United States

Environmental Protection

Agency

Office of Solid Waste

and Emergency Response

(5104)

EPA 550-B-00-008

May 2000

www.epa.gov/ceppo/

RMP SERIES

Chemical Emergency Preparedness and Prevention Office Printed on recycled paper

GENERAL GUIDANCE

FOR

RISK MANAGEMENT

PROGRAMS

(40 CFR PART 68)
This document provides guidance to help owners and operators of stationary sources to

determine if their processes are subject to regulation under section 112(r) of the Clean Air Act

and 40 CFR part 68 and to comply with regulations. This document does not substitute for

EPA’s regulations, nor is it a regulation itself. Thus, it cannot impose legally binding

requirements on EPA, states, or the regulated community, and may not apply to a particular

situation based upon circumstances. This guidance does not represent final agency action, and

EPA may change it in the future, as appropriate.
FOR UPDATES

To keep up to date on changes to this document and to the risk management program rule, and to

find other information related to part 68 and accident prevention, visit EPA’s Chemical Emergency

Preparedness and Prevention Office website at: 

www.epa.gov/ceppo/

THIS EDITION

This document is a revision of the July 1998 General Guidance for Risk Management Programs. The

revisions are needed to reflect several amendments to 40 CFR part 68 as well as to reflect the availability

of the software for submission of RMPs. The specific regulatory changes include the following:

g The change from SIC codes to NAICS codes to define the industrial sectors subject to

Program 3;

g The adoption of rules for confidential business information;

g Changes to the way in which flammable liquids and refrigerated flammable gases may be

modeled for the offsite consequence analysis; and

g Changes to coverage for flammable fuels.

The revisions also update items, such as web page addresses, where needed. Pages that include

substantive revisions to the previous text are noted by a new date in the footer. Appendices C and D in

the July 1998 document, which provided EPA and OSHA contacts, have been eliminated; addresses for

websites that provide this information and are updated frequently are included in the Technical

Assistance appendix. Appendix B (Selected NAICS codes) has been updated to include NAICS codes

reported in RMPs.
TABLE OF CONTENTS

Page

INTRODUCTION .................................................................... i

CHAPTER 1: GENERAL APPLICABILITY ............................................ 1-1

1.1 INTRODUCTION ..................................................... 1-1

1.2 GENERAL PROVISIONS ............................................... 1-3

1.3 REGULATED SUBSTANCES AND THRESHOLDS (§68.130) ................ 1-5

1.4 WHAT IS A PROCESS ................................................. 1-6

1.5 THRESHOLD QUANTITY IN A PROCESS ................................ 1-9

1.6 STATIONARY SOURCE .............................................. 1-16

1.7 WHEN YOU MUST COMPLY ......................................... 1-17

CHAPTER 2: APPLICABILITY OF PROGRAM LEVELS ............................. 2-1

2.1 WHAT ARE PROGRAM LEVELS? ...................................... 2-1

2.2 PROGRAM 1 ......................................................... 2-3

2.3 QUICK RULES FOR DETERMINING PROGRAM 1 ELIGIBILITY ............ 2-9

2.4 PROGRAM 3 ........................................................ 2-12

2.5 PROGRAM 2 ........................................................ 2-14

2.6 DEALING WITH PROGRAM LEVELS .................................. 2-15

2.7 SUMMARY OF PROGRAM REQUIREMENTS ........................... 2-18

2.8 EXAMPLE SOURCES ................................................ 2-21

CHAPTER 3: FIVE-YEAR ACCIDENT HISTORY .................................... 3-1

3.1 WHAT ACCIDENTS MUST BE REPORTED? .............................. 3-1

3.2 WHAT DATA MUST BE PROVIDED? ................................... 3-1

3.3 OTHER ACCIDENT REPORTING REQUIREMENTS ....................... 3-9

CHAPTER 4: OFFSITE CONSEQUENCE ANALYSIS ................................. 4-1

4.1 INTRODUCTION ..................................................... 4-1

4.2 WORST-CASE RELEASE SCENARIOS .................................. 4-4

4.3 ALTERNATIVE RELEASE SCENARIOS ................................ 4-12

4.4 ESTIMATING OFFSITE RECEPTORS ................................... 4-19

4.5 EXAMPLES OF WORST CASE ........................................ 4-24

4.6 EXAMPLES OF ALTERNATIVE RELEASES ............................. 4-26

CHAPTER 5: MANAGEMENT SYSTEM ............................................ 5-1

5.1 GENERAL INFORMATION ............................................ 5-1

5.2 HOW TO MEET THE MANAGEMENT SYSTEM REQUIREMENTS ........... 5-1
TABLE OF CONTENTS

(Continued)

 Page

CHAPTER 6: PREVENTION PROGRAM (PROGRAM 2) .............................. 6-1

6.1 ABOUT THE PROGRAM 2 PREVENTION PROGRAM ...................... 6-1

6.2 SAFETY INFORMATION (§ 68.48) ...................................... 6-1

6.3 HAZARD REVIEW (§ 68.50) ............................................ 6-7

6.4 OPERATING PROCEDURES (§ 68.52) .................................. 6-13

6.5 TRAINING (§ 68.54) ................................................. 6-17

6.6 MAINTENANCE (§ 68.56) ............................................. 6-19

6.7 COMPLIANCE AUDITS (§ 68.58) ...................................... 6-23

6.8 INCIDENT INVESTIGATION (§ 68.60) .................................. 6-25

6.9 CONCLUSION ...................................................... 6-28

CHAPTER 7: PREVENTION PROGRAM (PROGRAM 3) .............................. 7-1

7.1 PROGRAM 3 PREVENTION PROGRAM AND OSHA PSM .................. 7-1

7.2 PROCESS SAFETY INFORMATION (§68.65) .............................. 7-3

7.3 PROCESS HAZARD ANALYSIS (§68.67) ................................. 7-6

7.4 OPERATING PROCEDURES (§68.69) ................................... 7-9

7.5 TRAINING (§68.71) .................................................. 7-10

7.6 MECHANICAL INTEGRITY (§68.73) ................................... 7-10

7.7 MANAGEMENT OF CHANGE (§68.75) ................................. 7-11

7.8 PRE-STARTUP REVIEW (§68.77) ...................................... 7-12

7.9 COMPLIANCE AUDITS (§68.79) ...................................... 7-13

7.10 INCIDENT INVESTIGATION (§68.81) .................................. 7-13

7.11 EMPLOYEE PARTICIPATION (§68.83) .................................. 7-14

7.12 HOT WORK PERMITS (§68.85) ....................................... 7-15

7.13 CONTRACTORS (§68.87) ............................................ 7-15

APPENDIX 7A PHA TECHNIQUES .................................... 7-17

CHAPTER 8: EMERGENCY RESPONSE PROGRAM ................................. 8-1

8.1 NON-RESPONDING FACILITIES (§ 68.90(b)) ............................. 8-1

8.2 ELEMENTS OF AN EMERGENCY RESPONSE PROGRAM (§ 68.95) .......... 8-2

8.3 DEVELOPING AN EMERGENCY RESPONSE PROGRAM .................. 8-5

8.4 INTEGRATION OF EXISTING PROGRAMS .............................. 8-8

8.5 HAVE I MET PART 68 REQUIREMENTS? ............................... 8-10

8.6 COORDINATION WITH LOCAL EMERGENCY PLANNING ENTITIES

(§ 68.95(c)) ......................................................... 8-15
TABLE OF CONTENTS

(Continued)

 Page

CHAPTER 9: RISK MANAGEMENT PLAN .......................................... 9-1

9.1 ELEMENTS OF THE RMP ............................................. 9-1

9.2 RMP SUBMISSION ................................................... 9-2

9.3 ISSUES PERTAINING TO SUBMISSIONS OF AND ACCESS TO CLASSIFIED,

CONFIDENTIAL BUSINESS INFORMATION (CBI), AND TRADE SECRETS ... 9-3

9.4 RESUBMISSION AND UPDATES (§ 68.190) .............................. 9-4

CHAPTER 10: IMPLEMENTATION ............................................... 10-1

10.1 IMPLEMENTING AGENCY ........................................... 10-1

10.2 REVIEWS/AUDITS/INSPECTIONS (§ 68.220) ............................ 10-2

10.3 RELATIONSHIP WITH TITLE V PERMIT PROGRAMS .................... 10-4

10.4 PENALTIES FOR NON-COMPLIANCE .................................. 10-4

CHAPTER 11: COMMUNICATION WITH THE PUBLIC ............................. 11-1

11.1 BASIC RULES OF RISK COMMUNICATION ............................ 11-1

11.2 SAMPLE QUESTIONS FOR COMMUNICATING WITH THE PUBLIC ........ 11-4

11.3 COMMUNICATION ACTIVITIES AND TECHNIQUES ................... 11-13

11.4 FOR MORE INFORMATION ......................................... 11-19

APPENDICES

APPENDIX A 40 CFR PART 68 (1999 edition)

APPENDIX B SELECTED NAICS CODES

APPENDIX C TECHNICAL ASSISTANCE

APPENDIX D OSHA PSM GUIDANCE
LIST OF BOXES AND EXHIBITS

IN RMP GUIDANCE

LIST OF EXHIBITS

CHAPTER 1

EXHIBIT 1-1 EVALUATE FACILITY TO IDENTIFY COVERED PROCESSES

EXHIBIT 1-2 PROCESS

EXHIBIT 1-3 STATIONARY SOURCE

CHAPTER 2

EXHIBIT 2-1 EVALUATE PROGRAM LEVELS FOR COVERED PROCESSES

EXHIBIT 2-2 PROGRAM LEVEL CRITERIA

EXHIBIT 2-3 DEVELOP RISK MANAGEMENT PROGRAM AND RMP

EXHIBIT 2-4 COMPARISON OF PROGRAM REQUIREMENTS

CHAPTER 3

EXHIBIT 3-1 ATMOSPHERIC STABILITY CLASSES

CHAPTER 4

EXHIBIT 4-1 CONSIDERATIONS FOR CHOOSING A MODELING METHOD

EXHIBIT 4-2 POSSIBLE SOURCES OF ASSISTANCE ON MODELING

EXHIBIT 4-3 REQUIRED PARAMETERS FOR MODELING WORST-CASE SCENARIOS

EXHIBIT 4-4 REQUIRED PARAMETERS FOR MODELING ALTERNATIVE SCENARIOS

CHAPTER 5

EXHIBIT 5-1 SAMPLE MANAGEMENT DOCUMENTATION

CHAPTER 6

EXHIBIT 6-1 SUMMARY OF PROGRAM 2 PREVENTION PROGRAM

EXHIBIT 6-2 SAFETY INFORMATION REQUIREMENTS

EXHIBIT 6-3 CODES AND STANDARDS

EXHIBIT 6-4 SAMPLE SAFETY INFORMATION SHEET

EXHIBIT 6-5 HAZARD REVIEW REQUIREMENTS

EXHIBIT 6-6 SAMPLE CHECKLIST (EXTRACT)

EXHIBIT 6-7 OPERATING PROCEDURES REQUIREMENTS

EXHIBIT 6-8 TRAINING CHART 

EXHIBIT 6-9 MAINTENANCE GUIDELINES

EXHIBIT 6-10 SAMPLE AUDIT CHECKLIST FOR SAFETY INFORMATION AND HAZARD

REVIEW

EXHIBIT 6-11 INCIDENT INVESTIGATION REQUIREMENTS

EXHIBIT 6-12 SAMPLE INCIDENT INVESTIGATION FORMAT

CHAPTER 7

EXHIBIT 7-1 COMPARABLE EPA AND OSHA TERMS 

EXHIBIT 7-2 SUMMARY OF PROGRAM 3 PREVENTION PROGRAM 

EXHIBIT 7-3 PROCESS SAFETY INFORMATION REQUIREMENTS

EXHIBIT 7-4 PROCESS HAZARD ANALYSIS REQUIREMENTS

EXHIBIT 7-5 OPERATING PROCEDURES REQUIREMENTS

EXHIBIT 7-6 MECHANICAL INTEGRITY CHART

EXHIBIT 7-7 MANAGEMENT OF CHANGE REQUIREMENTS

EXHIBIT 7-8 PRE-STARTUP REVIEW REQUIREMENTS

EXHIBIT 7-9 INCIDENT INVESTIGATION REQUIREMENTS
LIST OF BOXES AND EXHIBITS

IN RMP GUIDANCE

(Continued)

EXHIBIT 7-10 EMPLOYEE PARTICIPATION REQUIREMENTS

EXHIBIT 7-11 HOT WORK PERMITS REQUIREMENTS

EXHIBIT 7-12 CONTRACTORS CHART

EXHIBIT 7A-1 APPLICABILITY OF PHA TECHNIQUES

EXHIBIT 7A-2 TIME AND STAFFING FOR PHA TECHNIQUES

CHAPTER 8

EXHIBIT 8-1 FEDERAL GUIDANCE ON EMERGENCY PLANNING AND RESPONSE

EXHIBIT 8-2 FEDERAL EMERGENCY PLANNING REGULATIONS

EXHIBIT 8-3 INTEGRATED CONTINGENCY PLAN OUTLINE

EXHIBIT 8-4 SAMPLE INTEGRATION EFFORT

CHAPTER 9

EXHIBIT 9-1 RMP UPDATES

CHAPTER 11

EXHIBIT 11-1 SEVEN CARDINAL RULES OF RISK COMMUNICATION
LIST OF BOXES AND EXHIBITS

IN RMP GUIDANCE

(Continued)

LIST OF BOXES

INTRODUCTION

GUIDANCE FOR INDUSTRY-SPECIFIC RISK MANAGEMENT PROGRAMS

STATE PROGRAMS

IF YOU ARE NEW TO REGULATIONS

WHAT IS A LOCAL EMERGENCY PLANNING COMMITTEE?

CHAPTER 1

STATE PROGRAMS

Qs AND As: STATIONARY SOURCE

AGGREGATION OF SUBSTANCES

Qs AND As: PROCESS

Qs AND As: STATIONARY SOURCE

Qs AND As: COMPLIANCE DATES

CHAPTER 2

Q AND A: PROCESS AND PROGRAM LEVEL

Qs AND As: PUBLIC RECEPTORS

Q and A: DETERMINING DISTANCES

Q AND A: ENVIRONMENTAL RECEPTORS

Qs AND As: ACCIDENT HISTORY

Qs AND As: OSHA

CHAPTER 3

Q AND A: PROPERTY DAMAGE

Qs AND As: ACCIDENT HISTORY

CHAPTER 4

RMP OFFSITE CONSEQUENCE ANALYSIS GUIDANCE

Qs AND As: WORST-CASE AND MITIGATION

HOW TO OBTAIN CENSUS DATA AND LANDVIEW

HOW TO OBTAIN USGS MAPS

Qs AND As: OFFSITE CONSEQUENCE ANALYSIS

CHAPTER 6

Q AND A: MAINTENANCE

Q AND A: AUDITS

CHAPTER 7

Qs AND As: IMPLEMENTATION AND PROCESS

Qs AND As: PROCESS SAFETY INFORMATION

Qs AND As: OFFSITE CONSEQUENCES
LIST OF BOXES AND EXHIBITS

IN RMP GUIDANCE

(Continued)

CHAPTER 8

WHAT IS A RESPONSE

WHAT IS A LOCAL EMERGENCY PLANNING COMMITTEE?

HOW DOES THE EMERGENCY RESPONSE PROGRAM APPLY?

PLANNING FOR FLAMMABLE SUBSTANCES

CHAPTER 9

Qs AND As: RMP UPDATES

Q AND A: REVISING A PHA

CHAPTER 10

Qs AND As: DELEGATION

Qs AND As: AUDITS

CHAPTER 11

WHAT DOES YOUR WORST-CASE DISTANCE MEAN?

WHAT DOES IT MEAN THAT WE COULD BE EXPOSED IF WE LIVE/WORK/SHOP/GO TO

SCHOOL X MILES AWAY?

IF THERE IS AN ACCIDENT, WILL EVERYONE WITHIN THAT DISTANCE BE HURT? WHAT

ABOUT PROPERTY DAMAGE?

HOW SURE ARE YOU OF YOUR DISTANCES?

WHY DO YOU NEED TO STORE SO MUCH ON SITE?

WHAT ARE YOU DOING TO PREVENT RELEASES?

WHAT ARE YOU DOING TO PREPARE FOR RELEASES?

DO YOU NEED TO USE THIS CHEMICAL?

WHY ARE YOUR DISTANCES DIFFERENT FROM THE DISTANCES IN THE EPA LOOKUP

TABLES?

HOW LIKELY ARE THE WORST-CASE AND ALTERNATIVE RELEASE SCENARIOS?

IS THE WORST-CASE RELEASE YOU REPORTED REALLY THE WORST ACCIDENT YOU CAN

HAVE?

WHAT ABOUT THE ACCIDENT AT THE [NAME OF SIMILAR FACILITY] THAT HAPPENED

LAST MONTH?

WHAT ACTIONS HAVE YOU TAKEN TO INVOLVE THE COMMUNITY IN YOUR ACCIDENT

PREVENTION AND EMERGENCY PLANNING EFFORTS?

CAN WE SEE THE DOCUMENTATION YOU KEEP ON SITE?
TABLE OF POTENTIALLY REGULATED ENTITIES

This table is not intended to be exhaustive, but rather provides a guide for readers

regarding entities likely to be regulated under 40 CFR part 68. This table lists

the types of entities that EPA is now aware could potentially be regulated by this

rule (see Appendix B for a more detailed list of potentially affected NAICS codes).

Other types of entities not listed in this table could also be affected. To determine

whether your facility is covered by the risk management program rules in part 68,

you should carefully examine the applicability criteria discussed in Chapter 1 of

this guidance and in 40 CFR 68.10, which is available in Appendix A of this

document . If you have questions regarding the applicability of this rule to a

particular entity, call the EPCRA/CAA Hotline at (800) 424-9346 (TDD: (800)

553-7672)(see Appendix C, Technical Assistance, for other sources of

information).

Category NAICS

Codes

SIC

Codes

Examples of Potentially Regulated

Entities

Chemical

manufacturers

325 28 Petrochemicals

Industrial gas 

Alkalies and chlorine

Industrial inorganics

Industrial organics

Plastics and resins

Agricultural chemicals

Soap, cleaning compounds

Explosives

Miscellaneous chemical manufacturing

Petroleum refineries 32411 2911 Petroleum refineries

Pulp and paper 322 26 Paper mills

Pulp mills

Paper products

Cold storage

facilities

11

311

4224

4228

4931

01

20

514

518

411

Agricultural operations

Food processors

Frozen and refrigerated foods

Beer and wines

Refrigerated warehouses

Plastic and rubber

products

326 30 Plastic foam products

Non-metallic mineral

products

327 32 Glass and glass products

Other non-metallic mineral products

Metal products 331

332

33

34

Primary metal manufacturing 

Fabricated metal products
Category NAICS

Codes

SIC

Codes

Examples of Potentially Regulated

Entities

Machinery

manufacturing

333 35 Industrial machinery

Farm machinery

Other machinery

Computer and

electronic equipment

334 36 Electronic equipment

Semiconductors

Electric equipment 335 36 Lighting

Appliance manufacturing

Battery manufacturing

Transportation

equipment

336 37 Motor vehicles and parts

Aircraft

Mining 21 13

10

Oil and gas extraction

Other mining

Chemical distributors 42269 5169 Chemical wholesalers

Farm supplies 42291 5191 Agricultural retailers and wholesalers

Propane bulk

terminals

454312 5171 Propane wholesalers

Warehouses 4931 422 Warehouse storing chemicals

Water treatment 22131 4941 Drinking water treatment systems

Wastewater

treatment

22132

56221

4952

4933

Sewerage systems

Wastewater treatment

Waste treatment

Electric utilities 22111 4911 Electric power generation

Federal facilities Military installations

Department of Energy installations