Ethanol Plants Manual

U.S.
Environmental Protection Agency Region 7
ENVIRONMENTAL LAWS
Applicable to
Construction and Operation
of
Ethanol Plants
www.epa.gov/region07/priorities/agriculture
Environmental Laws Applicable to Construction and Operation of Ethanol Plants

U.S. Environmental Protection Agency Region 7
WHAT IS THE PURPOSE OF THIS MANUAL?
This compliance assistance manual serves as a road map of information on federal environmental
programs and federal and state agency roles. Air, water, hazardous waste, accident prevention and
release reporting are examples of requirements that might apply. This manual, like a road map,
does not contain all the details of the federal and state statutes and regulations. Ethanol facility
operators need to review the applicable statutes and regulations.
There are many federal environmental requirements that apply to ethanol production
facilities. State environmental agencies
may take the lead in implementing federal
environmental programs and may have
state requirements in addition to federal
environmental requirements. The U.S.
Environmental Protection Agency and
state environmental agencies work in
partnership and are available to answer
questions about applicability of
environmental requirements to individual
ethanol production facilities. Our goal is
to work with ethanol facility operators to
ensure that human health and the
environment are protected as ethanol
production continues to increase in EPAs
Region 7 (Iowa, Kansas, Missouri, and Nebraska).
DISCLAIMERS:
This manual provides guidance to help the regulated community and the public understand
ethanol facility obligations under environmental laws.
This manual is not a substitute for regulations, nor is it a regulation. It cannot impose legally
binding requirements on EPA, states, or the regulated community. The reader must refer to
federal and state laws and regulations for a complete understanding of all legal requirements.
This manual does not represent final agency action and can be updated in the future.
This manual does not limit the otherwise lawful prerogatives of regulating agencies. Agencies
may act at variance with this guidance based on facility-specific circumstances.
The mention of trade names, commercial products, industry references, and technical resources
does not constitute an endorsement or recommendation for use.
The information in this document is current as of its publication date.
This manual has been prepared by the U.S. Environmental Protection Agency Region 7 Biofuels work group.

TABLE OF CONTENTS
INTRODUCTION
I.1 Requirement for Renewable Fuels.............................I-1
I.2 Renewable Fuel Standard Program..I-2

I.3 Brief Overview of Ethanol Production Process...........I-7
CHAPTER 1 WHAT LAWS APPLY WHEN IM

CONSTRUCTING OR MODIFYING AN
ETHANOL PLANT?
1.1 National Environmental Policy Act...........................1-1
1.2 Clean Air Act............................................................1-2
1.3 Clean Water Act.....................................................1-16
1.4 Safe Drinking Water Act.........................................1-18
1.5 Pollution Prevention Act ........................................1-23
CHAPTER 2 WHAT LAWS APPLY TO OPERATING AN

ETHANOL PLANT?
2.1 Clean Air Act............................................................2-1
2.2 Emergency Planning And Community Right
To Know Act.............................................................2-5
2.3 Clean Water Act.....................................................2-11
2.4 Safe Drinking Water Act.........................................2-18
2.5 Resource Conservation And Recovery Act
Hazardous Waste..................................................2-20
TABLE OF CONTENTS

APPENDICES
APPENDIX A - SUMMARY OF LAWS PERTAINING TO ETHANOL
PRODUCTION AND WHO TO CONTACT
APPENDIX B - EMERGENCY PLANNING
APPENDIX C - CLEAN AIR ACT SECTON 112 (r) - PREVENTION

PROGRAM REQUIREMENTS
APPENDIX D - DEFINITIONS OF ACRONYMS
APPENDIX E - NEPA PROCESS
APPENDIX F - DO I NEED A FACILITY RESPONSE PLAN?
TABLE OF CONTENTS
ii
INTRODUCTION
I.1 Requirement for Renewable Fuels
The Energy Policy Act of 2005
amended the Clean Air Act to establish
a Renewable Fuel Standard (RFS)
program. The RFS program,
applicable for 2007 and beyond, is
designed to encourage blending
renewable fuels into our nations
motor vehicle fuel.
A renewable fuel is defined in the
Energy Policy Act as a motor vehicle
Photo courtesy Lawn & Landscape
fuel that is produced from plant or
animal products or wastes. Renewable
fuels would include ethanol, biodiesel and other motor vehicle fuels made from
renewable sources.
About 4.5 billion gallons of renewable fuels were used in the United States in 2006
as motor vehicle fuel. The RFS program requires that this volume increase to at
least 7.5 billion gallons by 2012.
There were about 21 ethanol

production facilities in the four
Region 7 states in 2001. That
number grew to 75 by November
2007, according to the Renewable
Fuels Association.
This guide was developed in

response to the increasing number
of ethanol production facilities,
their potential environmental
implications in Region 7, and our
desire to help smooth our nations
EPA Region 7 Photo
transition to a renewable fuel
source while maintaining a
healthy environment.
INTRODUCTION
I-1
I.2 Renewable Fuel Standard Program
If your facility produces 10,000 gallons or more
of renewable fuel per year, you must comply
with the Renewable Fuel Standard (RFS)
Program.
You are required to:

Register

Generate Renewable Identification
Numbers (RINs),

Transfer RINs with fuel,

Product Transfer Documents,

Blending,

Exporting,

Non-Road Use of Fuel,

Attest Engagements,

Keep records for 5 years, and

Report quarterly; see http://epa.gov/otaq/regs/fuels/rfsforms.htm for forms.
Some producers may have additional requirements, if they sell or export renewable
fuel, or create derived waste or cellulosic ethanol.
Facilities producing less than 10,000 gallons of renewable fuel per year are not
subject to RFS requirements but may opt in voluntarily.
INTRODUCTION
I-2
Registration
Before selling fuel, producers must register

first with Fuel and Fuel Additives
Registration (FFARS) program then the
RFS program. The FFARS program is a
completely separate program from the RFS
program, each having its own separate
registration process. More information about
FFARS may be found at
http://www.epa.gov/otaq/additive.htm. The
FFARS registration forms may be found at
http://epa.gov/otaq/regs/fuels/ffarsfrms.htm.
For the RFS program, ethanol producers must

register their company and each facility at
which they produce ethanol [40 CFR
80.1150(b)]. The registration forms can be
found at
http://www.epa.gov/otaq/regs/fuels/fuelsregistration.htm.
Ethanol producers are required to fill out one 3520-20A for the company and one
3520-20B for each facility. On form 3520-20A, ethanol producers are required to
select RFS for question 7 and RIN Generator for question 8. On form
3520-20B, ethanol producers need to select RIN generator. After the forms are
received, EPA will provide the ethanol producer with its Company and Facility IDs
for the RFS program. (Remember that registration numbers discussed above for
FFARS are not the appropriate registration numbers to be utilized in the RFS
program and the generation of RINs, as discussed below.)
RIN Generation
RINs refer to Renewable Identification Numbers. Producers and importers of

renewable fuel must generate RINs to represent all the renewable fuel they produce
or import. The point in time when RINs must be generated is flexible, but no later
than when the renewable fuel is transferred to another party [40 CFR 80.1126(e)
(2)]. Total number of gallon-RINs that can be generated is determined from both
the volume of fuel and its equivalence value. For ethanol, the equivalence value is
1.0 [40 CFR 80.1115(b)(2)]. For other renewable fuels, the equivalence value is
set forth in the RFS regulations, and reflects the difference in BTU value as
compared to ethanol.
For more information on the structure of a RIN, see 40 CFR 80.1125.
INTRODUCTION
I-3
Transfer RINs: Moving RINs With Fuel and Selling Ethanol
All renewable producers/importers that sell only the fuel that they create or import
must transfer RINs with fuel to the next party at the equivalence value. For
ethanol, that is 1 RIN per gallon sold to the next party. RINs can only be
transferred to parties registered for the RFS program; therefore renewable
producers/importers that sell only the fuel they create or import can only sell to
registered parties. [40 CFR 80.1128(a)(6)].
Renewable producers and importers that sell a volume of renewable fuel in

addition to their own may sell between zero and 2.5 RINs to any party [40 CFR
80.1128(a)(4)]. RINs may only be sold to registered companies, but any company
may purchase ethanol without RINs.
Product Transfer Documents
All parties that transfer renewable fuel must follow the Product Transfer Document
(PTD) regulations per 40 CFR 80.1153. Every product transfer document must
have the following information:
Name and address of the transferor and transferee
The transferors and transferees company registration number
The volume of fuel transferred
The date of transfer
A list of RINs assigned to the volume [40 CFR 80.1153(a)(5)]; alternatively,

assigned RINs may be transferred on a separate document to the same party on
the same day. If a separate document is used to transfer the RINs, the PTD that
transfers ownership of the fuel must state the number of gallon-RINs
transferred and reference the document used to transfer the RINs.
If no assigned RINs are being transferred with renewable fuel, the PTD which is
used to transfer ownership of the fuel shall state No RINs Transferred.
Blending
Blenders of renewable fuel that create motor vehicle fuel (for example by blending
ethanol with gasoline to produce E-85 or E-10), must separate RINs associated
with the volume of renewable fuel [40 CFR 80.1129(b)(2)]. In addition, renewable
fuel producers may, upon agreement with their customers, separate RINs from fuel
in situations where customers are splash blending. Blenders of renewable fuel
INTRODUCTION
I-4
with assigned RINs, must separate the RINs and change the first digit (K code) of
the RINs from 1 to 2 during the compliance quarter when the blending took place
and before transferring those RINs to another party.
Exporting
Any company that exports renewable fuel in its neat form or blended with gasoline
or diesel outside of the lower 48 states [40 CFR 80.1126(a)] (and after January 1,
2007, Hawaii) has a Renewable Volume Obligation (RVO). The RVO for
exporters is determined by retiring RINs equal to the volume of fuel exported times
the equivalence value, plus any prior year deficit. A producer that exports
renewable fuel, must generate RINs for that volume, and upon export, separate
those RINs [40 CFR 80.1129(b)(3)]. At the end of the compliance year, the
exporter must determine its RVO [40 CFR 80.1130(b)]. In the event that an
exporter does not have enough separated RINs to cover their RVO, they must
acquire separated RINs to meet the RVO [40 CFR 80.1130(a)].
Non-Road Use of Fuel
EPA believes that most fuel that can be used as motor vehicle fuel and which
otherwise meets the definition of renewable fuel (such as biodiesel and ethanol)
will ultimately be used as motor vehicle fuel. Therefore, producers and importers
of such products can assume that they meet the definition of renewable fuel and
can assign RINs to them without tracking their ultimate use.
However, if fuel with assigned RINs is actually blended into gasoline or diesel that
is known to be destined for use in a nonroad application, such as agricultural
equipment, the presumption that led the fuel producer/importer to assign RINs to
the product is no longer valid. Such fuel cannot be considered a motor vehicle fuel
and thus is not in fact a renewable fuel that is valid for RFS compliance
purposes. In such cases, the blender should treat the RINs associated with the
blended fuel in the same way as for fuel with assigned RINs that is used in a heater
or boiler.
If a producer/importer is transferring a volume of fuel to a party and knows the fuel

is going off-road, then the producer/importer should not generate RINs for that
volume.
Recordkeeping Requirements
Renewable producers and importers, obligated parties and owners of RINs who are
neither renewable producers/importer nor obligated parties have several record
keeping requirements. 40 CFR 80.1151(e) states records must be kept for 5 years.
INTRODUCTION
I-5
Report
Renewable producers and importers are required to report on a quarterly basis to

the EPA (40 CFR 80.1152). The reporting templates are located at:
http://epa.gov/otaq/regs/fuels/rfsforms.htm . All renewable producers and
importers are required to fill out three of these reports quarterly; RFS Activity
Report (RFS0100), RFS RIN Transaction Report (RFS0200), and RFS RIN
Generation Report (RFS0400).
Exporters of renewable fuel and obligated parties must also use the annual RFS
Obligated Party Annual Compliance Report (RFS0300).
RFS Activity Report (RFS0100):

Two reports required quarterly. One report for attached RINs and one report
for separated RINs. Producers must indicate how many RINs they generated in
the quarter and how many they transferred, in addition to any other RIN
activities that apply.
RFS RIN Transaction Report (RFS0200)

One report submitted per transaction.
RFS RIN Generation Report (RFS0400)

One report submitted per batch.
All reports must be submitted via EPAs Central Data Exchange (CDX). CDX is
an online portal that encrypts and sends reports to the EPA. In order for companies
to use CDX they must register users well in advance of the reporting deadline.
CDX registration is based on individual users rather than corporate accounts.

Responsible corporate officers of a company may register themselves or delegate
the ability to submit reports to another person. Responsible corporate officers are
still responsible for their delegates submissions.
Attest Engagements
All producers must perform an attest engagement of the reports submitted to

EPA. The attest engagements must be performed by a Certified Public Accountant
or Certified Internal Auditor as per the regulations and they must mail a copy to the
EPA.
INTRODUCTION
I-6
I.3 Brief Overview of Ethanol Production Process
Ethanol is made from starch or

sugar-based feedstocks. Corn or
other starchy grains are often used
for the feedstock. As grain is
delivered to an ethanol plant, it is
typically unloaded and stored in
bins. The grain is then
transferred to the milling process.
There are two types of milling
processes; wet milling and dry
milling.
The most common process for Photo courtesy of the Marshall Democrat News
ethanol production is dry milling,
where the whole corn kernel or
other grain is ground into a flour
or meal. The meal is mixed with
water after milling to form a mash. The mash is heated and enzymes are added to
break down the starch to fermentable sugars. The next stage is the fermentation
process, which involves adding yeast to convert the sugars to ethanol and carbon
dioxide.
The raw product is

distilled after
fermentation. Distillation
separates the liquid
ethanol from the wet
stillage. Stillage is the
residue that settles to the
bottom after fermentation.
If the wet stillage is dried
it is called dried distillers
grain with solubles or
dry cake. It can also be
sold wet, called wet
distillers grain with
solubles, commonly
Photo courtesy of the Nebraska Energy Office
referred to as wet cake,
for animal feed.
INTRODUCTION
I-7
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CHAPTER 1 WHAT LAWS APPLY WHEN IM BUILDING

OR MODIFYING AN ETHANOL PLANT?
This chapter discusses environmental laws and regulations that might apply to construction at an
ethanol plant. A general construction resource that you might find useful is:
Managing your Environmental Responsibilities: A Planning Guide for Construction and
Development (EPA/305-B-04-003). It is available at: http://www.epa.gov/compliance/
resources/publications/assistance/sectors/constructmyer/myerguide.pdf
1.1 National Environmental Policy Act

If youre using federal money to construct an ethanol plant or any associated
facility, such as an access road or water supply, then your plant is subject to the
National Environmental Policy Act (NEPA). NEPA requires federal agencies to
incorporate environmental considerations in their planning and decision-making
and to prepare a detailed statement assessing the environmental impact of activities
and alternatives that significantly affect the environment.
The NEPA assessment for ethanol plants should include all potential environmental
and human health impacts. Resources such as wetlands, water quality, hazardous
waste, and air quality are commonly analyzed. Ethanol plants should also consider
potential impacts to road and railway capacity; water supply and local municipal
water systems; and handling and deposition of byproducts (wet or dry cake) from
the plant operation. Significant effects that are identified and determined to be
unavoidable, may require mitigation to reduce or minimize the environmental or
human health impacts.
Ethanol plants can have significant air emissions including volatile organic
compounds, sulfur dioxide, nitrogen oxides, hazardous air pollutants and
particulate matter. Selection of the plant location should focus on minimizing air
quality impacts to downwind residents and consider other air emission sources in
the area.
CHAPTER 1 WHAT LAWS APPLY WHEN IM BUILDING OR MODIFYING AN

ETHANOL PLANT?
1-1
As part of the environmental evaluation,
EPA recommends completing a thorough
emissions accounting and air quality
modeling analysis, including fugitive
emissions from haul roads and storage piles.
We also recommend evaluating any
projected capacity increase or phased
construction approach to consider the total
potential air impacts to the project area.
Photo courtesy of the USDA ARS
More information about the NEPA process is in Appendix E of this manual.

NEPA contact information is in Appendix A.
1.2 Clean Air Act
The Clean Air Act, which was last amended in 1990, requires EPA to set national
ambient air quality standards for widespread pollutants from numerous and diverse
sources considered harmful to public health and the environment. The Clean Air
Act establishes two types of national air quality standards:
1. Primary Standards, which set limits to protect public health, including the
health of sensitive populations such as asthmatics, children and the elderly.
2. Secondary Standards, which set limits to protect public welfare, including

visibility, animals, crops, vegetation, and buildings.
EPA has set national ambient air
quality standards for six principal
pollutants called criteria
pollutants. Standards have been set
for particulate matter, carbon
monoxide, sulfur dioxide, nitrogen
oxides, lead, and ozone. Note,
volatile organic compounds lead to
the formation of ozone (smog).
Areas that have air quality as good
EPA Region 7 Photo

or better than the standards are
classified attainment areas. Areas
that do not meet one or more of the standards are classified nonattainment areas.
An area may be an attainment area for one pollutant and a nonattainment area for
others. A list of designations is available at 40 CFR 81 or at:
www.epa.gov/oar/oaqps/greenbk

ETHANOL PLANT?
1-2
Significant quantities of particulate matter (including tiny particulates less than 10

microns in diameter know as PM10), nitrogen dioxide, carbon monoxide, sulfur
dioxide, and volatile organic compounds are released into the air during ethanol
manufacturing activities. Some of these organic compounds are known as
hazardous air pollutants. The volatile organic compounds emitted might include,
but are not limited to, acetaldehyde, acrolein, ethanol, formaldehyde, 2-
furaldehyde, methanol, acetic acid, and lactic acid.
The primary sources of air emissions from ethanol plants include the grain
handling units, boilers, dried distillers grain with solubles (DDGS) dryers,
fermentation, and distillation units. Other typical emission points at a dry mill
ethanol plant include, but are not limited to, cooling cyclones, ethanol load out
systems, cooling towers, storage tanks, centrate tanks, wastewater treatment
processes, emergency equipment such as backup generators, and fugitive emissions
such as those that come from equipment leaks and haul roads.
The types of pollutants emitted from these sources are listed in the table below.
Typical Dry Mill Emission Points
Emission Point Typical Pollutant

Grain handling units PM/ PM10
Boilers PM/PM10, NO2, CO, SO2, and VOCs
DDGS dryer PM/PM10, NO2, CO, SO2, and VOCs
Fermentation unit VOCs
Distillation VOCs
Cooling cyclone PM/PM10, and VOCs
Ethanol load out VOCs
Cooling Towers PM/PM10
Storage tank/Centrate tank VOCs
Wastewater treatment process H2S and VOCs
Emergency equipment PM/PM10, NO2, CO, SO2, and VOCs
Fugitive emissions (e.g. equipment PM/PM10, and VOCs
leaks, haul roads, etc.)
(Note: Some of the VOCs emitted are hazardous air pollutants (HAPs) ).
PM, particulate matter; NO2, nitrogen dioxide; CO, carbon monoxide; VOCs, volatile
organic compounds; H2S, hydrogen sulfide; HAPs, hazardous air pollutants

ETHANOL PLANT?
1-3
The Clean Air Act requires certain permits to be obtained to minimize air
emissions and protect human health and the environment before construction
begins on an ethanol plant. These are described below.
Air Construction Permits
The Clean Air Act established a preconstruction permitting program in order to

preserve and protect the national ambient air quality standards and enhance air
quality. It is known as the new source review program.
New source review permits are issued by state or local air pollution control
agencies. In very rare circumstances, EPA might issue the permit. We recommend
having pre-application meetings with the permitting agency for construction
permits; this makes sure your application is complete which helps speed up the
permitting process.
There are two kinds of new source review preconstruction permits:
1. Major Construction Permits.
2. Minor Construction Permits.
The type of permit required depends on the facilitys potential to emit pollutants
and the location of the facility.

ETHANOL PLANT?
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Major Construction Permits
There are two types of major construction permits under the new source review
program:
1. Prevention of Significant Deterioration.
2. Nonattainment New Source Review permits.
Prevention of Significant Deterioration Permits
Prevention of significant deterioration permits are required for new major sources
or a major source making a major modification in an attainment area.
Under the prevention of significant

deterioration program, a source is
considered to be a major source if
the facility has the potential to emit
100 tons per year or more of any
criteria pollutant if the source is
one of the specific source
categories listed in the prevention
of significant deterioration
regulations (40 CFR Part 52.21(b))
or 250 tons per year of any criteria
pollutant for sources not
specifically listed in the prevention
of significant deterioration
regulations. The 250 tons-per-year
major source threshold applies to
Photo courtesy of Industrial Innovations ethanol plants that produce ethanol
by a natural fermentation process.
Note: EPA published a final rule in the May 1, 2007 Federal Register that changed the
federal prevention of significant deterioration regulations. The final rule changed the
major source threshold for ethanol plants from 100 tons per year to 250 tons per year.
Some state regulations may have retained the 100 ton per year major source threshold and
will therefore be more stringent than the federal regulations. In those instances, facilities
will need to comply with the more stringent state regulations. Boilers, or a combination of
boilers, totaling more than 250 MMBtu/yr heat input, will be subject to the 100 ton per
year major source threshold. Check with your state permitting agency to determine which
threshold applies to your ethanol plant.

ETHANOL PLANT?
1-5
A major modification is any physical change or change in the method of operation

of an existing major stationary source that would result in a significant net
emissions increase of any pollutant subject to regulation under the Clean Air Act.
The prevention of significant deterioration significance thresholds for the various
pollutants under the program are listed in 40 CFR 52.21(b)(23)(i). The significant
thresholds for the criteria pollutants are:
Carbon monoxide: 100 tons per year
Nitrogen oxides: 40 tons per year
Sulfur dioxide: 40 tons per year
Particulate Matter
25 tons per year of particulate matter emissions
15 tons per year of PM10,
Ozone: 40 tons per year of VOCs or nitrogen oxides
Lead 0.6 tons per year
The PSD program requires the following elements:
Installation of the Best

Available Control
Technology,
An air quality analysis,
An additional impact
analysis, and
Public involvement.

ETHANOL PLANT?
1-6
Best Available Control Technology is an emissions limitation based on the

maximum degree of control that can be achieved. It is a case-by-case decision
that considers energy, environmental, and economic impacts. Best Available
Control Technology can be add-on pollution control equipment or modification of
the production process or methods. This includes fuel cleaning or treatment and
innovative fuel combustion techniques. Best Available Control Technology may
be a design, equipment, work practice, or operational standard if imposition of an
emission standard is infeasible.
The main purpose of the air quality analysis is to demonstrate that new emissions
emitted from a proposed major stationary source or major modification, in
conjunction with other applicable emissions from existing sources, will not cause
or contribute to a violation of any applicable national ambient air quality standards
or prevention of significant deterioration increment. Generally, the analysis will
involve;
1) an assessment of existing air quality, which might include ambient monitoring

data and air quality dispersion modeling results, and
2) predictions, using dispersion modeling, of ambient concentrations that will

result from the applicants proposed project and future growth associated with
the project.
Prevention of significant deterioration increments keep the air quality in clean

areas from deteriorating to the level set by the national ambient air quality
standard. The national ambient air quality standard is a maximum allowable
concentration ceiling. The prevention of significant deterioration increment is the
maximum allowable increase in concentration that is allowed to occur above a
baseline concentration for a pollutant. The baseline concentration is defined for
each pollutant. In general, it is the ambient concentration existing at the time that
the first complete PSD permit application affecting the area was submitted.
Significant deterioration is said to occur when the amount of new pollution would
exceed the applicable PSD increment. It is important to note, however, that the air
quality cannot deteriorate beyond the concentration allowed by the applicable
national ambient air quality standard, even if not all of the prevention of significant
deterioration increment is consumed.
The additional impacts analysis assesses the impacts of air, ground, and water
pollution on soils, vegetation, and visibility from any increase in emissions of any
regulated pollutant from the source or modification under review and from
associated growth. Associated growth is industrial, commercial, and residential
growth that will occur in the area because of the source.

ETHANOL PLANT?
1-7
Nonattainment NSR permits
Nonattainment new source review applies to new major sources or major

modifications at existing sources for pollutants where the source is in an area that
is not in attainment with the national ambient air quality standards, also called
a nonattainment area. In a nonattainment area, any stationary pollutant source
with the potential to emit 100 tons per year or more is considered a major source.
Nonattainment new source review requirements are customized for the specific
nonattainment area.
All nonattainment new source review

programs require:
Installation of the lowest achievable

emission rate,
Emission offsets, and
Opportunity for public involvement.
The lowest achievable emission rate is the

most stringent emission limitation derived
from either of the following:
The most stringent emission limit contained in the implementation plan of any
state for such class or category of source, or
The most stringent emission limit achieved in practice by such class or category
of source.
The emissions rate may result from a combination of emissions limiting measures
such as:
Add-on pollution control equipment,
A process modification, and/or
A change in the raw material processed.

ETHANOL PLANT?
1-8
Offsets are emission reductions, generally obtained from existing sources in the
vicinity of a proposed source that must offset the emissions increase from the new
source or modification and provide a net air quality benefit. The obvious purpose
for requiring offsetting emissions decreases is to allow an area to move toward
attainment of the national ambient air quality standards while allowing some
industrial growth.
Minor Construction Permits
Minor new source review is for pollutants from stationary sources that do not
require prevention of significant deterioration or nonattainment new source
review permits. The purpose of minor new source review permits is to prevent
building sources that would interfere with attainment or maintenance of national
ambient air quality standards or violate the control strategy in nonattainment areas.
Minor new source review permits often contain permit conditions that will limit the
sources emissions to avoid becoming subject to the prevention of significant
deterioration or nonattainment new source review regulations. The permit
conditions generally involve enforceable emission and/or operating limits that will
ensure air quality protection. As a result, the permits usually contain
recordkeeping, reporting, monitoring, and testing requirements to ensure
compliance with the permit conditions.
A facility obtaining a minor new source review construction permit might,

depending on the states air permitting requirements, be required to conduct an air
quality review using
computer modeling to
predict the effects that a
facility might have on the
ambient air. Whether or
not a facility needs to
model will depend on the
rate of emissions increase,
facility history, plant
location, type of source,
and emission point configurations (e.g. stack heights). A construction permit
cannot be issued if the plant will cause or significantly contribute to predicted
violations of any ambient air quality standard.
The public is given notice when a construction permit might be issued for all three
types of construction permits (prevention of significant deterioration,
nonattainment new source review, and minor new source review). Each state has
different procedures for notification on minor new source review permits. Please
check with the applicable state to verify the procedures.

ETHANOL PLANT?
1-9
New Source Performance Standards
New source performance standards establish technology-based standards that

regulate criteria air pollutants from new or modified sources. These regulations
were developed to assure that sources are installing the best-demonstrated
technology to reduce emissions.
New source performance standards contain emission limits; control device or

equipment requirements; and work practice, performance testing, monitoring,
recordkeeping, notification, and reporting requirements. These regulations can
be found in 40 CFR Part 60.
The following new source performance standards typically apply to ethanol plants.
Subpart A General Provisions

Sources subject to the requirements might be subject to
all or only a portion of the general provisions.
Subpart Db Industrial, Commercial, Institutional Steam Generating

Units
Units with a capacity more than 100 million Btu per
hour (MMBtu/hr)
Includes boilers and thermal oxidizers/waste-heat

recovery boilers
Built, reconstructed, or modified after June 19, 1984
Regulated pollutants
o Nitrogen oxides, particulate matter, sulfur dioxide
o Opacity
Subpart Dc Industrial, Commercial, Institutional Steam Generating

Units
Units with a capacity of 10 MMBtu/hr or more and less
than or equal to 100 MMBtu/hr
o Includes boilers and thermal oxidizers/waste-heat
recovery boilers
Built, reconstructed, or modified after June 9, 1989
o Particulate matter, sulfur dioxide
o Opacity

ETHANOL PLANT?
1 - 10
Subpart Kb Volatile Organic Liquid Storage Vessels

Vessels with a capacity of 75 m3 (approximately 19,800
gallons) or more
Built, reconstructed, or modified after July 23, 1984
Regulated pollutant
o Volatile organic compounds
Subpart Y Coal Preparation Plants

Coal preparation plants that process more than 200 tons
per day
Built, reconstructed, or modified after Oct. 24, 1974
Regulated pollutant
o Particulate matter
Subpart DD Grain Elevators

Storage capacity of 1 million bushels or more
Built, reconstructed, or modified after Aug. 3, 1978
o Particulate matter
o Opacity
Subpart VV Synthetic Organic Chemical Manufacturing Industry

(SOCMI) Equipment Leaks
Ethanol is on the list of regulated synthetic organic
chemicals
Built, reconstructed, or modified after Jan. 5, 1981
Regulated pollutant
o Volatile organic compounds

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Subpart IIII Stationary Compression Ignition Internal Combustion

Engines
Stationary compression ignition internal combustion
engines that begin construction (for this regulation, the
date that construction begins is the date the engine is
ordered by the owner or operator) after July 11, 2005
where the stationary compression ignition internal
combustion engines are:
o manufactured after April 1, 2006 and are not fire
pump engines,
o or manufactured as a certified National Fire
Protection Association fire pump engine after July
1, 2006
Owners and operators of stationary compression

ignition internal combustion engines that modify or
reconstruct their stationary compression ignition
internal combustion engines after July 11, 2005.
o Nitrogen oxides, particulate matter, carbon
monoxide
o Non-methane hydrocarbons (NMHC)
o Sulfur oxides (through the use of lower sulfur fuels)

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National Emission Standards for Hazardous Air Pollutants
If construction/modification of an ethanol plant involves the demolition or

renovation of any existing public or commercial structures, and/or multiple
residential structures, the federal asbestos National Emission Standards for
Hazardous Air Pollutants (NESHAP) regulation (40 CFR 61 Subpart M) may
apply.
The asbestos NESHAP requires a thorough inspection by an accredited person

prior to commencing demolition or renovation activity. A 10-day prior notification
to the appropriate regulatory agency is necessary for all demolitions, regardless of
whether any asbestos is present. Notification for renovations is required if there is
greater than 160 square feet or 260 linear feet of regulated asbestos-containing
material.
The asbestos NESHAP prohibits any visible emissions from demolition and
renovation projects. The asbestos-containing materials must be wetted, and kept
adequately wet, during the removal and disposal process. The asbestos waste must
be stored in leak-tight containers prior to disposal, and must ultimately be disposed
in approved landfills.
The asbestos NESHAP program has been delegated to each of the Region 7 states.
For questions regarding specific demolition or renovation projects, contact the
appropriate state agency. In some instances, states have requirements that are more
stringent than the federal asbestos NESHAP.
NESHAPs regulate hazardous air pollutant emissions from stationary sources

through technology-based standards, known as Maximum Achievable Control
Technology (MACT) standards. MACT standards are designed to require that
a given type of source install the best-demonstrated control technology
available. New and existing facilities that fall within listed source categories and
are major sources of hazardous air pollutants are subject to the MACT standards
(although, there are a few MACT standards that include area sources). A major
source of hazardous air pollutants has the potential to emit 10 tons per year of a
single pollutant or 25 tons per year of a combination of pollutants. There are 187
regulated hazardous air pollutants. A list of them can be found at:
http://www.epa.gov/ttn/atw/orig189.html

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MACT standards contain emission limits; control device or equipment

requirements; and work practice, performance testing, monitoring, recordkeeping,
notification, and reporting requirements. MACT standards can be found in
40 C.F.R. Part 63. The following MACT standards might apply to ethanol plants.
Subpart A General Provisions

Sources subject to MACT requirements might be
subject to all or portions of the general provisions
Subpart B Case-by-Case MACT

Major hazardous air pollutant sources that construct or
reconstruct and are not already covered by a MACT
must obtain a construction permit with a case-by-case
MACT
Subpart FFFF Miscellaneous Organic Chemical Manufacturing

Major hazardous air pollutant sources that operate
miscellaneous organic chemical manufacturing process
units.
Promulgation date Nov. 10, 2003
Compliance date
o Existing sources May 10, 2008
o New sources
Startup before Nov. 10, 2003 comply by
Nov. 10, 2003
Startup after Nov. 10, 2003 comply upon
startup
Subpart GGGG Solvent Extraction for Vegetable Oil Production

Major hazardous air pollutant sources using an organic
solvent (i.e., n-hexane) to extract vegetable oil from oil
seeds such as soybean, corn germ, safflower etc.
Promulgation date April 12, 2001
Compliance date
o Existing sources April 12, 2004
o New sources
Startup before April 12, 2001 comply by
April 12, 2001
Startup after April 12, 2001 comply upon
startup

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Subpart DDDDD Industrial, Commercial, and Institutional Boilers & Process

Heaters
This rule was vacated on June 8, 2007, by the U.S.
Court of Appeals for the District of Columbia.
It is essential for a facility to be aware that MACT standards might apply to

their plant prior to construction. Facility operators who construct after a rule is
proposed that will apply to the facility must be in compliance with that rule by the
time they begin operation of the plant.
Risk Management Design Considerations
The Risk Management Program is a requirement of 40

CFR Part 68 under the Clean Air Act Section 112(r).
The purpose of this program is to prevent catastrophic
accidents involving extremely hazardous chemicals.
Consideration of these regulations during the planning
and design of an ethanol plant could save the facility
from costly after-construction retrofits. See Page 2-3
for more information about the Risk Management
Program.
Increase net returns by

planning how to prevent
accidents

ETHANOL PLANT?
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1.3 Clean Water Act
This section discusses regulations pursuant to the Clean Water Act that may apply
during the construction or modification of an ethanol plant. Plant operators should
be aware that many requirements that apply during plant operation require permit
applications be submitted well in advance of plant startup (i.e., before or during
construction activities). While this chapter focuses on regulations that apply during
plant construction and modification activities, operators should read and
understand this entire document prior to commencing construction or modification
of an ethanol plant.
Dredge and Fill
Regulations developed under
Section 404 of the Clean Water
Act address the discharges of
dredged or fill material into
waters of the United States.
Generally, the 404 Program
requires a permit before these
materials may be placed in a
wetland, stream, river, lake,
bay, etc. during construction
activities. The U.S. Army
Corps of Engineers administers
EPA Region 7 Photo

the 404 program, including
issuance of permits, enforcement, and making determinations on what constitutes a
water of the United States.
If there is a potential for placing dredge or fill materials into a water of the United
States during the construction or expansion of an ethanol plant, then a 404 permit is
required. The following types of activities are regulated through the permitting
process:
o Damming or filling a water of the U.S.

o Impounding a water of the U.S.
o Altering or dredging a water of the U.S.

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An individual permit is required for activities that

can have potentially significant impacts.
Individual permits are reviewed by the U.S. Army
Corps of Engineers, which evaluates applications
under a public interest review, as well as the
environmental criteria set forth in the CWA
Section 404(b)(1) guidelines. Coverage under a
general permit may be suitable for most discharges
that will have only minimal adverse effects.
General permits are issued on a nationwide,
regional, or State basis for particular categories of
activities. The U.S. Army Corps of Engineers
should be contacted before placing any dredge or
fill material into waters of the U.S.
Storm Water Construction Permits
Land disturbance caused by construction

(i.e., clearing, grading, and excavating) can
lead to serious environmental harm in both
nearby and downstream water bodies. To
minimize the impact of site runoff on water
quality, a stormwater permit must be
obtained for discharges to waters of the
U.S. from any construction activity that
disturbs one acre or more of land. In
Region 7, the state environmental
departments issue general permits to cover
these discharges. General permits require Photo Courtesy of USDA
submission of a simplified application

(typically identified as a Notice of Intent or NOI) and development and
implementation of a plan, often called a stormwater pollution prevention plan, to
control discharges of sediment and other pollutants from the site during
construction activities. Application due dates vary by state. The state and EPA
Regional contacts for construction storm water permitting are listed in Appendix A.
Further discussion of NPDES stormwater permits is provided in Section 2.3.

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Permit For Construction of a Wastewater Facility
If you will need to construct any type of wastewater treatment or holding system
(including collection systems, pumping stations, storage units, etc.) to meet limits
established in a wastewater disposal permit (See Section 2.3), you may be required
to obtain a non-CWA construction permit from your state. The state will require
you to submit plans and specifications for review and approval before any
construction can begin on the treatment system. The treatment system and its
appurtenances must be designed in accordance with the states design standards
which have been established to ensure adequate treatment prior to disposal. Please
contact the person listed for your state in Appendix A, CWA National Pollutant
Discharge Elimination (NPDES) Permits.
1.4 Safe Drinking Water Act
The Safe Drinking Water Act is the federal
law that ensures the quality of Americans'
drinking water. Congress originally passed
the act in 1974 to protect public health by
regulating the nations public drinking water
supply. The law was amended in 1986 and
1996 and requires many actions to protect
drinking water and its sources (rivers, lakes,
reservoirs, springs, and ground water wells).
The mandates of the act provide that the
Public Water System Supervision program
regulates the quality of public drinking water
and the Underground Injection Control and
Source Water Protection/Wellhead Protection
programs protect drinking water sources.
The Public Water System Supervision Program
The majority of Americans receive drinking water from public water systems. A
public water system is defined as any system that provides water to 25 or more
users or that has 15 or more connections. This includes many types of systems that
might not normally be thought of as public water systems, such as industries,
mobile home parks, rest stops, schools, and park facilities that have their own
source of water. If there are 25 or more workers or daily visitors to a facility that
provides drinking water, the facility might be a public water system, regardless of
ownership.

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The Safe Drinking Water Act authorizes EPA to set national health-based
standards for drinking water to protect against naturally occurring and man-made
contaminants that might be found in drinking water.
Nationally, there are more than 170,000 public water systems providing water to
the public, with more than 11,000 of those systems in Region 7. The public water
system owners and operators are responsible for making sure they provide water
that meets EPA standards. Oversight of these public water systems is the
responsibility of EPA, states, and tribes.
Industrial facilities that have their own source of water (such as a well or stream)
and provide drinking water to workers, visitors, or the public, are considered public
water systems. A facility that uses water from another source, such as a municipal
water supply, for drinking water is not regulated as a public water system.
If you also plan to use this existing water supply as the source of cooling or
industrial processing water, you should check with the system operator to make
sure the system can provide a sufficient quantity and quality of water for your
needs. This is important for industries such as ethanol plants that need large
quantities of water for manufacturing or processing.
If your facility will use its own water supply source to provide drinking water to 25
or more people per day for at least 60 days of the year, then you are regulated by
the Public Water System Supervision Program, and you must obtain permits from
the state to build and operate the water supply system. You will be required to
perform routine testing of the water for a variety of contaminants, including
microbiological, radiological, synthetic organics, and inorganics such as nitrate and
lead.
Every public water system must be operated by a trained and qualified operator
who is responsible for the quality of the water and meeting regulatory
requirements. States have programs for training and certifying operators at a level
appropriate to the level of water treatment at the facility. It is the responsibility of
the water system owner to have a certified operator in charge.
Even if you plan to use your own water source for just supplying cooling or
industrial processing water, there are several state water-supply related permits that
might be required. These include:
Water Use Permit - Withdrawing or using water from a surface or

underground source typically requires a water use permit, depending on the
volume of water that will be used daily.
Well Construction Permit - Drilling a new well or modifying an existing well

requires a well construction permit.

ETHANOL PLANT?
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It is important for facilities that plan to use their own water supply source(s) to
make sure that all of the necessary permits are in place before proceeding. Check
with the state environmental, health or natural resources office listed in the Public
Water System Supervision section of Appendix A before building or modifying a
water supply.
The Underground Injection Control Program
The subsurface environment has been used

for centuries to dispose of liquid wastes; the
philosophy was that waste out of sight was
out of mind. Realizing that this type of
waste disposal could contaminate ground
water prompted the development of the
Underground Injection Control (UIC)
program. The UIC program was one of the
first Safe Drinking Water Act provisions
created specifically to protect underground
sources of drinking water. An underground
source of drinking water is defined as an
aquifer or portion of an aquifer that supplies
a public water system or contains sufficient
quantity of ground water to supply a public
water system, that contains less than 10,000 UIC Injection Well Head
mg/L total dissolved solids and that is not an
exempted aquifer.
The UIC program regulates wells where various municipal, agricultural,

commercial and industrial users inject fluids underground for disposal,
hydrocarbon production and storage, or mineral recovery. The UIC program
defines an injection well as any bored, drilled or driven shaft or dug hole, where
the depth is greater than the largest surface dimension and is used to discharge
fluids underground; or a subsurface fluid distribution system. This definition
covers a wide variety of injection practices, ranging from technically sophisticated
and highly monitored wells that pump fluids into isolated formations up to two
miles below the Earth's surface, to the far more numerous on-site drainage systems,
such as septic systems, cesspools, and storm water wells, that discharge fluids a
few feet underground. The program requirements are designed to ensure that
injected fluids stay within the wells and the intended injection zones and do not
endanger underground sources of drinking water.
Injection practices not regulated by the UIC program include 1) individual

residential waste disposal systems that inject ONLY sanitary waste and 2)
commercial waste disposal systems that serve fewer than 20 people that inject
ONLY sanitary waste.

ETHANOL PLANT?
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No injection is authorized without approval from the appropriate regulatory

authority. Today, 36 states and territories have primacy for UIC programs and
EPA directly implements 17 programs. These programs regulate more than
500,000 injection wells. The UIC program also oversees the disposal of up to 89
percent of all hazardous waste that is land-disposed in the U.S. In Region 7, all
states, except Iowa, have been granted primary enforcement authority to run the
UIC program. In the case of Iowa, Region 7 directly implements that program.
These programs regulate the activities of over 33,000 active injection wells in
Region 7.
An ethanol plant is subject to the requirements of the UIC Program if:
It is disposing of storm water, cooling water, industrial or other fluids into the
subsurface via an injection well;
It has an on-site sanitary waste disposal system (e.g., septic system) that serves
or has the capacity to serve 20 or more persons; or
It has an on-site sanitary waste disposal system that is receiving other than a
solely sanitary waste stream regardless of its capacity; or
It is undergoing a remediation process where fluids are being introduced into

the subsurface via an injection well to facilitate or enhance the cleanup.
Facilities that discharge fluids to streams, ponds, lagoons, or treatment facilities are
not subject to the provisions of the UIC program but could be regulated by the
Clean Water Act.
It is important that facilities planning on using an injection well check with the
state environmental, health or natural resources office listed in the UIC section of
Appendix A before constructing a new injection well or modifying their existing
injection well to make sure that all of the necessary permits or approvals are in
place before proceeding.
Ground Water/Source Water Protection Programs
Unlike other EPA environmental programs, there is as yet no "National Ground

Water Act" with congressionally mandated legislation to protect ground water on a
national basis. Rather, EPA has chosen a two-prong approach:
1.
Almost every EPA program (e.g., Superfund, pesticides, etc.) has some
measure of ground-water protection written into its legislation. Therefore, by
carrying out these programmatic responsibilities, each program office
contributes to EPA's overall ground-water protection effort.

ETHANOL PLANT?
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2.
Since formation of EPA's Office of Ground Water Protection in 1984, the
Agency has placed the primary responsibility for developing, implementing,
and coordinating ground-water protection programs with the states.
The following is a summary of the most significant programs that might affect
ethanol plant operations:
Ground Water Protection Strategy - In 1984, EPA released its "Ground Water
Protection Strategy" in which the Agency proposed a national program to protect
ground water as a resource. Among its provisions was the principle that states are
responsible for managing the ground-water resources within their own borders. In
response to the national strategy, each state developed its own ground-water
protection strategy.
Wellhead Protection Program - The Safe

Drinking Water Act Amendments of 1986
contained a new ground-water initiative, the
Wellhead Protection Program. Congress directed
that an area around every public water supply well
be defined, managed, and protected from human-
caused sources of contamination. All of the states
in Region 7 have approved state wellhead
protection programs.
Sole Source Aquifer Program - Some aquifers are

so important as drinking water supplies that there
are no reasonably available alternative Sources if
they should become contaminated. Under the Drinking Water Intake Wells
provisions of the Safe Drinking Water Act, an
individual or group may petition EPA to designate an aquifer as a sole source
aquifer. EPA then has special authority to review projects that receive federal
financial assistance and that could pose environmental hazards to water quality.
Region 7 has no sole source aquifers.
Source Water Protection Program - The Safe Drinking Water Act Amendments
of 1996 added another initiative, the Source Water Protection Program. The
program goes beyond just protecting ground water, which previous legislation has
created, to encompass protecting the source of every communitys water supply,
regardless of whether it is from ground water or surface water. All of the states in
Region 7 have an approved state source water protection programs.
It is important that facilities check with the state environmental, health or natural
resources office listed in the Source Water Protection Program section of Appendix
A prior to construction or modification to ensure that they will comply with any
source water protection requirements before proceeding.

ETHANOL PLANT?
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1.5 Pollution Prevention Act
Pollution prevention is the practice of preventing or reducing waste where it

originates, at the source. It might include any of the following practices:
conservation of energy or natural resources;
reducing or eliminating pollutants;
equipment or technology modifications;
process or procedure modifications;
reformulation or redesign of products;
substitution of raw materials; or,
improvements in housekeeping, maintenance,
training or inventory control.
Although reducing the volume or toxicity of generated waste is the primary

pollution prevention objective, facilities implementing such activities could also
reap additional benefits. These benefits might include: reduced waste management
costs, reduced energy costs, reduced water costs, more efficient operation, and
reduced regulatory requirements.
Pollution prevention opportunities might differ from facility to facility, even if the
processes are similar. A company should conduct a pollution prevention
assessment to determine the benefits and opportunities available.
Assessing Pollution Prevention Opportunities
A pollution prevention assessment is a systematic procedure for identifying ways

to reduce or eliminate waste. The four phases of a pollution prevention assessment
are:
1.
Planning and Organization,
2.
Assessment,
3.
Feasibility Analysis, and
4.
Implementation.

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The assessment consists of a careful review of a companys operations and waste

streams and the selection of specific areas to assess. A number of options with the
potential to minimize waste are developed and screened after a particular waste
stream or area is established as the assessment focus. The technical and economic
feasibility of the selected options are then evaluated. Finally, the most promising
options are selected for implementation.
There are a number of pollution prevention guides available and assistance

providers willing to conduct pollution prevention assessments. The EPA
Publication Facility Pollution Prevention Guide (EPA/600/R-92/088) contains
step-by-step directions and pollution prevention assessment forms to help
companies with pollution prevention assessments. The Facility Pollution
Prevention Guide is at:
http://www.p2pays.org/ref/01/00370.pdf
Pollution Prevention Examples
An efficient ethanol production facility generates little waste. Typical waste

streams, such as carbon dioxide, distillers grain and syrup, are all valued products
in their own right. Carbon dioxide (given off during fermentation) can be
collected, compressed and sold for use in carbonated beverages or for flash
freezing meat. Distillers grains are high in protein and other nutrients and can be
used as livestock feed ingredients. Syrup, which is produced by some ethanol
plants, can also be sold with the distillers grains.
Ethanol production facilities might sell wastes (or co-products) as valuable

products in an effort to reduce waste and generate revenue. Pollution prevention
opportunities might also exist for other waste streams or even the general operation
of the facility. Implementing pollution prevention activities at ethanol
production facilities might reduce operating costs and improve environmental
compliance. Most pollution prevention projects will require an initial investment,
but the annual cost savings of a good project will typically pay for itself in two
years or less.

ETHANOL PLANT?
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Ethanol production facilities might

consider using Combined Heat and
Power. Combined heat and power, also
known as cogeneration, is an efficient,
clean, and reliable approach to
generating power and thermal energy
from a single fuel source. Dry mill
ethanol plants are an excellent
application for combined heat and power
with their large electric and thermal
loads. With combined heat and power,
ethanol plants can reduce the energy
intensity of ethanol production by more
than twelve percent.
Information about combined heat and
power for ethanol facilities and the
Combined Heat and Power Partnership is
available at:
http://www.epa.gov/chp/project_resources/ethanol.htm.
Award-winning cogeneration plant in Missouri

ETHANOL PLANT?
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The table below contains examples of potential pollution prevention opportunities

that might apply to ethanol production facilities. The items listed in the table do
not constitute an exhaustive list. Note: some items listed might be common
practice for most ethanol production facilities.
Pollution Prevention Example Benefits

Installing a condenser to recover ethanol Recovered ethanol can be used on
from vent discharges during distillation. site as a supplemental fuel.
Updating or replacing existing grain Reduced grain and distillers grain
loading and unloading apparatus. losses.
Updating or replacing older electric More efficient lights and electrical
motors and lights. equipment will reduce energy costs.
For dry mill operations, replace direct Reduces biochemical oxygen
contact steam use with a non-contact demand by ~50 percent and
heat exchanger. wastewater loading by ~25 percent.
Replace existing boiler and dryer fuel with Results depend on fuel. Might
a less polluting alternative reduce particulate matter, sulfur
oxides and nitrous oxides.
Recycling/reuse of process water Reduced water costs.
Capture carbon dioxide from fermentation Recovered carbon dioxide may be
process sold as product. Reduced odors.
Development of a preventive Reduced emissions and releases.
maintenance plan (environmental More efficient operation of process.
management system) to proactively
prevent leaks and releases caused by
poorly maintained equipment
Pave access roads Reduced fugitive emissions.
Combined heat and power Reduce the energy intensity of
ethanol production by more than
twelve percent.

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CHAPTER 2 WHAT LAWS APPLY TO OPERATING AN

ETHANOL PLANT?
2.1 Clean Air Act
Air Operating Permits
An ethanol plant might need to obtain an air permit for day-to-day facility
operations. There are two types of operating permits:
1. Major Source Title V Air Permits.
2. Minor Source Air Permits.
The potential emissions from the plant will determine whether a facility will obtain
a major or minor operating permit.
Major Source Title V Air Permits
The federal operating permit program, known as the Title V program, was created
by the Clean Air Act Amendments of 1990 and was designed to create a one stop
permit. The Title V operating permit compiles all of the applicable state and
federal regulatory
requirements, existing
construction permit
provisions, and
recordkeeping,
reporting, testing, and
monitoring
requirements into one
permit. The intention
behind listing everything
in one permit is to help
facilities maintain
compliance. It is common
for a facility to have
several construction permits for several pieces of equipment and it is difficult to
keep track of all of the requirements in each permit. One permit with all of the
facilitys requirements is intended to make it easier to track the requirements.
CHAPTER 2 WHAT LAWS APPLY TO AN OPERATING ETHANOL PLANT?

2-1
Public notification is also an important aspect of the operating permit program.

The public is notified when an operating permit is proposed and is given the
opportunity to comment during the 30-day public notice period. This also gives the
public an opportunity to learn about the effects the facility might have on their
environment.
Unlike a construction permit that must

be obtained prior to construction and
is valid for the entire life of the
emission unit, an operating permit must
be applied for within some period
(often 12 months) after the facility
begins operation. The operating permit
is generally issued for a specific period
of time (usually for five years) rather
than the life of the operating unit.
An ethanol plant would need to obtain a Title V operating permit if the plant
has the potential-to-emit quantities greater than 100 tons per year of any
criteria pollutant or is a major source of hazardous air pollutants
(See Page 1-13).
Minor Source Air Permits
An ethanol plant can limit the facilitys potential to emit criteria pollutants to less
than 100 tons per year by accepting operational limits in a minor source operating
permit. However, minor sources have less operational flexibility because they
must keep their emissions below the major source threshold. Minor operating
permits are not subject to review by EPA.
2 - 2

The Clean Air Act Section 112(r) - Prevention Program Requirements
Accident prevention is required by the Risk Management Program regulations,

40 CFR Part 68 under the Clean Air Act Section 112(r). An owner or operator of a
facility (also called a stationary source) that has more than the threshold quantity
of a regulated substance in a process is required to implement a risk management
program. A risk management program includes a hazard assessment, development
and implementation of an accident prevention and emergency response program,
and analyzing the consequences of worst-case and alternative (less severe)
scenarios. This information is then compiled into a Risk Management Plan, or
RMP, and provided to EPA.
The purpose of the Risk Management Program is to prevent catastrophic accidents

involving extremely hazardous substances. Explosions or other chemical accidents
can occur at ethanol production facilities.
If you arent sure whether

this rule applies to your
facility, call the
EPA HOTLINE
at:
(800) 424-9346
or
(800) 553-7672
(TDD).
If one or more processes in an ethanol facility are subject to this rule, they will
probably need to develop an accident prevention program and address emergency
response issues. In order to develop the correct level of prevention program,
facility personnel will need to determine whether it is subject to Program 1,
Program 2, or Program 3. Appendix C will help you determine your program level
and corresponding responsibilities.
2 - 3

There are 77 toxic substances and 63 flammable substances regulated by 40 CFR

Part 68. Some examples of chemicals subject to the risk management program at
ethanol plants are anhydrous ammonia, aqueous ammonia, sulfur dioxide, chlorine,
and ethylene oxide. Typically, sulfur dioxide is used in the wet-milling ethanol
production process. Anhydrous ammonia is sometimes used for adjusting or
controlling acidity and as a nutrient for the yeast that converts sugar to alcohol.
Flammable substances are used in the denaturant that are potentially regulated
under this program, such as pentane, isopentane, isobutene, and butane. A few
examples of extremely hazardous chemicals and their Risk Management Program
thresholds are listed in the table below.
Risk Management Program 40 CFR Part 68.130
Regulated Substances Threshold Quantity (in pounds)

Anhydrous ammonia 10,000
Sulfur dioxide 5,000
Chlorine 2,500
Isopentane/Pentane (denaturant) 10,000
Isobutane/Butane (denaturant) 10,000
Ethylene oxide 10,000
Aqueous ammonia (20 percent or more) 20,000
Denaturant with flammable mixture with a

National Fire Protection Association 4 rating 10,000
and more than 1 percent of listed chemical
2 - 4

2.2 Emergency Planning and Community Right to Know Act
Planning Requirements
Section 302 of the Emergency Planning Community Right to Know Act requires
facilities with regulated chemicals above threshold planning quantities to notify the
state emergency response commission and the local emergency planning
committee within 60 days after they first receive a shipment or produce the
substance on-site.
local emergency planning committees to prepare comprehensive emergency
response plans. These plans should identify all facilities subject to comply with
this section, including ethanol facilities. These plans should also describe
emergency response procedures, training schedules, and practice schedules,
amongst other requirements.
Reporting Releases
regulated facilities to report a release of an extremely hazardous substance.
Ethanol production facilities are subject to spill reporting provisions if they release
more than a reportable quantity of a chemical. A list of chemicals and their
reportable quantities can be found at 40 CFR 302.4 and 355. A few examples of
chemicals that might be spilled or released from an ethanol production facility are
listed in the table, below.
CERCLA/EPCRA Spill Reportable Quantities in 40 CFR Part 355
Hazardous Chemical Reportable Quantity

(pounds in a 24 hr period)
Anhydrous ammonia 100
Sulfur dioxide 500
Chlorine 10
Waste Ethanol D001 (Ignitability) 100
2 - 5

Initial notifications of a release can be made by telephone, radio, or in person. Any

person in charge is to immediately* report releases to the National Response
Center at (800) 424-8802 [40 CFR 302.6(a)]. Reporting should include the
following:
Chemical name or identity of the released

substance;
Indication of whether the substance is on the

Comprehensive Environmental Response,
Compensation, and Liability Act Section 302(a)
list;
Estimated quantity of release;
Time and duration of release;
Medium or media into which the release occurred;

and
Whether release threatens waterways (reporting

requirement of the Clean Water Act contained in 40
CFR 117.21).
In addition, the owner/operator of a facility is required by 40 CFR 355.40 to

immediately* report releases that are likely to produce off-site exposure and
exceed the threshold limit to all affected local emergency planning committees
and state emergency response commissions. This release report is to include:
Chemical name(s) or identity of all substances involved in the accident;
Estimate of quantity of substances released to the environment; and
Time and duration of release.
For EPCRA/CERCLA reporting purposes immediately is interpreted as not to exceed 15

minutes after the person in charge has knowledge of the release. This interpretation is
documented in A Legislative History of the Superfund Amendments and Reauthorization Act of
1986, Vol. 2, Oct. 1990.
2 - 6

The facility owner or operator is also

required to provide a written follow-
up emergency notice as soon as
possible (and within seven calendar
days) to their affected local
emergency planning committee and
state emergency response
commission after a release that
requires notification.
The written follow-up notice should

include the following:
An update of all previously provided information;
Actions taken to respond to the release;
Known or anticipated acute or chronic health risks associated with a release;

and
Advice regarding medical attention necessary for exposed individuals.
Responding to Ethanol Accidents
Fires created by fuel mixtures

composed of ethanol and
gasoline, in various
combinations, are difficult to
extinguish with conventional
fire-fighting foam. This is
because these mixtures can mix
readily with water (depending
on the percentage of ethanol),
degrading the effectiveness of
fire-fighting foam, which is
typically not alcohol-resistant.
Adding water to ethanol can Ethanol fires can be nearly invisible; only
increase the quantity of ethanol noticeable by a heat wave.
that can support combustion. As
little as 20 percent ethanol can flash in the temperature range of 100oF. A 40
percent solution can flash at about 80oF. The Pipeline and Hazardous Materials
Safety Administration recommends the use of alcohol-resistant foam to fight fires
involving ethanol fuel mixtures. The Renewable Fuels Association has a DVD
titled, Responding to Ethanol Incidents available at www.ethanolRFA.org.

2-7
Other Reporting Requirements
the facility to have material safety data sheets on site for regulated chemicals that
exceed certain quantities and to submit copies to their state emergency response
commission, local emergency planning committee, and local fire department within
three months of chemical receipt or production. This is a one-time submission that
is updated only if new chemicals are stored and/or produced.
Reporting Hazardous Chemical Storage Tier II Reporting
Chemical storage notification requirements under Section 312 of the Emergency

Planning Community Right to Know Act and 40 CFR 370 Subpart D establish
reporting for any hazardous chemical or extremely hazardous chemical that is
stored at a facility in excess of the designated threshold planning quantity. These
reports are also known as the Tier II hazardous chemical inventory form. The Tier
II reports are due to the fire department, state emergency response commission, and
local emergency planning committee by March 1 of each year. These reports
include a minimum of the following information:
The amount and the location of hazardous chemicals as defined in the

Occupational Safety and Health Administration Hazardous Communication
Standard,
Storage codes and storage

location,
Physical and health hazards,
Average daily amount

stored, and
Number of days on-site.

EPA Region 7 Photo
The purpose of the Tier II report is to provide emergency responders and the public
with important information on the hazardous chemicals in their communities for
the purpose of enhancing community awareness of chemical hazards and
facilitating development of state and local emergency response plans.

2-8
Practically all ethanol production facilities need to file a Tier II report. A list of
extremely hazardous chemicals and their threshold planning quantities can be
found at 40 CFR Part 355. There is no formal list of hazardous chemicals, but a
good rule of thumb is any chemical that has an OSHA Material Safety Data Sheet
(MSDS) could be reportable if storage exceeds 10,000 pounds. A few examples of
chemicals that an ethanol production facility may be required to file a Tier II form
are listed in the table, below.
Chemical Storage (Tier II) at 40 CFR Parts 355 & 370
Hazardous Chemical Threshold Planning Quantity

(pounds)
Anhydrous ammonia 500
Sulfur dioxide 500
Chlorine 100
Propane 10,000
Denaturant (Natural Gas

Condensate, Raw Gasoline, 10,000
Casing Gasoline, Head Gas)
Ethanol 10,000
NOx 100
Toxic Release Inventory Reporting Form A or Form R
facilities to report air emission quantities for chemicals exceeding listed amounts.
Each year these facilities are required to complete a Toxic Release Inventory (TRI)
Form A or Form R report and submit it to EPA. The purpose of the inventory is to
gather information on toxic chemicals so that the public and government can assess
the hazards of toxic releases in a community.
A list of more than 600 regulated chemicals can be found at 40 CFR 372. A few
examples of toxic chemicals released into the environment as reported by ethanol
manufacturers in Region 7 include ammonia, chlorine, nitrates, benzene,
cyclohexane, n-hexane, acetaldehyde, barium compounds, zinc compounds and
copper compounds. While the range of quantities released varies from facility to
facility, most toxic chemicals released during ethanol manufacturing are below 500
pounds per year.

2-9
Ethanol producers must keep track of the chemicals manufactured or used

throughout the year, even if they are contained in a chemical mix such as gasoline
or natural gas condensate. Information for determining the amounts of each
hazardous chemical contained within a mixture can be found in the TRI reporting
forms and instructions available at the following EPA Web address:
www.epa.gov/tri/.
If a facility meets all of the following criteria, then it must submit a TRI Form A or
Form R report to EPA by July 1 for toxic chemical releases which occurred during
the preceding calendar year:
The facility has 10 or more

full time employees; and
The facility is in Standard

Industrial Classification
major group codes or North
American Industry
Classification System
subsector and industry
codes. Applicable
classifications and codes are
listed in 40 CFR 372.22.
Updated code designations
can be found in 71 FR 108
(June 6, 2006).
The facility manufactures

(including importing),
processes, or otherwise uses
any Emergency Planning
and Community Right to
Know Act Section 313
chemical in quantities
greater than the established threshold in the course of a calendar year.
Most ethanol production facilities in Region 7 have more than 10 employees.

In addition, there are many different listed chemicals that are manufactured,
processed, or otherwise used in the production of ethanol. Therefore, most
ethanol production facilities are required to submit a Form A or R.
2 - 10

2.3 Clean Water Act
Water is required at ethanol facilities for processing and for the production of
steam that is typically used in biomass pretreatment and ethanol distillation
processes. An ethanol plants wastewater is typically comprised of cooling tower
blowdown, boiler blowdown, and water softener discharge.
In addition, stormwater runoff from the facility may be contaminated from

precipitation (rain or snow) coming in contact with plant operations and requires
adequate control and management.
Wastewater Discharge Permits
Wastewater from an ethanol plant can be disposed of in various ways. The method
of disposal determines what kind of permit is needed and what permitting authority
will issue it. In general, there are three alternatives for the disposal of wastewater:
Direct discharge to a receiving stream,
Discharge to a municipal wastewater treatment system, and
Land application.
Permits for Disposal Directly to a Water Body
Any discharge directly into a water body

(e.g. stream, river, lake, etc.) or by
conveyance (i.e., pipe, culvert) to a water
body, must be permitted prior to
discharge. In Region 7, these permits are
issued by the state in which the ethanol
facility will be located under the
National Pollutant Discharge Elimination
System (NPDES), the federal water
EPA Region 7 Photo
pollution control program created by the
Clean Water Act.
An NPDES permit regulates the amount of pollutants that can be discharged. The
permit writer will establish limits in that permit that protect the water quality of the
receiving water body. In addition to numeric effluent limitations, NPDES permits
will include monitoring, reporting, and recordkeeping requirements. Permits are
required whether or not on-site treatment occurs.

2 - 11
To receive an NPDES permit, a written application must be made with the

respective state agency 180 days prior to commencing discharge. The
application will consist of multiple forms covering different aspects of the
discharge. In general, the application forms will include:
General Information,
Existing Industrial Wastewater,
New Source and New Discharger Industrial Wastewater,
Non-Process Wastewater only, and
Stormwater Discharges Associated with Industrial Activity.
For further information, refer to the state contact information in Appendix A under
CWA National Pollutant Discharge Elimination System (NPDES) Permits.
Permits to Discharge to a Municipal Wastewater Treatment Plant
Most of the larger cities in Region 7 implement an EPA or state-approved

pretreatment program to prevent wastewater discharges from having a deleterious
affect on their treatment plant, collection system, and the water body into which
they discharge. Cities with pretreatment programs issue permits to significant
industrial users, which are those facilities that discharge a minimum of 25,000
gallons per day of wastewater, 5% of the receiving wastewater treatment plants
capacity, or have been determined by the city to have significant potential to affect
their plant and its operations. The city will require a permit application be filed
with the city pretreatment coordinator prior to discharge. The amount of time
required for the permit application to be filed prior to discharge can vary but may
be as long as 180 days. The pretreatment permit will contain numeric limits based
on local treatment plant capabilities and environmental conditions. In addition, the
permit will also contain monitoring, reporting, and recordkeeping requirements.
To determine if your city has a pretreatment program, either contact the citys
Public Works Department or contact the state pretreatment coordinator listed in
Appendix A under CWA Pretreatment Program.
2 - 12

For discharges to cities that are too small to implement a pretreatment program, the
state is the permitting authority. Depending on the state in which the plant is
located, you may be required to obtain a discharge permit or enter into a treatment
agreement with the municipality receiving the wastewater. To determine if you
will be required to apply for a permit, contact the state pretreatment coordinator
listed in Appendix A under CWA Pretreatment Program.
Permits for Land Application for Wastewater Disposal
There are no federal regulations that apply to wastewater that is properly disposed
of by land application. However, land application of wastewater may be covered
by an NPDES permit
(stormwater or non-
stormwater) where it is
determined that pollutants run
off the application site to a
water of the United States. In
Region 7, states administer
programs that establish
proper land application
procedures to ensure that
wastewaters are applied at
agronomic rates, which are
rates that plants assimilate the
nutrients in the wastewater
without pollutant loss through
runoff. For more information about land application, contact the same state
officials that are listed in Appendix A under CWA National Pollutant Discharge
Elimination System (NPDES) Permits.
2 - 13

Industrial Stormwater Permits
Industrial activity by its very nature can create pollution problems if not controlled.
Therefore, industrial facilities must obtain stormwater permits during plant
operation in addition to construction permits described in Section 1.3.
EPAs NPDES regulations

require that a stormwater
permit be obtained for
discharges to waters of the
United States from certain
industrial activities including
ethanol manufacturing.
These stormwater discharges
may be covered under the
NPDES permit issued for
controlling process and other plant discharges, or it may be covered by a separate
stormwater-only NPDES permit. Stormwater-only discharges are typically
covered under a general permit issued by the state environmental department.
Similar to the stormwater construction permit, industrial stormwater general

permits require submission of a simplified application (e.g., a Notice of Intent or
NOI) and development and implementation of a plan, often called a stormwater
pollution prevention plan, to control discharges of pollutants from the facility
during operation. In some instances, these general permits may include numeric
effluent limitations and monitoring and reporting requirements. Stormwater
controls are needed for areas of the facility exposed to precipitation such as
industrial plant yards, material and waste handling, storage areas, shipping and
receiving areas, and areas of the site where past materials/residuals still exist.
Permit application due dates vary by state in advance of commencement of

discharge from these industrial activities. Individual stormwater applications are
due at least 180 days prior to commencement of a stormwater discharges associated
with industrial activity. The state and EPA Regional contacts for industrial storm
water permitting are listed in Appendix A under CWA Stormwater.
2 - 14

Spill Prevention, Control and Countermeasure Regulations
The purpose of the Spill Prevention, Control and Countermeasure regulation is to

prevent discharges of oil into navigable waters or adjoining shorelines. The
regulation can be found at 40 CFR 112 and is implemented by the EPA.
An ethanol facility is subject to this

regulation if:
1) It is non-transportation
related;
2) It has a total above-ground oil

storage capacity greater than
1,320 gallons or a completely
buried oil storage capacity
greater than 42,000 gallons;
and
3) There is a reasonable
expectation of an oil discharge
into or upon navigable waters
of the United States or
adjoining shorelines.
When calculating oil storage capacity, the facility is required to include:
Storage capacity for oil of any kind in any form as defined in 40 CFR 112.2.
This includes oils such as gasoline and natural gasoline, which are often stored
on-site and used to denature ethanol, and ethanol that has been denatured with
oil.
Oil storage and other oil-filled equipment, such as oil-filled transformers.
2 - 15

When calculating oil storage capacity, the facility should not include:
Containers with a capacity of less than 55 gallons;
Completely buried tanks that are subject to all the technical requirements of the
Underground Storage Tank Regulation (40 CFR 280), or technical
requirements of a state underground storage tank program approved under
40 CFR 281;
Containers that are permanently closed as defined in 40 CFR 112.2; or
Parts of the facility used exclusively for wastewater treatment and not used to
satisfy any requirements of 40 CFR 112.
A reasonable expectation that the facility could discharge oil into or upon
navigable waters is based upon the location of the ethanol plant. The plants
location relative to streams, ponds,
ditches, storm or sanitary sewers,
wetlands, mud flats, sand flats, or
navigable waters should be considered.
The distance to navigable waters, volume
of materials stored, worst-case weather
conditions, drainage patterns, land
contours, soil conditions, etc., must be
taken into account. Man-made features
such as dikes, equipment or other
structures which may serve to restrain,
hinder, contain, or prevent an oil Photo Courtesy of Coast Guard
discharge may NOT be considered in the

reasonable expectation determination [40 CFR 112.1(d)(1)(i).]
Facilities that are subject to the oil spill prevention regulation must prepare and
implement a spill prevention plan. The owner or operator of a facility existing on
or before Aug. 16, 2002, must maintain and implement the current plan and amend
and implement a plan revised to meet the 2002 rule amendments on or before
July 1, 2009. The owner or operator of a facility that became operational after
Aug. 16, 2002 must prepare and implement a plan on or before July 1, 2009 or
before beginning operations, whichever is later.
A facility that transfers oil over water to or from vessels and has a total oil storage
capacity of 42,000 gallons or more, and a facility that has a total storage capacity
of 1 million gallons or more, might be subject to the Facility Response Plan
requirements in 40 CFR 112, Subpart D. For additional information about Facility
Response Plans, see Appendix F, Do I need a facility Response Plan?

2 - 16
Reporting Oil Discharges
Oil discharges must be immediately reported to the National Response Center if

they are in a quantity that may be harmful according to the Clean Water Act
Section 311(b)(4) and 40 CFR 110.6.
An oil discharge must be reported to the National Response Center if it:
violates applicable water quality standards,
causes a film or sheen upon or discoloration of the surface of the water or

adjoining shoreline, or
causes a sludge or emulsion to be deposited beneath the surface of the water

or upon adjoining shoreline.
2 - 17

2.4 Safe Drinking Water Act
The Public Water System Supervision Program
If your facility uses its own water supply source to provide

drinking water to 25 or more people per day for at least 60
days of the year, then you are covered by the Public Water
System Supervision Program and you must obtain permits for
the construction/modification and operation of the water
supply system. Even if you only use your own water source
for supplying cooling or industrial processing water, there are
several state-issued water-supply related permits that might
be required. These include:
Water Use Permit - Withdrawing or using water from a surface or

underground source typically requires a water use permit, depending on the
volume of water that will be used daily. Any increase in water withdrawal/use
could require a modification to an existing water use permit.
Well Construction Permit - Drilling a new well or modifying an existing well

requires a well construction permit.
Operator Certification Every public water system must be operated by a

trained and qualified operator who is responsible for the quality of the water
and meeting the regulatory requirements. States have programs for training and
certifying operators at a level appropriate to the level of water treatment at the
facility. It is the responsibility of the water system owner to have a certified
operator in charge.
Routine testing Your drinking water must be tested for compliance with all
the federal and state drinking water standards. The cost of sampling and
analysis are the responsibility of the water system owner. Standards are set for
microbiological contaminants, man-made chemicals and pesticides, naturally-
occurring inorganics, and contamination caused by human activity, such as lead
and nitrates. There are also requirements for operational testing, record-
keeping and reporting, correction of sanitary deficiencies, and notification of
the public when problems occur.
It is important that facilities planning to develop their own water supply or modify
their existing source(s) first check with the state environmental, health or natural
resources office listed in the public water system supervision section of Appendix
A to ensure that all of the necessary permits are in place before proceeding.
If your facility is using water from an existing water supply system such as a
municipal water supply for your drinking water source, then the Public Water
System Supervision Program does not apply. However, if you also plan to use this

2 - 18
existing water supply as the source of cooling or industrial processing water, you
should check with the system operator to make sure the system can provide a
sufficient quantity of water for your needs. This is important for industries such as
ethanol plants, which need large quantities of water for manufacturing or
processing.
The Underground Injection Control Program
The Underground Injection Control program regulates wells that are used by cities,
agriculture, business and industry to inject fluids underground for disposal,
hydrocarbon production and storage, or mineral recovery. The program defines an
injection well as any bored, drilled or driven shaft or dug hole, where the depth is
greater than the largest surface dimension and is used to discharge fluids
underground or a subsurface fluid distribution system. This definition covers a
wide variety of injection practices that range from technically sophisticated and
highly monitored wells that pump fluids into isolated formations up to two miles
below the Earth's surface to the far more numerous on-site drainage systems, such
as septic systems, cesspools, and storm water wells which discharge fluids a few
feet underground. The program requirements are designed to ensure that injected
fluids stay within the wells and the intended injection zones and do not endanger
underground drinking water sources. No injection is authorized without approval
from the appropriate regulatory authority.
Injection practices not regulated by the underground injection program include

individual residential waste disposal systems that inject ONLY sanitary waste and
commercial waste disposal systems that serve fewer than 20 persons that inject
ONLY sanitary waste.
An ethanol plant is subject to the requirements of the underground injection

program if:
it is disposing of storm water, cooling water, industrial or other fluids into

the subsurface via an injection well; or
it has an on-site sanitary waste disposal system (eg. septic system) that
serves or has the capacity to serve 20 or more people; or
it has an on-site sanitary waste disposal system that is receiving other than a
solely sanitary waste stream regardless of its capacity; or
it is undergoing a remediation process where fluids are being introduced

into the subsurface via an injection well to facilitate or enhance the cleanup.

2 - 19
Facilities that discharge fluids to streams, ponds, lagoons, or treatment facilities are
not subject to the provisions of the underground injection program but could be
regulated by the Clean Water Act.
It is important that facilities planning on using a new injection well or modifying

an existing one check with the state environmental, health or natural resources
office listed in the underground injection section of Appendix A to make sure that
all of the necessary permits or approvals are in place before proceeding.
2.5 Resource Conservation and Recovery Act - Hazardous

Waste
All ethanol plants will probably generate some quantities of hazardous waste.
However, the hazardous waste being generated might not be directly related to the
production of ethanol. Hazardous waste generation at ethanol plants is mostly
associated with other plant operations that might result in waste streams such as
gasoline, spent solvents, lab packs, various paint wastes, used oil, waste ethanol
(D001), waste lamps, and batteries. There are usually no hazardous waste
permitting requirements for ethanol plants that generate hazardous waste.
There are, however, requirements for

hazardous waste generators to properly
notify and obtain an identification number
from EPA or the applicable state
environmental agency if the plant
generates hazardous wastes in quantities
greater than 100 kg in any month.
Hazardous wastes must be properly
managed according to 40 CFR Part 262
until disposed at a permitted treatment,
storage, or disposal facility. If your
ethanol plant will have hazardous waste
transported to a treatment, storage, or
disposal facility, your facility must use a
hazardous waste manifest with an EPA
identification number.
Hazardous waste management requirements vary according to the amount of

hazardous waste a plant generates in a given month. It is important that ethanol
plants properly characterize, manage, and track each of their hazardous waste
streams from the point of generation to the ultimate treatment, storage or disposal

2 - 20
of the hazardous waste. An excellent document that provides more detailed

information about this topic is Managing Your Hazardous Waste A Guide for
Small Businesses. Facilities can find this document on the Internet at
www.epa.gov by searching for its title or publication number EPA530-K-01-005.
Underground Storage Tanks
Ethanol facilities might have underground storage tanks. Underground storage

tanks are regulated to prevent their contents from entering the environment. The
greatest potential hazard from a leaking underground storage tank is that the
petroleum or other hazardous substance can seep into the soil and contaminate
ground water, the source of drinking water for nearly half of all Americans. A
leaking underground storage tank can also present other health and environmental
risks, including the potential for fire and explosion.
An underground storage tank is

one or a combination of tanks
(including underground pipes
connected to them) used to
contain an accumulation of
regulated substances. The
volume of the tanks (including
the volume of underground
pipes connected to them) is 10
percent or more beneath the
surface of the ground.
Photo Courtesy of Missouri Department of Natural Resources
The full definition of underground storage tanks, including the exemptions, can be
found in 40 CFR 280.12. The term regulated substance is defined in
40 CFR 280.12. It includes any substance defined in Section 101(14) of the
Comprehensive Environmental Response, Compensation and Liability Act of 1980
and petroleum, including crude oil or any fraction thereof that is liquid at standard
conditions of temperature and pressure. Regulated substance includes substances
such as gasoline, diesel, fuel oils, petroleum solvents, and used oils. It does not
include any substance regulated as a hazardous waste under subtitle C.
Each of the four states in Region 7 is approved to implement underground storage

tank programs except for underground storage tanks on Indian reservations. More
information about the states programs can be found at their Web sites listed in
Appendix A.

2 - 21
This Page is

Intentionally

Left Blank

APPENDIX A SUMMARY OF LAWS PERTAINING TO ETHANOL

PRODUCTION AND CONTACTS
This appendix includes a list of contact and resource information for Region 7. Contact
information for locations outside of Region 7 may be found at www.envcap.org/statetools/
or by contacting the EPA Region where the facility is located.
Clean Air Act
For additional information about the Clean Air Act (CAA), please contact:
Law
Regulation Description Contacts
Citing
Iowa Department of Natural Resources:
- Dave Phelps (515) 281-8189
CAA 40 CFR 52.21 Air Permits
- Web site: www.iowacleanair.com
Kansas Department of Health & Environment:

New Source - John Ramsey (785) 296-1992
CAA 40 CFR Part 60 Performance - Web site: www.kdheks.gov/bar/
Standards
Missouri Department of Natural Resources:
- Kyra Moore (573) 751-4817
- Web site: www.dnr.mo.gov/env/apcp/
Maximum Nebraska Department of Environmental Quality:

Achievable
CAA 40 CFR Part 63 - Clark Smith (402) 471-4204, or
Control
Technology Melissa Ellis (402) 471-6624
- Web site: www.deq.state.ne.us
- Toll Free NDEQ Construction Permit Hotline is
1-(877) 834-0474
5DQGDOO:KLSSOH
40CFR Part 61 EPA Region 7
CAA Asbestos (913) 551-7
Subpart M
whipple.randall@epa.gov
EPA Hotline:
(800) 424-9346 or
(703) 412-9810 or
(800) 553-7672 (TDD)
CAA Risk Management
40 CFR Part 68 http://yosemite.epa.gov/oswer/ceppoweb.nsf/content/
112(r) Program
index.html
EPA Region 7: George Hess, (913) 551-7540,
hess.george@epa.gov

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National Environmental Policy Act

For additional information about the National Environmental Policy Act, please contact:
Joe Cothern
NEPA team leader
Environmental Services Division
Environmental Protection Agency Region 7
(913) 551-7148
cothern.joe@epa.gov
Clean Water Act (CWA)
CWA National Pollutant Discharge Elimination System (NPDES) Permits
Agency Contact Web Address

Angela Chen
Iowa Department of (515) 281-4736 www.iowadnr.gov/water/npdes/index.html
Natural Resources angela.chen@dnr.state.ia.us
Don Carlson
Kansas Department of (785) 296-5547 www.kdheks.gov/indust/
Health and Environment dcarlson@kdhe.state.ks.us
Rob Morrison
Missouri Department (573) 526-0991 www.dnr.mo.gov/env/wpp/permits/index.html
of Natural Resources
rob.morrison@dnr.mo.gov
Donna Garden
Nebraska Department (402) 471-1367 www.deq.state.ne.us
of Environmental Quality donna.garden@ndeq.state.ne.us
Pradip Dalal
(913) 551-7454 http://cfpub.epa.gov/npdes/home.cfm?
EPA dalal.pradip@epa.gov program_id=45

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CWA Pretreatment Program
Agency Pretreatment Coordinator Web Address

Tom Atkinson
Iowa Department of (515) 281-5054
www.iowadnr.gov/water/pretreatment/index.
Natural Resources html
tom.atkinson@dnr.state.ia.us
Kansas Department Steve Caspers
of Health and (785) 296-5551 www.kdheks.gov/indust
Environment scaspers@kdhe.state.ks.us
Missouri Richard Laux
Department of Natural (573) 751-6982 www.dnr.mo.gov/index.html
Resources richard.laux@dnr.mo.gov
Chuck Duerschner (treatment facility
construction permits)
Nebraska Department chuck.duerschner@ndeq.state.ne.us
or www.deq.state.ne.us
of Environmental
Quality Donna Garden
(402) 471-1367
donna.garden@ndeq.state.ne.us
Paul Marshall http://cfpub.epa.gov/npdes/home.cfm?
EPA (913) 551-7419 program_id=3
marshall.paul@epa.gov
CWA Stormwater

Joe Griffin
(515) 281-7017
or
Iowa Department of Terry Kirchenman
www.iowadnr.gov/water/stormwater/wh
Natural Resources o.html
(constr. permits)
(515) 281-8885
terry.kirschenman@dnr.state.ia.us
Joe Mester
Kansas Department of (785) 296-6804 www.kdheks.gov/stormwater
Health and Environment jmester@kdhe.state.ks.us
Kevin Mohammadi
Missouri Department of (573) 751-1740
www.dnr.mo.gov/env/wpp/stormwater/s
Natural Resources w-land-disturb-permits.htm
mohammadi.kevin@dnr.mo.us
Mary Schorer
Nebraska Department of www.deq.state.ne.us
(402) 471-2186
Environmental Quality mary.schorer@ndeq.state.ne.us
Tanya L. Black
http://cfpub.epa.gov/npdes/home.cfm?
EPA (913) 551-7170
program_id=6
black.tanyal@epa.gov

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CWA 404 Permits/ Wetlands Program
District\State
Contact Internet Site
Coverage
Iowa and Missouri U.S. Army
Rock Island District
Rock Island Dist. Corps of Engineers www2.mvr.usace.army.mil/
Covers Iowa except area Rock Island, Ill. Regulatory/default.cfm
covered by the Omaha (309) 794-5376
District and northeastern
part of Missouri
Nebraska U.S. Army
www.nwo.usace.army.mil/html/od-
Omaha District Omaha District Corps of Engineers
r/regwebpg.htm
Omaha Office (402) 896-0896
Nebraska U.S. Army
www.nwo.usace.army.mil/html/od-
Omaha District Omaha District Corps of Engineers
r/regwebpg.htm
Kearney Office (308) 234-1403
U.S. Army
Missouri St. Louis District Corps of Engineers
www.mvs.usace.army.mil/
St. Louis District permits/permits.html
(314) 331-8574
U.S. Army Corps of Engineers
Northwestern Division
Missouri Kansas City District
www.nwk.usace.army.mil/
Kansas City District regulatory/regulatory.htm
Kansas City, Mo.
(816) 389-3990
Kansas Northwestern Division
Kansas City District www.nwk.usace.army.mil/
Kansas City District
regulatory/regulatory.htm
Marquette, Kan.
Northern Kansas Area (785) 546-2130
Kansas Northwestern Division
Kansas City District www.nwk.usace.army.mil/
Kansas City District
regulatory/regulatory.htm
El Dorado, Kan.
Southern Kansas Area (316) 322-8247
Memphis District www.mvm.usace.army.mil/
Memphis District
Memphis, Tenn. regulatory/memphis.htm
(901) 544-0736
Little Rock District www.swl.usace.army.mil/
Little Rock District regulatory
Little Rock, Ark.
(501) 324-5295

A4 of 12
Additional information on CWA wetlands is available from the following at the EPA
Region 7 office:
State Name Phone E-mail

Iowa Jason M. Daniels (913) 551-7443 daniels.jason@epa.gov
Kansas Kathleen Mulder (913) 551-7542 mulder.kathy@epa.gov
Missouri Vicky Johnson (913) 551-7564 johnson.vicky@epa.gov
Nebraska Eliodora Chamberlain (913) 551-7945 chamberlain.eliodora@epa.gov
Construction Industry Compliance Assistance Center may be found at

http://cicacenter.org/wetlands.html
CWA Chemical Release Notification Requirements
Law and
Subject Who to Notify When
Regulation
CWA
National Response Center
CWA Release
40 CFR 110 &

(800) 424-8802 Immediately
Notification
40 CFR 117
Notification of Slug
CWA
POTW, State Pretreatment Program Immediately

Loading to POTW
40 CFR 403
Notification of
EPA Regional Underground Injection

Hazardous Waste
CWA
Control Well Program, and state Immediately

Discharge to Septic
40 CFR 144
injection program
System
State Statutes
State Laws
State Environmental Agency Varies

A5 of 12
Emergency Planning and Community Right to Know Act (EPCRA)
EPCRA Chemical Release Notification Requirements
Law and
Subject Who to Notify When
Regulation
-State Emergency Response Commissions (SERC)s:
Iowa Department of Natural Resources
(515) 281-8694
Kansas Division of Emergency Management
(785) 296-8013 or (800) -275-0297
EPCRA Missouri Department of Natural Resources
EPCRA (573) 634-2436

Release Immediately*
40 CFR 355 Nebraska Department of Environmental Quality
Notification
(402) 471-2186 or (402) 471-4230;
Evenings and Weekends call Nebraska State Patrol
(402) 471-4545
-Local Emergency Planning Committee (LEPC)
CERCLA CERCLA National Response Center

Release 40 CFR 300, (800) 424-8802 Immediately*
Notification 302
State
State Laws State Environmental Agency Varies
Statutes
For Emergency Planning/Superfund reporting purposes immediately is interpreted as not to exceed

15 minutes after the person in charge has knowledge of the release. This interpretation is documented
in A Legislative History of the Superfund Amendments and Reauthorization Act of 1986, Volume 2,
October 1990.

A6 of 12
Reporting Hazardous Chemical Storage Tier II Reporting (EPCRA 312)
Tier II
Admini- Tier II Reporting Contact
stration
Submit to:
Iowa Adam Broughton Adam Broughton
Department of Emergency Response Unit Phone: (515) 281-8694
Natural Iowa Department of Natural Resources Fax: (515) 725-0218
Resources 401 SW 7th Street, Suite I emergencyresponse@dnr.state.ia.us
Des Moines, IA 50309
Web site:
www.kdhe.state.ks.us/bar/index.html
Submit to:
Kansas State Emergency Response Commission
1000 SW Jackson; Suite 310
Kimberly Steves
Kansas Topeka, KS 66612-1366
ksteves@kdhe.state.ks.us
Division of
Phone: (785) 296-4359
Information regarding the reporting process,
Health and
Fax: (785) 296-1545
instructions, or blank forms may be requested by
Environment
writing to:
Kansas State Emergency Response Commission
1000 SW Jackson; Suite 310
Topeka, KS 66612-1366
or calling (785) 296-1688, (785) 296-1689, or
(785) 296-1691
Web site: http://hazmat.dps.mo.gov/
Submit to:
Missouri Emergency Response Commission
For more information, including
Missouri 2302 Militia Drive
sample forms and instructions, visit
Emergency
PO Box 3133
http://hazmat.dps.mo.gov/
Response
Jefferson City, MO 65102
(800) 780-1014
Commission
Or (573) 526-9239
Special Instructions:
Fax - (573) 526-9261
Submit all Tier II reports on the MISSOURI TIER
TWO Electronic filing tool located at
http://hazmat.dps.state.mo.us
Submit to:
Nebraska Nebraska Deptartment of Environmental Quality Mark Lohnes
Department of 1200 N Street, Suite 400 (402) 471-4251
Environmental P.O. Box 98922 mark.lohnes@ndeq.state.ne.us
Quality Lincoln, NE 68509
www.deq.state.ne.us/EAD.nsf/Pages/NEPCRA

A7 of 12
Toxic Release Inventory Reporting (EPCRA 313)
Agency TRI Reporting Contact
Submit to:
For TRI reporting questions, you may
Iowa Adam Broughton
contact Adam Broughton at:
Department Emergency Response Unit
Phone: (515) 281-8694
of Natural Iowa Department of Natural Resources
Fax: (515) 725-0218
Resources 401 SW 7th Street, Suite I
emergencyresponse@dnr.state.ia.us
Des Moines, IA 50309
Submit to:
Kimberly Steves, Environmental Health Scientist
Kansas Department of Health and Environment

For TRI reporting questions, contact
Kansas Bureau of Air & Radiation

Kimberly Steves at:
Asbestos & Hazardous Chemical Information Unit

ksteves@kdhe.state.ks.us
Department of
1000 SW Jackson, Suite 310

Phone: (785) 296-4359
Health and
Topeka, KS 66612-1366
Fax: (785) 296-1545
Environment
Web Site:
www.kdhe.state.ks.us
Submit by Certified Mail Only to:

TOXICS RELEASE INVENTORY
c/o Todd Crawford, PE

Missouri Missouri Department of Natural Resources
Todd Crawford at:
Department of
Division of Environmental Quality
todd.crawford@dnr.mo.gov
Natural
1101 Riverside Drive
Toll Free: 1-800-361-4827
Resources
Jefferson City, MO 65101
Phone: (573) 571-6892
Fax: (573) 571-9227
Web Site:
www.dnr.mo.gov/env/tri/index.htm
Submit by Certified Mail Only to:
Mark Lohnes
SARA Title III and NEPCRA Coordinator

Nebraska Nebraska Department of Environmental Quality

Mark Lohnes at:
Department of
1200 N. Street, Suite 400
mark.lohnes@ndeq.state.ne.us
Environmental
Lincoln, NE 68509
Phone: (402) 471-4251
Quality
Fax: (402) 471-2909
Web Site:
www.deq.state.ne.us

A8 of 12
Resource Conservation and Recovery Act (RCRA)
RCRA Hazardous Waste

Edwin G. Buckner, PE
Iowa RCRA Enforcement and
(EPA Region 7) State Programs Branch www.epa.gov
(913) 551-7621
buckner.edwin@epa.gov
Jim Rudeen
Kansas Department of Bureau of Waste
www.kdheks.gov/waste/index.html
Health and Environment Management
(785) 296-1600
Missouri Department of Tom Judge
www.dnr.mo.gov/env/hwp/index/html
Natural Resources (573) 751-0752
Nebraska Department of Morgan Leibrandt

www.deq.state.ne.us
Environmental Quality (402) 471-4217
Edwin G. Buckner, PE
RCRA Enforcement and
EPA State Programs Branch www.epa.gov
(913) 551-7621
buckner.edwin@epa.gov
RCRA Underground Storage Tanks
State Agency Internet Address

Iowa Department of Natural Resources www.iowadnr.gov/land/ust/index.html
Kansas Department of Health and www.kdheks.gov/tanks/index.html

Environment
Missouri Department of Natural www.dnr.mo.gov/env/hwp/tanks/tanks.htm
Resources
Nebraska State Fire Marshal www.sfm.ne.gov
Nebraska Department of Environmental www.deq.state.ne.us

Quality

A9 of 12
Safe Drinking Water Act (SDWA)
SDWA Public Water Supply Supervision Program

Dennis Alt
Iowa Department of (515) 725-0275 www.iowadnr.gov/water/drinking
Natural Resources dennis.alt@dnr.state.ia.us
Don Carlson
Kansas Department of (785) 296-5547 www.kdheks.gov/indust
Health and Environment dcarlson@kdhe.state.ks.us
Steve Sturgess
Missouri Department of (573) 751-1187 www.dnr.mo.gov/env/wpp/dw-index.htm
Natural Resources steve.sturgess@dnr.mo.gov
Jack Daniel
Nebraska Department of (402) 471-0510 www.hhs.state.ne.us/enh/pwsindex.htm
Health and Human Services jack.daniel@hhs.state.ne.us
Mary Mindrup
(913) 551-7431
EPA mindrup.maryp@epa.gov www.epa.gov/safewater/pws/index.html
SDWA Underground Injection Control Program

Kurt Hildebrandt
Iowa Implemented by (913) 551-7413 www.epa.gov/region07/water/dwgw.htm
EPA-Region 7 hildebrandt.kurt@epa.gov
Kansas Department Kirk Hoeffner

of Health and (785) 296-5551 www.kdheks.gov/geo
Environment k.hoeffner@kdhe.state.ks.us
Missouri Jeff Jaquess

(573) 368-2195 www.dnr.mo.gov/index.html
Department of Natural
Resources richard.laux@dnr.mo.gov
David Miesbach
Nebraska (402) 471-4982
Department of www.deq.state.ne.us/GroundW.nsf/Pages/UIC
david.miesbach@ndeq.state.ne.us
Environmental Quality
Kurt Hildebrandt
(913) 551- 7413 www.epa.gov/safewater/uic
EPA hildebrandt.kurt@epa.gov

A10 of 12
SDWA Source Water Protection Program

Rebecca Ohrtman
Iowa Department of (515) 281-0932
www.iowadnr.gov/water/watershed/source
Natural Resources water.html
rebecca.ohrtman@dnr.state.ia.us
Kansas Department Sheryl Ervin

of Health and (785) 296-8038 www.kdheks.gov/nps/swap/
Environment servin@kdhe.state.ks.us
Missouri Frank McDaniels

www.dnr.mo.gov/env/wpp/
Department of Natural (573) 526-5449
wellhd/
Resources frank.mcdaniels@dnr.mo.gov
Nebraska Deana Barger

www.deq.state.ne.us/GroundW.nsf/Pages/
Department of 1(402) 471-6988
WHPA
Environmental Quality deana.barger@ndeq.state.ne.us
Stephane Lindberg
(913) 551-7423 cfpub.epa.gov/safewater/sourcewater/
EPA lindberg.stephanie@epa.gov
Spill Prevention, Control and Countermeasure (SPCC)
For more information about the SPCC/FRP rule:

please visit http://www.epa.gov/oilspill,
call the toll free EPA Hotline at (800) 424-9346, or
obtain a copy of the SPCC Guidance for Regional Inspectors at
http://www.epa.gov/oilspill/guidance.htm.
To speak with someone from EPA Region 7, please contact:
Ward Burns, burns.ward@epa.gov, (913) 551-7960,

Alan Hancock, hancock.alan@epa.gov, (913) 551-7647, or
Paul Doherty, doherty.paul@epa.gov, (913) 551-7924 (for facility response plan
questions).

A11 of 12
Pollution Prevention (P2)
To contact EPA Region 7 P2 staff, call toll free: (800) 223-0425
P2 Internet Sites:
- EPA Region 7 Pollution Prevention www.epa.gov/region07/p2
- EPA Pollution Prevention www.epa.gov/p2
- Pollution Prevention Resource Information Center www.p2ric.org/
- EnviroSense http://es.epa.gov/
Recommended P2 EPA Publication:

- Facility Pollution Prevention Guide (EPA/600/R-92/088)

A12 of 12
APPENDIX B EMERGENCY PLANNING
B.1 Emergency Response Program Development

An emergency response program should be proactive and ongoing. EPA
interprets response to be consistent with Occupational Safety and Healths
Hazardous Waste Operations and Emergency Response (HAZWOPER) Standard
(29 CFR 1910.120). OSHA defines emergency response as, a response effort by
employees from outside the immediate release area or by other designated
responders...to an occurrence which results, or is likely to result, in an
uncontrolled release of a hazardous substance.
Response Program Development

should involve:
1. Systematic Planning;
2. Local Emergency Medical

Service Personnel; and
3. Consideration of
Counterterrorism Measures.
Ethanol fire drill using 500 gallons
Response actions during the first few minutes of release are the most critical.
They should not only be planned, but also well rehearsed to minimize the effects
of a release. Facilities that take a comprehensive approach in developing a
facility-specific emergency response program are better prepared to respond in a
release event.
An emergency response plan outlines the action and

equipment necessary for effective emergency response.
However, a facility must conduct training, evaluate its
program, maintain emergency equipment, and regularly
coordinate with local agencies in order for an emergency
response plan to be useful in an emergency.

B1 of 12
Systematic Planning
The following outline is an approach to an emergency response program. These

proactive efforts should enable a facility to efficiently integrate facility-specific
information, key technical and management resources, and relevant existing
emergency response programs that might require coordination.
1. Identify Federal, State, and Local Regulations Relevant to Emergency

Response
Applicable regulations and guidance documents need to be identified for the

development of your facility emergency response program. Facilities are
encouraged to contact the EPA hotline at (800) 424-9346 or for help
identifying appropriate federal and state regulations.
2. The Program Development Team
A facility should select a team of employees who bring expertise from each
of its functional areas. Ideally, the team members should also have varying
degrees of emergency response responsibilities and experience within and
outside the facility. A three-member team for a small facility might involve
a couple of process operators who are cross-trained as emergency
responders. A large facility with its own response team might need
representatives from the following areas:
Maintenance;
Operations or Production Personnel;
Process or Upper Management;
Legal or Public Affairs;
Fire and Hazmat Response;
Environmental, Health, and Safety;
Security;
Emergency Coordinator; and
Labor Relations or Personnel.

B2 of 12
3. Collect Existing Facility Specific Documents and Information
Members of the development team should collect, review, and maintain copies
of the following types of facility-specific materials:
Site plans;
Existing emergency plans or procedures;
Submissions to the local emergency planning committee;
Hazard evaluation and release modeling information;
Hazard communication and emergency response training;
Emergency drill and exercise programs;
After-action reports and response critiques; and
Mutual aid agreements.
The team might also identify related program materials from the following
sources:
Corporate and industry sponsored safety, training, and planning efforts;

and
Federal, state, and local government safety, training, and planning efforts.
Under CAA Section 112(r)(1), facilities have a general duty:
to use appropriate hazard assessment techniques to identify hazards that

might result from release;
to design and maintain a safe facility, taking such steps as necessary to

prevent releases; and
to minimize the consequences of accidental releases, which do occur.

B3 of 12
Facilities are responsible under this General Duty Clause for ensuring that any
process release can be effectively handled. Facilities that rely on local responders
must determine if the local responders have suitable equipment and training. If
they do not, the facility must take steps to meet any needs (e.g., develop facility
response capabilities, develop mutual aid agreements, hire response contractors,
partially fund local responders).
4. Identify Emergency Response Gaps
The team or a leadership subset should use the information collected to assess
compliance with each emergency response program element of EPAs Risk
Management Program (40 CFR Part 68). This assessment will expose gaps
that exist.
Facilities complying with Occupational Safety and Healths Hazardous Waste

Operations and Emergency Response Standard will typically already satisfy
most or all of EPAs requirements. An assessment of the gaps will help the
team focus their efforts. (Note: Even if a facility is complying with OSHAs
HAZWOPER Standard, it must submit a risk management plan to EPA as
required by 40 CFR Part 68.)
5. Tailor Emergency Response Program to Facility Specific Hazards

All processes and chemicals at a facility pose a variety of hazards, making it is
necessary to tailor elements of an emergency response program to facility-
specific hazards.
Some common considerations of facility-specific hazards include the facilitys

susceptibility to the following:
Fires, spills, and vapor releases;
Floods, temperature extremes,
tornadoes, earthquakes, and
hurricanes;
Loss of utilities (including power
failures and brownouts);
Train derailments, vehicle
accidents, bomb threats, and other
man-made disasters; and
Chemical incompatibilities; e.g. ammonia and chlorine.

B4 of 12
6. Integrate Emergency Response Program Throughout Existing Plans
Many federal statutes and regulations require emergency response planning.

Plans for specific responses can leave personnel and emergency responders
confused. Many facilities have developed an integrated contingency plan to
consolidate emergency plans into a single response plan. Here is a suggested
ICP format:
Introduction
Background Information
Facility Overview
Scope and Objective of ICP
Core Emergency Response Plan
Essential procedures to initiate, conduct, and terminate an emergency

response
Procedures for emergency recognition, notification, and initial response

(e.g., assessment, mobilization, implementation)
Supporting Annexes
Key supporting information and information required for regulatory

compliance, such as:
Emergency Response Teams
External Notification
Evacuation Assembly Areas
Emergency Response Equipment
Incident Command
Spill Prevention, Control and Countermeasures Plans
The National Response Team, a multiagency group led by EPA, published

integrated contingency plan guidance in the Federal Register (61 FR 28642)
June 5, 1996. The guidance provides a mechanism for consolidating
multiple plans, prepared to comply with various regulations, into a single,
functional emergency response plan.

B5 of 12
7. Prepare Written Emergency Procedures
Facilities are required by risk management program regulations 40 CFR 68.52

(b)(4) and 40 CFR 68.69(a)(iv) to prepare written emergency shutdown
procedures and instructions for operators, emergency responders, and others.
At a minimum, these materials should be developed for each of the most
likely emergency scenarios (e.g., power failure, fire event). These materials
should include the following:
A manual of standard operating instructions,
A system drawing showing the integral parts and their locations,
Emergency shutdown procedures and subsequent start-up procedures,
A table of the ranges of safe operating parameters measured at crucial

locations,
Safety procedures to be exercised at various locations, and
An emergency response flow chart.
8. Develop and Maintain Emergency Tools
There are a number of tools that can be

used to assist in a more orderly response
during an emergency.
One such tool in the event of an

accidental release of volatile chemicals
is a wind sock. A wind sock can be an
extremely helpful emergency tool as it
can help determine wind direction and
approximate wind speed at a glance.
This information will help determine
which direction the chemical is heading
and help estimate approximate distance
of the release. Facilities should mount
wind socks in appropriate places and
incorporate their use in their emergency response plans.

B6 of 12
Some facilities have developed posters and signs with information for
employees and emergency responders. These materials should be effective
for the intended people (e.g., other languages, appropriate reading level,
locations of signs relative to hazards and emergency exits).
For example: the significance of the position of the windsock and its
implications relative to evacuation routes should be discussed with all staff
members so that an orderly emergency response will result.
Process flow diagrams (also referred to as P&IDs), ladder/logic diagrams, or

single line diagrams should be kept up to date and incorporated into operator
training programs. Some facilities laminate the P&IDs and/or ladder/logic
diagrams and then post them adjacent to the equipment and store a copy with
on-site emergency response equipment and plans.
Role of Emergency Medical Service (EMS) in Planning
An integrated emergency medical response is critical in an emergency. People

seriously injured by a hazardous material have a greater chance of recovery when:
Appropriate emergency treatment is provided by prepared EMS personnel at

the scene;
The patient is transported to a facility having the most appropriate personnel

and technical resources; and
Communication with the medical facility is open to relay information

regarding the material affecting the patient.
EMS agencies are crucial links in the

community response system and are
often the first to arrive at an
emergency scene. They must be
able to assess the nature of the
hazard while attending to the
immediate needs of victims.

B7 of 12
The absence of EMS personnel in emergency response planning has resulted in

the following types of problems:
Incidents poorly managed by facility personnel and first responders;
Ineffective communication channels and/or redundant or no
communication between private and public sectors;
Medical facilities inadequately prepared to treat or manage incoming

patients involved in hazardous materials injuries; and
Medical staff not informed as to the lethal effects of a chemical release.
EMS personnel reinforce the importance of defining safe response scenarios,

medical practices, and transportation guidelines in an emergency. They will also
be critical links in collaborating with other response agencies (e.g., police and fire
departments and hospitals).
EMS personnel should also participate in annual disaster drills and emergency
plan reviews, keeping in mind lessons learned during other emergency events.
Your state emergency response commission and your local emergency planning
committee play extremely important roles in emergency response planning. Their
roles are:
State Commission:
Establish local emergency planning districts,
Establish procedures for handling public requests for information,
Appoint and oversee local emergency planning committees,
Review local committees emergency plans,
Local Committee:
Prepare and maintain a comprehensive emergency response plan for the
district,
Provide hazardous chemical data to the public, and
Respond to or coordinate response.

B8 of 12
Counter-Terrorism (CT) Measures
Before specifically considering CT, a facility should ensure their emergency plan
is up to date. Simply adding CT materials to an outdated plan will not produce an
effective emergency plan. For example, review of an emergency plan sometimes
identifies outdated emergency contact information or process modification and
facility construction that had not yet been addressed. After updating an
emergency plan, a facility should consider adding information and procedures
related to potential terrorist threats.
Facility owners/operators should review their emergency response plan based on

the following considerations:
1. Emergency Contact Information
The National Response Center is the sole federal point of contact for
reporting chemical spills/releases. NRC duty officers take reports of actual
or potential terrorism, then link emergency calls to the following:
Department of Defense (for technical advice on dealing with weapons of

mass destruction), and
Federal Bureau of Investigation (to initiate federal response actions and

incident investigations).
2. Response Functions
An emergency response plan should clearly define responsibilities in an

event. The plan should indicate how response functions change if an
emergency occurs as the result of a known or suspected terrorist event. For
example, an Incident Command System might transition to a Unified
Command structure. The change in response leadership is typically
necessary to accommodate emergency response efforts that involve mutual-
aid partners and state and federal responders.

B9 of 12
3. Hazards Analysis
Weapons of mass destruction (e.g., explosive, chemical, biological, and

nuclear) should be considered when reviewing the hazards analysis portion
of an emergency response plan. A facility should identify potential targets
and their vulnerability to attack. Such a review would result in
improvements to help ensure a facility is adequately protected. The
emergency response plan is generally made publicly available and
should not include details of the security system(s).
4. Mitigation Procedures
Procedures included in an emergency response plan should involve

consequence management efforts. The mitigation activities should be
designed to protect workers and the public from further exposure to hazards.
In general, public health officials, emergency medical service personnel, and
criminal investigators should work together to identify and mitigate hazards
following an event. The emergency plan could include a list of basic
questions to ask victims, affected emergency responders, and other
individuals in the affected population. Information and effective
communication are critical in identifying and mitigating effects of a terrorist
incident.
Active and passive mitigation systems should be considered. Passive

mitigation means equipment, devices, or technology that function without
human, mechanical, or other energy input. Examples of passive mitigation
include dikes and enclosed systems. Active mitigation means equipment,
devices, or technologies that need human, mechanical, or other energy input
to function. Examples of active mitigation include interlocks, shutdown
systems, pressure-relieving devices, flares, emergency isolation systems, and
fire protection systems.
The system design, location, operating procedures, and emergency response

procedures should be taken into consideration when determining the
mitigation system to use. The design of the mitigation system should
consider the different factors that would influence the system operation and
potential release scenarios.

B10 of 12
B.2 Emergency Planning and Response Guidance

The following materials are available for additional assistance in developing your
emergency response program:
Criteria for Review of Hazardous Materials Emergency Plans (NRT-1A),

National Response Team, May 1988.
Provides evaluation criteria for emergency response plans.
Emergency Response Guidebook, U.S. Department of Transportation, 2000.

Lists more than 1,000 hazardous materials and provides general hazard
information and recommended isolation distances.
Hazardous Materials Emergency Planning Guide (NRT-1), National

Response Team, 1987.
Designed to help communities plan for hazardous materials incidents and
includes useful information on planning teams, plan review, and ongoing
planning efforts.
Hazardous Materials Guide for First Responders, Federal Emergency

Management Association and U.S. Fire Administration, 1998.
LEPCs and Deliberate Releases: Addressing Terrorist Activities in the

Local Emergency Plan, EPA 550-F-01-005, August 2001.
Discusses how counterterrorism measures can be incorporated into emergency
planning.
NIOSH Pocket Guide to Chemical Hazards, NIOSH Publication No.

2000-130, July 2000.
Provides 10 relevant databases, including recommendations for chemical
protective clothing, toxicologic chemical reviews, and the 2000 Emergency
Response Guidebook.
Integrated Contingency Plan, National Response Team, 61 FR 28642, June

5, 1996. Guidance on consolidating multiple plans into a single, functional
emergency response plan that complies with various federal regulations.

B11 of 12
B.3 Practicing Your Plan

Effective responses to chemical releases
require practice in addition to planning.
Emergency responders must practice
evaluation, isolation, containment and
mitigation to prevent catastrophic
releases. The following should be
reviewed and practiced, as applicable, on
a regular basis:
Typical Chemical Accidents
Exposure Limits For Chemicals
Requirements under Part 68 of the Clean Air Act - Risk Management

Program
Inspect Emergency Equipment

Emergency equipment should be inspected regularly
to ensure respirators and other equipment are
available, accessible, and usable. Air-purifying
respirators must have appropriate and unexpired
cartridges. Self-contained breathing apparatus air
should be suitable for the temperature in which the
SCBA will be worn. Facilities should also
periodically verify that on-site response personnel are
Inspect Emergency
trained and fit-tested for the proper use of the

Equipment Regularly
emergency equipment.
Establish Emergency Shutdown and Start-up Procedures

Establish and practice emergency shutdown and start-up procedures on what
to do during and after a power failure.
Conducting Emergency Response Drills

Numerous facilities are beginning to stage realistic response exercises with
their local fire department or their hazmat emergency response teams. The
response drills should all be announced and involve preplanning to ensure
they are realistic but different from recent drills. All emergency responders
(on-site and off-site) should suit up as part of each drill event.
Facilities have used regular emergency response drills to maintain and

increase public awareness. Facilities might involve citizens in the immediate
vicinity of their property. Emergency response and preparedness brochures
might be distributed to nearby residences and businesses.

B12 of 12
APPENDIX C - CLEAN AIR ACT SECTION 112(r) - PREVENTION

PROGRAM REQUIREMENTS
C.1 Determine Your Facilitys Program Level

If you have determined that your facility is subject to 40 CFR Part 68, you will
first need to ascertain whether your facility is subject to PROGRAM 1,
PROGRAM 2, or PROGRAM 3. This appendix will guide you in making that
determination as well as your corresponding responsibilities.
Your facility is subject to PROGRAM 1 if:
The process has not had an accidental release of a regulated substance that
resulted in death or injury, or required restoration of an environmental
receptor, within five years of the date you submit your facilitys risk
management plan;
Your process has worst-case release scenarios with no possible effect to

public receptors; and
Your process has emergency response procedures coordinated with local

responders.
It has any process that does not meet criteria for Program 1 or Program 3.
It has any covered process in North American Industrial Classification

System (NAICS) code 32211, 32411, 32511, 325181, 325188, 325192,
325199, 325211, 325311, 32532; or
It has any covered process that does not meet the eligibility requirements
for Program 1 and the process is subject to the Occupational Safety and
Health process safety management standard (29 CFR 1910.119). Most
ethanol plants that handle risk management plan toxic chemicals are
Program 3 facilities.
If you arent sure whether this rule applies to your facility or which
program (1, 2, or 3) applies, call the
EPA HOTLINE for assistance at:
(800) 424-9346 or (800) 553-7672 (TDD).
APPENDIX C CLEAN AIR ACT SECTION 112(r) - PREVENTION PROGRAM
REQUIREMENTS
C1 of 10

C.2 Program Responsibilities

Once you have determined your facilitys program level, the following table
summarizes what the corresponding requirements are.
Program Level Program 1 Program 2 (40 CFR 68.12 (c))

40 CFR 68.12 (b) &
Program 3 (40 CFR 68.12 (d))
Management
None required Required
System
HAZARD ASSESSMENT
One worst-case representative of all
Worst-Case regulated toxics and one
One for each covered process.
Scenario representative of all regulated
flammables.
One for each regulated toxic and one
Alternative Release None required
representative of all flammables.
Provide information for accidental
releases from covered processes that
resulted in:
Five-Year Program 1 facilities have 1. On-site deaths, injuries, or
Accident History certified no accidents. significant property damage; or
2. Off-site deaths, injuries,
evacuations, sheltering in place,
property damage, or
environmental damage.
Prevention
None required Required
Program
Must ensure that facility is

included in the community
emergency response plan. Required if not included in
Emergency
For facilities with only Community Emergency Response
Response Program
flammables, coordinate Plan.
response actions with local
fire department.
Submit a Risk
Required Required
Management Plan
REQUIREMENTS
C2 of 10

Management System
The management system referred to in the table on the previous page is a

requirement for Program 2 and 3 facilities to oversee their risk management
programs. Facilities are required by 40 CFR 68.15 to do the following:
1. Develop a management system to oversee implementing the risk

management program elements;
2. Designate a qualified person or position with the overall responsibility for

developing, implementing, and ensuring integration of the risk management
program elements; and
3. Document names of people or positions and define lines of authority through

an organizational chart or other similar document.
Hazard Assessment
The hazard assessment referred to in the table on the previous page must include a
worst-case scenario for Program 1 facilities and an off-site consequence analysis
for each covered Program 2 or 3 process as follows:
Worst-case and alternative release scenarios require that potential

exposures to human populations be quantified and potential environmental
damage identified;
Revised analyses and a revised risk management plan are required by 40

CFR 68.36 within six months of changes in processes or any changes that
increase or decrease the distance to an endpoint by a factor of two or
more; and
Worst-case and alternative release scenarios must be reviewed and
updated at least once every five years.
Many facilities provide an accurate map showing these scenario distances

(although not required) to the local emergency planning committee for their
planning purposes.
Facilities subject to EPAs risk management program must also provide

information on any accidental releases that resulted in deaths, injuries, significant
property damage, evacuations, sheltering in place, or environmental damage.
REQUIREMENTS
C3 of 10

Hazard Assessment Resources
Risk Management Program Guidance for Offsite Consequence

Analysis, available at http://www.epa.gov/ceppo/.
Appendix E of EPAs General Risk Management Program Guidance,

available at http://www.epa.gov/ceppo/.
EPAs Technical Background Document for Offsite Consequence Analysis

for Anhydrous Ammonia, Aqueous Ammonia, Chlorine, and Sulfur Dioxide
(April 1999), available at http://www.epa.gov/ceppo/.
RMP*CompTM software program developed by the National Oceanic and

Atmospheric Administration and EPA, available at
http://yosemite.epa.gov/oswer/ceppoweb.nsf/content/rmp-comp.htm.
Facilities may choose to use publicly available or proprietary air dispersion

models to do off-site consequence analysis. However, modelers should carefully
review 40 CFR 68 requirements and EPAs General Risk Management Program
Guidance to ensure compliance with the required conditions.
Prevention Program
Please consider the following when building a prevention program on

Occupational Safety and Healths process safety management standard or creating
a new program:
Assessing all hazards that could affect the public or the environment off
site;
Integrating elements of the prevention program to ensure each change in

any element in the program leads to review of other elements;
Involving staff early on to secure their input in developing a concise and

comprehensive program;
Visiting facilities that have successful accident prevention programs to

learn of their implementation procedures; and
Applying inspection checklists to determine areas in need of improvement.
REQUIREMENTS
C4 of 10

Your prevention program requirements might already be satisfied if your facility

is in compliance with Occupational Safety and Healths process safety
management standard, which is the basis for the Risk Management Program 3,
with the addition of the off-site consequence analysis. Program 3 regulatory
references are listed on the next page.
Program 2 prevention requirements address process safety management elements

tailored to the less complex processes and chemical usage and involve less
documentation than Program 3. Program 2 processes demonstrate compliance by
following industry standards and codes, engineering practices, and federal and
state regulations. Program 2 regulatory references are listed below.
Program 1 processes have no prevention program requirements.
Prevention Program Regulatory Reference
Section Program 2 Section Program 3

68.48 Safety Information 68.65 Process Safety
Information
68.50 Hazard Review 68.67 Processes Hazard
Analysis
68.52 Operating Procedures 68.69 Operating Procedures
68.54 Training 68.71 Training
68.56 Maintenance 68.73 Mechanical Integrity
68.58 Compliance Audits 68.75 Management of Change
68.60 Incident Investigation 68.77 Pre-Startup Review
68.79 Compliance Audits
68.81 Incident Investigation
68.83 Employee Participation
68.85 Hot Work Permit
68.87 Contractors
REQUIREMENTS
C5 of 10

Five-Year Accident History
A five-year accident history must be completed and included within a facilitys

risk management plan by 40 CFR 68.42 and 68.168 if the release caused at least
one of the following:
On-site deaths, injuries, or significant property damage; or
Known off-site deaths, injuries, property damage, environmental damage,

evacuations, or sheltering in place.
The facilitys risk management plan must be modified to include a reportable

accident within six months after its occurrence. 1A five-year accident history
report must include:
Date and Time. Date and approximate time when accidental release
began.
Chemical(s).
Quantity Released. Estimate of amount released (using at least two

significant digits when possible).
Release Event. Identify cause of release event (e.g., gas release, liquid
spill, evaporation, fire, explosion).
Release Source. Indicate release source(s) (e.g., storage or process

vessel, piping, transfer hose, valve, pump).
Weather Conditions. On-site weather station, or the nearest weather

station, information (e.g., wind speed and direction, temperature,
atmospheric stability class, precipitation). Also, many local airports will
have and provide current weather conditions.
On-Site Impacts. On-site effects including deaths, injuries, property

damage.
Known Off-Site Impacts. Deaths, injuries, evacuations, shelter-in-place,

environmental damage.
Initiating Event. Immediate cause of accident (e.g., equipment failure,

human error, weather conditions, theft).
REQUIREMENTS
C6 of 10

Contributing Factors. Factors contributing to the release, but not the

initiating event. For example, equipment failure, human error, improper
procedures, over pressurization, upset condition, bypass condition,
maintenance activity/inactivity, process design, unsuitable equipment,
unusual weather conditions, management error.
Off-site Emergency Responder Notifications. If known, indicate the

emergency response agencies that were contacted (e.g., police, fire, EMS,
LEPC, SERC, NRC).
Changes Resulting from Accident. Measures taken to prevent

recurrence (e.g., improved/upgraded equipment, revised maintenance,
revised training, revised operating procedures, new process controls, new
mitigation systems, revised emergency response plan, changed process,
reduced inventory).
Emergency Response Program
A facility has the option to coordinate its response with its LEPC, with the intent
that the facility employees will not be responding to an accidental release (40
CFR 68.90(b)). If this is the case, then the emergency response program must
have mechanisms in place to notify emergency responders and the facility is not
required to comply with the requirements of 40 CFR 68.95, as described
below.
If the facility employees will be responding to the emergency, Program 2 and

Program 3 facilities and its employees must follow the steps outlined in the
emergency response program (40 CFR 68.95). The facility must have:
Procedures for informing the public and local emergency response agencies
about accidental releases;
Documentation of proper first-aid and emergency medical treatment for

accidental human exposure;
Procedures and measures for emergency response after an accidental release;
Procedures for using and maintaining emergency response equipment;
Training for employees in their emergency response responsibilities; and
Procedures to review and update the emergency response plan.
REQUIREMENTS
C7 of 10

Emergency Response Plans
Emergency response plans developed to comply with other federal contingency

planning requirements can meet the above requirements if they include the 40
CFR Part 68 required elements. The emergency response plan must be facility-
specific. It must be maintained and kept at the facility.
C.3 Additional Risk Management Plan Information
Registration
Each registration must include, but is not limited to:
1. Facility Name and Address;
2. Contact Person at Facility;
3. Names and Quantities of Regulated Chemicals On-Site; and
4. North American Industry Classification System Code (information on

NAICS codes can be found at:
http://www.census.gov/epcd/www/naics.html. Click on NAICS under the
Business heading.)
Risk Management Plan Updates and Resubmittals
A facility must update and resubmit its risk management plan within six months
of:
1. A change that requires a revised off-site consequence analysis (40 CFR

68.36);
2. A change that requires a revised hazard review or process safety analysis;
3. A change that results in a change in program level of a covered process.

The implementing agency for this regulation can ask the facility to revise
the risk management plan under the audits provisions of 40 CFR 68.220.
Risk management plans must be revised and resubmitted at least once
every five years; or
4. The date of an accident that meets the criteria for the five-year accident
history after April 9, 2004.
REQUIREMENTS
C8 of 10

A facility must update and resubmit its risk management plan within one month
of a change of the emergency contact information.
Facilities no longer covered under the risk management plan rule are required by
40 CFR 68.190(c to de-register with EPA within six months of the time it is no
longer covered. (See Chapter 8 of RMP*Submit User 2004 Manual. The RMP
Submit 2004 software can be downloaded at: http://www.epa.gov/ceppo/. Click on
Chemical Preparedness and Prevention, Tools & Resources, Databases and
Software, EPA Databases and Software, then RMP Submit 2004.)
C.4 Plan to Work Safely Best Practices

Accidents are preventable through increased operator training, improved
procedures, and better communication of lessons learned. A major component
of working safely is to develop and implement best practices at your
facility. Best practices are intended to help facility engineers and operators:
Learn from experiences of other facility engineers and

operators;
Encourage proactive measures to minimize and prevent

accidents relating to ethanol operations;
Recognize specific actions taken to improve process

safety, prevent accidents, and enhance emergency
planning and response efforts; and
Be better prepared to help facility managers understand

and approve the efforts required to incorporate these and
other best practices.
REQUIREMENTS
C9 of 10

Best practices in the ethanol industry are still being established. According to the
American Petroleum Institute, the oil and natural gas industry is becoming an
increasingly safer place to work, despite a job environment that often involves
heavy equipment, hazardous materials, high temperatures and high pressure
equipment. This is reflected by a declining rate of illnesses and injuries For
more safety tips, please visit: http://www.api.org.
Additional Risk Management Plan Resources
Risk management plan guidance documents and training modules are available
through the following sources:
EPAs Chemical Emergency Preparedness and Prevention Office at

http://www.epa.gov/swercepp/acc-pre.html;
EPAs Emergency Planning and Community Right to Know Act hotline at

(800) 535-0202; or
EPAs Technology Transfer Network at http://www.epa.gov/ttn.
Confidential Business Information
Facilities can claim some risk management plan information as confidential

business information. EPA then determines the validity of the facilitys claim.
The information can be released if EPA determines that the information is not
confidential and has notified the facility. If EPA determines that the information
is confidential, a local emergency planning committee might be able to obtain the
information under 40 CFR 2.301(h)(3). That regulation provides for sharing
confidential business information with state and local agencies having
responsibilities under the Clean Air Act or its implementing regulations. Local
committees can only gain access to confidential data under this rule if they can
protect its confidentiality.
Local emergency planning committees, under Emergency Planning and

Community Right to Know Act Section 303(d)(3), can compel Section 302
facilities to provide any information necessary to develop and implement a
community emergency plan. A Section 302 facility must comply with requests
from a local committee for information even if the facility has made a valid
confidential business information claim.
REQUIREMENTS
C10 of 10

APPENDIX D - DEFINITIONS OF ACRONYMS
Below is a list of common acronyms and their meaning you might encounter. You can
also find a more comprehensive list of environmental terms and acronyms at
http://www.epa.gov/OCEPAterms/.
ANSI American National Standards Institute

API American Petroleum Institute
ASME American Society of Mechanical Engineers
ASTM American Society of Testing Materials
ATSDR Agency for Toxic Substances and Disease Registry
BACT Best Available Control Technology
BOD Biochemical Oxygen Demand
CAA Clean Air Act
CAS Chemical Abstracts Service
CBI Confidential Business Information
CEPPO Chemical Emergency Preparedness and Prevention Office
CERCLA Comprehensive Environmental Response, Compensation, and Liability Act (or
Superfund)
CFCs Chlorofluorocarbons
CFR Code of Federal Regulations
CO Carbon Monoxide
CO2 Carbon Dioxide
CT Counter-Terrorism
CWA Clean Water Act
DDGS Dried Distillers Grain with Solubles
DOT U.S. Department of Transportation
EPA U.S. Environmental Protection Agency
EPA HQ U.S. Environmental Protection Agency Headquarters
EPCRA Emergency Planning and Community Right-To-Know Act
ERPGs Emergency Response Planning Guidelines
FR Federal Register
GPO Government Printing Office
HAPs Hazardous Air Pollutants
HAZMAT Hazardous Materials
HAZWOPER Hazardous Waste and Emergency Operations
HCFC Hydrochloroflurocarbon
ICP Integrated Contingency Plan
IDLH Immediately Dangerous to Life and Health
ISO International Standards Organization
LAER Lowest Achievable Emission Rate
LEPC Local Emergency Planning Committee
MACT Maximum Achievable Control Technology
MMBtu/hr Million British Thermal Units per hour
MSDS Material Safety Data Sheet
NAAQS National Ambient Air Quality Standards
NAICS North American Industry Classification System
NEPA National Environmental Policy Act
NESHAP National Emission Standards for Hazardous Air Pollutants
NFPA National Fire Protection Association
NIOSH National Institute for Occupational Safety and Health
APPENDIX D DEFINITIONS OF ACRONYMS
D1 of 2

NOAA National Oceanic and Atmospheric Administration

NO2 Nitrogen Dioxide
NOx Nitrogen Oxides
NPDES National Pollutant Discharge Elimination System
NRC National Response Center
NRT National Response Team
NSC National Safety Council
NSCEP National Service Center for Environmental Publications
NSPS New Source Performance Standards
NSR New Source Review
NTIS National Technical Information Service
OCA Offsite Consequences Analysis
ODS Ozone-Depleting Substance
OPA Oil Pollution Act
OSHA Occupational Safety and Health Administration
OSHRC Occupational Safety and Health Review Commission
OSWER Office of Solid Waste and Emergency Response
P2 Pollution Prevention
P&IDs Piping and Instrumentation Diagrams
Pb Lead
PEL Permissible Exposure Limit
PHA Process Hazard Analysis
PM Particulate Matter
PSD Prevention of Significant Deterioration
PSM Process Safety Management
PTE Potential to Emit
PWSS Public Water Supply Supervision
RA Regional Administrator
RCRA Resource Conservation and Recovery Act
RFS Renewable Fuel Standard
RMP Risk Management Plan
RQ Reportable Quantity
SCBA Self-Contained Breathing Apparatus
SDWA Safe Drinking Water Act
SERC State Emergency Response Commission
SIC Standard Industrial Classification
SO2 Sulfur Dioxide
SOCMI Synthetic Organic Chemical Manufacturing Industry
SOPs Standard Operating Procedures
SPCC Spill Prevention, Control and Countermeasures
STEL Short Term Exposure Limit
SWP Source Water Protection
TDD Telephone Device for the Deaf
TPQ Total Planning Quantity
TRI Toxic Release Inventory
UIC Underground Injection Control
USDW Underground Source(s) of Drinking Water
UST Underground Storage Tank
VOC Volatile Organic Compounds
WHP Wellhead Protection Program
APPENDIX D DEFINITIONS OF ACRONYMS
D2 of 2

APPENDIX E NATIONAL ENVIRONMENTAL POLICY ACT

PROCESS
The National Environmental Policy Act process consists of an evaluation of the

environmental effects of a federal activity, including its alternatives. There are three
levels of analysis, depending on whether or not an activity could significantly affect the
environment. These three levels include:
1. a categorical exclusion determination;

2. preparation of an environmental assessment/finding of no significant impact;
3. and preparation of an environmental impact statement.
At the first level, an undertaking can be categorically excluded from a detailed

environmental analysis if it meets certain criteria that a federal agency has previously
determined as having no significant environmental impact. A number of agencies have
developed lists of actions that are normally categorically excluded from environmental
evaluation under their National Environmental Policy Act regulations.
A federal agency at the second level of analysis prepares a written environmental

assessment to determine whether or not a federal activity would significantly affect the
environment. If the answer is no, the agency issues a finding of no significant impact.
The finding of no significant impact can address measures an agency will take to reduce
potentially significant impacts.
If the environmental assessment finds that the environmental consequences of a proposed

federal activity might be significant, an environmental impact statement is prepared. An
environmental impact statement is a more detailed evaluation of the proposed action and
alternatives. The public, other federal agencies, and outside parties can provide input into
the preparation of an environmental impact statement and then comment on the draft
statement when it is completed.
If a federal agency anticipates that an activity might significantly impact the

environment, or if a project is environmentally controversial, a federal agency could
choose to prepare an environmental impact statement without having to first prepare an
environmental assessment.
A federal agency will prepare a public record of its decision after a final environmental
impact statement is prepared. The public record will address how the findings, including
consideration of alternatives, were incorporated into the agency's decision-making
process.
APPENDIX E NEPA PROCESS
E1 of 1

APPENDIX F DO I HAVE TO PREPARE A FACILITY

RESPONSE PLAN?
If your facility is regulated under the Spill

Prevention, Control and Countermeasure
regulation and an oil discharge from your
facility could reasonably be expected to
cause substantial harm to the environment
from a discharge to navigable waters of the
United States or the adjoining shoreline, you
must prepare a facility response plan and
submit it to the appropriate EPA regional
office.
The flowchart of criteria for substantial harm

(next page) shows the questions you must answer to determine if your facility can be
classified as a substantial harm facility. The classification can be met in one of two ways:
Your facility meets the substantial harm criteria outlined in 40 CFR 112.20(f)
(1); or
An EPA regional administrator determines that your facility poses a threat of

substantial harm to the environment.
APPENDIX F DO I NEED A FACILITY RESPONSE PLAN?
F1 of 7

The following table is from 40 CFR Part 112 , Appendix C
F2 of 7

Over Water Transfers
You can determine whether your facility meets the over water transfer criterion by
answering the following question:
Does your facility transfer oil over water to or from vessels, and does
your facility have an oil storage capacity of 42,000 gallons or more?
In order to answer the above question you must first know the following:
Your facilitys oil storage capacity can be determined by adding the capacities of
all oil storage containers (e.g., drums, tanks, electrical equipment), including
aboveground containers with a capacity of 55 gallons or more.
A vessel means any type of watercraft capable of being used as a means of
transportation on water.
If you answered yes to the above question, your facility might pose a risk of substantial
harm and you must prepare and submit a facility response plan to the regional
administrator.
If you answered no to the above question, you must consider whether your facility
meets any of the criteria for facilities with 1 million gallons or more of oil storage
capacity. (Please see the next section.)
Oil Storage Capacity
You can determine whether your facility meets the oil storage capacity criterion by
Does your facility have a total oil storage capacity of 1 million gallons or
more?
If you answered yes to the above question, you need to

further evaluate the following criteria:
Secondary containment
Proximity to fish and wildlife and sensitive
environments
EPA Region 7 Photo

Proximity to public drinking water intakes
Reportable discharge of 10,000 gallons or more within the last five years
F3 of 7

If you answered no to the above question, you do not have to prepare and submit a
facility response plan except at the discretion of the EPA regional administrator. Instead,
you are required to prepare a certification that your facility is not a substantial harm
facility (40 CFR 112, Appendix C, Attachment C-II) and maintain this at your facility
along with your spill prevention, control and countermeasures plan.
Secondary Containment
You can determine whether your facility meets the secondary containment criterion by
Does your facility lack secondary containment large enough to hold the
capacity of the largest aboveground storage tank within each storage area
plus sufficient freeboard to allow for precipitation?
If you answered yes to the above question, your facility is a substantial harm
facility, and you have to prepare and submit a facility response plan.
facility response plan because of the secondary containment criterion. You must consider
whether your facility meets other specified factors. (Please see the next section.)
Fish and Wildlife and Sensitive Environments
You can determine whether your facility meets the fish and wildlife and sensitive
environments criterion by answering the following question:
Could a discharge from your facility cause injury to fish and wildlife and
sensitive environments?
You must determine the following to answer the above question:
Calculate the distance that discharged oil could travel from your facility before it
is contained. You should use the planning distance calculations for fish and
wildlife and sensitive environments to identify all fish and wildlife and sensitive
environments within the planning distance. (See 40 CFR 112, Appendix C,
Attachment C-III.)
According to 40 CFR 112.2, injury means a measurable adverse change, either

long- or short-term, in the chemical or physical quality or the viability of a natural
resource. The change can result either directly or indirectly from exposure to a
discharge of oil; from exposure to a product; or from reactions resulting from a
discharge of oil.
F4 of 7

You must check other sources

to determine what constitutes
an area that is sensitive for
fish and wildlife or the
environment. These areas are
identified by their legal
designation, by evaluations
conducted by area committee
members or members of the
federal on-scene coordinators
discharge response structure,
or in an area contingency
plan. These areas can be
identified either because of
sensitivity to the effects of a discharge event or danger to human health. Examples
of these environments include:
Wetlands;
National and state parks;
Critical habitats for endangered species;
Wilderness and natural resource areas;
Marine sanctuaries and estuarine reserves;
Conservation areas;
Preserves;
Wildlife areas;
Wildlife refuges;
Wild and scenic rivers;
Recreation areas;
National forests;
Federal and state lands that are research natural areas;
Heritage program areas;
Land trust areas; and
Historical and archeological parks.
Additional information about fish and wildlife and sensitive environments is in

Appendices I, II, and III to Department of Commerce/National Oceanic and
Atmospheric Administrations Guidance for Facility and Vessel Response Plans:
Fish and Wildlife and Sensitive Environments [59 FR 14713 (March 29, 1994)].
facility response plan because of the fish and wildlife and sensitive environments
criterion. You must consider whether your facility meets other specified factors. (Please
see the next section.)
F5 of 7

Public Drinking Water Intakes
You can determine whether your facility meets the public drinking water intake criterion
by answering the following question:
Could a discharge from your facility affect public drinking water

intakes?
To answer the above question, you must first determine the following:
You must calculate the distance that discharged oil could travel from your facility
before it is contained. To do so, you may use the formulas provided in the
regulation. (See 40 CFR 112, Appendix C, Attachment C-III.)
A system is a public water system if it provides piped water for human

consumption and has at least 15 service connections or regularly serves at least 25
individuals.
Public drinking water systems include collection, treatment, storage, and
distribution facilities.
To locate a downstream public drinking water intake, consult the appropriate area
contingency plan, and contact the municipal or county water authority for each
area that might be affected by an oil discharge from your facility.
facility response plan because of the public drinking water intake criterion. You must
consider whether your facility meets other specified factors. (Please see the next
section.)
F6 of 7

Oil Spill History
You can determine whether your facility meets the reportable discharges criterion by
Has your facility had a reportable discharge of 10,000 gallons or more
within the last five years?
If you answered no to the above

question, and have followed the
sequence of questions to reach this
final question, you do not have to
prepare and submit a facility
response plan except at the
discretion of the EPA regional
administrator. Instead, you are
required to complete and maintain
a certification (with your spill
prevention, control and
countermeasure plan) that your
EPA Region 7 Photo
facility is not a substantial harm
facility.
Certification of Non-Substantial Harm
If none of the substantial harm criteria applies to your facility, as described in 40 CFR
112.20(e) and in Appendix C, paragraph 3.0 of Part 112, you must complete and
maintain at your facility, within your spill prevention, control and countermeasure plan, a
certification form indicating that you have determined that your facility is not a
substantial harm facility. If you decide to use an alternative formula (i.e., one that is
not described above or in 40 CFR 112.20(f)(1)(ii)(B) or (C)) to determine that your
facility does not meet the substantial harm criteria, you must attach documentation to the
certification form that demonstrates the reliability and analytical soundness of the
comparable formula and you must notify the EPA regional administrator in writing that
you used an alternative formula.
F7 of 7

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U.S.

Environmental Protection Agency Region 7

Environmental Laws Applicable to Construction and Operation of Ethanol Plants

WHAT IS THE PURPOSE OF THIS MANUAL?

Environmental Laws Applicable to Construction and Operation of Ethanol Plants

I.2 Renewable Fuel Standard Program..I-2

CHAPTER 1 WHAT LAWS APPLY WHEN IM

1.2 Clean Air Act............................................................1-2

1.3 Clean Water Act.....................................................1-16

1.4 Safe Drinking Water Act.........................................1-18

1.5 Pollution Prevention Act ........................................1-23

CHAPTER 2 WHAT LAWS APPLY TO OPERATING AN

2.2 Emergency Planning And Community Right

2.3 Clean Water Act.....................................................2-11

2.4 Safe Drinking Water Act.........................................2-18

2.5 Resource Conservation And Recovery Act

Environmental Laws Applicable to Construction and Operation of Ethanol Plants

APPENDIX B - EMERGENCY PLANNING

APPENDIX C - CLEAN AIR ACT SECTON 112 (r) - PREVENTION

APPENDIX D - DEFINITIONS OF ACRONYMS

APPENDIX E - NEPA PROCESS

APPENDIX F - DO I NEED A FACILITY RESPONSE PLAN?

The Energy Policy Act of 2005

amended the Clean Air Act to establish

a Renewable Fuel Standard (RFS)

program. The RFS program,

applicable for 2007 and beyond, is

designed to encourage blending

renewable fuels into our nations

motor vehicle fuel.

A renewable fuel is defined in the

Energy Policy Act as a motor vehicle

Photo courtesy Lawn & Landscape

fuel that is produced from plant or

animal products or wastes. Renewable

There were about 21 ethanol

This guide was developed in

I.2 Renewable Fuel Standard Program

If your facility produces 10,000 gallons or more

of renewable fuel per year, you must comply

with the Renewable Fuel Standard (RFS)

You are required to:

Before selling fuel, producers must register

For the RFS program, ethanol producers must

RINs refer to Renewable Identification Numbers. Producers and importers of

For more information on the structure of a RIN, see 40 CFR 80.1125.

Transfer RINs: Moving RINs With Fuel and Selling Ethanol

Renewable producers and importers that sell a volume of renewable fuel in

Product Transfer Documents

Name and address of the transferor and transferee

The transferors and transferees company registration number

The volume of fuel transferred

The date of transfer

A list of RINs assigned to the volume [40 CFR 80.1153(a)(5)]; alternatively,

Non-Road Use of Fuel

If a producer/importer is transferring a volume of fuel to a party and knows the fuel

Renewable producers and importers are required to report on a quarterly basis to

RFS Activity Report (RFS0100):

RFS RIN Transaction Report (RFS0200)