OECD Guidance on Safety Performance Indicators : A Companion to the OECD Guiding Principles for Chemical Accident Prevention, Preparedness and Response.

214 Pages·2003·1.29 MB·English

by  OECD

OECD Guidance on Safety Performance
Indicators
OECD Guidance on Safety Performance Indicators provides a systemic approach to
measuring the success of stakeholders’ chemical safety programmes by detailing
targets, activity indicators and outcome indicators. It also provides flexibility for
groups to design programmes to assess their own performance related to the
prevention of, preparedness for, and response to chemical accidents. The SPI
Guidance serves as a guide to help industry, authorities and communities measure
the extent to which actions help improve chemical safety.
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ISBN 92-64-01910-3
97 2003 13 1 P -:HSTCQE=UV^VUW:
Guidance on
SAFETY PERFORMANCE INDICATORS

Guidance for
Industry, Public Authorities and Communities for
developing SPI Programmes related to
Chemical Accident Prevention, Preparedness
and Response

(Interim Publication
scheduled to be tested in 2003 – 2004
and revised in 2005)

OECD Environment, Health and Safety Publications

Series on Chemical Accidents
No. 11
caecilia_histo_A.fm Page 1 Tuesday, November 4, 2003 4:22 PM
ORGANISATION FOR ECONOMIC CO-OPERATION
AND DEVELOPMENT
Pursuant to Article 1 of the Convention signed in Paris on 14th December 1960, and which came
into force on 30th September 1961, the Organisation for Economic Co-operation and Development
(OECD) shall promote policies designed:
– to achieve the highest sustainable economic growth and employment and a rising standard of
living in member countries, while maintaining financial stability, and thus to contribute to the
development of the world economy;
– to contribute to sound economic expansion in member as well as non-member countries in the
process of economic development; and
– to contribute to the expansion of world trade on a multilateral, non-discriminatory basis in
accordance with international obligations.
The original member countries of the OECD are Austria, Belgium, Canada, Denmark, France,
Germany, Greece, Iceland, Ireland, Italy, Luxembourg, the Netherlands, Norway, Portugal, Spain,
Sweden, Switzerland, Turkey, the United Kingdom and the United States. The following countries
became members subsequently through accession at the dates indicated hereafter: Japan
(28thApril1964), Finland (28th January 1969), Australia (7thJune1971), New Zealand (29thMay1973),
Mexico (18thMay 1994), the Czech Republic (21st December 1995), Hungary (7th May 1996), Poland
(22ndNovember 1996), Korea (12thDecember1996) and the Slovak Republic (14th December 2000). The
Commission of the European Communities takes part in the work of the OECD (Article 13 of the OECD
Convention).
© OECD 2003
Permission to reproduce a portion of this work for non-commercial purposes or classroom use should be obtained through the Centre français
d’exploitation du droit de copie (CFC), 20, rue des Grands-Augustins, 75006 Paris, France, tel. [phone], fax [phone], for every country
except the United States. In the United States permission should be obtained through the Copyright Clearance Center, Customer Service, [phone],
222Rosewood Drive, Danvers, MA 01923 USA, or CCC Online: www.copyright.com. All other applications for permission to reproduce or translate all or part
of this book should be made to OECD Publications, 2,rueAndré-Pascal, 75775 Paris Cedex 16, France.
ACKNOWLEDGEMENTS

This new Guidance on Safety Performance Indicators was prepared by an Expert Group under
the auspices of the Working Group on Chemical Accidents that manages the OECD Programme on
Chemical Accidents. The development of the SPI Guidance has been undertaken in close co-operation
with other international organisations active in the area of chemical accident prevention, preparedness
and response.

The Working Group agreed to the development of the SPI Guidance, as a companion
document to the OECD Guiding Principles on Chemical Accident Prevention, Preparedness and
Response, based on a proposal by Marcel Chapron, representative of France. The SPI Guidance
benefited from the extensive knowledge and experience of members of the Expert Group, which
consisted of representatives of OECD and observer countries, industry, labour, non-governmental
organisations and other international organisations. The group, chaired by Kim Jennings (US EPA),
met six times between 1999 and 2002, at the kind invitation of Canada, Italy, the US and the European
Commission. Members of the Expert Group were: Wayne Bissett, Eric Clément, Jean-Paul
Lacoursière and Robert Reiss (Canada); Jukka Metso (Finland); Marcel Chapron, David Hourtolou
and Olivier Salvi (France); Frauke Druckrey and Mark Hailwood (Germany); Paola de Nictolis,
Roberta Gagliardi, Giancarlo Ludovisi, Natale Mazzei and Raffaele Scialdoni (Italy); Jen-Soo Choi,
Soon-Joong Kang, Jae-Kyum Kim, Ki-Young Kim, Hyuck Myun Kwon, and Sueng-Kyoo Pak
(Korea); H.S. Hiemstra, Joy Oh and Eveline van der Stegen (the Netherlands); Mieczyslaw
Borysiewicz and Barbara Kucnerowicz Polak (Poland); Josef Skultety (Slovak Republic); Anders
Jacobsson (Sweden); David Bosworth (United-Kingdom); Kim Jennings, Kathy Jones and Robert
Smerko (United-States); Juergen Wettig (European Commission); Sigal Blumenfeld (Israel); Simon
Cassidy, Stephen Coe and Willem Patberg (BIAC); Ralph Arens, Roland Fendler, Angelika Horster,
Apostoslos Paralikas and Mara Silina (EEB); and Reg Green and Brian Kohler (TUAC). In addition,
Dafina L Dalbokova and Dorota Jarosinka (WHO-European Centre for Environment and Health)
participated in the review process.

The three main sections of the SPI Guidance were drafted by Anders Jacobsson (Sweden) for
Part A on Industry; Kim Jennings (US) for Part B on Public Authorities; and Jean-Paul Lacoursière,
Robert Reiss and Eric Clément (Canada), for Part C on Communities.

Francine Schulberg (OECD Consultant) was responsible for writing the introductory sections,
compiling the annexes and editing the document. Peter Kearns, Béatrice Grenier and Marie-Chantal
Huet (OECD Secretariat) assumed an oversight role throughout the process, under the supervision of
Robert Visser. The format was developed by Fatiha Caid-Lecland.

The web-based, interactive version of the SPI Guidance was developed with the support of the
US EPA (led by Kim Jennings) with the assistance of Francine Schulberg.

A brochure for the promotion of the second edition of the SPI Guidance and the Guiding
Principles for Chemical Accident Prevention, Preparedness and Response (published in May 2003)
and was developed thanks to Dana Robinson, Kim Jennings, Kathy Jones and Francine Schulberg
(US).

The preparation of the SPI Guidance was made possible by extra-budgetary contributions from
Austria, Canada, Finland, Germany, the Netherlands, Norway, Switzerland and the US.

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ABOUT THE OECD AND THE IOMC

The Organisation for Economic Co-operation and Development (OECD) is an intergovernmental
organisation in which representatives of 30 industrialised countries (from Europe, North America, and
the Pacific) and the European Commission meet to co-ordinate and harmonise policies, discuss issues
of mutual interest, and work together to respond to international concerns. Most of the OECD’s work
is carried out by more than 200 specialised committees and subsidiary groups made up of member
country delegates. Observers from several countries with special status at the OECD, and from
interested international organisations, attend many of the OECD’s meetings. Committees and
subsidiary groups are served by the OECD Secretariat, located in Paris, France, which is organised
into Directorates and Divisions.

The work of the OECD related to chemical accident prevention, preparedness and response is carried
out by the Working Group on Chemical Accidents (WGCA), with Secretariat support from the
Environment, Health and Safety (EHS) Division of the Environment Directorate.

The objectives of the Chemical Accidents Programme include development of guidance materials
related to chemical accident prevention, preparedness and response, exchange of information and
experience, and analysis of specific issues of mutual concern in OECD member countries. In this
context, more than fifteen workshops and special sessions have been held since 1989.

As part of its work on chemical accidents, the OECD has issued several Council Decisions and
Recommendations (the former legally binding on member countries), as well as numerous Guidance
Documents and technical reports. In particular, the OECD has published the 2nd edition of the Guiding
Principles for Chemical Accident Prevention, Preparedness and Response (2003). Additional
publications include Guidance Concerning Chemical Safety in Port Areas (a joint effort with the
IMO); Guidance Concerning Health Aspects of Chemical Accidents; the joint OECD/UNEP/OCHA
International Directory of Emergency Response Centres; and reports of the various workshops.

This publication was produced within the framework of the Inter-Organization Programme for the
Sound Management of Chemicals (IOMC). The IOMC was established in 1995 by UNEP, ILO, FAO,
WHO, UNIDO and the OECD (the Participating Organisations), following recommendations made by
the 1992 UN Conference on Environment and Development to strengthen co-operation and increase
international co-ordination in the field of chemical safety. UNITAR joined the IOMC in 1997 to
become the seventh Participating Organisation. The purpose of the IOMC is to promote co-ordination
of the policies and activities pursued by the Participating Organisations, jointly or separately, to
achieve the sound management of chemicals in relation to human health and the environment.

Obtaining OECD Publications: The Guidance on Safety Performance Indicators and the OECD
Guiding Principles for Chemical Accident Prevention, Preparedness and Response are available
electronically, at no charge. For the complete text of this and many other EHS publications, consult the
OECD’s web page (www.oecd.org/ehs/) or contact: OECD Environment Directorate (Environment,
Health and Safety Division), 2 rue André-Pascal, 75775 Paris Cedex 16, France. Fax: [phone]
75. E-mail: [email protected].

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TABLE OF CONTENTS

Page Number

i. Overview/Executive Summary ........................................................................................8

ii. Objectives and Scope.......................................................................................................12
General........................................................................................................................12
Target Audiences.........................................................................................................13
Format of the Document..............................................................................................14

iii. How to Use the Guidance .............................................................................................17

iv. To Assist the Reader.......................................................................................................23

Part A: GUIDANCE FOR INDUSTRY
for Developing Safety Performance Indicator Programmes

Introduction..............................................................................................................................27

General Outcome Indicators....................................................................................................28

Chapter A1 Policies and General Management of Safety........................................................29
A1.1 Overall policies.....................................................................................................30
A1.2 Safety goals and objectives...................................................................................32
A1.3 Safety leadership...................................................................................................34
A1.4 Safety management systems.................................................................................36
A1.5 Personnel...............................................................................................................38
a. Management of human resources................................................................38
b. Training and education................................................................................40
c. Internal communication/information...........................................................42
d. Working environment...................................................................................43
A1.6 Safety performance review and evaluation...........................................................46

Chapter A2 Administrative Procedures....................................................................................49
A2.1 Hazard identification and risk assessment............................................................50
A2.2 Documentation......................................................................................................52
A2.3 Procedures (including work permit systems)........................................................54
A2.4 Management of change.........................................................................................56
A2.5 Contractor safety...................................................................................................58
A2.6 Product stewardship..............................................................................................60

Chapter A3 Technical Issues ...................................................................................................63
A3.1 Research and development.....................................................................................64
A3.2 Design and engineering .........................................................................................66
A3.3 Inherently safer processes ......................................................................................70
A3.4 Industry standards...................................................................................................72
A3.5 Storage of hazardous substances (special considerations)......................................74
A3.6 Maintaining integrity/maintenance.........................................................................76

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Table of Contents

Chapter A4 External Co-operation...........................................................................................79
A4.1 Co-operation with public authorities.......................................................................80
A4.2 Co-operation with the public and other stakeholders (including academia)............82
A4.3 Co-operation with other enterprises ........................................................................84

Chapter A5 Emergency Preparedness and Response...............................................................87
A5.1 Internal (on-site) preparedness planning..................................................................88
A5.2 Facilitating external (off-site) preparedness planning.............................................90
A5.3 Co-ordination (within industrial organisations).......................................................92

Chapter A6 Accident/Near-Miss Reporting and Investigation................................................93
6.1 Reporting of accidents, near-misses and other “learning experiences”...................94
6.2 Investigations ..........................................................................................................96
6.3 Follow-up (including application of lessons learned and sharing of information)..98

Part B: GUIDANCE FOR PUBLIC AUTHORITIES
for Developing Safety Performance Indicator Programmes

Introduction............................................................................................................................103

General Outcome Indicators..................................................................................................104

Chapter B1 Internal Organisation and Policies......................................................................105
B1.1 Organisational goals and objectives......................................................................106
B1.2 Personnel................................................................................................................108
a. Management of human resources (including staffing/recruitment/selection).108
b. Training and education....................................................................................110
B1.3 Internal communication/information.....................................................................112

Chapter B2 Legal Framework................................................................................................113
B2.1 Laws, regulations and standards............................................................................114
B2.2 Land-use planning..................................................................................................116
B2.3 Safety reports.........................................................................................................118
B2.4 Permits...................................................................................................................120
B2.5 Inspections.............................................................................................................122
B2.6 Enforcement...........................................................................................................124

Chapter B3 External Co-operation........................................................................................127
B3.1 Co-ordination among relevant authorities at all levels..........................................128
B3.2 Co-operation with industry....................................................................................130
B3.3 Co-operation with other non-governmental stakeholders......................................132
B3.4 Communication with the community/public.........................................................134

ChapterB4 Emergency Preparedness and Response.............................................................137
B4.1 Ensuring appropriate internal (on-site) preparedness planning.............................138
B4.2 External (off-site) preparedness planning..............................................................140
B4.3 Co-ordination among relevant authorities at all levels..........................................142
B4.4 Emergency response and mitigation......................................................................144

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Table of Contents

Chapter B5 Accident/Near-Miss Reporting and Investigation..............................................147
B5.1 Accident/near-miss reporting and analysis............................................................148
B5.2 Investigations.........................................................................................................150
B5.3 Follow-up including application of lessons learned..............................................152
B5.4 Sharing of information...........................................................................................153

Part C: GUIDANCE FOR COMMUNITIES /PUBLIC
for Developing Safety Performance Indicator Programmes

Introduction............................................................................................................................157

General Outcome Indicators..................................................................................................158

Chapter C1 Prevention of Accidents......................................................................................161
C1.1 Information acquisition and communication..........................................................162
C1.2 Influencing risk reduction (related to audits and inspections)...............................164
C1.3 Participation in land-use planning and permitting................................................165

ChapterC2 Emergency Preparedness....................................................................................167
C2.1 Information acquisition and communication.........................................................168
C2.2 Participation in preparedness planning..................................................................170

Chapter C3 Response and Follow-up to Accidents...............................................................173
C3.1 Information acquisation and communication...................................................174
C3.2 Participation in debriefing and accident investigations.........................................175

ANNEXES

I. Examples of How to Apply the Guidance..................................................................177
II. Explanation of Terms Used..........................................................................................201
III. Selected References.......................................................................................................207
IV. Background ..................................................................................................................211

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i. OVERVIEW/EXECUTIVE SUMMARY

Introduction

This Document was designed to serve as a tool to assist industrial enterprises, public authorities, and
communities near hazardous installations world-wide develop and implement a means to assess the
success of their chemical safety activities. The guidance does not define a precise methodology, but
rather provides guidance on how to develop and use safety performance indicators including the
general elements of Safety Performance Indicators (SPI) Programmes.

This Document is NOT prescriptive; rather, it provides suggestions related to the elements that might
be included in a voluntary SPI Programme and provides general guidance on the process of
establishing and implementing such a Programme. In reviewing this Document, it is important to keep
in mind that not all elements of the guidance will be appropriate in each situation. It is up to each
reader to create a Programme that is appropriate for their particular organisation by:

(cid:0) reviewing the guidance carefully;
(cid:0) selecting those elements that are relevant in their circumstances;
(cid:0) adapting the elements to be consistent with their organisations’ vocabulary, policies
and procedures; and
(cid:0) developing metrics for measuring trends over time.

Given the scope and length of this Document, it may appear that implementation of an SPI Programme
is a daunting process. However, each enterprise/organisation should use only those parts of the
Document that are useful to its own situation. Furthermore, an SPI Programme can be implemented in
steps, starting with a limited number of subjects, and expanding the Programme as experience is
gained.

The Document is a companion to, and builds on, the OECD Guiding Principles for Chemical Accident
Prevention, Preparedness and Response (2nd edition, 2003).1 In addition, it is intended to be
consistent with, and complementary to, related international initiatives in the public and private
sectors.2

What are Indicators?

For purposes of this Document, the term “indicators” is used to mean observable measures that
provide insights into a concept – safety3 - that is difficult to measure directly. Examples of two types
of indicators are included in the Guidance: “activities indicators” and “outcome indicators”:

(cid:0) Activities indicators are designed to help identify whether enterprises/organisations are
taking actions believed to lower risks (e.g., the types of actions described in the Guiding
Principles); and

(cid:0) Outcome indicators are designed to help measure whether such actions are, in fact,
leading to less likelihood of an accident occurring and/or less adverse impact on human
health or the environment from an accident.

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GENERAL OUTCOME INDICATORS FOR CHEMICAL SAFETY

The following is a list of general outcome indicators that apply to all stakeholders. These
can, if measured over time, show if chemical safety has improved. When taken with other
outcome indicators, it can present a picture of chemical safety in the broadest sense as well
as show how industry, public authorities, and communities effect the improvement of
chemical safety.

(i) Reduction of chemical risks at hazardous installations (as measured by, e.g.: risk
assessments; reduction of chemical inventories; reduction of adverse impacts
from accidents; improvement in processes and process techniques; reduction of
vulnerability zones; and improved transportation).

(ii) Extent of interaction and collaboration of public authorities, industry, and
communities leading to improved safety of hazardous installations and reduction
of chemical risks to local communities.

(iii) Reduction of the frequency of accidents and near-misses, and their severity.

(iv) Reduction of injuries and fatalities from chemical accidents.

(v) Reduction of environmental impacts from chemical accidents.

(vi) Reduction of property damage from chemical accidents.

(vii) Improvement in response to chemical accidents (reduction of delay and
increased efficiency).

(viii) Reduction of the impact zone of chemical accidents (distance).

(ix) Reduction of the number of people affected by chemical accidents (e.g.,
numbers subject to evacuation or shelter in place orders).

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