Transcript Slide 1

This project is funded by the European Union
Projekat finansira Evropska Unija
BACKGROUND AND CONTENT
MAJOR ACCIDENT
PREVENTION POLICY (MAPP)
AND SAFETY MANAGEMENT
SYSTEM (SMS)
Ike van der Putte
PhD Toxicology – EUROTOX registered
MSc Environmental Sciences
[email protected]
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
ESSENTIAL ELEMENTS OF A SAFETY REPORT
Note: Structure is according
to ANNEX II SEVESO II;
In practice structure of Safety reports
is not followed exactly
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
I. MAPP AND SMS
Major Accident Prevention Policy (MAPP), is a “self-commitment” by the operator
of a Seveso type establishment to meet the requirements of Article 5.
(operator obligations)
A safety management system (SMS) is instead a set of activities that ensures
that hazards are effectively identified, understood and minimised to a
tolerable level. In this sense, it may be regarded as the transposition of the
general goals identified in the MAPP into specific objectives and procedures.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
General Management System Principles
Management of any sizeable activity is based on the idea of a
“management loop”, which involves agreeing an objective, defining a plan to achieve
that objective, formulating the detailed work required to implement the plan, carrying
out the work, checking the outcome against the plan, and planning and taking
appropriate corrective action. Safety management is no exception to this general
principle.
This means that in addition to the goals of the Safety Management System, and
the issues it addresses, the integrity of the management loop and the completeness
and accurate functioning of the management system are essential.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
PLAN-DO-CHECK-ACT THE KEY TO SAFETY
SUCCESS
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
WHAT IS PDCA?
PDCA (plan–do–check–act )
 An iterative four-step management method used in
business for the control
 Continuous improvement of processes and products
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Project implemented by Human
Plan-Do-Check-Act the Key to Safety
Success
Dynamics Consortium
GENERAL MANAGEMENT SYSTEM
MODEL – PLAN, DO, CHECK, ACT
Policy
Management
Review
Checking
Corrective Action
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Planning
Implementation
Project implemented by Human
Dynamics Consortium
MAPP
MAPP and SMS should address the following issues:
1. organisation and personnel
2. identification and evaluation of major-accident hazards
3. operational control
4. management of change
5. planning for emergencies
6. monitoring performance
7. audit and review
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
The MAPP is embedded in the overall management system of the company and
sets the general goals for the SMS, the latter serving as
basis for the risk/hazard analysis (as far as it concerns major accident hazards).
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
MAPP
The operator has to produce MAPP as a written document, which deals
specifically with the overall objectives and general principles of his procedures
for limiting the risk of hazardous incidents.
The document should specifically include the following points:
- Formulation of a company policy, which states that the prevention of
hazardous incidents and the limitation of the effects of hazardous incidents
which, despite all efforts do occur is a high priority in the company objectives.
- Presentation of the basic approach to implement this objective, for example
in the form of guidelines which are part of company policy.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
MAPP
The MAPP can be a much less detailed document than one which describes the
Safety Management System but should clearly indicate the arrangements,
structures and management systems required for each of the seven areas.
A MAPP is not a mini safety report and should refer to other detailed documentation
where necessary. Indeed there will normally be a hierarchy of documentation:
at the top of this hierarchy the MAPP sets out the policy and principles of major
hazard prevention, and then each subsequent level explains in more detail the
application of these principles, finishing with working documents and instructions.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
MAPP
MAPP -CORPORATE/COMPANY POLICIES
AND GUIDELINES
The corporate policy is the basis for the measures to be outlined .
In larger companies, it may be appropriate to complement the corporate policy,
which is usually formulated in rather general terms, with guidelines that
show predominantly the company’s strategy for achieving certain protection goals.
The corporate policy should not only make clear what the company is trying to achieve
externally, but above all focus on this towards his own staff.
Therefore it is recommended that staff, or staff representatives, are involved
in the policy formulation process from the beginning, and that the policy's
validity is confirmed by signatures of the company management.
This Project is funded
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Project implemented by Human
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MAPP
Policy.
It is recommended that management signs the relevant documents.
In addition to the company policies and any accompanying guidelines,
MAPP must also state:
a) what risks of hazardous incidents are present in the establishment;
b) what provisions have been made for preventing these, or limiting their effects;
c) in which way it is ensured that these measures are implemented properly.
a) and b) are supplied in other sections of the safety report, particularly in the
installation-specific safety analysis.
c) Refers to the presentation of the safety management system which is dealt with
seperately
This Project is funded
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Project implemented by Human
Dynamics Consortium
MAPP
a) HAZARD POTENTIAL IN THE ESTABLISHMENT
- what risks of hazardous incidents are present in the establishmentThe basis of all considerations is the identification of possible hazards.
The regulations emphasize on major accidents (hazardous incidents).
Basic details for the identification and evaluation of hazards are supplied
in the notification procedure, which should be included as
a copy. A reference on this document is possible.
In this section it should be clarified which hazards can originate in the
establishment. To do this, the possible hazards should be specified and
evaluated with regard to their relevance to safety.
The following factors in particular should be taken into consideration:
Geographical location (sensitive/susceptable areas)
Substances (complete list)
Type of process or activity (selected for MAHs)
This Project is funded
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Project implemented by Human
Dynamics Consortium
MAPP
b) TECHNICAL AND ORGANISATIONAL MEASURES TO PREVENT OR
LIMIT THE CONSEQUENCES OF MAJOR ACCIDENTS (1)
- what provisions have been made for preventing these, or limiting their
effects
In this section, the operator should explain the basic measures proposed
to reduce and control the hazard potential described in the previous section, and
to limit the consequences of a hazardous incident. These measures can be of
technical and/or organisational nature.
Reference should also be made, if applicable, to other relevant documents,
such as licences,permits. It is, however, strongly recommended that the operator
makes clear in this section, which priorities are set in applying the safety policy
to meet the general obligations of the regulations
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MAPP
b. TECHNICAL AND ORGANISATIONAL MEASURES TO PREVENT OR LIMIT
THE CONSEQUENCES OF MAJOR ACCIDENTS (2)
The following factors may be important when determining and presenting
technical safety related measures:
- Safety-related construction and design characteristics of installation components,
such as the material used (e.g. steel, glass or graphite), as well as location and
overall design of these components.
- Safety-related maintenance at the establishment/installation.
- State-of-the-art of safety technology, regulations, standards, guidelines, etc. which
must be observed.
This Project is funded
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Project implemented by Human
Dynamics Consortium
MAPP
b. TECHNICAL AND ORGANISATIONAL MEASURES TO PREVENT OR LIMIT
THE CONSEQUENCES OF MAJOR ACCIDENTS (3)
Measures to prevent, and limit the effects of events which could cause major
accidents, may include:
- process control systems to prevent excessive pressure or temperatures;
- safe containment of hazardous substances;
- safety valves;
- measures to avoid explosive atmospheres (e.g. inertisation);
- measures to avoid sources of ignition (for example, using electrical installations
according to qualified, i.e. standardised, categories of explosion protection,grounding);
- fire prevention measures;
- defensive and constructional fire protection measures;
- equipment of constructional explosion protection, such as rupture disks, explosion flaps and explosion
suppression systems;
- rapid closure devices;
- spillage-collection facilities;
- sprinkler systems;
- gas detectors; and
- water/steam curtains.
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Project implemented by Human
Dynamics Consortium
MAPP
c) in which way it is ensured that these measures are implemented properly.
The structure of the organisational measures is based on the principles
for a Safety Management System (SMS) (only structure; not detailed; reference
to be made to SMS procedures).
In general, the technical and organisational measures of the operator have to
provide the premises of meeting all legal requirements
(laws, ordinances, accident prevention regulations, permits and legal conditions).
This particularly includes measures, which guarantee that the operator’s
documentation is in line with the current situation.
This Project is funded
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Project implemented by Human
Dynamics Consortium
MAPP
MAPP QUESTIONS - CHECK
Q 1 Does the MAPP exist as a written document?
Q 2 Does the senior management show commitment to the MAPP,
e.g. through signature?
Q 3 Has the MAPP been communicated to the workforce?
Q 4 Is the MAPP communicated to contractors and third parties
undertaking activities on site?
Q 5 How does senior management review the MAPP
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
SMS
MAPP and SMS should address the following issues:
1. organisation and personnel
2. identification and evaluation of major-accident hazards
3. operational control
4. management of change
5. planning for emergencies
6. monitoring performance
7. audit and review
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
Elements of Safety Management System (SMS)
A safety management system (SMS) is a set of activities
that ensures that hazards are effectively identified,
understood and minimised to a tolerable level.
In this sense, it may be regarded as the transposition
of the general goals identified in the Major Accident
Prevention Policy (MAPP) into specific objectives and
procedures.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
The MAPP is embedded in the overall management
system of a company or site. The MAPP sets the general goals for the SMS,
the latter serving as basis for the risk/hazard analysis
(as far as it concerns major accident hazards).
reference: http://www.uba.de/uba-info-medien-e/4510.html .
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
In practice a SMS consists of a compilation of written principles, plans,
formal organisation charts, responsibility descriptions, procedural
recommendations, instructions, data sets etc (character of “underlying documents”)
For the purpose of a safety report, the description of the SMS is of a summarising
character and should address the following subsets. It shall at least consist of:
• The major accident prevention policy (MAPP);
• An explanation of the relationship of the MAPP to the site-specific aims and
safety-related objectives;
• Explanations in generic terms concerning how these objectives are met,
especially with respect to consistency between the approaches followed and
the measures taken.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
It is useful to link the SMS to other existing or planned management
systems in the company. If a holistic management system is already
in place, the SMS should be integrated into it.
This allows the operator to take company specific factors into account,
for example, the SMS can be integrated into existing managements
systems which comply with e.g. ASCA-based systems,
ISO 9000 ff, ISO 14001, EMAS
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
1. ORGANISATION AND STAFF
Establishing the principal responsibility of the operator
The operator, i.e. the management, is responsible for devising the SMS and
for ensuring it is adhered to.
Structural organisation
The structural organisation of the SMS must be detailed, providing a clear
assignation of tasks, functions and competences at the different levels of
the company. Organisation charts and job descriptions are particularly suitable
for this task.
Establishment organisation
Details must be given of the principle used in the SMS to deal with establishment
Processes in order to comply with the regulations (particularly establishment
processes which cover more than one function or department). This covers
establishment processes throughout the SMS, so detailed descriptions are not
necessary in this section.
Committees
Qualifications and training
Involvement of staff and where appropriate of third parties and subcontractors
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
2. IDENTIFYING AND ASSESSING THE RISK OF HAZARDOUS INCIDENTS
The SMS must ensure that the potential for hazardous incidents is identified and
that the probability and severity of these incidents is assessed. Suitable systematic
methods should be used to achieve this. All sections of the establishment, and
where appropriate external sources of potential hazards, are to be taken into
account.
Appropriate measures should be taken on the basis of the risk assessment.
The SMS provides the more detailed definitions on which the identification
and assessment of risks of major accidents are based
Ref. Hazid (with Hazop. DOW, What if etc)
Ref. Hazard & Scenario Analysis (Fault tree, Event tree, Bowtie etc.)
Descriptions of how the outcomes of hazard identification and risk assessment
have been used to determine the physical control measures and management
risk control systems needed for the prevention and mitigation of major accidents.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
3. OPERATIONAL CONTROL (1)
General
The SMS must ensure that for all safety-related procedures:
- there are written work and operating instructions;
- staff are informed in writing or orally in an appropriate way;
- the work and operating instructions are exercised in practice where necessary; &
- are monitored, to see whether they are reasonable and viable, and whether
they are obeyed
The inclusion of temporarily employed staff, outside companies and subcontractors
should be taken into consideration when drawing up work and operating
instructions. When drawing up this section of the SMS, it is important to remember
that work and operating instructions are required under a number of other
national regulations.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
3. OPERATIONAL CONTROL (2)
Work and operating instructions
Work and operating instructions can be related to the workplace, the activity, or the
substances handled. According to context and validity, they should resolve the following
issues in particular:
- competence and responsibility;
- start of the installation or facility;
- normal operation of installations, facilities and work materials;
- handling of hazardous substances and preparations;
- recognising disruptions, procedure for establishing the cause and both methods and
responsibility for resolving the disruptions (return to normal operation);
- fixed-term or special operating circumstances;
- operation during maintenance and cleaning;
- close down of the installations and facilities under normal conditions;
- procedures for installation stoppages; and
- procedure in the event of operational disruptions and in emergencies, including
emergency stoppages, first aid procedures and appropriate disposal of wastes.
Where there are extensive procedures and protection measures, it has always been
worthwhile to expand work and operating instructions with checklists or step-by-step lists
(see system UK)
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
3. OPERATIONAL CONTROL (3)
Training
The SMS should ensure that not only there is regular training on the content of the operating
and working instructions, but special instructions are provided:
- before new or modified installations, facilities or work materials begin to operate;
- before new or transferred staff take up related functions;
- before processes, establishments or working arrangements are modified;
- before different substances or operating media are used;
- before major disconnections, closures or other activities which are particularly
hazardous;
- after incidents involving accidents, damage or emissions;
- when legal requirements have an effect on establishment processes; and
- in the event of any other changes which have to be made to the operating and work
instructions, for whatever reason.
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by the European Union
Project implemented by Human
Dynamics Consortium
4. MANAGEMENT OF CHANGE (1)
The following issues shall be addressed by the safety management system:
Management of change - adoption and implementation of procedures for
planning modifications to, or the design of new installations, processes or
storage facilities.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
4. MANAGEMENT OF CHANGE (2)
The operator should adopt and implement management procedures for planning
and controlling all changes in people, plant, processes and process variables,
materials, equipment, procedures, software, design or external circumstances
which are capable of affecting the control of major accident hazards.
This approach should cover permanent, temporary and urgent operational changes,
and should address:
• definition of what constitutes a change
• assignment of responsibilities and authorities for initiating change
• identification and documentation of the change proposed and of its implementation;
• identification and analysis where appropriate of any safety implications of the
change proposed;
• definition, explanation where appropriate, documentation, and implementation of
the safety measures deemed appropriate, including information and training
requirements, as well as the necessary changes to operational procedures;
• definition and implementation of appropriate post-change review procedures and
corrective mechanisms, and subsequent monitoring.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
5. PLANNING FOR EMERGENCIES
Implementing the emergency plans
This section of the SMS contains a description of the procedure for identifying foreseeable
emergencies, and for drawing up, testing and reviewing the internal emergency plans (alert
and disaster control plans), and for the identification and passing on of information required
from the operator for drawing up external emergency plans.
The SMS should determine the following, in particular:
- The procedure for identifying foreseeable emergencies, based on a systematic
analysis (scenarios). This must ensure that all installations and storage facilities are
systematically examined for potential technical, organisational or human failures
which could cause an emergency situation.
- The group of people who will carry out this analysis. Teamwork is recommended. In
the event of insufficient internal expertise, outside resources have to be brought in.
- The different competences for carrying out the analysis, and for devising, testing and
reviewing the resultant emergency plans.
- The procedure for devising internal emergency plans.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
6. MONITORING PERFORMANCE
Relevant text from the Directive:
The following issues shall be addressed by the safety management system:
Monitoring performance - adoption and implementation of procedures for the
ongoing assessment of compliance with the objectives set by the operator’s
major accident prevention policy and safety management system, and the
mechanisms for investigation and taking corrective action in case of
non-compliance.
The procedures should cover the operator’s system for reporting major accidents
or near misses, particularly those involving failure of protective measures,
and their investigation and follow-up on the basis of lessons learnt.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
6. MONITORING PERFORMANCE (2)
The operator should maintain procedures to ensure that safety
performance can be monitored and compared with the safety
objectives defined.
This should include determining whether plans and objectives are being
achieved, and whether arrangements to control risks are being
implemented before an incident or accident occurs (active monitoring),
as well as the reporting and investigation of failures which have resulted in
incidents or accidents (reactive monitoring).
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
6. MONITORING PERFORMANCE (3)
Active monitoring should include inspections of safety critical plant, equipment
and instrumentation as well as assessment of compliance with training,
instructions and safe working practices.
Reactive monitoring requires an effective system for reporting incidents
and accidents and an investigation system which identifies not only the
immediate causes but also any underlying failures which led to the event.
It should pay particular attention to cases of failure of protective measures
(including operational and management failures), and should include
investigation, analysis, and follow-up (including transfer of information to
personnel involved) to ensure that the lessons learnt are applied to future operation.
The information from performance monitoring should also be a significant input
to the processes of audit and review (see next slides)
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
7. AUDIT AND REVIEW (1)
Relevant text from the Directive:
The following issues shall be addressed by the safety management system:
Audit and review - adoption and implementation of procedures for periodic systematic
assessment of the major accident prevention policy and the effectiveness and
suitability of the safety management system; the documented review of
performance of the policy and safety management system and its up-dating by
senior management.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
7. AUDIT AND REVIEW (2)
The terms “audit” and “review” are used here for two different activities.
An audit is intended to ensure that the organisation,processes, and procedures
as defined and as actually carried out are consistent with the Safety Management
System;
It should be carried out by people who are sufficiently independent from the
operational management of the unit being audited to ensure that their assessment
is objective.
A review is a more fundamental study of whether the Safety Management System
Is appropriate to fulfil the operator’s policy and objectives, and may extend to
considering whether the policy and objectives should themselves be modified.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
7. AUDIT AND REVIEW (3)
Audit (1)
In addition to the routine monitoring of performance, the operator should carry
out periodic audits of its SMS as a normal part of its business activities.
An audit should determine whether the overall performance of the
Safety Management System conforms to requirements, both external and
those of the operator.
The results of these audits should be used to decide whatimprovements
should be made to the elements of the SMS and their implementation.
For this purpose the operator should adopt and implement an audit plan
covering items 1-6.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
7. AUDIT AND REVIEW (4)
Audit Plan(2)
The audit plan, which should be reviewed at appropriate intervals, should define:
• the areas and activities to be audited;
• the frequency of audits for each area concerned;
• the responsibility for each audit;
• the resources and personnel required for each audit, bearing in mind the
need for expertise, operational independence, and technical support;
• the audit protocols to be used (which can include questionnaires, checklists,
interviews both open and structured,measurements and observations);
• the procedures for reporting audit findings;
• the follow-up procedures.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
7. AUDIT AND REVIEW (5)
Review
Senior management should, at appropriate intervals, review the operator's overall
safety policy and strategy for the control of major-accident hazards, and all aspects
of the SMS to ensure its consistency with these.
The findings of the monitoring and of the audit are to be specifically included.
This review should provide information to determine whether
the policy or the objectives themselves need to be modified.
This review should also address the allocation of resources for SMS
implementation, and should consider changes in the organisation as well as
those in technology, standards, and legislation.
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
SMS - QUESTIONS - CHECK
Q .1 Is the organisation of the facility documented, the process safety
related units roles and responsibilities clearly identified?
Q .2 Have processes for identifying and monitoring the process safety
requirements on personnel and their roles and responsibilities been developed?
Q .3 Have processes for the identification of hazards and assessment of
their risks been defined?
Q .4 Have processed been defined for the communication of the results
from hazard identification and risk assessment?
Q .5 Do processes exist for addressing changes in documents as a
result of changes?
Q .6 Do processes exist for developing internal emergency plans?
Q .7 Do processes / procedures exist for training / drills related to the
internal emergency plan?
Q .8 Are there complete processes and procedures in place for monitoring
compliance with defined requirements?
Q .9 Does an accident reporting mechanism exist?
Q .10 Is a process defined for regular audits?
Q .11 How does senior management review the MAPP and the SMS?
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
REFERENCES
Sectoral Checklist for preparation and inspection of a Safety Report.
UNECE Convention on the transboundary effects of industrial accidents &
the EU Directive 96/82/EC (SEVESO II) by a consistent Checklist System
This publication is only available online. It can be downloaded as ANNEX 3
from http://www.uba.de/uba-info-medien-e/4510.html .
Guidelines on a Major Accident Prevention Policy
and Safety Management System,as required by Council Directive
96/82/EC (SEVESO II). Neil Mitchison & Sam Porter (Eds.)
ISBN92-828-4664-4
Guidance on the preparation of a Safety Report to meet the requirements of
Directive 96/82/EC as amended by Directive 2003/105/EC (SEVESO II).
Luciano Fabbri, Michael Struckl and Maureen Wood (Eds.), 2005.
ISBN 92-79-01301-7
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium
This Project is funded
by the European Union
Project implemented by Human
Dynamics Consortium