Tim Date, Manager Risk Management Planning Unit

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Risk Management Plan Protecting the Community
Florida Division of Emergency Management
www.floridadisaster.org
State Emergency Response Commission
Florida Accidental Release Prevention and Risk
Management Planning (ARP/RMP) Act

• Tim Date, ManagerRisk Management Planning Unit

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Safety Brief and Introductions
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Risk Management Program Overview

• Purpose of Section 112(r) and the Risk Management
  Program Requirements
• Facilities Typically Regulated Under Risk
  Management Program
• Risk Management Program Elements
• Program Level Screening
• Compliance Audits
• Typical Enforcement Audit Findings
• Divisions Audit Selection Criteria and Process

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Federal Actions - Background Information

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

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Federal Actions - Background Information (contd)

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

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Federal Actions - Background Information (contd)

• The resulting regulations that EPA adopted in
  accordance with Section 112(r) are the Chemical
  Accident Prevention Provisions (CAPP) found in 40
  Code of Federal Regulations, Part 68. CAPP lists
  the regulated substances and their thresholds.
  The CAPP is commonly referred to as the Risk
  Management Program

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Purpose of Section 112(r) and the Risk Management
Program Requirements

• To reduce prevent accidental chemical releases.
• To reduce the severity minimize the
  consequences of chemical releases.
• To improve coordination communication between
  regulated facilities local emergency
  preparedness response agencies to improve
  emergency response.

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Facilities Typically Regulated Under RMP

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

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Overview of Risk Management Program Requirements

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

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Program Level Screening for Regulated Processes

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

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Submission of Risk Management Plan

• After developing a facilitys Risk Management
  Program, a summary of the program must be
  submitted to the U. S. Environmental Protection
  Agency online through RMPEsubmit
• The summary, called a Risk Management Plan,
  includes information of all the requirements of
  the Risk Management Plan

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Management of Risk
Document when solution was implemented
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What is a compliance audit?

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

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Building a Compliance Audit Team

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

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Other Requirements of a Compliance Audit

• A report must be generated.
• Responses to audit findings must be documented.
• Action of findings must be documented.
• Must keep the past two compliance audits.
• Must certify that the compliance audit evaluated
  the program.

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Management System

• A qualified person is assigned the overall
  responsibility of Risk Management Program
  development, implementation and integration.
• Other persons responsible for implementing
  individual requirements of the Risk Management
  Program are documented through an organizational
  chart.

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Hazard Assessment

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

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Process Safety Information

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

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Process Hazard Analysis (PHA)

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

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Operating Procedures

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

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Training

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

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Mechanical Integrity

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

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Management of Change

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

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Pre-Start Up Review

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

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Incident Investigation

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

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Employee Participation

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

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Hot Work Permit

• Hot Work permits are issued for each hot work
  operation conducted on or near a covered process
• Hot work permits document that fire protection
  and prevention requirments in 29 CFR 1910.252(a)
  have been implemented prior to beginning hot work
  operations
• Example of work performed with out a Hot Work
  Permit-Bethune point Water Plant explosion 2
  fatalities

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Contractors

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

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Emergency Response for Non-Responding Facilities

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

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Emergency Response Program Requirements for
Responding Facilities

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

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Releases subject to Section 304

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

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General On-Site Audit Findings

• WTPs WWTPs
• Ammonia refrigeration
• Chlorine Other Chemical Repackagers
• Inadequate documentation, development, and/or
  implementation of 1 or more prevention program
  components.
• Bookshelf Generic Programs. Good program,
  but not implemented.
• Many facilities complying with technical aspects
  of program, but documentation incomplete.

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Specific On-Site Audit Findings

• Hazard Assessments - Not available onsite
  Incorrect modeling parameters, no rational for
  selection of release scenarios
• Incorrect program level status
• Program Level 1 - Public receptors were
  identified within endpoint distances.
• Program Level 2 - Refrigeration facilities
  subject to OSHAs PSM.
• Most deficiencies to date pertained to
• Mechanical Integrity
• Operating Procedures
• Training Program
• PHA

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Specific On-Site Audit Findings

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

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Specific On-Site Audit Findings

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

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Audit Selection Criteria

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

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Overview of the Divisions RMP Audit Process

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

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

• On-site audit activities - Focus on overall Risk
  Management Program
• Plant Tour of facilitys process chemicals
  operations.
• Interview facility representatives.
• Review of facility operations, procedures,
  supporting Risk Management Plan documentation,
  etc.
• Adequacy completeness of Risk Management
  Program documentation.
• Development implementation of required Risk
  Management Program elements.
• Emergency Response - Coordination with local
  response agencies.
• Document findings - On-Site Audit Checklist.

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

• The Division issues Preliminary Determination
  Report
• Includes audit teams observations, findings,
  recommendations.
• Identifies deficiencies to be corrected.
• Identifies necessary revisions to Risk
  Management Plan.
• Includes timetable(s) for correcting
  deficiencies and/or revisingRisk Management
  Plan.

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What to Expect After an On-Site Audit? (cont...)

• Facility Response to Audit Report
• Must be received within approved timetable(s).
• Usually allow 60 - 90 days for corrections
  revisions.
• Written request for extension prior to deadline
  date, if needed.
• Upon receipt review of requested information,
  the Division issues
• Final Determination Report - If information
  correct complete.
• Interim Audit Report - If additional information
  is necessary.

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How to Prepare for an RMP Audit?
Review the Divisions Audit Checklists.
Obtain organize RMP supporting documentation
prior to scheduled audit date. Include Standard
Operating Procedures, hazard assessments, process
hazard analysis process safety information,
training records, maintenance logs, management of
change forms, emergency response procedures,
etc. Determine appropriate facility personnel
to include in audit.
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Role of the Local Emergency Planning Committees
(LEPCs)

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

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Department of Homeland Security Site Security for
Chemical Facilities

• http//www.dhs.gov/xprevprot/laws/gc_1166796969417
  .shtm

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Questions?
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Available Technical Assistance and Resources

• Contact the Divisions Risk Management Planning
  Program staff at
• [phone]
• [phone] (Florida only)
• Floridas RMP Program web page for state
  federal requirements, audit checklists,
  step-by-step guidelines.
• http//www.floridadisaster.org/cps/arprmp/start.h
  tm
• Guidance documents, model RMP plans, other RMP
  resources also available from EPAhttp//www.epa.g
  ov/emergencies/index.htm
• E-mail tim.date_at_em.myflorida.com