For instruction on applicability criteria, click the following links or use the scroll bar to scan the page.
Establishing Compliance Categories for Applicability Criteria |
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Establishing and Reviewing Applicability Criteria Citation Information |
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Regulations and policies include sections or citations, called applicability criteria, that you can reference to determine if a rule applies. You can manage applicability criteria citations using the Applicability Criteria section on the Rules form. Because the citations may be modified over time, the date that the citation became effective is required, allowing you to maintain a history of changes. If you enter the actual text from a citation in this section, you can view it during an applicability analysis.
Note:
You must establish an applicability criteria citation on the Applicability Citations form before
you can select it in the Applicability
Criteria section on the Rules
form.
After you have selected and defined an applicability criteria citation for a regulation or policy, assign compliance categories to the citation on the Applicability Citation Information form. For more information on how the software uses compliance categories to identify potentially applicable rules during an applicability analysis, refer to Understanding Rule Selection for a Compliance Scenario.
To define applicability
criteria
Locate your rule on the Rules list, click the rule link to open the Rules form, and expand the Applicability Criteria section if necessary.
Click Assign Compliance Categories to display the Applicability Citation Information form.
Select the Rule from the list if it is not displayed.
Select a Citation
from the list.
If a citation is not listed, click the Ellipsis
button and add it.
Click the Calendar button for the Effective Date field to select the date the applicability citation became effective.
Select a Rule
Version from the list.
If the appropriate version is not listed, click the Ellipsis
button and add it.
Type the Order Number of the applicability citation.
Type a Description for the applicability citation.
Expand the Applicability Criteria Text section when necessary and type the citation text.
Expand the Compliance Categories section when necessary, and do the following:
Click Add Compliance Categories. The Compliance Category list opens.
Select the applicable Compliance Categories.
Scroll to the bottom of the list and click Add Selected Items.
Expand the Notes section when necessary and add comments.
Click Save.
Add other applicability citations by clicking New and repeating steps 3 through 12.
You can use the Applicability Citations form to establish the applicability criteria citations for a rule. For example, for Regulation 40 CFR 60 Subpart K, you could establish 60.110(a), 60.110(b), and 60.110( c) as applicability criteria citations.
To establish applicability
criteria citations
Tip: If you clicked the Ellipsis
button on the Applicability Citation
Information form to open the Applicability
Citations form, skip to step 3.
Click Data
Entry > Rule Information > Applicability Citations in
the Navigation Tree.
The Applicability Citations
list appears.
Click the New
button.
The Applicability Citations
form is displayed.
Select a Rule
from the list.
If a rule is not listed, click the Ellipsis
button and add it.
Type the Applicability Criteria Citation.
Click Save.
Repeat steps 2 through 5 to establish other applicability criteria citations.
You can use the Applicability Citation Information form to manage information about an applicability criteria citation, to manage the history of changes to the citation, and to assign the citation to compliance categories. Applicability criteria specify how you can determine if a rule applies. For each citation, you can save the effective date of the citation information, a description of the applicability criteria, text from the citation, and the rule version for the citation.
You should also assign applicability criteria to compliance categories. You can use compliance categories to group your regulations and policies by equipment type, by process, or on some other basis. When you assign the applicability criteria to a compliance category, the entire rule will be identified as potentially applicable for any process unit assigned to the same compliance category. For more information on how the software uses compliance categories to identify potentially applicable rules during an applicability analysis, refer to Understanding Rule selection for a Compliance Scenario.
Tip: You can also click Assign
Compliance Categories in the Applicability
Criteria section of the Rules
form to access the Applicability Citation
Information form and edit or view the effective date, version,
description, order number, text, and notes for the citation.
To enter applicability criteria citation
information
Tip: If you clicked Assign
Compliance Categories in the Applicability
Criteria section on the Rules
form to open the Applicability Citation
Information form, skip to step 3.
Click Data
Entry > Rule Information > Applicability Citation Information
in the Navigation Tree.
The Applicability Citation Information
list appears.
Click the New
button.
The Applicability Citation Information
form is displayed.
Select a Rule
and Citation from the list
for each field.
If a value is not listed, click the Ellipsis
button to add it on the Applicability
Citation Information form.
Click the Calendar button for the Effective Date field to select the date the requirement citation became effective.
Select a Rule
Version from the list.
If the applicable version is not listed, click the Ellipsis
button to add it on the Applicability
Citation Information form.
Type the Order Number of the applicability citation.
Type a Description for the applicability citation.
Expand the Applicability Criteria Text section when necessary and type the citation text.
Expand the Compliance Categories section when necessary, and do the following:
Click Add Compliance Categories. The Compliance Category list opens.
Select the applicable Compliance Categories.
Scroll to the bottom of the list and click Add Selected Items.
Expand the Notes section when necessary to add comments.
Click Save.
Repeat steps 2 through 11 to add other applicability citation information.
Type the actual text from the regulation in the Applicability Criteria Text section on the Applicability Citation Information form. When you perform an applicability analysis for a process unit, you can view this information to help you to determine whether a rule applies.
An example of applicability criteria text from 40 CFR 60 Subpart K, citation 60.110(a) reads:
Except as provided in §§60.110(b), the affected facility to which this subpart applies is each storage vessel for petroleum liquids which has a storage capacity greater that 151,412 liters (40,000 gallons.)
Viewing the text for a citation during an applicability analysis can help you to determine if a citation applies.
Review citation text by expanding the Applicability Criteria section on the Compliance Scenario form and clicking the Edit button adjacent to the citation line item. The Compliance Scenario Applicability Criteria Citation form is displayed. Click View Applicability Criteria to display the Citation Text form. Click Close to exit the form.
Compliance categories are logical groups that classify your process units and the applicability criteria citations that might apply to them. You can use compliance categories to group applicability criteria citations by equipment type, by process, or on some other basis. For example, you could assign a compliance category called "Storage Vessels" to 40 CFR Subpart K, citation 60.110(a) which reads:
Except as provided in §§60.110(b), the affected facility to which this subpart applies is each storage vessel for petroleum liquids which has a storage capacity greater that 151,412 liters (40,000 gallons.)
Your regulatory experts should guide you to ensure that you establish and
assign compliance categories consistently. For more information on how
the software uses compliance categories to identify potentially applicable
rules during an applicability analysis, refer to Understanding
Rule Selection for a Compliance Scenario.
When you click Assign Compliance Categories in the Applicability Criteria section on the Rules form, the Applicability Citation Information form opens. The Compliance Categories section can be used to establish new compliance categories and assign existing ones to applicability citations.
You can use the Compliance Categories section on the Applicability Citation Information form to assign compliance categories to applicability citations. Compliance categories allow you to group your rules by equipment type, by process, or on some other basis. For example, you could assign a compliance category called "Storage Vessels" to 40 CFR Subpart K, citation 60.110(a) which reads:
Except as provided in §§60.110(b), the affected facility to which this subpart applies is each storage vessel for petroleum liquids which has a storage capacity greater that 151,412 liters (40,000 gallons.)
Essential automatically selects potentially applicable rules for an applicability
analysis based on compliance category selection. For more information
on how the software selects potentially applicable rules, refer to Understanding
Rule Selection for a Compliance Scenario. Your regulatory experts
should guide you to ensure that you assign compliance categories consistently.
To assign compliance categories to an applicability
criteria citation
Locate your applicability citation on the Applicability Citation Information list, click the citation link to open the Applicability Citation Information form, and expand the Compliance Categories section if necessary.
Click Add Compliance Categories. The Compliance Category list opens.
Select the applicable Compliance Categories.
Note:
The list of available Compliance Categories is limited to those
categories that are marked "Available to All Entities" and that
are available to the Entity on the Process Unit form. Use the Search tool
to quickly find the compliance categories you need.
Scroll to the bottom of the list and click Add Selected Items.
Click Save.
In the Notes section on the Applicability Citation Information form, enter comments or notes about the applicability criteria citation.
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