ML12088A238

Entergy Pre-Filed Evidentiary Hearing Exhibit ENT000025 - Involvement of Employees and Employee Representatives in Clean Air Act (CAA) Section 112(r) On-site Compliance Inspections - Final Guidance

ML12088A238
Person / Time
Site:	Indian Point
Issue date:	03/28/2012
From:	Entergy Nuclear Operations, Environmental Protection Agency
To:	Atomic Safety and Licensing Board Panel
SECY RAS
Shared Package
ML12088A225	List: ML12088A226 ML12088A227 ML12088A228 ML12088A229 ML12088A230 ML12088A231 ML12088A232 ML12088A233 ML12088A234 ML12088A235 ML12088A236 ML12088A237 ML12088A238 ML12088A239 ML12093A065
References
RAS 22094, 50-247-LR, 50-286-LR, ASLBP 07-858-03-LR-BD01
Download: ML12088A238 (86)

Text

ENT000025 Submitted: March 28, 2012 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY WASHINGTON, D.C. 20460 FEB 11 2011 MEMORANDUM

SUBJECT:

FROM: In vo l vemen t of E mplo yees and E mploye e Repre se nt a ti ves in C l ean A ir Ac t (CAA) Section 112 (r) O n-s ite Co mpliance In s p ec ti ons -Final Gu id a n ce Mathy Stanisla u s rl1§J Ass i s tant Adm i ni s tr a t o r Office of Solid Waste and Eme r gency R es p e n s Cy nthia G il es Ass i s tant A dm i ni st rator Office of E nf orce m en t and Co mp lla c TO: Superfund Division Dire cto r s, R eg i o n s I-X E nforcem en t Ma na ger, Office o f E n v irorun e nt a l S t e ward s hip , Region I Di r ector , A ir , P es ticides and Tox ie s Managem e nt Division , Re g ion IV D ir ector , Co mp li ance Assurance a nd Enforcement Division , Reg i o n V I Direc t or , Ai r and Waste Ma nage ment Di v i s i o n , R egion V II CAA Sect i o n 1 12(r) Impl e m en tation Offici als i n Del aware , F l o rida , Georg i a , Kentucky , Mis s i ss ippi , New Jer sey , No rth Ca rolin a , Oh i o, So uth Ca rolina , A ll eghen y Co unt y, P enns y l van i a , Jeffer s on Co unt y , Kentuck y , a nd Fo r syth , Meckle nbu rg & Buncombe Co untie s, Nort h Ca r o lina The purpose o f thi s mem o rand u m i s to i ss ue and mak e immediatel y effec ti ve, the attached document, ';G uidan c e for Con ducting Ri s k Mana ge m e nt Program In spec ti o n s u nd er C l ea n A ir Act Sec ti o n 11 2(r)." Thi s docum e nt update s and s up e r se de s the "G uidan ce for Aud itin g Ri s k Management Plan siP rogram s und e r C le an A ir Act Sectio n 11 2(r)" of Aug u st 1999. The document inclu de s updat e d EPA policy on in volve m e nt offac il ity em plo yees and emp l oyee represe ntati ves i n E PA a nd d elegated age nc y on-si t e comp lian ce in spec t ions as p r ov id e d fo r in C l e an A i r Act (CM) sec ti o n l I 2(r)(6)(L). While EPA staff may already engage e mployees a nd emp l oyee repre se ntative s duri n g CAA sec ti o n 11 2(r) in s pe c ti o n s , the updat e d g uidance provide s f o rmal EP A policy in this area. A dditional1

y. the g uidan ce r e n ec t s the Age n cy's f ocus on in spect i o n s as a m e ans o f facility ov er sig h t. a nd provides addi t ional infonn at i o n o n eAA se ction l I 2(r) i n spec t ion p r oced ure s. Inlernet Acklress (URLl

• http://www

.epa.gov AecyclMSr'Recycl.ble

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The guidance pre se r ves R i sk Management Program audits as a facility ove r sig ht option. However, audits s hould supplemen t implementing agency inspection programs and not be done in lieu of inspection

s. EPA reque s t s that s tate and local agencies that have accepted de l egatio n of the CAA sect i on 112(r) program adopt procedures s imila r to those con tained in this guidance in their 40 CFR Part 68 in spect ion p r ograms. The interim po l ic y on involvement of employees and employee representati ves in CAA Sec t ion 1 1 2(r) on-si te compliance eva l uati ons estab li shed i n ou r mem o of A pril 2 , 2010 , i s he r eby superseded.

If you have a ny questions , please contact u s or have your staff contact Jim Belke, in the Office of Emerge n cy Ma n agement, at (202) 564-8023 , or Rob Lischin s ky , in the Office of Co mp li ance , al (202) 564-2628.

cc: Removal Managers, Regions I-X Reg i onal Cou n se l , Region I-X CAA se ction 1 1 2(r) implemen t a t ion officia l s, Region I-X Adam M. Kushner , OECA Lisa C. Lund , OECA United States Environmental Protection Of"ce of Solid Waste and Emergency Response EPA 550-K-11-001 January 2011 Agency Of"ce of Enforcement and www.epa.gov/emergencies Compliance Assurance www.epa.gov/compliance Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

This document is intended solely for the guidance of government personnel. It is not intended and cannot be relied upon to create rights, substantive or procedural, enforceable by any part, in litigation with the United States. The Agency reserves the right to act at variance with this guidance and change it at any time without public notice.

Acronyms Used in This Guidance AIChE American Institute of Chemical Engineers ANSI American National Standards Institute API American Petroleum Institute ASME American Society of Mechanical Engineers CAA Clean Air Act CBI Con"dential Business Information CCPS Center for Chemical Process Safety CFR Code of Federal Regulations D&B Dun and Bradstreet EPA Environmental Protection Agency EPCRA Emergency Planning and Community Right-to-Know Act ERNS Emergency Response Noti"cation System HAZWOPER Hazardous Waste Operations and Emergency Response LEPC Local Emergency Planning Committee NCP National Contingency Plan NFPA National Fire Protection Association NRS National Response System OSHA Occupational Safety and Health Administration PHA Process Hazard Analysis PPE Personal Protective Equipment PSM Process Safety Management RMP Risk Management Plan SARA Superfund Amendments and Reauthorization Act SERC State Emergency Response Commission TABLE OF CONTENTS INTRODUCTION

...............................................................................................................................

..... 1 Purpose........................................................................................................................

..................

........ 1 Background.....................................................................................................................

.......................

1 INTERRELATED OPPORTUNITIES FOR ACCIDENT PREVENTION......

...................................

....... 2 Chemical Safety Audits.......................................................................................

.............

.....................

2 Accident Investigations..........................................................................................................................

3 The General Duty Clause

.........................................................................................

.............................

4 RMP INSPECTIONS AND AUDITS...........................................................................

............................ 4 RISK MANAGEMENT PROGRAM REQUIREMENTS.......................................

...........

........................

5 Table 1: RMP Program Levels

....................................................................................

........................... 6 DEVELOPING AN RMP INSPECTION PROGRAM......................................................

........................ 7 Objective......................................................................................................................

..........................

7 Approaches to an RMP Inspection.....................................................................................

....................

7 How to Use Reviews/Audits/Inspections.............................................................................

...................

7 THE RMP INSPECTION PROCESS

.....................................................................

.......................

..........

9 Step (1): Selecting Facilities for RMP Inspections.............................................................................

..... 9 Step (2): Off-Site Activities..................................................................................................

..................

10 Collecting Background Information....................................................................................

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11 Table 2: Background Information

..........................................................................................................

11 Planning the Inspection........................................................................................................

................

12 Table 3: Potential Inspection Components

......................................................................

.....................

12 Prepare Inspection Staff and Plan Logistics.......................................................................

..................

12 Step (3): At the Site..............................................................................................................................

14 Entering the Facility.............................................................................................................................. 14 Opening Meeting............................................................................................................

................

...... 15 Collecting and Analyzing Information..................................................................................

................. 16 Personal Protective Equipment...........................................................................................

.................

18 Closing Conference.............................................................................................................

................. 18 Step (4): Concluding Activities............................................................................................................

20 Follow-up Meeting..............................................................................................................

.................

20 Inspection Report................................................................................................................................ 20 Step (5): Post-Inspection Actions........................................................................................................ 22 ANNEXES............................................................................................................................................

23 Annex A: RMP Audits Conducted Pursuant to 40 CFR Part 68.220...........................................

........ A-1 Annex B: Site Safety Plan for On-Site Activities....................................................................

............. B-1 Annex C: Inspection Report.....................................................................................................

...........

C-1 Annex D: Inspection Checklist.............................................................................................

...............

D-1 Annex E: Risk Management Program and OSHA PSM: List of Regulated Substances.....................

E-1

INTRODUCTION Purpose This document provides guidance for implementing agencies that conduct inspections of facilities (i.e., stationary sources) subject to 40 CFR Part 68, also called the EPA Risk Management Program. It is designed as a tool for inspectors reviewing industry compliance with the Risk Management Program regulation. However, this guidance does not re"ect all requirements that a facility must meet to be in compliance with the regulation. Background The Environmental Protection Agency (EPA) works closely with stakeholders to reduce the likelihood and severity of chemical accidents. Several important planning and legislative initiatives have been introduced since 1968. These include the National Contingency Plan (NCP) (started in 1968), EPAs voluntary Chemical Emergency Preparedness Program started after the December 1984 accident in Bhopal (India), the Emergency Planning and Community Right-to-Know Act of 1986 (EPCRA), and the Accidental Release Prevention requirements under Section 112(r) of the Clean Air Act (CAA), as amended in 1990. These initiatives address the entire safety continuum dealing with chemical accident preparedness, response, and prevention. In this document RMP denotes Risk Management Plan, which summarizes the sources risk management program and is submitted to EPA Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 1 Interrelated Opportunities for Chemical Accident Prevention From a government point of view, chemical accident prevention involves: (1) working with facilities (both management personnel and employees) to improve their chemical safety

management program, and (2) encouraging communities to coordinate risk reduction activities with facilities even as they enhance emergency preparedness for response to possible accidents. Improving the safe use and management of chemicals begins with an understanding of:

• How and why accidents occur;

• How industry identi"es chemical and process hazards; Accident prevention opportunities include:

• Chemical safety audits

• Accident investigations

• General Duty Clause inspections

• RMP inspections

• How industry designs, maintains, and operates a safe facility; and

• How the consequences of accidents are minimized. Industry has the expertise and responsibility, with assistance from their employees, to make sure that the elements of safe operation (e.g., procedures, training, and maintenance) are brought together and managed day-to-day. Government agencies can help facilities by inspecting their safety management programs, comparing them to successful practices used by other facilities, and stimulating improvements. The Risk Management Program regulations are among several tools implementing agencies have to help facilities prevent chemical accidents. Existing and new programmatic tools are brie"y described below. Each of

these programs is designed to help identify the causes of accidental chemical releases as well as the means to prevent them from occurring. Additionally, these activities can be used to promote coordination within the local community. Chemical Safety Audits Chemical Safety Audits are designed to:

• Share information about chemical safety practices and technologies when visiting facilities that handle hazardous substances;

• Heighten awareness of the need for and promote chemical safety at chemical facilities and in the communities where chemicals are located; and

• Build cooperation among facilities, government agencies, and others. Chemical safety audits are usually voluntary and may include facilities not covered by the Risk Management Program provisions. One purpose of conducting a chemical safety audit at a facility is to identify and characterize the strengths and weaknesses of speci"c chemical accident prevention program areas, as a means to highlight the elements which form an effective program. Additionally, chemical safety audits facilitate the

sharing of information about successful practices and generally result in (non-mandatory) recommendations for safety improvements. This can lead to process safety improvements, which may prevent or mitigate releases by the audited facility. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 2 Accident Investigations The fundamental objective of a chemical accident investigation is to determine the facts, conditions, circumstances, and causes The Chemical Safety Board began or probable causes of chemical accidents. In determining the root operating in 1998 after it was causes or management system failures resulting in an accident, the funded by Congress. EPA and ultimate goal of the accident investigation is to reduce the likelihood the Chemical Safety Board have of recurrence, minimize the consequences associated with accidental releases, and make chemical production, processing, handling, and developed a Memorandum of

Understanding which addresses their respective authorities storage safer. The accident investigation also looks at contributing and coordination on accident factors of the event that may have broad applicability to industry, investigation. To view this MOU, and the potential to develop recommendations and lessons learned see http://www.epa.gov/oem/docs/ to prevent similar accidents in the future. In addition to determining chem/csbepa.pdf. causes, lessons learned, and recommendations, EPA accident investigations may be combined with inspections in order to identify speci"c violations of regulatory or statutory requirements, leading to For further information concerning the Chemical Safety Board, visit the web site at www.chemsafety.

enforcement actions. gov or www.csb.gov.

CAA Section 112(r)(6) established an independent safety board known as the Chemical Safety and Hazard Investigation Board (the Chemical Safety Board). One of the objectives of the Chemical Safety Board, as directed by the CAA, is to investigate, determine and report to the public, the facts, conditions, circumstances, and cause or probable cause of any accidental release resulting in fatality, serious injury or substantial property damage. The Chemical Safety Board does not issue "nes or citations, but does make recommendations to facilities, regulatory agencies such as OSHA and EPA, industry organizations, and labor groups. Congress designed the CSB to be non-regulatory and independent of other agencies so that its investigations might, where appropriate, review the effectiveness of regulations and regulatory enforcement. In the event of a large chemical accident, EPA inspectors will likely interact with CBS investigators. The two agencies have developed a Memorandum of Understanding to address their respective authorities and coordination on such investigations (see inset at right). Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 3 The General Duty Clause CAA Section 112(r)(1), known as the General Duty Clause, further expands the range of activities EPA can undertake to promote chemical safety. Owners and operators of facilities producing, processing, handling, or storing extremely hazardous substances have a general duty to:

• Identify hazards associated with a potential accidental release, using appropriate hazard assessment techniques;

• Design and maintain a safe facility, taking steps to prevent releases; and

• Minimize the consequences of accidental releases that do occur.

The General Duty Clause is not limited to a "nite list of chemicals or established thresholds.

To the extent state or local law establishes a similar general duty, implementing agencies other than EPA can take actions to promote safe operating practices and the prevention of chemical accidents. RMP Inspections and Audits RMP inspections and audits help ensure compliance with the Risk Management Program, but the two terms carry different meanings within the context of 40 CFR Part 68. Within Part 68, the term audit refers to the process that implementing agencies may use to verify the quality of the RMP submitted to EPA and require revisions when necessary to ensure compliance with the requirements of subpart G of the rule. Like inspections, RMP audits will generally involve on-site veri"cation of a facilitys underlying risk management program.

However, section 68.220 of the rule requires implementing agencies to select facilities for audits based on speci"c criteria, and to follow a speci"c process for resolving audit "ndings (involving steps known as preliminary determinations and "nal determinations) prior to any enforcement action. RMP inspections are different from audits in that facilities are not necessarily selected for inspection based on Part 68 regulatory criteria, and inspections can lead directly to implementing agency enforcement actions for regulatory violations. Also, RMP inspections always involve on-site veri"cation activities. In general, the on-site activities performed by implementing agency inspectors and auditors are the same, and this guidance can be applied to either activity. However, most implementing agency oversight and enforcement of CAA Section 112(r) and 40 CFR Part 68 involves inspections, rather than audits. Annex A contains additional information

related to the speci"c requirements for implementing agencies when conducting audits in accordance with the

process described in section 68.220 of the rule. The above-mentioned activities are not mutually exclusive. Many times, a combination of activities may be used to achieve results. For example, an agency might investigate a chemical accident at a facility. While the investigation may determine a root cause, a chemical safety audit may con"rm that procedures are being used to reduce the risk of future accidents. Additionally, the agency may also perform an inspection to evaluate

compliance with the General Duty Clause and/or RMP requirements. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 4 Risk Management Program Requirements CAA Section 112(r) 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 a Risk Management Plan (RMP) which is submitted to EPA (delegated state and local implementing agencies receive RMP data from EPA). In general, the RMP submitted by most facilities includes the following:

• Executive summary;

• Registration information;

• Off-site consequence analysis;

• Five-year accident history;

• Prevention program; and

• Emergency response program. Owners or operators of a facility with more than a threshold Who is covered? EPA estimates that approximately 13,000 facilities are covered by the provisions of 40 CFR Part 68, including:

• Chemical manufacturers (industrial organics and inorganics, paints, pharmaceuticals, adhesives, sealants,

" bers),

• Petrochemical (re"ning and gas processing operations, plastics and resins, synthetic rubber),

• Other manufacturing (electronics, semiconductors, paper, fabricated metals, industrial machinery, furniture, textiles),

• Agriculture (fertilizers),

• Public facilities (drinking and waste water treatment works),

• Electric utilities,

• Food and cold storage,

• Chemical warehousing,

• Chemical wholesalers,

• Military and energy installations, and

• Other facilities. quantity of a regulated substance (one of the 140 listed toxic and "ammable substances in 40 CFR Section 68.130) in a process, as determined under section 68.115, must submit an RMP no later than the latest of the following dates:

• Three years after the date on which a substance is "rst listed under 40 CFR 68.130; or

• The date on which a regulated substance is "rst present in a process above a threshold quantity. The Risk Management Program regulations also de"ne the activities that facilities must undertake to identify and minimize the risks posed by regulated substances in covered processes. Speci"cally, EPA de" ned three program levels to ensure that individual chemical processes are subject to appropriate requirements based on the size of the process and the associated risks (see table on next page). Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 5 Table 1: RMP Program Levels and Requirements PROGRAM LEVEL Program 1 Program 2 Program 3 DESCRIPTION Requirements apply to processes where (1) a Worst case release, as determined by the hazard assessment, is not expected to reach public receptors; (2)

no accidental release has occurred in the last "ve years

that caused speci"ed offsite impacts; and (3) the facility

has coordinated emergency

response procedures with the

local planning and response organizations. The most likely processes for this program level

are those at remotely located facilities and/or those using listed "ammable chemicals.

Requirements apply to processes that do not meet

the eligibility requirements of Program 1 or 3.

Requirements apply to processes not eligible for Program 1, and which are in certain speci"ed industrial categories or are already subject to the OSHA Process Safety

Management (PSM) standard.

These generally include higher-risk, complex chemical

processing and petroleum re" ning operations. REQUIREMENTS Conduct an offsite

• consequence analysis that evaluates worst-

case accidental release scenario(s);

Document the "ve-year

• history of certain accidental

releases of regulated substances from covered

processes;

Coordinate response plans

• with local emergency

planning and response agencies; and Revise, update, and submit

• the RMP at least every "ve years. Conduct an offsite

• consequence analysis that evaluates worst-

case accidental release scenario(s);

Document the "ve-year

• history of certain accidental

releases of regulated substances from covered

processes;

Coordinate response plans

• with local emergency

planning and response agencies; and Revise, update, and submit

• the RMP at least every "ve years. Evaluate alternative accident release scenarios and establish: An integrated prevention

• program for managing risk; Provisions for responding to

• emergencies; and An overall management

• system supervising the

implementation of these program elements.

Conduct an offsite

• consequence analysis that evaluates worst-

case accidental release scenario(s);

Document the "ve-year

• history of certain accidental

releases of regulated substances from covered

processes;

Coordinate response plans

• with local emergency

planning and response agencies; and Revise, update, and submit

• the RMP at least every "ve years. Evaluate alternative accident release scenarios and establish: An integrated prevention

• program for managing risk; Provisions for responding to

• emergencies; and An overall management

• system supervising the

implementation of these program elements. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 6 Developing an RMP Inspection Program Objective The RMP regulation states that implementing agencies shall conduct inspections for the purposes of regulatory development and enforcement

of the CAA. RMP inspections focus on the underlying Risk Management RMP Inspections focus on verifying compliance with the Risk Management Program

and Plan. Program, as well as the data contained in the Risk Management Plan. An RMP is a blueprint of how Risk Management Program provisions are incorporated into process safety at the facility, just as an emergency response plan is a blueprint of an emergency response program for a community or a facility. Risk Mangement Plans do not directly protect the public; Risk Managment Programs are the comprehensive approach to protecting the public. Approaches to an RMP Inspection Full compliance with the Risk Management Program regulations cannot be determined without on-site or independent veri"cation of all or part of the information submitted in an RMP. However, each implementing agency should determine the scope of the inspection process to be used. This determination is based on available resources, priorities, expertise, and other factors. Inspecting to ensure compliance with the Risk Management Program regulation may consist of a range of off-site and on-site activities. Off-site activities might include determining that the rule applies to the facility, that the facility placed itself in the correct program level, and that the facility submitted a complete and correct RMP. On-site activities might include veri" cation of documentation; interviews with facility managers, employees, and employee representatives; and observations of ongoing process operations or maintenance activities. To ease the inspection burden, the implementing agency should also determine how the scope and conduct of on-site inspection activities can be coordinated with other regulatory inspections. For example, the implementing agency might coordinate with either the federal or state OSHA of"ce within its jurisdiction. If chemical facilities are subject to the OSHA Process Safety Management (PSM) Standard, OSHA has its own authority over the facilities prevention program. Also, other state agencies, such as state "re marshal of" ces, state departments of agriculture, or state environmental of"ces may regulate certain activities at RMP facilities.

Coordinating inspection activities and sharing appropriate information with such agencies may save inspection resources and decrease the burden on the facility. How to Use Reviews/Audits/Inspections The Risk Management Program regulations mention the use of completeness checks, reviews, audits, and inspections. These terms are de" ned below.

RMP Completeness Checks. The implementing agency may conduct an in-of"ce completeness check of the RMP. RMP*eSubmit (a submission system developed by EPA) will check each RMP before it is submitted to ensure that all the required data elements have been completed. The software program will indicate which "elds are missing any required information. In addition, the EPA reporting center will use a similar technique to review every RMP submitted to see if all necessary "elds have been completed. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 7 RMP Reviews. Implementing agencies may want to review the data in an RMP to identify discrepancies. For example, the Executive Summary and registration data can be compared to chemical inventory data submitted to the state under EPCRA section 312 (always remembering that EPCRA section 312 and CAA section 112(r) may have differences in thresholds). Agencies may also want to review RMPs to identify internal data inconsistencies (e.g., dates listed for activities should be veri"ed as internally consistent), facilities with potential problems based on their accident histories, and unusual data (e.g., failure to list appropriate hazards under the prevention program). For example, if an RMP reports that there has recently been a major change in a process that triggered a review or revision of certain requirements (see 68.170(k)), but the RMP indicates that these requirements have not been reviewed or revised since the date of the change, further inquiry is warranted. RMP Audits. In an audit, the implementing agency evaluates the adequacy of the RMP submitted to EPA and requires revisions to RMPs when necessary to ensure compliance with the Risk Management Plan requirements of Part 68. As previously discussed, implementing agencies must select facilities for audits and resolve audit "ndings using criteria and procedures speci"ed in 40 CFR 68.220. See Annex A for additional information on

RMP Audits.

Inspections. Inspections complement other compliance monitoring activities and are valuable for evaluating compliance with the CAA Section 112(r) requirements. Many implementing agencies that have programs for the protection of public health and safety already have staff who are quali"ed to conduct on-site inspections (e.g., water permitting agencies visit water treatment plants; "re inspectors check on propane distributors). With proper training, it may be ef"cient for these regulators and inspectors to add 112(r) compliance elements to their

inspection checklist. Pursuant to an inspection, a facility may be required to revise its RMP and correct de"ciencies in its underlying Risk Management Program. For example, if an inspection indicated that a facility had not reviewed and updated operating procedures after a change and that such updates were needed, the facility could be required to update the procedures, re-train workers in the new procedures, and submit a revised RMP. Inspections may also result in a variety of enforcement actions and penalties. Implementing agencies should consult legal counsel and applicable agency policies to determine appropriate enforcement actions following an inspection. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 8 THE RMP INSPECTION PROCESS Step (1): Selecting Facilities for RMP Inspections EPA policy requires EPA regional of"ces to prioritize inspections at high-risk facilities. High-risk facilities include facilities with a large residential population within the facilitys worst-case scenario vulnerable zone, facilities with a history of signi"cant accidental releases, and facilities with very large quantities of regulated substances held on site (or with multiple regulated substances held above a threshold quantity).

While EPA expects that every RMP facility will periodically be inspected, implementing agencies should inspect high-risk RMP facilities more frequently than other RMP facilities. There are several basic steps to conducting an RMP inspection: 1. The "rst is selecting facilities to be inspected. 2. Next, there is a range of potential off-site, on-site, and concluding activities. 3. Finally, there is a series of post-inspection actions. EPA policy also requires regional of"ces to periodically search for regulated facilities that have failed to submit RMPs (i.e., RMP non-"lers), identify known RMP facilities that have failed to update their RMP as required by the rule, and take appropriate enforcement or compliance assistance actions in order to resolve the status of such facilities. Beyond these considerations, implementing agencies have signi" cant "exibility to select facilities for inspection. In making their selections, implementing agencies may choose to consider additional factors such as geographic location or clustering, proximity to minority or low-income residential areas, industry sector trends, and speci"c facility hazards or characteristics. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 9 Step (2): Off-Site Activities If more than one inspector is participating in the inspection, the entire inspection team should participate in a planning meeting prior to the inspection. This meeting should include any personnel from outside the implementing agency who will participate in the inspection, such as personnel from other agencies (e.g., " re marshal, emergency management staff, or environmental management staff), or outside contractors or experts who will provide technical support to the inspection team. Additionally, if possible, the implementing agency should include LEPC members and/or local response agency members. To the extent that Offsite Consequence Analysis information is shared during planning, the members of the team should be aware of restrictions on

dissemination of this information to the public. The lead inspector should determine at this point whether the facility will be noti"ed in advance of the site visit. Prior noti"cation may be dictated by implementing agency policy or practices. If the facility is to be noti" ed in advance of the visit, the lead inspector should schedule the date, time, and point of arrival at the facility.

• CAA Section 112(r)(6)(L) provides facility employees and employee representatives with the same rights to participate in the physical inspection of any workplace conducted pursuant to CAA Section 112(r) as provided in the Occupational Safety and Health (OSH) Act (29 CFR 1903.8). Therefore, if there is advance noti"cation of the site visit, the noti"cation should be provided to both the owner/operator and facility employees/employee representative(s).

• If advanced written noti"cation to the owner/operator is provided (e.g., Notice of Inspection (NOI) Letter) it should reference the statutory right for employees and employee representatives to participate in Section 112(r) inspections. The noti"cation also should instruct the owner/operator to notify, upon receipt of the noti"cation, the employee representative(s), if any, of the date and time of the on-site inspection and make arrangement for their participation. The owner/operator should be instructed to provide a copy of the noti"cation to the employee representative(s).

>> The owner/operator also should be instructed to post the noti"cation, upon receipt, in the area subject to the inspection.

• If the name and contact information of the employee representative(s) is readily available to the lead inspector, a copy of the noti"cation should be sent to the employee representative(s) concurrently with the noti"cation being sent to the owner/operator.

The lead inspector should:

• Brief all inspectors on the rationale for the inspection;

• Assign each inspector speci"c section(s) of the inspection report, including collecting facility background information related to his/her report section;

• Identify related regulatory requirements (e.g., hot work permit, HAZWOPER); and

• Establish a schedule for completing collection of the necessary background information, conducting the pre-visit meeting, conducting the inspection, and completing the inspection report. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 10 Collecting Background Information Preliminary preparation is crucial to a well organized inspection. It is useful to collect as much of the facility background information as possible in advance of the inspection. The lead inspector may elect to notify the facility (both owner/operator and employee representative(s)), state, and local of"cials of the pending inspection and request appropriate background information. The inspector(s) then can review this information prior to the visit, prepare a detailed list of topics and questions to help organize their on-site activities, and minimize the amount of time spent at the facility. The table on the following page lists some examples of background

information that may be useful to inspectors. Table 2: Background Information TYPES OF INFORMATION SOURCES OF INFORMATION Submitted RMP RMP*Info and/or RMP*Review (database available to the implementing agency from EPA). History of releases at the facility and/or similar facilities On-scene coordinator reports, Accidental Release Investigation Program (ARIP) questionnaires, RMPs, Emergency Response Noti"cation System (ERNS) data, EPCRA 304 release noti"cations, Toxic Release Inventory data, state release "les. Chemical processes Industry standards and processing techniques from trade and professional groups (e.g., American Institute of Chemical Engineers (AIChE), ASME, and the Chlorine Institute), process "ow diagrams, and piping and instrumentation diagrams. EPCRA Chemical Inventory Data SERC, LEPC, local "re department. Other information OSHA facility inspection information, EPA databases, state databases. Inspectors should also determine the applicability of existing checklists speci"c to the facility being inspected such as checklists developed by EPA in sector-speci"c RMP guidance may be used (e.g., ammonia refrigeration, publicly owned treatment works, chemical warehouses, propane users). Inspectors should also familiarize themselves with industry and government standards speci"c to the facility (e.g., standards developed by OSHA, NFPA, and ANSI). Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 11 Planning the Inspection An on-site inspection might include review of programs and records, veri"cation of data, interviews with employees, and analysis of prevention measures. See the following table of potential inspection components for

suggestions. Table 3: Potential Inspection Components Review * *

• accident history incident investigation reports, and documentation of corrective measures taken preventive maintenance program process hazard analysis or hazard review, including review of safety information and risk scenarios

soundness of air modeling results operation and maintenance records, inspection procedures, and repairs records training records and review of emergency plan exercise program emergency response program capabilities, including exercises, equipment, training, off-site programs, public noti"cation, procedures, and communication with local emergency responders management of change program, pre-start review program, employee participation program, hot work permit program, and contractor employee training Verify * *

• facility classi"cation and program designation air modeling methods and results model input parameters

mitigation measures and systems process enhancements, including facility-conducted compliance inspection results and

recommendations Evaluate

• additional (unreported) covered processes Engineering review

• processes Engineering analyses

• release prevention measures Engineering veri" cation

• mitigation measures, design parameters Prepare Inspection Staff and Plan Logistics The lead inspector should hold a pre-visit meeting with all inspectors as close to the date of the inspection as possible. By this time, all inspectors should be familiar with this guidance and any information they have collected about the facility to be inspected and its processes. Additional information to be obtained at the facility should be identi"ed and inspectors should develop individual plans for conducting their portion of the inspection. For extensive inspections, the pre-visit meeting should:

• Establish the entry authority of each inspector;

• Review each inspectors area of responsibility;

• Review the inspection objectives and highlight areas of special interest;

• Review any site-speci"c personal health and safety issues, and complete, if necessary, a site safety plan for on-site activities;

• Review information about key personnel and operations at the site; Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 12

• Establish an agenda for each day of the site visit;

• Review logistical matters (e.g., nightly team meetings to discuss results and plan the next days activity);

• Review the RMP submitted by the facility and preliminarily evaluate compliance with regulatory requirements;

• Arrange for proper management of con"dential business information (CBI); and

• Cover any additional topics.

The lead inspector should also:

• Develop site-speci"c guidance, if needed;

• Reserve work space and equipment at the facility;

• Develop employee interview questionnaires, if an interview is planned; and

• Schedule opening meetings, closing meetings, and daily debrie" ngs. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 13 Step (3): At the Site Entering the Facility Upon entering the facility, the inspector(s) should present of"cial credentials. The inspector(s) should not relinquish credentials or allow photocopying of them. The inspector(s) should arrive at the facility during normal working hours. The inspector(s) may sign a sign-in sheet, log, or visitor register. However, the inspector(s) must not sign any type of waiver or visitor release which would relieve the facility of

responsibility for injury or limit the rights of the inspecting agencies to collect or use data obtained from the facility. If a waiver or release is presented, the lead inspector should explain that such a document will not be

signed and request a blank sign-in sheet. If the inspector(s) is refused entry as a result of not signing the release, the lead inspector should report all pertinent facts to the implementing agencys legal counsel. If the matter cannot be resolved, the inspector(s) should leave the facility. All events surrounding the refused entry must be fully documented, including the name(s) and title(s) of the person(s) refusing entry, and the stated reason for denying access to the facility. The inspector(s) should also document any observations made at the facility prior to the denial of entry.

In addition to presenting of"cial credentials, the lead inspector may also present a Notice of Inspection to provide further clari"cation to the facility that the purpose of the inspection is to determine compliance with

CAA Section 112(r) as well as with CERCLA Section 103(e) and EPCRA Sections 302 -312. Once credentials have been presented and entry gained, the lead inspector should advise the owner/operator that CAA Section 112(r) requires employee representatives be given an opportunity to participate in the physical inspection of the facility (as referenced in the NOI if advance noti"cation had been provided). As soon as practicable after entering the facility, the lead inspector should determine whether the facility employees are represented and, if so, offer the employee representative(s) an opportunity to participate in the on-site

inspection. If employees are not represented by an authorized representative or employees have not chosen a representative for the Section 112(r) inspection (e.g., chosen by employees at large or through an established employee safety committee), the lead inspector should determine, if able, the employee(s) who may serve as employee representative(s) for purposes of the inspection. If the lead inspector is unable to make such a determination, the inspector(s) should interview during the course of the inspection a reasonable number of employees the

inspector(s) deems necessary to conduct the inspection. Pursuant to CAA Section 112(r)(6)(L) and the OSH Act, the employee representative is to be an employee of the employer. Having an employee who works at the facility and has knowledge of the Risk Management Program participate in the inspection may assist the inspector(s) in evaluating compliance with CAA Section 112(r) requirements. However, if the inspector(s) determines that good cause has been shown why accompaniment by a third party who is not an employee of the employer is reasonably necessary to the conduct of an effective and thorough physical inspection of the workplace, such third party may accompany the inspector(s) during the inspection. The determination to include a third party is at the discretion of the inspector(s). The lead inspector should document in the inspection report the offer to employees and employee representatives the opportunity to participate in the Section 112(r) inspection.

• The inspection should not be postponed or unreasonably delayed if an employee representative is unavailable when the inspector(s) arrives to begin the on-site visit. The reason for an employee representative not being available to participate in the inspection should be noted in the inspection report Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 14 (e.g., representative is not present at facility; representative does not accept offer to join inspection due to participation in an ongoing strike or labor dispute.) If management personnel attempt to interfere with participation by employees and employee representatives in the inspection, the lead inspector should advise management that such participation, as indicated in the NOI letter, is a statutory right pursuant to CAA Section 112(r)(6)(L). Any attempt by management to interfere in

such participation should be documented in the inspection report. Depending upon the nature and scope of

the management interference, the lead inspector may determine the interference to be a refusal to permit the

inspection.

Opening Meeting The inspector(s) should conduct a joint opening meeting with management personnel (e.g., plant manager, superintendents of safety and operations, legal counsel, corporate representative) and the employee representative(s). The lead inspector should clearly explain the purpose and objectives of the inspection.

• If either management personnel or the employee representatives object to a joint opening meeting, the inspector(s) should conduct separate opening meetings. The lead inspector may give management personnel and employee representative(s) each a copy of this guidance to help them understand the scope, purpose, and objective of the inspection. In addition, this guidance may help management personnel and employee representatives in assembling information to be reviewed by the inspector(s). At a minimum, the following items should be addressed during the opening meeting:

• Discussion of entry and information gathering authorities;

• Inspection purpose and objectives;

• On-site agenda;

• Identi"cation and management of CBI;

• Information necessary to conduct the inspection;

• Safety issues (e.g., facility-speci"c safety orientation training, emergency response procedures and alarms that may sound in an emergency); and

• Schedule for closing conference. The inspector(s) should also request a detailed overview of the chemical processes and/or manufacturing operations at the facility, including block "ow and/or process "ow diagrams indicating chemicals and processes involved. Prior to walking around the facility, the inspector(s) should request an explanation of the facilitys Risk Management Program, including, at a minimum:

• How the elements of the program are implemented;

• Personnel who are responsible for the implementation of the various elements of the program; and

• A description of the facilitys records documenting compliance. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 15 At the conclusion of the opening meeting, the lead inspector should request access to the following information, where applicable:

• Documentation for the hazard assessment, including selection of model and procedures followed;

• Documentation supporting reports under the "ve-year accident history (e.g., follow-up release reports, initial noti" cations);

• Documentation for the process hazards analysis or hazard review;

• Standard operating procedures;

• Training records (e.g., hazard communication, emergency response) for all employees;

• Pre-startup safety review;

• Integrity or preventive maintenance records;

• Hot work permit program;

• Written procedures to manage change to processes;

• Plan of action for implementation of employee participation;

• Written process safety information;

• Incident investigation reports;

• The emergency response plan developed by the facility;

• The two most recent compliance audit reports; and

• Documentation on coordination with local of"cials on emergency response activities. Collecting and Analyzing Information After the opening meeting, the inspector(s) may accomplish their tasks individually or in small groups, performing their work as quickly and ef"ciently as possible. Special attention

should be paid to:

• Verifying the reported program level; and

• Comparing the facilitys RMP to policies and procedures actually implemented, especially for

production or equipment changes. Annex D, Inspection Checklist (on page D-1) may be used as guidance to ensure regulatory requirements are met and a basic level of data quality is achieved. However, this checklist is not intended to be comprehensive of all applicable requirements. Accordingly, the checklist is not a substitute for knowledge and understanding of the regulations. Con"dential Business Information

• During the course of the inspection, inspector(s) may have access or obtain information that may be entitled to con" dential treatment.

• It is the sources responsibility to identify this information as Con"dential Business Information (CBI) to the

inspector(s), in accordance with the Risk Management Program regulations.

• This information will be handled in accordance with the implementing agencys procedures (e.g., 40 CFR Part 2 for EPA personnel).

• Before visiting the site, inspector(s) should check to see if their agency has training or programs on handling CBI. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 16 During the inspection, a variety of materials will be gathered relating to operations at the facility. These materials should be referenced in the inspection report and maintained in a central "le. Examples of the types of

material that might be included are:

• Sample facility memoranda, guidelines, safe operating procedures, policy statements (e.g., safety practices, Responsible Care);

• Correspondence between the facility and the implementing agency; or

• Graphic materials such as photographs, maps, charts, plot plans, organizational charts.

All materials should be labeled with:

• Name of facility;

• Names of inspection team members;

• Date of inspection; and

• Other identifying information.

While collecting information, and in order to aid the inspection without causing interference to the conduct of the inspection, the inspector(s), as provided by Section 112(r)(6)(L), may determine the following is

appropriate:

• To permit additional employer and employee representatives to participate in the inspection.

• To permit different employer and employee representatives to participate in the inspection as the inspector(s) visits different areas of the workplace. For example,

>> Provide for participation of employees who have familiarity with speci"c work areas or have expertise with certain process units.

>> Address issues concerning workplace areas containing con"dential business information or trade secrets by including employees in the inspection who are authorized to have access to those areas. To provide for an effective inspection and to assist in the collection and analysis of information, the inspector(s) may interview employees. As statutorily provided, such employee interviews may be conducted privately.

Consent by management personnel to conduct private employee interviews is not necessary. Any interference by management personnel with the ability of the inspector(s) to conduct private interviews should be documented in the inspection report. Such interference includes attempts by management to be present during private interviews.

• Employee interviews should occur during normal working hours and at other reasonable times during or after the on-site visit at the facility or at an alternate location agreed upon between the inspector and employee.

• The inspector interviewing an employee should provide the employee with contact information (e.g., a business card). While the NOI letter should include contact information, the lead inspector also should provide such contact information to the employee representative(s). Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 17

• The inspector(s) should inform employees and employee representatives participating in the inspection that only matters related to the inspection (e.g., workplace hazards; processes; emissions units) are to be

discussed. During the course of the inspection, the inspector(s) has the statutory right to deny participation in the inspection to any person whose conduct interferes with a fair and orderly inspection. Such denial should be documented and explained in the inspection report. Personal Protective Equipment (PPE) In addition to normal protective equipment (e.g., safety shoes, hard hats, goggles), inspector(s) may need special equipment:

• Flame-retardant coveralls in all areas of the facility where there is potential for " ash "res and as may be required by facility policy;

• Emergency escape respirators during the walk-around portion of the inspection (personnel conducting these inspections should have received proper training in the use of emergency escape respirators);

• Alert monitors approved for the environment where they will be used (e.g., HCN, Cl2); and

• Electronic equipment (e.g., still cameras, video cameras, cellular phones) that are safe for use in the process areas being inspected. Inspectors should follow facility guidance relative to the appropriate use of PPE and request notice of any unusual conditions which may dictate speci" c precautions. Closing Conference Prior to the closing conference, the inspector(s) should meet privately to review preliminary inspection observations and Closing Conference establish topics for the conference. Signi" cant observations

• Maintain a professional courteous should be presented to management personnel and employee demeanor. representatives. Any issues requiring clari"cation should be

• Make management and employee listed for discussion with the management personnel and representative(s) aware of helpful employee representatives. The lead inspector will determine standards, guidelines, or resources.

what should be communicated during the closing conference.

• Alert management and employee representative(s) to situations requiring immediate remediation.

The inspector(s) should conduct the closing conference with

• Avoid implying a consulting management personnel (e.g., plant manager, superintendents of relationship. safety and operations, legal counsel, corporate representative)

• Do not state that violations have been and the employee representative(s). Other employees who observed. participated in the inspection should also be invited to the

• Avoid statements that affect closing conference. subsequent enforcement actions.

• If either management personnel or the employees/ employee representatives object to a joint closing conference, the inspector(s) should conduct separate closing conferences. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 18 The inspector(s) should use the closing conference to gather additional information, answer questions and verbally communicate preliminary inspection observations. The closing conference provides an opportunity for management personnel and employee representatives to enhance their ability to take timely action to correct de"ciencies as a result of receiving preliminary inspection observations and appropriate compliance assistance.

The inspector(s) should maintain a professional, courteous demeanor throughout the inspection, including the closing conference. The inspector(s) should ensure management personnel and employee representatives are aware of any standards, guidelines, or resources that would be helpful in improving the facility Risk Management Program. However, the inspector(s) should be careful to avoid making suggestions which imply a

consultant type of relationship, such as endorsing one product or " rm exclusively. The inspector(s) should never state that the facility is in compliance or that violations have been observed.

Determining that a violation has occurred is done after the inspection by the appropriate enforcement program in consultation with legal counsel. The inspector(s) should not make any representations that could affect subsequent enforcement actions against the facility (e.g., guaranteeing no enforcement will be taken if a facility performs certain actions to correct a de" ciency).

• In addition to verbally communicating preliminary inspection observations, the inspector(s), consistent with regional practice, may provide written information concerning such observations during the closing conference or after conclusion of the inspection. However, this information should not identify or characterize such observations as violations.

• An in-compliance letter should not be sent to a facility. The lead inspector should alert management personnel and employee representatives to situations that are in need of immediate remediation (e.g., improper storage of incompatible chemicals). The lead inspector should document in the inspection report whether a closing conference was conducted and, if so, with whom. If a closing conference was not conducted, the report should include the reasons why the conference was not conducted and con"rm that contact information was left. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 19 Step (4): Concluding Activities Follow-up Meeting The inspector(s) should meet as soon as possible after completion of the site visit to ensure details of the inspection are accurately recorded. At a minimum, inspector(s) should:

• Immediately review and edit personal notes taken during the site visit for clarity and completeness;

• Review report format, and identify any additional information needed to complete the report;

• Review all important preliminary observations and facts obtained;

• Agree on a date for the " nal report;

• Differentiate recommendations from any observed potential noncompliance; and

• Resolve recommendations that are not supported by team consensus. Inspection Report Suf"cient documentation of the inspection is to be provided to allow for a compliance determination to be made. To ensure suf"cient documentation with complete information, the inspection report documenting a Section 112(r) inspection should include the following basic elements. Annex D, Inspection Checklist (on page

D-1) may be helpful and also may be used as a component of the inspection report.

• A basic pro"le of the facility and general information about the inspection:

>>Facility name, location, mailing address;

>>Facility contact, phone number, e-mail address;

>>Employee representative(s), phone number(s), e-mail address(es);

• Nature, extent, and substance of the employee(s) and employee representative(s) involvement;

>> Date of inspection and name of inspector(s);

>> Inspection activities - e.g., processes and emission units evaluated; on-site observations; employee interviews; whether compliance assistance was provided and if so, nature of assistance; any action taken by facility to come back into compliance during on-site visit;

• Date and program levels of submitted RMP;

• A description of the criteria, rationale, and factual information used to select the facility for an inspection (including information on enforcement actions resulting from previous Section 112(r) inspections); and

• Observations and recommendations. Each observation should be supported and documented with information collected through such activities as document reviews, sampling, interviews and/or facility walkthroughs. The inspector(s) should only provide factual observations without any legal conclusions about whether there were violations or de" ciencies. Preliminary inspection observations should be accompanied by recommendations based upon a comparative Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 20 analysis of the observation with applicable rules, regulations, standards, and accepted guidance. Each recommendation should cite the speci"c rules, regulations, standards, accepted guidance, or technical basis used

to formulate the recommendation. If more than one inspector participated in the inspection, the lead inspector should consult with appropriate personnel in the implementing agency to determine if recommendations that are not supported by team consensus should be included. Each inspector should sign the report. The original report should be maintained by the implementing agency. When "nalized, a copy of the report may be provided, consistent with Regional practice, to facility owners/operators; employee representatives; the State Emergency Response Commission; the Local Emergency Planning Committee in whose area the facility is located; and/

or other federal, state, and local agencies as appropriate. However, when considering whether to provide an inspection report, the regional of"ce must take into account the necessity to ensure trade secrets and con" dential business information are protected pursuant to statutory requirements and implementing agency regulations and policies. Also, any potential enforcement action is not to be compromised when providing an inspection report. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 21 Step (5): Post-Inspection Actions Post-inspection actions will largely depend on the observations of the inspector and the information obtained during the inspection. If observations and other information support the determination of violations, there are several types of enforcement actions among which the implementing agency may choose to pursue.

Such actions include, for example, notices of violations, administrative orders, monetary "nes and penalties, injunctive relief, and supplemental environmental projects. Implementing agencies should consult applicable

enforcement response policies in order to determine appropriate enforcement actions. Inspections do not necessarily result in enforcement actions. If the implementing agency concludes that enforcement action is not warranted (e.g., only minor de"ciencies are discovered during the inspection), the implementing agency may choose to take no post-inspection actions or to provide compliance assistance. Such assistance could include providing training, regulatory guidance, reference materials, or other information to the facility owner/operator. Since implementing agencies have discretion in regulatory enforcement matters, inspectors, case development of"cers and legal counsel should work in a coordinated manner when determining

the appropriate enforcement response. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 22 ANNEXES Annex A: RMP Audits Conducted Pursuant to 40 CFR Part 68.220 Annex B: Site Safety Plan for On-Site Activities Annex C: Inspection Report Annex D: Inspection Checklist Annex E: Risk Management Program and OSHA PSM:

List of Regulated Substances Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r) 23 Annex A: RMP Audits Conducted Pursuant to 40 CFR Part 68.220 This Annex describes the process for conducting audits in accordance with 40 CFR Part 68.220. In general, the guidelines contained in the main document may be applied to both inspections and audits. However, Part 68.220 contains speci"c guidance to implementing agencies on selecting facilities for RMP audits, as well as on

resolving audit " ndings. Selecting Facilities for RMP Audits Under 68.220(b), the implementing agency may select facilities for audits based on any of the following criteria: 1. Accident history;

2. Accident history of other facilities in the same industry;

3. Quantity of regulated substances;

4. Location and proximity to the public and environmental receptors;

5. Presence of speci"c regulated substances;

6. Hazards identi"ed in the RMP; or

7. A plan providing for neutral, random oversight. Related criteria could include the number of accidental releases, whether there have been any catastrophic accidental releases, and the known toxicity of chemicals used in the processes. Facilities with a Star or Merit ranking under OSHAs voluntary protection program are exempt from audits based solely on criteria (2) and (7). However, these facilities may be audited based on any of the other " ve criteria [68.220(c)]. Each implementing agency should develop a targeting system, based on their resources and

priorities. Under 40 CFR 68.220(d), the implementing agency shall have access to the facility, supporting documentation, and any area where an accidental release could occur. After-Audit Actions Preliminary Determination Based on the results of the audit, the implementing agency may issue the owner or operator a written preliminary determination of necessary revisions to the facilitys RMP to ensure that the RMP meets the criteria of 40 CFR Part 68, Subpart G. The preliminary determination should include an explanation of the basis for the revisions, re"ecting applicable industry standards and guidelines (such as American Institute of Chemical Engineers (AIChE)/Center for Chemical Process Safety (CCPS) guidelines and American Society of Mechanical Engineers (ASME) and American Petroleum Institute (API) standards). The preliminary determination should also include a timetable for the implementation of the revisions [68.220(e)]. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

A-1 The owner or operator should respond in writing to the preliminary determination. The response should state that the owner or operator will implement the revisions contained in the preliminary determination in accordance with the timetable included in the preliminary determination, or should state that the owner or operator rejects the revisions in whole or in part. For each rejected revision, the owner or operator should explain the basis for rejecting that revision. Such explanation may include substitute revisions [68.220(f)(1)]. The owner or operator should submit the written response to the implementing agency within 90 days of issuance of the preliminary determination. The implementing agency may specify a shorter period of time in the preliminary determination to protect public health and the environment. Prior to the written response being due and upon written request from the owner or operator, the implementing agency may provide additional time for the response to be received [68.220(f)(2)].

Final Determination After providing the owner or operator an opportunity to respond to the preliminary determination, the implementing agency may issue the owner or operator a written "nal determination of necessary revisions to the facilitys RMP. The "nal determination may adopt or modify the revisions contained in the preliminary determination, or may adopt or modify the substitute revisions provided in response to the preliminary determination. A "nal determination that adopts a revision rejected by the owner or operator should include an explanation of the basis for the revision. A "nal determination that fails to adopt a substitute revision provided under 68.220(f) should include an explanation of the basis for "nding such substitute revision unreasonable

[68.220(g)].

Thirty days after completion of the actions detailed in the implementation schedule set in the " nal determination, the owner or operator will be in violation of subpart G of part 68 unless the owner or operator revises the RMP, as required by the "nal determination, and submits the revised RMP [68.220(h)]. Once a "nal determination has been made and the facility is deemed to be in violation of 40 CFR Part 68, the audit report along with the "nal determination should be referred to the appropriate program within the implementing agency for enforcement actions. If warranted, the implementing agency may initiate an

enforcement action, rather than use the preliminary and "nal determination process. The public should have access to the preliminary determination, response, and "nal determination pursuant to 42 U.S.C. 7414(c) [68.210(a), 68.220(i)]. The disclosure of classi"ed information by the Department of Defense or other federal agencies or contractors of such agencies will be controlled by applicable laws, regulations, or executive orders concerning the release of classi"ed information [68.210(b)]. None of the actions described above will preclude, limit, or interfere in any way with the authority of the implementing agency to exercise its enforcement, investigatory, and information gathering authorities under the

CAA concerning accidental releases [68.220(j)]. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

A-2 Annex B: Site Safety Plan for On-Site Activities The EPA Safety Manual and other EPA policies articulate certain safety planning efforts prior to " eld activities. The following format is consistent with these requirements. Extensive training and certi"cations, and further planning in the form of a more extensive Site Safety Plan, may be necessary in addition to the following plan. FACILITY: LEAD INSPECTOR:

DATE: DESCRIPTION OF ACTIVITIES Location and approximate size of facility: Description of activities to be performed by each of the inspectors:

Proposed date of on-site activities beginning:

Duration of the planned activities:

Site topography:

Site accessibility by roads and air: Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

B-1 HAZARDOUS SUBSTANCES AND HEALTH HAZARDS INVOLVED OR SUSPECTED AT THE SITE (Fill in any information that is known or suspected)

AREAS OF CONCERN CHEMICAL AND PHYSICAL PROPERTIES IDENTITY OF SUBSTANCE AND PRECAUTIONS Explosivity Radioactivity Oxygen de" ciency (e.g., con" ned spaces) Toxic gases Skin/eye contact hazards Heat stress Pathways from site for hazardous substance dispersion: Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

B-2 C WORK PLAN INSTRUCTIONS Recommended level of protection:

A B Cartridge type if level C:

Monitoring equipment to be used:

Accompanying/helping persons (facility/contractors):

Safety clothing/equipment required for those persons:

OSHA required training and certi"cation (29 CFR 1910.120) received by those persons: FIELD INVESTIGATION AND DECONTAMINATION PROCEDURES Decontamination procedures (e.g., contaminated protective clothing, instruments, equipment): Disposal procedures (e.g., contaminated equipment, supplies, disposable items, washwater): Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

B-3 EMERGENCY CONTACTS Hospital Name/Location:

Hospital Phone No.: Fax:

Emergency Medial Treatment Phone No.:

Fax:

Ambulance Phone No.:

Fax:

Police Phone No.:

Fire Assistance Phone No.:

Regional Health and Safety Of" cer (or position with similar duties):

Phone No.: Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

B-4 Annex C: Inspection Report Note: A report similar to this will be generated by RMP*Review, the software available to RMP implementing agencies. EPA facility ID #:

City: State: County:

Date: INSPECTION TEAM:

Lead Inspector:

Inspectors:

Date(s) of facility visit:

I. FACILITY IDENTIFICATION Name: Street Address:

City: State: County:

Zip:

Latitude: Longitude:

Dun & Bradstreet (D&B) No.:

Name, address, and D&B of corporate parent company (if applicable):

Owner/operator:

E-mail Address:

Phone No.:

Mailing Address:

C-1 Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

City: State: Zip: Contact information of person responsible for 40 CFR Part 68 implementation:

Name: Title: Phone No.:

E-mail Address:

Name and title of emergency contact:

Name: Title:

Day Phone:

E-mail Address: 24-hour Phone: Cell: Names, titles, phone numbers and e-mail addresses of facility personnel/employee representatives involved in inspection. Include information on nature, extent, and substance of such involvement (e.g., accompanied site tours; provided documents and explanatory information; participated in interviews): II. DATE AND PROGRAM LEVELS OF SUBMITTED RMP Date of Initial Submission: ___ ___ / ___ ___ / ___ ___

Date of Latest Update: ___ ___ / ___ ___ / ___ ___

Process (Program 1, 2, 3) as reported in RMP: Process ID#: Program Level: NAICS Code: CRITERIA, RATIONALE, and FACTUAL INFORMATION used to select the facility for an inspection (including information on enforcement actions resulting from previous Section 112(r) inspections: Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

C-2 III. INSPECTION ACTIVITIES (e.g., processes and emission units evaluated; on-site observations; employee interviews; whether compliance assistance was provided and if so, nature of assistance; any action taken by facility to come back into

compliance during on-site visit): IV. OBSERVATIONS AND RECOMMENDATIONS Signatures:

Lead Inspector:

Inspectors: Approved by: Signature: Date:

Title:

• Observations and recommendations may be presented in one or more attachments and referred to in the report. Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

C-3 Annex D: Inspection Checklist Process inspected:

Inspector:

Instructions: This checklist may be used for veri"cation of RMP and Program compliance (Check boxes coding: Y=Yes, N=No, P=Partial, A=Not Applicable) Note: Compliance Objectives are listed in the order they appear in the RMP rule Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-1 Compliance Objectives Notes 1. RISK MANAGEMENT PROGRAM AND PLAN (SUBPART A)

[68.1 - 68.15] Applicability [68.1] ___ 1.1 Does the owner or operator of the stationary source have more than a threshold quantity of a regulated substance in a

process? [68.10(a)] ___ 1.2 Has the process had, in the "ve years prior to submission of the RMP, an accidental release of a regulated substance where exposure to the substance, its reaction products, overpressure generated by an explosion involving the substance, or radiant heat generated by a "re involving the substance led to any of the following off-site: (i) Death; (ii) Injury; or (iii) Response or restoration activities for an exposure of an environmental receptor? [68.10(b)(1)] ___ 1.3 Is the distance to a toxic or "ammable endpoint for a worst- case release assessment less than the distance to any public

receptor? [68.10(b)(2)] ___ 1.4 Has the owner or operator coordinated emergency response procedures between the stationary source and local emergency planning and response organizations?

[68.10(b)(3)] ___ 1.5 Is the covered process subject to OSHA PSM standard, 29 CFR 1910.119? [68.10(d)(2)] ___ 1.6 Is the covered process in one of the NAICS codes listed in 40 CFR §68.10(d) (1)? [68.10(d)(1)]

Inspector may need to re-answer 1.5 and 1.6 for multiple processes in comments section. ___ 1.7 Has the owner or operator submitted a single RMP, which included a registration that re"ects all covered processes, as provided in 68.150 to 68.185? [68.12(a)] 1.8 For Program 1 processes inspected, has the owner or operator:

[68.12(b)] ___ 1.8.1 Analyzed the worst-case release scenario for the process(es), as provided in 68.25; [68.12(b)(1)] ___ 1.8.2 Documented that the nearest public receptors is beyond the distance to an endpoint de"ned in 68.22(a); and [68.12(b)(1)] ___ 1.8.3 Included the scenario(s) in the RMP as provided in 68.165?

[68.12(b)(1)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-2 Compliance Objectives Notes ___ 1.8.4 Completed the "ve-year accident history for the process as provided in 68.42 [68.12(b)(2)]; and ___ 1.8.5 Included the history in the RMP as provided in 68.168?

[68.12(b)(2)] ___ 1.8.6 Ensured that response actions have been coordinated with local emergency planning and response agencies?

[68.12(b)(3)] ___ 1.8.7 Included the appropriate certi"cation statement for Program 1 processes? [68.12(b)(4)] 1.9 For Program 2 processes, has the owner or operator:

[68.12(c)] ___ 1.9.1 Developed and implemented a management system as provided in 68.15? [68.12(c)(1)] ___ 1.9.2 Conducted a hazard assessment as provided in 68.20 through 68.42? [68.12(c)(2)] ___ 1.9.3 Implemented the Program 2 prevention steps provided in 68.48 through 68.60 or implemented the Program 3 prevention steps provided in 68.65 through 68.87?

[68.12(c)(3)] ___ 1.9.4 Developed and implemented an emergency response program as provided in 68.90 to 68.95? [68.12(c)(4)] ___ 1.9.5 Submitted, as part of the RMP, the data on prevention program elements for Program 2 processes as provided in

68.170? [68.12(c)(5)] 1.10 For Program 3 processes, has the owner or operator:

[68.12(d)] ___ 1.10.1 Developed and implemented a management system as provided in 68.15? [68.12(d)(1)] ___ 1.10.2 Conducted a hazard assessment as provided in 68.20 through 68.42? [68.12(d)(2)] ___ 1.10.3 Implemented the prevention requirements provided in 68.65 through 68.87? [68.12(d)(3)] ___ 1.10.4 Developed and implemented an emergency response program as provided in 68.90 to 68.95? [68.12(d)(4)] ___ 1.10.5 Submitted, as part of the RMP, the data on prevention program elements for Program 3 processes as provided in

68.175? [68.12(d)(5)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-3

__________________________________________________________________________________________

__________________________________________________________________________________________

__________________________________________________________________________________________

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__________________________________________________________________________________________

__________________________________________________________________________________________ Compliance Objectives Notes Management [68.15] Has the owner or operator: ___ 1.11 Developed a management system to oversee the implementation of the Risk Management Program elements?

[68.15(a)] ___ 1.12 Assigned a quali"ed person or position that has the overall responsibility for the development, implementation, and integration of the Risk Management Program elements?

[68.15(b)] ___ 1.13 Documented other persons responsible for implementing individual requirements of the Risk Management Program and de"ned the lines of authority through an organization

chart or similar document? [68.15(c)]

Findings:

Documentation obtained to support Findings: Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-4 Compliance Objectives Notes 2. RMP SUBMISSION (SUBPART G)

[68.150 - 68.190] ___ 2.1 Did the owner or operator submit an RMP on or before June 21, 1999? Postmark date of initial submission:

[68.10, 68.10(a)(1), 68.150(a) & (b)] If submission was after June 21, 1999, was submittal required because: [68.10 & 68.150(b)] ___ 2.1.1 Initial listing of a regulated substance under 68.130 after June 21, 1999 [68.10(a)(2) & 68.150(b)(2)] ___ 2.1.2 A regulated substance was "rst present at the stationary source above the threshold quantity in a process [68.10(a)(3)

& 68.150(b)(2)] ___ 2.2 Has the owner or operator revised and updated the RMP within 5 years of initial submission? Date of the last revision

and update [68.190(a)]: 2.3 If required, has the owner or operator submitted a revised RMP for any of the following: [68.190(b)] ___ 2.3.1 Within 3 years after EPA "rst listed a newly regulated substance? [68.190(b)(2)] ___ 2.3.2 No later than the date on which a new regulated substance is "rst present in an already covered process above a threshold

quantity? [68.190(b)(3)] ___ 2.3.3 No later than the date on which a regulated substance is " rst present above a threshold quantity in a new process?

[68.190(b)(4)] ___ 2.3.4 Within six months of a change that requires a revised PHA or hazard review? [68.190(b)(5)] ___ 2.3.5 Within six months of a change that requires a revised off-site consequence analysis as provided in 68.36? [68.190(b)(6)] ___ 2.3.6 Within six months of a change that alters the Program level that applied to any covered process? [68.190(b)(7)] ___ 2.4 Has the owner or operator included information submitted as CBI in the RMP? [68.150(d)] ___ 2.4.1 If so, were the provisions of 68.151 and 68.152 followed? Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-5 Compliance Objectives Notes RMP: Executive Summary [68.155] 2.5 Has the owner or operator included a brief description of the following elements in the executive summary of the RMP:

[68.155] ___ 2.5.1 The accidental release prevention and emergency response policies at the stationary source? [68.155(a)] ___ 2.5.2 The stationary source and regulated substances handled?

[68.155(b)] ___ 2.5.3 The general accidental release prevention program and chemical-speci"c prevention steps? [68.155(c)] ___ 2.5.4 The "ve-year accident history? [68.155(d)]

___ 2.5.5 The emergency response program? [68.155(e)]

___ 2.5.6 Planned changes to improve safety? [68.155(f)]

RMP: Registration [68.160] ___ 2.6 Has the owner or operator included a single registration form in the RMP which covers all regulated substances handled in covered processes? [68.160(a)] 2.7 Does the registration include the following data: [68.160(b)] ___ 2.7.1 Stationary source name, full address, Dun and Bradstreet number; longitude and latitude with method and description?

[68.160(b)(1) & (2)] ___ 2.7.2 Corporate parent company name and Dun and Bradstreet number? [68.160(b)(3)] ___ 2.7.3 The name, telephone number, and mailing address of the owner or operator? [68.160(b)(4)] ___ 2.7.4 The name and title of the person or position with overall responsibility for RMP elements and implementation?

[68.160(b)(5)] ___ 2.7.5 The name, title, telephone number, and 24-hour number of the emergency contact? [68.160(b)(6)] ___ 2.7.6 For each covered process, the name and CAS number of each regulated substance held above the threshold quantity in the process, the maximum quantity of each regulated substance or mixture in the process, the NAICS code, and the Program level of the process? [68.160(b)(7)] ___ 2.7.7 The stationary source EPA identi" er? [68.160(b)(8)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-6 Compliance Objectives Notes ___ 2.7.8 The number of full-time employees at the stationary source?

[68.160(b)(9)] ___ 2.7.9 Whether the stationary source is subject of 29 CFR §1910.119, OSHAs Process Safety Management Standard?

[68.160(b)(10)] ___ 2.7.10 Whether the stationary source is subject to 40 CFR Part 355, the Emergency Planning Requirements of the Emergency Planning and Community Right-to-Know Act?

[68.160(b)(11)] ___ 2.7.11 If the stationary source has a CAA Title V operating permit, its permit number? [68.160(b)(12)] ___ 2.7.12 The date of the last safety inspection of the stationary source by a Federal, state, or local government agency and the

identity of the inspecting entity? [68.160(b)(13)] RMP: Off-site Consequence Analysis [68.165] 2.8 Does the RMP include the following: [68.165(a)] ___ 2.8.1 One worst-case release scenario for each Program 1 process?

[68.165(a)(1)] ___ 2.8.2 For Program 2 and 3 processes, one worst-case release scenario to represent all regulated toxic substances held above the threshold quantity and one worst-case release scenario to represent all regulated "ammable substances held above the

threshold quantity? [68.165(a)(2)] ___ 2.8.3 For Program 2 and 3 processes, were additional worst-case scenarios also submitted, if required by 68.25(a)(2)(iii)?

[68.165(a)(2)] ___ 2.8.4 For Program 2 and 3 processes, was information submitted on one alternative scenario for each regulated toxic substance held above the threshold quantity and one alternative scenario to represent all regulated "ammable substances held above

the threshold? [68.165(a)(2)] 2.9 Does the RMP include the following information for each submitted release scenario: [68.165(b)] ___ 2.9.1 Scenario type (explosion, "re, toxic gas release, or liquid spill and vaporization)? [68.165(b)(5)] ___ 2.9.2 Chemical name of released substance? [68.165(b)(1)]

___ 2.9.3 Percentage weight of the chemical in a liquid mixture (toxics only)? [68.165(b)(2)] ___ 2.9.4 Physical state of substance (toxics only)? [68.165(b)(3)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-7 Compliance Objectives Notes

___ ___

___ 2.9.5 2.9.6 2.9.7 Basis of results (model name if used)? [68.165(b)(4)]

Quantity released in pounds? [68.165(b)(6)]

Release rate? [68.165(b)(7)]

___ ___ ___ ___

___ ___ ___ 2.9.8 2.9.9 2.9.10 2.9.11 2.9.12 2.9.13 2.9.14 Release duration? [68.165(b)(8)] Wind speed and atmospheric stability class (toxics only)?

[68.165(b)(9)] Topography (toxics only)? [68.165(b)(10)]

Distance to endpoint? [68.165(b)(11)]

Public and environmental receptors within the distance?

[68.165(b)(12)] Passive mitigation considered? [68.165(b)(13)] Active mitigation considered (alternative releases scenarios only)? [68.165(b)(14)] RMP: Five-Year Accident History [68.168] ___ 2.10 Has the owner or operator provided the "ve-year accident history information in 68.42 on each accident covered by

68.42? [68.168] ___ 2.11 Does the RMP include the following information for each reported accidental release: [68.42(b)] ___ 2.11.1 Date, time, and approximate duration of the release?

[68.42(b)(1)] ___ 2.11.2 Chemical(s) released? [68.42(b)(2)]

___ 2.11.3 Estimated quantity released in pounds and percentage weight in a mixture (toxics)? [68.42(b)(3)] ___ 2.11.4 NAICS code for the process? [68.42(b)(4)]

___ 2.11.5 The type of release event and its source? [68.42(b)(5)]

___ 2.11.6 Weather conditions (if known)? [68.42(b)(6)]

___ 2.11.7 On-site impacts? [68.42(b)(7)]

___ 2.11.8 Known offsite impacts? [68.42(b)(8)]

___ 2.11.9 Initiating event and contributing factors (if known)?

[68.42(b)(9)] ___ 2.11.10 Whether offsite responders were noti"ed (if known)?

[68.42(b)(10)] ___ 2.11.11 Operational or process changes that resulted from investigation of the release? [68.42(b)(11)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-8 Compliance Objectives Notes RMP: Prevention Program/Program 2 [68.170] 2.12 Has the owner or operator included the following information for each covered process in Program 2: [68.170(a)] ___ 2.12.1 The NAICS code for the process? [68.170(b)] ___ 2.12.2 The name(s) of the chemical(s) covered? [68.170(c)] ___ 2.12.3 The date of the most recent review or revision of the safety information and a list of Federal or state regulations or

industry-speci"c design codes and standards used to

demonstrate compliance with the safety information

requirement. [68.170(d)] ___ 2.12.4 The date of completion of the most recent hazard review or update? [68.170(e)] ___ 2.12.4.1 The expected date of completion of any changes resulting from the hazard review or update? [68.170(e)(1)] ___ 2.12.4.2 Major hazards identi" ed? [68.170(e)(2)] ___ 2.12.4.3 Process controls in use? [68.170(e)(3)]

___ 2.12.4.4 Mitigation systems in use? [68.170(e)(4)]

___ 2.12.4.5 Monitoring and detection systems in use? [68.170(e)(5)]

___ 2.12.4.6 Changes since the last hazard review? [68.170(e)(6)]

___ 2.12.5 The date of the most recent review or revision of operating procedures? [68.170(f)] ___ 2.12.6 The date of the most recent review or revision of training programs? [68.170(g)] ___ 2.12.6.1 The type of training provided--classroom, classroom plus on the job, on the job? [68.170(g)(1)] ___ 2.12.6.2 The type of competency testing used? [68.170(g)(2)]

___ 2.12.7 The date of the most recent review or revision of maintenance procedures and the date of the most recent equipment

inspection or test and the equipment inspected or tested?

[68.170(h)] ___ 2.12.8 The date of the most recent compliance audit and the expected date of completion of any changes resulting from

the compliance audit? [68.170(i)] ___ 2.12.9 The date of the most recent incident investigation and the expected date of completion of any changes resulting from the investigation? [68.170(j)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-9 Compliance Objectives Notes ___ 2.12.10 The date of the most recent change that triggered a review or revision of safety information, hazard review, operating or

maintenance procedures, or training? [68.170(k)] RMP: Prevention Program/Program 3 [68.175] ___ 2.13 Has the owner or operator included in the RMP information addressing 68.175(b) to 68.175(p)? [68.175(a)] ___ 2.13.1 The NAICS code for the process? [68.175(b)] ___ 2.13.2 The name(s) of the substance(s) covered? [68.175(c)]

___ 2.13.3 The date on which the safety information was last reviewed or revised? [68.175(d)] ___ 2.13.4 The date of completion of the most recent process hazard analysis (PHA) or update and the technique used? [68.175(e)] ___ 2.13.4.1 The expected date of completion of any changes resulting from the PHA? [68.175(e)(1)] ___ 2.13.4.2 Major hazards identi" ed? [68.175(e)(2)] ___ 2.13.4.3 Process controls in use? [68.175(e)(3)]

___ 2.13.4.4 Mitigation systems in use? [68.175(e)(4)] ___ 2.13.4.5 Monitoring and detection systems in use? [68.175(e)(5)]

___ 2.13.4.6 Changes since the last PHA? [68.175(e)(6)]

___ 2.13.5 The date of the most recent review or revision of operating procedures? [68.175(f)] ___ 2.13.6 The date of the most recent review or revision of training programs? [68.175(g)] ___ 2.13.6.1 The type of training provided - classroom, classroom plus on the job, on the job? [68.175(g)(1)] ___ 2.13.6.2 The type of competency testing used? [68.175(g)(2)]

___ 2.13.6.1 The type of training provided - classroom, classroom plus on the job, on the job? [68.175(g)(1)] ___ 2.13.6.2 The type of competency testing used? [68.175(g)(2)]

___ 2.13.7 The date of the most recent review of revision of maintenance procedures and the date of the most recent equipment

inspection or test and the equipment inspected of tested?

[68.175(h)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-10 Compliance Objectives Notes ___ 2.13.8 The date of the most recent change that triggered management of change procedures and the date of the most recent review or revision of management of change

procedures? [68.175(i)] ___ 2.13.9 The date of the most recent pre-startup review? [68.175(j)]

___ 2.13.10 The date of the most recent compliance audit and the expected date of completion of any changes resulting from

the compliance audit? [68.175(k)] ___ 2.13.11 The date of the most recent incident investigation and the expected date of completion of any changes resulting from the investigation? [68.175(l)] ___ 2.13.12 The date of the most recent review or revision of employee participation plans? [68.175(m)] ___ 2.13.13 The date of the most recent review or revision of hot work permit procedures? [68.175(n)] ___ 2.13.14 The date of the most recent review or revision of contractor safety procedures? [68.175(o)] ___ 2.13.15 The date of the most recent evaluation of contractor safety performance? [68.175(p)] RMP: Emergency Response Program [68.180] 2.14 Has the owner or operator included the following information in the RMP on the emergency response program: [68.18] ___ 2.14.1 Does a written emergency response plan exist? [68.180(a)(1)]

___ 2.14.2 Does the plan include speci"c actions to be taken in response to an accidental release of a regulated substance?

[68.180(a)(2)] ___ 2.14.3 Does the plan include procedures for informing the public and local agencies responsible for responding to accidental

releases? [68.180(a)(3)] ___ 2.14.4 Does the plan include information on emergency health care?

[68.180(a)(4)] ___ 2.14.5 Date of the most recent review of update of emergency response plan? [68.180(a)(5)] ___ 2.14.6 Date of the most recent emergency response training for employees? [68.180(a)(6)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-11 Compliance Objectives Notes ___ 2.15 Has the owner or operator provided the name and telephone number of the local agency with which emergency response activities and the emergency response plan is coordinated?

[68.180(b)] ___ 2.16 Has the owner or operator listed other Federal or state emergency plan requirements to which the stationary source

is subject? [68.180(c)]

RMP: Certi" cation [68.185] 2.17 Has the owner or operator: [68.185] ___ 2.18 For Program 1 processes, submitted the certi" cation statement in 68.12(b)(4)? [68.185(a)] ___ 2.19 For Program 2 or 3 processes, submitted the appropriate certi"cation statement that to the best of the signers knowledge, information, and belief formed after reasonable inquiry, the information submitted is true,

accurate, and complete? [68.185(b)]

Findings:

Documentation obtained to support Findings: Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-12 Compliance Objectives Notes 3. HAZARD ASSESSMENT (SUBPART B)

[68.20 - 68.42] Hazard Assessment: Applicability [68.20] ___ 3.1 Has the owner or operator prepared a worst-case release scenario analysis as provided in 68.25 and completed the " ve-year accident history as provided in 68.42? [68.20] Hazard Assessment: Offsite Consequence Analysis Parameters [68.22] 3.2 Has the owner or operator used the following endpoints for offsite consequence analysis for a worst-case scenario:

[68.22(a)] ___ 3.2.1 For toxics: the endpoints provided in Appendix A of 40 CFR Part 68? [68.22(a)(1)] ___ 3.2.2 For "ammables: an explosion resulting in an overpressure of 1 psi? [68.22(a)(2)(i)] ___ 3.3 Has the owner or operator used the following endpoints for offsite consequence analysis for an alternative release

scenario: [68.22(a)] ___ 3.3.1 For toxics: the endpoints provided in Appendix A of 40 CFR Part 68? [68.22(a)(1)] ___ 3.3.2 For "ammables: an explosion resulting in an overpressure of 1 psi? [68.22(a)(2)(i)] ___ 3.3.3 For "ammables: a "re resulting in a radiant heat/exposure of 5 kw/m2 for 40 seconds? [68.22(a)(2)(ii)] ___ 3.3.4 For "ammables: a concentration resulting in a lower "ammability limit, as provided in NFPA documents or other

generally recognized sources? [68.22(a)(2)(iii)] 3.4 In the release analysis, has the owner or operator used appropriate values for the following parameters: ___ 3.4.1 Wind speed and atmospheric stability class?

___ 3.4.2 Ambient temperature and humidity?

___ 3.4.3 Height of the release?

___ 3.4.4 Surface roughness?

___ 3.4.5 Dense or neutrally buoyant gases?

___ 3.4.6 Temperature of the released substance? Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-13 Compliance Objectives Notes Hazard Assessment: Worst-case Release Scenario Analysis [68.25] 3.5 Has the owner or operator of Program 1 processes: ___ 3.5.1 Analyzed and reported in the RMP one worst-case scenario for each Program 1 process? [68.25(a)(1)] 3.6 Has the owner or operator of Program 2 or 3 processes: ___ 3.6.1 Analyzed and reported in the RMP one worst-case release scenario estimated to create the greatest distance to an

endpoint resulting from an accidental release of a regulated toxic substance from covered processes under worst-case conditions? [68.25(a)(2)(i)] ___ 3.6.2 Analyzed and reported in the RMP one worst-case release scenario estimated to create the greatest distance to an endpoint resulting from an accidental release of a regulated "ammable substance from covered processes under worst-

case conditions? [68.25(a)(2)(ii)] ___ 3.6.3 Analyzed and reported in the RMP additional worst-case release scenarios for a hazard class if the a worst-case release from another covered process at the stationary source potentially affects public receptors different from those potentially affected by the worst-case release scenario developed under 68.25(a)(2)(i) or 68.25(a) (2)

(ii)? [68.25(a)(2)(iii)] 3.7 Has the owner or operator determined the worst-case release quantity to be the greater of the following: [68.25(b)] ___ 3.7.1 If released from a vessel, the greatest amount held in a single vessel, taking into account administrative controls that

limit the maximum quantity? [68.25(b)(1)] ___ 3.7.2 If released from a pipe, the greatest amount held in the pipe, taking into account administrative controls that limit the

maximum quantity? [68.25(b)(2)] 3.8 For toxic substances that are normally gases at ambient temperature and handled as a gas or liquid under pressure, has the owner or operator: [68.25(c)(1)] ___ 3.8.1 Assumed the whole quantity in the vessel or pipe would be released as a gas over 10 minutes? [68.25(c)(1)] ___ 3.8.2 Assumed the release rate to be the total quantity divided by 10, if there are no passive mitigation systems in place?

[68.25(c)(1)] 3.9 For toxic gases handled as refrigerated liquids at ambient pressure, has the owner or operator: [68.25(c)(2)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-14 Compliance Objectives Notes ___ 3.9.1 Assumed the substance would be released as a gas in 10 minutes, if not contained by passive mitigation systems or if the contained pool would have a depth of 1 cm

or less? [68.25(c)(2)(i)] ___ 3.9.2 Assumed the quantity in the vessel or pipe would be spilled instantaneously to form a liquid pool, if the released substance would be contained by passive mitigation systems

in a pool with a depth greater than 1 cm? [68.25(c)(2)(ii)] ___ 3.9.3 Calculated the volatilization rate at the boiling point of the substance and at the conditions speci"ed in 68.25(d)?

[68.25(c)(2)(ii)] 3.10 For toxic substances that are normally liquids at ambient temperature, has the owner or operator: [68.25(d)] ___ 3.10.1 Assumed the quantity in the vessel or pipe would be spilled instantaneously to form a liquid pool? [68.25(d)(1)] ___ 3.10.2 Determined the surface area of the pool by assuming that the liquid spreads to 1 cm deep, if there is no passive mitigation system in place that would serve to contain the spill and limit the surface area, or if passive mitigation is in place, the surface area of the contained liquid shall be used to calculate the volatilization rate? [68.25(d)(1)(i)] ___ 3.10.3 Taken into account the actual surface characteristics, if the release would occur onto a surface that is not paved or

smooth? [68.25(d)(1)(ii)] ___ 3.10.4 Determined the volatilization rate by accounting for the highest daily maximum temperature in the past three years, the temperature of the substance in the vessel, and the

concentration of the substance if the liquid spilled is a

mixture or solution? [68.25(d)(2)] ___ 3.10.5 Determined the rate of release to air from the volatilization rate of the liquid pool? [68.25(d)(3)] ___ 3.10.6 Determined the rate of release to air by using the methodology in the RMP Offsite Consequence Analysis Guidance, any other publicly available

techniques hat account for the modeling conditions

and are recognized by industry as applicable as part of

current practices, or proprietary models that account for the modeling conditions may be used provided the owner or operator allows the implementing agency access to the model and describes model features and differences from publicly available models to local emergency planners

upon request. [68.25(d)(3)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-15 Compliance Objectives Notes 3.11 For "ammables, has the owner or operator: ___ 3.11.1 Assumed the quantity in a vessel(s) of "ammable gas held as a gas or liquid under pressure or refrigerated gas released to an undiked area vaporizes resulting in a vapor cloud explosion? [68.25(e)] ___ 3.11.2 For refrigerated gas released to a contained area or liquids released below their atmospheric boiling point, assumed the quantity volatilized in 10 minutes results in a vapor cloud.

[68.25(f)] ___ 3.11.3 Assumed a yield factor of 10% of the available energy is released in the explosion for determining the distance to the explosion endpoint, if the model used is based on TNT-equivalent methods? [68.25(e)] ___ 3.12 Has the owner or operator used the parameters de"ned in 68.22 to determine distance to the endpoints? [68.25(g)] ___ 3.13 Has the owner or operator determined the rate of release to air by using the methodology in the RMP Offsite Consequence Analysis Guidance, any other publicly available

techniques that account for the modeling conditions and are

recognized by industry as applicable as part of current

practices, or proprietary models that account for the modeling

conditions? [68.25(g)] ___ 3.13.1 Modeling technique used: ____________________________

___ 3.14 Has the owner or operator ensured that any passive mitigation system considered for the worst case analysis is capable of withstanding the release event triggering the scenario and will

still function as intended? [68.25(h)] ___ 3.15 Has the owner or operator considered selecting a scenario involving a smaller quantity handled at higher process

temperature or pressure, or located closer to the boundary of the stationary source, if such a scenario would result in a greater distance to an endpoint beyond the

stationary source boundary? [68.25(i)] Hazard Assessment: Alternative Release Scenario Analysis [68.28] ___ 3.16 Has the owner or operator identi"ed and analyzed at least one alternative release scenario for each regulated toxic substance held in covered processes and at least one alternative release scenario to represent all "ammable substances held in covered

processes? [68.28(a)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-16 Compliance Objectives Notes 3.17 Has the owner or operator selected a scenario: [68.28(b)] ___ 3.17.1 That is more likely to occur than the worst-case release scenario under 68.25? [68.28(b)(1)(i)] ___ 3.17.2 That will reach an endpoint off-site, unless no such scenario exists? [68.28(b)(1)(ii)] 3.18 Has the owner or operator considered release scenarios which included, but are not limited to, the following: [68.28(b)(2)] ___ 3.18.1 Transfer hose releases due to splits or sudden hose uncoupling? [68.28(b)(2)(i)] ___ 3.18.2 Process piping releases from failures at "anges, joints, welds, valves and valve seals, and drains or bleeds? [68.28(b)(2)(ii)] ___ 3.18.3 Process vessel or pump releases due to cracks, seal failure, or drain, bleed, or plug failure? [68.28(b)(2)(iii)] ___ 3.18.4 Vessel over"lling and spill, or overpressurization and venting through relief valves or rupture disks? [68.28(b)(2)(iv)] ___ 3.18.5 Shipping container mishandling and breakage or puncturing leading to a spill? [68.28(b)(2)(v)] ___ 3.19 Used the parameters de"ned in 68.22 to determine distance to the endpoints? [68.28(c)] ___ 3.20 Has the owner or operator determined the rate of release to air by using the methodology in the RMP Offsite Consequence Analysis Guidance, any other publicly available techniques that account for the modeling conditions

and are recognized by industry as applicable as part of current

practices, or proprietary models that account for the modeling

conditions? [68.28(c)] ___ 3.21 Has the owner or operator ensured that the passive and active mitigation systems, if considered, are capable of withstanding the release event triggering the scenario and will

be functional? [68.28(d)] 3.22 Has the owner or operator considered the following factors in selecting the alternative release scenarios: [68.25(e)] ___ 3.22.1 The "ve-year accident history provided in 68.42?

[68.25(e)(1)] ___ 3.22.2 Failure scenarios identi"ed under 68.50 or 68.67?

[68.25(e)(2)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-17 Compliance Objectives Notes Hazard Assessment: De"ning Off-site Impacts - Population [68.30] Has the owner or operator: ___ 3.23 Estimated population that would be included in the distance to the endpoint in the RMP based on a circle with the point of

release at the center? [68.30(a)] ___ 3.24 Identi"ed the presence of institutions, parks and recreational areas, major commercial, of"ce, and industrial buildings in

the RMP? [68.30(b)] ___ 3.25 Used most recent Census data, or other updated information to estimate the population? [68.30(c)] ___ 3.26 Estimated the population to two signi"cant digits? [68.30(d)] Hazard Assessment: De"ning Off-site Impacts - Environment [68.33] Has the owner or operator: ___ 3.27 Identi"ed environmental receptors that would be included in the distance to the endpoint based on a circle with the point of

release at the center? [68.33(a)] ___ 3.28 Relied on information provided on local U.S.G.S. maps, or on any data source containing U.S.G.S. data to identify environmental receptors? [Source may have used LandView

to obtain information ] [68.33(b)] Hazard Assessment: Review and Update [68.36] Has the owner or operator: ___ 3.29 Reviewed and updated the off-site consequence analyses at least once every "ve years? [68.36(a)] ___ 3.30 Completed a revised analysis and submit a revised RMP within six months of a change in processes, quantities stored or handled, or any other aspect that might reasonably be expected on increase or decrease the distance to the endpoint by a factor of two or more? [68.36(b)] Hazard Assessment: Documentation [68.39] Has the owner or operator: ___ 3.31 For worst-case scenarios: a description of the vessel or pipeline and substance selected, assumptions and parameters used, the rationale for selection, and anticipated effect of the administrative controls and passive mitigation on

the release quantity and rate? [68.39(a)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-18 Compliance Objectives Notes ___ 3.32 For alternative release scenarios: a description of the scenarios identi"ed, assumptions and parameters used, the rationale for the selection of speci"c scenarios, and anticipated effect of the administrative controls and mitigation

on the release quantity and rate?[68.39(b)] ___ 3.33 Documentation of estimated quantity released, release rate, and duration of release? [68.39(c)] ___ 3.34 Methodology used to determine distance to endpoints?

[68.39(d)] ___ 3.35 Data used to estimate population and environmental receptors potentially affected? [68.39(e)] Hazard Assessment: Five-Year Accident History [68.42] ___ 3.36 Has the owner or operator included all accidental releases from covered processes that resulted in deaths, injuries, or signi"cant property damage on site, or known offsite deaths, injuries, evacuations, sheltering in place, property damage, or environmental damage? [68.42(a)] 3.37 Has the owner or operator reported the following information for each accidental release: [68.42(b)] ___ 3.37.1 Date, time, and approximate duration of the release?

[68.42(b)(1)] ___ 3.37.2 Chemical(s) released? [68.42(b)(2)]

___ 3.37.3 Estimated quantity released in pounds and percentage weight in a mixture (toxics)? [68.42(b)(3)] ___ 3.37.4 NAICS code for the process? [68.42(b)(4)

___ 3.37.5 The type of release event and its source? [68.42(b)(5)]

___ 3.37.6 Weather conditions (if known)? [68.42(b)(6)]

___ 3.37.7 On-site impacts? [68.42(b)(7)]

___ 3.37.8 Known offsite impacts? [68.42(b)(8)]

___ 3.37.9 Initiating event and contributing factors (if known)?

[68.42(b)(9)] ___ 3.37.10 Whether offsite responders were noti"ed (if known)?

[68.42(b)(10)] ___ 3.37.11 Operational or process changes that resulted from investigation of the release? [68.42(b)(11)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-19 Compliance Objectives Notes Findings:

Documentation obtained to support Findings: Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-20 Compliance Objectives Notes 4. PROGRAM 2 PREVENTION PROGRAM (SUBPART C)

[68.48 - 68.60] Program 2 Prevention: Safety Information [68.48] Has the owner or operator: 4.1 Compiled and maintained the following up-to-date safety information, related to the regulated substances, processes,

and equipment: [68.48(a)] ___ 4.1.1 Material Safety Data Sheets (MSDS) that meet the requirements of the OSHA Hazard Communication Standard

[29 CFR 1910.1200(g)]? [68.48(a)(1)] ___ 4.1.2 Maximum intended inventory of equipment in which the regulated substances are stored or processed? [68.48(a)(2)] ___ 4.1.3 Safe upper and lower temperatures, pressures, "ows, and compositions? [68.48(a)(3)] ___ 4.1.4 Equipment speci" cations? [68.48(a)(4)] ___ 4.1.5 Codes and standards used to design, build, and operate the process? [68.48(a)(5)] ___ 4.2 Ensured the process is designed in compliance with recognized and generally accepted good engineering

practices? [68.48(b)] ___ 4.3 Updated information if a major change has occurred that made the information inaccurate? [68.48(c)] Program 2 Prevention: Hazard Review [68.50] ___ 4.4 Has the owner or operator conducted a review of the hazards associated with the regulated substances, processes, and

procedures? [68.50(a)] 4.5 Did the review identify: ___ 4.5.1 The hazards associated with the process and regulated substances? [68.50(a)(1)] ___ 4.5.2 Opportunities for equipment malfunctions or human errors that could cause an accidental release? [68.50(a)(2)] ___ 4.5.3 The safeguards used or needed to control the hazards or prevent equipment malfunctions or human error?

[68.50(a)(3)] ___ 4.5.4 Any steps used or needed to detect or monitor releases?

[68.50(a)(4)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-21 Compliance Objectives Notes Has the owner or operator: ___ 4.6 Determined by inspecting all equipment that the processes are designed, fabricated, and operated in accordance with

applicable standards or rules, if designed to meet industry

standards or Federal or state design rules? [68.50(b)] ___ 4.7 Documented the results of the review? [68.50(c)]

___ 4.8 Ensured that problems identi"ed were resolved in a timely manner? [68.50(c)] ___ 4.9 Updated the review at least once every "ve years or whenever a major change in the processes occurred? [68.50(d)] ___ 4.10 Resolved all issues identi"ed in the review before startup of the changed process? [68.50(d)] Program 2 Prevention: Operating Procedures [68.52] ___ 4.11 Has the owner or operator prepared written operating procedures that provide clear instructions or steps for safely conducting activities associated with each covered

process consistent with the safety information for that

process? [68.52(a)] 4.12 Do the procedures address the following: [68.52(b)] ___ 4.12.1 Initial startup? [68.52(b)(1)]

___ 4.12.2 Normal operations? [68.52(b)(2)]

___ 4.12.3 Temporary operations? [68.52(b)(3)]

___ 4.12.4 Emergency shutdown and operations? [68.52(b)(4)]

___ 4.12.5 Normal shutdown? [68.52(b)(5)]

___ 4.12.6 Startup following a normal or emergency shutdown or a major change that requires a hazard review? [68.52(b)(6)] ___ 4.12.7 Consequences of deviations and steps required to correct or avoid deviations? [68.52(b)(7)] ___ 4.12.8 Equipment inspections? [68.52(b)(8)]

___ 4.13 Has the owner or operator ensured that the operating procedures have been updated, if necessary, whenever a major

change occurred and prior to startup of the changed process?

[68.52(c)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-22 Compliance Objectives Notes Program 2 Prevention: Training [68.54] Has the owner or operator: ___ 4.14 Certi"ed that each employee presently operating a process, and each employee newly assigned to a covered process have been trained or tested competent in the operating procedures provided in § 68.52 that pertain to their duties?

[68.54(a)] ___ 4.15 Provided refresher training at least every three years, or more often if necessary, to each employee operating a process, to ensure that the employee understands and adheres to the

current operating procedures of the process? [68.54(b)] ___ 4.16 Determined, in consultation with the employees operating the process, the appropriate frequency of refresher training?

[68.54(b)] ___ 4.17 Certi"ed that each employee was trained in any updated or new procedures prior to startup of a process after a major

change? [68.54(d)] Program 2 Prevention: Maintenance [68.56] Has the owner or operator: ___ 4.18 Prepared and implemented procedures to maintain the on-going mechanical integrity of the process equipment?

[68.56(a)] ___ 4.19 Trained or caused to be trained each employee, involved in maintaining the on-going mechanical integrity of the process, in the hazards of the process, in how to avoid or correct

unsafe conditions, and in the procedures applicable to the employees job tasks? [68.56(b)] ___ 4.20 Has every maintenance contractor ensured that each contract maintenance employee is trained to perform the maintenance procedures developed? [68.56(c)] ___ 4.21 Has the owner or operator performed or caused to be performed inspections and tests on process equipment that follow recognized and generally accepted engineering

practices? [68.56(d)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-23 Compliance Objectives Notes Program 2 Prevention: Compliance Audits [68.58] Has the owner or operator: ___ 4.22 Has the owner or operator certi"ed that compliance audits are conducted at least every three years to verify that the

procedures and practices are adequate and are being followed? [68.58(a)] ___ 4.23 Has compliance audit been conducted by at least one person knowledgeable in the process? [68.58(b)] ___ 4.24 Has the owner operator developed a report of the audits

" ndings? [68.58(c)] ___ 4.25 Has the owner or operator promptly determined and documented an appropriate response to each of the " ndings of the audit and documented that de"ciencies had been

corrected? [68.58(d)] ___ 4.26 Has the owner or operator retained the two most recent compliance audit reports, unless more than "ve years

old? [68.58(e)] Program 2 Prevention: Incident Investigation [68.60] Has the owner or operator: ___ 4.27 Has the owner or operator investigated each incident which resulted in, or could reasonably have resulted in a catastrophic

release? [68.60(a)] ___ 4.28 Were all incident investigations initiated not later than 48 hours following the incident? [68.60(b)] ___ 4.29 Was a summary prepared at the conclusion of every investigation, which included: [68.60(c)] ___ 4.29.1 Date of incident? [68.60(c)(1)]

___ 4.29.2 Date investigation began? [68.60(c)(2)]

___ 4.29.3 A description of incident? [68.60(c)(3)]

___ 4.29.4 The factors that contributed to the incident? [68.60(c)(4)]

___ 4.29.5 Any recommendations resulting from the investigation?

[68.60(c)(5)] ___ 4.30 Has the owner or operator promptly addressed and resolved the investigation "ndings and recommendations, and are the resolutions and corrective actions documented? [68.60(d)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-24 Compliance Objectives Notes ___ 4.31 Has the owner or operator reviewed the "nding with all affected personnel whose job tasks are affected by the

" ndings? [68.60(e)] ___ 4.32 Has the owner or operator retained investigation summaries for "ve years? [68.60(f)]

Findings:

Documentation obtained to support Findings: Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-25 Compliance Objectives Notes 5. PROGRAM 3 PREVENTION PROGRAM (SUBPART D)

[68.65 - 68.87] Program 3 Prevention: Process Safety Information [68.65] ___ 5.1 Has the owner or operator compiled written process safety information, which includes information pertaining to the hazards of the regulated substances used or produced

by the process, information pertaining to the technology of

the process, and information pertaining to the equipment in the process, before conducting any process hazard analysis

required by the rule? [68.65(a)] 5.2 Does the process safety information contain the following for hazards of the substances: [68.65(b)] ___ 5.2.1 Toxicity information? [68.65(b)(1)]

___ 5.2.2 Permissible exposure limits? [68.65(b)(2)]

___ 5.2.3 Physical data? [68.65(b)(3)]

___ 5.2.4 Reactivity data? [68.65(b)(4)]

___ 5.2.5 Corrosivity data? [68.65(b)(5)]

___ 5.2.6 Thermal and chemical stability data? [68.65(b)(6)]

___ 5.2.7 Hazardous effects of inadvertent mixing of materials that could foreseeably occur? [68.65(b)(7)] 5.3 Does the process safety information contain the following for technology of the process: [68.65(c)(1)] ___ 5.3.1 A block "ow diagram or simpli"ed process " ow diagram?

[68.65(c)(1)(i)] ___ 5.3.2 Process chemistry? [68.65(c)(1)(ii)]

___ 5.3.3 Maximum intended inventory? [68.65(c)(1)(iii)]

___ 5.3.4 Safe upper and lower limits for such items as temperatures, pressures, "ows or compositions? [68.65(c)(1)(iv)] ___ 5.3.5 An evaluation of the consequences of deviations?

[68.65(c)(1)(v)] 5.4 Does the process safety information contain the following for the equipment in the process: [68.65(d)(1)] ___ 5.4.1 Materials of construction? [68.65(d)(1)(i)]

___ 5.4.2 Piping and instrument diagrams? [68.65(d)(1)(ii)]

___ 5.4.3 Electrical classi" cation? [68.65(d)(1)(iii)] ___ 5.4.4 Relief system design and design basis? [68.65(d)(1)(iv)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-26 Compliance Objectives Notes ___ 5.4.5 Ventilation system design? [68.65(d)(1)(v)] ___ 5.4.6 Design codes and standards employed? [68.65(d)(1)(vi)]

___ 5.4.7 Material and energy balances for processes built after June 21, 1999? [68.65(d)(1)(vii)] ___ 5.4.8 Safety systems? [68.65(d)(1)(viii)]

___ 5.5 Has the owner or operator documented that equipment complies with recognized and generally accepted good

engineering practices? [68.65(d)(2)] ___ 5.6 Has the owner or operator determined and documented that existing equipment, designed and constructed in accordance

with codes, standards, or practices that are no longer in

general use, is designed, maintained, inspected, tested, and

operating in a safe manner? [68.65(d)(3)] ___ 5.7 Has the owner or operator performed an initial process hazard analysis (PHA), and has this analysis identi"ed, evaluated, and controlled the hazards involved in the process? [68.67(a)] ___ 5.8 Has the owner or operator determined and documented the priority order for conducting PHAs, and was it based on an

appropriate rationale? [68.67(a)] 5.9 Has the owner or operator used one or more of the following technologies: [68.67(b)] ___ 5.9.1 What-If? [68.67(b)(1)]

___ 5.9.2 Checklist? [68.67(b)(2)]

___ 5.9.3 What-If/Checklist? [68.67(b)(3)]

___ 5.9.4 Hazard and Operability Study (HAZOP)? [68.67(b)(4)]

___ 5.9.5 Failure Mode and Effects Analysis (FMEA)? [68.67(b)(5)]

___ 5.9.6 Fault Tree Analysis? [68.67(b)(6)]

___ 5.9.7 An appropriate equivalent methodology? [68.67(b)(7)] 5.10 Did the PHA address: [68.67(c)] ___ 5.10.1 The hazards of the process? [68.67(c)(1)]

___ 5.10.2 Identi"cation of any incident which had a likely potential for catastrophic consequences? [68.67(c)(2)] ___ 5.10.3 Engineering and administrative controls applicable to hazards and interrelationships? [68.67(c)(3)] ___ 5.10.4 Consequences of failure of engineering and administrative controls? [68.67(c)(4)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-27 Compliance Objectives Notes ___ 5.10.5 Stationary source siting? [68.67(c)(5)] ___ 5.10.6 Human factors? [68.67(c)(6)]

___ 5.10.7 An evaluation of a range of the possible safety and health effects of failure of controls? [68.67(c)(7)] ___ 5.11 Was the PHA performed by a team with expertise in engineering and process operations and did the team include

appropriate personnel? [68.67(d)] ___ 5.12 Has the owner or operator established a system to promptly address the teams "ndings and recommendations; assured that the recommendations are resolved in a timely manner and documented; documented what actions are to be taken; completed actions as soon as possible; developed a written

schedule of when these actions are to be completed; and

communicated the actions to operating, maintenance and other employees whose work assignments are in the process and who may be affected by the recommendations? [68.67(e)] ___ 5.13 Has the PHA been updated and revalidated by a team every "ve years after the completion of the initial PHA to assure

that the PHA is consistent with the current process? [68.67(f)] ___ 5.14 Has the owner or operator retained PHAs and updates or revalidations for each process covered, as well as the

resolution of recommendationsfor the life of the process?

[68.67(g)] Program 3 Prevention: Operating procedures [68.69] ___ 5.15 Has the owner or operator developed and implemented written operating procedures that provide instructions or steps for conducting activities associated with each covered process

consistent with the safety information? [68.69(a)] 5.16 Do the procedures address the following: [68.69(a)] ___ 5.16.1 Steps for each operating phase? [68.69(a)(1)]

___ 5.16.1.1 Initial startup? [68.69(a)(1)(i)]

___ 5.16.1.2 Normal operations? [68.69(a)(1)(ii)]

___ 5.16.1.3 Temporary operations? [68.69(a)(1)(iii)] ___ 5.16.1.4 Emergency shutdown including the conditions under which emergency shutdown is required, and the assignment of shutdown responsibility to quali"ed operators to ensure that emergency shutdown is executed in a safe and timely manner?

[68.69(a)(1)(iv)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-28 Compliance Objectives Notes ___ 5.16.1.5 Emergency operations? [68.69(a)(1)(v)] ___ 5.16.1.6 Normal shutdown? [68.69(a)(1)(vi)]

___ 5.16.1.7 Startup following a turnaround, or after emergency shutdown?

[68.69(a)(1)(vii)] 5.16.2 Operating limits: [68.69(a)(2)] ___ 5.16.2.1 Consequences of deviations? [68.69(a)(2)(i)]

___ 5.16.2.2 Steps required to correct or avoid deviations? [68.69(a)(2)(ii)] 5.16.3 Safety and health considerations: [68.69(a)(3)] ___ 5.16.3.1 Properties of, and hazards presented by, the chemicals used in the process? [68.69(a)(3)(i)] ___ 5.16.3.2 Precautions necessary to prevent exposure, including engineering controls, administrative controls, and personal protective equipment? [68.69(a)(3)(ii)] ___ 5.16.3.3 Control measures to be taken if physical contact or airborne exposure occurs? [68.69(a)(3)(iii)] ___ 5.16.3.4 Quality control for raw materials and control of hazardous chemical inventory levels? [68.69(a)(3)(iv)] ___ 5.16.3.5 Any special or unique hazards? [68.69(a)(3)(v)]

___ 5.16.4 Safety systems and their functions? [68.69(a)(4)]

___ 5.17 Are operating procedures readily accessible to employees who are involved in a process? [68.69(b)] ___ 5.18 Has the owner or operator certi"ed annually that the operating procedures are current and accurate and that procedures have been reviewed as often as necessary? [68.69(c)] ___ 5.19 Has the owner or operator developed and implemented safe work practices to provide for the control of hazards during

speci"c operations, such as logout/tagout? [68.69(d)] Program 3 Prevention: Training [68.71] ___ 5.20 Has each employee presently involved in operating a process, and each employee before being involved in operating a newly assigned process, been initially trained in an overview

of the process and in the operating procedures? [68.71(a)(1)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-29 Compliance Objectives Notes ___ 5.21 Did initial training include emphasis on safety and health hazards, emergency operations including shutdown, and safe work practices applicable to the employees job tasks? [68.71(a)(2) allows in lieu of initial training for those employees already involved in operating a process on June 21, 1999 an owner or operator may certify in writing that the employee has the required knowledge, skills, and abilities to

safely carry out the duties and responsibilities as speci" ed in the operating procedures] [68.71(a)(1)] ___ 5.22 Has refresher training been provided at least every three years, or more often if necessary, to each employee involved in operating a process to assure that the employee understands

and adheres to the current operating procedures of the

process? [68.71(b)] ___ 5.23 Has owner or operator ascertained and documented in a record that each employee involved in operating a process has received and understood the training required? [68.71(c)] ___ 5.24 Does the prepared record contain the identity of the employee, the date of training, and the means used to verify that the employee understood the training? [68.71(c)] Program 3 Prevention: Mechanical integrity [68.73] ___ 5.25 Has the owner or operator established and implemented written procedures to maintain the on-going integrity of the

process equipment listed in 68.73(a)? [68.73(b)] ___ 5.26 Has the owner or operator trained each employee involved in maintaining the on-going integrity of process equipment?

[68.73(c)] Has the owner or operator: ___ 5.27 Performed inspections and tests on process equipment?

[68.73(d)(1)] ___ 5.28 Followed recognized and generally accepted good engineering practices for inspection and testing procedures?

[68.73(d)(2)] ___ 5.29 Ensured the frequency of inspections and tests of process equipment is consistent with applicable manufacturers

recommendations, good engineering practices, and prior operating experience? [68.73(d)(3)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-30 Compliance Objectives Notes ___ 5.30 Documented each inspection and test that had been performed on process equipment, which identi"es the date of the

inspection or test, the name of the person who performed the

inspection or test, the serial number or other identi"er of the equipment on which the inspection or test was performed, a

description of the inspection or test performed, and the results

of the inspection or test? [68.73(d)(4)] ___ 5.31 Corrected de"ciencies in equipment that were outside acceptable limits de"ned by the process safety information

before further use or in a safe and timely manner when necessary means were taken to assure safe operation?

[68.73(e)] ___ 5.32 Assured that equipment as it was fabricated is suitable for the process application for which it will be used in the construction of new plants and equipment? [68.73(f)(1)] ___ 5.33 Performed appropriate checks and inspections to assure that equipment was installed properly and consistent with design speci"cations and the manufacturers instructions? [68.73(f)

(2)] ___ 5.34 Assured that maintenance materials, spare parts and equipment were suitable for the process application for which they would be used? [68.73(f)(3)] Program 3 Prevention: Management of change [68.75] ___ 5.35 Has the owner or operator established and implemented writtenprocedures to manage changes to process chemicals, technology, equipment, and procedures, and changes to stationary sources that affect a covered process? [68.75(a)] 5.36 Do procedures assure that the following consideration are addressed prior to any change: [68.75(b)] ___ 5.36.1 The technical basis for the proposed change? [68.75(b)(1)]

___ 5.36.2 Impact of change on safety and health? [68.75(b)(2)]

___ 5.36.3 Modi"cations to operating procedures? [68.75(b)(3)]

___ 5.36.4 Necessary time period for the change? [68.75(b)(4)]

___ 5.36.5 Authorization requirements for the proposed change?

[68.75(b)(5)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-31 Compliance Objectives Notes ___ 5.37 Were employees, involved in operating a process and maintenance, and contract employees, whose job tasks would be affected by a change in the process, informed of, and trained in, the change prior to start-up of the process or affected part of the process? [68.75(c)] ___ 5.38 If a change resulted in a change in the process safety information, was such information updated accordingly?

[68.75(d)] ___ 5.39 If a change resulted in a change in the operating procedures or practices, had such procedures or practices been updated

accordingly? [68.75(e)] Program 3 Prevention: Pre-startup review [68.77] ___ 5.40 Has the owner or operator performed a pre-startup safety review for new stationary sources and for modi" ed stationary sources when the modi"cation was signi"cant enough to

require a change in the process safety information? [68.77(a)] 5.41 Did the pre-startup safety review con"rm that prior to the introduction of regulated substances to a process: [68.77(b)] ___ 5.41.1 Construction and equipment was in accordance with design speci" cations? [68.77(b)(1)] ___ 5.41.2 Safety, operating, maintenance, and emergency procedures were in place and were adequate? [68.77(b)(2)] ___ 5.41.3 For new stationary sources, a process hazard analysis had been performed and recommendations had been resolved or

implemented before startup? [68.77(b)(3)] ___ 5.41.4 Modi"ed stationary sources meet the requirements contained in management of change? [68.77(b)(3)] ___ 5.41.5 Training of each employee involved in operating a process had been completed? [68.77(b)(4)] Program 3 Prevention: Compliance audits [68.79] ___ 5.42 Has the owner or operator certi"ed that the stationary source has evaluated compliance with the provisions of the prevention program at least every three years to verify that the developed procedures and practices are adequate and are being followed? [68.79(a)] ___ 5.43 Has the audit been conducted by at least one person knowledgeable in the process? [68.79(b)] ___ 5.44 Are the audits "ndings documented in report? [68.79(c)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-32 Compliance Objectives Notes ___ 5.45 Has the owner or operator promptly determined and documented an appropriate response to each of the " ndings of the audit and documented that de"ciencies had been

corrected? [68.79(d)] ___ 5.46 Has the owner or operator retained the two most recent compliance audit reports? [68.79(e)] Program 3 Prevention: Incident investigation [68.81] ___ 5.47 Has the owner or operator investigated each incident which resulted in, or could reasonably have resulted in a catastrophic release of a regulated substance? [68.81(a)] ___ 5.48 Were all incident investigations initiated not later than 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> following the incident? [68.81(b)] ___ 5.49 Was an incident investigation team established and did it consist of at least one person knowledgeable in the process involved, including a contract employee if the incident involved work of the contractor, and other persons with appropriate knowledge and experience to thoroughly investigate and analyze the incident? [68.81(c)] ___ 5.50 Was a report prepared at the conclusion of every investigation? [68.81(d)] 5.51 Does every report include: [68.81(d)] ___ 5.51.1 Date of incident? [68.81(d)(1)]

___ 5.51.2 Date investigation began? [68.81(d)(2)]

___ 5.51.3 A description of the incident? [68.81(d)(3)]

___ 5.51.4 The factors that contributed to the incident? [68.81(d)(4)]

___ 5.51.5 Any recommendations resulting from the investigation?

[68.81(d)(5)] ___ 5.52 Has the owner or operator established a system to address and resolve the report "ndings and recommendations, and are the resolutions and corrective actions documented? [68.81(e)] ___ 5.53 Was the report reviewed with all affected personnel whose job tasks are relevant to the incident "ndings including contract employees where applicable? [68.81(f)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-33 Compliance Objectives Notes Program 3 Prevention: Employee participation [68.83] Has the owner or operator: ___ 5.54 Developed a written plan of action regarding the implementation of the employee participation required by this

section? [68.83(a)] ___ 5.55 Consulted with employees and their representatives on the conduct and development of process hazards analyses and on the development of the other elements of process safety management in chemical accident prevention provisions?

[68.83(b)] ___ 5.56 Provided to employees and their representatives access to process hazard analyses and to all other information required to be developed under chemical accident prevention rule?

[68.83(c)] Program 3 Prevention: Hot work permit [68.85] ___ 5.57 Has the owner or operator issued a hot work permit for each hot work operation conducted on or near a covered process?

[68.85(a)] ___ 5.58 Does the permit document that the "re prevention and protection requirements in 29 CFR 1910.252(a) have been implemented prior to beginning the hot work operations?

[68.85(b)] ___ 5.59 Does the permit indicate the date(s) authorized for hot work and the object on which hot works to be performed?

[68.85(b)] ___ 5.60 Are the permits being kept on "le until completion of the hot work operations? [68.85(b)] Program 3 Prevention: Contractors [68.87] Has the owner or operator: ___ 5.61 Obtained and evaluated information regarding the contract owner or operators safety performance and programs when

selecting a contractor? [68.87(b)(1)] ___ 5.62 Informed contract owner or operator of the known potential "re, explosion, or toxic release hazards related to the contractors work and the process? [68.87(b)(2)] ___ 5.63 Explained to the contract owner or operator the applicable provisions of emergency response program? [68.87(b)(3)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-34 Compliance Objectives Notes ___ 5.64 Developed and implemented safe work practices consistent with §68.69(d), to control the entrance, presence, and exit of the contract owner or operator and contract employees in covered process areas? [68.87(b)(4)]

Findings:

Documentation obtained to support Findings: Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-35 Compliance Objectives Notes 6. EMERGENCY RESPONSE (SUBPART E)

[68.90 - 68.95] Emergency Response: Applicability [68.90] ___ 6.1 Has the owner or operator of a stationary source developed an emergency response program, unless the source need not

comply? [68.90(a)] If the employees of the stationary source will not respond to accidental releases of regulated substances: ___ 6.2 For stationary sources with any regulated toxic substance held in a process above the threshold quantity, is the stationary source included in the community emergency response plan developed under EPCRA? [68.90(b)(1)] ___ 6.3 For stationary sources with only regulated " ammable substances held in a process above the threshold quantity, has the owner or operator coordinated response actions with the

local "re department? [68.90(b)(2)] ___ 6.4 Are appropriate mechanisms in place to notify emergency responders when there is a need for a response? [68.90(b)(3)] Emergency Response Program [68.95] ___ 6.5 Has the owner or operator developed and implemented an emergency response program for the purpose of protecting public health and the environment? [68.95(a)] 6.6 Does the program include the following elements: [68.95(a)] ___ 6.6.1 An emergency response plan which is maintained at the stationary source? [68.95(a)(1)] ___ 6.6.2 Procedures for the use of emergency response equipment and for its inspection, testing, and maintenance? [68.95(a)(2)] ___ 6.6.3 Training for all employees in relevant procedures?

[68.95(a)(3)] ___ 6.6.4 Procedures to review and update, as appropriate, the emergency response plan to re"ect changes at the stationary source and ensure that employees are informed of changes?

[68.95(a)(4)] 6.7 Does the emergency response plan contain the following elements: [68.95(a)(1)] ___ 6.7.1 Procedures for informing the public and local emergency response agencies about accidental releases? [68.95(a)(1)(i)] Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-36 Compliance Objectives Notes ___ 6.7.2 Documentation of proper "rst-aid and emergency medical treatment necessary to treat accidental human exposures?

[68.95(a)(1)(ii)] ___ 6.7.3 Procedures and measures for emergency response after an accidental release of a regulated substance? [68.95(a)(1)(iii)] ___ 6.8 Did the owner or operator use a written plan that complies with other Federal contingency plan regulations or is consistent with the approach in the National Response Teams Integrated Contingency Plan Guidance (One Plan)? If so, does the plan include the elements provided in paragraph (a) of 68.95, and also complies with paragraph (c) of 68.95?

[68.95(b)] ___ 6.9 Has the emergency response plan been coordinated with the community emergency response plan developed under

EPCRA? [68.95(c)] ___ 6.10 Has the owner or operator provided to the local emergency response of"cials information necessary for developing and implementing the community emergency response plan requested by the LEPC or emergency response of" cials? [68.95(c)]

Findings:

Documentation obtained to support Findings: Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

D-37 Annex E: Risk Management Program and OSHA Process Safety Management: List of Regulated Substances (by chemical name) CAS Chemical Name RMP Threshold Quantity (TQ) lbs RMP Threshold Corrected to Gals PSM Threshold Quantity (TQ) lbs Toxic Endpoint 106-98-9 1-butene 10,000

• • 97-00-7 1-chloro-2,4-dinitrobenzene 5,000 590-21-6 1-chloropropylene {1-propene, 1-chloro-} 10,000 **

109-67-1 1-pentene 10,000 1,869 57-14-7 1,1-dimethylhydrazine {Dimethylhydrazine} {Hydrazine, 1,1-dimethyl-} 15,000 2,271 1,000 0.012 106-99-0 1,3-butadiene 10,000 1,930 504-60-9 1,3-pentadiene 10,000 1,753 107-01-7 2-butene 10,000 **

590-18-1 2-butene-cis 10,000 1,929 624-64-6 2-butene-trans {2-butene, (E)} 10,000 1,983 557-98-2 2-chloropropylene {1-propene, 2-chloro-} 10,000 **

563-46-2 2-methyl-1-butene 10,000 1,844 115-11-7 2-methylpropene {1-propene, 2-methyl-} 10,000 2,031 646-04-8 2-pentene (E)-10,000 1,827 627-20-3 2-pentene (Z)-10,000 1,849 463-82-1 2,2-dimethylpropane {Propane, 2,2-dimethyl-} 10,000 2,028 97-02-9 2,4-dinitroaniline 5,000 563-45-1 3-methyl-1-butene 10,000 1,911 75-07-0 Acetaldehyde 10,000 1,536 2,500 74-86-2 Acetylene {Ethyne} 10,000 1,955 107-02-8 Acrolein {2-propenal} 5,000 714 150 0.0011 107-13-1 Acrylonitrile {2-propenenitrile} 20,000 2,994 0.076 814-68-6 Acrylyl Chloride {2-propenoyl Chloride} 5,000 527 250 0.0009 Varies Alkylaluminums 5,000 107-18-6 Allyl Alcohol {2-propen-1-ol} 15,000 2,105 0.036 107-05-1 Allyl Chloride 1,000 107-11-9 Allylamine {2-propen-1-amine} 10,000 1,577 1,000 0.0032 7664-41-7 Ammonia (Anhydrous) 10,000 1,758 10,000 0.14 7664-41-7 Ammonia (>=20% for RMP) (>44% for PSM) 20,000 2,723 15,000 0.14 7790-98-9 Ammonium Perchlorate 7,500 7787-36-2 Ammonium Permanganate 7,500 Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

E-1 CAS Chemical Name RMP Threshold Quantity (TQ) lbs RMP Threshold Corrected to Gals PSM Threshold Quantity (TQ) lbs Toxic Endpoint 7784-34-1 Arsenous Trichloride 15,000 836 0.01 7784-42-1 Arsine {Arsenic Hydride} 1,000 45 100 0.0019 10294-34-5 Boron Trichloride {Borane, Trichloro-} 5,000 444 2,500 0.01 7637-07-2 Boron Tri"ouride {Borane, Tri"uoro-} 5,000 374 250 0.028 353-42-4 Boron Tri"ouride Compound with Methyl Ether (1:1) {Boron, Tri"uoro[oxybis[methane]-,T-4} 15,000 1,451 0.023 7726-95-6 Bromine 10,000 386 1,500 0.0065 13863-41-7 Bromine Chloride 1,500 7787-71-5 Bromine Tri"uoride 15,000 7789-30-2 Bromine Penta"uoride 2,500 598-73-2 Bromotri"uorethylene {Ethene, Bromotri"uoro-} 10,000 **

106-97-8 Butane 10,000 1,997 25167-67-3 Butene 10,000 2,014 75-91-2 Butyl Hydroperoxide (Tertiary) 5,000 614-45-9 Butyl Perbenzoate 7,500 75-15-0 Carbon Disul"de 20,000 1,897 0.16 463-58-1 Carbon Oxysul"de {Carbon Oxide Sul"de (Cos)} {Carbonyl Sul"de}

10,000 571 353-44-5 Carbonyl Fluoride 2,500 9004-70-0 Cellulose Nitrate (>12.6% Nitrogen for PSM) 2,500 7782-50-5 Chlorine 2,500 210 1,500 0.0087 10049-04-4 Chlorine Dioxide {Chlorine Oxide (ClO2)} 1,000 75 1,000 0.0028 7791-21-1 Chlorine Monoxide {Chlorine Oxide} 10,000 13637-63-3 Chlorine Pentra"uoride 1,000 7790-91-2 Chlorine Tri"uoride 1,000 96-06-2 Chlorodiethylaluminum {Diethylaluminum Chloride} 5,000 67-66-3 Chloroform {Methane, Trichloro-} 20,000 1,616 0.49 542-88-1 Chloromethyl Ether {Bis(chloromethyl) Ether} {Methane, Oxybis[chloro-} {Dichloromethyl Ether} 1,000 91 100 0.00025 107-30-2 Chloromethyl Methyl Ether {Methane, Chloromethoxy-} 5,000 565 500 0.0018 76-06-2 Chloropicrin 500 None Chloropicrin and Methyl Bromide Mixture 1,500 None Chloropicrin and Methyl Chloride Mixture 1,500 4170-30-3 Crotonaldehyde {2-butenal} 20,000 2,833 0.029 123-73-9 Crotonaldehyde, (E)- {2-butenal, (E)-} 20,000 2,810 0.029 80-15-9 Cumene Hydroperoxide 5,000 460-19-5 Cyanogen {Ethanedinitrile} 10,000 1,256 2,500 506-77-4 Cyanogen Chloride 10,000 980 500 0.03 675-14-9 Cyanuric Fluoride 100 108-91-8 Cyclohexylamine {Cyclohexanamine} 15,000 2,079 0.16 Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

E-2 CAS Chemical Name RMP Threshold Quantity (TQ) lbs RMP Threshold Corrected to Gals PSM Threshold Quantity (TQ) lbs Toxic Endpoint 75-19-4 Cyclopropane 10,000 1,773 110-22-5 Diacetyl Peroxide (>70% for PSM) 5,000 334-88-3 Diazomethane 500 94-36-0 Dibenzoyl Peroxide 7,500 19287-45-7 Diborane {Diborane (6)} 2,500 ** 100 0.0011 110-05-4 Dibutyl Peroxide (Tertiary) 5,000 4109-96-0 Dichlorosilane {Silane, Dichloro-} 10,000 999 2,500 557-20-0 Diethylzinc 10,000 75-37-6 Di"uoroethane {Ethane, 1,1-di"uoro-} 10,000 1,261 105-64-6 Diisopropyl Peroxydicarbonate 7,500 105-74-8 Dilauroyl Peroxide 7,500 124-40-3 Dimethylamine {Methanamine, N-methyl-} 10,000 1,786 2,500 75-78-5 Dimethyldichlorosilane {Silane, Dichlorodimethyl-} 5,000 545 1,000 0.026 106-89-8 Epichlorohydrin {Oxirane, (Chloromethyl)-} 20,000 1,331 0.076 74-84-0 Ethane 10,000 2,195 107-00-6 Ethyl Acetylene {1-butyne} 10,000 1,767 75-00-3 Ethyl Chloride {Chloroethane} {Ethane, Chloro-} 10,000 1,323 60-29-7 Ethyl Ether {Ethane, 1,1-oxybis-} 10,000 1,678 75-08-1 Ethyl Mercaptan {Ethanethiol} 10,000 1,451 1338-23-4 Ethyl Methyl Ketone Peroxide 5,000 109-95-5 Ethyl Nitrite {Nitrous Acid, Ethyl Ester} 10,000 1,331 5,000 75-04-7 Ethylamine {Monoethylamine} (Ethanamine} 10,000 1,762 7,500 74-85-1 Ethylene {Ethene} 10,000 2,106 371-62-0 Ethylene Fluorohydrin 100 75-21-8 Ethylene Oxide {Oxirane} 10,000 1,379 5,000 0.09 107-15-3 Ethylenediamine {1,2-ethanediamine} 20,000 2,669 0.49 151-56-4 Ethyleneimine {Aziridine} 10,000 1,440 1,000 0.018 7782-41-4 Fluorine 1,000 79 1,000 0.0039 50-00-0 Formaldehyde (Solution) 15,000 1,591 1,000 0.012 110-00-9 Furan 5,000 639 500 0.0012 684-16-2 Hexa" uoroacetone 5,000 302-01-2 Hydrazine 15,000 1,918 0.011 7647-01-0 Hydrochloric Acid (>=37% for RMP) 15,000 1,510 0.03 74-90-8 Hydrocyanic Acid {Hydrogen Cyanide} 2,500 434 1,000 0.011 1333-74-0 Hydrogen 10,000 **

10035-10-6 Hydrogen Bromide 5,000 7647-01-0 Hydrogen Chloride (Anhydrous for CAA 112(r) RMP and PSM) {Hydrochloric Acid} 5,000 503 5,000 0.03 7664-39-3 Hydrogen Fluoride/hydro"uoric Acid (>=50% for RMP) {Hydro" uoric Acid} 1,000 121 1,000 0.016 Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

E-3 CAS Chemical Name RMP Threshold Quantity (TQ) lbs RMP Threshold Corrected to Gals PSM Threshold Quantity (TQ) lbs Toxic Endpoint 7722-84-1 Hydrogen Peroxide (>= 52% for PSM) 7,500 7783-07-5 Hydrogen Selenide 500 28 150 0.00066 7783-06-4 Hydrogen Sul"de 10,000 1,308 1,500 0.042 7803-49-8 Hyroxylamine 2,500 13463-40-6 Iron, Pentacarbonyl- {Iron Carbonyl (Fe(co)5), (Tb-5-11)-} 2,500 206 250 0.00044 75-28-5 Isobutane {Propane, 2-methyl} 10,000 2,151 78-82-0 Isobutyronitrile {Propanenitrile, 2-methyl-} 20,000 3,149 0.14 78-78-4 Isopentane {Butane, 2-methyl-} 10,000 1,933 78-79-5 Isoprene {1,3-butadiene, 2-methyl-} 10,000 1,760 75-31-0 Isopropylamine {2-propanamine} 10,000 1,734 5,000 75-29-6 Isopropyl Chloride {Propane, 2-chloro-} 10,000 1,390 108-23-6 Isopropyl Chloroformate {Carbonochloridic Acid, 1-methylethyl Ester} 15,000 1,664 0.1 463-51-4 Ketene 100 78-85-3 Methacrylaldehyde 1,000 126-98-7 Methacrylonitrile {2-propenenitrile, 2-methyl-} {Methylacrylonitrile} 10,000 1,497 250 0.0027 920-46-7 Methacryloyl Chloride 150 74-82-8 Methane 10,000 2,853 74-83-9 Methyl Bromide 2,500 74-87-3 Methyl Chloride {Chloromethane} {Methane, Chloro-} 10,000 1,202 15,000 0.82 79-22-1 Methyl Chloroformate {Carbonochloridic Acid, Methylester} {Methyl Chlorocarbonate} 5,000 489 500 0.0019 115-10-6 Methyl Ether {Methane, Oxybis-} 10,000 1,655 1338-23-4 Methyl Ethyl Ketone Peroxide (>60% for PSM) 5,000 453-18-9 Methyl Fluoroacetate 100 421-20-5 Methyl Florosulfate 100 107-31-3 Methyl Formate {Formic Acid, Methyl Ester} 10,000 1,235 60-34-4 Methyl Hydrazine 15,000 2,066 100 0.0094 74-88-4 Methyl Iodide 7,500 624-83-9 Methyl Isocyanate {Methane, Isocyanato-} 10,000 1,248 250 0.0012 74-93-1 Methyl Mercaptan {Methanethiol} {Thiomethanol} 10,000 1,343 5,000 0.049 556-64-9 Methyl Thiocyanate {Thiocyanic Acid, Methyl Ester} 20,000 2,244 0.085 79-84-4 Methyl Vinyl Ketone 100 74-89-5 Methylamine {Methanamine} {Monomethylamine} 10,000 1,729 1,000 75-79-6 Methyltrichlorosilane {Silane, Trichloromethyl-} 5,000 472 0.018 13463-39-3 Nickel Carbonyl {Nickel Tetracarbonyl} 1,000 91 150 0.00067 7697-37-2 Nitric Acid (>=80% for RMP) (>=94.5% for PSM) 15,000 1,196 500 0.026 10102-43-9 Nitric Oxide {Nitrogen Oxide (No)} 10,000 943 250 0.031 100-01-6 Nitroaniline {Para Nitroaniline} 5,000 Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

E-4 CAS Chemical Name RMP Threshold Quantity (TQ) lbs RMP Threshold Corrected to Gals PSM Threshold Quantity (TQ) lbs Toxic Endpoint 7783-54-2 Nitrogen Tri"uoride 5,000 10102-44-0 Nitrogen Oxides (NO, NO2, N2O4, N2O3) 250 10544-72-6 Nitrogen Tetroxide {Nitrogen Peroxide} 250 10544-73-7 Nitrogen Trioxide 250 10102-44-0 Nitrogen Dioxide 250 75-52-5 Nitromethane 2,500 8014-95-7 Oleum (Fuming Sulfuric Acid) (65-80% for PSM) {Sulfuric Acid, with Sulfur Trioxide} 10,000 608 1,000 0.01 20816-12-0 Osmium Tetroxide 100 7783-41-7 Oxygen Di"uoride {Fluorine Monoxide} 100 10028-15-6 Ozone 100 19624-22-7 Pentaborane 100 109-66-0 Pentane 10,000 1,914 79-21-0 Peracetic Acid (>60% Acetic Acid for PSM) {Ethaneperoxoic Acid} {Peroxyacetic Acid} 10,000 977 0.0045 7601-90-3 Perchloric Acid (>60% for PSM) 5,000 594-42-3 Perchloromethylmercaptan {Methanesulfenyl Chloride, Trichloro-} 10,000 707 150 0.0076 7616-94-6 Perchloryl Fluoride 5,000 75-44-5 Phosgene {Carbonic Dichloride} {Carbonyl Chloride} 500 42 100 0.00081 7803-51-2 Phosphine {Hydrogen Phosphide} 5,000 803 100 0.0035 10025-87-3 Phosphorus Oxychloride {Phosphoryl Chloride} 5,000 364 1,000 0.003 7719-12-2 Phosphorus Trichloride {Phosphorous Trichloride} 15,000 1,142 1,000 0.028 110-89-4 Piperidine 15,000 2,085 0.022 463-49-0 Propadiene {1,2-propadiene} 10,000 **

74-98-6 Propane 10,000 2,381 106-96-7 Propargyl Bromide {3-bromopropyne} 100 107-12-0 Propionitrile {Ethyl Cyanide} {Propanenitrile) 10,000 1,494 0.0037 627-13-4 Propyl Nitrate 2,500 109-61-5 Propyl Chloroformate {Carbonochloridic Acid, Propylester} 15,000 1,649 0.01 115-07-1 Propylene {1-propene} 10,000 1,968 75-56-9 Propylene oxide {oxirane, methyl-} 10,000 1,395 0.59 75-55-8 Propyleneimine {Aziridine, 2-methyl} 10,000 1,485 0.12 74-99-7 Propyne {1-propyne} 10,000 1,697 107-44-8 Sarin 100 7783-79-1 Selenium Hexa"uoride 1,000 7803-62-5 Silane 10,000 1,762 7803-52-3 Stibine {Antimony Hydride} 500 7446-09-5 Sulfur Dioxide (Anhydrous for RMP) 5,000 418 0.0078 5714-22-7 Sulfur Penta"uoride 250 Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

E-5 CAS Chemical Name RMP Threshold Quantity (TQ) lbs RMP Threshold Corrected to Gals PSM Threshold Quantity (TQ) lbs Toxic Endpoint 7783-60-0 Sulfur Tetra"ouride {Sulfur Fluoride, (Sf4) (T-4)-} 2,500 154 250 0.0092 7446-11-9 Sulfur Trioxide {Sulfuric Anhydride} 10,000 624 1,000 0.01 7783-80-4 Tellurium Hexa"uoride 250 116-14-3 Tetra" uoroethylene {Ethene, Tetra" uoro-} 10,000 ** 5,000 10036-47-2 Tetra" uorohydrazine 5,000 75-74-1 Tetramethyllead {Plumbane, Tetramethyl-} 10,000 601 1,000 0.004 75-76-3 Tetramethylsilane {Silane, Tetramethyl-} 10,000 1,849 509-14-8 Tetranitromethane {Methane, Tetranitro-} 10,000 732 0.004 7719-09-7 Thionyl Chloride 250 7550-45-0 Titanium Tetrachloride {Titanium Chloride (Ticl4)(T-4)} 2,500 174 0.02 584-84-9 Toluene 2,4-diisocyanate {Benzene, 2,4-diisocyanato-1-methyl-} 10,000 979 0.007 91-08-7 Toluene 2,6-diisocyanate {Benzene, 1,3-diisocyanato-2-methyl-} 10,000 978 0.007 26471-62-5 Toluene Diisocyanate (Unspeci"ed Isomer) {Benzene, 1,3-diisocyanatomethyl-} 10,000 1,007 0.007 1558-25-4 Trichloro(chloromethyl)silane 100 27137-85-5 Trichloro(dichlorophenyl)silane 2,500 10025-78-2 Trichlorosilane {Silane, Trichloro-} 10,000 892 5,000 79-38-9 Tri"uorochloroethylene {Ethene, Chlorotri"uoro-} 10,000 917 10,000 75-50-3 Trimethylamine {Methanamine, N,n-dimethyl-} 10,000 1,893 75-77-4 Trimethylchlorosilane {Silane, Chlorotrimethyl-} 10,000 1,403 0.05 2487-90-3 Trimethyoxysilane 1,500 108-05-4 Vinyl Acetate Monomer {Acetic Acid Ethenyl Ester} 15,000 1,929 0.26 689-97-4 Vinyl Acetylene {1-buten-3-yne} 10,000 1,689 75-01-4 Vinyl Chloride {Ethene, Chloro-} 10,000 1,237 109-92-2 Vinyl Ethyl Ether {Ethene, Ethoxy-} 10,000 1,579 75-02-5 Vinyl Fluoride {Ethene, Fluoro-} 10,000 1,695 107-25-5 Vinyl Methyl Ether {Ethene, Methoxy-} 10,000 1,542 75-35-4 Vinylidene Chloride {Ethene, 1,1-dichloro-} {1,1-dichlorethylene}

10,000 990 75-38-7 Vinylidene Fluoride {Ethene, 1,1-di"uoro-} 10,000 ** Guidance for Conducting Risk Management Program Inspections under Clean Air Act Section 112(r)

E-6

United States Environmental Protection

Agency (5104A)

Washington, DC 20460 Of" cial Business Penalty for Private Use

$300 &EPA