xvEPA
United States
Environmental Protection
Agency
Office of Solid Waste
and Emergency Response
(5104)
EPA550-F-00-010
August 2000
vwwv.epa.gov/ceppo/
RISK MANAGEMENT PLAN (RMP)
AUDIT PROGRAM
To date, over 14,500 facilities nationwide have submitted Risk
Management Plans (RMP's) to EPA in accordance with the Risk
Management Program regulation (40 CFR Part 68). Each implementing
agency (either a State agency that has obtained delegation of the RMP
program or an EPA Regional Office) is required to periodically audit
RMPs to assess whether the plans are adequate or need to be revised to
comply with the regulation. The implementing agency may verify RMP
information against independent sources of information and conduct
on-site verification. The audit requirements are found in 40 CFR 68.220.
What Is the Risk
Management Program?
Section 112(r) of the Clean Air Act
(CAA) requires EPA to publish rules
and guidance for chemical accident
prevention. The rules promulgating
the list of regulated substances
(published January 31, 1994) and the
Risk Management Program
provisions (published June 20, 1996)
are found at 40 CFR Part 68. The
Risk Management Program contains
three elements: a hazard assessment,
a prevention program, and an
emergency response program. The
entire program is to be described and
documented in an RMP, which is
submitted to EPA.
Owners or operators of a stationary
source with more than a threshold
quantity of a regulated substance
(one of the 140 listed toxic and
flammable substances in 40 CFR
Section 68.130) in a process, as
determined under section 68.115,
must submit an RMP.
Why Is EPA Conducting
RMP Audits?
RMP audits help ensure compliance
with the Risk Management Program.
EPA may require companies to
modify their RMP to ensure that the
RMP meets the requirements of the
regulation.
How Was My Facility
Selected for an RMP
Audit?
Each implementing agency has
flexibility in identifying facilities for
RMP audits. Your facility may have
been selected because of:
• Previous accident history of the
facility;
• Accident history for other
facilities in the same industry;
• Quantity of RMP-regulated
substance onsite;
• Proximity to public and
environmental receptors;
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• Presence of specified regulated substances
(e.g., chlorine, ammonia);
• Hazards identified in the RMP; or
• A neutral, random oversight scheme.
What Can I Do to Prepare for the
Audit?
The RMP audit will focus on the RMP and
underlying safety programs. The audit will consist
of a document review and/or an on-site visit. The
auditor(s) will review your RMP for completeness
and compliance with the regulations. The
auditor(s) will generally review your supporting
documentation for RMP program elements.
Auditors will follow the Guidance for Auditing
Risk Management Plans/Programs under Clean
Air Act 112(r), issued by EPA. This guidance
contains recommended actions and procedures that
will be generally followed during an RMP audit.
Appendix C is an audit checklist. You can obtain
a copy at www.epa.gov/ceppo/pubs/audit_gd.pdf.
What Should I Expect Following the
Audit?
The auditors will prepare an audit report
summarizing their observations and conclusions.
A copy of this report will be sent to your facility,
the State Emergency Response Commission, the
Local Emergency Planning Committee, and upon
request, to any other federal, state, or local agency.
Based on the report, the implementing agency may
also issue a written preliminary determination
report. This preliminary determination will
outline revisions to the facility's RMP to ensure
that it meets the regulations. The preliminary
determination will also include a timetable for
implementation of the revisions.
Your facility has 90 days to submit a written
response to the preliminary determination report.
Your response should indicate whether you agree
to implement the revisions according to the
suggested timetable. If you disagree with any
portions of the preliminary determination report,
your response should explain why and suggest
alternative revisions.
After reviewing your response, the implementing
agency will issue a final determination that
includes a timetable for completion. You will
have 30 days after completing the last action in the
timetable in which to revise the RMP submission.
What Is EPA's Third-Party Audit
Program?
EPA Region in has been collaborating on a
research effort with The Wharton School and other
stakeholders to explore the possibility of using
third-parties, such as insurance companies and
safety consultants, to audit small business
compliance with the RMP rule. A few third party
audits are being conducted as a pilot in
Pennsylvania. EPA Region HI has selected and
trained third party auditors who will conduct
document reviews and on-site visits and
summarize their findings in audit reports. As part
of the pilot, EPA inspectors will conduct separate
audits to verify the accuracy and thoroughness of
the third-party audits and to get feedback from the
participating facilities about the experience. The
results of the pilot project will be shared with
insurance companies, trade associations, public
interest groups, and regulatory agencies.
For More Information on the RMP Audit
Program:
Visit EPA's Chemical Emergency Preparedness and
Prevention Office homepage at www.epa.gov/ceppo
or contact the Emergency Planning and Community
Right-to-Know hotline at (800) 424-9346 or (703)
412-9810.
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