1. Tim Date, Manager Risk Management Planning Unit
Risk Management Plan: Protecting the Community
Florida Division of Emergency
Management
State Emergency Response Commission
Florida Accidental Release
Prevention and Risk
Management Planning
(ARP/RMP) Act
Tim Date, Manager Risk Management Planning Unit

2. Safety Brief and Introductions

3. Risk Management Program Overview
Purpose of Section 112(r) and the Risk Management Program Requirements
Facilities Typically Regulated Under Risk Management Program
Risk Management Program Elements
Program Level Screening
Compliance Audits
Typical Enforcement Audit Findings
Division’s Audit Selection Criteria and Process

4. Federal Actions - Background Information
1984
Releases of methyl isocyanate kills more than 2,000 people in Bhopal, India.
1985
As part of its Air Toxics Strategy, EPA initiates the Chemical Emergency Preparedness Program (CEPPO).

5. Federal Actions - Background Information (cont’d)
1986
Emergency Planning & Community -Right-To-Know Act (EPCRA),
Superfund Amendments and Reauthorization Act of 1986
Aka SARA/Title III
States must establish State Emergency Response Commissions (SERCs) and Local Emergency Planning Committees (LEPCs)
Covered facilities must provide site information to SERCs, LEPCs and local fire departments for emergency planning.
Development of the Toxic Release Inventory (TRI) to characterize pollutants emitted from covered facilities.
Emergency notification requirements for accidental releases of certain hazardous substances.

6. Federal Actions - Background Information (cont’d)
The resulting regulations that EPA adopted in accordance with Section 112(r) are the Chemical Accident Prevention Provisions (CAPP) found in 40 Code of Federal Regulations, Part 68. CAPP lists the regulated substances and their thresholds. The CAPP is commonly referred to as the Risk Management Program
This is were RMP unit comes into play

7. Purpose of Section 112(r) and the Risk Management Program Requirements
To reduce & prevent accidental chemical releases.
To reduce the severity & minimize the consequences of chemical releases.
To improve coordination & communication between regulated facilities & local emergency preparedness & response agencies to improve emergency response.

8. Facilities Typically Regulated Under RMP
Drinking water treatment plants
Wastewater treatment plants
Food and cold storage facilities
Ammonia retailers
Chlorine repackaging and distributors
Chemical manufacturers
Utilities
Petrochemical facilities
Pulp mills
Fertilizer producers
Swimming pool service/supply businesses
Military, energy installations (mostly federal facilities)

10. Overview of Risk Management Program Requirements
If facilities use, store, manufacture, or process substances on the Section 112(r) list above Threshold Quantity (TQ), must develop and implement a Risk Management Program.
Section 112(r) Listed Chemicals - 77 Toxic Substances & 63 Flammable Substances.
Most Common Risk Management Program Chemicals in Florida - Ammonia, Chlorine, Sulfur Dioxide, Hydrochloric Acid, Hydrofluoric Acid, & Nitric Acid.
Requirements & Complexity vary based on Program Level of Process.

11. Program Level Screening for Regulated Processes
Regulated processes assigned to one of three program levels, based on:
Potential for off-site consequences
Accident history
OSHA Process Safety Management (PSM)
Within certain Standard Industrial Classification (SIC) Codes identified as having significant accident history.
Program Level 1 - no offsite impacts
Program Level 2 - streamlined prevention program (7 components)
Program Level 3 - full RMP program (12 components)

12. Submission of Risk Management Plan
After developing a facility’s Risk Management Program, a summary of the program must be submitted to the U. S. Environmental Protection Agency online through RMP*Esubmit
The summary, called a Risk Management Plan, includes information of all the requirements of the Risk Management Plan

13. Management of Risk
Document when solution was implemented

14. What is a compliance audit?
Self audit of the covered process which triggers a facilities need to file a Risk Management Plan with the EPA.
All elements should be reviewed and deficiencies noted tracked and assigned responsibility for completing necessary corrections.
U. S. Environmental Protection Agency, and Division of Emergency Management checklists or any auditing tool can be used to evaluate the program requirements.
Required to be completed every three years.

15. Building a Compliance Audit Team
Facility is required to have one person who is knowledgeable about the covered process.
Review the employee participation program which should include who helped develop the Risk Management Program.
Operators, mechanics, administration, contractors, and consultants can be included.
“Sister facilities” and allied facilities may help bring outside eyes and ideas into the process.
Local responders

16. Other Requirements of a Compliance Audit
A report must be generated.
Responses to audit findings must be documented.
Action of findings must be documented.
Must keep the past two compliance audits.
Must certify that the compliance audit evaluated the program.

17. Management System
A qualified person is assigned the overall responsibility of Risk Management Program development, implementation and integration.
Other persons responsible for implementing individual requirements of the Risk Management Program are documented through an organizational chart.
One person….only one?

18. Hazard Assessment Off-Site Consequence Analysis
Worst-Case Release Scenario –
Description of the vessel or pipeline and vessel selected
Assumptions and parameters used
Rational for selection of assumptions
Alternative Release Scenario
Description of scenarios identified
Method used to determine distance to endpoint
Use of most recent Census data

19. Process Safety Information
MSDS sheets
Block flow diagram
Process chemistry defined
Maximum intended inventory
Safe Upper and Lower limits of: Temperature, Pressure, flows, and composition
Consequences of deviations from the stated limits

20. Process Hazard Analysis (PHA)
If initial process hazard analysis was performed in 1999, was the five year revalidation performed in 2004
Has the facility determined and documented the priority order for conducting the process hazard analysis
Has the process hazard analysis addressed the following:
Hazards of the process
Identification of any incident with potential for catastrophic consequences (This should at least include the what was identified in the process safety information)
The facility has established a system to promptly address the team’s findings & recommendations, assures the recommendations are resolved in a timely manner and documented

21. Operating Procedures
Do the operating procedures include the following:
initial start up, normal operations, temporary operations, emergency shutdown, emergency operations, normal shut down, start up following a turnaround or after an emergency shutdown
Consequences of deviation from operating limits and steps required to avoid or correct deviations in operating limits are addressed
Quality control and maximum intended inventory must be defined.
Safety systems and their functions must be identified.
Annual certification that the operating procedures are current and accurate and procedures have been reviewed as often as necessary

22. Training
Employees involved in operating a process are provided with initial training
Initial training includes emphasis on safety and health hazards, emergency operations and safe work practices
Refresher training is provided at least every 3 years
The facility ascertained and documented in a record that each employee involved in operating a process has received and understood the required training
Training records identify the employee, date of the training, and means used to verify that the employee understands the training

23. Mechanical Integrity
Written procedures to maintain the on-going mechanical integrity of process equipment are established and implemented
The facility has followed recognized and generally accepted good engineering practices for inspections and testing procedures
Each inspection and test is documented
Equipment deficiencies found outside acceptable limits defined by the process safety information are corrected before further use or completed in a safe and timely manner

24. Management of Change
Written procedure to manage changes to process chemicals, technology, equipment, and stationary sources that affect a covered process are established and implemented.
Operation, maintenance and/or contract employees whose job would be affected by the change are informed of, trained in, the change prior to start-up of the process.
If the change resulted in a change in operating procedures or practices, the procedures had been updated accordingly.
Completed management of change should be used for revalidating and updating associated program elements such as the process hazard analysis.

25. Pre-Start Up Review
For new and/or modified stationary sources is performed when change or modification in a process was significant enough to require a change in process safety information
For new stationary sources, process hazard analysis has been performed and recommendations have been resolved
Modified stationary sources meet the requirements contained in the management of change

26. Incident Investigation
Each incident which resulted in, or could reasonably have resulted in, a catastrophic release of a regulated substance has been investigated
Each incident investigation is initiated not later than 48 hours following the incident
At the conclusion of investigation, a report is prepared
A system to address recommendations from the report findings has been established and implemented

27. Employee Participation
Written plan of action regarding the implementation of employee participation is developed
Employees and their representatives are consulted on the conduct and development of process hazard analyses and other elements of process safety management
Employees and their representatives are provided access to process hazard analyses and to all other information required to be developed by 40 Code of Federal Regulations, Part 68

28. Hot Work Permit
Hot Work permits are issued for each hot work operation conducted on or near a covered process
Hot work permits document that fire protection and prevention requirments in 29 CFR (a) have been implemented prior to beginning hot work operations
Example of work performed with out a Hot Work Permit-Bethune point Water Plant explosion – 2 fatalities

29. Contractors
When selecting a contractor, information regarding contractor safety performance and programs is obtained and evaluated.
Contractor is informed of all known potential fire, explosion or toxic release hazards related to the contractor's work and the process.
Contractor performance is periodically evaluated in fulfilling the obligations.
You can use Occupational Safety and Health Administration data and other insurance information.
May times, a company’s procurement policies already meet these requirements.

30. Emergency Response for Non-Responding Facilities
Toxic substances held above TQ are included in the Local Emergency Planning Committee’s community emergency response plan and flammable substances above threshold quantity have response plans coordinated with the local fire department.
Appropriate mechanisms are in place to notify emergency responders.
Call down lists include the State Warning Point and the U. S. Environmental Protection Agency’s National Response Center within 15 minutes of a release.

31. Emergency Response Program Requirements for Responding Facilities
Written emergency response program is developed & maintained onsite.
Procedures/actions to be taken in event of chemical release.
Procedures for notifying the public & local responders for releases.
Information on first aid & medical treatment.
Procedures for use of emergency response equipment & inspection, testing & maintenance.
Emergency response program coordination with local responders.
Training for employees.

32. Releases subject to Section 304
Section 304 requires certain releases of chemicals to be reported by the facility owner or operator. There are two types of chemicals that require reporting under this section:
Extremely Hazardous Substances (EHSs)
Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) hazardous substances
If an amount equal to, or greater than, the reportable quantity is released or spilled from a fixed facility, notification must be made immediately (within 15 minutes) to:
State Warning Point at (850)
National Response Center at (800)
Within 7 days after a release it is required the O/O of the facility must provide one or more written follow-up emergency notices.
The notice(s) must be submitted to the SERC and the appropriate Emergency coordinator for the LEPC

33. General On-Site Audit Findings:
WTPs & WWTPs
Ammonia refrigeration
Chlorine & Other Chemical Repackagers
Inadequate documentation, development, and/or implementation of 1 or more prevention program components.
“Bookshelf” & Generic Programs. Good program, but not implemented.
Many facilities complying with technical aspects of program, but documentation incomplete.

34. Specific On-Site Audit Findings
Hazard Assessments - Not available onsite; Incorrect modeling parameters, no rational for selection of release scenarios
Incorrect program level status
Program Level 1 - Public receptors were identified within endpoint distances.
Program Level 2 - Refrigeration facilities subject to OSHA’s PSM.
Most deficiencies to date pertained to:
Mechanical Integrity
Operating Procedures
Training Program
PHA

35. Specific On-Site Audit Findings:
Mechanical Integrity - PM protocols not developed or implemented. Inspection and testing not performed. Minimal record keeping.
Operating Procedures - Operating phases, limits not addressed. Mostly emergency shutdown & assignments. Not Certified
Training Program - Operator & Maintenance training / tracking incomplete. Documentation of how employees understood training.
Process Hazard Analysis - incomplete hazard ID (such as hurricanes, over pressurization, equipment failure, human error, etc.) – no follow-up on action items

36. Specific On-Site Audit Findings:
Management of Change & Pre-Startup Safety reviews and Employee Participation not performed.
Contractor Safety Program - Non-existent. Not implemented
Compliance audit has not been completed or action items have not been implemented
Emergency Response Program - Not coordinated with local responders. Procedures for ER equipment use & inspections not documented. Inadequate training.

37. Audit Selection Criteria
Previous and current accident history of facility
Overall accident history of other facilities in same industry
Facility location & proximity to population centers
Chemical & quantities of Program-regulated chemicals on-site
Compliance with or inspection by allied agency programs
High Risk and Results of compliance audits
Neutral, random oversight
Other factors deemed necessary to protect public safety & health.

38. Overview of the Division’s RMP Audit Process
Basic “Desk Audit” Focuses on the data contained in EPA data base (also complied with prior to on-site audit)
Prior to On-Site Audit “Document Audit” this is a review of facility hard copy plan.
On-Site Compliance Audit is a complete look at the facility and the hard copy plan.

39. RMP Audit Process (cont...)
Prior to site audits:
• Send audit notification letter requesting Risk Management Plan supporting documentation.
• Request for process hazard analysis, training records, incident investigation reports, emergency response plan, compliance audit reports.
• Use “Documentation Review / On-Site” Audit Checklist.
• Review of supporting documentation.
• This approach reduces time on-site. Helps determine focus of audit visit.
• Schedule date(s) for on-site audit. Send notification of on-site audit.

40. RMP Audit Process (cont...)
On-site audit activities - Focus on overall Risk Management Program
Plant Tour of facility’s process chemicals & operations.
Interview facility representatives.
Review of facility operations, procedures, supporting Risk Management Plan documentation, etc.
Adequacy & completeness of Risk Management Program documentation.
Development & implementation of required Risk Management Program elements.
Emergency Response - Coordination with local response agencies.
Document findings - “On-Site” Audit Checklist.

41. What to Expect During an On-Site Audit?
• Risk Management Program Audit Team - Usually 2 persons
• Local Emergency Planning Committee Staff Contact invited to accompany team.
• Audit agenda & assignments faxed prior to visit date.
• Opening meeting (audit purpose/objectives, agenda, safety issues, etc.)
• Tour of facility’s regulated chemicals and processes.
• Review Risk Management Program supporting documentation.
• Interview facility representatives.
• Exit briefing (findings, identified deficiencies, recommendations, schedule for audit report, schedule for corrections, copy of audit checklist).

42. What to Expect After an On-Site Audit?
• The Division issues Preliminary Determination Report
Includes audit team’s observations, findings, recommendations.
Identifies deficiencies to be corrected.
Identifies necessary revisions to Risk Management Plan.
Includes timetable(s) for correcting deficiencies and/or revising Risk Management Plan.

43. What to Expect After an On-Site Audit? (cont...)
• Facility Response to Audit Report
Must be received within approved timetable(s).
Usually allow days for corrections & revisions.
Written request for extension prior to deadline date, if needed.
Upon receipt & review of requested information, the Division issues:
Final Determination Report - If information correct & complete.
Interim Audit Report - If additional information is necessary.

44. How to Prepare for an RMP Audit?
• Review the Division’s Audit Checklists.
• Obtain & organize RMP supporting documentation prior to scheduled audit date.
• Include Standard Operating Procedures, hazard assessments, process hazard analysis & process safety information, training records, maintenance logs, management of change forms, emergency response procedures, etc.
• Determine appropriate facility personnel to include in audit.

45. Role of the Local Emergency Planning Committees (LEPCs)
LEPCs support the Emergency Planning and Community Right to Know Act (EPCRA) by using the data collected on Tier II’s to develop hazardous materials emergency plans used for responding to and recovering from releases or spills of hazardous or toxic substances
They also conduct Hazard Analysis for facilities within their districts

46. Department of Homeland Security Site Security for Chemical Facilities

47. Questions?

48. Available Technical Assistance and Resources
Contact the Division’s Risk Management Planning Program staff at:
(850)
(800) (Florida only)
Florida’s RMP Program web page for state & federal requirements, audit checklists, step-by-step guidelines.
Guidance documents, model RMP plans, other RMP resources also available from EPA