OECD Guiding Principles for Chemical Accident Prevention

219 Pages·2003·1.79 MB·English

OECD Guiding Principles
for Chemical Accident Prevention,
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This second edition of the OECD Guiding Principles for Chemical Accident Prevention, Preparedness and
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Responseis a comprehensive document to help public authorities, industry and communities worldwide prevent id
and prepare for accidents involving hazardous substances resulting from technological and natural disasters, in
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This document was developed by a variety of experts from many countries and organisations, and addresses the
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— preventing the occurrence of chemical accidents and near-misses; i
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— preparing for accidents through emergency planning, public communication, etc.; l
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— responding to accidents and minimising their adverse effects; and s

— following-up to accidents, regarding clean-up, accident reporting and accident investigation. f
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OECD Guiding Principles
for Chemical Accident Prevention,
Preparedness and Response
Guidance for
Industry (including Management and Labour),
Public Authorities, Communities, and other Stakeholders
- Second edition -
OECD Environment, Health and Safety Publications
Series on Chemical Accidents
No. 10
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 (2thDecember1996) 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
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of this book should be made to OECD Publications, 2,rueAndré-Pascal, 75775 Paris Cedex 16, France.
PREFACE
The chemicals industry produces many useful products without which modern society would not function
as it currently does. But the production, storage, transport, use and disposal of chemicals may also involve
risks, and can lead to major accidents. The whole of a town can be threatened by an explosion in a chemical
plant, the whole of a coast by the shipwreck of a tanker, the whole of a region by leaks from a chemical
installation. Bhopal(1984) was the scene of the accident with the most human casualties; the Baselwarehouse
fire (1986) caused large-scale pollution of the Rhine; and the Baia Mare spill(2000) severely threatened
the Danube River. Recently the populations and the towns of Enschede(2000) and Toulouse(2001) were
seriously affected by chemical explosions.
At the 1988 OECD Conference on Accidents Involving Hazardous Substances, Ministers initiated an ambitious
OECD programme in this field. The programme has developed four Council Acts which have helped to
shape the policies concerning major accidents in member countries. Furthermore, the Guiding Principles for
Chemical Accident Prevention, Preparedness and Response were published in 1992. In the preparation of this
document, experts from government, industry, trade unions, environmental interest groups and other
international organisations worked closely together. The application of the Guiding Principlesis the subject
of an OECD Council Recommendation; they have been translated into many languages, and are also used
widely in non-member countries.
Over the last ten years, governments and industry have focussed on the implementation of these
Guiding Principles. At the same time, the OECD Working Group on Chemical Accidents has worked on improving
and updating them based on new experiences and on expanding them by introducing new topics. This
was done through an extensive series of OECD workshops with participation from the stakeholders. As a
result this second edition of the Guiding Principlesnow includes new elements addressing additional topics
such: as the development of a health infrastructure to deal with chemical accidents; implementation of the
principles by small and medium-sized enterprises; chemical safety at transport interfaces, such as port areas;
the safety of pipelines; integrated management of health, environment, safety and quality control; guidance
for audits and inspections; and application to sabotage and terrorism.
This second edition of the Guiding Principleswill help, even more than the original principles, public authorities,
industry and communities worldwide to prevent chemical accidents and improve preparedness and
response, should an accident occur. I think that this document is an excellent example of how OECD can
bring together experts from many sectors of society in order to produce a very practical instrument which
will be of value to many in member and non-member countries alike. This document will certainly become
an important milestone on the path to improved chemical safety in the world.
Deputy Secretary-General of the OECD
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GUIDINGPRINCIPLES: CHEMICALACCIDENTPREVENTION- © OECD 2003
ACKNOWLEDGEMENTS
This second edition of the OECD Guiding Principles for Chemical Accident Prevention, Preparedness and Response
was prepared by a Drafting Group under the auspices of the Working Group on Chemical Accidents that
manages the OECD Programme on Chemical Accidents. The development of the Guiding Principleshas been
undertaken in co-operation with other international organisations active in the area of chemical accident
prevention, preparedness and response, including ILO, IMO, UNECE, UNEP, UNOCHA (UNEP/OCHA Joint
Environment Unit) and WHO.
The OECD Guiding Principlesbenefited from the extensive knowledge and experience of members of the
Drafting Group, which consisted of representatives of OECD member and observer countries, the European
Commission, industry, labour, non-governmental organisations and other international organisations. The
Group met six times between 1999 and 2002, at the kind invitation of Canada, Italy, the US and the European
Commission. Members of the Drafting Group were Wayne Bissett, Eric Clément, Jean-Paul Lacoursière and
Robert Reiss (Canada); Jukka Metso (Finland); David Hourtolou and Olivier Salvi (France); Erika Moch and
Jorg Steinbach (Germany); Roberta Gagliardi, Gian Carlo Ludovisi and Raffaele Scialdoni (Italy); Soon-
Joong Kang, Jae-Hyyn Kim and Hyuck Myun Kwon (Korea); Gunnar Hem (Norway); Mieczyslaw Borysiewicz
and Barbara Kucnerowicz Polak (Poland); Josef Skultety (Slovak Republic); Juan Pablo Perez Sanchez (Spain);
Äke Persson (Sweden); David Bosworth (UK); Kim Jennings, Kathy Jones and Jim Makris (US); Juergen Wettig
(European Commission); Sigal Blumenfeld (Israel); Apostolos Paralikas (EEB); Fritz Balkau and Ruth Do Coutto
(UNEP); Patricia Charlebois and Vladimir Sakharov (UNOCHA); Kersten Gutschmidt (WHO-IPCS); Simon Cassidy
(BIAC); and Reg Green (TUAC).
Francine Schulberg (OECD Consultant) was responsible for writing 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 document was edited by Beatrix de Koster.
At the end of the process of preparation of the Guiding Principles, an extensive commenting round of the
final draft and a special review meeting were organised. The document benefited from comments from experts
worldwide. Participants in this peer review included Nestor H. Sposito (Argentina); Jose A. Coelho and Cesar
A. Leal (Brazil); Wayne Bissett, Jean-Paul Lacoursière and Robert Reiss (Canada); Olivier Salvi (France); Mark
Hailwood (Germany); Apostolos Paralikas and Elias Sampatakakis (Greece); Elena Floridi, Roberta Gagliardi,
Gian Carlo Ludovisi and Raffaele delle Piane (Italy); Hyuck Myun Kwon (Korea); Luis Hector Barojas Weber
(Mexico); Gerard Lommers (the Netherlands); Gunnar Hem (Norway); Manuel Bouza Serrano (Portugal); Henrieta
Lefflerova (Slovak Republic); Garcia Ara, Gonzalo del Castillo, Marisol Lorente, Francisco Perez, Agata ML
Puente Rubio and Olga Sanahuja (Spain); Äke Persson (Sweden); Bernard Gay (Switzerland); David Bosworth,
Simon Cassidy, Reg Green, Elisabeth Schoffield (UK); Kim Jennings, Kathy Jones, Dorothy McManus, Jim
Makris and twenty other reviewers (US); Juergen Wettig (EC); Fritz Balkau, Ruth Do Coutto, James Kamara,
David Thwaites and Jiang Yangpin (UNEP).
The web-based, interactive version of the Guiding Principles was developed with the support of the US
EPA (lead by Kim Jennings) with the assistance of Francine Schulberg.
A brochure for the promotion of the Guiding Principlesand the related Guidance on Safety Performance Indicators
4 was prepared thanks to Dana Robinson, Kim Jennings, Kathy Jones and Francine Schulberg.
GUIDINGPRINCIPLES: CHEMICALACCIDENTPREVENTION- © OECD 2003
The preparation of the Guiding Principles was made possible by extra-budgetary contributions from
Austria, Canada, Finland, Germany, the Netherlands, Norway, Switzerland and the US.
This publication is dedicated to the memory of Jim Makris, for his leadership, enthusiasm, and dedication
to international co-operation regarding chemical accident prevention, preparedness and response and, more
specifically, to the OECD Chemical Accidents Programme and the development of these Guiding Principles.
5
GUIDINGPRINCIPLES: CHEMICALACCIDENTPREVENTION- © OECD 2003
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.1The 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. Additional publications include the Guidance on Safety Performance Indicators
(to be published in 2003);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 OECD Guiding Principles for Chemical Accident Prevention, Preparedness and
Response is 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: (33) 1 45
24 16 75. E-mail: [email protected].
6
GUIDINGPRINCIPLES: CHEMICALACCIDENTPREVENTION- © OECD 2003
TABLE OF CONTENTS
To Assist the Reader..............................................................................................................................................10
Introduction ..........................................................................................................................................................13
About This Publication..........................................................................................................................13
Objective................................................................................................................................................15
Scope.......................................................................................................................................................15
Parties addressed..................................................................................................................................16
Installations covered.............................................................................................................................17
Issues addressed...................................................................................................................................18
Worldwide application..........................................................................................................................18
“Golden Rules” ......................................................................................................................................................21
Part A: Prevention of Chemical Accidents.........................................................................................................27
Chapter 1:General Principles ................................................................................................................................29
Chapter 2:Industry (including management and labour)....................................................................................33
a. Safety Culture............................................................................................ ........................................33
General principles...............................................................................................................................33
Safety policy.......................................................................................................................................34
Safety management systems...............................................................................................................36
Safety reporting..................................................................................................................................37
b. Hazard Identification and Risk Assessment..................................................................................38
c. Siting, Design and Construction.......................................................................................................40
Siting of installations...........................................................................................................................40
Design, planning and layout...............................................................................................................41
Construction.......................................................................................................................................45
d. Operation...........................................................................................................................................46
Procedures..........................................................................................................................................46
Personnel...........................................................................................................................................48
Internal communication.......................................................................................................................51
Education and training.......................................................................................................................53
Human factors....................................................................................................................................54
e. Maintenance and Repairs.................................................................................................................56
f. Modifications (technical and organisational)..................................................................................56
g. Review and Evaluation of Safety Management Performance......................................................57
h. Decommissioning, Closure and Demolition..................................................................................60
i. Other Industry Responsibilities........................................................................................................61
Product Stewardship and assistance to other enterprises........................................................................61
Transfer of technology.........................................................................................................................63
Acquisitions and affiliated operations....................................................................................................64
Chapter 3: Public Authorities...................................................................................................................................67
a. Safety Strategy and a Control Framework......................................................................................67
b. Land-Use Planning............................................................................................................................71
c. Safety Performance Review and Evaluation...................................................................................73 7
GUIDINGPRINCIPLES: CHEMICALACCIDENTPREVENTION- © OECD 2003
Table of Contents
Chapter 4:Public and Other Stakeholders............................................................................................................79
a. Communities/Public..........................................................................................................................79
b. Labour Organisations........................................................................................................................81
c. Research/Academic Institutions.......................................................................................................81
d. International Organisations .............................................................................................................81
e. Non-governmental Organisations (NGOs).....................................................................................81
Part B. Emergency Preparedness/Mitigation................................................................................................85
Chapter 5:Emergency Preparedness and Planning.............................................................................................87
a. General Principles.............................................................................................................................87
b. Industry........................................................................................... ...................................................92
c. Public Authorities...............................................................................................................................95
d. Public and Other Stakeholders.....................................................................................................101
Communities/public..........................................................................................................................101
Labour organisations.........................................................................................................................101
Research/academic institutions...........................................................................................................102
Non-governmental organisations.......................................................................................................102
Chapter 6:Land-Use Planning...............................................................................................................................103
Chapter 7:Communication with the Public.........................................................................................................105
Part C:Emergency Response.............................................................................................................................111
Chapter 8:General Principles...............................................................................................................................113
Chapter 9:Industry.................................................................................................................................................115
Chapter 10:Public Authorities...............................................................................................................................117
Chapter 11:Public and Other Stakeholders........................................................................................................123
a. Public/Communities......................................................................................................................123
b. Media..............................................................................................................................................123
c. Non-governmental Organisations................................................................................................123
Part D: Follow-up to Incidents (Accidents and Near-Misses)......................................................................125
Chapter 12:Assessment of Consequences..........................................................................................................127
Chapter 13:Medical Aspects of Follow-Up..........................................................................................................129
Chapter 14:Incident Documentation and Reporting.........................................................................................131
a. General Principles.........................................................................................................................131
b. Public Authorities..........................................................................................................................131
c. Industry...........................................................................................................................................132
Chapter 15:Incident Investigations......................................................................................................................133
a. General Principles.........................................................................................................................133
Key elements of root cause investigations............................................................................................134
8 Sharing the results of investigations...................................................................................................136
GUIDINGPRINCIPLES: CHEMICALACCIDENTPREVENTION- © OECD 2003