacturing
321991 Manufactured Home (Mobile Home)
Manufacturing
321992 Prefabricated Wood Building Manufacturing
321999 All Other Miscellaneous Wood Product
Manufacturing
322 Paper Manufacturing
32211 Pulp Mills
32212 Paper Mills
322121 Paper (except Newsprint) Mills
322122 Newsprint Mills
32213 Paperboard Mills
32221 Paperboard Container Manufacturing
322211 Corrugated and Solid Fiber Box Manufacturing
322212 Folding Paperboard Box Manufacturing
322213 Setup Paperboard Box Manufacturing
322214 Fiber Can, Tube, Drum, and Similar Products
Manufacturing
322215 Non-Folding Sanitary Food Container
Manufacturing
32222 Paper Bag and Coated and Treated Paper
Manufacturing
322221 Coated and Laminated Packaging Paper and
Plastics Film Manufacturing
322222 Coated and Laminated Paper Manufacturing
322223 Plastics, Foil, and Coated Paper Bag
Manufacturing
322224 Uncoated Paper and Multiwall Bag
Manufacturing
322225 Laminated Aluminum Foil Manufacturing for
Flexible Packaging Uses
32223 Stationery Product Manufacturing
322231 Die-Cut Paper and Paperboard Office Supplies
Manufacturing
322232 Envelope Manufacturing
322233 Stationery, Tablet, and Related Product
Manufacturing
32229 Other Converted Paper Product Manufacturing
322291 Sanitary Paper Product Manufacturing
322292 Surface-Coated Paperboard Manufacturing
-------
B-3
Appendix B
NAIGS Codes
322298 All Other Converted Paper Product
Manufacturing
323 Printing and Related Support Activities
323110 Commercial Lithographic Printing
323111 Commercial Gravure Printing
323112 Commercial Flexographic Printing
323113 Commercial Screen Printing
323114 Quick Printing
323115 Digital Printing
323116 Manifold Business Form Printing
323117 Book Printing
323118 Blankbook, Loose-leaf Binder and Device
Manufacturing
323119 Other Commercial Printing
32312 Support Activities for Printing
324 Petroleum and Coal Products Manufacturing
32411 Petroleum Refineries
32412 Asphalt Paving, Roofing and Saturated Materials
Manufacturing
324121 Asphalt Paving Mixture and Block Manufacturing
324122 Asphalt Shingle and Coating Materials
Manufacturing
324191 Petroleum Lubricating Oil and Grease
Manufacturing
324199 All Other Petroleum and Coal Products
Manufacturing
325 Chemical Manufacturing
3251 Basic Chemical Manufacturing
32511 Petrochemical Manufacturing
32512 Industrial Gas Manufacturing
32513 Dye and Pigment Manufacturing
325131 Inorganic Dye and Pigment Manufacturing
325132 Organic Dye and Pigment Manufacturing
32518 Other Basic Inorganic Chemical Manufacturing
325181 Alkalies and Chlorine Manufacturing
325182 Carbon Black Manufacturing
325188 All Other Basic Inorganic Chemical
Manufacturing
32519 Other Basic Organic Chemical Manufacturing
325191 Gum and Wood Chemical Manufacturing
325192 Cyclic Crude and Intermediate Manufacturing
325193 Ethyl Alcohol Manufacturing
325199 All Other Basic Organic Chemical
Manufacturing
3252 Resin, Synthetic Rubber, and Artificial and
Synthetic Fibers and Filaments Manufacturing
32521 Resin and Synthetic Rubber Manufacturing
325211 Plastics Material and Resin Manufacturing
325212 Synthetic Rubber Manufacturing
32522 Artificial and Synthetic Fibers and Filaments
Manufacturing
325221 Cellulosic Organic Fiber Manufacturing
325222 Noncellulosic Organic Fiber Manufacturing
3253 Pesticide, Fertilizer and Other Agricultural
Chemical Manufacturing
32531 Fertilizer Manufacturing
325311 Nitrogenous Fertilizer Manufacturing
325312 Phosphatic Fertilizer Manufacturing
325314 Fertilizer (Mixing Only) Manufacturing
32532 Pesticide and Other Agricultural Chemical
Manufacturing
3254 Pharmaceutical and Medicine Manufacturing
32541 Pharmaceutical and Medicine Manufacturing
325411 Medicinal and Botanical Manufacturing
325412 Pharmaceutical Preparation Manufacturing
325413 In-Vitro Diagnostic Substance Manufacturing
325414 Biological Product (except Diagnostic)
Manufacturing
3255 Paint, Coating, Adhesive, and Sealant Manufacturing
32551 Paint and Coating Manufacturing
32552 Adhesive Manufacturing
3256 Soap, Cleaning Compound and Toilet Preparation
Manufacturing
32561 Soap and Cleaning Compound Manufacturing
325611 Soap and Other Detergent Manufacturing
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 Manufacturing
325991 Custom Compounding of Purchased Resin
325992 Photographic Film, Paper, Plate and Chemical
Manufacturing
325998 All Other Miscellaneous Chemical Product
Manufacturing
326 Plastics and Rubber Products Manufacturing
32611 Unsupported Plastics Film, Sheet and Bag
Manufacturing
326111 Unsupported Plastics Bag Manufacturing
326112 Unsupported Plastics Packaging Film and
Sheet Manufacturing
326113 Unsupported Plastics Film and Sheet (except
Packaging) Manufacturing
32612 Plastics Pipe, Pipe Fitting, and Unsupported
Profile Shape Manufacturing
326121 Unsupported Plastics Profile Shape
Manufacturing
326122 Plastics Pipe and Pipe Fitting 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
-------
Appendix B
NAICS Codes
B-4
32619 Other Plastics Product Manufacturing
326191 Plastics Plumbing Fixture Manufacturing
326192 Resilient Floor Covering Manufacturing
326199 All Other Plastics Product Manufacturing
3262 Rubber Product Manufacturing
326211 Tire Manufacturing (except Retreading)
326212 Tire Retreading
32622 Rubber and Plastics Hoses and Belting
Manufacturing
32629 Other Rubber Product Manufacturing
326291 Rubber Product Manufacturing for Mechanical
Use
326299 All Other Rubber Product Manufacturing
327 Nonmetallic Mineral Product Manufacturing
32711 Pottery, Ceramics, and Plumbing Fixture
Manufacturing
327111 Vitreous China Plumbing Fixture and China
and Earthenware Fittings and Bathroom
Accessories Manufacturing
327112 Vitreous China, Fine Earthenware and Other
Pottery Product Manufacturing
327113 Porcelain Electrical Supply Manufacturing
32712 Clay Building Material and Refractories
Manufacturing
327121 Brick and Structural Clay Tile Manufacturing
327122 Ceramic Wall and Floor Tile Manufacturing
327123 Other Structural Clay Product Manufacturing
327124 Clay Refractory 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
32733 Concrete Pipe, Brick and Block Manufacturing
327331 Concrete Block and Brick Manufacturing
327332 Concrete Pipe Manufacturing
32739 Other Concrete Product Manufacturing
32741 Lime Manufacturing
32742 Gypsum and Gypsum Product Manufacturing
32791 Abrasive Product Manufacturing
32799 All Other Nonmetallic Mineral Product
Manufacturing
327991 Cut Stone and Stone 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
331112 Electrometallurgical Ferroalloy Product
Manufacturing
33121 Iron and Steel Pipes and Tubes Manufacturing
from Purchased Steel
33122 Rolling and Drawing of Purchased Steel
331221 Cold-Rolled Steel Shape Manufacturing
331222 Steel Wire Drawing
33131 Alumina and Aluminum Production and
Processing
331311 Alumina Refining
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)
33142 Copper Rolling, Drawing, Extruding, and
Alloying •
331421 Copper Rolling, Drawing and Extruding
331422 Copper Wire (except Mechanical) Drawing
331423 Secondary Smelting, Refining, and Alloying of
Copper
33149 Nonferrous Metals (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
331512 Steel Investment Foundries
331513 Steel Foundries, (except Investment)
33152 Nonferrous Metal Foundries
331521 Aluminum Die-Castings
331522 Nonferrous (except Aluminum) Die-Castings
331524 Aluminum Foundries
331525 Copper Foundries
331528 Other Nonferrous Foundries
332 Fabricated Metal Product Manufacturing
33211 Forging and Stamping
332111 Iron and Steel Forging
332112 Nonferrous Forging
332114 Custom Roll Forming
332115 Crown and Closure Manufacturing
332116 Metal Stamping
-------
B-5
Appendix B
NAICS Codes
332117 Powder Metallurgy Part Manufacturing
33221 Cutlery and Hand Tool Manufacturing
332211 Cutlery and Flatware (except Precious)
Manufacturing
332212 Hand and Edge Tool Manufacturing
332213 Saw Blade and Handsaw Manufacturing
. 332214 Kitchen Utensil, Pot and Pan Manufacturing
33231 Plate Work and Fabricated Structural Product
Manufacturing
332311 Prefabricated Metal Building and Component
Manufacturing
332312 Fabricated Structural Metal Manufacturing
332313 Plate Work Manufacturing
33232 Ornamental and Architectural Metal Products
Manufacturing
332321 Metal Window and Door Manufacturing
332322 Sheet Metal Work Manufacturing
332323 Ornamental and Architectural Metal Work
Manufacturing
33241 Power Boiler and Heat Exchanger Manufacturing
33242 Metal Tank (Heavy Gauge) Manufacturing
33243 Metal Can, Box, and Other Metal Container
(Light Gauge) Manufacturing
332431 Metal Can Manufacturing
332439 Other Metal Container Manufacturing
33251 Hardware Manufacturing
3326 Spring and Wire Product Manufacturing
33261 Spring and Wire Product Manufacturing
332611 Steel Spring (except Wire) Manufacturing
332612 Wire Spring Manufacturing
332618 Other Fabricated Wire Product Manufacturing
33271 Machine Shops
33272 Turned Product and Screw, Nut and Bolt
Manufacturing
332721 Precision Turned Product Manufacturing
332722 Bolt, Nut, Screw, Rivet and Washer
Manufacturing
33281 Coating, Engraving, Heat Treating, and Allied
Activities
332811 Metal Heat Treating
332812 Metal Coating, Engraving (except Jewelry and
Silverware), and Allied Services to
Manufacturers
332813 Electroplating, Plating, Polishing, Anodizing
and Coloring
3329 Other Fabricated Metal Product Manufacturing
33291 Metal Valve Manufacturing
332911 Industrial Valve Manufacturing
332912 Fluid Power Valve and Hose Fitting
Manufacturing
332913 Plumbing Fixture Fitting and Trim
Manufacturing
332919 Other Metal Valve and Pipe Fitting
Manufacturing
33299 All Other Fabricated Metal Product Manufacturing
332991
332992
332993
332994
332995
332996
332997
332998
332999
Ball and Roller Bearing Manufacturing
Small Arms Ammunition Manufacturing
Ammunition (except Small Arms) Manufacturing
Small Arms Manufacturing
Other Ordnance and Accessories Manufacturing
Fabricated Pipe and Pipe Fitting Manufacturing
Industrial Pattern Manufacturing
Enameled Iron and Metal Sanitary Ware
Manufacturing
All Other Miscellaneous Fabricated Metal
Product Manufacturing
333 Machinery Manufacturing
33311 Agricultural Implement Manufacturing
333111 Farm Machinery and Equipment Manufacturing
333112 Lawn and Garden Tractor and Home Lawn and
Garden Equipment Manufacturing
33312 Construction Machinery Manufacturing
33313 Mining and Oil and Gas Field Machinery
Manufacturing
333131 Mining Machinery and Equipment Manufacturing
333132 Oil and Gas Field Machinery and Equipment
Manufacturing
33321 Sawmill and Woodworking Machinery
Manufacturing
33322 Rubber and Plastics Industry Machinery
Manufacturing
33329 Other Industrial Machinery Manufacturing
333291 Paper Industry Machinery Manufacturing
333292 Textile Machinery Manufacturing
333293 Printing Machinery and Equipment Manufacturing
333294 Food Product Machinery Manufacturing
333295 Semiconductor Machinery Manufacturing
333298 All Other Industrial Machinery Manufacturing
33331 Commercial and Service Industry Machinery
Manufacturing
333311 Automatic Vending Machine Manufacturing
333312 Commercial Laundry, Drycleaning and
Pressing Machine Manufacturing
333313 Office Machinery Manufacturing
333314 Optical Instrument and Lens Manufacturing
333315 Photographic and Photocopying Equipment
Manufacturing
333319 Other Commercial and Service Industry
Machinery Manufacturing
33341 Ventilation, Heating, Air-Conditioning and
Commercial Refrigeration Equipment
Manufacturing
333411 Air Purification Equipment Manufacturing
333412 Industrial and Commercial Fan and Blower
Manufacturing
333414 Heating Equipment (except Electric and Warm
Air Furnaces) Manufacturing
333415 Air-Conditioning and Warm Air Heating
Equipment and Commercial and Industrial
-------
Appendix B
NAICS Codes
B-6
Refrigeration Equipment Manufacturing
33351 Metal working Machinery Manufacturing
333511 Industrial Mold Manufacturing
333512 Machine fool (Metal Cutting Types)
Manufacturing
333513 Machine Tool (Metal Forming Types)
Manufacturing
333514 Special Die and Tool, Die Set, Jig and Fixture
Manufacturing
333515 ' Cutting Tool and Machine Tool Accessory
Manufacturing
333516 Rolling Mill Machinery and Equipment
Manufacturing
333518 Other Metalworking Machinery Manufacturing
33361 Engine, Turbine and Power Transmission
Equipment Manufacturing
333611 Turbine and Turbine Generator Set Unit
Manufacturing
333612 Speed Changer, Industrial High-Speed Drive
and Gear Manufacturing
333613 Mechanical Power Transmission Equipment
Manufacturing
333618 Other Engine Equipment Manufacturing
33391 Pump and Compressor Manufacturing
333911 Pump and Pumping Equipment Manufacturing
333912 Air and Gas Compressor Manufacturing
333913 Measuring and Dispensing Pump Manufacturing
33392 Material Handling Equipment Manufacturing
333921 Elevator and Moving Stairway Manufacturing
333922 Conveyor and Conveying Equipment
Manufacturing
333923 Overhead Traveling Crane, Hoist and
Monorail System Manufacturing
333924 Industrial Truck, Tractor, Trailer and Stacker
Machinery Manufacturing
33399 All Other General Purpose Machinery
Manufacturing
333991 Power-Driven Hand Tool Manufacturing
333992 Welding and Soldering Equipment
Manufacturing
333993 Packaging Machinery Manufacturing
333994 Industrial Process Furnace and Oven
Manufacturing
333995 Fluid Power Cylinder and Actuator Manufacturing
333996 Fluid Power Pump and Motor Manufacturing
333997 Scale and Balance (except Laboratory)
Manufacturing
333999 All Other General Purpose Machinery
Manufacturing
334 Computer and Electronic Product Manufacturing
33411 Computer and Peripheral Equipment
Manufacturing
334111 Electronic Computer Manufacturing
334112 Computer Storage Device Manufacturing
334113 Computer Terminal Manufacturing
334119 Other Computer Peripheral Equipment
Manufacturing
33421 Telephone Apparatus Manufacturing
33422 Radio and Television Broadcasting and Wireless
Communications Equipment Manufacturing
33429 Other Communications Equipment Manufacturing
33431 Audio and Video Equipment Manufacturing
33441 Semiconductor and Other Electronic Component
Manufacturing
334411 Electron Tube Manufacturing
334412 Printed Circuit Board Manufacturing
334413 Semiconductor and Related Device
Manufacturing
334414 Electronic Capacitor Manufacturing
334415 Electronic Resistor Manufacturing
334416 Electronic Coil, Transformer, and Other
Inductor Manufacturing
334417 Electronic Connector Manufacturing
334418 Printed Circuit/Electronics Assembly
Manufacturing
334419 Other Electronic Component Manufacturing
33451 Navigational, Measuring, Medical, and Control
Instruments Manufacturing
334510 Electromedical and Electrotherapeutic
Apparatus Manufacturing
334511 Search, Detection, Navigation, Guidance,
Aeronautical, and Nautical System and
Instrument Manufacturing.
334512 Automatic Environmental Control
Manufacturing for Residential, Commercial
and Appliance Use
334513 Instruments and Related Products
Manufacturing for Measuring, Displaying, and
Controlling Industrial Process Variables
334514 Totalizing Fluid Meter and Counting Device
Manufacturing
334515 Instrument Manufacturing for Measuring and
Testing Electricity and Electrical Signals
334516 Analytical Laboratory Instrument Manufacturing
334517 Irradiation Apparatus Manufacturing
334518 Watch, Clock, and Part Manufacturing
334519 Other Measuring and Controlling Device
Manufacturing
33461 Manufacturing and Reproducing Magnetic and
Optical Media
334611 Software Reproducing
334612 Prerecorded Compact Disc (except Software),
Tape, and Record Reproducing
334613 Magnetic and Optical Recording Media
Manufacturing
335 Electrical Equipment, Appliance and
Component Manufacturing
33511 Electric Lamp Bulb and Part Manufacturing
-------
B-7
Appendix B
NAICS Codes
33512 Lighting Fixture Manufacturing
335121 Residential Electric Lighting Fixture
Manufacturing
335122 Commercial, Industrial and Institutional
Electric Lighting Fixture Manufacturing
335129 Other Lighting Equipment Manufacturing
33521 Small Electrical Appliance Manufacturing
335211 Electric Housewares and Household Fan
Manufacturing
335212 Household Vacuum Cleaner Manufacturing
33522 Major Appliance Manufacturing
335221 Household Cooking Appliance Manufacturing
335222 Household Refrigerator and Home Freezer
Manufacturing
335224 Household Laundry Equipment Manufacturing
335228 Other Major Household Appliance Manufacturing
33531 Electrical Equipment Manufacturing
335311 Power, Distribution and Specialty Transformer
Manufacturing
335312 Motor and Generator Manufacturing
335313 Switchgear and Switchboard Apparatus
Manufacturing
335314 Relay and Industrial Control Manufacturing
33591 Battery Manufacturing
335911 Storage Battery Manufacturing
335912 Dry and Wet Primary Battery Manufacturing
33592 Communication and Energy Wire and Cable
Manufacturing
335921 Fiber Optic Cable Manufacturing
335929 Other Communication and Energy Wire
Manufacturing
33593 Wiring Device Manufacturing
335931 Current-Carrying Wiring Device Manufacturing
335932 Noncurrent-Carrying Wiring Device
Manufacturing
33599 All Other Electrical Equipment and
Component Manufacturing
335991 Carbon and Graphite Product Manufacturing
335999 All Other Miscellaneous Electrical Equipment
and Component Manufacturing
336 Transportation Equipment Manufacturing
33611 Automobile and Light Duty Motor Vehicle
Manufacturing
336111 Automobile Manufacturing
336112 Light Track and Utility Vehicle Manufacturing
33612 Heavy Duty Truck Manufacturing
33621 Motor Vehicle Body and Trailer Manufacturing
336211 Motor Vehicle Body Manufacturing
336212 Truck Trailer Manufacturing
336213 Motor Home Manufacturing
336214 Travel Trailer and Camper Manufacturing
33631 Motor Vehicle Gasoline Engine and Engine Parts
Manufacturing
336311 Carburetor, Piston, Piston Ring and Valve
Manufacturing
336312 Gasoline Engine and Engine Parts Manufacturing
33632 Motor Vehicle Electrical and Electronic
Equipment Manufacturing
336321 Vehicular Lighting Equipment Manufacturing
336322 Other Motor Vehicle Electrical and Electronic
Equipment Manufacturing
33633 Motor Vehicle Steering and Suspension
Components (except Spring) Manufacturing
33634 Motor Vehicle Brake System Manufacturing
33635 Motor Vehicle Transmission and Power Train
Parts Manufacturing
33636 Motor Vehicle Fabric Accessories and Seat
Manufacturing
33637 Motor Vehicle Metal Stamping
33639 Other Motor Vehicle Parts Manufacturing
336391 Motor Vehicle Air-Conditioning Manufacturing
336399 All Other Motor Vehicle Parts Manufacturing
33641 Aerospace Product and Parts Manufacturing
336411 Aircraft Manufacturing
336412 Aircraft Engine and Engine Parts Manufacturing
336413 Other Aircraft Part and Auxiliary Equipment
Manufacturing
336414 Guided Missile and Space Vehicle
Manufacturing
336415 Guided Missile and Space Vehicle Propulsion
Unit and Propulsion Unit Parts Manufacturing
336419 Other Guided Missile and Space Vehicle Parts
and Auxiliary Equipment Manufacturing
33651 Railroad Rolling Stock Manufacturing
33661 Ship and Boat Building
336611 Ship Building and Repairing
336612 Boat Building
33699 Other Transportation Equipment Manufacturing
336991 Motorcycle, Bicycle and Pans Manufacturing
336992 Military Armored Vehicle, Tank and Tank
Component Manufacturing
336999 All Other Transportation Equipment
Manufacturing
337 Furniture and Related Product Manufacturing
33711 Wood Kitchen Cabinet and Counter Top
Manufacturing
33712 Household and Institutional Furniture
Manufacturing
337121 Upholstered Household Furniture Manufacturing
337122 Nonupholstered Wood Household Furniture
Manufacturing
337124 Metal Household Furniture Manufacturing
337125 Household Furniture (except Wood and Metal)
Manufacturing
337127 Institutional Furniture Manufacturing
337129 Wood Television, Radio, and Sewing Machine
Cabinet Manufacturing
33721 Office Furniture (including Fixtures)
-------
Appendix B
NAICS Codes
B-8
Manufacturing
337211 Wood Office Furniture Manufacturing
337212 Custom Architectural Woodwork and
Millwork Manufacturing
337214 Nonwood Office Furniture Manufacturing
337215 Showcase, Partition, Shelving, and Locker
Manufacturing
33791 Mattress Manufacturing
33792 Blind and Shade Manufacturing
339 Miscellaneous Manufacturing
33911 Medical Equipment and Supplies Manufacturing
339111 Laboratory Apparatus and Furniture
Manufacturing
339112 Surgical and Medical Instrument Manufacturing
339113 Surgical Appliance and Supplies Manufacturing
339114 Dental Equipment and Supplies Manufacturing
339115 Ophthalmic Goods Manufacturing
339116 Dental Laboratories
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
33992 Sporting and Athletic Goods Manufacturing
33993 Doll, Toy, and Gams Manufacturing
339931 Doll and Stuffed Toy Manufacturing
339932 Game, Toy, and Children's Vehicle
Manufacturing
33994 Office Supplies (except Paper) Manufacturing
339941 Pen and Mechanical Pencil Manufacturing
339942 Lead Pencil and Art Good Manufacturing
339943 Marking Device Manufacturing
339944 Carbon Paper and Inked Ribbon Manufacturing
33995 Sign Manufacturing
33999 All Other Miscellaneous Manufacturing
339991 Gasket, Packing, and Sealing Device
Manufacturing
339992 Musical Instrument Manufacturing
339993 Fastener, Button, Needle and Pin Manufacturing
339994 Broom, Brush and Mop Manufacturing
339995 Burial Casket Manufacturing
339999 All Other Miscellaneous Manufacturing
42 Wholesale Trade
421 Wholesale Trade, Durable Goods
422 Wholesale Trade, Nondurable Goods
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
42245 Confectionery 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 (except Bulk
Stations and Terminals) Wholesalers
42281 Beer and Ale Wholesalers
42282 Wine and Distilled Alcoholic Beverage Wholesalers
4229 Miscellaneous Nondurable Goods Wholesalers
42291 Farm Supplies Wholesalers
44-45 . Retail Trade
4441 Building Material and Supplies Dealers
44411 Home Centers
44413 Hardware Stores
44419 Other Building Material Dealers
4442 Lawn and Garden Equipment and Supplies Stores
44422 Nursery and Garden Centers
453 Miscellaneous Retail
454312 Liquefied Petroleum Gas (Bottled Gas) Dealers
454319 Other Fuel Dealers
48-4-9 'Transportation and Warehousing
488 Support Activities for Transportation
48811 Airport Operations
488119 Other Airport Operations
48819 Other Support Activities for Air Transportation
48821 Support Activities for Rail Transportation
48831 Port and Harbor Operations
48832 Marine Cargo Handling
48839 Other Support Activities for Water Transportation
48899 Other Support Activities for Transportation
488991 Packing and Crating
488999 All Other Support Activities for Transportation
493 Warehousing and Storage Facilities
49311 General Warehousing and Storage Facilities
49312 Refrigerated Warehousing and Storage Facilities
49313 Farm Product Warehousing and Storage Facilities
49319 Other Warehousing and Storage Facilities
Professional, Scientific, and Technical Services
54171 Research and Development in the Physical
Sciences and Engineering Sciences
-------
Appendix B
B-9 ... NAICS Codes
54172 Research and Development in the Life Sciences
562 Waste Management and Remediation Services
56221 Waste Treatment and Disposal
562211 Hazardous Waste Treatment and Disposal
562212 Solid Waste Landfill
562213 Solid Waste Combustors and Incinerators
562219 Other Nonhazardous Waste Treatment and
Disposal
5629 Remediation and Other Waste Management Services
56291 Remediation Services
56292 Materials Recovery Facilities
56299 All Other Waste Management Services
562998 All Other Miscellaneous Waste Management
Services
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.SubstanceAbuse Hospitals
6223 Specialty (except Psychiatric and Substance
Abuse) Hospitals
62231 Specialty (except Psychiatric and Substance
Abuse) Hospitals
-------
-------
Appendix C
PART 68 CONTACT INFORMATION
-------
-------
APPENDIX C: PART 68 CONTACT INFORMATION
Region or State
Region ;
Connecticut
Maine
Massachusetts
Regional Office
US EPA Region 1
Office of Environmental Stewardship (SPP)
JFK Fedefal Building
One Coiigiess St.
Boston. MA. 02203-2211
(617)565-9232
(617) 565-4939 FAX
Email: dinardo.ray@epa.gov
Implementing Agency
Small Business Assistance
(S) = State only toll free
(N) = National Toll free
Glen Daraskevich
Small Business Assistance Program
Department of Environmental Protection
Environmental Quality Division
79 Elm St.
Hartford, CT 06106
860-424-3545
fax 860-424-4063
(S) 800-760-7036
glen.daraskevicli@po.state.ct.us
Brian Kavanah
Office of Pollution Prevention
Station 17
State House
Augusta, ME 04333
207-287-6188
fax 207-287-7826
(S) 800-789-9802
George Frantz
Office of Technical Assistance
Exec. Office of Environmental. Affairs
100 Cambridge St., Suite 2109
Boston, MA 02202
6l7-727-3260,exl. 631
fax 617-727-3827
george.frantz@state.ma.us
-------
Region or State
Regional Office
Implementing Agency
Small Business Assistance
(S)« Slate only toll free
(N)« National Toll free
New Hampshire
Rudolph Cwiier. Jr.
Air Resources Division
Department of Environmcnml Services
64 North Main Street
Caller Box 2033
Concord, NH 03302-2033
603-271-1379
FAX 603-271-1381
(S) 800-837-0656
cnrtiBr@desnrsb.mr.com
Rhode Island
Pnm Annnrummo
Dept. of Environmental Management
Office ofTechnical & Customer Assistance
235 Promenade Street
Providence, Kl 02908
401-277-66822,ext. 7204
fax 401-277-3810
Vermont
Judy Mirro
VT Environmental Assistance Division
Laundry Building
103 S. Main St.
Waierbury, VT0567I
802-241-3745
fax 802-241-3273
Region 2
US EPA Region 2
Emergency Response and Remedial Division
(MS211) .!
2890 Woodbridge Avenue
Edison, NJ 08837-3679
(732)321-6620
(732) 321-4425 FAX
Email: ulshoefer.john@epa.gov
New Jersey
Bureau of Chemical Release Information and
Prevention
22 South Clinton Avenue
P.O. Box 424
Trenton, NJ. 08625-0424
609-633-7289 phone
609-633-7031 fax
sschiffinan@dep.state.nj.us
Chuck McCarty
Office Permit Information and Assistance
NJ DEPE
401 East Stale Street
CN 423 - 3rd Floor
Trenton, NJ 08625-0423
609-292-3600
fax 609-777-1330
-------
Region or State
New York
Puerto Rico
Virgin Islands
Region 3
Delaware
Regional Office
USEPARegiqnS : . ' .-, ...
CEPP and Site, Assessment Section (3HSl3)
1650 Arch Street '-"/..•.. . :
Philadelphia, PA I9i03-202:9 :
(2!5>-8i4-3033 ' ; . •• '•'
(2J5)-8J4-3254FAX , : ;: ; ; ;;..:;
Einail:shabazz,inikal@epginali.epa,gov
Implementing Agency
Small Business Assistance
(S) = State only toll free
(N) = National Toll free
Marian Mudar
Environmental Program Manager
NYS Env. Facil. Corp.
50 Wolf Rd.-Room 598
Albany, NY 12205
518-457-9135
fax 518-485-8494
(S) 800-780-7227
Maria L. Rivera
PREQB-SBAP
1IC-9I Box 9197
Vega Alta, PR 00692-9607
787-767-8025, ext. 296
fax 787-756-5906
Marylyn Stapleton
Suite 231
8000 Nisky Center
Charlotte Ainalie
St. Thomas, V.I. 00802
809-777-4577
fax 809-775-5706
Bob Barrish
)E DNREC
7l5OranihamLane
Vew Castle, DE
9720
102-323-4542
ax 302-323-4561
-------
Region or State
Disirici of Columbia
Maryland
Pennsylvania
Virginia
West Virginia
Regional Office
Implementing Agency
Small Business Assistance
(S)* Stale only toll free
(N)« National Toll free
Olivia Achuko
ERA/ARMD
2IOOM.L,KingAve..SE
Washington, DC 20020
202-645-6093,6x1.3071
fax 202-645-6102
Linda Mornn
Small Business Assistance Program
Air & Radiation Mgint. Adm.
MD Department of the Environment
2500 Broening Hwy.
Baltimore, MD 21224
410-631-4158
fax 410-631-3896
(N) 800-433-1247
Cecily Beall
PRC Env. Management Inc.
6lh Floor
1800 JFK Blvd.
Philadelphia, PA 19103
215-656-8709
fax 215-972-0484
(S) 800-722-4743
bcallc@prcemi.com
Richard Rasmussen
VA DEQ/Air Division
Small Business Assistance Program
PO Box 10009
Richmond, VA 23240
804-698-4394
fax 804-698-4501
(S) 800-592-5482
rgrasmusse@deq.slale.va.us
Fred Durham
WV Office of Air Quality
Air Program Annex
1558 Washington St. East
Charleston, WV 25302
304-558-1217
fax 304-558-1222
(S) 800-982-2472
-------
Region or State
Region 4
Alabama
Florida
Regional Office
US EPA Region 4
Air pesticides and Toxics Management
-Division •-...".'..-
Atlanta Federal Center
61 Forsyth Street, SW •:,'•
Atlanta, GA. 30303
(404)562-9121
(404) 562-9095 FAX .
Email: pptmon.micKelle@epa.gov
Implementing Agency
Eve Rainy
Slaw of Florida
Depl. of Community Affairs
Division of Emergency Management
2555 Shumard Oak Boulevard
Tallahassee, Fla. 32399-2100
(850)413-9914 phone
(850) 488-1739 fax
eve.rainey@DCA.STATE.FL.US
Beth Hardin
Division of Air Resources and Management
Florida Department of Environmental
Regulation
2600 Blair Stone Road
Tallahassee, Fla. 32399-2400
(850)921-9549 phone
(850) 922-6979 fax
Hardin_E@dep.state.fl.us
Small Business Assistance
(S) = State only toll free
(N) = National Toll free
James Moore
AL DEM Air Division
PO Box 301463
Montgomery, AL
36130-1463
334-271-7861
fax 334-271-7950
(N) 800-553-2336
Elsa Bishop
Division of Air Res. Mgmt.
FL Dept. of Env. Protection
2600 Blair Stone Rd.
MS5500
Tallahassee, FL
32399-2400
904-488-0114
fax 904-922-6979
(S) 800-722-7457
-------
Region or State
Georgia
Kentucky
Mississippi
North Carolina
Regional Office
•
Implementing Agency
Kent Howell
Georgia Dept. Of Natural Resources
Environmental Protection Division
7 M.L King Jr. Drive. Suite 139
Atlanta, Go. 30334
(404) 656-6905 phone
(404) 657-7893 fax
keni_howell@mail.dnr.slate.gn.us
Danny Jnckson
Mississippi Dcpt. of Environmental Quality
Office of Pollution Control, Air Division
P.O. Box 10385
Jackson, Ms. 39289-0385
(601) 961-5225 phone
(60 1)96 1-5725 fax
Jackson_Danny@deq.state.ms.us
Mike Chapman
Air Quality Section
North Carolina Dept of Environment, Health
and Resources
P.O. Box 29580
Raleigh, N.C. 27626-0580
(9 19) 7 15-3467 phone
(919) 733-1812 fax
micheal_chapinan@aq.ehnr.state.nc.us
Small Business Assistance
(S)«Slute only toll free
(N)» National Toll free
Anita Dorsey-Word
DNR/EPD/APB
Suite 120
4244 Intl. Parkway
Atlanta, GA 30354
404-362-4842
fax 404-362-2534
anita_dorsey-word@inail.dnr.siatc.ga.us
Gregory C. Copley
Director, BEAP
University of Kentucky
227 Bus. &Eco. Bldg.
Lexington, KY 40506-0034
606-257-1 13 1
fax 606-257- 1907
(N) 800-562-2327
gccopll@pop.uky.edu
Danny Jackson
Air Quality
Office of Policy Control/DEQ
PO Box 10385
Jackson, MS 39289-0385
601-961-5171
fax 60 1 -96 1-5742
Pill Johnson
Dept. of Env. Health & Nnt. Resources
PO Box 29583
Raleigh, NC 27626
919-733-1267
fax 9 19-7 15-6794
finjohnson@owr.ehnr.state.iic.us
-------
Region or State
South Carolina
Tennessee
Region 5
Illinois
Indiana
Regional Office
US EPA Region 5
Superfuni Division (SC6J)
77 W.Jackson Blvd.
Chicago, IL 60604
(312)886-4061
(312) 886-6064 FAX
Email! mayhugh;robert<8>epa.gov
Implementing Agency
Rhonda B. Thompson
Bureau of Air Quality Control
South Carolina Department of Health and
Environmental Health
2600 Bull Street
Columbia, S.C. 29201
(803) 734-4750 phone
(803) 734-4556 fax
thompsrb@columb31 .dhcc.state.sc.us
Small Business Assistance
(S) = State only toll free
(N) = National Toll free
Chad Pollock
SC DHEC
EQC Administration
2600 Bull Street
Columbia, SC 29201
803-734-2765
fax 803-734-9196
(N) 800-819-9001
pollocrc@columb30.dhec.slate.sc.us
Linda Sadler
Small Business Assist. Program
8th Floor
L&C Annex
401 Church St.
Nashville, TN 37243
615-532-0779
fax 615-532-0614
(8)800-734-3619
Mark Enstrom
III. Dept. of Commerce & Community Affairs
620 East Adams St. S-3
Springfield, IL6270I
217-524-0169
fax 217-785-6328
meslrom@mhd084rl.state.il.us
'huri Storms
IDEM/OPP&TA/VOC
Room 1320
100 N. Senate
PO Box 6015
Indianapolis, IN 46206-6015
317-233-1041
ax 317-233-5627
cstor@opn.dem.siate.in.us
-------
Region or State
Michigan
Minnesota
Ohio
Wisconsin
Region 6
Regional Office
US EPA Region .6
Superfund Division (6SF-RP)
1445 Ross A venue
Dallas, TX 75202-2733
(214)665-2192
(214) 665-7447 FAX .: . . '
Email: inason.steve@epa.gov -
Implementing Agency
Small Business Assistance
(S) = Stale only toll free
(N)»Nntlowil Toll free
Dave Fiedler
Environmental Services Division
MIDEQ
PO Box 30457
Lansing, MI 48909
517-373-0607
fax 5 17-335-4729
(S) 800-662-9278
Barbara Conti
MPCA/AQPD/SBAP
520 Lafayette Rd.
St. Paul, MN 55 155-4 194
612-297-7767
fax 6 12-297-7709
(N) 800-657-3938
barbara.conli@pca.state.nin.us
Risk Carleski
OH EPA
Division of Air Pollution Conlrol
1600 Watermark Dr.
Columbus, OH 432 15
614-728-1742
fax 6 14-644-368 1
richar(l_carleski@central.epa.ohio.gov
Pain Christenson
WI Clean Air Assistance Program
Department of Commerce, 9lh Floor
123 W. Washington Ave
Madison, Wl 53703
608-267-9214
fax 608-267-0436
(N) 800-435-7287
pchriste@inail.state.wi.us
-------
Region or State
Arkansas
Louisiana
New Mexico
Oklahoma
Texas
Regional Office
Implementing Agency
Small Business Assistance
(S) = State only toll free
(N) = National Toll free
HM^BKMK
Robert E. Graham
ARDPE
PO Box 8913
Little Rock, AR 72219-8913
501-682-0708
fax 501-562-0297
Vic Tompkins
LA Dept. of Env. Quality (Air)
7290 Bluebonnel
P.O. Box 82135
Baton Rouge, LA 70884-2135
504-765-2453
FAX 504-765-0921
(S) 800-259-2890
vic_t@deq.state.la.us
Cecilia Williams
Lanny Weaver
NM ED/AQB
Harold Runnels Bldg.
Santa Fe, NM 87502
505-827-0042 (cwilliams)
505-827-0043 (Iweaver)
(S) 800-810-7227
Alwin Ning
OK DEQ/SBAP
1000 N.E. 10th St.
Oklahoma City, OK 73117-1212
405-271-1400
fax 405-271-1317
Kerry Drake
Small Business Tech. Asst. Program
POBox 13087
Austin, TX 787II-3087
512-239-1112
Pax 512-239-1065
S) 800-447-2827
kdrnke@inrcc.state.tx.ns
-------
Region or State
Region 7
Iowa
Kansas
Missouri
Regional Office •
US EPA Region 7
Air, RCRA, wid Toxics Division
(ARTD/TSPP)
726 Minnesota Ave.
Kansas City, KS 66101
(913)551-7876
(913) 551-7065 FAX
Email: smiili. inwka@epn.gov
Implementing Agency
Small Business Assistance
(S)* State only loll free
(N) = Nntlonnl Toll free
Somnnth Dnsgupla
John Konefes
IA Waste Reduction Center
Unv. Of Northern town
75 Bid. Res. Comp.
Cedar Falls, I A 506 14-0 185
319-273-2079
fax 3 19-273-2926
(8)800-422-3109
dasguptn@uni.edu
Frank Orzulak
Director of Continuing Education
Continuing Education Bldg.
U. of Kansas
Lawrence, KS 66045-2608
913-864-3978
fax 9 13-864-5827
(S) 800-578-8898
forzulak@falcon.cc.ukans.edu
Byron Shaw
DNR Technical Assistance Program
Jefferson State Office Building
PO Box 176
Jefferson City, MS 65102
314-526-5352 .
fax 3 14-526-5808
-------
Region or State
Nebraska
Region 8
Colorado
Montana
Regional Office
US EPA Region 8 ; .
Ecosystems Protection aiid Remediation
(8BPR-ER) ;
Oiio Denver Place ,
999-18th Street; Suite 500 -. .
Denver, CO |0202r24p5 ':
(303)312-6760 : : ; "" : - -
(30S ) 31,2:6071 *AX ,
Etimili behoy.barbara@epa,gov
Implementing Agency
Small Business Assistance
(S) = State only toll free
(N) = National Toil free
Dan Eddinger
Public Advocate
Dept. of Environmental Quality
PO Box 98922
Lincoln, NE 68509-8922
402-471-3413
fax 402-441-2909
dedding@juno.coni
Nick Mulliadis
Air Pollution Control Division
Dept. of Public Health & the Environment
4300 Cherry Creek Drive - South
Denver, CO 80222-1530
303-692-3175
fax 303-782-5493
(N) 800-333-7798
nick.inelliadis@slale.co.us
Adel Johnson
Depl. Of Environmental Quality
Air Quality Division
MetcalfBldg.
l520E.6thAve.
Helena, MT 59620-0501
406-444-4194
Fax 406-444-5275
[S) 800-433-8773
-------
Region or State
North Dtikom
Soulh Dnkotn
Ulah
Wyoming
Region 9
Regional Office
US EPA Region 9
Superhmd Division (SFD-3)
75 Hawlhorae Street
San Francisco, CA 94105
(415)744-2320
(415) 744-1916 FAX
Implementing Agency
Small Business Assistance
(S)* Slate only toll free
(N}« National Toll free
Tom Bnchman
NDDept. of Health
Division of Environmental Engineering
1200 Missouri Ave.
PO Box 5520
Bismnrk, ND 58506-5520
701-328-5188
fax 70 1-328-5200
(8)800-755-1625
Bryan Gustafson
Dept. Env. & Nnl. Resources
Joe Foss Bldg.
523 East Capital Ave.
Pierre, SD 57501
605-773-3351
fax 605-773-6035
Frances Bernards
UTDEQ
Div. of Air Quality
PO Box 144820
Salt Lake City, UT 841 14-4820
801-536-4056
fax 80 1-536-4099
(S) 800-270-4440
fbernard@deq.staie.ut.iis
Charles Raffelson
Dept. of Env. Quality
Div. of Air Quality
1 22 W. 25th Street
Cheyenne, WY 82002
307-777-7391
fax 307-777-56 16
craffe@missc.state.\vy.us
-------
Region or State
Arizona
California
Guam
Hawaii
Nevada
Region 10
Regional Office
US EPA Region JO; ; .
Emergency Response & Siie Cleanup Unit
(ECL-116) , I-. :-.•-•
Office of Environmental Cleanup
U.S. EPA Region 10 :
1200 Sixth Ave.
Seattle, WA 98101
206-553-0285
Implementing Agency
Small Business Assistance
(S) = Slate only toll free
(N) = National Toll free
Greg Workman
DEQ/Cuslomer Service
3033 N. Central Ave.
Phoenix, AZ 85012
602-207-4337
fax 602-207-4872
(S) 800-234-5677 (x4337)
workman.gregory@ev.state.az.us
Peter Venlurini
CA EPA - Air Resource Board
Stationary Source
2020 L Street
Sacramento CA, 95814-4219
916-445-5023
fox 916-445-5023
Robert Tain
HI Department of Health
Clean Air Branch
9l9AlaMoanaBlvd.
Honolulu, HI 96814
808-586-4200
fax 808-586-4370
David Cowpenhwaite
Small Business Program Manger
Div. Of Env. Protection
333 West Nye Lane
Carson City, NV 89710
702-687-4670x3118
fax 702-687-5856
(S) 800-992-0900 x4670
-------
Region or State
Alaska
Idnlio
Oregon
Washington
Regional Office
Implementing Agency
Small Business Assistance
(S)-SlBte only loll free
(N) = Nsiltonarro!l free
Scott Lylte
Alaska Department of Env. Conservation
555 Cordova Si,
Anchorage, AK 99501-2617
907-269-7571
fax 907-269-7600
(8)800-510-2332
slylle@envircon.sinte.ak.us
Doug McRoberts
1DEQ/PL&E
Statchonse Mail
1410 North Hilton
Boise, ID 83706-1290
208-373-0497
fax 208-373-0169
dincrobcr@dcq.state.id.us
Terry Obleshkn
ODEQ
Air Quality Division
8IIS.W.6lhAve.
Portland, OR 97204-1390
503-229-6147
fax 503-229-5675
(8)800452-4011
terry.obteshka@state.or.us
Bernard Brady
Department of Ecology
PO Box 47600
Oiympia, WA 98504-7600
360-407-6803
fax 360-407-6802
bbra461 @ecy. wa.gov
-------
Appendix D
OSHA Contacts
-------
-------
APPENDIX D: OSHA CONTACTS
Region or State
Region 1
Connecticut
Maine
Massachusetts
New Hampshire
Regional Office
JFK Federal Building,
RopmE340
Boston, MA 02203
phone: (617)565-9860.
fax:(617)565-9827
Consultive Program
Connecticut Department of Labor
Division of Occupational Safely & Health
38 Wolcott Hill Road
Welhersfield, Connecticut 06109
(203) 566-4550
(203) 566-6916 FAX
steve.wjeeter@ct-ce-welhrsfld.osha.gov E-mail
Division of Industrial Safely
Maine Bureau of Labor
State House Station #82
Augusta, Maine 04333
(207) 624-6460
(207) 624-6449 FAX
david.e.wacker@state.iiie.us E-mail
Commonwealth of Massachusetts
Depj. of Labor & Industries
1001 Watertown Street
West Newton, Massachusetts 02165
(617)727-3982
(617) 727-4581 FAX
ilaiiialva@N21 S.osha.gov E-mail
^Jew Hampshire Department of Health
Division of Public Health Services
6 Hazen Drive
Concord, New Hampshire 03301-6527
.603)271-2024
603) 271-2667 FAX
ake@nh7cl.mv.com E-mail
State Plan States
Department of Labor
200 Folly Brook Boulevard
Welhersfield, CT 06109
Program Director's Office
Steven Wheeler
phone: (860) 566-4550 fax: (860) 566-6916
James P. Butler, Commissioner
(860) 566-5123 (0 (860) 566-1520
-------
Region or State
Regional Office
Consultive Program
State Plan States
Rhode Island
Rhode Island Deportment of Health
Division of Occupational Health
3 Capital Hill
Providence, Rhode Island 02908
(401)277-2438
(401) 277-6953 FAX
oshacon@ids.net E-mail
Vermont
Division of Occupational Safety & Health
Vermont Department of Labor and Industry
National Life Building, Drawer 20
Monlpelier, Vermont 05602-3401
(802) 828-2765
(802) 828-2748 FAX
web@labor.lab.slate.vt.us E-mail
Department of Labor and Industry
National Life Building - Drawer 20
120 State Street
Monlpelier, VT 05620
Robert McLeod, Project Manager
phone: (802) 828-2765 fax: (802) 828-2195
Steve Jansen, Commissioner
(802) 828-2288 (0 (802) 828-2748
Region 2
201 Varick Street
Room 670
New York, NY 10014
phone: (212) 337-2378
fax:(212)337-2371
New Jersey
Department of Labor
Div. of Publi Safely and Occupational Safety
and Health
225 E. State Street, 8th Floor West
P.O. Box 953
Trenton, NJ 08625-0953
609-292-3923
609-292-4409 FAX
carol.farley@nj-c-trenion.osha.gov E-mail
New York
Division of Safety and Health
Stale Office Campus
Building 12, Room 130
Albany, New York 12240
(518)457-1169
(518) 457-3454 FAX
james.rush@ny-ce-albnny.osha.gov E-mail
Department of Labor
W. Averell Harriman Slate Office Building -
12, Room 500
Albany, NY 12240
Richard Cuculo, Program Director
phone: (518) 457-3518 fax: (518) 457-6908
James McGowan, Commissioner.
(518) 457-2741 (0 (518) 457-6908
-------
Puerto Rico
Virgin Islands
Region 3
Delaware
Region or State
els
ilmnbia
Regional Office
•
Gateway Building
Siilte2100: •'•
3535 Market Street 1 .'. :: :
Philadelphia; PA 19104 :. . .-
phone: (215) 596-1201 :
fax:(215)596-4872 •
Consultive Program
Occupational. Safety and Health Office
Dept. of Labor & Human Resources, 21st
Floor
505 Munoz Rivera Avenue
Halo Rey, Puerto Rico 00918
(809)754-2188
(809) 767-6051 FAX
Division of Occupational Safely and Health
Virgin Islands Department of Labor
3021 Golden Rock
Christiansted
St. Croix, Virgin Island 00840
(809)772-1315
(809) 772-4323 FAX
Delaware Department of Labor
Division of Industrial Affairs
Occupational Safely and Health
4425 Market Street
Wilmington. Delaware 19802
(302)761-8219
(302) 761-6601 FAX
Hrznadel@stnfe.d
-------
Region or State
Regional Office
ConsuHlve Program
State Plan States
Maryland
Division of Labor and Industry
312 Marshall Avenue, Room 600
Laurel, MD 20707
410-880-4970
410-880-6369 FAX
Division of Labor and Industry
Dent, of Licensing and Regulation
1100 North Eulaw Street, Room 613
Baltimore. MD 21201-2206
John P. O'Conner, Commissioner
phone: (410)767-2215 fax: (410)767-2003
Ileana O'Brien, Deputy Commissioner
phone: (410)767-2992 fax: (410)767-2003
Pennsylvania
Indiana University of Pennsylvania
Safety Sciences Department
205 Uhlcr Hall
Indiana, Pennsylvania 15705-1087
(412)357-2561
(412) 357-2385 FAX
rchristc@grove.iup.edu E-mail
Virginia
Virginia Department of Labor and Industry
Occupational Safely and Health
Training and Consultation
13 South 13th Street
Richmond, Virginia 23219
(804) 786-6359
(804) 786-8418 FAX
njakubecdoli @sprintmuil.com E-mail
Department of Labor and Industry
Powers-Taylor Building
13 South 13th Street
Richmond, VA 23219
Theron Bell, Commissioner
phone: (804) 786-2377 fax: (804) 371-6524
Charles Lahey, Deputy Commissioner
phone: (804) 786-2383 fax: (804) 371-6524
West Virginia
West Virginia Department of Labor
Capitol Complex Building #3
1800 East Washington Street, Room 319
Charleston, West Virginia 25305
(304) 558-7890
(304) 558- 3797 FAX
Region 4
6 IForsyih Street, SW
Atlanta, OA 30303
phone: (404) 562-2300
fax: (404) 562-2295
Alabama
Safe State Program
University of Alabama
432 Martha Parham West
PO Box 870388
Tuscnloosa, Alabama 35487
(205) 348-3033
(205) 348-3049 FAX
bweems@ua.edu E-mail
-------
Region or State
Florida
Georgia
Kentucky
Mississippi
North Carolina
Regional Office
Consultive Program
Florida Dept. of Labor and Employment
Security
7(c)(l) Onsile Consultation Prog. Div. of
Safely
2002 St. Augustine Road, Building E, Suite 45
Tallahassee, Florida 32399
(850) 922-8955
(904) 922-4538 FAX
brettcreco@safetyfl.org E-mail
Onsite Consultation Program
Georgia Institute of Technology
O'Keefe Building, Room 22
Atlanta, Georgia 30332
(404) 894-2646
(404) 894-8275 FAX
pnul.middendorf@giri.gatech.edu E-mail
Division of Education and Training
Kentucky Labor Cabinet
1049 U.S. Highway 127 South
Frankfort, Kentucky 40601
(502) 564-6895
(502) 564-4769 FAX
arussell@inail.lab.stale.ky.gov E-mail
Mississippi Stale University
Center for Safely and Health
2906 North Slate Street, Suite 201
Jackson, Mississippi 39216
(601)987-3981
(601) 987-3890 FAX
Kelly@nl98.osha.gov E-mail
Bureau of Consultative Services
North Carolina Dept. of Labor
319 Chapanoke Road, Suite 105
Raleigh, North Carolina 27603-3432
(919)662-4644
(919) 662-4671 FAX
wjoyner@dol.siate.nc.us E-mail
State Plan States
Labor Cabinet
1047 U.S. Highway 127 So., Suite 2
Frankfort, Kentucky 40601
Joe Norsworthy, Secretary
phone (502) 564-3070 fax: (502) 564-5387
Steven A. Forbes, Fed/Stale Coordinator
phone: (502) 564-2300 fax: (502) 564-1682
Department of Labor
319 Chapanoke Road
Raleigh, NC 27603
Harry Payne, Commissioner
phone: (919) 662-4585 fax: (919) 662-4582
Charles Jefress, Deputy Commissioner
phone (919) 662-4585 fax:(919)662-4582
-------
Region or State
Regional Office
Consultive Program
State Plan States
South Carolina
South Carolina Deportment of Labor
Licensing and Regulation
3600 Forest Drive
PO Box 11329
Columbia, South Carolina 29204
(803)734-9614
(803) 734-9741 FAX
scoshnovp@infbavc.net E-mail
Department of Labor. Licensing. md
Regulation
Koger Office Park, Kingslree Building
110 Cenlerview Drive
PO Box 11329
Columbia,SC29210
William LybrnncI, Program Director
phone: (803) 734-9594 fax: (803) 734-9772
Lewis Gossctt, Director
(803) 896-4300 (0 (803) 896-4393
Tennessee
OSHA Consultative Services
Tennessee Department of Labor
710 James Robertson Parkway. 3rd Floor
Nashville, Tennessee 37243-0659
(615)741-7036
(615) 532-2997 FAX
mike.maenza@tn-c-nashville.osha.gov E-mail
Department of Labor
710 James Robertson Parkway
Nashville, TN 37243
David R. Ininnn, Program Director
phone: (615) 741-2793 fax: (615) 741-3325
Alphonso R. Bodie, Commissioner
(615) 741-2582 (I) (615) 741-5078
Region 5
230 South Dearborn Street
Room 3244
Chicago, IL 60604
phone: (312)353-2220
fax:(312)353-7774
Illinois
Industrial Service Division
Department of Commerce & Community
Affairs
State of Illinois Center, Suite 3-400
100 West Randolph Street
Chicago, Illinois 60601
(312)814-2337
(312) 814-7238 FAX
sfryzel@commerce.state.il.us E-mail
• Indiana
Bureau of Safely, Education and Training
Division of Labor, Room W195
402 West Washington
Indianapolis, Indiana 46204
(317)232-2688
(317) 232-0748 FAX
Jon.mack@nin-ce-indianpls.osha.gov E-mail
Department of Labor
Stale Office Building
402 West Washington Street, Room WI95
Indianapolis, IN 46204
Timothy Joyce, Commissioner
phone: (317) 232-2378 fax: (317) 233-3790
John Jones, Deputy Commissioner
phone: (317) 232-3325 fax: (317) 233-3790
-------
Region or State
Michigan
Minnesota
Ohio
Wisconsin
Regional Office
Consultive Program
Michigan Depl of Public Health
Division of Occupational Health
3423 North Martin Luther King Boulevard
Lansing, Michigan 48909
(517)335-8250
(517) 335-8010 FAX
john.peck@cis.s(ale.ini.us E-mail
Department of Labor and Industry
443 LaFayetle Road
Saint Paul, Minnesota 55155
(612)297-2393
(612) 297-1953 FAX
james.collins@state.mn.us E-mail
Bureau of Employment Services
145 S. Front Street
Columbus, Ohio 43216
(614)644-2246
(614) 644-3133 FAX
owen@n222.osha.gov E-mail
Wisconsin (Health)
Wisconsin Department of Health and Human
Services
Section of Occupational Health, Room 112
1414 East Washington Avenue
Madison, Wisconsin 53703
(608) 266-8579
(608) 266-9711 FAX
Wisconsin (Safety)
Wisconsin Department of Industry
Labor and Human Relations
Bureau of Safety Inspections
401 Pilot Court, Suite C
Waukesha, Wisconsin 53188
(414)521-5063
(414) 521-8614 FAX
I I63@n215.osha.gov E-mail
State Plan States
Department of Consumer and Industry
Services North
3423 No. Martin Luther King Boulevard
PO Box 30649
Lansing, MI 48909
Kathleen M. Wilbur, Director
phone: (517) 373-7230 fax: (517) 373-2129
Douglas E. Earle,
Program Director for Safety and Health
phone: (517) 322-1814 fax: (517) 335-8010
Department of Labor and Industry
443 Lafayette Road
St. Paul, MN 55155
Gretchen B. Maglich, Commissioner
phone: (612)296-2342 fax:(612)282-5405
Roslyn Wade, Assistant Commissioner
phone: (612) 296-6529 fax: (612)282-5405
-------
Region or State
Regional Office
Consultive Program
State Plan States
Region 6
525 Griffin Street
Room 602
Dallas, TX 75202
phone: (214)767-4731
fax:(214)767-4137
Arkansas
OSHA Consultation
Arkansas Department of Labor
10421 West Morkham
Lillle Rock. Arkansas 72205
(501)682-4522
(501) 682-4532 FAX
clark@n237.osha.gov E-mail
Louisiana
7(c)(l) Consultation Program
Louisiana Department of Labor
Post Office Box 94094
Baton Rouge, Louisiana 70804
(504)342-9601
(504) 342-5158 FAX
oshacons@eatel.nct E-mail
New Mexico
New Mexico Environment Dcpt
Occupational Health and Safety Bureau
525 Cainino de Los Marquez, Suite 3
PO Box 26110
Santa Fe, New Mexico 87502
(505) 827-4230
(505) 827-4422 FAX
deborah@n023.oslm.gov E-mail
Environment Department
1190 St. Francis Drive
PO Box 26110
Santa Fe, New Mexico 87502
Mark E. Weilder, Secretary
phone: (505) 827-2850 fax: (505) 827-2836
Sam A. Rogers, Chief
phone: (505) 827-4230 fax: (505) 827-2836
Oklahoma
Oklahoma Department of Labor
OSHA Division
4001 North Lincoln Boulevard
Oklahoma City, Oklahoma 73105-5212
(405)528-1500
(405) 528-5751 FAX
Ieslie@ii238.osha.gov E-mail
Texas
Workers' Health and Safety Division
Workers' Compensation Commission
Southfleld Building
4000 South I H 35
Austin, Texas 78704
(512)440-3854
(512) 440-3831 FAX
margarct.nugcnt@mail.capnet.state.tx.us
-------
Region or State
Region 7
Iowa
Kansas
Missouri
Nebraska
Region 8
Regional Office
City Center Square
1100 Main Street "
Suite 800
Kansas Cityi Missouri 64105
phone: (816) 426-5861
fax: (816)426-2750
1999 Broadway
Suite 1690 /. ;
Denver, CO 80202
phone: (303) 844-1600
fax:(303)844-1616
Consultive Program
7(c)(I) Consultation Program
Iowa Bureau of Labor
1000 East Grand Avenue
Des Moines, Iowa 50319
(515)281-5352
(515) 281-4831 FAX
Dept. of Human Resources
512 South Westetli Street
Topeka, Kansas 66603
(913)296-7476
(913) 296-1775 FAX
rudy.leutzinger@ks-ce-topeka.gov E-mail
Division of Labor Standards
Dept. of Labor & Industrial Relations
3315 West Truman Boulevard
P.O. Box 449
Jefferson City, Missouri 65109
(573)751-3403
(573) 751-3721 FAX
rsimmons@services.siate.mo.us E-mail
Division of Safety Labor & Safely Standards
Nebraska Department of Labor
Slate Office Building, Lower Level
301 Centennial Mall, South
Lincoln, Nebraska 68509-5024
(402)471-4717
(402) 471-5039 FAX
ainy@n2l4.osha.gov E-mail
State Plan States
Division of Labor Services
1000 E. Grand Avenue;
Des Moines, Iowa 50319
Mary L. Bryant, Administrator
phone: (515) 281-3469 fax: (515) 281-7995
Byron K. Orton, Commissioner
(515) 281 -3447 (0 (515) 242-5144
-------
Region or State
Regional Office
Consultive Program
State Flan States
Colorado
Colorado State University
Occupational Safely and Health Section
I IS Environmental Health Building
Port Collins, Colorado 80523
(303)491-6151
(303) 491-7778 FAX
jdsand@lainar.colostale.edu E-mail
Montana
Montana.
Dcpi. or Labor and Industry
Bureau of Safety
PO Box 1728
Helena, Montana 59624-1728
(406)444-6418
(406) 444-4140 FAX
dfolsom@mt.gov E-mail
North Dakota
Division of Environmental Engineering
1200 Missouri Avenue, Room 304
Bismarck, North Dakota 58506-5520
(701)328-5188
(701) 328-5200 FAX
cciiiiiil.llHiber@raiicli.slnle.nd.iis E-mail
South Dakota
Engineering Extension
Onsite Technical Division
South Dakota State University
Box 510
West Hall
907 Harvey Dunn Street
Brookings, South Dakota 57007
(605)688-4101
(605) 688-6290 FAX
scoshaovp@infoave.nel E-mail
Utah
Utah Industrial Commission
Consultation Services
160 East 300 South
Salt Lake City, Utah 84114-6650
(801) 530-6868
(801) 530-6992 FAX
icmain.nandetso@state.ui.us E-mail
Labor Commission
160 East 300 South, 3rd Floor
PO Box 146650
Salt Lake City, UT 84114-6650
Jay W. Bagley, Administrator
phone: (801) 530-6898 fax: (801) 530-7606
R. Lee Ellertson, Commissioner
(801) 530-6898 (0 (801) 530-6880
-------
Region or State
Wyoming
Region 9
Arizona
California
Guam
Hawaii
Regional Office
71 Stevenson Street
Room 420
Sail Francisco, CA 94105
phone; (415) 975-4310 ;
fax: (415) 744-4319
Consultive Program
Wyoming Department of Employment
Workers' Safety and Compensation Division
Herschler Building, 2 East
122 West 25tli Street
Cheyenne, Wyoming 82002
(307)777-7786
(307) 777-3646 FAX
Consultation and Training
Industrial Commission of Arizona
Division of Occupational Safety & Health
800 West Washington
Phoenix, Arizona 85007
(602) 542-5795
(602) 542-1614 FAX
henry@ii245.osha.gov E-mail
CAL/OSHA Consultation Service
Department of Industrial Relations
Room 1260
45 Freemont Street
San Francisco, CA 94105
(415)972-8515
(415) 972-8513 FAX
DCBare@hq.dir.ca.gov E-mail
OSHA Onsite Consultation
Dept. of Labor, Government of Guam
PO Box 9970
Tamuning, Guam 96931
(671)475-0136
(671) 477-2988 FAX
Consultation & Training Branch
Dept of Labor and Industrial Relations
!30 Punchbowl Street
Honolulu, Hawaii 96813
808)586-9100
808) 586-9099 FAX
State Plan States
Department of Employment
Worker's Safety and Compensation Div.
Herschler Building, 2nd Floor East
122 West 25th Street
Cheyenne, WY 82002
Stephan R. Foster, Safety Administrator
phone: (307) 777-7786 fax: (307) 777-5850
Industrial Commission
800 W. Washington
Phoenix, AZ 85007
Derek Mullins, Program Director
phone: (602) 542-5795 fax: (602) 542-1614
Larry Etchechury, Director
(602) 542-5796 (0 (602) 542-1614
Department of Industrial Relations
45 Freemont Street
San Francisco, CA 94105
Dr. John Howard, Chief
phone: (415) 972-8500 fax: (415) 972-8513
John Duncan, Director
(415) 972-8835 (f) (415) 972-8848
Department of Labor and Industrial Relations
830 Punchbowl Street
Honolulu, HI 96813
Loraine H Akiba, Director
>hone: (808) 586-8844 fax: (808) 586-9099
ennifer Shishido, Administrator
ilione: (808) 586-9116 fax:(808)586-9104
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Region or State
Regional Office
Consultive Program
State Plan States
Nevada
Divblon of Preventive Safety
DepartmonC of Industrial Relations, Suite 106
2500 West Washington
Los Vegns. Nevada 89106
(702)486-5016
(702) 486-5331 FAX
dnllon.Iiooks@nv-ce-lnsvegns.oslm.gov E-mnil
Division of Industrial Relniions
400 West King Street
Carson City, Nevada 97502
Ron Svrirczek, Administrator
phone(702) 687-3032 fax: (702) 687-6305
Danny Evnns, Assistant Administrator
phone: (702) 687-3250 fax: (702) 687-6150
Region 10
1111 Third Avenue
Suite 715
Seattle, Washington 98101-3212
phone: (206) 553-5930
fax: (206) 553-6499
Alaska
ADOL/OSHA Division of Consultation
3301 Eagle Street
P.O. Box 107022
Anchorage, Alaska 99510
(907) 269-4957
(907) 269-4950 FAX
limothybundy@labor.state.ak.us E-mail
Department of Labor
1111 W. 8lli Struct. Room 306
Juneau,AK9980l
Alan W. Dwyer, Program Director
phone: (907) 465-4855 fax: (907) 465-3584
Tom Cashen, Commissioner
(907) 465-2700 (0 (907) 465-2784
Idaho
Boise Slate University, Dept. of Health Studies
1910 University Drive, ET-338A
Boise, Idaho 83725
(208) 385-3283
(208) 385-4411 FAX
lstokes@bsu.idbsu.edu E-mail
Oregon
Department of Consumer and Business
Services
Oregon Occupational Safely and Health
Division
350 Winter Street NE, Room 430
Salem, Oregon 97310
(503) 378-3272
(800) 922-2689 TOLL FREE
(503) 378-5729FAX
steve.g.beech@slate.or.us or
consult.web@slate.or.us E-mail
Occupational Safely and Health Division
Depl. of Consumer & Business Services
350 Winter Street, NE, Room 430
Salem, OR 97310
Peter Deluca, Administrator
phone: (503)378-3272 fax: (503)378-4538
David Sparks, Deputy Administrator
phone: (503)378-3272 fax: (503)378-4538
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Region or State
Washington
Regional Office
Consultive Program
Washington Dept of Labor and Industries
Division of Industrial Safety and Health
PO Box 44643
Olympia, Washington 98504
(360) 902-5443
(360) 902-5459 FAX
janie235@lni.wa.gov E-mail
State Plan States
Department of Labor and Industries
General Administration Building
PO Box 44001
Olympia, WA 980504-4001
Gary Moore, Director
phone: (360) 902-4200 fax: (360) 902-4202
Michael Silverslein, Assistant Director
phone: (360) 902-5495 fax: (360) 902-5529
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APPENDIX E: TECHNICAL ASSISTANCE
-------
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APPENDIX E: 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. For specific points of contact for EPA
regional offices, RMP implementing agencies, and Clean Air Act small business
assistance programs, refer to Appendix C. For specific points of contact for OSHA
regional offices, OSHA state consultative programs, and OSHA state plan states, refer to
Appendix D.
U.S. Environmental Protection Agency
•*• Chemical Emergency Preparedness and Prevention Office
401 M Street, SW
Washington, DC 20460
(202)260-8600
www.epa.gov/swercepp
CEPPO administers the RMP program at the national level. TheCEPPO
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
Toll-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/index.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 Center for Environmental Publications and Information
P.O. Box 42419
Cincinnati, OH 45242
Phone: (800)490-9198
Fax: (513)489-8695
www.epa.gov/ncepihom/
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Appendix E
Technical Assistance E-2
Orders must be limited to five titles per two-week period, one complimentary
copy of each in-stock publication. As supplies are depleted you will be referred to
the National Technical Information Service (NTIS), the Government Printing
Office (GPO), or the Educational Resource Information Center (ERIC) to obtain
your documents at cost.
+ National Technical Information Service
Technology Administration
U.S. Department of Commerce
5285 Port Royal Road
Springfield, VA 22161
Phone: (800) 553-6847 (toll-free)
Phone: (703) 487-4650 (local)
Monday - Friday, 8:00 am - 8:00 pm EST
Fax: (703) 321-8547 (verify receipt at (703) 487-4679)
www.ntis.gov/
E-Mail: orders@ntis.fedworld.gov
The National Technical Information Service is the official resource for
government-sponsored U.S. and worldwide scientific, technical, engineering, and
business-related information. Documents not available through the EPA Hotline
are often available from NTIS. You can place your order by telephone, mail, fax,
or e-mail. NTIS also offers online ordering for products added to the NTIS
collection within the last 90 days using NTIS OrderNow.
+ EPA Small Business Assistance Program
www.epa.gov/ttn/sbap/
The Clean Air Act Amendments of 1990 requires that all States develop a
program to assist small businesses in meeting the requirements of the Act. EPA
has established its own Small Business Assistance Program (SBAP) to provide
technical assistance to these State small business programs. This site has been
developed to allow State and EPA programs to share information about their small
business assistance materials and activities.
+ EPA Small Business Hotline
Small Business Ombudsman Office
(800) 368-5888
4- Office of Air Quality Planning and Standards
www.epa.gov/oar/oaqps/
The Office of Air Quality Planning and Standards administers EPA's operating
permit program. Permits incorporate terms and conditions to assure that the
source complies with all applicable requirements. The RMP regulations are
considered to be an applicable requirement.
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Appendix E
Technical Assistance
Occupational Safety and Health Administration (OSHA)
OSHA administers the Process Safety Management Standard (29 CFR 1910119) which
mandates actions similar to that of EPA's prevention program. In about half of the states
(see Appendix D), OSHA programs are run by state agencies.
+ Office of Information and Consumer Affairs
U.S. Department of Labor
Room N3647
200 Constitution Avenue, NW
Washington, DC 20210
(202)523-8151
www.osha.gov
+ OSHA Process Safety Management Homepage
www.osha-slc.gov/SLTC/ProcessSafetyManagement/index.html
The PSM homepage on the Internet provides access to downloadable versions of
numerous process safety management documents.
•*• 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 organizations
in each federal region offer the most frequently requested courses for the private
sector and other Federal agency staff.
+ OSHA Voluntary Protection Program (VPP)
Division of Voluntary Programs
(202)219-7266
www.osha.gov/oshprogs/vpp/osha2.html
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Appendix E
Technical Assistance E-4
OSHA Voluntary Protection Programs are designed to recognize and promote
effective safety and health management. In the VPP, management, labor, and
OSHA establish a cooperative relationship at a workplace that has implemented a
strong program.
OSHA Publications Office
RoomNSlOl
Washington, DC 20210
(202) 523-9667
The Publications Office provides single copies of various documents.
OSHA Computerized Information System
www.osha-slc.gov/
This site provides links to OSHA Standards and related documents, including
OSHA Regulations, Federal Register notices, Interpretations and Compliance
Letters, OSHA Regulations (preambles to final rules), Review Commission
decisions, Congressional Testimony, OSHA Directives and Fact Sheets,
Memorandums of Understanding.
OSHA CD-ROM
Windows and Macintosh dual platform
U.S. Government Printing Office
Stock # 729-013-00000-5
Phone: (202)512-1800
Fax: (202)512-2250
Price: $38/year (four quarterly releases), $15 (single copy)
This CD-ROM contains electronic copy of the text of all OSHA regulations,
selected documents, and technical information from the OSHA Computerized
Information System.
Other Organizations
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/docs/research/ccps.htm
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Appendix E
chnical Assistance
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.
U.S. Government Printing Office
Superintendent of Documents
Washington, DC 20402
(202) 783-3238
www.gpo.gov/su_docs/index.html
GPO Access User Support Team
E-mail: gpoaccess@gpo.gov
Phone: (202) 512-1530 (local)
Phone: (888) 293-6498 (toll-free)
Fax: (202)512-1262
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-------
APPENDIX F
OSHA GUIDANCE ON PSM
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APPENDIX F
OSHA GUIDANCE ON PSM
no ™ foll°wing text is taken directlv from OSHA's non-mandatory appendix C to the PSM standard
(29 CFR 1910.1 19). 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 enforcemenUrfficials.
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 includin*
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.
The information pertaining to process equipment design must be documented. In other words, what were
the codes and standards relied on to establish good engineering practice. These codes and standards are
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Appendix F
OSHA Guidance on PSM F-2
published by such organizations as the American Society of Mechanical Engineers, American Petroleum
Institute, American National Standards Institute, National Fire Protection Association, American Society
for Testing and Materials, National Board of Boiler and Pressure Vessel Inspectors, National Association
of Corrosion Engineers, American Society of Exchange Manufacturers Association, and model building
code groups. In addition, various engineering societies issue technical reports which impact process
design. For example, the American Institute of Chemical Engineers has published technical reports on
topics such as two phase flow for venting devices. This type of technically recognized report would
constitute good engineering practice.
For existing equipment designed and constructed many years ago in accordance with the codes and
standards available at that time and no longer in general use today, the employer must document which
codes and standards were used and that the design and construction along with the testing, inspection and
operation are still suitable for the intended use. Where the process technology requires a design which
departs from the applicable codes and standards, the employer must document that the design and
construction is suitable for the intended purpose.
PROCESS HAZARD ANALYSIS
A process hazard analysis (PHA), sometimes called a process hazard evaluation, is one of the most
important elements of the process safety management program. A PHA is an organized and systematic
effort to identify and analyze the significance of potential hazards associated with the processing or
handling of highly hazardous chemicals. A PHA provides information which will assist employers and
employees in making decisions for improving safety and reducing the consequences of unwanted or
unplanned releases of hazardous chemicals.
A PHA is directed toward analyzing potential causes and consequences of fires, explosions, releases of
toxic or flammable chemicals and major spills of hazardous chemicals. The PHA focuses on equipment,
instrumentation, utilities, human actions (routine and non-routine), and external factors that might impact
the process. These considerations assist in determining the hazards and potential failure points or failure
modes in a process.
The selection of a PHA methodology or technique will be influenced by many factors including the
amount of existing knowledge about the process. Is it a process that has been operated for a long period of
time with little or no innovation and extensive experience has been generated with its use? Or, is it a new
process or one which has been changed frequently by the inclusion of innovative features? Also, the size
and complexity of the process will influence the decision as to the appropriate PHA methodology to use.
All PHA methodologies are subject to certain limitations. For example, the checklist methodology works
well when the process is very stable and no changes are made, but it is not as effective when the process
has undergone extensive change. The checklist may miss the most recent changes and consequently the
changes would not be evaluated. Another limitation to be considered concerns the assumptions made by
the team or analyst. The PHA is dependent on good judgment and the assumptions made during the study
need to be documented and understood by the team and reviewer and kept for a future PHA.
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
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Appendix F
F-3 OSHA Guidance on PSM
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.
When the employer has a number of processes which require a PHA, the employer must set up a priority
system of which PHAs to conduct first. A preliminary or gross hazard analysis may be useful in
prioritizing the processes that the employer has determined are subject to coverage by the process safety
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Appendix F
OSHA Guidance on PSM F-4
management standard. Consideration should first be given to those processes with the potential of
adversely affecting the largest number of employees. This prioritizing should consider the potential
severity of a chemical release, the number of potentially affected employees, the operating history of the
process such as the frequency of chemical releases, the age of the process and any other relevant factors.
These factors would suggest a ranking order and would suggest either using a weighing factor system or a
systematic ranking method. The use of a preliminary hazard analysis would assist an employer in
determining which process should be of the highest priority and thereby the employer would obtain the
greatest improvement in safety at the facility.
OPERATING PROCEDURES
Operating procedures describe tasks to be performed, data to be recorded, operating conditions to be
maintained, samples to be collected, and safety and health precautions to be taken. The procedures need to
be technically accurate, understandable to employees, and revised periodically to ensure that they reflect
current operations. The process safety information package is to be used as a resource to better assure that
the operating procedures and practices are consistent with the known hazards of the chemicals in the
process and that the operating parameters are accurate. Operating procedures should be reviewed by
engineering staff and operating personnel to ensure that they are accurate and provide practical instructions
on how to actually carry out job duties safely.
Operating procedures will include specific instructions or details on what steps are to be taken or followed
in carrying out the stated procedures. These operating instructions for each procedure should include the
applicable safety precautions and should contain appropriate information on safety implications. For
example, the operating procedures addressing operating parameters will contain operating instructions
about pressure limits, temperature ranges, flow rates, what to do when an upset condition occurs, what
alarms and instruments are pertinent if an upset condition occurs, and other subjects. Another example of
using operating instructions to properly implement operating procedures is in starting up or shutting down
the process. In these cases, different parameters will be required from those of normal operation. These
operating instructions need to clearly indicate the distinctions between startup and normal operations such
as the appropriate allowances for heating up a unit to reach the normal operating parameters. Also the
operating instructions need to describe the proper method for increasing the temperature of the unit until
the normal operating temperature parameters are achieved.
Computerized process control systems add complexity to operating instructions. These operating
instructions need to describe the logic of the software as well as the relationship between the equipment
and the control system; otherwise, it may not be apparent to the operator.
Operating procedures and instructions are important for training operating personnel. The operating
procedures are often viewed as the standard operating practices (SOPs) for operations. Control room
personnel and operating staff, in general, need to have a full understanding of operating procedures. If
workers are not fluent in English then procedures and instructions need to be prepared in a second
language understood by the workers. In addition, operating procedures need to be changed when there is a
change in the process as a result of the management of change procedures. The consequences of operating
procedure changes need to be fully evaluated and the information conveyed to the personnel. 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
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Appendix F
F-5 .,: OSHA Guidance on PSM
current operating procedures and operating personnel must be oriented to the changes in procedures before
the change is made. When the process is shutdown to make a change, then the operating procedures must
be updated before startup of the process.
Training in how to handle upset conditions must be accomplished as well as what operating personnel are
to do in emergencies such as when a pump seal fails or a pipeline ruptures. Communication between
operating personnel and workers performing work within the process area, such as non-routine tasks, also
must be maintained. The hazards of the tasks are to be conveyed to operating personnel in accordance
with established procedures and to those performing the actual tasks. When the work is completed,
operating personnel should be informed to provide closure on the job.
TRAINING
All employees, including maintenance and contractor employees, involved with highly hazardous
chemicals need to fully understand the safety and health hazards of the chemicals and processes they work
with for the protection of themselves, their fellow employees and the citizens of nearby communities.
Training conducted in compliance with 1910.1200, the Hazard Communication standard, will help
employees to be more knowledgeable about the chemicals they work with as well as familiarize them with
reading and understanding MSDS. However, additional training in subjects such as operating procedures
and safety work practices, emergency evacuation and response, safety procedures, routine and non-routine
work authorization activities, and other areas pertinent to process safety and health will need to be covered
by an employer's training program.
In establishing their training programs, employers must clearly define the employees to be trained and what
subjects are to be covered in their training. Employers in setting up their training program will need to
clearly establish the goals and objectives they wish to achieve with the training that they provide to their
employees. The learning goals or objectives should be written in clear measurable terms before the training
begins. These goals and objectives need to be tailored to each of the specific training modules or segments^
Employers should describe the important actions and conditions under which the employee will
demonstrate competence or knowledge as well as what is acceptable performance.
Hands-on-training where employees are able to use their senses beyond listening, will enhance learning.
For example, operating personnel, who will work in a control room or at control panels, would benefit by
being trained at a simulated control panel or panels. Upset conditions of various types could be displayed
on the simulator, and then the employee could go through the proper operating procedures to bring the
simulator panel back to the normal operating parameters. A training environment could be created to help
the trainee feel the full reality of the situation but, of course, under controlled conditions. This realistic
type of training can be very effective in teaching employees correct procedures while allowing them to also
see the consequences of what might happens if they do not follow established operating procedures. Other
training techniques using videos or on-the-job training can also be very effective for teaching other job
tasks, duties, or other important information. An effective training program will allow the employee to
fully participate in the training process and to practice their skill or knowledge.
Employers need to periodically evaluate their training programs to see if the necessary skills, knowledge,
and routines are being properly understood and implemented by their trained employees. The means or
methods for evaluating the training should be developed along with the training program goals and
objectives. Training program evaluation will help employers to determine the amount of training their
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Appendix F
OSHA Guidance on PSM ^6
employees understood, and whether the desired results were obtained. If, after the evaluation, it appears
that the trained employees are not at the level of knowledge and skill that was expected, the employer will
need to revise the training program, provide retraining, or provide more frequent refresher training sessions
until the deficiency is resolved. Those who conducted the training and those who received the training
should also be consulted as to how best to improve the training process. If there is a language barrier, the
language known to the trainees should be used to reinforce the training messages and information.
Careful consideration must be given to assure that employees including maintenance and contract
employees receive current and updated training. For example, if changes are made to a process, impacted
employees must be trained in the changes and understand the effects of the changes on their job tasks (e.g.,
any new operating procedures pertinent to their tasks). Additionally, as already discussed the evaluation of
the employee's absorption of training will certainly influence the need for training..
MECHANICAL INTEGRITY
Employers will need to review their maintenance programs and schedules to see if there are areas where
"breakdown" maintenance is used rather than an on-going mechanical integrity program. Equipment used
to process, store, or handle highly hazardous chemicals heeds to be designed, constructed, installed and
maintained to minimize the risk of releases of such chemicals. This requires that a mechanical integrity
program be in place to assure the continued integrity of process equipment.
Elements of a mechanical integrity program include the identification and categorization of equipment and
instrumentation, inspections and tests, testing and inspection frequencies, development of maintenance
procedures, training of maintenance personnel, the establishment of criteria for acceptable test results,
documentation of test and inspection results, and documentation of manufacturer recommendations as to
meantime to failure for equipment and instrumentation.
The first line of defense an employer has available is to operate and maintain the process as designed, and
to keep the chemicals contained. This line of defense is backed up by the next line of defense which is the
controlled release of chemicals through venting to scrubbers or flares, or to surge or overflow tanks which
are designed to receive such chemicals, etc. These lines of defense are the primary lines of defense or
means to prevent unwanted releases. The secondary lines of defense would include fixed fire protection
systems like sprinklers, water spray, or deluge systems, monitor guns, etc., dikes, designed drainage
systems, and other systems which would control or mitigate hazardous chemicals once an unwanted release
occurs. These primary and secondary lines of defense are what the mechanical integrity program needs to
protect and strengthen these primary and secondary lines of defenses where appropriate.
The first step of an effective mechanical integrity program is to compile and categorize a list of process
equipment and instrumentation for inclusion in the program. This list would include pressure vessels,
storage tanks, process piping, relief and vent systems, fire protection system components, emergency
shutdown systems and alarms and interlocks and pumps. For the categorization of instrumentation and 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
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Appendix F
OSHA Guidance on PSM
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 intemaf 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.
MANAGEMENT OF CHANGE
To properly manage changes to process chemicals, technology, equipment and facilities, one must define
what is meant by change. In this process safety management standard, change includes all modifications to
equipment, procedures, raw materials and processing conditions other than "replacement in kind." These
changes need to be properly managed by identifying and reviewing them prior to implementation of the
change. For example, the operating procedures contain the operating parameters (pressure limits,
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Appendix F
OSHA Guidance on PSM F-8
temperature ranges, flow rates, etc.) and the importance of operating within these limits. While the
operator must have the flexibility to maintain safe operation within the established parameters, any
operation outside of these parameters requires review and approval by a written management of change
procedure. Management of change covers changes in process technology and changes to equipment and
instrumentation. Changes in process technology can result from changes in production rates, raw
materials, experimentation, equipment unavailability, new equipment, new product development, change
in catalyst and changes in operating conditions to improve yield or quality. Equipment changes include
among others change in materials of construction, equipment specifications, piping pre-arrangements,
experimental equipment, computer program revisions and changes in alarms and interlocks. Employers
need to establish means and methods to detect both technical changes and mechanical changes.
Temporary changes have caused a number of catastrophes over the years, and employers need to establish
ways to detect temporary changes as well as those that are permanent. It is important that a time limit for
temporary changes be established and monitored since, without control, these changes may tend to become
permanent. Temporary changes are subject to the management of change provisions. In addition, the
management of change procedures are used to insure that the equipment and procedures are returned to
their original or designed conditions at the end of the temporary change. Proper documentation and review
of these changes is invaluable in assuring that the safety and health considerations are being incorporated
into the operating procedures and the process. Employers may wish to develop a form or clearance sheet
to facilitate the processing of changes through the management of change procedures. A typical change
form may include a description and the purpose of the change, the technical basis for the change, safety
and health considerations, documentation of changes for the operating procedures, maintenance
procedures, inspection and testing, P&IDS, electrical classification, training and communications,
pie-startup inspection, duration if a temporary change, approvals and authorization. Where the impact of
the change is minor and well understood, a check list reviewed by an authorized person with proper
communication to others who are affected may be sufficient.
However, for a more complex or significant design change, a hazard evaluation procedure with approvals
by operations, maintenance, and safety departments may be appropriate. Changes in documents such as
P&IDS, raw materials, operating procedures, mechanical integrity programs, electrical classifications, etc.,
need to be noted so that these revisions can be made permanent when the drawings and procedure manuals
are updated. Copies of process changes need to be kept in an accessible location to ensure that design
changes are available to operating personnel as well as to PHA team members when a PHA is being done
or one is being updated.
PRE-STARTUP REVIEW
For new processes, the employer will find a PHA helpful in improving the design and construction of the
process from a reliability and quality point of view. The safe operation of the new process will be enhanced
by making use of the PHA recommendations before final installations are completed. P&IDs 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
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F-9 . • OSHA Guidance on PSM
the management of change procedures. P&IDS will need to be updated as necessary, as well as operating
procedures and instructions. If the changes made to the process during shutdown are significant and impact
the training program, then operating personnel as well as employees engaged in routine and non-routine
work in the process area may need some refresher or additional training in light of the changes. Any
incident investigation recommendations, compliance audits or PHA recommendations need to be reviewed
as well to see what impacts they may have on the process before beginning the startup.
COMPLIANCE AUDITS
Employers need to select a trained individual or assemble a trained team of people to audit the process
safety management system and program. A small process or plant may need only one knowledgeable
person to conduct an audit. The audit is to include an evaluation of the design and effectiveness of the
process safety management system and a field inspection of the safety and health conditions and practices
to verify that the employer's systems are effectively implemented. The audit should be conducted or led
by a person knowledgeable in audit techniques and who is impartial towards the facility or area being
audited. The essential elements of an audit program include planning, staffing, conducting the audiC
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
procedure and checklist developed in the preplanning stage, the audit team can systematically analyze
compliance with the provisions of the standard and any other corporate policies that are relevant. For
example, the audit team will review all aspects of the training program as part of the overall audit. The
team will review the written training program for adequacy of content, frequency of training, effectiveness
of training in terms of its goals and objectives as well as to how it fits into meeting the standard's
requirements, documentation, etc. Through interviews, the team can determine the employee's knowledge
and awareness of the safety procedures, duties, rules, emergency response assignments, etc. During the
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Appendix F
OSHA Guidance on PSM F-l 0
inspection, the team can observe actual practices such as safety and health policies, procedures, and work
authorization practices. This approach enables the team to identify deficiencies and determine where
corrective actions or improvements are necessary.
An audit is a technique used to gather sufficient facts and information, including statistical information, to
verify compliance with standards. Auditors should select as part of their preplanning a sample size
sufficient to give a degree of confidence that the audit reflects the level of compliance with the standard.
The,audit team, through this systematic analysis, should document areas which require corrective action as
well as those areas where the process safety management system is effective and working in an effective
manner. This provides a record of the audit procedures and findings, and serves as a baseline of operation
data for future audits. It will assist future auditors in determining changes or trends from previous audits.
Corrective action is one of the most important parts of the audit. It includes not only addressing the
identified deficiencies, but also planning, follow up, and documentation. The corrective action process
normally begins with a management review of the audit findings. The purpose of this review is to
determine what actions are appropriate, and to establish priorities, timetables, resource allocations and
requirements and responsibilities. In some cases, corrective action may involve a simple change in
procedure or minor maintenance effort to remedy the concern. Management of change procedures need to
be used, as appropriate, even for what may seem to be a minor change. Many of the deficiencies can be
acted on promptly, while some may require engineering studies or in-depth review of actual procedures
and practices. There may be instances where no action is necessary and this is a valid response to an audit
finding. All actions taken, including an explanation where no action is taken on a finding, needs to be
documented as to what was done and why.
It is important to assure that each deficiency identified is addressed, the corrective action to be taken
noted, and the audit person or team responsible be properly documented by the employer.
To control the corrective action process, the employer should consider the use of a tracking system. This
tracking system might include periodic status reports shared with affected levels of management, specific
reports such as completion of an engineering study, and a final implementation report to provide closure
for audit findings that have been through management of change, if appropriate, and then shared with
affected employees and management. This type of tracking system provides the employer with the status
of the corrective action. It also provides the documentation required to verify that appropriate corrective
actions were taken on deficiencies identified in the audit.
INCIDENT INVESTIGATION
Incident investigation is the process of identifying the underlying causes of incidents and implementing
steps to prevent similar events from occurring. The intent of an incident investigation is for employers to
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
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Appendix?
OSHA Guidance on PSM
happened, and why. Team members should be selected on the basis of their training, knowledge and
ability to contribute to a team effort to fully investigate the incident..
Employees in the process area where the incident occurred should be consulted, interviewed or made a
member of the team. Their knowledge of the events form a significant set of facts about the incident which
occurred. The report, its findings and recommendations are to be shared with those who can benefit from
the information. The cooperation of employees is essential to an effective incident investigation. The
focus of the investigation should be to obtain facts, and not to place blame. The team and the investigation
process should clearly deal with all involved individuals in a fair, open and consistent manner.
EMPLOYEE PARTICIPATION
Section 304 of the Clean Air Act Amendments states that employers are to consult with their employees
and their representatives regarding the employers efforts in the development and implementation of the
process safety management program elements and hazard assessments. Section 304 also requires
employers to train and educate their employees and to inform affected employees of the findings from
incident investigations required by the process safety management program. Many employers, under their
safety and health programs, have already established means and methods to keep employees and their
representatives informed about relevant safety and health issues and employers may be able to adapt these
practices and procedures to meet their obligations under this standard. Employers who have not
implemented an occupational safety and health program may wish to form a safety and health committee of
employees and management representatives to help the employer meet the obligations specified by this
standard. These committees can become a significant ally in helping the employer to implement and
maintain an effective process safety management program for all employees.
HOT WORK PERMIT
Non-routine work which is conducted in process areas needs to be controlled by the employer in a
consistent manner. The hazards identified involving the work that is to be accomplished must be
communicated to those doing the work, but also to those operating personnel whose work could affect the
safety of the process. A work authorization notice or permit must have a procedure that describes the steps
the maintenance supervisor, contractor representative or other person needs to follow to obtain the
necessary clearance to get the job started. The work authorization procedures need to reference and
coordinate, as applicable, lockout/tagout procedures* line breaking procedures, confined space entry
procedures and hot work authorizations. This procedure also needs to provide clear steps to follow once
the job is completed to provide closure for those that need to know the job is now completed and
equipment can be returned to normal.
CONTRACTORS
Employers who use contractors to perform work in and around processes that invoive highly hazardous
chemicals, will need to establish a screening process so that they hire and use contractors who accomplish
the desired job tasks without compromising the safety and health of employees at a facility. For
contractors, whose safety performance on the job is not known to the hiring employer, the employer will
need to obtain information on injury and illness rates and experience and should obtain contractor
references. Additionally, the employer must assure that the contractor has the appropriate job skills,
knowledge and certifications (such as for pressure vessel welders). Contractor work methods and
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Appendix F
OSHA Guidance on PSM F-12
experiences should be evaluated. For example, does the contractor conducting demolition work swing
loads over operating processes or does the contractor avoid such hazards?
Contract employees must perform their work safely. Considering that contractors often perform very
specialized and potentially hazardous tasks such as confined space entry activities and non-routine repair
activities it is quite important that their activities be controlled while they are working on or near a covered
process. A permit system or work authorization system for these activities would also be helpful to all
affected employers. The use of a work authorization system keeps an employer informed of contract
employee activities, and as a benefit the employer will have better coordination and more management
control over the work being performed in the process area. A well run and well maintained process where
employee safety is fully recognized will benefit all of those who work in the facility whether they be
contract employees or employees of the owner.
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