Guidance Manual for
EPA Chemical Safety Audit Team Members
Chemical Emergency Preparedness and Prevention Office
Office of Solid Waste and Emergency Response
U.S. Environmental Protection Agency
June 1993
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Note: This Manual supersedes all previous versions.
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Table of Contents
Item Page
1. Introduction
1.1 Purpose of this Manual 1
1.2 Program Background and Overview 1
1.3 CSA Program and Section 112 (r) of the Clean Air Act 4
2. Program Authority Under CERCLA
2.1 Purpose of the Statute 5
2.2 Facility Entry and Information Gathering Tools 5
2.2.1 Statutory Authority 5
2.2.2 EPA Policy and Practice 5
2.2.3 Confidential Information 6
2.2.4 Attorney-Client Privilege 6
2.3 Response Actions if a Release or a Threat of a Release Exists 7
2.4 Relationship to Enforcement/Compliance Regulatory Programs 8
2.5 Relationship Between CERCLA and SARA Title III 9
3. Role of Audit Team Members
3.1 Audit Team Composition 11
3.2 Training and Safety Requirements 14
3.3 Non-EPA Personnel Participation on Audit Team 15
3.4 Liability 16
3.4.1 Federal Employees 16
3.4.2 AARP Enrollees 16
3.4.3 Technical Assistance Team Contractors 17
3.4.4 Federal, State/SERC, and Local/LEPC Government Personnel 17
3.5 Conflict of Interest 17
4. Preparing for the Audit
4.1 Facility Selection 19
4.2 Facility Notification 20
4.3 Facility Background Information 21
4.4 Preparing for the Site Visit 21
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Item Page
5. Conducting the Audit
5.1 Entry 23
5.2 Opening Meeting 23
5.3 On-Site Activities 24
5.4 Exit Briefing 24
6. Audit Protocol/Report Preparation Guidance
6.1 Purpose and Structure 25
6.2 Writing the Report 44
6.2.1 Post-Visit Meeting 44
6.2.2 Tips for Writing the Report 44
6.2.3 Follow-up Information 46
6.2.4 Standard Report Disclaimer 46
6.3 Review and Finalization Procedures 47
6.3.1 Access to Draft Information 47
6.3.2 Facility Confidential Information 47
6.4 Report Distribution 47
6.5 Preparing the Report Profile 48
7. Audit Follow-Up Activities
7.1 Follow-Up Approaches 51
7.2 Specific Information Required 52
Exhibits
1. Outline of Protocol/Report Preparation Guidance 26
2. Annotated Protocol/Report Preparation Guidance 29
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Attachments
1. Chemical Safety Audit Program Fact Sheet
2. CERCLA Provisions Overview and CERCLA Statute
3. Model Site Safety Plan for Chemical Safety Audits
4. Sources of Information Concerning Hazardous Substance Releases
5. Sample First Letter to Facility Owner/Operator
6. Sample Letter to Facility Owner/Operator Who has not Responded or Consented
to the Audit
7. Standard Report Disclaimer
8. Standard Language for Audit Report Introduction
9. Documentation Pertaining to the Processes and Operations Using Hazardous
Substances
10. Description of Standard Operating Procedure Manuals
11. Blank CSA Report Profile
12. Annotated CSA Report Profile
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1. Introduction
1.1 Purpose of this Manual
The purpose of this Manual is to provide guidance to the U.S. EPA regional
offices in implementing the Chemical Safety Audit (CSA) program, which is an outgrowth
of the efforts of the Environmental Protection Agency (EPA) under the Chemical
Accident Prevention (CAP) program. This document is intended solely as guidance. It
does not represent final agency action nor is it ripe for judicial review. This is not
intended, nor can it be relied upon, to create any rights enforceable by any party in
litigation with the United States. The Agency may change this guidance at any time
without public notice.
This Manual, commonly referred to as the "Blue Book," includes a discussion of
the following topics:
Audit authority under CERCLA;
Roles and responsibilities of audit team members;
Audit preparation;
Conducting the audit;
Audit protocol and report preparation; and
Audit follow-up activities.
It is recommended that each audit team member have a copy of this Manual to
be used in conjunction with the Training Manuals provided at the Chemical Safety Audit
Training Course. This Manual contains recommended actions, as well as mandatory
procedures that must be followed to ensure the health and safety of program auditors as
well as program integrity. All required/mandatory procedures or activities presented in
this Manual are identified with the words "[Required Activity]" at the end of the
sentence in which they are presented. Unless noted as a required activity, the described
procedure is considered a recommendation, and the regional office has discretion in its
implementation.
1.2 Program Background and Overview
The Chemical Accident Prevention (CAP) program emerged from concerns raised
by the release of methyl isocyanate at Bhopal, India, and of aldicarb oxime at Institute,
West Virginia. Awareness of the critical threat to public safety posed by similar incidents
led to an emphasis on preparedness and planning for response to chemical accidents.
Simultaneous with the development of preparedness activities by EPA was the passage
and implementation of the Emergency Planning and Community Right-to-Know Act --
Title III of the Superfund Amendments and Reauthorization Act (SARA) in 1986.
Because prevention is the most effective form of preparedness, the CAP program
promotes the effort to enhance chemical accident prevention activities. The primary
objectives of the CAP program are to identify the causes of accidental releases of
hazardous substances and the means to prevent them from occurring, to promote
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industry initiatives in these areas, and to coordinate activities with the community,
industry, and other groups (e.g., academia, professional organizations, and trade
associations).
Many of the key concerns of the CAP program arise from the SARA Title III
section 305(b) study entitled Review of Emergency Systems. This study, published in
June 1988, made a number of recommendations on the future course of prevention
activities by EPA, and identified several aspects of current practices that will require
careful consideration in an overall prevention strategy. The study identified the
importance of facility management commitment to implementing and maintaining systems
to prevent, mitigate, and prepare for potential chemical accidents. First, while it is
evident that risk awareness among the larger chemical producers is high, many large
distributors and users of hazardous chemicals, as well as many smaller operations, have
not yet attained a comparable level of accident consciousness. The study also indicated
the need for new technologies in certain key areas: process area monitoring devices,
back-up detectors, mitigation devices, and practices to adequately identify disabled
equipment of these types. Third, the report suggested that a great degree of caution
must be exercised in analyses using real-time dispersion models, and indicated that
employee familiarity with hazard evaluation methods was limited, which in turn suggests
that improper or ineffective techniques may be in practice. Finally, the examination of
management practices revealed a failure to place sufficient emphasis on safety-related
issues such as standard operating procedures, employee training, preventive maintenance,
and post-accident investigation, as well as a general lack of commitment to safety.
As a follow-up to this national prevention study, EPA has undertaken cooperative
initiatives with other federal agencies, states, industry, professional organizations, and
trade associations, as well as environmental groups and academia. These joint efforts
have and will continue to serve to determine and implement a mechanism for developing
and sharing information on release prevention technology and practices, and to enhance
the state of practice in the chemical process safety arena. In addition, EPA analyzes and
disseminates information on accident prevention practices and technologies garnered
from the Accidental Release Information Program, Acute Hazardous Events, Emergency
Release Notification System, and National Response Center databases; on-scene
coordinator reports; and EPA audits and inspections. Finally, with the inclusion of the
facility risk management provisions in the Clean Air Act Amendments of 1990, the
accident prevention goals of the CSA program have been formalized.
The Chemical Safety Audit program is part of the CAP initiative and has been
designed to accomplish the following chemical accident prevention goals:
Visit facilities handling hazardous substances to gather information on
safety practices and technologies;
Heighten awareness of the need for, and promote, chemical safety among
facilities handling hazardous substances, as well as in communities where
chemicals are located;
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Build cooperation among facilities, EPA, and other authorized parties by
coordinating joint audits; and
Establish a database for the assembly and distribution of chemical process
safety management information obtained from the facility audits.
The chemical safety audit itself consists of interviews with facility personnel and
on-site review of various aspects of facility operations related to the prevention of
accidental chemical releases. Specific topics addressed include:
Awareness of chemical and process hazards;
Process characteristics;
Emergency planning and preparedness activities;
Hazard evaluation and release modelling efforts;
Release detection and monitoring techniques;
Training of operators and emergency response personnel;
Facility and corporate management structure;
Preventive maintenance and inspection programs; and
Community notification mechanisms and techniques.
Observations and conclusions from the audits are detailed in a report prepared by
the audit team. The report identifies and characterizes the strengths and weaknesses of
specific chemical accident prevention program areas to allow the elements of particularly
effective programs to be recognized, and to share information on problematic practices.
Copies of the report are given to the facility and to its corporate management so that
weak and strong program areas may be recognized. The audit reports are intended to
contribute to the study of emergency systems begun in the Review of Emergency
Systems, and in turn, to produce improvements in the ability of the audited facilities -
and industry in general ~ to prevent or mitigate releases of hazardous substances and to
share this information with the community and other interested groups. In this fashion,
the CSA program serves as a vital component of EPA's Chemical Accident Prevention
Program. Attachment 1 contains the Chemical Safety Audit Program Fact Sheet, which
summarizes the audit program background, goals, and scope. It can be used as a
separate document to inform interested parties about the audit program.
It should be noted that the CSA program is not a compliance or inspection
program. The audits are intended to be non-confrontational and positive, so that
information on safety practices, techniques, and technologies can be identified and shared
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between EPA and the facility. However, if serious problems are discovered during the
audit, EPA has a variety of legal authorities to use in response to them, which are
discussed later in the body of this Manual. Violations observed during the course of an
audit may also be referred to the respective EPA program office or federal agency or
department for determination of what actions are to be taken following the audit.
1.3 CSA Program and Section 112(r) of the Clean Air Act
The future direction of both the CAP program and the CSA program will be very
much affected by the passage of the Clean Air Act (CAA) Amendments of 1990. The
accidental release prevention requirements found in section 112(r) of the Clean Air Act
require EPA to promulgate regulations that require certain facilities to take steps to
prevent accidental releases of chemicals and mitigate the severity of releases that do
occur.
The facilities that will be covered by these regulations will be defined by a list of
substances and threshold quantities that EPA will promulgate. The Accidental Release
Prevention (ARP) regulations will require that facilities develop and implement a risk
management plan (RMP) — including a hazard assessment (off-site consequence analysis
and a five-year accident history), a prevention program, and an emergency response
program ~ within three years after promulgation of the regulation. The RMP will be
registered with EPA, and submitted to the Chemical Safety and Hazard Investigation
Board, the state, and local emergency planning and response authorities. The RMP will
also be made available to the public.
The CAA also requires EPA to establish an auditing system to review, and if
necessary require revision of the RMPs submitted by facilities. The auditing system in
the RMP rule outlines criteria for selecting facilities for audits. A more detailed auditing
strategy is being proposed in the guidance to states for implementation of the ARP
program. CAA section 507 further requires states to provide small businesses with
technical assistance on how to comply with the Act.
The role of the CSA program in advancing EPA's accident prevention initiative,
particularly its relevance in the context of the new section 112(r) requirements, will
continue to evolve. In the short term, the regions should continue to perform audits
under the current CSA format until they and the states begin administering the ARP
program under section 112(r). The goal is to ensure that the states' auditing and
inspection programs and technical assistance capability are adequate to assume the
primary responsibilities of the ARP program.
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2. Program Authority under CERCLA
2.1 Purpose of the Statute
The Comprehensive, Environmental Response, Compensation, and Liability Act
(CERCLA or Superfund) was enacted December 11, 1980, and amended by the
Superfund Amendments and Reauthorization Act (SARA) on October 17, 1986.
CERCLA authorizes the federal government to respond where there is a release or a
substantial threat of a release into the environment of any hazardous substance,
pollutant, or contaminant that may present danger to the public health or welfare or to
the environment. Attachment 2 contains an overview of major CERCLA provisions
related to the CSA program. These include CERCLA sections 104(a), 104(b), 104(e),
and 106(a). The statutory text is also included, 42 U.S.C.A. sections 9601, 9604, and
9606.
2.2 Facility Entry and Information Gathering Tools
2.2.1 Statutory Authority
CERCLA sections 104(b) and 104(e), as amended by SARA in 1986, provide
authorities for entering a facility and accessing information. While CERCLA provides
authority for states to use statutory authorities for entry and information gathering, such
authorities may only be accessed pursuant to a contract or cooperative agreement with
the federal government. Since no state currently has such an arrangement, states, as well
as local governments, must use their own authorities for audit participation. [Required
Activity]
2.2.2 EPA Policy and Practice
When entering pursuant to CERCLA, EPA auditors must ensure that the facility
has experienced a release of a hazardous substance, pollutant, or contaminant, or that
there is "reason to believe" that there exists a threat of such a release. The audits are
intended to be non-confrontational and positive, cooperative efforts, such that
information on safety practices, techniques, and technologies can be identified and shared
between EPA and the facility. Consequently, and in conformance with other EPA
program policies, audits will be performed under the above authority pursuant to the
consent of the facility owner or operator. Consensual entry, however, can be revoked at
any time during the audit. When withdrawal of consent takes place, the audit team shall
leave the facility, regardless of the fact that the team has the authority to be there.
[Required Activity] In either situation (i.e., entry refusal prior to audit or during audit),
if consent is lacking, an order can be issued to require entry. Section 4.2 of this Manual
provides guidance on obtaining entry upon consent and actions to be taken if the facility
refuses entry.
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An audit can also be conducted at facility invitation. When entering at the
invitation of the facility (i.e., not pursuant to CERCLA authority or other statutory
authorities), the audit scope can potentially be limited, since the facility determines what
information will be made available to the audit team. In addition, invitational entry can
be revoked by the facility at any time during the audit. The audit team has no legal
authority (i.e., as compared to consensual entry) to continue the audit, and must leave
the facility. [Required Activity]
The only exception to the described facility discretion concerning entry withdrawal
for both consensual and invitational entry is if the audit team identifies a release or
threat of a release of a CERCLA hazardous substance from a facility into the
environment. If either of these situations are observed, the audit team must follow the
prescribed procedures in section 2.3 of this Manual. [Required Activity]
2.2.3 Confidential Information
During the course of an audit, team members may encounter information that
may be entitled to confidential treatment. Facilities can claim confidentiality on
information under CERCLA section 104(e), as amended. If confidential business
information (CBI) at a facility has been collected under another authority (e.g., TSCA,
CWA), CERCLA section 104(e) allows authorized team members to handle this
confidential business information as CERCLA CBI.
This information will be handled in accordance with 40 CFR Part 2. Authorized
representatives and Agency employees can access and view CBI under CERCLA.
Contractors who are pre-identified by contractor name and contract number to the
facility can have access to this data (refer to section 4.2 of this Manual). On February 5,
1993, EPA's Office of General Counsel issued a rule (58 FR 7187) that authorizes the
disclosure of CBI information (collected under a variety of environmental statutes,
including CERCLA section 104) to enrollees in the Senior Environmental Employment
(SEE) Program. Thus, members of the American Association of Retired Persons
(AARP) now have the same access to CBI as EPA employees.
There are no specific training courses for handling CERCLA CBI, either on-site
or off-site. In general, all confidential information must be marked as such and placed in
a locked filing cabinet or a safe. It is advisable, however, that audit participants take a
regional CBI course.
2.2.4 Attorney-Client Privilege
In the event that a facility withholds information based upon "attorney-client
privilege," the regional Office of Regional Counsel (ORC) should be immediately notified
and provided the following information:
Name of document(s) withheld;
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Specific reason why withheld; and
Name of facility attorney, address, and telephone number.
If a request for information during the course of the audit is refused, the audit
should continue unless the absence of the requested document(s) makes it impossible to
do so. The Office of Regional Counsel should be consulted of the refusal after the site
visit and requested to pursue the matter as necessary.
2.3 Response Actions if a Release or a Threat of a Release Exists
During an audit, the team may observe a release or the potential for a release of
a CERCLA hazardous substance from a facility into the environment.
If a release is observed, the team members must take the following actions:
[Required Activity]
Follow facility emergency evacuation procedures to safety; and
Regroup; the Team Leader must notify the Regional Emergency Response
Section to inform the on-duty On-Scene Coordinator (OSC) of events
occurring at the facility. This action is not intended to serve as the facility's
notification under any statute or regulation.
If the threat of a release is observed, the Team Leader must take the following
actions: [Required Activity]
Regroup, if necessary with the entire audit team at the facility management
office;
Inform the facility owner/operator of the observed situation; and
If the facility owner/operator fails to take appropriate actions to mitigate
the potential threat of release, the Team Leader must notify the Regional
Emergency Response Section to apprise the OSC of events occurring at the
facility.
In both of the above situations, notification to the Regional Emergency Response
Section must be made regardless of whether the Team Leader or members of the audit
team are OSCs. The communication with the region will determine the scope of the
response action to be taken to mitigate the release or threat of release.
At this point, the audit must not continue until the release or threat of release has
been mitigated, as determined by the OSC. The OSC and/or Remedial Project Manager
(RPM) shall have the authority vested in them by the National Contingency Plan, 40
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CFR Part 300. In addition, the OSC and/or RPM may take any necessary response
actions when he/she determines that conditions at the site may present an imminent and
substantial endangerment.
2.4 Relationship to Enforcement/Compliance Regulatory Programs
An EPA chemical safety audit is not an enforcement inspection or multi-media
compliance audit, such as a RCRA compliance inspection or an environmental audit.
Nor should an audit be confused with compliance inspections conducted by the
Occupational Safety and Health Administration (OSHA) of the Department of Labor. A
chemical safety audit is a visit to a facility to learn about and share technologies,
techniques, and management practices for preventing and mitigating chemical accidents.
Relationship to OSHA
OSHA's primary responsibility is to protect workers, ensuring a safe and healthy
environment for employees. OSHA conducts inspections to identify facility compliance
with specific requirements and standards for employee health and safety and for accident
investigations, especially where worker injuries or death occur. EPA and OSHA have
established a Memorandum of Understanding on facility inspections, as well as
coordinating activities through a variety of other means.
Relationship to EPA Regulatory Programs
The audit findings are presented in a final report. If appropriate, the report can
include recommended process safety practices that the facility may want to consider
adopting. Report findings and recommendations are not mandatory actions that the
facility must adopt, as are those identified during an enforcement/compliance inspection.
The audit focus is not on reviewing facility compliance with other regulatory programs;
other media program offices already perform these activities. Use of CERCLA sections
104(b) and 104(e) provide EPA with the authority to enter a facility and access
information for the purpose of conducting the safety audit.
Audit team members, however, will often consist of representatives from other
EPA media program offices who are charged with the authority to conduct enforcement
or compliance inspections and audits. In this situation, the role of this media program
official must be determined prior to notifying the facility of the audit. [Required Activity]
Facility notification involves citing the CERCLA entry and information gathering
authorities. If this media program official intends to exercise authorities other than
CERCLA sections 104(b) and 104(e), then the facility must be notified that these
additional authorities will be exercised. In this situation, there are two separate EPA
activities being conducted at the facility: a chemical safety audit and an
enforcement/compliance inspection. This additional use of other authorities must be
presented in the same letter that cites use of CERCLA authorities. [Required Activity]
Facility notification procedures are presented in section 4.2 of this Manual.
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During the conduct of a chemical safety audit that is not coupled with an
enforcement inspection as presented above, program violations may be observed. These
violations should be referred to the respective program office or federal
agency/department for determination of what actions are to be taken following the audit.
2.5 Relationship Between CERCLA and SARA Title III
The CSA program is being conducted under CERCLA authority. While the idea
of the CSA program originated from the activities undertaken to prepare the section
305(b) study mandated by Congress under SARA Title III (see the introduction to this
Manual), and from similar audits conducted following catastrophic releases, there is no
statutory link between the CSA program and the SARA Title III program.
The CERCLA and SARA Title III programs, however, have similar release
notification provisions. A release or spill of a chemical above a certain threshold amount
(the chemical's designated "reportable quantity" or "RQ") will often require two separate
notifications: if the chemical is a CERCLA "hazardous substance," the National
Response Center (NRC) must be notified under CERCLA section 103(a), and, if the
chemical is a CERCLA hazardous substance and/or an "extremely hazardous substance"
(EHS) under SARA Title III, the emergency coordinator of the local emergency planning
committee(s) (LEPC) and the state emergency response commission(s) (SERC) likely to
be affected by the release must be notified under SARA Title III section 304(a).
CERCLA hazardous substances are listed at 40 CFR Part 302; EHSs under SARA Title
III are listed at 40 CFR Part 355.
Although the two lists overlap considerably, they are not identical; approximately
138 EHSs are also CERCLA hazardous substances. It should be noted that all EHSs are
proposed to be designated as CERCLA hazardous substances. In situations where the
release is above the RQ of a chemical that is listed both as an EHS under SARA Title
III and as a hazardous substance under CERCLA, notifications under both authorities
must be given by the facility; this is because each notification is a separate requirement,
and the contents and recipients of the notifications differ.
In addition, similar goals are shared by both the CSA program and the SARA
Title III program. These include the following:
Increased level of preparedness for responding to accidental releases of
chemicals both at a facility and in a community;
Increased awareness and understanding of chemical hazards; and
Increased levels of safety practices related to producing, treating, handling,
disposing, and transporting of hazardous substances at a facility.
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Involvement in the CSA program by representatives of LEPCs and SERCs, either
as audit team members, information sources, or both, is encouraged to enhance the goals
of both these programs. However, state and local government participation in the audit,
itself, must be performed under state and local authorities.
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3. Role of Audit Team Members
3.1 Audit Team Composition
An EPA audit team consists primarily of EPA employees, and other designated
representatives, including contractors and the American Association of Retired Persons
(AARP) enrollees. The participation of other federal, state, and local government
personnel, particularly SERC and LEPC representatives, is encouraged, but they should
be made aware that they will be entering and accessing information from a facility under
their own authorities. Section 3.3 of this Manual further discusses the participation of
non-EPA audit team personnel.
The audit team can vary in size, depending upon the level of detail of the audit
(e.g., number of chemicals and/or processes under investigation; national significance).
At a minimum, however, there must be two technical experts on a team for collection
and verification of technical findings and observations. [Required Activity]
The following list represents suggested roles, responsibilities, associated
disciplinary backgrounds, and other parameters for composing a team. This list is
provided as guidance and in no way is a required format for forming an audit team. In
many cases, your team composition may require you to combine or divide roles.
Team Leader
Must be EPA employee; [Required Activity]
Coordinates audit logistics, makes team assignments, coordinates initial
liaison with facility personnel, and coordinates preparation and distribution
of final site visit report; and
Provides any needed follow-up information.
Deputy Team Leader
Must be EPA employee or designated representative; [Required Activity]
Provides logistical support, as directed by Team Leader; and
Assumes other responsibilities delegated by Team Leader.
Chemical Process Hazards Reviewer
Must be EPA employee or designated representative;
Responsible for collection and verification of process-related information;
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Primary liaison with facility technical personnel; and
Requires technical knowledge of chemical hazards, process engineering,
and maintenance procedures.
Chemical Accident Prevention Reviewer
Must be EPA employee or designated representative;
Responsible for collection and verification of facility information;
Liaison with appropriate facility technical personnel;
Requires technical knowledge of chemical accident prevention, including
hazard evaluation and modeling techniques and release
prevention/mitigation systems.
Safety and Training Reviewer
Must be EPA employee or designated representative;
Responsible for collection and verification of facility information;
Primary liaison with facility health and safety personnel;
Requires knowledge of operator, safety, and worker right-to-know training
programs.
Emergency Planning and Response Reviewer
Must be EPA employee or designated representative;
Responsible for collection and verification of facility information;
Primary liaison with appropriate facility personnel responsible for planning
and response;
Requires knowledge of emergency planning and response requirements.
Technical expertise for the chemical safety audit program refers to knowledge,
experience, and disciplinary training in plant process design, engineering, operations,
training, and emergency planning. Example disciplines include:
Chemical, civil, industrial/safety, and environmental engineering,
Plant process experience,
Environmental science,
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Industrial hygiene,
Geology, and
Environmental and emergency management and planning.
Personnel with the appropriate expertise can be found in the following regional program
offices: media (e.g., air, water, radiation); RCRA; TSCA; Superfund (e.g., emergency
preparedness and response, removal, health, and safety); and Research and
Development.
In selecting team members, the skill base of the team must accommodate the
need for coverage of the major audit elements:
Process and safety system technologies;
Operating procedures;
Training programs;
Emergency planning activities; and
Management activities.
Specific tasks should be assigned to each team member. Each member should know
his/her respective role in all facets of the facility audit. Certain members may be
assigned the lead on one or more facets of the audit, and the other team members,
because of their individual skills and experiences, should be prepared to contribute to the
completion of that facet of the audit.
In summary, an EPA audit team can consist of EPA employees, EPA contractors
(e.g., Technical Assistance Team), AARP enrollees, and representatives from federal,
state, and local governments. Two basic restrictions apply to the "team;" one, the Team
Leader must be an EPA employee, and two, the Chemical Process Hazards Reviewer
must be an EPA employee or designated representative (i.e., EPA employee, contractor,
or AARP enrollee). [Required Activity] This last restriction is required to ensure
continuity in communicating the audit scope and intent.
The following provides an overview of the anticipated roles and responsibilities for
EPA employees, contractors/TAT personnel, and AARP enrollees:
EPA employees coordinate audit program and lead the audit team.
Contractors/TAT personnel provide technical support as defined by EPA.
AARP enrollees:
Provide support role in audits;
Apply professional expertise and experience in chemical engineering
or other technical or industrial fields for reviewing process safety
technologies at facilities;
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Apply other expertise in such areas as safety management or
training for involvement in other aspects of the audit (i.e., reviewing
emergency plans, training manuals, and emergency notification
procedures and/or systems);
Participate in report preparation, including observations and
recommendations from the audit;
Identify facilities for potential audits, using information sources such
as Accidental Release Information Program (ARIP) data, and
coordinate with regional response centers; and
Are limited to field activities that do not stress physical limitations.
3.2 Training and Safety Requirements
Field activities for EPA employees are subject to the training requirements
embodied in EPA Order 1440.2, Health and Safety Requirements for Employees
Engaged in Field Activities. The Order establishes policies, responsibilities, and
mandatory requirements for occupational health and safety training and certification, and
occupational medical monitoring.
EPA Order 1440.2 requires that a Site Safety Plan be developed for EPA
employees conducting a chemical safety audit at a facility handling hazardous substances.
EPA regional offices can either use the model site safety plan (see Attachment 3), or
develop their own program that complies with EPA Order 1440 and the Occupational
Safety and Health Administration's worker protection standards codified at 29 CFR 1910
and 1926. The plan should include a description of the proposed audit scope, facility
health hazards, necessary protective equipment, contractor participation, and
decontamination procedures, and must be completed and approved by the EPA project
coordinator, branch chief, on-scene supervisor, and health and safety manager. Under
certain circumstances, a more extensive plan may also be required. For more
information, contact the safety and health office in your region.
Audit team members should dress appropriately, including steel-toed boots, safety
glasses, and hard hats. Team members should provide their own safety equipment, and
should not rely on the facility.
Prior to participating in an audit, all EPA team members, which include EPA
employees, contractors, and AARP enrollees, must have completed the following training
courses:
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Training in occupational health and safety procedures under EPA Order
1440.2. Attending a 24-hour or 40-hour health and safety course that is
approved and sponsored by EPA and conducted by EPA or its contracted
agents fulfills the requirement of this Order; [Required Activity] and
EPA Chemical Safety Audit Training Course. (Course attendance
flexibility is discussed below.)
In addition to the listed training, annual medical monitoring is required. [Required
Activity]
In some audits, a specialized technical expert (i.e., contractor or other EPA
program personnel) who normally does not participate in CSA program activities will
assist in conducting the audit. Under these circumstances, it will be difficult for such an
individual to have taken the EPA CSA course. Consequently, the requirement for the
CSA course is flexible depending upon the situation. The health and safety training
requirements and medical monitoring, however, are not flexible. [Required Activity]
This requirement should not pose any problems, since it would be rare for a technically
qualified contractor or EPA employee not to have had this training.
Suggested topics for additional, but not required, training include:
Handling of confidential business information;
Interviewing techniques;
Hazard evaluation techniques;
Chemical processing techniques;
Negotiating techniques; and
Technical writing.
3.3 Non-EPA Personnel Participation on Audit Team
Non-EPA team members may include representatives of other federal agencies
and departments, states/SERCs, local officials/LEPCs, and any other group not previously
identified as an EPA team member. The regions are encouraged to invite participation
by non-EPA personnel in audits, but entry into the facility must be authorized pursuant
to authorities other than CERCLA. Participation of non-EPA personnel must be in a
support role as defined by the Team Leader. In addition, non-EPA personnel cannot
serve in the capacity of Team Leader or Chemical Process Hazards Reviewer. [Required
Activity]
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SERC and LEPC participation is encouraged to enhance their knowledge of
chemical hazards and process safety for use in planning activities under SARA Title III
and in future Clean Air Act Amendments Risk Management Program activities. SERCs,
LEPCs, and other federal agencies also serve as a valuable source of information in
preparing for the audit.
It is important to inform these representatives of the required health and safety
training that EPA employees and representatives undergo prior to audit participation.
As discussed in the next section, non-EPA participants require their own liability
coverage.
3.4 Liability
Liability associated with conducting audits is described in the following sections for
each group potentially represented on an audit team.
3.4.1 Federal Employees
Under the Federal Employees Liability Reform and Tort Compensation Act of
1988, a suit can no longer be maintained against a Federal employee in his or her
individual capacity for any act (discretionary or non-discretionary) performed within the
scope of the employee's employment. All such suits must now be brought against the
United States government. If named in a suit in his or her individual capacity, employees
should promptly notify the Office of Regional Counsel and the Office of General
Counsel.
The legislation does not change the potential liability of a Federal employee in his
or her individual capacity for grossly negligent actions (usually taking the action out from
under the scope of the employee's employment), for Constitutional violations, and for a
violation of a statute "for which a claim is otherwise authorized." All audit participants
should have audit responsibilities clearly delineated in their job description.
3.4.2 AARP Enrollees
There are no provisions for indemnifying AARP enrollees from personal liability
under the cooperative agreement between AARP and EPA. Since AARP enrollees serve
only in support roles in all aspects of CSA program implementation, the Regional
Chemical Emergency Preparedness and Prevention Coordinators and their staff are
responsible for ensuring that enrollees are not placed in situations that could result in
job-related personal liability.
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3.4.3 Technical Assistance Team Contractors
The Federal Employees Liability Reform and Tort Compensation Act of 1988
only covers TAT contractors when responding to a CERCLA hazardous substance
release or performing a clean-up/removal related to such release. Audit activities for
TAT contractors are not covered under this Act, since the contractor is not specifically
handling hazardous substances, pollutants, or contaminants. TAT contractors must
investigate liability coverage with their respective employer.
3.4.4 Federal. State/SERC. and Local/LEPC Government Personnel
All non-EPA personnel will be entering a facility under their own authorities and
would require their own liability coverage.
3.5 Conflict of Interest
Conflict of interest refers to any person (i.e., EPA employee, contractor, AARP
enrollee, non-EPA personnel) who has a financial interest associated with the facility
being audited, has been previously employed with the facility, or a facility subsidiary,
and/or has been a consultant for the facility. Persons with conflict of interest should not
participate in any activities, either on-site or off-site, associated with the facility audit.
[Required Activity] In addition, such persons must identify themselves to the Team
Leader and excuse themselves from the audit of that facility. [Required Activity]
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4. Preparing for the Audit
4.1 Facility Selection
At present, there are no established procedures for selecting a facility for an audit.
Each region has flexibility in identifying facilities. A variety of options useful to
identifying a facility are discussed below. Although there is substantial flexibility in
facility selection, there are two important requirements:
A release of a CERCLA hazardous substance, pollutant, or contaminant
must have occurred, or there must be "reason to believe" that a threat of
such a release exists at the facility; [Required Activity] and
The Office of Regional Counsel and the SERC of the state where the
audited facility is located must be consulted to identify any legal actions
currently being pursued or anticipated. [Required Activity] It is advised
that regional media programs also be consulted.
The following list provides a variety of options to consider when selecting a
facility. Information sources to be used in evaluating these options include federal, state,
and local release notification reports and follow-up reports, OSC reports, Regional
Response Centers, ARIP, ERNS, and other sources (see Attachment 4 and chart in
section 4.3).
Previous release history of the facility;
SERC and/or LEPC referral;
Proximity to sensitive population(s);
Public sensitivity;
Opportunity for sharing new technology;
Population density; and
Concentration of industry in the area.
In addition, the region may wish to select facilities for a chemical safety audit as
part of a larger regional initiative, such as an evaluation of facilities using a specific
chemical or located near a particularly sensitive environment. For example, during fiscal
year 1992 a number of facilities that produce and use hydrogen fluoride were examined
by audit teams nationally, while Region 5 conducted all of its audits in coordination with
its Great Lakes Basin pollution prevention initiative.
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4.2 Facility Notification
Once a facility has been selected, the process of notifying the facility and
scheduling the audit can be initiated. Although each region will invariably establish its
own procedures for notifying a facility and coordinating the audit, the following
suggestions and tools should be integrated into that process. These suggestions are
designed to help establish a constructive rapport with the facility and to ensure the
correct use of statutory authorities and other legal requirements.
The Team Leader should make an initial phone call to the facility owner/operator.
The purpose of this call is to identify a "contact" at the facility for all correspondences, to
communicate/explain the purpose and intent of the audit, and to schedule dates for
conducting the audit. In some instances, it may be useful to schedule a pre-audit meeting
with the facility to obtain further information.
The phone call should be followed by a letter to the facility contact that
summarizes the initial conversation and confirms any decisions made during the call. In
addition, the letter serves to confirm audit statutory authority, provide the facility an
opportunity to claim confidential information, and to identify the contractor, if a
contractor is participating. As previously stated in section 2.2.3 of this Manual, the
contractor must be identified by contractor name and contract number in order to have
access to confidential information.
Attachment 5 is a sample letter designed to fulfill the above goals. While
language may be added to the letter, such as a summary of a phone conversation, the
legal aspects of the letter as contained in the attachment should not be materially
altered. [Required Activity] It is suggested that all correspondence with the facility be
reviewed by the Office of Regional Counsel (ORC).
Unfortunately, not all efforts to schedule and coordinate an audit based upon the
voluntary consent of the facility will be successful. After receiving either the facility's
written or verbal denial of EPA's request to conduct the audit, a letter must be sent to
the facility (1) confirming this denial; and (2) invoking use of the CERCLA 104(b) and
104(e) authorities for entry. [Required Activity] Attachment 6 contains a sample letter
specifically designed for this situation. Preparation of this letter must be coordinated
with your Office of Regional Counsel. [Required Activity] The suggested letter states
that continued refusal of facility access can result in EPA issuing an order requesting
entry and/or initiating an enforcement action. Any further activities and contact with the
facility should be pursued in coordination with the Office of Regional Counsel.
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4.3 Facility Background Information
Preliminary preparation is an important factor in conducting an organized audit.
The team may find it useful to collect the facility background information several weeks
in advance of the audit. This will require contact with the facility and state and local
officials to arrange delivery of these materials. The audit team can then review this
information and become more familiar with the facility prior to the audit. Using this
technique, the team will be able to prepare a detailed list of topics and questions to help
organize their activities during the facility visit. The following list is a sampling of the
types and sources of information that will assist a team in preparing for the audit:
Type of Information
Release History
Regulatory History
Hazardous Chemicals
(Hazards, Amounts,
and Locations)
Chemical Processes
Community Involvement
Sources of Information
OSC reports; ARIP questionnaires; ERNS; SARA
Title III sections 304 and 305(b) reports; state
release files
Local, state, and federal air, water, and waste
permits; SARA Title III sections 302, 304, 311, 312,
and 313 submissions
SARA Title III sections 311 and 312 submissions;
OSHA hazard communication and process safety
management standard documents; hazards analysis;
NIOSH Pocket Guide to Chemical Hazards
Industry standards and processing techniques from
trade and professional groups (e.g., AIChE, ASSE,
and the Chlorine Institute); process flow diagrams
and piping and instrumentation diagrams
CAER; LEPC; and SERC
The "Audit Protocol/Report Preparation Guidance" as presented in section 6.0 of
this Manual provides further detail on the types of information that may be requested
from the facility prior to conducting the audit. Attachment 4 contains further
information on these listed sources.
4.4 Preparing for the Site Visit
Prior to conducting the on-site audit, a pre-visit meeting should be conducted with
the entire audit team, including any non-EPA personnel who will be visiting the facility.
This meeting should be held as close to the date of the site visit as possible to keep the
important points being emphasized fresh in everyone's mind. By this time, the audit
team should already be operating as a unit; all team members should be familiar with the
audit protocol, the information previously collected by the team should have been
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reviewed, additional information to be obtained at the facility should have been
identified, and the team members should have developed individual agendas. The pre-
visit meeting serves to reinforce what already is in place and should cover the following
items:
Clearly establish the responsibility and authority of the team leader;
Review highlights of the audit's objectives and note any specific team
member responsibilities;
Review any personal health and safety issues that may be present at the
site for the team to prepare for and avoid (see section 3.2);
Review information about key personnel and operations at the site;
Establish objectives and an agenda for each day of the site visit;
Cover logistical matters such as a nightly team meeting to discuss results
and plan the next day's activity; and
Cover any other topics that the Team Leader identifies.
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5. Conducting the Audit
The on-site chemical safety audit will consist of the following four phases:
Entry;
Opening Meeting;
On-site Activities; and
Exit Briefing.
5.1 Entry
The audit team should arrive at the facility during normal working hours at a time
and date pre-determined with the facility. At the facility entrance office, the facility may
provide a blank sign-in sheet, log, or visitor register. It is acceptable for the audit team
members to sign it. EPA employees and authorized representatives, however, must not
sign any type of "waiver" or "visitor release" which would relieve the facility of
responsibility for injury, or which would limit the rights of the Agency to use the data
obtained from the facility. [Required Activity] When such a waiver or release is
presented, the Team Leader should politely explain that such a document cannot be
signed, and a blank sign-in sheet should be requested. If the team is refused entry
because they do not sign such a release, the Team Leader must report all pertinent facts
to the ORC, and leave the facility if the matter cannot be resolved. [Required Activity]
All events surrounding the refused entry must be fully documented including the name of
the person(s) refusing entry. [Required Activity] Procedures described in section 4.2 of
this Manual concerning refusal of entry must then be followed. [Required Activity]
5.2 Opening Meeting
The entire audit team will meet with the plant manager and his/her key staff, and
will likely discuss the entire audit. The staff of the plant manager could include
superintendents of safety and operations, a lawyer, and corporate representation. The
team should be very clear about its purpose and should be prepared to discuss the audit
starting with an explanation of the CSA program, facility selection, the audit purpose and
scope, the background research performed, the specific objectives for the site visit, and
the report that will be written.
During the meeting, the audit team should outline its specific on-site agenda and
the cooperation needed to accomplish that agenda. In addition, the meeting provides a
good opportunity for the facility to provide the audit team with an overview of its
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operations and safety programs and may include a general tour of the whole facility (as
appropriate). This meeting typically requires at least a half day.
5.3 On-Site Activities
Once past the opening meeting, the audit team may split up into smaller groups to
take a plant tour and interview other operations and management personnel. The plant
tour should include specific tours of the chemical handling and process areas. The team
should interview personnel involved in such areas as process safety, process operations,
technical support, personnel, emergency planning and response, and environmental
management.
During these tours and interviews, individual team members should be obtaining
information and making observations that fulfill the needs of their individual
responsibilities. The questions and prompts for discussion contained in the annotated
audit protocol can be helpful.
During this or any other part of the site visit, it is possible that an observation will
be made or that information will be obtained that should be of significance to the audit
team, but that is beyond the scope of the facility audit. In this event, the Team Leader
should be notified.
5.4 Exit Briefing
In this final meeting, the entire audit team will meet with the plant manager and
his/her key staff to discuss the results of the audit as it presently stands. The plant
manager may be accompanied by the same people who attended the opening meeting.
The facility will want to know about all significant team findings and, more importantly,
about the conclusions that have been drawn and the recommendations that will be made.
Prior to the exit briefing, the audit team should have a private meeting to
establish an agenda for this meeting. Significant observations and findings should be
listed for discussion with the facility. The team should identify conclusions based on this
information only to the extent that a consensus among team members can be reached. A
team consensus is also necessary for identifying any recommendations to the facility at
this time. In the absence of team consensus, it is inappropriate to offer conclusions or
recommendations to the facility during the exit briefing. This does not, however,
preclude drawing such conclusions or making any recommendations in the audit report
that will be written later.
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6. Audit Protocol/Report Preparation Guidance
6.1 Purpose and Structure
This protocol/report preparation guidance (see Exhibits 1 and 2) provides a
detailed topic outline to direct the scope and content of the audit and a structure for
preparation of the audit report. The protocol and report format have been integrated to
accomplish the following goals:
Provide detailed guidance on the types of information that should be
reviewed during the audit and discussed in the report;
Ensure continuity in report preparation; and
Provide an organized and detailed report format for easy access to specific
lessons learned on chemical process safety management practices.
Because of the scope of the audit or the resources and expertise of the audit
team, it may not need, or be able, to address all areas of the protocol. However, all
areas of the protocol should be addressed in the audit report (e.g., state that the audit
team did not review the facility's hazard evaluation and modeling capabilities).
By providing this Manual to facility personnel prior to conducting the audit, the
facility will also have a more thorough understanding of the audit scope and intent. The
facility can prepare for the audit by assembling information and identifying personnel
with the required expertise to assist the audit team.
This guidance is structured to address each of the major elements of chemical
process safety management at the facility being audited. These include:
Facility Background Information;
Chemical Hazards;
Process Hazard Information;
Chemical Accident Prevention;
Accidental Release/Incident Investigation;
Facility Emergency Preparedness and Planning Activities;
Community Emergency Planning and Response Activities; and
Public Alert and Notification Procedures.
Preceding each of these sections in the annotated protocol/report guidance
(Exhibit 2) is a brief overview of the purpose of this section with respect to the audit
scope.
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Exhibit 1
Outline of Protocol/Report Preparation Guidance
1.0 INTRODUCTION
2.0 SUMMARY OF FINDINGS/CONCLUSIONS
3.0 BACKGROUND
3.1 General Facility and Audit Information
3.2 Purpose of the Audit and Facility Selection Process
3.3 Audit Methodology
4.0 FACILITY BACKGROUND INFORMATION
4.1 Site and Surrounding Area Description
4.1.1 Facility Profile
4.1.2 Site Topography and Meteorological Conditions
4.1.3 Site Access
4.1.4 Special/Sensitive Populations and Environments
4.1.5 Regional Demographics
4.1.6 Identification of Vulnerable Zones
5.0 CHEMICAL HAZARDS
5.1 Overview of Hazards for Chemical(s) Being Audited
5.2 Facility Management of Chemical Hazard Data
6.0 PROCESS INFORMATION FOR HAZARDOUS CHEMICALS
6.1 Storage and Handling
6.1.1 Storage Systems
6.1.2 Shipping/Receiving
6.1.3 Material Transfer
6.2 Process Description
6.2.1 Overview of Processing Steps and Operating Procedures
6.2.2 General Description of Process Equipment Capacity
6.2.3 Back-ups and Redundancy
6.2.4 Process Parameter Monitoring
6.2.5 Environmental Monitoring
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6.3 Process Hazards
7.0 CHEMICAL ACCIDENT PREVENTION
7.1 Management Activities
7.1.1 Corporate Role in Facility Process Safety Management
7.1.2 Facility Role in Process Safety Management
7.1.3 Audit Activities and Procedures
7.2 Process Operation and Maintenance
7.2.1 Standard Operating Procedures
7.2.2 Training Practices
7.2.3 Equipment Maintenance Procedures
7.2.4 Instrument Maintenance
7.3 Hazard Evaluation and Modeling
7.3.1 Hazard Evaluation
7.3.2 Modeling
7.4 Release Prevention Systems
7.5 Mitigation Systems ,
8.0 ACCIDENT RELEASE INCIDENT INVESTIGATION
8.1 History of Accidental Releases/Incidents
8.2 Facility Investigation Procedures
9.0 FACILITY EMERGENCY PREPAREDNESS AND PLANNING ACTIVITIES
9.1 Facility Emergency Response Plan
9.2 Emergency Response Exercises and Simulations
9.3 Fire, Evacuation, and Rescue Corridors
9.4 Emergency Equipment Provisions
9.5 Emergency Response Chain of Authority
9.6 Emergency Response Management Procedures
9.7 Emergency Communication Network within the Facility
9.8 Emergency Response Personnel Training Requirements
9.9 Follow-up Release Procedures
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10.0 COMMUNITY AND FACILITY EMERGENCY RESPONSE PLANNING
ACTIVITIES
10.1 Facility Planning and Outreach Activities with Community
10.2 Local/Community Emergency Response Planning
11.0 PUBLIC ALERT AND NOTIFICATION PROCEDURES
11.1 Procedures for Public Notification of Releases
11.2 Schedule for Testing Procedures
11.3 History of Notification Procedures and Evaluation
11.4 Community and Facility Contacts
11.5 Facility and Media Interaction
12.0 CONCLUSIONS
13.0 RECOMMENDATIONS
APPENDICES
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Exhibit 2
Annotated Protocol/Report Preparation Guidance
STANDARD DISCLAIMER (see Attachment 7)
1.0 INTRODUCTION
Purpose and scope of the audit program (Attachment 8 contains standard
language to describe the purpose and scope of the program); and
Paragraphs identifying facility name and location and why audited
2.0 SUMMARY OF FINDINGS/CONCLUSIONS
Briefly summarize audit findings (both positive and negative)
3.0 BACKGROUND
3.1 GENERAL FACILITY AND AUDIT INFORMATION
Facility name, location, principal activities;
Dates audit conducted; and
Listing of team members and their affiliation, areas of responsibility,
and expertise.
3.2 PURPOSE OF THE AUDIT AND FACILITY SELECTION PROCESS
Briefly explain why facility was selected. Audit could be conducted
for a number of reasons such as:
To follow up on an accidental release or series of releases
(include description of triggering incident);
To focus on particular technologies, processes, operations, or
chemicals;
Regional or headquarters initiatives;
At request of state and/or local officials; or
At facility invitation.
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3.3 AUDIT METHODOLOGY
Summary of the process areas and other locations that were
investigated and why they were selected; and
Important audit limitations (e.g., no comparison of safety systems
across several similar operations was performed).
4.0 FACILITY BACKGROUND INFORMATION
A history of site activities and a description of the surrounding area provides
information on the potential risk that facility activities may pose to the surrounding
community and the environment in the event of an accidental chemical release.
4.1 SITE AND SURROUNDING AREA DESCRIPTION
4.1.1 Facility Profile
Facility history and principal activities (i.e., date built,
modifications and improvements, releases, etc.), size and
layout, and ancillary operations (e.g., power generation,
warehouse, distribution center, laboratory, waste treatment,
etc.); and
Reference maps in appendix or use simple maps in text.
4.1.2 Site Topography and Meteorological Conditions
i
Natural disaster potential (e.g., earthquake, flood);
Geology; and
Climate.
4.1.3 Site Access
Transportation routes, including railroad and waterways; and
Site security (e.g., fencing and gates, security guards, and
access by non-authorized persons).
4.1.4 Special/Sensitive Populations and Environments
Hospitals, schools, and nursing homes; and
Wetlands, drinking water supply, etc.
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4.1.5 Regional Demographics
Economy, population, industrial and growth patterns
4.1.6 Identification of Vulnerable Zones
5.0 CHEMICAL HAZARDS
This section serves to not only focus briefly on the hazards associated with
particular substances, but to provide pertinent facts on the facility's understanding of
what are the chemical hazards for each substance.
5.1 OVERVIEW OF HAZARDS FOR CHEMICAL(S) BEING AUDITED
Brief description of hazards; and
Reference detailed information in appendix (i.e., MSDS, etc.) -- do
not rewrite MSDS information.
5.2 FACILITY MANAGEMENT OF CHEMICAL HAZARD DATA
What the facility recognizes as the hazards associated with the
chemical(s);
Documentation available on hazards associated with chemical(s)
(e.g., MSDS, corrosion rates, reactivity data, etc.);
Availability of such data to employees (e.g., OSHA Hazard
Communication Standard training);
Mechanism for reviewing and updating information;
Mechanism for documenting suspected acute and chronic toxic
effects (e.g., medical and industrial hygiene personnel); and
On-site availability of emergency medical care.
6.0 PROCESS INFORMATION FOR HAZARDOUS CHEMICALS
A review of facility operations associated with the processing of the chemical(s)
being examined can reveal facility practices and techniques for handling process hazards,
as well as reveal facility understanding of the process hazards. (Within each subsection,
the report should address every chemical and process examined during the audit for
which observations, conclusions, and/or recommendations were noted.)
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6.1 STORAGE AND HANDLING
6.1.1 Storage Systems
Storage methods;
Capacity;
Location, including compatibility and spacing;
Hazard identification (placards and labelling);
Maintenance and housekeeping of area; and
Block diagrams to illustrate major process flows.
6.1.2 Shipping/Receiving
Method(s) of receiving and shipping (e.g., tank trucks, rail
cars, pipelines, cylinders, barges, etc.);
Schedules and quantities of shipments;
Responsible personnel and level of training;
Coordination of transportation issues with the community
contingency plan; and
Transportation corridors used.
6.1.3 Material Transfer
Transfer method(s) from storage to processing areas and
between different stages of process;
Pipe coding/labelling for flow direction and contents;
Other transfer systems (e.g., compressors, ejectors, pumps,
blowers, etc.);
Housing of transfer systems; and
Off-site accessibility.
6.2 PROCESS DESCRIPTION
6.2.1 Overview of Processing Steps and Operating
Procedures
Listing different operations and process steps in chronological
order for hazardous chemical; can use block-type flow
diagram to illustrate steps;
Chemical production or use rates;
Chemical reaction(s) description (e.g., catalysts, activators,
inhibitors, exothermic, etc.);
Blending or separation steps;
Material incompatibilities;
Pressure and temperature variations; and
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Consequences of deviation: what happens to chemicals
spilled, leaked, vented, etc.
6.2.2 General Description of Process Equipment
Capacity and design conditions;
Construction material;
Flow rates;
Parameters monitored, controlled, and recorded (at
equipment or in control room);
Production or use rates for chemical; and
Comparison of design limits and operating parameters.
Note: Attachment 9 contains further guidance on reviewing process operations.
6.2.3 Back-ups and Redundancy
List systems with back-ups or automatic shutdowns;
Description of back-ups and how and why used;
Availability of back-up power systems;
Method of detecting inoperative control equipment and
availability of back-ups; and
For facility with scrubbers or flares, their capacity for
handling accidental releases.
6.2.4 Process Parameter Monitoring
Description of process parameters for operations and
processes and why used;
Performance history at facility;
Monitoring and recording procedures; and
Procedures for addressing unsafe parameter levels.
6.2.5 Environmental Monitoring
Description of system(s) used to monitor hazardous chemical
levels within work areas and in the surrounding environment
.(e.g., types, location, etc.);
Connection to alarm and communication systems; and
Performance history at facility.
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6.3 PROCESS HAZARDS
Hazards facility has identified for the process and determined to
present a significant risk to the facility and/or the surrounding
community (e.g., storage tank failure, pipeline leak, process vessel
overpressurization)
7.0 CHEMICAL ACCIDENT PREVENTION
Practices and technological systems for controlling the process hazards presented
in section 6.0 of this protocol/report outline, are an important part of chemical process
safety management. This section is intended to describe mechanisms for implementing
and maintaining safe process systems. Management directives are reviewed in this
section to identify goals and implemented activities, such as training and equipment
maintenance procedures, that present the facility's perspective and commitment to safe
management of process hazards.
7.1 MANAGEMENT ACTIVITIES
7.1.1 Corporate Role in Facility Process Safety Management
Corporate safety policy, guidance, and directives; and
Technical and financial assistance (e.g., process modifications,
information exchanges, and capital improvements).
7.1.2 Facility Role in Process Safety Management
Policy and directives;
Goals and objectives; and
Employee safety committees and incentive programs.
7.1.3 Audit Activities and Procedures
Frequency of facility audits;
Responsible department and involvement of external
personnel (e.g., corporate and private consultants);
Audit scope;
Audit procedures and time frame; and
Implementation of audit recommendations (e.g., policy and
procedures).
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7.2 PROCESS OPERATION AND MAINTENANCE
7.2.1 Standard Operating Procedures
SOP manuals available (e.g., operating procedures manual,
supervisory operating manual, safety manual, accident and
fire prevention manual);
How procedures/manuals reviewed and approved;
Listing of personnel roles and responsibilities;
Applicability of manuals to tasks conducted during normal
and emergency situations;
Other process guides: operating logs, shift turnover
procedures, overtime procedures, call out procedures during
emergencies, reporting procedures for unusual circumstances
or process deviations;
Experimental operating conditions for process changes, and
management of change; and
Startup, shutdown, and routine operation checklists.
Note: Attachment 10 contains a summary of the types of documentation and other
materials that the audit team may want to review for more information on facility SOPs.
7.2.2 Training Practices
Types of training available for operations and maintenance
personnel;
Methods and frequency of training;
Who performs training and qualifications;
Frequency and procedures for revising training;
Refresher courses and retraining;
Upset simulations and drills;
Use of process simulators;
Job duty qualifications/prerequisites;
Types and frequency of job qualification evaluations (e.g.,
performance reviews, tests);
Employee turnover rate; and
Master qualification list.
7.2.3 Equipment Maintenance Procedures
Work order systems;
Maintenance and testing scheduling;
Preventive and predictive maintenance;
Equipment history records;
System for spare parts control;
Level of training;
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Frequency and method of communication between
maintenance and operations personnel;
Prioritization of maintenance and inspections;
Securing equipment during shift breaks;
Assuring proper repairs replacement; and
Management of change for equipment (e.g., appropriateness
of materials of construction).
7.2.4 Instrument Maintenance
Work order systems;
Frequency and testing of instrument calibration, sensor
inspections, and alarm and interlock inspections;
Instrument history records;
System for spare parts control;
Frequency and method of communication between
maintenance and operations personnel;
Number of employees and shift coverage;
Level of training;
Management of change for instruments (e.g., appropriateness
of calibration settings); and
Error checking.
7.3 Hazard Evaluation and Modeling
7.3.1 Hazard Evaluation
Type(s) or method(s) used at facility (e.g., What If, Hazop,
etc.) and why selected;
Processes and operations evaluated;
Procedures for targeting/scheduling evaluation (e.g., new
procedures, process modification, incidents);
Frequency and basis for updating methods;
Who participates in and reviews evaluation(s) and the
qualifications of such personnel;
Use of results and methods of documentation;
Performance of consequence analysis to understand impacts
of any potential release;
Implementation of results and recommendations; and
How is process change managed.
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7.3.2 Modeling
Uses and types of models for tracking releases into air,
surface water, and groundwater;
Processes, chemicals, and operations to which models have
been applied;
Goals of modeling activities (e.g. support for emergency
planning and emergency response);
Assumptions built in to the models (both by user and
developer) and facility perceptions of strengths and
limitations (e.g. dense gas releases, terrain effects, single-
phase versus multi-phase modeling capability);
Parameters covered by surface and groundwater models (e.g.
degradation, photolysis, volatization, geochemical processes,
local hydrology, adsorption, desorption);
Validate model against experimental measurements; and
Use during incidents and the results (e.g., improvements in
emergency response or planning).
7.4 Release Prevention Systems
Facility activities related to preventing a release
Description of type(s) of systems in place;
Why used;
Performance history at facility;
Testing and inspections; and
Modifications performed.
Examples of activities to prevent chemical releases:
Improvements in process and equipment design;
Reduction of inventories;
Changes in siting of particular equipment;
Increased training and safety reviews;
Improved process controls;
Installation of interlocks; and
Failsafe design.
7.5 MITIGATION SYSTEMS
Description of type(s) of system(s) in place;
Why used;
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Performance history at facility; and
Frequency of testing and inspections.
Examples of release mitigation systems include:
Water sprays and sprinkler systems;
Foams;
Physical separation of buildings and equipment; and
Physical barriers, including dikes, curbing, raised doorways,
and containment walls).
8.0 ACCIDENTAL RELEASE INCIDENT INVESTIGATION
Facility procedures for identifying the underlying causes of unplanned incidents,
including fires, explosions, or releases of hazardous chemicals, and for preventing similar
incidents from recurring serve as an important step toward the actual prevention of
future incidents.
8.1 HISTORY OF ACCIDENTAL RELEASES/INCIDENTS
Types (e.g., reportable, near miss);
Chronicle of releases;
Reporting history; and
Community response and interaction.
8.2 FACILITY INVESTIGATION PROCEDURES
Written procedures (e.g., guidelines, time frames);
Types of releases to be investigated (e.g., near misses; or those
reportable under federal, state, or local law);
Personnel responsible for investigations;
Management involvement;
Actions taken resulting from investigation; and
Use of reports to share results (e.g., through training programs and
lessons learned) and distribution scheme.
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9.0 FACILITY EMERGENCY PREPAREDNESS AND PLANNING ACTIVITIES
Emergency activities in preparing for and responding to accidental releases
illustrate facility knowledge, dedication, and practices for mitigating incidents.
9.1 Facility Emergency Response Plan
Type and coverage of facility response plans (e.g., OSHA emergency
action plan, SPCC plan, corporate plan);
Update schedule and procedures (i.e., how often revised and by
whom); and
Key procedural areas covered (e.g., release notification, evacuation,
response and mitigation activities).
9.2 Emergency Response Exercises and Simulations
Types, frequency, and groups involved; and
Uses of findings.
9.3 Fire, Evacuation, and Rescue Corridors
Procedures for conducting evacuations;
Condition and accessibility of fire and rescue corridors; and
f
Detail and location of facility and community maps (Maps should be
referenced in appendix.).
9.4 Emergency Equipment Provisions
Types;
Locations;
Inspection and maintenance policies, including testing; and
Sources of equipment (off-site versus on-site).
9.5 Emergency Response Chain of Authority
Chain of command (e.g., designation of control during an
emergency); and
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Coordination with off-site response personnel.
9.6 Emergency Response Management Procedures
Management's role in response incident situations.
9.7 Emergency Communication Network within the Facility
Types and accessibility of communication system(s) and backups,
including sirens, walkie-talkies, and phones;
Testing of communication system; and
Ability of personnel to interpret warning signals.
9.8 Emergency Response Personnel Training Requirements
Categories of facility emergency response personnel;
Type of training available and frequency;
Who performs training; and
Refresher courses.
9.9 Follow-up Release Procedures
Incident clean-up (e.g., self, private contractors); and
After-action review of response with all involved parties (e.g., public
and private organizations).
10.0 COMMUNITY AND FACILITY EMERGENCY RESPONSE PLANNING
ACTIVITIES
Communication to the community about facility activities and coordination with
the community in developing emergency response plans indicate a level of facility
commitment to safety, as well as revealing unique outreach activities.
10.1 Facility Planning and Outreach Activities with Community
Awareness and participation in LEPC activities;
Participation in CAER activities; and
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Outreach activities, scholarship programs, open houses, joint
training, education, etc.
10.2 Local/Community Emergency Response Planning
Community plan status;
Coordination between facility and community in plan preparation
and exercise;
Coordination with hospitals and emergency medical services on
treatment of chemical exposure victims;
Coordination with community response structures and procedures;
and
Mutual aid efforts and facility involvement in non-facility-related
community responses.
11.0 PUBLIC ALERT AND NOTIFICATION PROCEDURES
Public alert and notification procedures identify unique procedures and facility
commitment to safety for the community.
11.1 Procedures for Public Notification of Releases
Alarm systems (e.g. sirens, air horns, whistles);
Communication networks (e.g., radio, television, phone); and
Back-up systems.
11.2 Schedule for Testing Procedures
Frequency of tests; and
Number and type of individuals notified.
11.3 History of Notification Procedures and Evaluation
Type of incident;
Timeliness of public notification; and
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Number of individuals notified and methods of public and private
emergency notification.
11.4 Community and Facility Contacts
Alternate contacts; and
Telephone number update procedures.
11.5 Facility and Media Interaction
Direct communication links; and
History of past interaction.
12.0 CONCLUSIONS
The conclusions highlight safety practices observed at the facility. As described in
section 6.2.2, Tips for Writing the Report, the information should be presented in a factual
manner and should refrain from judgments of adequacy or inadequacy. This section
summarizes facility practices that reflect the facility's understanding of and commitment
to chemical process safety management.
13.0 RECOMMENDATIONS
If applicable, the audit team may wish to make one or more recommendations
regarding observed processes, practices, technologies, and so forth. Any such
recommendations should be stated clearly, and be practical and technologically feasible at
the facility. Recommendations are not required or mandatory actions that must be taken
by the facility. They should be presented as options that the facility may consider to
enhance their knowledge of and practices in chemical process safety management.
APPENDICES
During the audit process, the team will gather a variety of materials relating to the
operations of the facility. Most of this material, however, while very helpful in
conducting the audit and preparing the audit report, does not belong in the main body of
the audit report and should instead be placed in appendices or maintained in the files of
the regional office for future use. Examples of the types of material that might be
included as appendices are:
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Sample facility memoranda, guidelines, SOPs, policy statements;
Correspondence between the facility and the regional office; and
Graphics such as photographs, maps, charts.
All materials should be labeled with the:
Name of the facility;
Date of the audit; and
Other necessary identifying information.
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6.2 Writing the Report
6.2.1 Post-Visit Meeting
The entire audit team should reassemble as soon as possible after completion of
the site visit. This is important because the details of the site visit can become confused
and fade rapidly. Certain items should be covered in this meeting:
Require that team members immediately review and edit their notes from
the site visit to obtain clarity and completeness;
Begin using the audit report outline as a basis for organizing all audit
information;
Consider the major audit elements during the review and analysis process,
the initial stage in to the completion of the audit report:
Facility Background Information;
Chemical Hazards;
Process Hazard Information;
Chemical Accident Prevention;
Accidental Release/Incident Investigation;
Facility Emergency Preparedness and Planning Activities;
Community and Facility Emergency Response Planning Activities;
and
Public Alert and Notification.
Review all important observations and findings identified to this point in
the audit; and
Determine whether or not any particular conclusions can be drawn or
recommendations made for inclusion in the report.
6.2.2 Tips for Writing the Report
There are two main areas of consideration when preparing a report:
Writing style; and
Report format flexibility
Writing style
In many instances during report preparation, several individuals will be working on
separate sections pertaining to his/her role in conducting the audit. Although several
different writing styles may be presented in the report, it is very important that they all
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have one common element of presentation style ~ information is factual, relevant,
complete, objective, and clear. The entire report, including the Conclusions and
Recommendations sections, should be presented in a factual manner and refrain from
judgments of adequacy or inadequacy.
The Conclusions section should highlight facility safety practices observed during
the audit, identifying unique facility practices that should be shared as well as areas for
improvement. This summary should reflect the facility's understanding of, and
commitment to, chemical process safety management, and should refrain from judgments
of adequacy or inadequacy. As an example of how to present conclusions, consider the
following pair of statements:
Incorrect. "The facility has adequate procedures to investigate and respond to the
cause(s) of accidental chemical releases."
Correct. "The facility prepares follow-up reports for accidental releases of
hazardous chemicals that occur both on- and off-site. The report addresses the
cause of the incident, recommended actions to prevent the release from
reoccurring, and a schedule and list of responsible individuals for implementing
these actions." [If the facility uses a form for this practice, it could be referenced
in an appendix.]
The first statement does not provide any information on the facility's follow-up
procedures; in addition, a judgement is made on the procedures, which may or may not
be valid. The latter illustrates procedures that the facility takes following an accidental
release of hazardous chemicals both on- and off-site. Its style of presentation is factual
and provides clear information on what the facility does without commenting on the
adequacy or inadequacy of the procedures.
The Recommendations section should provide clearly stated suggestions and
include the factual basis for each recommendation. The recommendations should be
both practically and technologically feasible for the audited facility — they are neither
mandatory nor required, and are simply being presented for consideration by the audit
team to the facility to enhance its chemical process safety management. As an example
of how to present recommendations, consider the following pair of statements:
Incorrect. "The facility should implement a preventive maintenance program."
Correct. "The facility should evaluate the appropriateness of its use of the
periodic maintenance system for maintaining pressure relief valves. This
evaluation could include, among other aspects, a review of alternative schemes,
such as preventive maintenance and predictive maintenance."
The first statement does not provide any information on the facility's existing
maintenance program and it does not specify the particular application for the
recommended preventive maintenance. The latter clearly describes the current status of
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the element in question and provides alternatives for consideration. In addition, the style
of presentation is appropriate for the cooperative nature of the audit program. In both
the Conclusions and Recommendations sections, all statements must address observations
that are presented in detail in the main body of the report.
Report format flexibility
The introduction to this section of the Manual addresses the purpose and uses of
the report protocol/outline. One important purpose is to ensure consistency in report
preparation. This consistency will help to facilitate analysis of conclusions and
recommendations and will assist CEPPO in effectively identifying successful and
problematic practices and technologies, and in sharing information with the regions, other
program offices, other federal agencies, state and local governments, facilities, and other
involved parties.
There are 13 major report sections (i.e., 1.0, 2.0, etc.), and when preparing the
report, each of these must be addressed. [Required Activity] For some facilities,
however, information relevant to a major section may not exist, or the audit team may
not have been able to examine materials relevant to this element. For example, the
facility may not have any system for alerting/warning the public that a release has
occurred (section 11.0), or this element may not have been reviewed by the audit team.
Rather than skip that section of the report, it should be stated that the facility does not
have a public alert/warning system, or that this element was not examined in the audit.
6.2.3 Follow-up Information
With almost any audit, there is usually a need to contact the facility after the site
visit has occurred to clarify a point or to obtain more complete information. A chemical
safety audit is no different. The preferred way to handle follow-up inquiries is for the
Team Leader to designate a person or persons to serve as the contact with the facility;
the facility may take a similar approach in making any further responses to EPA. This
minimizes the opportunity for miscommunication and lends a credible appearance to the
conclusion of the audit.
6.2.4 Standard Report Disclaimer
A standard report disclaimer accompanies all audit reports and is located after the
cover page. [Required Activity] Attachment 7 contains a sample disclaimer. The report
disclaimer serves to describe the scope and limitations of the audit report contents by
identifying the time frame in which the audit was conducted, and by clarifying the
facility's role in adopting or implementing any of the report contents.
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6.3 Review and Finalization Procedures
In preparing the final audit report, there are two considerations to keep in mind:
Access of draft report information through the Freedom of Information Act
(FOIA); and
Report inclusion of facility confidential information.
6.3.1 Access of Draft Information
In order to ensure that draft report information is not available to the public
through FOIA prior to report finalization, the EPA regional office can designate an EPA
official (e.g., Section, Division, or Branch Chief) to approve the report as "final." This
procedure is not mandatory, but highly recommended, since this process is cited under
the Deliberate Process Privilege Section, exemption 5 of FOIA [5 USC 552(b)5].
Additional actions can be taken to prevent draft information from being accessible
under FOIA. For example, all draft materials can be stamped "DRAFT." Draft
materials can include the following citation at the bottom of each page or on a cover
sheet:
"Pre-decisional Document, Not Disclosable Under FOIA"
" - Do Not Cite or Quote - "
Please note that these actions do not have legislative or regulatory authority, as
compared to the finalization process described above.
6.3.2 Facility Confidential Information
Another suggested activity during the report finalization process is submission of
the draft report to the facility to identify any confidential information. The facility should
be contacted to establish a deadline (e.g., two weeks) to avoid lengthy delays. Any
information identified as confidential should be treated as such. Comments on the report
that are provided by the facility can, but do not have to be taken into consideration as
the report is finalized.
6.4 Report Distribution
When the audit report is final, standard distribution by the Regional Chemical
Emergency Preparedness and Prevention (CEPP) Coordinator is required to the
following groups and organizations: [Required Activity]
SERC and LEPC in which the facility is located;
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Facility owner/operator;
Facility CEO;
EPA Headquarters, Chemical Emergency Preparedness and Prevention
Office; and
Any other federal, state, and local agencies or departments that assisted in
conducting the audit.
The region should ensure that at least one unbound copy of the report suitable for
photocopying is provided to CEPPO.
The Regional CEPP Coordinators should also consider distributing final audit
reports to other EPA offices; other federal, state, and local agencies or departments; and
other private and public sector organizations. Sharing the report with regional media
offices is encouraged. EPA Headquarters will also circulate copies to interested
headquarters media offices, the Prevention Work Group, and other federal programs.
Press releases of audit activities (e.g., facility visit, report finalization, etc.) are also
discretionary for the Regional CEPP Coordinators and EPA Headquarters CEPPO staff.
To help professionals conducting audits, EPA Headquarters is developing a
computerized database that contains profiles of all of the chemical safety audit reports.
The profiles are summaries of the audit reports organized in a uniform format consistent
with the CSA protocol. The database has search capabilities that allow the user to
identify report profiles based on SIC code, specific chemical hazards, etc. The
information contained in the database will be useful to the regions for a variety of
purposes, such as learning how a particular industry operates (e.g., the types of chemicals
and kinds of processes in use and the typical problems encountered), as well as
identifying field experts and comparing processes at different facilities for the same
chemical. CEPPO will also be able to use the database to assemble and distribute
information on chemical process safety management and chemical accident prevention
issues and to assess the implementation of the CSA program.
6.5 Preparing the Report Profile
An audit report profile should be submitted to headquarters in conjunction with
the submission of the audit report for inclusion into the database. The profile (see
Attachments 11 and 12) organizes the key information contained in the report, including
information on the facility and the audit team as well as report conclusions and
recommendations, in a format suitable for direct entry into the CSA database. In
addition to providing the basis for the continued development of the CSA database, the
profile format can also assist the audit team during the audit process. The profile can
serve as a method of organizing issues of interest and assigning areas of responsibility to
team members prior to the audit, monitoring the progress of the team during the audit
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visit, and organizing the collected information during report writing. The specific
information that should be included in the CSA report profile is described in the
annotated profile in Attachment 12. A hardcopy and an electronic version of the profile
should accompany the audit report when it is submitted to EPA headquarters to facilitate
entering the profile information into the database.
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7. Audit Follow-Up Activities
As a supplement to the chemical safety audit and CSA report preparation, each
regional office should establish an audit follow-up program. The follow-up program will
support EPA's efforts to evaluate the effectiveness of the CSA program in improving, as
well as heightening awareness of the need for, chemical process safety among chemical
producers, distributors, and users. In addition, it is hoped that the analysis of audit
results will provide a basis for amending the focus and direction of the CSA program to
better achieve its stated goals at the regional and headquarters level.
Although the specific nature of the follow-up activities has been left to the
discretion of the regional offices, at a minimum the program should be designed to track
audited facilities' implementation of CSA report recommendations. This will allow
Headquarters to analyze trends in the implementation of CSA recommendations as a
function of issue (e.g., employee training or instrument maintenance), level of effort (e.g.,
fixing a relief valve or replacing a storage tank), and type and size of facility. Within this
framework, the regional offices are free to examine other audit issues (e.g., format,
relationship with state and local officials) at their own discretion and to communicate
with the facility in writing or in person.
Optionally, some of the regions also may wish to develop a method to verify
whether the information received from the facility is accurate, to the extent that regional
resources permit. This may involve the continued participation of state and/or local
officials in the audit process or another facility visit by EPA or Technical Assistance
Team members.
7.1 Follow-Up Approaches
Currently, some regional offices have already developed follow-up programs.
They have approached the follow-up process from a variety of angles, ranging from
mailing worksheets to returning to the facilities for a post-audit review. For example:
• Region 6 conducted a comprehensive follow-up effort in FY 92 in which
representatives from the region revisited 14 facilities that had been audited
since 1989 to evaluate the implementation of audit team recommendations.
Issues studied included the most effective audit format; facility attitudes
toward the audit process; the role of facility size in implementing
recommendations; and the level of expertise of the audit team. Region 6
used the follow-up information to compile quantitative regional data, which
was summarized in charts and graphs to highlight key trends and issues.
The data indicated that 68 percent of the 173 recommendations were
implemented at the facilities involved in the project, with a notably lower
rate for the five facilities with greater than 1,000 employees (56%) and for
recommendations that involved changes in process design (40%), and a
notably higher rate for compliance-related recommendations (100%)
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• Region 8 has sent questionnaires to facilities six and 12 months after the
audits to check on the facility's progress in implementing the
recommendations of the audit team. The questionnaire lists each of the
audit team's recommendation, and the facility indicates its response to the
recommendations, including their future plans for implementing the
recommendations. For the questionnaires completed by facilities in 1991,
the region identified an 80-85 percent response rate for facilities in
implementing audit recommendations.
Another possible follow-up option suggested by one regional office is to present audited
facilities with an evaluation form at the same time as the final audit report is distributed
to the facility.
7.2 Specific Information Required
The follow-up program should begin with the facilities at which an audit has been
conducted in fiscal year 1993. Regions also have the option of performing follow-up
efforts at facilities audited in previous years. For each audit, the regional office should
provide EPA Headquarters with the following information:
• Full name and address of audited facility;
• List of recommendations made by the audit team as organized in the CSA
report profile prepared by the region;
• Indication of how each recommendation has been or is planned to be
implemented and/or addressed by the facility with the date completed or a
schedule for implementation, as appropriate;
• Rationale for any recommendations that have not been implemented
and/or addressed by the facility; and
• Audit implementation issues, including:
Facility attitude toward chemical safety audit, and
Successful and problematic audit practices.
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Attachments
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Attachment 1
Chemical Safety Audit Program Fact Sheet
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FACT SHEET MARCH 1993
CHEMICAL SAFETY AUDIT PROGRAM
BACKGROUND
The Chemical Safety Audit (CSA) program has evolved
from the efforts of the U.S. Environmental
Protection Agency (EPA) under the Chemical Accident
Prevention (CAP) program. The CAP program emerged
from concerns raised by the release of methyl
isocyanate at Bhopal, India, and of aldicarb oxime
at Institute, West Virginia. Awareness of the
critical threat to public safety posed by similar
incidents led to an emphasis on preparedness and
planning for response to chemical accidents.
Simultaneous with- the development of preparedness
activities by EPA was the passage and
implementation of the Emergency Planning and
Community Right-to-Know Act -- Title III of the
Superfund Amendments and Reauthorization Act (SARA)
by Congress in 1986. Because prevention is the
most effective form of preparedness, the CAP
program promotes an effort to enhance prevention
activities. The primary objectives of the CAP
program are to identify the causes of accidental
releases of hazardous substances and the means to
prevent them from occurring, to promote industry
initiatives in these areas, and to share activities
with the community, industry, and other groups.
Many of the key concerns of the CAP program arise
from the SARA Title III section 305(b) study
entitled Review of Emergency Systems. As part of
the information gathering efforts to prepare this
study, EPA personnel conducted a number of facility
site visits to learn about chemical process safety
management practices. The study covers
technologies, techniques, and practices for
preventing, detecting, and monitoring releases of
extremely hazardous substances, and for alerting
the public to such releases. One of the key
recommendations resulting from the study was the
continuation and expansion of the audit program.
As a follow-up to this national prevention study,
EPA has undertaken cooperative initiatives with
federal agencies, states, industry groups,
professional organizations, and trade associations,
as well as environmental groups and academia.
These joint efforts will serve to determine and
implement a means to share information on release
prevention technology and practices, and to enhance
the state of practice in the chemical process
safety arena.
PROGRAM GOALS
The CSA program is part of this broad initiative
and has been designed to accomplish the following
chemical accident prevention goals:
• Visit facilities handling hazardous substances
to gather information on and learn about safety
practices and technologies;
• Heighten awareness of the need for, and promote,
chemical safety among facilities handling
hazardous substances, as well as in communities
where chemicals are located;
• Build cooperation among facilities, EPA, and
other authorized parties by coordinating joint
audits; and
• Establish a database for the assembly and
distribution of chemical process safety
management information obtained from the
facility audits.
PROGRAM AUTHORITY
The Comprehensive, Environmental Response,
Compensation and Liability Act (CERCLA or
Superfund) was enacted December 11, 1980, and
amended by SARA on October 17, 1986. CERCLA
authorizes the federal government to respond where
there is a release or a substantial threat of a
release into the environment of any hazardous
substance, pollutant, or contaminant that may
present danger to the public health or welfare or
to the environment.
CERCLA Sections 104(b) and 104(e), as amended by
SARA in 1986, provide authorities for entering a
facility and accessing information to conduct a
chemical safety audit by EPA. While CERCLA
provides authority for states to use statutory
authorities for entry and information gathering,
such authorities may only be accessed pursuant to a
contract or cooperative agreement with the federal
government. Since there is no such arrangement,
states, as well as local governments, must use
their own authorities for audit participation.
As a matter of EPA policy under the CSA program,
all facilities that will receive an audit should
have experienced a release of a hazardous
substance, pollutant, or contaminant, or there
should be rea*on to believe that there exists a
threat of such a release. The audits are intended
to be nonconfrontational and positive, such that
information on safety practices, techniques, and
technologies can be identified and shared between
EPA and the facility. Involvement in the CSA
program by Local Emergency Planning Committees
(LEPCs) and State Emergency Response Commissions
(SERCs) formed under SARA Title III is encouraged
to enhance the goals of both of these programs.
However, as stated above, state and local
government participation in the audit, itself, must
be performed under state and local authorities.
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AUDIT SCOPE
REPORT DISTRIBUTION
The audit consists of interviews with facility
personnel, and on-site review of various aspects of
facility operations related to the prevention of
accidental chemical releases. Specific topics
addressed include:
• Awareness of chemical and process hazards;
• Process characteristics;
• Emergency planning and preparedness;
• Hazard evaluation and release detection
techniques;
• Operations and emergency response training;
• Facility/corporate management structure;
• Preventive maintenance and inspection programs;
and
• Community notification mechanisms and
techniques.
Observations and conclusions from audits are
detailed in a report prepared by the audit team.
The report identifies and characterizes the
strengths of specific Chemical Accident Prevention
program areas to allow the elements of particularly
effective programs to be recognized. Copies of the
report are provided to the facility so that weak
and strong program areas may be recognized. The
audit is conducted following the Guidance Manual
for EPA Chemical Safety Audit Team Members, issued
by EPA Headquarters. This guidance contains
recommended actions, as well as mandatory
procedures that must be followed to ensure the
health and safety of program auditors and program
integrity. Each member of the audit team should
have a copy of the manual, and a copy of the manual
is transmitted to the audited facility.
AUDIT TEAM COMPOSITION
An EPA audit team primarily consists of EPA
employees, and other designated representatives
including contractors and the American Association
of Retired Persons (AARP) enrol lees. Other
federal, state, and local government personnel may
also be team members. The audit team can vary in
size, depending upon the level of detail of the
audit (e.g., number of chemicals and/or processes
under investigation; national significance).
FACILITY SELECTION
At present, there are no established procedures for
selecting a facility for an audit. Each EPA region
has flexibility in identifying facilities. Options
to consider in selecting a facility include:
Previous history of the facility;
SERC and/or LEPC referral;
Proximity to sensitive population(s);
Public sensitivity;
Regional accident prevention initiatives;
Opportunity for sharing new technology;
Population density; and
Concentration of industry in the area.
Standard distribution by EPA regional offices of
the audit report wilt be at a minimum to:
• SERC and LEPC in which the facility is located;
• Facility owner/operator and facility CEO;
• EPA Headquarters; and
• Any other federal, state, and local agencies or
departments that assisted in conducting the
audit.
Distribution is available to other EPA offices,
other federal, state, and local agencies or
departments, and other private and public sector
organizations.
ACCOMPLISHMENTS
During the first four years of the CSA program, the
regions have conducted audits at over 150
facilities in 46 states and Puerto Rico. EPA has
analyzed the conclusions and recommendations listed
in the audit reports to identify trends within and
across industries, processes, and chemicals to
assist in the further development of the CSA and
CAP programs, particularly in light of the
accidental release provisions of section 112(r) of
the Clean Air Act. At the same time, follow-up
activities performed by several of the regional
offices indicate that the majority of the
recommendations to improve chemical process safety
practices suggested by the audit teams have been
implemented or are scheduled to be implemented at
audited facilities.
CSA PROGRAM BENEFITS
• Identification of effective, field-proven
chemical accident prevention technologies and
practices.
• Better understanding of the causes of chemical
releases.
• Greater awareness by facilities of chemical
safety and understanding of available
techniques, and specific suggestions for
improved programs.
• Identification of problem areas in industry
where more attention is needed.
• Cooperation and coordination of chemical safety
programs with other federal and state agencies
through joint audits and training.
For more information on the Chemical Safety Audit
program, contact the Chemical Emergency
Preparedness Program (CEPP) office in your EPA
regional office.
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Attachment 2
CERCLA Provisions Overview and CERCLA Statute
Section 104(a) Removal and Other Remedial Actions
This section provides the federal government with the authority to respond to releases or
threatened releases of hazardous substances, pollutants, or contaminants in certain situations.
Section 104(a) authorizes the EPA Administrator "to act, consistent with the national
contingency plan, to remove or arrange for the removal of, and provide for remedial action relating
to such hazardous substances, pollutants, or contaminants at any time, or take any other response
measure consistent with the national contingency plan which the Administrator deems necessary to
protect public health or welfare or the environment," where:
Any hazardous substance is released;
There is a substantial threat that a hazardous substance will be released into the
environment;
Any pollutant or contaminant is released into the environment "which may present
an imminent and substantial danger to the public health or welfare;" or
There is a substantial threat that a pollutant or contaminant may be released into the
environment "which may present an imminent and substantial danger to the public
health or welfare."
Section 104(b) Investigatory Response
Under Section 104(b), the Administrator is authorized to "undertake such investigations,
monitoring, surveys, testing, and other information gathering" that may be needed "to identify the
existence and extent of the release or threat thereof, the source and nature of the hazardous
substances, pollutants or contaminants involved, and the extent of danger to the public health or
welfare or to the environment." This investigatory response can be initiated whenever the
Administrator can act under Section 104(a) when he has "reason to believe" that:
A release has occurred;
A release is about to occur; or
"Illness, disease, or complaints thereof may be attributed to exposure to a hazardous
substance, pollutant, or contaminant and that a release may have occurred or be
occurring."
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Section 104(6) Information Gathering and Access
Under Section 104(e), a designated representative of the President or a state or political
subdivision under a contract or cooperative agreement is authorized to obtain information and gain
access to sites and adjacent property "for the purposes of determining the need for response, or
choosing or taking" a response, or to enforce any provision of CERCLA. The authority to enter a
site and to inspect and take samples from a site may only be exercised where "there is a reasonable
basis to believe there may be a release or threat of release of a hazardous substance or pollutant or
contaminant."
Access to Information. Section 104(e) authorizes any designated official, upon reasonable
notice, to require persons to provide relevant information or documents concerning:
"Identification, nature and quantity of materials which have been or are generated,
treated, stored, or disposed of at the facility;
"The nature or extent of a release or threatened release of a hazardous substance or
pollutant or contaminant at" the facility; and
"Information relating to the ability of a person to pay or perform a cleanup."
In addition, upon reasonable notice, Section 104(e) requires persons to grant access to a
facility to inspect and copy all documents or records, or at their option to provide copies.
Entry. Designated representatives are authorized to enter at reasonable times, any vessel,
facility, establishment, or other place or property:
"Where any hazardous substance, pollutant, or contaminant may be or has been
generated, stored, treated, disposed of, or transported from;"
"From which or to which a hazardous substance, pollutant, or contaminant has been
or may have been released;" and
"Where entry is needed to determine the need for response or the appropriate
response or to effectuate a response action."
Compliance Orders. If consent is not granted for access to information, entry onto the
facility, and inspection or sampling, Section 104(e)(5) authorizes EPA to:
"Issue an order directing compliance with the request," after such notice and
opportunity for consultation;
Ask the Attorney General to commence a civil action to compel compliance with a
request or order; and
Assess civil penalties up to $25,000/day for failure to comply with the order.
Section 104(e) also provides for the right to obtain access or information in any other lawful manner,
which includes warrants.
-------
Confidentiality of Information. Section 104(e)(7) provides that no person required to provide
information under CERCLA may claim that such information is entitled to protection unless such
person shows each of the following:
The "person has not described the information to any other person, other than a
member of a local emergency planning committee under Title III of SARA," an
officer or employee of the U.S. or a state or local government, an employee of such
person, or a person who is bound by a confidentiality agreement, and such person has
taken reasonable measures to protect the confidentiality of such information and
intends to continue to take such measures;"
"The information is aot required to be disclosed, or otherwise made available, to the
public under any other federal or state law;"
"Disclosure of the information is likely to cause substantial harm to the competitive
position of such person;" and
"The specific chemical identity, if sought to be protected, is not readily discoverable
through reverse engineering."
The following information on hazardous substances is not entitled to protection:
Trade name, common name, or generic class or category;
Physical properties;
Hazards to health and the environment, including physical hazards (e.g., explosion)
and potential acute and chronic health hazards;
Potential routes of human exposure;
Disposal location of any waste stream;
Monitoring data or analysis on disposal activities;
Hydrogeologic or geologic data; and
Groundwater monitoring data.
Section 106fa) Abatement Action
This section of CERCLA provides the federal government with the authority to pursue
administrative and judicial action to require responsible parties to respond to actual or threatened
releases of hazardous substances. If the Administrator "determines that there may be an imminent
and substantial endangerment to the public health or welfare or the environment," he has two options
under 106(a):
Request the Attorney General to seek the necessary relief in the federal district court
where the threat occurs. The district court is given jurisdiction to grant relief as the
public interest and the equities of the case may require; or
-------
After providing notice to the affected state, he may take other action, including, but
not limited to the issuance of orders that may be necessary to protect public health
and welfare and the environment.
Note: Statutory texts of these reviewed CERCLA sections follows.
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COMPREHENSIVE ENVIRONMENTAL RESPONSE,
COMPENSATION AND LIABILITY
(42 U.S.C.A. §§ 9601 to 9675)
CHAPTER 103—COMPREHENSIVE ENVI-
RONMENTAL RESPONSE,
COMPENSATION, AND LIABILITY
SUBCHAPTER I—HAZARDOUS SUBSTANCES
RELEASES, LIABILITY, COMPENSATION
Sec.
9601. Definitions.
9602. Designation of additional hazardous substances
and establishment of reportable released quanti-
ties; regulations.
9603. Notification requirements respecting released sub-
stances.
(a) Notice to National Response Center upon re-
lease from vessel or offshore or onshore
facility by person in charge; conveyance of
notice by Center.
(b) Penalties for failure to notify; use of notice
or information pursuant to notice in crimi-
nal case.
(c) Notice to Administrator of EPA of existence
of storage, etc., facility by owner or opera-
tor; exceptions; time, manner, and form of
notice; penalties for failure to notify; use
of notice or information pursuant to notice
in criminal case.
(d) Recordkeeping requirements; promulgation
of rules and regulations by Administrator
of EPA; penalties for violations; waiver of
retention requirements.
(e) Applicability to registered pesticide product.
(f) Exemptions from notice and penalty provi-
sions for substances reported under other
Federal law or is in continuous release, etc.
9604. Response authorities.
(a) Removal and other remedial action by Presi-
dent; applicability of national contingency
plan; response by potentially responsible
parties; public health threats; limitations
on response; exception.
(b) Investigations, monitoring, etc., by President.
(c) Criteria for continuance of obligations from
Fund over specified amount for response
actions; consultation by President with af-
fected States; contracts or cooperative
agreements by States with President prior
to remedial actions; cost-sharing agree-
ments; selection by President of remedial
actions; State credits: granting of credit,
expenses before listing or agreement, re-
sponse actions between 1978 and 1980,
State expenses after December 11, 1980, in
excess of 10 percent of costs, item-by-item
approval, use of credits; operation and
Sec.
9604. Response authorities—Cont'd
maintenance; limitation on source of funds
for 0 & M; recontracting; siting.
(d) Contracts or cooperative agreements by Presi-
dent with States or political subdivisions or
Indian tribes; State applications, terms and
conditions; reimbursements; cost-sharing
provisions; enforcement requirements and
procedures.
(e) Information gathering and access; action au-
thorized, access to information, entry, in-
spection and samples; authority and sam-
ples, compliance orders; issuance and com-
pliance, other authority, confidentiality of
information; basis for withholding..
(f) Contracts for response action; compliance
with Federal health and safety standards.
(g) Rates for wages and labor standards applica-
ble to covered work.
(h) Emergency procurement powers; exercise by
President.
(i) Agency for Toxic Substances and Disease
Registry; establishment, functions, etc.
(j) Acquisition of property.
9605. National contingency plan; preparation, contents,
etc.
(a) Revision and republication.
(b) Revision of plan.
(c) Hazard ranking system.
(1) Revision.
(2) Health assessment of water contamina-
tion risks.
(3) Reevaluation not required.
(4) New information.
(d) Petition for assessment of release.
(e) Releases from earlier sites.
'(f) Minority contractors.
(g) Special study wastes.
(1) Application.
(2) Considerations in adding facilities to
NPL.
(3) Savings provisions.
(4) Information gathering and analysis.
9606. Abatement actions.
(a) Maintenance, jurisdiction, etc.
(b) Fines; reimbursement.
(c) Guidelines for using imminent hazard, en-
forcement, and emergency response author-
ities; promulgation by Administrator of
EPA, scope, etc.
9607. Liability.
(a) Covered persons; scope; recoverable costs
and damages; interest rate; "comparable
maturity" date.
(b) Defenses.
(c) Determination of amounts.
467
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42 § 9601
FEDERAL ENVIRONMENTAL LAW
SUBCHAPTER IV—POLLUTION INSURANCE
S«c.
9671. Definitions.
(1) Insurance.
(2) Pollution liability.
(3) Risk retention group.
(4) Purchasing group.
(5) State.
9672. State laws; scope of subchapter.
(a) State laws.
(b) Scope of title.
9673. Risk retention groups.
(a) Exemption.
(b) Exceptions.
(1) State laws generally applicable.
(2) State regulations not subject to exemp-
tion.
(c) Application of exemptions.
(d) Agents or brokers.
9674. Purchasing groups.:
(a) Exemption.
(b) Application of exemptions.
(c) Agents or brokers.
9675. Applicability of securities laws.
(a) Ownership interests.
(b) Investment Company Act
(c) Blue sky law.
West's Federal Forma
Administrative agency decisions and orders, enforcement and re-
view, see § 851 et seq.
Administrative subpoenas, enforcement, see § 6004 et seq.
Depositions and discovery, see §§ 3271 et seq., 3681 et seq.
Intervention, motion for leave, see § 3111 et seq.
Jurisdiction and venue in district courts, see f 1003 et seq.
Production of documents, motions and orders pertaining to, see
§ 3551 et seq.
Sentence and fine, see § 7531 et seq.
Subpoenas, see § 3981 et seq.
WESTLAW Electronic Research
See WESTLAW guide following the Explanation pages of this
pamphlet
SUBCHAPTER I—HAZARDOUS SUBSTANCES
RELEASES, LIABILITY, COMPENSATION
§ 9601. Definitions
For purpose of this subchapter—
(1) The term "act of God" means an unantic-
ipated grave natural disaster or other natural
phenomenon of an exceptional, inevitable, and ir-
resistible character, the effects of which could not
have been prevented or avoided by the exercise of
due care or foresight.
(2) The term "Administrator" means the Ad-
ministrator of the United States Environmental
Protection Agency.
(3) The term "barrel" means forty-two United
States gallons at sixty degrees Fahrenheit.
(4) The_term "claim" means a demand in writ-
ing for a sum certain.
(5) The term "claimant" means any person who
presents a claim for compensation under this
chapter.
(6) The term "damages" means damages for
injury or loss of natural resources as set forth in
section 9607(a) or 9611(b) of this title.
(7) The term "drinking water supply" means
any raw or finished water source that is or may
be used by a public water system (as defined in
the Safe Drinking Water Act [42 U.S.C. 300f et
seq.]) or as drinking water by one or more indi-
viduals.
(8) The term "environment" means (A) the nav-
igable waters, the waters of the contiguous zone,
and the ocean waters for which the natural re-
sources are under the exclusive management au-
thority of the United States under the Magnuson
Fishery Conservation and Management Act [16
U.S.C. 1801 et seq.], and (B) any other surface
water, ground water, drinking water supply, land
surface or subsurface strata, or ambient air with-
in the United States or under the jurisdiction of
the United States.
(9) The term "facility" means (A) any building,
structure, installation, equipment, pipe or pipeline
(including any pipe into a sewer or publicly owned
treatment works), well, pit, pond, lagoon, im-
poundment, ditch, landfill, storage container, mo-
tor vehicle, rolling stock, or aircraft, or (B) any
site or area where a hazardous substance has
been deposited, stored, disposed of, or placed, or
otherwise come to be located; but does not in-
clude any consumer product in consumer use or
any vessel.
(10) The term "federally permitted release"
means (A) discharges in compliance with a permit
under section 1342 of Title 33, (B) discharges
resulting from circumstances identified and re-
viewed and made part of the public record with
respect to a. permit issued or modified under
section 1342 of Title 33 and subject to a condition
of such permit, (C) continuous or anticipated inter-
mittent discharges from a point source, identified
in a permit or permit application under section
1342 of Title 33, which are caused by events
occurring within the scope of relevant operating
or treatment systems, (D) discharges in compli-
ance with a legally enforceable permit under sec-
tion 1344 of Title 33, (E) releases in compliance
with a legally enforceable final permit issued
pursuant to section 3005{a) through (d) of the
Solid Waste Disposal Act [42 U.S.C. 6925(a) to (d)]
from a hazardous waste treatment, storage, or
disposal facility when such permit specifically
472
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ENVIRONMENTAL RESPONSE, ETC.
42 §9601
identifies the hazardous substances and makes
such substances subject to a standard of practice,
control procedure or bioassay limitation or condi-
tion, or other control on the hazardous substances
in such releases, (F) any release in compliance
with a legally enforceable permit issued under
section 1412 of Title 33 of1 section 1413 of Title
33, (G) any injection of fluids authorized under
Federal underground injection control programs
or State programs submitted for Federal approval
(and not disapproved by the Administrator of the
Environmental Protection Agency) pursuant to
part C of the Safe Drinking Water Act [42 U.S.C.
300h et seq.], (H) any emission into the air subject
to a permit or control regulation under section
111 [42 U.S.C. 7411], section 112 [42 U.S.C. 7412],
Title I part C [42 U.S.C. 7470 et seq.], Title I part
D [42 U.S.C. 7501 et seq.], or State implementa-
tion plans submitted in accordance with section
110 of the Clean Air Act [42 U.S.C. 7410] (and not
disapproved by the administrator of the Environ-
mental Protection Agency), including any sched-
ule or waiver granted, promulgated, or approved
under these sections, (I) any injection of fluids or
other materials authorized under applicable State
law (i) for the purpose of stimulating or treating
wells for the production of crude oil, natural gas,
or water, (ii) for the purpose of secondary, terti-
ary, or other enhanced recovery of crude oil or
natural gas, or (iii) which are brought to the
surface in conjunction with the production of
crude oil or natural gas and which are reinjected,
(J) the introduction of any pollutant into a public-
ly owned treatment works when such pollutant is
specified in and in compliance with applicable
pretreatment standards of section 1317(b) or (c) of
Title 33 and enforceable requirements in a pre-
treatment program submitted by a State or mu-
nicipality for Federal approval under section 1342
of Title 33, and (K) any release of source, special
nuclear, or byproduct material, as those terms are
defined in the Atomic Energy Act of 1954 [42
U.S.C. 2011 et seq.], in compliance with a legally
enforceable license, permit, regulation, or order
issued pursuant to the Atomic Energy Act of
1954.
(11) The term "Fund" or "Trust Fund" means
the Hazardous Substance Superfund established
by section 9507 of Title 26.
(12) The term "ground water" means water in
a saturated zone or stratum beneath the surface
of land or water.
(13) The term "guarantor" means any person,
other than the owner or operator, who provides
evidence of financial responsibility for an owner
or operator under this chapter.
(14) The term "hazardous substance" means
(A)-any substance designated pursuant to section
1321(b)(2)(A) of Title 33, (B) any element, com-
pound, mixture, solution, or substance designated
pursuant to section 9602 of this title, (C) any
hazardous waste having the characteristics identi-
fied under or listed pursuant to section 3001 of
the Solid Waste Disposal Act [42 U.S.C. 6921] (but
not including any waste the regulation of which
under the Solid Waste Disposal Act [42 U.S.C.
6901 et seq.] has been suspended by Act of Con-
gress), (D) any toxic pollutant listed under section
1317(a) of Title 33, (E) any hazardous air pollutant
listed under section 112 of the Clean Air Act [42
U.S.C. 7412], and (F) any imminently hazardous
chemical substance or mixture with respect to
which the Administrator has taken action pursu-
ant to section 2606 of Title 15. The term does not
include petroleum, including crude oil or any frac-
tion thereof which is not otherwise specifically
listed or designated as a hazardous substance
under subparagraphs (A) through (F) of this para-
graph, and the term does not include natural gas,
natural gas liquids, liquefied natural gas, or syn-
thetic gas usable for fuel (or mixtures of natural
gas and such synthetic gas).
(15) The term "navigable waters" or "naviga-
ble waters of the United States" means the wa-
ters of the United States, including the territorial
seas.
(16) The term "natural resources" means land,
fish, wildlife, biota, air, water, ground water,
drinking water supplies, and other such resources
belonging to, managed by, held in trust by, apper-
taining to, or otherwise controlled by the United
States (including the resources of the fishery con-
servation zone established by the Magnuson Fish-
ery Conservation and Management Act [16 U.S.C.
1801 et seq.]) any State or local government, any
foreign government, any Indian tribe, or, if such
resources are subject to a trust restriction on
alienation, any member of an Indian tribe.
(17) The term "offshore facility" means any
facility of any kind located in, on, or under, any of
the navigable waters of the United States, and
any facility of any kind which is subject to the
jurisdiction of the United States and is located in,
on, or under any other waters, other than a vessel
or a public vessel.
(18) The term "onshore facility" means any
facility (including, but not limited to, motor ve-
hicles and rolling stock) of any kind located in, on,
or under, any land or nonnavigable waters within
the United States.
(19) The term "otherwise subject to the juris-
diction of the United States" means subject to the
Sel.Env.Law Stats. '87 Ed.—16
473
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42 §9601
FEDERAL ENVIRONMENTAL LAW
jurisdiction of the United States by virtue of
United States citizenship, United States vessel
documentation or numbering, or as provided by
international agreement to which the United
States is a party.
(20XA) The term "owner or operator" means
(i) in the case of a vessel, any person owning,
operating, or chartering by demise, such vessel,
(ii) in the case of an onshore facility or an off-
shore facility, any person owning or operating
such facility, and (iii) in the case of any facility,
title or control of which was conveyed due to
bankruptcy, foreclosure, tax delinquency, aban-
donment, or similar means to a unit of State or
local government, any person who owned, operat-
ed or otherwise controlled activities at such facili-
ty immediately beforehand. Such term does not
include a person, who, without participating in the
management of a vessel or facility, holds indicia of
ownership primarily to protect his security interest
in the vessel or facility.
(B) In the case of a hazardous substance which
has been accepted for transportation by a com-
mon or contract carrier and except as provided in
section 9607(a)(3) or (4) of this title, (i) the term
"owner or operator" shall mean such common
carrier or other bona fide for hire carrier acting
as an independent contractor during such trans-
portation, (ii) the shipper of such hazardous sub-
stance shall not be considered to have caused or
contributed to any release during such transpor-
tation which resulted solely from circumstances
or conditions beyond his control.
(C) In the case of a hazardous substance which
has been delivered by a common or contract carri-
er to a disposal or treatment facility and except as
provided in section 9607(a)(3) or (4) of this title (i)
the term "owner or operator" shall not include
such common or contract carrier, and (ii) such
common or contract carrier shall not be con-
sidered to have caused or contributed to any
release at such disposal or treatment facility re-
sulting from circumstances or conditions beyond
its control.
(D) The term "owner or operator" does not
include a unit of State or local government which
acquired ownership or control involuntarily
through bankruptcy, tax delinquency, abandon-
ment, or other circumstances in which the govern-
ment involuntarily acquires title by virtue of its
function as sovereign. The exclusion provided
under this paragraph shall not apply to any State
or local government which has caused or contrib-
uted to the release or threatened release of a
hazardous substance from the facility, and such a
State or local government shall be subject to the
provisions of this chapter in the same manner and
to the same extent, both procedurally and sub-
stantively, as any nongovernmental entity, includ-
ing liability under section 9607 of this title.
(21) The term "person" means an individual,
firm, corporation, association, partnership, consor-
tium, joint venture, commercial entity, United
States Government, State, municipality, commis-
sion, political subdivision of a State, or any inter-
state body.
(22) The term "release" means any spilling,
leaking, pumping, pouring, emitting, emptying,
discharging, injecting, escaping, leaching, dump-
ing, or disposing into the environment (including
the abandonment or discarding of barrels, con-
tainers, and other closed receptacles containing
any hazardous substance or pollutant or contami-
nant), but excludes (A) any release which results
in exposure to persons solely within a workplace,
with respect to a claim which such persons may
assert against the employer of such persons, (B)
emissions from the engine exhaust of a motor
vehicle, rolling stock, aircraft, vessel, or pipeline
pumping station engine, (C) release of source,
byproduct, or special nuclear material from a
nuclear incident, as those terms are defined in the
Atomic Energy Act of 1954 [42 U.S.C. 2011 et
seq.], if such release is subject to requirements
with respect to financial protection established by
the Nuclear Regulatory Commission under sec-
tion 170 of such Act [42 U.S.C. 2210], or, for the
purposes of section 9604 of this title or any other
response action, any release of source byproduct,
or special nuclear material from any processing
site designated under section 7912(a)(l) or 7942(a)
of this title, and (D) the normal application of
fertilizer.
(23) The term "remove" or "removal" means
the cleanup or removal of released hazardous
substances from the environment, such actions as
may be necessary2 taken in the event of the
threat of release of hazardous substances into the
environment, such actions as may be necessary to
monitor, assess, and evaluate the release or
threat or release of hazardous substances, the
disposal of removed material, or the taking of
such other actions as may be necessary to pre-
vent, minimize, or mitigate damage to the public
health or welfare or to the environment, which
.may otherwise result from a release or threat of
release. The term includes, in addition, without
being limited to, security fencing or other mea-
sures to limit access, provision of alternative wa-
ter supplies, temporary evacuation and housing of
threatened individuals not otherwise provided for,
action taken under section 9604(b) of this title,
and any emergency assistance which may be pro-
vided under the Disaster Relief Act of 1974 [42
U.S.C. 5121 et seq.].
(24) The term "remedy" or "remedial action"
means those actions consistent with permanent
474
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ENVIRONMENTAL RESPONSE, ETC.
42 § 9601
remedy taken instead of or in addition to removal
actions in the event of a release or threatened
release of a hazardous substance into the environ-
ment, to prevent or minimize the release of haz-
ardous substances so that they do not migrate to
cause substantial danger to present or future
public health or welfare or the environment. The
term includes, but is not limited to, such actions
at the location of the release as storage, confine-
ment, perimeter protection using dikes, trenches,
or ditches, clay cover, neutralization, cleanup of
released hazardous substances or contaminated
materials, recycling or reuse, diversion, destruc-
tion, segregation of reactive wastes, dredging or
excavations, repair or replacement of leaking con-
tainers, collection of leachate and runoff, onsite
treatment or incineration, provision of alternative
water supplies, and any monitoring reasonably
required to assure that such actions protect the
public health and welfare and the environment.
The term includes the costs of permanent reloca-
tion of residents and businesses and community
facilities where the President determines that,
alone or in combination with other measures, such
relocation is more cost-effective than and environ-
mentally preferable to the transportation, stor-
age, treatment, destruction, or secure disposition
offsite of hazardous substances, or may other-
wise be necessary to protect the public health or
welfare; the term includes offsite transport and
offsite storage, treatment, destruction, or secure
disposition of hazardous substances and associat-
ed contaminated materials.
(25) The term "respond" or "response" means
remove, removal, remedy, and remedial action, all
such terms (including the terms "removal" and
"remedial action") include enforcement activities
related thereto.
(26) The term "transport" or "transportation"
means the movement of a hazardous substance by
any mode, including pipeline (as defined in the
Pipeline Safety Act), and in the case of a hazard-
ous substance which has been accepted for trans-
portation by a common or contract carrier, the
term "transport" or "transportation" shall include
any stoppage in transit which is temporary, inci-
dental to the transportation movement, and at the
ordinary operating convenience of a common or
contract carrier, and any such stoppage shall be
considered as a continuity of movement and not
as the storage of a hazardous substance.
(27) The terms "United States" and "State"
include the several States, of the Unites States,
the District of Columbia, the Commonwealth of
Puerto Rico, Guam, American Samoa, the United
States Virgin Islands, the Commonwealth of the
Northern Marianas, and any other territory or
possession over which the United States has juris-
diction.
(28) The term "vessel" means every description
of watercraft or other artificial contrivance used,
or capable of being used, as a means of transpor-
tation on water.
(29) The terms "disposal", "hazardous waste",
and "treatment" shall have the meaning provided
in section 1004 of the Solid Waste Disposal Act
[42 U.S.C. 6903].
(30) The terms "territorial sea" and "contig-
uous zone" shall have the meaning provided in
section 1362 of Title 33.
(31) The term "national contingency plan"
means the national contingency plan published
under section 1321(c) of Title 33 or revised pursu-
ant to section 9605 of this title.
(32) The term "liable" or "liability" under this
subchapter shall be construed to be the standard
of liability which obtains under section 1321 of
Title 33.
(33) The term "pollutant or contaminant" shall
include, but not be limited to, any element, sub-
stance, compound, or mixture, including disease-
causing agents, which after release into the envi-
ronment and upon exposure, ingestion, inhalation;
or assimilation into any organism, either directly
from the environment or indirectly by ingestion
through food chains, will or may reasonably be
anticipated to cause death, disease, behavioral
abnormalities, cancer, genetic mutation, physio-
logical malfunctions (including malfunctions in re-
production) or physical deformations, in such or-
ganisms or their offspring; except that the term
"pollutant or contaminant" shall not include pe-
troleum, including crude oil or any fraction there-
of which is not otherwise specifically listed or
designated as a hazardous substance under sub-
paragraphs (A) through (F) of paragraph (14) and
shall not include natural gas, liquefied natural
gas, or synthetic gas of pipeline quality (or mix-
tures of natural gas and such synthetic gas).
(34) The term "alternative water supplies" in-
cludes, but is not limited to, drinking water and
household water supplies.
(35)(A) The term "contractual relationship",
for the purpose of section 9607(b)(3) of this title
includes, but is not limited to, land contracts,
deeds or other instruments transferring title or
possession, unless the real property on which the
facility concerned is located was acquired by the
defendant after the disposal or placement of the
hazardous substance on, in, or at the facility, and
one or more of the circumstances described in
clause (i), (ii), or (iii) is also established by the
defendant by a preponderance of the evidence:
475
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42 § 9601
FEDERAL ENVIRONMENTAL I.AW
(i) At the time the defendant acquired the
facility the defendant did not know and had no
reason to know that any hazardous substance
which is the subject of the release or threat-
ened release was disposed of on, in, or at the
facility.
(ii) The defendant is a government entity
which acquired the facility by escheat, or
through any other involuntary transfer or ac-
quisition, or through the exercise of eminent
domain authority by purchase or condemnation.
(Hi) The defendant acquired the facility by
inheritance or bequest.
In addition to establishing the foregoing, the de-
fendant must establish that he has satisfied the
requirements of section 9607(b)(3)(a) and (b) of this
title.
(B) To establish that the defendant had no
reason to know, as provided in clause (i) of sub-
paragraph (A) of this paragraph, the defendant
must have undertaken, at the time of acquisition,
all appropriate inquiry into the previous owner-
ship and uses of the property consistent with
good commercial or customary practice in an ef-
fort to minimize liability. For purposes of the
preceding sentence the court shall take into ac-
count any specialized knowledge or experience on
the part of the defendant, the relationship of the
purchase price to the value of the property if
uncontaminated, commonly known or reasonably
ascertainable information about the property, the
obviousness of the presence or likely presence of
contamination at the property, and the ability to
detect such contamination by appropriate inspec-
tion.
(C) Nothing in this paragraph or in section
9607(b)(3) of this title shall diminish the liability of
any previous owner or operator of such facility
who would otherwise be liable under this chapter.
Notwithstanding this paragraph, if the defendant
obtained actual knowledge of the release or
threatened release of a hazardous substance at
such facility when the defendant owned the real
property and then subsequently transferred own-
ership of the property to another person without
disclosing such knowledge, such defendant shall
be treated as liable under section 9607(a)(l) of this
title and no defense under section 9607(b)(3) of
this title shall be available to such defendant.
(D) Nothing in this paragraph shall affect the
liability under this chapter of a defendant who, by
any act or omission, caused or contributed to the
release or threatened release of a hazardous sub-
stance which is the subject of the action relating
to the facility.
(36) The term "Indian tribe" means any Indian
tribe, band, nation, or other organized group or
community, including any Alaska Native village
but not including any Alaska Native regional or
village corporation, which is recognized as eligible
for the special programs and services provided by
the United States to Indians because of their
status as Indians.
(37)(A) The term "service station dealer"
means any person—
(i) who owns or operates a motor vehicle
service station, filling station, garage, or sim-
ilar retail establishment engaged in the busi-
ness of selling, repairing, or servicing motor
vehicles, where a significant percentage of the
gross revenue of the establishment is derived
from the fueling, repairing, or servicing of mo-
tor vehicles, and
(ii) who accepts for collection, accumulation,
and delivery to an oil recycling facility, recycled
oil that (I) has been removed from the engine of
a light duty motor vehicle or household appli-
ances by the owner of such vehicle or appli-
ances, and (II) is presented, by such owner, to
such person for collection, accumulation, and
delivery to an oil recycling facility.
(B) For purposes of section 9614(c) of this title
the term "service station dealer" shall, notwith-
standing the provisions of subparagraph (A), in-
clude any government agency that establishes a
facility solely for the purpose of accepting recy-
cled oil that satisfies the criteria set forth in
subclauses (I) and (II) of subparagraph (A)(ii),
and, with respect to recycled oil that satisfies the
criteria set forth in subclauses (I) and (II), owners
or operators of refuse collection services who are
compelled by State law to collect, accumulate, and
deliver such oil to an oil recycling facility.
(C) The President shall promulgate regulations
regarding the determination of what constitutes a
significant percentage of the gross revenues of
an establishment for purposes of this paragraph.
(38) The term "incineration vessel" means any
vessel which carries hazardous substances for the
purpose of incineration of such substances, so
long as such substances or residues of such sub-
stances are on board.
(Dec. 11, 1980, Pub.L. 96-510, Title I, § 101, 94 Stat. 2767;
Dec. 22, 1980, Pub.L. 96-561, Title II, § 238(b), 94 Stat
3300: as amended Oct. 17, 1986, Pub.L. 99-499, Title I,
§§ 101. 114(b), 127(a), Title V, § 517(c)(2), 100 Stat 1615,
1652, 1692, 1774.)
l So in original. Probably should be "or".
2 So in original. Probably should be "necessarily".
476
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ENVIRONMENTAL RESPONSE, ETC.
42 §9604
(e) Applicability to registered pesticide product
This section shall not apply to the application of a
pesticide product registered under the Federal In-
secticide, Fungicide, and Rodenticide Act [7 U.S.C.
136 et seq.] or to the handling and storage of such a
pesticide product by an agricultural producer.
(f) Exemptions from notice and penalty provisions for
substances reported under other Federal law or is
in continuous release, etc.
No notification shall be required under subsection
(a) or (b) of this section for any release of a hazard-
ous substance—
(1) which is required to be reported (or specifi-
cally exempted from a requirement for reporting)
under subtitle C of the Solid Waste Disposal Act
[42 U.S.C. 6921 et seq.] or regulations thereunder
and which has been reported to the National
Response Center, or
(2) which is a continuous release, stable in
quantity and rate, and is—
(A) from a facility for which notification has
been given under subsection (c) of this section,
or
(B) a release of which notification has been
given under subsections (a) and (b) of this sec-
tion for a period sufficient to establish the
continuity, quantity, and regularity of such re-
lease:
Provided, That notification in accordance with
subsections (a) and (b) of this paragraph shall be
given for releases subject to this paragraph annu-
ally, or at such time as there is any statistically
significant increase in the quantity of any hazard-
ous substance or constituent thereof released,
above that previously reported or occurring.
(Dec. 11, 1980, Pub.L. 96-510, Title I, § 103, 94 Stat. 2772;
Dec. 22, 1980, Pub.L. 96-561, Title II, § 238(b), 94 Stat.
3300; as amended Oct. 17, 1986, Pub.L. 99-499, Title I,
§§ 103, 109(a)(l), (2), 100 Stat. 1617, 1632, 1633.)
Library References
Health and Environment «=25.5(10), 25.6(3), (9), 25.7(3), (24).
CJ.S. Health and Environment §§ 92, 103 et seq., 106, 113 et
seq.
§ 9604. Response authorities
(a) Removal and other remedial action by President:
applicability of national contingency plan; re-
sponse by potentially responsible parties; public
health threats; limitations on response: exception
(1) Whenever (A) any hazardous substance is re-
leased or there is a substantial threat of such a
release into the environment, or (B) there is a re-
lease or substantial threat of release into the envi-
ronment of any pollutant or contaminant which may
present an imminent and substantial danger to the
public health or welfare, the President is authorized
to act, consistent with the national contingency
plan, to remove or arrange for the removal of, and
provide for remedial action relating to such hazard-
ous substance, pollutant, or contaminant at any
time (including its removal from any contaminated
natural resource), or take any other response mea-
sure consistent with the national contingency plan
which the President deems necessary to protect the
public health or welfare or the environment. When
the President determines that such action will be
done properly and promptly by the owner or opera-
tor of the facility or vessel or by any other respon-
sible party, the President may allow such person to
carry out the action, conduct the remedial investiga-
tion, or conduct the feasibility study in accordance
with section 9622 of this title. No remedial investi-
gation or feasibility study (RI/FS) shall be autho-
rized except on a determination by the President
that the party is qualified to conduct the RI/FS and
only if the President contracts with or arranges for
a qualified person to assist the President in oversee-
ing and reviewing the conduct of such RI/FS and if
the responsible party agrees to reimburse the Fund
for any cost incurred by the President under, or in
connection with, the oversight contract or arrange-
ment. In no event shall a potentially responsible
party be subject to a lesser standard of liability,
receive preferential treatment, or in any other way,
whether direct or indirect, benefit from any such
arrangements as a response action contractor, or as
a person hired or retained by such a response action
contractor, with respect to the release or facility in
question. The President shall give primary atten-
tion to those releases which the President deems
may present a public health threat.
(2) Removal action
Any removal action undertaken by the Presi-
dent under this subsection (or by any other per-
son referred to in section 9622 of this title)
should, to the extent the President deems practi-
cable, contribute to the efficient performance of
any long term remedial action with respect to the
release or threatened release concerned.
(3) Limitations on response
The President shall not provide for a removal or
remedial action under this section in response to a
release or threat of release—
(A) of a naturally occurring substance in its
unaltered form, or altered solely through natural-
ly occurring processes or phenomena, from a loca-
tion where it is naturally found;
(B) from products which are part of the struc-
ture of, and result in exposure within, residential
buildings or business or community structures;
479
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42 § 9604
FEDERAL ENVIRONMENTAL LAW
(C) into public or private drinking water sup-
plies due to deterioration of the system through
ordinary use.
(4) Exception to limitations
Notwithstanding paragraph (3) of this subsec-
tion, to the extent authorized by this section, the
President may respond to any release or threat of
release if in the President's discretion, it consti-
tutes a public health or environmental emergency
and no other person with the authority and capa-
bility to respond to the emergency will do so in a
timely manner.
(b) Investigations, monitoring, etc., by President
(1) Information; studies and investigations
Whenever the President is authorized to act
pursuant to subsection (a) of this section, or
whenever the President has reason to believe that
a release has occurred or is about to occur, or
that illness, disease, or complaints thereof may be
attributable to exposure to a hazardous sub-
stance, pollutant, or contaminant and that a re-
lease may have occurred or be occurring, he may
undertake such investigations, monitoring, sur-
veys, testing, and other information gathering as
he may deem necessary or appropriate to identify
the existence and extent of the release or threat
thereof, the source and nature of the hazardous
substances, pollutants or contaminants involved,
and the extent of danger to the public health or
welfare or to the environment. In addition, the
President may undertake such planning, legal,
fiscal, economic, engineering, architectural, and
other studies or investigations as he may deem
necessary or appropriate to plan and direct re-
sponse actions, to recover the costs thereof, and
to enforce the provisions of this chapter.
(2) Coordination of investigations
The President shall promptly notify the appro-
priate Federal and State natural resource trustees
of potential damages to natural resources result-
ing from releases under investigation pursuant to
this section and shall seek to coordinate the as-
sessments, investigations, and planning under
this section with such Federal and State trustees.
(c) Criteria for continuance of obligations from Fund
over specified amount for response actions; con-
sultation by President with affected States; con-
tracts or cooperative agreements by States with
President prior to remedial actions; cost-sharing
agreements; selection by President of remedial
actions; State credits: granting of credit, expenses
before listing or agreement, response actions be-
tween 1978 and 1980. State expenses after Decem-
ber 11, 1980, in excess of 10 percent of costs,
item-by-item approval, use of credits; operation
and maintenance; limitation on source of funds
for O&M; recontracting; siting
(1) Unless (A) the President finds that (i) contin-
ued response actions are immediately required to
prevent, limit, or mitigate an emergency, (ii) there is
an immediate risk to public health or welfare or the
environment, and (iii) such assistance will not other-
wise be provided on a timely basis, or (B) the
President has determined the appropriate remedial
actions pursuant to paragraph (2) of this subsection
and the State or States in which the source of the
release is located have complied with the require-
ments of paragraph (3) of this subsection, or (C)
continued response action is otherwise appropriate
and consistent with the remedial action to be taken '
obligations from the Fund, other than those autho-
rized by subsection (b) of this section, shall not
continue after $2,000,000 has been obligated for
response actions or 12 months has elapsed from the
date of initial response to a release or threatened
release of hazardous substances.
(2) The President shall consult with the affected
State or States before determining any appropriate
remedial action to be taken pursuant to the authori-
ty granted under subsection (a) of this section.
(3) The President shall not provide any remedial
actions pursuant to this section unless the State in
which the release occurs first enters into a contract
or cooperative agreement with the President provid-
ing assurances deemed adequate by the President
that (A) the State will assure all future maintenance
of the removal and remedial actions provided for the
expected life of such actions as determined by the
President; (B) the State will assure the availability
of a hazardous waste disposal facility acceptable to
the President and in compliance with the require-
ments of subtitle C of the Solid Waste Disposal Act
[42 U.S.C.A. § 6921 et seq.] for any necessary off-
site storage, destruction, treatment, or secure dispo-
sition of the hazardous substances; and (C) the
State will pay or assure payment of (i) 10 per
centum of the costs of the remedial action, including
all future maintenance, or (ii) 50 percent (or such
greater amount as the President may determine
appropriate, taking into account the degree of re-
sponsibility, of the State or political subdivision for
the release) of any sums expended in response to a
release at a facility, that was operated by the State
or a political subdivision thereof, either directly or
through a contractual relationship or otherwise, at
the time of any disposal of hazardous substances
therein. For the purpose of clause (ii) of this sub-
paragraph, the term "facility" does not include navi-
gable waters or the beds underlying those waters.
The President shall grant the State a credit against
the share of the costs for which it is responsible
under this paragraph for any documented direct
out-of-pocket non-Federal funds expended or obli-
gated by the State or a political subdivision thereof
after January 1, 1978, and before December 11,
1980, for cost-eligible response actions and claims
480
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ENVIRONMENTAL RESPONSE, ETC.
42 § 9604
vene in any civil action involving the enforcement of
such contract or subcontract.
(4) Where two or more noncontiguous facilities
are reasonably related on the basis of geography, or
on the basis of the threat, or potential threat to the
public health or welfare or the environment, the
President may, in his discretion, treat these related
facilities as one for purposes of this section.
(e>-Information gathering and access; action autho-
rized, access to information, entry, inspection and
samples; authority and samples, compliance or-
ders; issuance and compliance, other authority,
confidentiality of information; basis for withhold-
in?
(1) Action authorized
Any officer, employee, or representative of the
President, duly designated by the President, is
authorized to take action under paragraph (2), (3),
or (4) (or any combination thereof) at a vessel,
facility, establishment, place, property, or location
or, in the case of paragraph (3) or (4), at any
vessel, facility, establishment, place, property, or
location which is adjacent to the vessel, facility,
establishment, place, property, or location re-
ferred to in such paragraph (3) or (4). Any duly
designated officer, employee, or representative of
a State or political subdivision under a contract or
cooperative agreement under subsection (d)(l) of
this section is also authorized to take such action.
The authority of paragraphs (3) and (4) may be
exercised only if there is a reasonable basis to
believe there may be a release or threat of release
of a hazardous substance or pollutant or contami-
nant. The authority of this subsection may be
exercised only for the purposes of determining
the need for response, or choosing or taking any
response action under this subchapter, or other-
wise enforcing the provisions of this subchapter.
(2) Access to information
Any officer, employee, or representative de-
scribed in paragraph (1) may require any person
who has or may have information relevant to any
of the following to furnish, upon reasonable no-
tice, information or documents relating to such
matter:
(A) The identification, nature, and quantity
of materials which have been or are generated,
treated, stored, or disposed of at a vessel or
facility or transported to a vessel or facility.
(B) The nature or extent of a release or
threatened release of a hazardous substance or
pollutant or contaminant at or from a vessel or
facility.
(C) Information relating to the ability of a
person to pay for or to perform a cleanup.
In addition, upon reasonable notice, such person
either (i) shall grant any such officer, employee, or
representative access at all reasonable times to any
vessel, facility, establishment, place, property, or
location to inspect and copy all documents or
records relating to such matters or (ii) shall copy
and furnish to the officer, employee, or representa-
tive all such documents or records, at the option and
expense of such person.
(3) Entry
Any officer, employee, or representative de-
scribed in paragraph (1) is authorized to enter at
reasonable times any of the following:
(A) Any vessel, facility, establishment, or
other place or property where any hazardous
substance or pollutant or contaminant may be
or has been generated, stored, treated, disposed
of, or transported from.
(B) Any vessel, facility, establishment, or
other place or property from which or to which
a hazardous substance or pollutant or contami-
nant has been or may have been released.
(C) Any vessel, facility, establishment, or
other place or property where such release is or
may be threatened.
(D) Any vessel, facility, establishment, or
other place or property where entry is needed
to determine the need for response or the ap-
propriate response or to effectuate a response
action under this subchapter.
(4) Inspection and samples
(A) Authority
Any officer, employee or representative de-
scribed in paragraph (1) is authorized to inspect
and obtain samples from any vessel, facility,
establishment, or other place or property re-
ferred to in paragraph (3) or from any location
of any suspected hazardous substance or pollu-
tant or contaminant. Any such officer, employ-
ee, or representative is authorized to inspect
and obtain samples of any containers or label-
ing for suspected hazardous substances or pol-
lutants or contaminants. Each such inspection
shall be completed with reasonable promptness,
(B) Samples
If the officer, employee, or representative
obtains any samples, before leaving the premis-
es he shall give to the owner, operator, tenant,
or other person in charge of the place from
which the samples were obtained a receipt de-
scribing the sample obtained and, if requested,
a portion of each such sample. A copy of the
rpsnlts of any analysis made of such samples
shall be furnished promptly to the owner, oper-
483
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42 § 9604
FEDERAL ENVIRONMENTAL LAW
ator, tenant, or other person in charge, if such
person can be located.
(5) Compliance orders
(A) Issuance
If consent is not granted regarding any re-
quest made by an officer, employee, or repre-
sentative under paragraph (2), (3), or (4), the
President may issue an order directing compli-
ance with the request. The order may be is-
sued after such notice and opportunity for con-
sultation as is reasonably appropriate under the
circumstances.
(B) Compliance
The President may ask the Attorney General
to commence a civil action to compel compliance
with a request or order referred to in subpara-
graph (A). Where there is a reasonable basis
to believe there may be a release or threat of a
release of a hazardous substance or pollutant
or contaminant, the court shall take the follow-
ing actions:
(i) In the case of interference with entry
or inspection, the court shall enjoin such in-
terference or direct compliance with orders to
prohibit interference with entry or inspection
unless under the circumstances of the case
the demand for entry or inspection is arbi-
trary and capricious, an abuse of discretion,
or otherwise not in accordance with law.
(ii) In the case of information or document
requests or orders, the court shall enjoin in-
terference with such information or doc-
ument requests or orders or direct compli-
ance with the requests or orders to provide
such information or documents unless under
the circumstances of the case the demand for
information or documents is arbitrary and
capricious, an abuse of discretion, or other-
wise not in accordance with law.
The court may assess a civil penalty not to exceed
$25,000 for each day of noncompliance against any
person who unreasonably fails to comply with the
provisions of paragraph (2), (3), or (4) or an order
issued pursuant to subparagraph (A) of this para-
graph.
(6) Other authority
Nothing in this subsection shall preclude the
President from securing access or obtaining infor-
mation in any other lawful manner.
(7) Confidentiality of information
(A) Any records, reports, or information ob-
tained from any person under this section (includ-
ing records, reports, or information obtained by
representatives of the President) shall be avail-
able to the public, except that upon a showing
satisfactory to the President (or the State, as the
case may be) by any person that records, reports,
or information, or particular part thereof (other
than health or safety effects data), to which the
President (or the State, as the case may be) or
any officer, employee, or representative has ac-
cess under this section if made public would di-
vulge information entitled to protection under sec-
tion 1905 of Title 18, such information or particu-
lar portion thereof shall be considered confiden-
tial in accordance with the purposes of that sec-
tion, except that such record, report, document or
information may be disclosed to other officers,
employees, or authorized representatives of the
United States concerned with carrying out this
chapter, or when relevant in any proceeding un-
der this chapter.
(B) Any person not subject to the provisions of
section 1905 of Title 18 who knowingly and will-
fully divulges or discloses any information enti-
tled to protection under this subsection shall,
upon conviction, be subject to a fine of not more
than $5,000 or to imprisonment not to exceed one
year, or both.
(C) In submitting data under this chapter, a
person required to provide such data may (i) des-
ignate the data which such person believes is
entitled to protection under this subsection and (ii)
submit such designated data separately from oth-
er data submitted under this chapter. A designa-
tion under this paragraph shall be made in writ-
ing and in such manner as the President may
prescribe by regulation.
(D) Notwithstanding any limitation contained
in this section or any other provision of law, all
information reported to or otherwise obtained by
the President (or any representative of the Presi-
dent) under this chapter shall be made available,
upon written request of any duly authorized com-
mittee of the Congress, to such committee.
(E) No person required to provide information
under this chapter may claim that the information
is entitled to protection under this paragraph un-
less such person shows each of the following:
(i) Such person has not disclosed the infor-
mation to any other person, other than a mem-
ber of a local emergency planning committee
established under title III of the Amendments
and Reauthorization Act of 1986 [42 U.S.C.A.
§ 11001 et seq.], an officer or employee of the
United States or a State or local government,
an employee of such person, or a person who is
bound by a confidentiality agreement, and such
484
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ENVIRONMENTAL RESPONSE, ETC.
42 § 9604
person has taken reasonable measures to pro-
tect the confidentiality of such information and
intends to continue to take such measures.
(ii) The information is not required to be
disclosed, or otherwise made available, to the
public under any other Federal or State law.
(iii) Disclosure of the information is likely to
cause substantial harm to the competitive posi-
tion of such person.
(iv) The specific chemical identity, if sought
to be protected, is not readily discoverable
through reverse engineering.
(F) The following information with respect to
any hazardous substance at the facility or vessel
shall not be entitled to protection under this para-
graph:
(i) The trade name, common name, or gener-
ic class or category of the hazardous substance.
(ii) The physical properties of the substance,
including its boiling point, melting point, flash
point, specific gravity, vapor density, solubility
in water, and vapor pressure at 20 degrees
Celsius.
(iii) The hazards to health and the environ-
ment posed by the substance, including physical
hazards (such as explosion) and potential acute
and chronic health hazards.
(iv) The potential routes of human exposure
to the substance at the facility, establishment,
place, or property being investigated, entered,
or inspected under this subsection.
(v) The location of disposal of any waste
stream.
(vi) Any monitoring data or analysis of moni-
toring data pertaining to disposal activities.
(vii) Any hydrogeologic or geologic data.
(viii) Any groundwater monitoring data.
(f) Contracts for response action; compliance with Fed-
eral health and safety standards
In awarding contracts to any person engaged in
response actions, the President or the State, in any
case where it is awarding contracts pursuant to a
contract entered into under subsection (d) of this
section, shall require compliance with Federal
health and safety standards established under sec-
tion 9651(f) of this title by contractors and subcon-
tractors as a condition of such contracts.
(g) Rates for wages and labor standards applicable to
covered work
(1) All laborers and mechanics employed by con-
tractors or subcontractors in the performance of
construction, repair, or alteration work funded in
whole or in part under this section shall be paid
wages at rates not less than those prevailing on
projects of a character similar in the locality as
determined by the Secretary of Labor in accordance
with the Davis-Bacon Act [40 U.S.C. 276a et seq.].
The President shall not approve any such funding
without first obtaining adequate assurance that re-
quired labor standards will be maintained upon the
construction work.
(2) The Secretary of Labor shall have, with re-
spect to the labor standards specified in paragraph
(1), the authority and functions set forth in Reorga-
nization Plan Numbered 14 of 1950 (15 F.R. 3176;
64 Stat. 1267) and section 276c of Title 40.
(h) Emergency procurement powers; exercise by Presi-
dent
Notwithstanding any other provision of law, sub-
ject to the provisions of section 9611 of this title, the
President may authorize the use of such emergency
procurement powers as he deems necessary to ef-
fect the purpose of this chapter. Upon determina-
tion that such procedures are necessary, the Presi-
dent shall promulgate regulations prescribing the
circumstances under which such authority shall be
used and the procedures governing the use of such
authority.
(i) Agency for Toxic Substances and Disease Registry;
establishment, functions, etc.
(1) There is hereby established within the Public
Health Service an agency, to be known as the
Agency for Toxic Substances and Disease Registry,
which shall report directly to the Surgeon General
of the United States. The Administrator of said
Agency shall, with the cooperation of the Adminis-
trator of the Environmental Protection Agency, the
Commissioner of the Food and Drug Administra-
tion, the Directors of the National Institute of Medi-
cine, National Institute of Environmental Health
Sciences, National Institute of Occupational Safety
and Health, Centers for Disease Control, the Admin-
istrator of the Occupational Safety and Health Ad-
ministration, the Administrator of the Social Securi-
ty Administration, the Secretary of Transportation,
and appropriate State and local health officials, ef-
fectuate and implement the health related authori-
ties of this chapter. In addition, said Administrator
shall—
(A) in cooperation with the States, establish
and maintain a national registry of serious dis-
eases and illnesses and a national registry of
persons exposed to toxic substances;
(B) establish and maintain inventory of litera-
ture, research, and studies on the health effects
of toxic substances;
(C) in cooperation with the States, and other
agencies of the Federal Government, establish
485
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ENVIRONMENTAL RESPONSE, ETC.
health or the environment posed by the release
of such hazardous constituents at such facility.
This subparagraph refers only to available in-
formation on actual concentrations of hazard-
ous substances and not on the total quantity of
special study waste at such facility.
(3) Sovingo provioiono
Nothing in this subsection shall be construed to
limit the authority of the President to remove any
facility which as of October 17, 1986 is included
on the National Priorities List from such list, or
not to list any facility which as of such date is
proposed for inclusion on such list
U> Information gathering and aaaJyolo
Nothing in this chapter shall be construed to
preclude the expenditure of monies from the
Fund for gathering and analysis of information
which will enable the Presidentf^to consider the
specific factors required by paragraph (2).
(Dec. 11. 1980, Pub.L. 96-510. Title I, § 105. 94 Stat. 2T79,
as amended Oct. 17, 1986. Pub.L 99-S99, Title I. § 105,
100 Stat. 1625.)
Code of Federal
Oil and hagardoua oubotanceo polluuoa coatingcaey plan. oca 40
CFR 300.1 et seq.
Health and Environment c^ZS.S, 25.7.
C J.S. Health and Environment 00 91 ot osq.. 103 at ocq.
(a)
oH, ebe.
In addition to any other action taken by a Stats or
local government, when the President determines
that there may be an imminent and substantial
endangerment to the public health or welfare or the
environment because. of sa actual or threatened
release of a hasardoua subotaacQ from a facility, he
may require the Attorney Geaeml of the United
States to secure such relief as may be BGeooeary to
abate such danger or threat, aad tho diasiet court
of the United Stated in the diotetefc ia whkh the
threat occurs shall have jurisdig&oa to g?aat such
relief as the publis iatereofe aa^l fc&o equities of the
case may reqesro. The PreoidQ®6 may oloo, after
notice to the afficste^ S8Sa, toko other ae&oa under
this seetioa iagfe&g, but aofc limited 60, issuing
such ordero ao Esoy be neesooas^ to prated public
health and welfefQ aad the eavipoameat
(fe) Flraoa:
(!) Any parson who, without ouffieaat cause,
willfully violates, or fails or rafucsa to eoraply with,
any order of the President under ouboGe&oa (a) of
thio section may, in an aetioa brought ia tho apppc-
priate United Stateo dio&kt eouxt to aafoiree ouch
order, be fined not more than §25,000 for each day
in which such violation occurs or such failure to
comply continues.
(2)(A) Any person who receives and complies
with the terms of any order issued under subsection
(a) of this section may, within 60 days after comple-
tion of the required action, petition the President
for reimbursement from the Fund for the reason-
able costs of such action, plus interest. Any inter-
est payable under this paragraph shall accrue on
the amounts expanded from the data of expenditure
at the same rata as specified for interest on invest-
ments of the Hazardous Substance Suparfund es-
tablished under subchapter A of chapter 98 of Title
26.
If the President refuses to grant all or part
of a petition made under this paragraph, the peti-
tioner may within 30 days of receipt of such refusal
file an action against the President in the appropri-
ate United States district court seeking reimburse-
ment from the Fund.
(C) Except as provided in subparagraph (D), to
obtain reimbursement, the petitioner shall establish
by a preponderance of the evidence that it is no?
liable for response costs under section §§G7(a) of
this title and that costs for which it seeks reim-
bursement are reasonable in. light of the actioa
required by the relevant order.
(D) A petitioner who is liable for response costs
under section 8W7(a) of this title may also recover
its reasonable ccato of response to the extent that it
can demonstrate, on the administrative record, that
the President's decision in selecting the response
action ordered was arbitrary and capricious or was
otherwise not in accordance with law. Reimburse-
ment awarded under this subparagraph shall in-
clude all reasonable response cooto incurred by the
petitioner pursuaat to the poF^oas of tho ordor
found to be arbiteary and capricious OP othQSvrioa
not in accordance with law.
(E) Reimbursement awarded by a court uader
subparagraph (C) OP (D) may iadudo appi?opmte
coots, fees, aad othe? expeaseo ia aceopdoaes with
subsections (a) and (d) of see&oa 2412 of Tftta !S3.
UCK? ssotoo
(e)
by Adnlataapotes' ©tf EiPA. csspa,
Within one huadred aad eighsy dayo after Decem-
ber 11, 1980, tho AdmiaksGtitoE' of the Eawoamoa-
tal Protectioa Ageaey ohall, aftee eoaoultej&os with
'die Attoraey General, egtabliah aad pubfafe gyido
lines for usiag .tho imaiiaoat hak^d, eaforesmeat,
and emergency reopoaco autfeoritieo of thks csetioa
and other eaotiag statuteo admiaJatefod by tho
Administrator of the EavfeoameaeJ Pfatse^oa
Agency to effectaate the reopoasibilMK! aad pou-
493
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Attachment 3
Model Site Safety Plan for Chemical Safety Audits
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SITE SAFETY PLAN FOR
CHEMICAL SAFETY AUDITS
The OSHA Hazardous Waste Site Worker Standards (29 CFR 1910.120), the
EPA Safety Manual, Chapter 9, and other EPA protocols require certain safety
planning efforts prior to field activities. The following format is aligned with
these requirements. Extensive training and certifications, and further planning
in the form of a more extensive Site Safety Plan, may be required in addition to
the following plan.
PROJECT:
Project Coordinator: Date:
Branch Chief: Date:
On Scene Coordinator or
Supervisor: Date:
Health and Safety Manager
Approval: Date:
DESCRIPTION OF ACTIVITY
If any of the following information is unavailable, mark "UA"; if covered in
project plan, mark "PP."
Site Name:
Location and approximate .size:
Description of the response activity and/or the job tasks to be performed:
Duration of the Planned Employee Activity:
Proposed Date of Beginning the Investigation:
Site Topography:
Site Accessibility by Air and Roads:
-------
HAZARDOUS SUBSTANCES AND HEALTH HAZARDS INVOLVED OR
SUSPECTED AT THE SITE
Fill in any information that is known or suspected
Chemical and Identity of Substance
Areas of Concern Physical Properties and Precautions
Explosivity:
Radioactivity:
Oxygen Deficiency:
(e.g., Confined Spaces)
Toxic Gases:
Skin/Eye Contact
Hazards:
Heat Stress:
Pathways from site for hazardous substance dispersion: _
WORK PLAN INSTRUCTIONS
A. Recommended Level of Protection: A B
Cartridge Type, if Level C:
-------
Additional Safety Clothing/Equipment:
Monitoring Equipment to be Used:
CONTRACTOR PERSONNEL:
Number of Skills:
CONTRACTOR SAFETY CLOTHING/EQUIPMENT REQUIRED:
Have contractors received OSHA required training and certification?
(29CFR 1910.120)
(If "yes," copy of training certificate(s) must be obtained from contractor)
B. Field Investigation and Decontamination Procedures:
Decontamination Procedures (contaminated protective clothing, instruments,
equipment, etc.):
-------
Disposal Procedures (contaminated equipment, supplies, disposal items, wash-
water, etc.):
EMERGENCY CONTACTS
Hospital Phone No.:
Hospital Location:
EMT/Ambulance Phone No.
Police Phone No.:
Fire Assistance Phone No.:
Regional Health and Safety Manager:
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Attachment 4
Sources of Information
Concerning Hazardous Substance Releases
The Accidental Release Information Program (ARIP). EPA established ARIP to promote safety
initiatives by industry and to develop a national database on the causes of chemical accidents, but
more importantly, to identify methods used to prevent recurrences. The data collected in ARIP are
derived from questionnaires completed by selected facilities that have reported releases to the
National Response Center (NRC), as required by law.
Facilities selected to receive an ARIP questionnaire have experienced a "triggered" release
exhibiting one or more of the following characteristics:
Release quantities in excess of a multiple of the CERCLA reportable quantity for the
chemical involved;
Releases resulting in deaths or injuries;
Releases that are part of a trend of frequent releases from the same facility; or
Releases involving extremely hazardous substances designated under SARA Title III.
State Emergency Response Commissions (SERCs) and Local Emergency Planning Committees
(LEPCs) SERCs and LEPCs established under SARA Title III receive Section 304 reports detailing
accidental releases of hazardous chemicals (those listed under the OSHA Hazard Communication
Standard and CERCLA) and SERCs also received Section 313 reports recording annual releases,
routine and accidental, of hazardous substances by manufacturing facilities.
The National Response Center (NRC). The NRC receives notifications on accidental releases that
are subject to Reportable Quantity requirements of CERCLA. The NRC has been notified of
thousands of hazardous substance releases since 1978.
The Emergency Response Notification System (ERNS). ERNS is a recent effort of the Agency to
channel the state, regional, and NRC reports on releases of oil and hazardous substances into one
central database. ERNS is used by EPA for enforcement tracking and program management
purposes.
The Environmental Protection Agency (EPA). Both the national and regional offices of EPA receive
reports and notifications on accidental releases.
The Acute Hazardous Events Data Base (AHE/DB). Designed by EPA, AHE/DB collects a
representative sample of event reports from the above and other sources into a form that is more
convenient for gaining perspective on accidental releases and drawing policy conclusions. Developed
in 1985, it was recently updated and expanded to 6,300 records.
The Section 305(b) Report to Congress on Emergency Systems. Mandated by SARA Title III, the
report was a three-stage process. Information on certain facilities with completed questionnaires is
available. The report and backup information provide a good technical understanding for detecting,
monitoring and preventing releases, as well as for public alert.
-------
The Federal Emergency Management Agency (FEMA). FEMA keeps a record of all incidents
involving the participation of emergency management personnel.
The Occupation Safety and Health Administration (OSHA) and the National Institute of
Occupational Safety and Health (NIOSH). OSHA and NIOSH have records of accidents in the
workplace.
U.S. Coast Guard Marine Safety Offices (MSO). Local MSOs regularly conduct inspections of
waterfront facilities. These inspection reports are available from the respective MSO, and can
provide useful facility information.
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Attachment 5
Sample First Letter to Facility Owner/Operator
Dear (Facility Owner/Operator):
Through the records retained by the National Response Center pursuant to Section 103 (a)
of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as
amended (CERCLA), the U.S. Environmental Protection Agency has identified your facility as a site
where a reportable release of a CERCLA hazardous substance occurred. The EPA is currently
conducting chemical safety audits of particular facilities identified through the Section 103(a)
reporting system for the purpose of identifying technological and managerial mechanisms that might
be implemented to prevent future threatened releases harmful to human health and the environment.
The audit includes an on-site visit during which a review of equipment, procedures, training, and
management techniques is conducted to learn about prevention of accidental chemical releases.
Due to a report filed by the (facility name} under Section 103(a) of CERCLA, (facility name]
has been chosen as a potential candidate for an EPA chemical safety audit. The Agency is requesting
your cooperation in an audit of your facility under the authorities of Sections 104(b) and 104(e)
CERCLA, by (names and affiliation of audit team) on (date), or on a date convenient to you. Please
be assured that the audit team will make every effort to minimize any interference with your plant
operations during the actual safety audit.
If you wish to assert a business confidentiality claim for part or all of the information
collected, such a claim must accompany the information when it is received by EPA, or it may be
made available to the public without further notice to you. Information covered by a confidentiality
claim will be disclosed by EPA only to the extent, and by means of the procedures, set forth in EPA
regulations at 40 CFR Part 2. EPA has contracted with (contractor name and contract number) to
obtain information pertinent to conducting the safety audit. (Contractor name) has been designated
as an authorized representative of the Agency. Therefore, (contractor name) is subject to the
provisions of Section 104(e) of CERCLA respecting confidentiality of methods or processes entitled
to protection as trade secrets.
EPA would like to conduct this audit in a constructive and positive manner. The EPA solicits
your prompt response to the above request. If you have any questions about the audit or the
Chemical Safety Audit program, please contact (regional contact) for further information.
Sincerely,
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Attachment 6
Sample Letter to Facility Owner/Operator who has not Responded
or Consented to the Audit
Dear (Facility Owner/Operator):
Through the records retained by the National Response Center pursuant to Section 103 (a)
of the Comprehensive Environmental Response, Compensation and Liability Act of 1980, as amended
(CERCLA), the U.S. Environmental Protection Agency has identified your facility as a site where
a reportable release of a CERCLA hazardous substance occurred. The EPA is currently conducting
chemical safety audits of particular facilities identified through the Section 103 (a) reporting system
for the purpose of identifying technological and managerial mechanisms that might be implemented
to prevent future threatened releases harmful to human health and the environment. The (facility
name) has been chosen for a chemical safety audit due to its reportable release(s) of (CERCLA
hazardous substance (s)) on (date of release). The audit includes an on-site visit in which a review of
equipment, procedures, training and management techniques is conducted to learn about prevention
of accidental chemical releases. We wish to assure you that we will make every effort to minimize
any interference with your plant operations during the course of the audit.
On (date) EPA sent you a letter requesting your voluntary cooperation in a chemical safety
audit of your facility. [The Agency has not received a reply to that request.] [(By letter dated
,) (/Through a telephone conversation on ,) you indicated that you will not
extend your voluntary cooperation to an audit of your facility.] You should be aware that Sections
104(b) and 104(e)(4)(A) of CERCLA specifically give EPA the right to access private property where
there is a reasonable basis to believe that there has been or may be a release or threat of release of
a hazardous substance or pollutant or contaminant. Failure to grant such access within days
of receipt of this letter, or adequately to justify such failure to grant such access, can result in EPA
enforcing an order requesting entry pursuant to Section 104(e)(5) by seeking a warrant and/or
penalties for noncompliance with the entry order. Section 104(e)(5)(B) of CERCLA permits EPA
to seek the imposition of up to twenty-five thousand dollars ($25,000) for each day that you fail to
grant access to EPA. Please be further advised that provision of false, fictitious, or fraudulent
statements or representations may subject you to criminal penalties under 18 U.S.C. Section 1001.
If you wish to assert a business confidentiality claim for part or all of the information
collected, such a claim must accompany the information when it is received by EPA, or it may be
made available to the public without further notice to you. Information covered by a
confidentiality claim will be disclosed by EPA only to the extent and by means of the procedures set
forth in EPA regulations at 40 CFR Part 2. EPA has contracted with (contractor name and contract
number) to obtain information pertinent to conducting the safety audit. (Contractor name) has been
designated as an authorized representative of the Agency. Therefore, (contractor name) is subject
to the provisions of Section 104(e) of CERCLA respecting confidentiality of methods or processes
entitled to protection as trade secrets.
-------
Due to the legal ramifications of your failure to grant access, EPA strongly encourages you
to give this matter your immediate attention and further consideration within the time specified. If
you have any legal or technical questions relating to this matter, you may consult with the EPA prior
to the time specified above. Please direct legal questions to (Name of ORC Person) of the Office of
Regional Counsel at . Technical questions should be directed to (Name of Program
Person), at the above address, or at .
Sincerely,
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Attachment 7
Standard Report Disclaimer
The contents of this report reflect information concerning the (facility name) facility obtained
during a U.S. Environmental Protection Agency chemical safety audit and from records provided by
the (facility name) facility. The audit was conducted from (audit dates), and observations as presented
in this report provide a snapshot of conditions existing at the facility during the audit time frame.
They do not represent planned or anticipated changes proposed or on-going at the facility. The
recommendations and other report observations contained in this report are not mandatory actions
that the facility must implement. In addition, EPA makes no assurances that if implemented, the
recommendations and other report observations contained in this report will prevent future chemical
accidents, equipment failures, or unsafe management practices, and/or provide protection from a
future enforcement action under any applicable law or regulation.
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Attachment 8
Standard Language for Audit Report Introduction
The Chemical Safety Audit (CSA) program has evolved from the efforts of the U.S.
Environmental Protection Agency (EPA) under the Chemical Accident Prevention (CAP) program.
The primary objectives of the CAP program are to learn about the causes of accidental releases of
hazardous substances and the means to prevent such releases from occurring, to promote industry
initiatives in these areas, and to share activities with the community.
The Chemical Safety Audit program is part of this broad initiative, and has been designed to
accomplish the following chemical accident prevention goals:
Visit facilities handling hazardous substances to gather information on safety practices
and technologies;
Heighten awareness of the need for, and promote, chemical safety among facilities
handling hazardous substances, as well as in communities where chemicals are located;
Build cooperation among facilities, EPA, and other authorized parties by coordinating
joint audits; and
Establish a database for the assembly and distribution of chemical process safety
management information obtained from the facility audits.
The audit consists of interviews with facility personnel, and on-site review of various aspects
of facility operations related to the prevention of accidental chemical releases. CERCLA sections
104(b) and 104(e), as amended by SARA in 1986, provide authorities for entering a facility and
accessing information. Specific topics addressed include:
Awareness of chemical and process hazards;
Process characteristics;
Emergency planning and preparedness activities;
Hazard evaluation and release modelling efforts;
Release detection and monitoring techniques;
Training of operators and emergency response personnel;
Facility and corporate management structure;
Preventive maintenance and inspection programs; and
Community notification mechanisms and techniques.
-------
This report contains observations and conclusions and recommendations from an audit
conducted at (facility name, city, and state) from (audit dates'). This report identifies and characterizes
the strengths of specific chemical accident prevention program areas to allow the elements of
particularly effective programs to be recognized. Copies of the report are provided to the facility so
that weak and strong program areas may be recognized.
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Attachment 9
Documentation Pertaining to the Processes and
Operations Using Hazardous Substances
The issues contained in sections 6.2.1 and 6.2.2 of the CSA protocol, Overview of Processing
Steps and Operating Procedures and General Description of Process Equipment, will require members
of the audit team to review processing and operating information. The team should review facility
documentation on the equipment and operating procedures relevant to the audit. Before examining
current practices, the audit team may want to review available technical documentation supporting
the original selection of technology, process chemistry, equipment, and operating parameters for the
process(es) under study. Typical documentation available for current operations include Process Flow
Diagrams (PFDs) and Piping and Instrumentation Diagrams (PIDs). The following questions can
provide a framework for your evaluation of these documents:
Does the facility have documentation on the design and operating parameters of the
equipment and processes using the substance(s) of interest?
Is the documentation for the process(es) complete, accurate, and legible?
Are symbols used uniformly?
Are items such as the location and sizes of nozzles for connection of process lines,
utility tie-ins, relief devices, controls, drains, vents, and blinds included?
Do pieces of equipment have assigned numbers and are descriptions provided?
Are the equipment specifications and operating parameters (e.g., dimensions, capacity,
surface area, temperatures, pressures) specified?
Are equipment spares shown?
For piping, are the items such as rating, diameter, fluid flow direction, insulation and
tracing requirements, and sloping requirements for expansion shown?
For instrumentation, are items such as control parameter, indicating and recording
functions, transmitter, signal type, control valve size, and actuator type shown?
Other issues to keep in mind when examining process documentation include materials of
construction; electrical area classification; design of relief, safety, and ventilation systems; relevant
design codes and standards; and material and energy balances.
PIDs indicate whether or not the crucial operating parameters are being monitored in order
for the operator to be able to respond to upsets in a timely manner. Therefore, the team should
review a PID for the following concerns: monitoring of operating parameters, provisions for
automatic shutdown, presence of alarm systems, interlock systems, overpressure protection, disposal
method of relief stream, and similar information. The audit team may want to compare a portion of
the PID to the systems and equipment in existence at the facility to verify their accuracy.
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Attachment 10
Descriptions of Standard Operating Procedure Manuals
Section 7.2.1 of the CSA protocol, Standard Operating Procedures, lists several types of SOP
manuals that should be reviewed, as relevant, by the audit team. In general, the audit team should
consider whether existing facility SOPs are complete -- do they address initial and post-shutdown
startups, normal operations, temporary and emergency operations, normal and emergency shutdowns,
and maintenance. The following descriptions provide a summary of the type of information that
facility SOP manuals typically contain.
Supervisory Operating Manual
• Feed and product specifications;
PFDs; PIDs; MSDSs;
• Process parameters;
• Intermediate stream normal operating guidelines;
• List of alarms and interlocks;
• Equipment and instrumentation settings;
• Narrative description of start-up;
• Testing practices;
• Shutdown; and
• Emergency situations.
Operating Procedures Manual
• Detailed valve-by-valve procedures for all operating tasks;
• Schematic drawings;
• Safety instructions; and
• Equipment and systems.
Safety Procedures Manual
• Safety systems and equipment;
• Safety procedures; and
• Instructions.
In addition to comprehensiveness, the audit team should determine whether the SOP manuals
accurately reflect current equipment and current practices and whether they are understood and
implemented by operations personnel. Finally, the audit team should determine whether the manuals
are formally evaluated on a regular basis, whether both operations and management personnel
participate in the review and revision of SOPs, and how information on such changes is provided to
operations and supervisory personnel through training and drills.
Beyond the manuals listed above, there are a variety of other procedural documents (e.g.,
operating logs, shift turnover procedures, and maintenance guidelines) that the audit team may want
to examine, depending on the focus of the audit. Safety, health, and accident prevention topics that
can be investigated through these sources include overtime practices, emergency callout procedures,
procedures for reporting unusual occurrences, and consistency of equipment handling procedures for
maintenance and operations personnel.
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Attachment 11
Blank CSA Report Profile
-------
CHEMICAL SAFETY AUDIT PROFILE
Facility Name:
Facility Location:
Date(s) Audit Conducted:
Description of Facility:
SIC Code(s):
Location:
Products manufactured,
produced, or distributed:
Proximity to
sensitive populations:
Reason for Facility Selection:
ARIP Reports:
Focus of Audit:
Hazardous Substances(s)
Examined:
Physical Area(s) Examined:
Storage and Handling
• Storage Systems
• Shipping/Receiving
• Material Transfer
Process Area(s)
-------
Summary of Audit Findings and Recommendations:
Conclusions:
Facility Background Information
Chemical Hazards
Process Information
Chemical Accident Prevention
Accidental Release Incident Investigation
Facility Emergency Preparedness and Planning Activities
Community and Facility Emergency Response Planning Activities
-------
Public Alert and Notification Procedures
Recommendations:
Facility Background Information
Chemical Hazards
Process Information
Chemical Accident Prevention
Accidental Release Incident Investigation
Facility Emergency Preparedness and Planning Activities
-------
Community and Facility Emergency Response Planning Activities
Public Alert and Notification Procedures
Audit Team Member Composition:
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
-------
Follow-up Activities:
By the facility:
By the Regional office:
By State and local authorities:
Regional Contact:
Date:
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Attachment 12
Annotated CSA Report Profile
-------
CHEMICAL SAFETY AUDIT PROFILE
Facility Name:
[provide full name of facility
as well as any corporate
affiliation]
Facility Location:
[list city, state, and region]
Date(s) Audit Conducted:
[list actual days audit team
was on site at facility]
Description of Facility:
SIC Code(s):
Location:
Products manufactured,
produced, or distributed:
Proximity to
sensitive populations:
[provide four-digit SIC code]
[describe nature of surrounding
area (e.g., commercial,
industrial, rural, residential,
urban) and indicate direction
and distance to nearest major
city]
[list final products
intended uses]
and
[indicate direction and
distance to schools, hospitals,
day care centers, senior
centers, parks, lakes,
wetlands, and other sensitive
envi ronment s]
Reason for Facility Selection:
ARIP Reports:
[list all reasons, including
past releases, ARIP
questionnaires, requests from
state and local officials,
regional initiatives, interest
from facility, public concern,
chemical(s), process(es), or
system(s) of interest]
[list release date
substance released]
and
-------
Focus of Audit:
Hazardous Substances(s)
Examined: [list only CERCLA hazardous
substances or Title III
extremely hazardous substances
examined and provide Chemical
Abstract Service (CAS) number]
Physical Area(s) Examined:
Storage and Handling
• Storage Systems
[describe all storage systems examined (e.g., rail cars,
tanks, containers, cylinders), including design,
capacity, material of construction, and length of
storage]
• Shipping/Receiving
[describe all shipping and receiving systems examined
(e.g., rail car, tank truck, and barge loading/unloading
areas, pipelines), including frequency of
delivery/shipment, design, capacity, and general
loading/unloading procedures]
• Material Transfer
[describe all material transfer systems examined (e.g.,
pipelines, conveyor belts, fork lifts, manual), including
design, material of construction, capacity, and general
transfer procedures]
Process Area(s)
[describe each stage in all process(es) examined
involving the hazardous substances (e.g., primary and
secondary manufacturing, recycling and reuse, waste and
waste water treatment and disposal, power generation),
including substances and equipment involved and a general
description of each step in the process]
-------
Summary of Audit Findings and Recommendations:
Conclusions:
[state observations and concerns on facility policies and
practices in a factual manner that refrains from judgments of
adequacy or inadequacy, and ensure that any concerns have been
addressed appropriately in the recommendations section.]
Facility Background Information
Chemical Hazards
Process Information
Chemical Accident Prevention
Accidental Release Incident Investigation
Facility Emergency Preparedness and Planning Activities
-------
Community and Facility Emergency Response Planning Activities
Public Alert and Notification Procedures
Recommendations:
[clearly state recommendations for facility policies and
practices (that are both practical and technologically
feasible at the facility) in a manner that reflects their non-
mandatory nature, as well as the observations and concerns
outlined in the conclusions section.]
Facility Background Information
Chemical Hazards
Process Information
Chemical Accident Prevention
-------
Accidental Release Incident Investigation
Facility Emergency Preparedness and Planning Activities
Community and Facility Emergency Response Planning Activities
Public Alert and Notification Procedures
Audit Team Member Composition:
[list audit team members in the following order: US EPA team
leader, other US EPA personnel, AARP enrollees, TAT members,
representatives from other federal agencies; and then state,
tribal, and local officials]
Name and Title
Affiliation
Area of Responsibility
[list the full name and title of the
auditor]
[indicate the federal, state, tribal, or
local government organization that the
auditor is representing (e.g., US EPA
regional office; Technical Assistance
Team -- company name; state department of
environmental protection; county health
department)]
[indicate the general subject matter(s)
with which the auditor was involved
(e.g., equipment and process(es),
training, off-site impacts, occupational
health, security, emergency planning,
observer)]
-------
Expertise [characterize the education, training,
and/or professional background of the
auditor (e.g., chemical engineer, public
health officer, hazardous waste
specialist, emergency responder,
emergency planner)]
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
Name and Title
Affiliation
Area of Responsibility
Expertise
Follow-up Activities:
By the facility:
[as appropriate, discuss short and long term plans of facility
to address issues/implement recommendations raised during the
audit]
By the Regional office:
[as appropriate, discuss short and long term plans to follow
up with facility on issues and recommendations raised during
the audit]
-------
By State and local authorities:
[as appropriate, discuss follow up activities related to
issues and recommendations raised during the audit]
Regional Contact: [list contact for further
information]
Date: [indicate date that profile was
submitted]
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