RISK MANAGEMENT PLAN (RMP) AUDIT PROGRAM

1 United StatesOffice of Solid WasteEPA 550-F-00-010 Environmental Protectionand Emergency ResponseAugust 2000 Agency(5104) MANAGEMENT plan (RMP) AUDIT PROGRAMTo date, over 14,500 facilities nationwide have submitted RiskManagement Plans (RMP s) to EPA in accordance with the RiskManagement PROGRAM regulation (40 CFR Part 68). Each implementingagency (either a State agency that has obtained delegation of the RMPprogram or an EPA Regional Office) is required to periodically auditRMPs to assess whether the plans are adequate or need to be revised tocomply with the regulation.

2 The implementing agency may verify RMPinformation against independent sources of information and conducton-site verification. The AUDIT requirements are found in 40 CFR Is the RiskManagement PROGRAM ?Section 112(r) of the Clean Air Act(CAA) requires EPA to publish rulesand guidance for chemical accidentprevention. The rules promulgatingthe list of regulated substances(published January 31, 1994) and theRisk MANAGEMENT Programprovisions (published June 20, 1996)are found at 40 CFR Part 68. TheRisk MANAGEMENT PROGRAM containsthree elements: a hazard assessment,a prevention PROGRAM , and anemergency response PROGRAM .

3 Theentire PROGRAM is to be described anddocumented in an RMP, which issubmitted to or operators of a stationarysource with more than a thresholdquantity of a regulated substance(one of the 140 listed toxic andflammable substances in 40 CFRS ection ) in a process, asdetermined under section ,must submit an Is EPA ConductingRMP Audits?RMP audits help ensure compliancewith the Risk MANAGEMENT PROGRAM . EPA may require companies tomodify their RMP to ensure that theRMP meets the requirements of theregulation. How Was My FacilitySelected for an RMPA udit?

4 Each implementing agency hasflexibility in identifying facilities forRMP audits. Your facility may havebeen selected because of: Previous accident history of thefacility; Accident history for otherfacilities in the same industry; Quantity of RMP-regulatedsubstance onsite; Proximity to public andenvironmental receptors;Page 2 For More Information on the RMP AuditProgram:Visit EPA s Chemical Emergency Preparedness andPrevention Office homepage at contact the Emergency Planning and CommunityRight-to-Know hotline at (800) 424-9346 or (703)412-9810.

5 Presence of specified regulated substances( , chlorine, ammonia); Hazards identified in the RMP; or A neutral, random oversight Can I Do to Prepare for theAudit?The RMP AUDIT will focus on the RMP andunderlying safety programs . The AUDIT will consistof a document review and/or an on-site visit. Theauditor(s) will review your RMP for completenessand compliance with the regulations. Theauditor(s) will generally review your supportingdocumentation for RMP PROGRAM elements. Auditors will follow the Guidance for AuditingRisk MANAGEMENT Plans/ programs under CleanAir Act 112(r), issued by EPA.

6 This guidancecontains recommended actions and procedures thatwill be generally followed during an RMP AUDIT . Appendix C is an AUDIT checklist. You can obtaina copy at Should I Expect Following theAudit?The auditors will prepare an AUDIT reportsummarizing their observations and conclusions. A copy of this report will be sent to your facility,the State Emergency Response Commission, theLocal Emergency Planning Committee, and uponrequest, to any other federal, state, or local agency. Based on the report, the implementing agency mayalso issue a written preliminary determinationreport.

7 This preliminary determination willoutline revisions to the facility s RMP to ensurethat it meets the regulations. The preliminarydetermination will also include a timetable forimplementation of the facility has 90 days to submit a writtenresponse to the preliminary determination response should indicate whether you agreeto implement the revisions according to thesuggested timetable. If you disagree with anyportions of the preliminary determination report,your response should explain why and suggestalternative reviewing your response, the implementingagency will issue a final determination thatincludes a timetable for completion.

8 You willhave 30 days after completing the last action in thetimetable in which to revise the RMP submission. What Is EPA s Third-Party AuditProgram?EPA Region III has been collaborating on aresearch effort with The Wharton School and otherstakeholders to explore the possibility of usingthird-parties, such as insurance companies andsafety consultants, to AUDIT small businesscompliance with the RMP rule. A few third partyaudits are being conducted as a pilot inPennsylvania. EPA Region III has selected andtrained third party auditors who will conduct document reviews and on-site visits andsummarize their findings in AUDIT reports.

9 As partof the pilot, EPA inspectors will conduct separateaudits to verify the accuracy and thoroughness ofthe third-party audits and to get feedback from theparticipating facilities about the experience. Theresults of the pilot project will be shared withinsurance companies, trade associations, publicinterest groups, and regulatory agencies.