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MSWordExportToMultiplePDFFilesSoftwarePleasepurchaselicense.I.PURPOSE

Thepurposeofthisprocedureistoprovideforasystemandinstructions,andtoassignresponsibilities
foridentifyingfederal,state,andlocalenvironmentallegalandregulatoryrequirementsthatapplytothe
facility,andotherrequirementstowhichthecompanysubscribes.

APPLICATION

Thisprocedureappliestoallactivities,productsandservicesthatmayberegulatedbyenvironmental
laws,orbyotherrequirementstowhichthecompanysubscribes.

RESPONSIBILITYANDAUTHORITY

TheEMRisresponsibleforconductingpreliminaryresearchandinventorytodeterminethegeneral
extentandcomplexityofenvironmentalregulationsandotherrequirementsthatmayapplytothe
facility.

BasedontheEMRsrecommendation,thetopexecutivemanagementisresponsiblefordeciding
whetherinhouseresourcesandexpertisearesufficienttoidentifylegal,regulatory,andother
requirementsthatapply,orwhetheroutsideassistanceofanattorney,consultant,orotherexpertis
required.

TheEMRisresponsibleforidentifyingtheapplicableregulatoryandotherrequirements,and/orfor
coordinatinginternalorexternalexpertsengagedtoidentifytheserequirements.

IV.

PROCEDURE

Phase1:IdentificationofcurrentCompliancePrograms

Theprocessofidentifyinglegal,regulatory,andotherrequirementsapplicabletothefacilitystartswith
thereviewofcurrentcomplianceprograms.Thepurposeofthisfirstphaseistocreatealistofthose
regulatoryrequirementsthatarealreadybeingaddressedatthefacility.

TheEMRidentifiesandcatalogsallcurrentdocumentsandactivitiesinthefacilitythathave,regulatory
relevance.

Foreachdocument,record,oractivity,theEMRinvestigateswhetherthereisaregulatoryrelevance,andif
so,whichspecificlaws,regulations,orotherrequirementsareinvolved.

Foreachrelevantlaw,regulation,orotherrequirements,theEMRensuresthatcopiesoftheregulations
areavailable,orcanbeeasilyaccessed(forexample,ontheinternetorthroughanattorneyor
consultant).

Phase2:PreliminaryResearch(referto:EPG3201)

Originator:

DateofIssue:

Approvedby:

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Thesecondphaseoftheprojectconsistsofcollectingdataaboutdischarges,emissions,wastes,materials,
products,andactivitiesthatmayhaveregulatoryrelevance.Thepurposeofthisphaseistoidentifythe
typesofsubstancesandactivitiesinvolvedandtheirquantityandscope,todeterminewhethercertain
regulatorythresholdsaremet.Anotherpurposeofthisphaseistostarttheprocessofassociatingspecific
substancesandactivitieswithspecificregulations,andtoassessthescopeandcomplexityofapplicable
regulations.

WhenthereisnosufficientdataorknowledgetoansweraquestionfromthePreliminaryResearch
Survey,theEMRresearchestheissue,orthepertinentregulations,toanswerthequestioncompletelyand
withfullconfidence.

Phase3:ManagementReview

Thethirdphaseoftheprojectisareviewoftheresultsfromthefirsttwophases.Thepurposeofthis
phaseistorenderadecisionwhethertheprocesscanbecompletedwithinhouseexpertiseandresources,
orwhetherexternalexpertiseisrequired.Thetopmanagementisresponsibleformakingthisdecision.

Uponcompletingtheinitialidentificationofcurrentcomplianceprogramsandthepreliminaryresearch,
theEMRmeetswiththetopmanagementtopresentthepreliminaryresultsandtodiscussthestatusof
theproject.

Thefollowingquestionsshouldberaisedatthemeeting:

Arethereanycompliancerelatedactivities(programs)thatcouldnotbeassociatedwithspecificpermits,
regulationsorotherrequirements?

Aretheresufficientdataandinformationaboutthefacilitysoperationstoanswerallquestionsfromthe
preliminaryResearchSurvey(refertoGuideEPG3201)?Istheinformationreadilyavailable?Are
regulationsunderstandable?

Haveallrelevantregulatoryagenciesandotherbodiesonfederal,state,andlocallevelsbeenidentified?
Haveanyoftheseagenciesbeencontacted?Isiteasytogetthroughandgetanswers?

Atthispoint,isthereanyreasontobelievethatthefacilitydoesnotcomplywithanyapplicablelawsor
regulations?

Themeetingconcludeswithaplanonhowtheprojectofidentifyinglegal,regulatory,andother
requirementsshouldbecompleted,andwhatpersonnel,resources,andexpertisewillberequired.

Phase4:IdentificationofLegalandRegulatoryrequirements

Thefourthphaseiscompletionoftheprojectanddocumentingitsresults.Dependingonthetop
managementdecision,thisphaseiscarriedoutbytheEMR,thecorporatecounsel,andenvironmental
attorneyorconsultant,orateamofinternalandexternalexperts.Theobjectiveofthisphaseistoidentify
allapplicablelaws,regulationsandotherrequirements;toestablishacompletelibraryofrelevantlaws,
regulations,andstandards(orensureaccesstothesedocuments);andtodocumentresultsinamatrixthat
willhelpinmanagingcomplianceprogramsandinevaluationofcompliancestatus(refertoprocedure
EOP5102,legalandregulatorycompliance).

Allapplicablelaws,regulationsandotherrequirementsarelistedintheRegulatoryRequirementsMatrix.
Thematrixincludesthefollowinginformation:

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Law/Regulation:

Identificationofthelaw,regulation,orotherrequirementsthatappliestothefacility;andlocationwhere
acopyoftheregulationisavailable.Thisshouldbeasspecificaspossible,includingidentificationof
particularclauses,paragraphs,sections,etc,.thelocationmaybeforexample,thedocumentlibrary,the
EMRsoffice,corporatecounsel,aninternetsite(specificsiteaddress),andsoforth.

Regulator:

Identificationoftheagency,regulatorybodyorotherauthoritythatadministratestheregulation,andthe
levelofthisauthority(Federal,stateorlocal).Insomecasestheremaybeseveralbodiesandmorethan
onelevelofauthority.

Requirements:

Listingofthemainrequirementsinaregulationthatmustbecompliedwith.Forexample,needfor
operationalpermits,reporting,recordkeeping,inspections,labeling,training,maximumconcentrations
orquantitiesofspecificsubstances,etc,.thisshouldbeforquickverificationthatcorresponding
complianceprogramsaddressallrelevantrequirements.

Activity/Product:

Activitiesand/orproductsaffectedbytheregulation.Thisshouldbeasspecificaspossible,namingthe
affectedprocess,equipment,products,substances,emission,anddischargepoints,etc,.Thereoftenwill
bemorethanoneactivity/producttypeaffectedbycertainregulations.

TheRegulatoryRequirementsMatrixisestablishedandmaintainedbytheEMR.

Phase5:NewandModifiedActivities,Products,andServices

Changesto,anddevelopmentofnew,activities,products,orservicesmaychangethefacilityslegaland
regulatoryobligations.Examplesofsuchchangesinclude:

Modificationofproductdesignanddevelopmentofnewproducts;
Changesinprocessesandtechnology,andintroductionofnewprocesses;
Increase,reduction,ormodificationofpointsourcesofemissionsanddischarges;
Changesintheinventoryofchemicalsandotherregulatedsubstances;

Changesofdrainagepatternofthesiteandintroductionofnewactivitiesindrainageareas;
Significantexpansionorreductionofcapacity;
Plantadditionorrelocation;
Temporaryprojects,suchasconstruction,installationofnewlinesorequipment.

Onongoingbasis,thetopmanagementanddepartmentalmanagersareresponsibleforidentifying
changesinactivities,products,andservicesthatmaychangethefacilityslegalandregulatory
obligations,andtocommunicatethechangestotheEMR.

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RelevantchangesmaybealsoidentifiedbytheEnvironmentalManagementSystemmanagementreview
orbyinternalorexternalauditsoftheEMS.

TheEMRreviewsthereportedchangesanddeterminestheirlegalandregulatoryimpact.Whenthe
changetriggersnewregulatoryrequirements,orrequiresmodificationofcurrentcomplianceprograms,
theRegulatoryRequirementsMatrixisupdatedaccordingly.

Forsignificantchangessuchasinstallationofmajornewequipment,expansionofthefacility,or
constructionofnewbuildingsortreatmentsystemsenvironmentalattorneysorconsultantsmaybe
calledtoidentifyapplicablelawsandregulations.Theprocessissimilartothatfortheinitial
identification.:TheEnvironmentalRepresentativeconductspreliminaryresearchandthetop
managementdecideswhatresourcesandexpertisearerequiredtocompletetheproject(refertosection3
and4ofthisprocedure).

Phase6:ReviewofRegulatoryChangesandDevelopments

Onanongoingbasis,theEMRtrackslegislativeandregulatorydevelopmentsapplicabletotheindustry
andareawherethefacilityislocated.Theinformationisacquiredfromsuchsourcesastheinternet;
environmentalandindustrymagazinesandotherpublications;contactswithindustrygroups,regulators,
andcommunityrepresentatives;inputfromattorneys,consultants,andotherexperts;communication
withinterestedparties;andparticipationinexternaltraining,conferences,andseminars.

TheEMRrespondstoapplicablechangesbyupdatingtheRegulatoryRequirementsMatrixand
implementing,ormodifying,relevantcomplianceprograms.

Whenrequired,environmentalattorneysorconsultantsarecalledtoassistwiththeinterpretationofnew
lawsandregulations.

ASSOCIATEDDOCUMENTS

RegulatoryRequirementsMatrixForm3201
LegalandRegulatoryResearchSurveyGuideEPG3201
LegalandRegulatoryComplianceOper.Proc.EOP5102
EMSManagementReviewOper.Proc.EOP6001

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LEGALREGULATORYANDOTHERREQUIREMNTS

EMSProcedure

No.

REGULATORYANDOTHERREQUIREMENTSMATRIX
Activity/Product
Activities,productsor
servicesaffectedbythe
regulationorrequirement

Requirements
Listingofspecificrequirements.For
example,needforoperational
permits,reporting,recordkeeping,
inspections,labeling,training,

Regulator
Agency,
regulatory
bodyorother
authority

Law/Regulation
Referenceoflaw,
regulationorother
requirement;and
locationof

FORM3201Rev.A