»EPA
Solid Waste And
Emergency Response
(OS-120)
EPA550-B-93-001
February 1993
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Guiding Principles For
Chemicai Accident
Prevention, Preparedness
And Response
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GUIDING
PRINCIPLES
FOR CHEMICAL
ACCIDENT
PREVENTION,
PREPAREDNESS,
AND RESPONSE
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sendee
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General Distribution
OCDE/GD (92) 43
for the
Guldancefor Public Aut^e, ^^S^^o ltion of ,
ENVIRONMENT MONOGRAPH No 51
This Document is not available on Olis
OHGMnSAT.OH FO* ECONOMIC CO-OPERAT.O,, AND BEV^PUENT
Copyright OECD, 1992
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The support and assistance
gratefully
The OBCD (Organisat
concern,
appropriate,
ana vork Kgether
"Oh international dhnenn
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Telex: 62 01 60 Fax: (33) (I) 45 24
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Public enfranSais sous le titre :
Accidents Chimiques :Principes directeur ^
la preparation et I'intervention PreVentlon'
41911
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Table of Content^
Introduction .
Background .
Objective and Scope
Section A
Executive Summary
A.1
A.2
A.3
A.4
A.5
A.6
Public Authorities ,'.'"'
Management of Hazardous installations . . . .
Employees
Industry in General
Section B
Sntton of Accidents Invoking Hazardous Substances
Page
7
7
9
13
13
14
16
17
17
17
19
.19
Framework by Public Authorities . . . 24
B3 Slishment of a Safety Policy by industry ; 2?
B'4 Planning and Construction 27
. Hazard Identification and Assessment ''//.;" 28
Engineering Design 30
Construction 30
Transfer of Technology ... .31
. Acquisitions and Affiliated Operations . . . . . 33
B5 Operations I 33
. Safety Procedures and Arrangements 34
. Organisation and Personnel .;. . 37
Education and Training ' ' 39
Human Factors 41
Maintenance 41
. Repairs and Modifications
Storage of Hazardous Substances: 42
Special Considerations ',*;" 43
B.6 Safety Performance Review and Evaluation ^
Safety Performance Review ' 44
Monitoring by Industry ' ' ' ... 45
. Monitoring by Public Authorities
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Section C
Land-Use Planning
6
Section D
Community Awareness
Section E
Emergency Preparedness and Response
E.1
Page
.47
. .51
. .55
. .55
i-Site Emergency Preparedness Plans ' ' 55
IT.., _ t"Slte Emergency Preparedness Plane 58
E-2 Communications F«cuness Wans
₯? o » * viio », ** oy
E-4 Emergt^ ' " " ' '62
E-5 Incident Reporting and Investigation - '«
General Principle 65
Reporting 55
Investigation . 65
. 66
Section F
Research and Development
c . 69
section G
I* f\f TV»siI*M«*i
* vii j. ccnnoiosv and Intern tt
to inc^£i]io^«^\vkM ^T "^ '^Mment
"^ ^*****<*i-n/jiis in i\on ^ii7/^T\ f*
^-"-rfv^j-' Countries ^
"***"* 71
G.I General Principles
~ H?H5^'--r«-' ': '
*^*'*t InVft.Qtmonto K.. f\t-'^fr^ .
75
0 . 176
Section H
H.1 Aid Agencies . ;
H.2 Multilateral Financial' InstUuiions ' ." .' 79
01
Section I
Acronyms ....
*******
83
Section J
Glossary
85
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Page
Section K
Key Word Index 89
Section L
References , 95
L.I General 95
L.2 Prevention 96
L.3 Land-Use Planning ,, 97
L.4 Community Awareness 97
L.5 Emergency Preparedness and Response 98
L.6 International Investment and Transfer of Technology 99
L.7 Glossary 100
L.8 Contact Points for Publications and Related Information 100
Annex I
Decision of the Council on the Exchange of Information Concerning
Accidents Capable of Causing Transfrontier Damage [C(88)84(Finiil)]
Annex II
i
Decision-Recommendation of the Council Concerning Provision of
Information to the Public and Public Participation in Decision-Making
Processes Related to the Prevention of, and Response to, Accidents
Involving Hazardous Substances [C(88)85(Final)] ;
103
Annex in
Recommendation of the Council on the Application of the
Polluter-Pays Principle to Accident Pollution [C(89)88(Final>]
Annex IV
Environment Chapter in the Revised OECD Guidelines for
Multinational Enterprises
Ill
117
123
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To Assist the Reader:
A Glossary will be found in Section J. Some of the terms defined in the Glossary
may not be well known. In addition, the meaning of some of these terms may not
always be clear in the particular context in which they are used. While an attempt
has been made throughout the Guiding Principles to use words in a manner
consistent with their common meanings, some words are understood differently in
different countries or contexts.
The first time a word found in the Glossary appears in each Section, it has been
underlined. This will help the reader know which terms have been defined for the
purposes of the text.
Some paragraphs are printed in bold. This has been done to highlight what the
ad hoc Group believes are the primary or most general Principles. The bolded
paragraphs are often followed by explanatory or more specific text. However,
holding is not intended to signify any special status.
A Key Word Index in Section K will help the reader locate paragraphs that concern
a particular subject or party. It contains over eighty terms. The cross-references
in this Section refer to related (but not necessarily identical) concepts. In using the
Key Word Index, it should be borne in mind that slightly different terms are
sometimes used in different parts of the Guiding Principles, even when the same
or a closely related topic is addressed.
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Introduction
Background
The Guiding Principles set out in this text
have been prepared by an expert group,
established by the OECD Environment
Committee, whose mandate included the
development of guidance on prevention of,
preparedness for, and response to accidents
involving hazardous substances, including
the special issues associated with
investments and aid programmes related to
hazardous installations in non-OECD
countries.
In order to develop the basis for the
Guiding Principles, the expert group (the
OECD ad hoc Group of Experts on
Accidents Involving Hazardous
Substances, hereinafter referred to as the
"ad hoc Group") held a series of
Workshops during 1989-1991 to address
the range of issues associated with accident
prevention, preparedness and response, and
to consider the roles and responsibilities of
the various parties who are necessarily
involved in such activities, i.e. government
authorities at all levels, management of
hazardous installations, other employees at
the installation, and the potentially affected
public. Each of the Workshops benefited
from the wide range of expertise and
perspectives of about 120 participants,
generally including representatives from all
the interested parties. The Workshops
reached a series of conclusions which have
been adapted for use as. primary input for
the Guiding Principles in this document.
In preparing the Principles, the ad hoc
Group also took into account the various
existing international guidance documents.
A list of selected references is included as
Section L.
To further test the validity and soundness
of these Principles, the ad hoc Group
widely circulated the conclusions of the
Workshops, seeking comments from any
interested party.* The ad hoc Group also
circulated early drafts of this text to other
international organisations, to industry and
labour organisations, and to other
interested parties boith within and outside
the OECD Member countries.
Representatives of these groups
participated throughout the review process.
The work of the ad hoc Group and, in
particular, the development of the Guiding
Principles, have been undertaken in close
co-operation with other international
organisations. A number of these
organisations, including the United Nations
Environment Programme (UNEP), the
International Labour Office (ILO), the
International Maritime Organization, the
World Health Organization, the World
Bank, and the United Nations Centre on
Transnational Corporations, are very active
Copies of ftae reports of these Workshops are available from the OECD. The Workshops were- Workshop
d K ^ lMA Use PIanning' hosted b? *e United Ki^om Se
Netherlands, supported by the Commission of the European Communities (London, February 1990V
Workshop on Emergency Preparedness and Response and on Research in Accident iSention
Preparedness and Response, hosted by the United States and Canada, co-sponsored by the UnS Nations
Environment Programme (Boston, May 1990); and Workshop on FYeventi of AccMente Inv
e Role of the Human Factor ln PIant Operations' hosted "y i
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Introduction
in the area of chemical accident prevention,
preparedness and response and have
prepared guidance materials on related
subjects. Most of these guidance materials
are listed as references (see Section L).
Many of them provide important detailed
technical information which can support
the General Principles set out in this text.**
Special mention should be made of two
documents: the ILO Code of Practice on
Prevention of Major Industrial Accidents,
and the UNEP APELL (Awareness and
Preparedness for Emergencies at the Local
Level) Handbook. These documents were
prepared during approximately the same
period, and aim to provide complementary
guidance.
** It should be noted that there are numerous international guidance materials concerning the safe management
and control of hazardous substances including, for example, UNEP's London Guidelines for the Exchange
of Information on Chemicals in International Trade (Amended 1989), and the Food and Agriculture
Organization's International Code of Conduct on the Distribution and Use of Pesticides (amended 1989),
both of which incorporate prior informed consent procedures for banned and severely restricted chemicals.
While these materials provide important related guidance, only those documents which specifically address
chemical accident prevention, preparedness and response have been included as references in these Guiding
Principles.
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Introduction
Objective and Scope
The objective of these Guiding Principles
is to set out general guidance for the safe
planning, construction, management,
operation and review of safety
performance of hazardous installations
in order to prevent accidents involving
hazardous substances and, recognising
that such accidents may nonetheless
occur, to mitigate adverse effects
through effective land-use planning and
emergency preparedness and response.
These Principles provide advice related
to the role and responsibilities of public
authorities, industry, employees and
their representatives, as well as other
interested parties such as members of
the public potentially affected in the
event of an accident and
non-governmental organisations.
For purposes of this text, the word
"safety" embraces health, safety and
environmental protection, including
protection of property, to the extent that
they relate to prevention of,
preparedness for, and response to
accidents involving hazardous
substances.
As a general matter, employee and public
protection, environmental protection and
other aspects of industrial safety are
closely related and it is beneficial for an
enterprise to integrate and co-ordinate
various aspects of these areas as much as
possible. While this text addresses only
those aspects concerning accidents
involving hazardous substances, it is
recognised that actions taken in conformity
with the Guiding Principles will serve to
improve overall environmental health and
safety performance.
These Guiding Principles apply to all
hazardous installations, i.e. fixed
plants/sites that produce, process, use,
handle, store or dispose of hazardous
substances such that there is a risk of a
major accident involving the hazardous
substance(s). Thus, the Principles apply
not only to installations at which chemicals
are produced or processed, but also to other
industrial and commercial operations at
which hazardous substances are handled or
stored with a potential for fire, explosion,
spills or other accidents involving
hazardous substances. Accidents involving
the release of radioactive materials have
not been addressed, recognising that this
subject is already addressed in other
international guidance materials. Transport
of hazardous substances external to a
hazardous installation by means of
pipelines, road, rail, sea or air have not
been specifically addressed although many
of the Principles apply to such transport.
These Principles would, however, apply to
transfer facilities at which hazardous
substances are loaded and/or unloaded.
These Guiding Principles are based on
the premise that all hazardous
installations should be expected to
comply with the same overall safety
objectives - that is, ithe same expectation
of safety - irrespective of size, location or
whether the installation is publicly or
privately owned.
These Guiding Principles have been
developed with the recognition that there
must be flexibility in their application due
to significant differences which exist
among countries with respect to, for
example, legal and regulatory
infrastructures, culture, and resource
availability. In addition, there may be
differences in approach in applying the
Principles to new ancf to existing
installations. Furthermore, these Guiding
Principles apply to a wide range of
industries and types and sizes of
installations.
Thus, while these factors do not diminish
the applicability of the Guiding Principles,
they may affect the approach taken to
implement them. Therefore, consideration
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Introduction
will need to be given to how to implement
these Principles in a specific situation.
Throughout the development of the text,
the ad hoc Group has worked to ensure that
these Guiding Principles are applicable
worldwide, not only in OECD countries,
and that the text is consistent with the
concept of sustainable development.
Member countries have agreed to distribute
the Principles as widely as possible,
working with UN bodies to reach
interested parties in non-OECD countries.
These Principles are meant to be
comprehensive with respect to accident
prevention, emergency preparedness and
emergency response. To that end, the text
is organised as follows:
Following an Executive Summary in
Section A, prevention is addressed
beginning with the role of public
authorities in developing safety
objectives and a control framework,
and the role of industry in establishing
safety policies and practices
(subsections B.2 and B.3,
respectively).
Principles then follow which are
related to planning, construction and
operation of hazardous installations,
as well as to safety performance
review and evaluation as they relate to
prevention of accidents (subsections
B.4-B.6).
In the next Section, actions are
considered which should be
undertaken in order to minimise the
adverse effects of residual risks
through land-use planning (Section C).
That Section is followed by one on
community awareness (Section D).
The next Section covers the range of
issues involved in emergency
preparedness and response (Section E).
There is also a Section on research
and development related to accident
prevention, preparedness and;
response (Section F). ;
Although the Guiding Principles apply to
hazardous installations irrespective of
location, the OECD Ministers and 'other
high level officials who met at the OECD
Conference on Accidents Involving
Hazardous Substances in February 1988
concluded it would be valuable to consider
issues which should be emphasized in
relation to installations in non-OECD
countries. Therefore, separate Sections
have been included to address the special
concerns involved with: ',
transfer of technology and
international investments related to
installations in non-OECD countries
(Section G); and
bilateral and multilateral assistance
programmes (Section H).
There is a list of acronyms in Section I.
This is followed by a Glossary in Section J.
While attempts were made to use terms in
a way consistent with their common
meanings, this was not always possible,
particularly for terms which are understood
differently in different contexts or
countries.
Section K is a Key Word Index. :
Section L includes a list of references;
This is not meant to be an
all-encompassing list; rather these
publications were chosen because they
were considered by the ad hoc Group to be
of particular relevance and they are
generally available to the public. Section L
also includes a list of contact points in
OECD countries and in international
organisations where it may be possible to
obtain information on publications and on
programmes related to chemical accident
prevention, preparation and response.
10
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Introduction
Finally, the texts of the three OECD
Council Acts referred to in the Guiding
Principles, and the Environment Chapter in
the Revised OECD Guidelines for
Multinational Enterprises, will be found in
Annexes I through IV.
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Section A
Executive Summary
The OECD Guiding Principles for Chemical Accident Prevention, Preparedness and
Response deal with the roles and responsibilities of all interested parties including public
authorities at all levels, management, and other employees ofenterpnses operating
hazardous installations.
The Guiding Principles address the various issues which may affect safety at a hazardous
installation. These include prevention-related issues such as those concerning the
establishment of a corporate Safety Policy, the planning, design, siting, construction and
operation of the installation, and the review of safety performance as well as the
establishment of safety objectives and a control framework by public authorities. In
addition, the Guiding Principles address the issues of emergency planning and response in
order to mitigate the adverse consequences of any accident that might occur. Other issues
covered are land-use planning, community awareness, research and development, and aid
and investments related to installations in non-OECD countries.
While the main text is laid out issue-by-issue, this Executive Summary provides an overview
of the roles and responsibilities of each of the parties under three mam headings: Public
Authorities; Management of Hazardous Installations; and Employees. In addition, the
Summary includes certain items which are critical to effective accident prevention
preparedness and response but which do not jit neatly under one of the first three headings.
These have been included under the headings: Industry in General; Other General
Principles; and Investments, Technology Transfer, and Aid Programmes Related to
Installations in Non-OECD Countries.
A.1 Public Authorities
(a) Public authorities* should motivate all
sectors of society to recognise the need
for accident prevention, preparedness
and response and to take the measures
which are required of each of them.
(b) Public authorities should establish
safety objectives and ensure that these
objectives are being met. To do this,
they should, among other things,
establish a clear and coherent control
framework. The control framework
should set out binding requirements,
define which installations are covered,
establish notification and information
requirements, and provide for
enforcement actions for non-
compliance with the requirements.
Public authorities should also provide
guidance to industry and others to help
them understand how to fulfill these
requirements. A co-ordinating
mechanism should be established
where more than one competent
authority exists.
(c) Public authorities should establish
appropriate arrangements for
monitoring the safety of hazardous
installations by means of both a
planned sequence of inspections and
visits in response to accidents,
complaints, and other indicators that
The first time a word defined in the Glossary (Section J) is used in each Section of the Guiding Principles, it is
underlined.
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Executive Summary
management control may be
inadequate.
(d) Public authorities should require the
investigation and reporting by
management of accidents. Public
authorities should also investigate
significant accidents. Public
authorities should publish accident
information as widely as possible,
including any conclusions arising from
the analysis or investigation of
accident data.
(e) Public authorities should establish
appropriate procedures, including
planning, siting, licensing and other
means for giving permission for a
hazardous installation to operate in a
given location under certain
conditions, and for limiting
inappropriate developments in the
vicinity of hazardous installations.
(f) Public authorities should ensure that the
potentially affected public have the
appropriate information concerning
hazardous installations and concerning
what to do in the event of an accident
with off-site effects. Communication
with the public should be the joint
responsibility of public authorities and
industry.
(g) Public authorities, at all levels, should
establish emergency preparedness
programmes concerning accidents
involving hazardous substances.
Transport accidents involving
hazardous substances should be
integrated in these programmes.
(h) Public authorities should ensure the
development, implementation, testing
and updating of adequate on-site and
off-site emeigeney_plans in
conjunction with management of
hazardous installations and, as
appropriate, with the participation of
employees and of neighbouring
communities. They should ensure that
adequate manpower, equipment and
financial and other resources necessary
to carry out emergency plans are
readily available for immediate
activation in the event, or imminent
threat of, an accident. Emergency
response personnel should be educated
and trained, on a continuing basis, to
ensure that a state of readiness is
maintained.
(i) Public authorities should ensure that
accident warning systems are available
to warn the potentially affected public
when an accident has occurred.
(j) Public authorities should facilitate and
promote the sharing of information and
experience related to accident
prevention, preparedness and response
among countries and with industry.
(k) Public authorities should actively
promote and support research and
development related to accident
prevention, preparedness and response.
(1) Public authorities should be provided
with adequate staff and resources, and
the staff should be appropriately
educated and trained, in order to carry
out their roles and responsibilities.
A.2 Management of Hazardous
Installations
(a) Management of hazardous installations
has the prime responsibility for
designing, constructing and operating a
hazardous installation in a safe manner
and for developing the means to do so.
Therefore, safety - which incorporates
protection of health and the
environment - should be an integral
part of the business activities of an
enterprise. This includes the
development of a corporate safety
culture, as well as appropriate
corporate safety policies and
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Executive Summary
procedures, and ensuring their
application by employees at all levels.
(b) All enterprises operating hazardous
installations should aim to reach the
ultimate goal of "zero incidents", and
resources should be targeted to this
goal.
(c) The day-to-day management of safety
should be the responsibility of local
line management at each installation in
an enterprise.
(d) Producers of hazardous substances have
a responsibility to promote the safe
management of any hazardous
substance they produce throughout the
total life cycle of the substance,
consistent with the principle of
"product stewardship".
(e) When planning, designing and
modifying hazardous installations and
processes, management should ensure
that hazards are identified and ranked
and that the most suitable means of
reducing or eliminating the hazards are
instituted. Similar analyses should be
undertaken for proposed acquisitions
and for existing installations that were
not subject to a critical safety
examination.
(f) Management should ensure that every
hazardous installation has written
operating procedures necessary for its
safe operation.
(g) Management should ensure that the
staffing of a hazardous installation is
done in a manner which allows for the
safe operation of the installation at all
times. Management should take all
reasonable measures to ensure that
everyone employed at a hazardous
installation, including temporary
employees and contractors, receives
appropriate education and training and
is competent to perform their duties in
the operation of the installation under
both normal and abnormal conditions.
(h) Safety measures should be incorporated
in the engineering design of a
hazardous installation to enhance the
intrinsic safety of the installation
wherever practicable. This should take
into account the fact that safety may be
enhanced by: avoiding or minimising,
to the extent reasonably practicable.
the use of hazardous substances;
substituting less hazardous substances
for hazardous substances; reducing
inventories of hazardous substances;
simplifying processes; reducing
process temperatures and pressures;
and separating people from hazardous
substances to the extent possible.
(i) Management should pay particular
attention to quality assurance during
construction of a. hazardous installation.
(j) Management should not engage
contractors to perform jobs if this
would compromise safety.
Management should do business with
only those contractors who are able to
satisfy the management that the
services will be carried out in
compliance with all applicable laws
and regulations as v/ell as the relevant
safety policies of the enterprise.
Management should monitor and
control safety compliance by
contractors.
(k) Management should ensure that
effective two-way channels for the
transfer of safety information between
management and other employees are
established at hazardous installations.
The regular channels of
communication should be reinforced
by the establishment of a Safety
Committee structure to provide a
formal mechanism for consultation on
safety matters.
(1) Management should ensure that
arrangements exist for the safety
assurance of hazardous installations,
including provision for the regular
15
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Executive Summary
maintenance, inspection and testing of
equipment so that the equipment is fit
at all times for the purpose for which it
was designed.
(m) Management should establish formal
procedures to ensure that no repair
work or modifications to plant,
equipment, processes, facilities or
procedures compromise safety.
(n) Management should satisfy itself as to
the suitability of storage facilities for
its hazardous substances, as well as the
competence of the warehousekeeper to
undertake the storage required.
(o) Management should establish
arrangements for the regular and
comprehensive monitoring of safety of
all its hazardous installations including
those of subsidiary and, to the extent
possible, affiliate enterprises.
(p) Management should, in co-operation
with appropriate public authorities,
provide relevant information to the
public concerning the hazardous
installation and actions to be taken in
the event of an accident.
(q) Management should be responsible for
the development, implementation,
testing and updating of on-site
emergency plans, and for ensuring that
appropriate manpower, equipment,
financial and other resources are
available for immediate activation of
the plans, as necessary. Management
should provide to those responsible for
off-site emergency plans the
information they have which is
necessary to assess hazards and to
develop the off-site plans. There
should be close co-operation between
those responsible for off-site and
on-site emergency planning, and all
related on-site and off-site plans
should be consistent and integrated.
(r) To form a basis for both off-site and
on-site emergency planning,
management should identify and assess
the types of accidents which could
arise at the installation and their likely
consequences.
(s) Management should ensure that
employees, contractors and visitors are
made aware of the relevant provisions
of the on-site emergency plans, and of
what they should do in the event of an
accident.
(t) Management should ensure that systems
are in place for the rapid detection of
an accident or imminent threat of an
accident, and for the immediate
notification of emergency response
personnel.
(u) Management should investigate all
significant incidents in order to
identify causes and to undertake
remedial actions to correct any
deficiencies in technology or
procedures.
A.3 Employees
(a) All employees should carry out their
jobs in a safe manner and contribute
actively to the development of safety
policies and practices.
(b) Each employee should be responsible
for following established procedures,
and for taking reasonable care for his
or her personal safety and for the
safety of others who may be affected
by the employee's acts or omissions at
work. :
(c) An employee should have the right to
refuse to do any task which he/she
believes may create an unwarranted
risk of an accident involving hazardous
substances. The employee should
immediately report to management the
reason for refusing to perform these
tasks, or any situation which could
develop into such an accident.
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Prevention of Accidents Involving Hazardous Substances
(vi) Employees, and thek representatives
where they exist, should participate
in decision-making concerning the
organisation of their activities and
the staffing needs of the installation,
to the extent that these may affect
safety.
B.5.12 Plans for personnel development
and rotation of jobs should always be
consistent with maintaining operational
safety requirements.
B.5.13 Consideration should be given as
to whether certain tasks, because of their
relationship to prevention of accidents,
should be subject to specific management
controls; for example, a requirement for a
specific authorisation or license for
activities such as pressurising tanks and
welding.
B.5.14 Sufficient professional safety
personnel should be available within an
enterprise. Their role should be to
remain impartial and independent of line
management, to provide expert advice
and, as such, to function as the
enterprise's safety conscience.
(i) In this regard, safety personnel should:
have the necessary authority to carry
out their responsibilities, and should
be seen to have management support;
interact with, and be respected by,
employees at all levels in the
enterprise;
be technically competent, either
through specialised training or
adequate experience, or preferably
both; and
possess good interpersonal and
communication skills.
(ii) The number of safety professionals
should be appropriate to the size,
technology and complexity of the
enterprise.
(iii) Management should consider rotating
employees between line
management and the safety function
in order to increase understanding of
safety-related problems, generate
better solutions to safety-related
problems, and strengthen the "safety
culture" within the enterprise.
B.5.15 Each employee should be
responsible for following the procedures
laid down by management, and for taking
reasonable care for his or her personal
safety and for the safety of others who
may be affected by the employee's acts
or omissions at work.
Each employee should support the
ability of others to carry out their jobs
in a safe manner, and co-operate
actively with management in the
application of safety procedures and
arrangements.
B.5.16 Safety performance should be
considered an essential component of
every employee's, overall performance
and should be reviewed periodically.
The role with respect to safety of each
employee, including managers at all
levels, should be clearly defined so
that safety performance can be
appropriately monitored and reviewed.
B.5.17 Management and public
authorities should encourage, and
facilitate the ability of, employees to
fulfill their role and responsibility.
Employees may require the support of
unions, confederations and thek
international organisations to assist them.
Employee-management co-operation is a
prerequisite to assuring safe operations at
hazardous installations.
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Prevention of Accidents Involving Hazardous Substances
B.5.18 Effective two-way
communication channels for the
transfer of safety information between
management and other employees
should be established at hazardous
installations. This will help create and
maintain a high level of motivation for all
employees to operate the installation
safely.
B.5.19 The regular communication
channels should be reinforced by the
establishment of Safety Committee(s)
to provide a formal mechanism for
consultation among employees on
safety matters. The Safety Committees
should support - but not be a substitute
for - direct communication among
management and other employees, or for
individual and line management
responsibilities for safety. The use of
such Committees enables the maximum
benefit to be obtained from employees'
practical experience and knowledge, as
well as furthering mutual trust and
confidence through the actions taken to
improve safety.
(i) Safety Committees should operate at
different levels in an enterprise and
consist of:
employees at various levels
(including Safety Representatives
where they exist);
managers with the authority to
implement the Committee's
recommendations;
safety specialists; and
contractors, where appropriate.
(ii) Safety Committee members should
receive safety training and specialist
advice as necessary.
(iii) Resources should be available for the
Safety Committee to undertake its
activities.
(iv) Management should act upon the
recommendations of the Safety
Committee, recognising that the
ultimate responsibility for safety
remains with management.
(v) Safety Committee members should not
lose any earnings for time spent in
activities related to the Safety
Committee.
B.5.20 In addition to Safety Committees
at individual hazardous installations, the
establishment of parallel mechanisms at a
corporate, sectoral, national or
international level may be considered as a
useful means of helping to disseminate
safety information and providing input to
the relevant decision-making processes
concerning safety.
B.5.21 Consideration should be given to
the establishment of Safety
Representatives at the plant level. Safety
Representatives, nominated by
employees, represent those employees in
consultations with management on
matters relating to safety. Safety
Representatives should be given specific
training related to their role.
B.5.22 No measures prejudicial to an
employee should be taken if, in good
faith, the employee complains to other
employees with responsibilities for
safety of what he/she considers to be a
breach of statutory requirements or an
inadequacy in the measures taken with
respect to safety. Management should
support this approach if the necessary
"open" attitude to safety matters is to be
achieved. :
B.5.23 An employee should have the
right to refuse to perform any tasks which
he/she believes may create an
unwarranted risk of an accident involving
hazardous substances.
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Section B
Prevention of Accidents Involving Hazardous Substances
The General Principles in B.I summarise the roles and responsibilities of public authorities,
management and other employees with respect to prevention of accidents involving
hazardous substances. Each of these Principles is elaborated in subsections B.2-B.6.
monitoring of such installations; and
B.I General Principles
B.I.I The primary objective of
safety-related programmes at
hazardous installations is the
prevention of accidents resulting in
harm to human health, the
environment or property (recognising
that accidents involving hazardous
substances may, nonetheless, occur).
B.1.2 The prevention of accidents
involving hazardous substances is the
concern of all interested parties
ipH.iHing public authorities at all
levels, industry, employees and their
representatives, and the community.
For accident prevention activities to be
effective, co-operative efforts should be
undertaken among all these parties. This
co-operation should be based on a policy
of openness, which will help increase
public confidence that appropriate
measures are being taken to limit the risk
that accidents involving hazardous
substances will have off-site effects.
B.1.3 With respect to prevention of
accidents involving hazardous
substances, public authorities should
set general safety objectives, establish a
clear and coherent control framework
and ensure, through appropriate
enforcement measures, that all relevant
requirements are being met.
(i) In this regard, public authorities should
establish systems for:
the identification and notification of
hazardous installations;
ensuring that there is adequate
reporting and investigation of
accidents.
(ii) Public authorities should be proactive
in developing; new approaches for
accident prevention, in addition to
their more traditional reactive role
responding to specific public
concerns.
B.1.4 Public authorities should take a
leadership role in motivating all sectors
of society to recognise the need for
accident prevention,, in identifying the
tools needed, and in developing a
national culture which promotes
accident prevention. Public authorities
should co-operate with and stimulate
industry (management and other
employees) to carry out industry's
responsibility to ensure the safe operation
of hazardous installations and to achieve
the confidence of the public that these
installations are being operated safely.
B.1.5 Management of hazardous
installations have the prime
responsibility for operating their
installations safely and for developing
the means to do so. Safety should be
an integral part of the business
activities of an enterprise, and all
hazardous installations should aim to
reach the ultimate goal of "zero
incidents".
(i) Management should establish a
corporate safety culture, reflected in
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Prevention of Accidents Involving Hazardous Substances
a corporate Safety Policy, and should
take appropriate actions to ensure
that all employees are aware of their
roles and responsibilities with
respect to safety.
(ii) For effective accident prevention,
safety considerations should be
incorporated into, among other
things:
planning and construction of
installations;
operating policies and procedures,
including organisation and personnel
arrangements;
monitoring and assessment of safety;
and
operation shutdown.
(iii) This responsibility of management
applies to all installations which use,
handle, store or dispose of hazardous
substances, including those
installations not considered part of
the chemical
B.1.6 Management should take special
care to ensure that safety is maintained
during periods of stress at a hazardous
installation, such as when there is an
economic slowdown affecting the
industry or when there are staffing
problems.
B.1.7 Management should co-operate
with public authorities to assist the
authorities in meeting their
responsibilities.
B.1.8 Producers of hazardous
substances have a responsibility to
promote the safe management of such
substances throughout their total life
cycle, consistent with the principle of
"product stewardship"
B.1.9 All employees share responsibility
for, and have a role to play in, the
prevention of accidents by carrying out
their jobs with an active regard for safety,
by supporting the ability of others to do
so, and by contributing to the
development and implementation of
safety policies and practices.
B.2 Establishment of Safety
Objectives and a Control
Framework by Public
Authorities
This subsection focuses on the role of
public authorities only as it relates to the
establishment of safety objectives and a
control framework. Their role as it relates
to other aspects of accident prevention, as
well as to emergency preparedness and
response, land-use planning, and provision
of information to the public, is addressed
elsewhere.
B.2.1 Public authorities should ensure
that appropriate safety objectives are
established as part of a long-term strategy.
B.2.2 Public authorities should develop
a clear and coherent control
framework covering all aspects of
accident prevention.
(i) The control framework should consist
of binding requirements (set out in,
for example, laws and regulations) as
well as standards, codes and
guidance (such as codes of practice,
quality assurance guides, etc.).
These materials should be designed
to enable each interested party to
determine whether the appropriate
safety objectives are being met.
(ii) The control framework should also
include provisions for monitoring
the safety of hazardous installations
during all phases of their life cycle,
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Executive Summary
(d) No measures prejudicial to an employee
should be taken if, in good faith, the
employee complains to other
employees with responsibilities for
safety of what he/she considers an
inadequacy in the measures taken with
respect to safety.
A.4 Industry in General
(a) Larger enterprises and trade associations
should, as appropriate, offer assistance
to small and medium-sized enterprises
in meeting safety objectives.
(b) Process or other safety-related
technology should not be transferred
unless the supplier is satisfied that the
technology receiver can apply the
technology in a safe manner.
(c) Industry, including manufacturers and
processors of hazardous substances
and equipment designers, have the
primary responsibility for carrying out
safety-related research.
A.5 Other General Principles
(a) The Polluter-Pays Principle, with
respect to accidents involving
hazardous substances, should be
applied in accordance with the OECD
Council Recommendation
[C(89)88(Final)], attached as Annex
HI.
(b) The media should be provided with
appropriate information concerning
hazardous installations and should be
involved in the emergency planning
process in order that they can provide
an effective means of communication
in the event of an accident. In this
function, they should be given access
to officials during an emergency so
that they can provide essential and
accurate information to the public.
A.6 Investments, Technology
Transfer, and Aid
Programmes Related to
Installations in
Non-OECD Countries
(a) Industry and public authorities should
support the principle that hazardous
installations in non-OECD countries
should be sited, designed, operated,
managed, maintained and monitored so
as to meet a level of safety at least
equivalent to installations in OECD
countries. ;
(b) The degree of ssifety of installations
which result from an investment by an
OF.r.D-hased enterprise, or which
incorporate process or other
safety-related technology transferred
from an OECD country, should be the
highest level of safety reasonably
practicable according to the current
state of knowledge.
(c) Transfer nf technology from an OECD
country to a non-OECD country, or
investment by an OECD-based
enterprise in a new hazardous
installation in a non-OECD country,
should only take place once there is
reasonable assurance that safe
operating conditions can be achieved
taking into account local factors.
(d) Transfer of technology related to
hazardous installations should only
take place if accompanied by
appropriate safety technology and
information.
(e) The prevention of accidents should be
one of the fundamental business
considerations taken into account by
OECD-based enterprises, as well as by
international service organisations and
financial institutions, in any
investment related to a hazardous
installation in a non-OECD country.
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Executive Summary
(f) Bilateral and multilateral aid agencies
should help reduce the likelihood of
accidents involving hazardous
substances in aid-recipient countries by
providing technical assistance,
education and training to build
institutional infrastructures.
(g) Aid agencies should screen relevant aid
proposals to minimise the possibility
that aid projects will help create,
sustain or increase an unreasonable
risk of an accident involving hazardous
substances, and should include in any
aid projects involving hazardous
substances adequate monitoring and
follow-up to ensure that essential
safety requirements are being met.
(h) Multilateral financial institutions should
develop policies and procedures for
minimising the risks of accidents at
hazardous installations they help to
finance.
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Prevention of Accidents Involving Hazardous Substances
(ii) In this regard, public authorities should
take into account the specific
situations of small and medium-sized
enterprises.
B.2.9 The requirements and guidance
established by public authorities should
stimulate innovation and promote the use
of improved safety technology and safety
practices. The control requirements
should be considered minimums;
industry should be encouraged to achieve
a higher level of safety than would be
achieved by adherence to established
standards and guidance alone.
B.2.10 The requirements and guidance
should be reviewed periodically and,
where necessary, amended within a
reasonable time to take into account
technical progress, additional knowledge
and international developments.
Any amendments to the control
framework requiring changes in
technology or management practice
should allow reasonable time for
implementation and compliance by
industry.
B.2.11 The control framework should
include provisions! for the enforcement
of requirements, and adequate
resources should be available to the
public authorities for monitoring and
enforcement activities.
Enforcement mechanisms should
include suitable sanctions, with
penalties applicable in the event of
non-compliance with any of the
requirements.
B.2.12 Public authorities should
establish procedures for the
notification and reporting to them of
certain specified categories of
hazardous installations.
B.2.13 Public authorities should also
establish a system for the submission of
detailed information for certain
categories of hazardous installations.
Under such a system, management of the
relevant installations would be required
to submit a report describing the major
hazards at the installations, and
demonstrating that appropriate steps are
being taken to prevent accidents and to
limit the.ir consequences. (Such reports
are known in some countries as "safety
(i) The public authorities may establish
different information requirements
for different categories of
installations, becoming more
stringent for those installations
regarded as presenting the greatest
potential risk.
(ii) Any such reports should be reviewed
regularly and updated as appropriate.
(iii) Public authorities should evaluate the
reports received by, for example,
examining their completeness,
appraising the safety of the subject
installation and, as appropriate,
carrying out on-site inspections to
verify information in the report.
(iv) The information in these reports may
be made available to the public, with
the exception of legitimate trade
secrets.
(v) As an alternative to this reporting
system, the public authorities should
consider implementing a system
whereby detailed technical codes are
established as binding requirements.
Such codes may include
requirements for the engineering
design, the construction and the
operation of hazardous installations.
Where applicable, public authorities
should monitor compliance with the
codes.
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Prevention of Accidents Involving Hazardous Substances
and for the enforcement of
requirements.
B.2.3 Public authorities should have
available appropriate staff to carry out
their role and responsibilities in the
prevention of accidents, and should
ensure that the staff is adequately
educated and trained.
(i) If the expertise necessary for public
authorities to carry out their role and
responsibilities is not available on
staff, arrangements should be made
for that expertise to be provided as
needed, for example by external
consultants or industry.
(ii) The contracts of external
experts/consultants employed by
public authorities should stipulate
that they are not to disclose any
non-public information obtained
except to the public authority which
has contracted their services.
B.2.4 A co-ordinating mechanism
should be established where more than
one competent public authority exist,
in order to minimise overlapping and
conflicting requirements from various
public authorities.
B.2.5 In establishing safety objectives,
as well as the control framework,
public authorities should consult with
representatives of the other
stakeholders including:
relevant public authorities
including, as appropriate,
representatives from neighbouring
communities or countries;
industry (management and other
employees);
professional and trade associations;
independent experts;
trade unions;
interest groups; and
the public.
(i) Public authorities should consider the
establishment of a consultative
committee relating to accident
prevention, preparedness and
response consisting of, among
others, representatives of the
stakeholders listed above.
(ii) Special efforts should be made to
provide appropriate opportunities for
input by the public into
decision-making by public
authorities.
B.2.6 Public authorities should
establish the criteria for identifying
those hazardous installations
considered to have the potential to
cause major accidents. These criteria
may, for example, be based upon the
specific substances and/or categories of
substances present in the installation and
their potential to cause serious harm to
human health or the environment.
B.2.7 The requirements established by
public authorities should be applied
fairly and uniformly to ensure that
enterprises of all sizes and types,
whether national or foreign, are
required to meet the same overall
safety objectives.
B.2.8 The control framework should
allow flexibility in the methods used to
meet the safety objectives and
requirements.
(i) As appropriate, industry should be
allowed to establish the methods for
meeting the requirements which are
best suited to its own particular
circumstances.
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Prevention of Accidents Involving Hazardous Substances
B.2.14 Public authorities should consider
which installations, or modifications to
installations, are so potentially hazardous
that the installations should not be
allowed to operate without the prior and
continuing approval of an identified
public authority. In these cases, a form
of licensing control could be utilised
which would require management to
submit full details of all relevant aspects
of its projected activity to the authority in
advance of siting and startup, and
periodically thereafter. There should be
an opportunity for public input into these
licensing decisions.
B.2.15 Public authorities should
establish a requirement for the
reporting of certain incidents by the
management of hazardous installations
(see paragraph E.5.4).
(i) Relevant information in these reports
should be made widely available as
an aid to the prevention of similar
accidents at other hazardous
installations.
(ii) Authorities should also establish a
system for maintaining accident
statistics, for carrying out analyses of
collected information, and for
disseminating relevant information
derived from the analyses.
B.2.16 In order to assist industry in
improving safety at hazardous
installations, public authorities should
consider whether to undertake such
additional activities as:
provision of technical assistance,
considering any specific needs of the
smaller enterprises;
promotion of training programmes;
encouragement of research; and
fostering of public awareness.
These activities should be conducted in
such a way as to avoid influencing the
impartial judgment of the public
authorities in their primary role of
establishing and enforcing safety
objectives and requirements.
B.2.17 Public authorities in
neighbouring countries should
exchange information and establish a
dialogue concerning installations
which, in the event of an accident, have
the potential of causing transfrontier
damage. Public authorities should
ensure that systems are in place to
provide warnings and information to
neighbouring countries should an
accident occur which can cause harm or
damage in these countries (see OECD
Council Decision C(88)84(Final), set out
in Annex I).
B.2.18 National and, where
appropriate, regional public
authorities should co-operate
internationally to improve prevention
of accidents involving hazardous
substances as well as to improve
emergency preparedness and response.
This can be done through bilateral
contacts as well as through international
organisations at different levels.
To avoid duplication of effort among
international organisations, national
authorities should undertake to
encourage co-ordination and ensure
that different organisations do not
adopt conflicting approaches.
B.2.19 Co-operation should be promoted
in the preparation of guidance documents
across countries, industry groups and
international organisations.
B.2.20 A worldwide network should be
established to promote the sharing among
enterprises and countries of information
related to the prevention of, preparedness
for, and response to accidents involving
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Prevention of Accidents Involving Hazardous Substances
hazardous substances. This is
particularly important as a means of
providing access to information for those
with less capability with respect to the
safe handling of chemicals.
B.2.21 Trade associations, local
chambers of commerce and other
organisations can be a useful means of
disseminating chemical accident
prevention information to smaller
enterprises which might be unaware of
the existence of such information.
B.3 Establishment of a Safety
Policy by Industry
This subsection focuses on the general
policies and practices to be established by
industry with respect to safety of
hazardous installations. It is followed by
Guiding Principles related to the planning,
construction and operation of installations
(subsections B.4 and B.5). These latter
subsections apply largely to the roles and
responsibility of management of the
installations, but they also address other
employees, public authorities and other
relevant parties.
B.3.1 Management of a hazardous
installation has the primary
responsibility for preventing accidents
involving hazardous substances, and
for developing the means to do so.
B.3.2 Effective overall management of
hazardous installations necessarily
includes effective management of safety:
there is a clear correlation between safely
run installations and well-managed
operations. Therefore, safety should be
an integral part of the business activities
of the enterprise, and adequate resources
should be made available for taking the
necessary measures to prevent accidents
and to pay for the consequences of any
accidents which do occur (see OECD
Council Recommendation
C(89)88(Final), set out in Annex IE).
B.3.3 All installations in an enterprise
should aim to reach the ultimate goal
of "zero incidents", and resources must
be targeted towards this goal. This goal
provides the incentive to achieve the best
possible performance and ensures
continuous efforts towards greater safety.
Progress towards this goal can be
furthered by:
establishing safety-related objectives;
disclosing these objectives;
measuring progress towards
achievement of these objectives.
If an incident does occur, efforts should
be made to learn from it to decrease the
likelihood of an accident occurring in the
future.
B.3.4 Management should not become
complacent if there have not been any
accidents at an installation over a period
of time; continuous efforts are needed to
maintain safety.
B.3.5 Each enterprise should establish
a corporate safety culture.
(i) This starts with the visible commitment
of the Board members and senior
executives of the enterprise, who
should set an example and :
demonstrate leadership by being
actively involved in safety issues. In
addition to this "top-down"
commitment to safety as a priority,
there should be a "bottom-up"
commitment through the active
application of safety policies by all
employees.
(ii) Essential elements of the safety
culture are the belief that all
accidents are preventable, and the
establishment of policies which set
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Prevention of Accidents Involving Hazardous Substances
(i) Each site withini an enterprise should
develop its own safety programme
which conforms; to the enterprise's
Safety Policy and which addresses,
in greater detail, safety concerns and
requirements specific to that site.
This programme should be
developed with the active
participation of employees at all
levels and be subject to regular
review.
(ii) Senior management should provide the
necessary support to line
management for safety-related
decisions and actions.
(iii) Line management should respond to,
or relate to superiors, the proposals
and suggestions, of other employees
related to safety matters.
B.3.9 All employees; have a continuing
role and responsibility in the
prevention of accidents by carrying out
their jobs in a safe manner, and by
contributing actively to the
development and implementation of
safety policies and {practices.
Employees at all levels, including
managers, should be motivated and
educated to recogniise safety as a top
priority and its continuing
improvement as; a main corporate aim.
B.3.10 Producers oiF hazardous
substances have a responsibility to
promote the safe management of
substances they produce throughout
the total life cycle of the substances,
from their design through production
and use to their fin;al disposal or
elimination, consistent with the
principle of "product stewardship".
Such producers should make special
efforts to help prevent accidents during
the handling and use of a hazardous
substance by downstream users.
(i) Producers of hazardous substances
have a responsibility, legally and/or
morally, for their products and,
therefore, producers should create a
full awareness of any potential
hazards which can arise in the use,
handling, storage or disposal of their
products and should provide
assistance and/or guidance, as
necessary.
(ii) In this regard, producers should
provide technology, information and
assistance to their contractors.
distributors, transporters, customers
and users so they can follow
appropriate prevention practices.
B.3.11 Enterprises selling hazardous
substances should actively try to
determine whether their customers have
adequate facilities and know-how to
handle the substances (including, as
appropriate, processing, use and disposal
of the substances). If such determination
cannot be achieved, judgment has to be
exercised to decide whether to accept
such customers. If customers are found
to be incapable of safely handling the
hazardous substances, the seller of the
substances should assist the customer in
obtaining this capability or else not
accept such customers.
B.3.12 Smaller enterprises with limited
resources should examine the need for
assistance on safety matters from external
consultants, professional trade
associations and public authorities as
well as from suppliers. Suppliers of
hazardous substances should be
supportive by ensuring that people are
available to provide advice in order to
achieve an appropriate level of safety.
B.3.13 Larger enterprises and/or trade
associations should offer assistance to
small and medium-sized companies in
meeting safety objectives.
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Prevention of Accidents Involving Hazardous Substances
outer limits on acceptable behaviour
relating to safety. This culture
should encourage initiative and
alertness in the interest of safety and
guard against complacency, which
leads to unsafe acts or practices.
(iii) As part of the safety culture, there
should be an obvious commitment to
safety in the enterprise. This
commitment is evidenced by such
practices as:
» good communication on safety
issues among management and other
employees;
positive feedback concerning actions
taken to increase safety;
quick response to remedy identified
faults;
financial and career incentives for
good safety performance;
participation of employees at all
levels in developing and reviewing
safety management procedures;
obvious management interest in
safety performance through personal
involvement in safety matters; and
other actions taken by management
directed to having all employees act
appropriately with regard to safety.
(iv) The corporate safety culture can be
enhanced by an open attitude on the
part of management towards the
public on safety issues.
B.3.6 Each enterprise should have a
clear and meaningful statement of its
Safely Policy agreed, promulgated and
applied at the highest levels in the
enterprise, reflecting the corporate
safety culture and incorporating the
"zero incident" goal as well as the
safety objectives established by public
authorities.
(i) The Safety Policy should set out to
protect the safety and health of all
persons involved in, or who may be
affected by, the production, process,
handling, use, storage, disposal or
elimination of hazardous substances,
as well as to safeguard the
environment and property.
(ii) The Safety Policy should be widely
communicated throughout the
enterprise. Management should
strive to ensure that the intent of the
Safety Policy is understood and
appreciated by all employees
throughout the enterprise.
(iii) Management and other employees
should co-operate to comply with the
enterprise's Safety Policy and meet
its safety goal.
(iv) The Safety Policy should be reviewed
regularly and amended, as
appropriate, in light of experience
gained.
(v) In developing, reviewing and
amending the Safety Policy,
management should consult with
employees at all levels.
B.3.7 The development and
implementation by an enterprise of
policies and practices relating to accident
prevention and preparedness should be
co-ordinated and integrated with its
activities relating to occupational safety,
health and environmental protection as
part of the enterprise's total risk
management programme.
B.3.8 The responsibility for day-to-day
management of safety should be in the
hands of line management at individual
installations.
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Prevention of Accidents Involving Hazardous Substances
B.3.14 Enterprises and trade associations
should take action strongly to encourage
enterprises which act less responsibly to
meet the appropriate safety objectives.
B.4 Planning and Construction
Hazard Identification and
Assessment
B.4.1 When planning, designing and
modifying installations and processes,
management should ensure that
critical examination techniques such as
hazard analysis, hazard and
operability studies (HAZQP) and fault
tree and event tree analysis are utilised,
in order that hazards are identified
and ranked as early as possible at the
various stages of the project (including
the research stage) and the most
suitable means of eliminating or
reducing the hazards are instituted.
These studies should take into account
abnormal external events such as supply
failures, power surges, earthquakes and
extremes of weather as well as process
hazards. Such studies will indicate where
hazards may be reduced through
engineering design (see paragraphs
B.4.5-B.4.13).
B.4.2 The nature and extent of the
consequences which could result from
each significant hazard and their
likelihood should also be assessed, using
techniques such as consequence analysis
to ascertain the potential for harm.
Reducing either the hazard or its
probability of occurrence reduces the risk
and increases the inherent safety of the
design.
* Techniques such as Quantified Risk
Assessment (QRA) can provide
guidance for decision-making on such
safety issues. QRA allows a relative
ranking of risks and provides an aid
for determining appropriate
preventive measures. However, the
numerical results of QRA have little
absolute value and, therefore, QRA
should not be used indiscriminately.
B.4.3 For existing installations which
have not been subject to critical safety
examinations, the appropriate hazard
studies should be carried out in
retrospect.
(i) Such studies will ensure that all hazards
have been properly identified and
assessed, bearing in mind the current
"state-of-the-art". In addition, such
hazard studies will indicate where
safety can be improved by, for
example, substituting hazardous
substances wi1;h less hazardous
substances or less hazardous forms
of the substances; reducing storage
quantities of such substances or
moving them to areas where an
accident would have less severe
consequences; or making process
conditions less extreme.
(ii) Any improvements which would
increase the level of safety found to
be appropriate should be carried out
as soon as practical.
B.4.4 The management of hazardous
installations should collate all
safety-related information on the
process and associated equipment
concerning, for example, design,
operation, maintenance and
foreseeable emergencies.
(i) Such a file or dossier is essential for
training as well as operational
purposes, and for developing safety
reports which may be required by
public authorities.
(ii) This process documentation file or
plant dossier should include
information concerning:
manufacturing procedures;
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Prevention of Accidents Involving Hazardous Substances
process and operating instructions
(including safe startup and
shutdown);
line diagrams of process flow
showing key equipment;
results of safety tests and safety data
on raw materials;
reaction mixtures and products;
data resulting from hazard studies;
and
waste treatment.
(iii) The process documentation file or
plant dossier should be kept
up-to-date.
Engineering Design
B.4.5 Safety measures should be
incorporated at the earliest conceptual
and engineering design stages of an
installation, to enhance the intrinsic
safety of the installation wherever
practicable.
(i) The safety measures should take into
consideration the possibility for
human as well as technical errors, to
make compliance with safety
procedures as easy as possible. For
example, the design of a hazardous
installation should take the human
factor into account and be in
accordance with ergonomic
principles so as to take into account
limitations in human performance.
(ii) The engineering design principles
concerning safety apply not only to
new plant and process design, but
also to modifications to existing
plants and processes as well as to
research activities.
B.4.6 In designing new installations and
significant modifications to existing
installations, industry should use the
relevant, most up-to-date international
standards, codes of practice and guidance
established by public authorities,
enterprises, industry and professional
associations and other bodies in .order to
achieve a high level of safety.
Such standards, codes of practice and
guidance should, however, be
considered to be minimum
requirements. Since improving safety
is a dynamic process which should
reflect advances in knowledge and
technology, these standards, codes
and guidance should be supplemented
by guidance developed from within
the enterprise (embodied in
"in-house" engineering design guides
and specifications) as a result of
operational experience and specialist
knowledge.
B.4.7 Existing installations should be
assessed to determine whether they meet
these standards, codes and guidance.
Appropriate improvements should be
carried out as soon as practical.
B.4.8 The design of a hazardous
installation should integrate the
appropriate equipment, facilities and
engineering procedures that would
reduce the risk from hazards as far as
is reasonably pra^^M? (j>e ^
measures to reduce the risk should be
taken until the additional expense
would be considered far to exceed the
resulting increase in safety).
(i) To the extent that safety in the
engineering design of an installation
can be enhanced, the design of the
installation should, for example:
minimise, to the extent reasonably
practicable, the use of hazardous
substances;
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Prevention of Accidents Involving Hazardous Substances
« substitute hazardous substances with
those that are less hazardous,
provided this decreases the overall
risk of the installation;
reduce inventories of hazardous
substances;
simplify processes;
reduce process temperatures and
pressures;
separate people from hazardous
substances; and
include means to contain hazardous
substances in the event of an
accident.
(ii) Systems designed specifically to
increase process safety dealing with,
for example, pressure relief and fire
and explosion assessment should be
included in the engineering design of
new and existing hazardous
installations, taking into account
possible accident scenarios.
(iii) For equipment critical to safety (such
as pressure vessels or control
instruments), engineering design
should be subject to a recognised
certification or verification
procedure.
(iv) Consideration should be given in the
design of hazardous installations to
the provision of redundant
safety-related utility supplies (such
as electricity for control systems).
B.4.9 Processes should be designed to
contain, control and minimise the
quantity of hazardous intermediate
substances to the extent that this would
increase safety. Where this is not
possible, the quantity of hazardous
intermediates produced should be
reduced to that required for use in the
next stage of production so that quantities
held in storage are kept to a minimum.
B.4.10 Systems should be designed so
that individual component failures will
not create unsafe process conditions (i.e.
they should be "fail safe") and/or will be
capable of accommodating possible
human errors.
B.4.11 Although emphasis should be on
inherent safety in design, consideration
should be given to the need for "add-on"
protective systems, thereby assuring
safety through mitigation measures.
(i) Procedures should be designed to
minimise the chance of failure and,
should there be a failure, to minimise
any adverse effects.
(ii) Systems to contain any leaks, spills or
firefighting waters that might be
released (using, for example,
containment walls or catch basins)
should also be: incorporated in the
design of hazeirdous installations,
bearing in mind the quantity of
hazardous substances which could
be released. If there is a loss of
containment, adverse effects may be
minimised by other mitigation
measures such as fire protection
equipment ami emergency
procedures.
B.4.12 In the design phase, management
should ensure there is adequate
consideration of the site layout as guided
by overall safety goals. Particular regard
should be given to:
the establishment of safe separation
distances to minimise any "domino
effects";
the location of hazardous processes
and substances relative to the location
of critical safety-related equipment
and instruments; and
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Prevention of Accidents Involving Hazardous Substances
the local community and environment
(see Section C).
B.4.13 Relevant personnel who will be
involved in the operation of a hazardous
installation should also be involved in the
planning, design and construction phases
of the installation. Employees, and their
representatives where they exist, should
participate in decisions concerning the
design of their workplace, and should be
given the opportunity to provide input in
the design, application and improvement
of equipment in order to utilise employee
"know-how" and experience.
Construction
B.4.14 The management of a hazardous
installation should pay particular
attention to quality assurance during
the construction phase of a project.
(i) Safety checks and inspections should
be routinely carried out during the
construction phase to ensure that the
integrity of the original design is
maintained, in that plans are being
followed properly, requirements of
the hazard studies are being fully
implemented, and associated
equipment is being correctly
installed; and in that the correct
materials, methods (such as welding
techniques) and tests (such as
pressure/leak tests) are being used by
suitably qualified employees.
(ii) Any modifications to the original
design should be documented, and
these modifications should be
reflected in quality assurance and
safety reviews prior to
commissioning and start-up of the
installation.
B.4.15 Safety checks should also be
carried out at the commissioning and
startup phases of a project to ensure that
the design intent has been completely
fulfilled. Functional tests should be
carried out for all components, controls
and safety devices critical to the safety of
the installation.
B.4.16 An enterprise should purchase
equipment only from reputable suppliers,
and should formally inspect equipment to
ensure that it conforms to design
specifications and safety requirements
before being put into use.
(i) Information concerning reliability of
suppliers should be shared among
enterprises.
(ii) Quality assurance (QA) systems can
provide useful tools to ensure the
conformity of equipment with
standards and other requirements.
B.4.17 In the construction of a hazardous
installation, an enterprise should do
business with only those contractors who
are able to satisfy the enterprise that their
services will be carried out in compliance
with all applicable laws and regulations,
as well as in compliance with relevant
safety standards and policies of the
enterprise, so as not to increase the risk
of an accident involving hazardous
substances. Contractors should work to
the standards set by the management of
the installation and, to the extent
appropriate, under the direct surveillance
of management.
Transfer of Technology *
B.4.18 Whenever an enterprise
transfers process or other safety-related
technology, management of that
enterprise should strive to ensure that
the technology will be applied in a way
which will result in a level of safely
equivalent to that achieved in the
For Principles relating specifically to the transfer of technology to non-OECD countries, see Section G.
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Prevention of Accidents Involving Hazardous Substances
should carry out a hazard evaluation to
determine the nature and level of
hazards at the installation. The
enterprise should also determine the
requirements for operating the
installation in conformity with the
standards of the enterprise.
The responsibility should be on the
"seller" of an existing installation to
disclose all known or suspected safety
problems associated with the
installation involved.
B.4.24 All relevant corporate safety
policies and guidelines; for accident
prevention, preparedness and response
should be applicable to acquisitions.
When an enterprise acquiring an existing
installation concludes, following an
assessment, that the installation does not
meet the standards of the enterprise or
internationally accepted safety levels, the
installation should be brought up to such
safety levels within a reasonable period
of time, In those cases where retrofitting
cannot be accomplished to meet these
levels, the investing enterprise should
inform the public authorities and
employees, and employee representatives
where they exist, in a timely manner of
the situation and their intended plans.
B.4.25 Financial institutions, in
determining the level of funding to be
provided to enterprises for investment in
a hazardous installation, should take into
account the amount of resources needed
to comply with safety requirements as
well as with corporate safety policies and
guidelines.
B.4.26 Where an enterprise has an
investment in, but not operational control
over, another enterprise operating
hazardous installations, the enterprise
making the investment should consider,
where appropriate, entering into
contractual arrangements to assist in the
establishment and maintenance of safety
standards.
B.4.27 An enterprise should regularly
audit the safety performance and
emergency response systems of all
hazardous installations of subsidiaries
and, to the extent possible, affiliates, to
assure itself that the level of safety at
such installations does not unreasonably
endanger employees, neighbouring
communities or the environment, and is
consistent with acceptable safety
standards (see subsection B.6 on Safety
Performance Review and Evaluation).
B.4.28 An enterprise should provide each
of its affiliates and subsidiaries full
access to all safety-related information -
including newly discovered information,
research results, technology, and
management techniques which could
reduce the likelihood of major accidents
or mitigate the consequences should an
accident occur - at the location of the
affiliate or subsidiary.
B.4.29 Enterprises should maintain
records showing which hazardous
substances are produced, used or stored
at affiliates and subsidiaries, by location,
on a world-wide basis in order to be able
to share effectively information
concerning the potential for accidents
involving such hazardous substances.
B.4.30 In the event of a major accident,
an enterprise should immediately inform
the management of relevant affiliates and
subsidiaries of the accident, its probable
causes, and recommendations for
immediate safety checks. The accident
report should also be provided to the
management of these affiliates and
subsidiaries.
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Prevention of Accidents Involving Hazardous Substances
enterprise's own installations using that
technology.
(i) Enterprises transferring process or
other safety-related technology for
hazardous installations have a
responsibility to develop the
technology and associated operating
procedures to enable the installations
to be operated to an acceptable level
of safety, recognising that certain
safety technology may not be
appropriate in all locations and that
practices of management and other
employees can be significantly
affected by local cultural and
administrative conditions.
(ii) All such transfers of technology
should be accompanied by related
safety information.
(iii) The technology supplier should
provide assistance to the technology
receiver for education and training.
B.4.19 Prior to transferring process or
other safety-related technology, an
enterprise should ensure that a hazard
evaluation of the application of that
technology is carried out incorporating
local ecological, social, cultural,
economic and demographic data that
might affect the possibility, or
consequences, of an accident involving
hazardous substances.
(i) The party responsible for carrying out
this evaluation - which may differ
depending upon contractual
arrangements - should have access
to all the necessary information and
should use currently accepted
techniques for the identification of
hazards and evaluation of the risks.
(ii) The responsible party should involve
local officials and community
representatives and should ensure
that local officials are given the
results of the evaluation.
B.4.20 Technology should not be
transferred unless the supplier is satisfied,
having conducted a fact-finding study,
that the technology receiver can apply
and use the technology in a safe manner,
taking into account the legal and
administrative infrastructure necessary
for its safe operation.
B.4.21 There should be a contract
governing the transfer of the technology
which, among other matters, clearly
defines and regulates the division of
responsibilities between the parties
involved related to effective control of
operations, prevention of accidents, and
emergency preparedness and response.
(i) If appropriate, this contract should also
have provisions relating to the
procedure for the handover of a
turnkey plant.
(ii) The sections of the contract relating to
the areas described above should be
available, on request, to competent
public authorities and to employees
and employee representatives, where
they exist
B.4.22 A handover document should be
signed by all parties involved, including
contractors, when a hazardous
installation involving the transfer of
technology has been built to the design
specified and its capability to be operated
safely, in accordance with specified
procedures, has been satisfactorily
demonstrated in an acceptance test run.
Acquisitions and Affiliated
Operations *
B.4.23 Prior to the acquisition of, or
investment in, an existing or planned
hazardous installation, an enterprise
For Principles relating specifically to acquisitions in non-OECD countries, see Section G.
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Prevention of Accidents Involving Hazardous Substances
B.5 Operations
Safety Procedures and
Arrangements
B.5.1 Management should ensure that
each installation in an enterprise has
written operating procedures and
instructions in order to establish the
conditions necessary to satisfy the
design intent of the installation and
maintain its integrity. These should
take into account the relevant standards,
codes and guidance in order to ensure
that equipment, plant and premises
provide a safe place of work under both
normal and abnormal operating
conditions.
B.5.2 Before new products, processes or
equipment are handed over from one
department to another (for example, from
research to production), management
should ensure that there are written,
agreed operating procedures and safety
instructions in order that knowledge and
experience gained in research,
development, pilot plant and production
are passed on. This handover should be
formalised by an appropriately signed
handover/clearance report.
B.5.3 Appropriate procedures should
exist to ensure that effective protection
against accidents involving hazardous
substances exists during abnormal
conditions such as when critical
instruments, alarms and emergency
equipment are not available, and during
periods of stress at the installation (for
example, when there are unusual
production demands or an economic
decline that affects the installation).
B.5.4 Appropriate arrangements should
be introduced at a hazardous installation
for the prevention of fires, and should a
fire occur, for the protection of personnel,
buildings and equipment and for
firefighting. These arrangements should
make provision for the necessary
equipment, procedures, training, testing
and personnel.
B.5.5 Appropriate procedures should
exist for the safe shutdown and
decommissioning of a hazardous
installation to ensure that hazards are
controlled during the shutdown process
and while the installation is out of
operation.
During transition phases of operation
of a hazardous installation which
involve shutdowns and startups - for
example, during maintenance of
equipment - special efforts should be
made to avoid potential causes of risk
such as communication problems and
split responsibility, since such phases
may involve people who are not fully
aware of the details of an
installation's operation, policies and
procedures.
B.5.6 Appropriate arrangements should
be in place for maintaining the security of
a hazardous installation to minimise the
possibility of, for example, sabotage or
vandalism. The management of the
hazardous installation should specify
those areas of the installation to which
access should be restricted or controlled,
and implement measures to maintain
control and prevent unauthorised access.
B.5.7 Management should endeavour to
choose the safest practicable means of
transport and the safest practicable
routing of hazardous substances being
taken from or delivered to an installation
in order to, for example, minimise the
number of people potentially affected in
the event of an accident.
B.5.8 A high standard of housekeeping
and operational efficiency should be
maintained at a hazardous installation
since there is a clear correlation between
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Prevention of Accidents Involving Hazardous Substances
these functions and good safety
performance.
Organisation and Personnel
B.5.9 Management should ensure that
appropriate organisational
arrangements for implementing the
corporate Safety Policy are established.
The line of prime responsibility for the
management of safety in the enterprise,
as well as individual responsibility for
safety, should be clearly defined.
B.S.10 Safety should be a line
management responsibility, with
accountability for the day-to-day
management of safety delegated to
local line management at each
installation in the enterprise.
(i) Management responsible for an
installation should be actively
involved in developing and updating
the local safety arrangements for that
installation, which should be
designed to satisfy the broader
corporate safety objectives, with the
participation of the employees
concerned.
(ii) Supervisory staff should receive the
necessary means and training to
fulfill any responsibilities delegated
to it for the management of safety.
B.5.11 Management should be
responsible for ensuring that each
operation is staffed in a manner which
allows for the safe operation of
installations at all times. Included in
this responsibility are the following
considerations:
(i) Management should give special
consideration to sufficient staffing
during nights and weekends, and to
controlling overtime work if it may
present an increased risk of an
accident involving hazardous
substances.
(ii) In planning staffing schedules,
consideration should be given to
avoiding stress and overwork. For
example, hours of work and rest
breaks should be compatible with
safety requirements. Overtime and
rest day working by any individual
should not be excessive. A record of
all such abnormal hours should be
maintained to facilitate control on
hours worked.
(iii) The possible need for greater levels of
supervision during periods of stress
should be taken into account.
Special staffing requirements and
technical skills posed by startups,
shutdowns, abnormal or unique
operating situations, and emergency
response needs should be identified
and met by management.
(iv) Consideration should be given to the
physical fitness of employees for
their jobs, including those employees
whose activities are largely
sedentary such as managers and
control room employees. In this
respect, employees should not be
assigned tasks if such assignments
may compromise the safe operation
of the installation. For instance,
employees who are affected by
substance abuse should not be
assigned certain safety-critical tasks.
(v) Jobs which are unsuitable for
assignment to disabled or restricted
employees, pregnant women or
young employees due to the risk of
an accident involving hazardous
substances should be identified and,
where necessary, special
arrangements made on a
case-by-case basis to ensure such
employees can perform their tasks
safely.
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Prevention of Accidents Involving Hazardous Substances
installation, including temporary
employees and contractors, receive
appropriate education and training
and are competent in the fulfillment of
their tasks under Ibotli normal and
abnormal conditions. This education
and training should cover:
hazard identification and necessary
corrective measures;
basic emergency procedures;
correct materials handling procedures;
and
any special hazards unique to their
job.
(i) Arrangements should be made to
ensure that specialised training needs
at all levels are properly identified,
form part of a. programme aimed at
improving safety, and are
appropriately satisfied.
(ii) Employees, and their representatives
where they exist, should be involved
in the development of education and
training programmes, the testing of
these programmes, and their
subsequent revisions.
(iii) This approach to education and
training should create the high level
of awareness necessary not only to
prevent accidents but also to respond
to abnormal occurrences quickly and
effectively. Ignorance or inadequate
information can be a cause of
incorrect action.
B.5.31 Safety considerations should be
part of the initial induction training given
to all new employees to create safety
consciousness and commitment.
(i) In addition to the education and
training given before taking up
normal duties, follow-up education
and training should be given
regularly.
(ii) During slower work periods,
consideration should be given to
using employees' free time for
education and training activities.
B.5.32 Training should be well-structured
to give all employees the skills they need
to do the job to which they have been
assigned, and be sufficiently broad-based
so that employees understand the
workings of the plant, equipment and
processes.
(i) All employees should be encouraged
and trained to think through their
assigned tasks and how they can be
carried out most safely, rather than
just carrying them out mechanically.
(ii) Employees are likely to be more
conscientious in their work, and in
the application of safety systems and
procedures, if their training makes it
clear not only what they are required
to do but also why the various
systems and procedures are
necessary.
B.5.33 Consideration should be given to
training employees in groups rather than
individually, where appropriate, since
group training can be an effective way of
instilling good safety attitudes in
employees, developing positive group
behaviour, and establishing increased
ability for group members to predict
potential safety problems and to develop
solutions.
B.5.34 Where appropriate, education and
training should be available in languages
other than the primary language used at
the installation, for example where there
are foreign employees or where the
installation is located in a multilingual
area. Where employees speak different
languages, management should consider
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Prevention of Accidents Involving Hazardous Substances
(i) The employee should immediately
report to management the reasons for
refusing to perform these tasks.
(ii) In certain cases an employee, or a
Safety Representative where one
exists, may interrupt hazardous
activities in as safe a manner as
possible when he/she has reasonable
justification for believing that these
activities present an imminent and
serious danger to safety.
B.5.24 Employees should be required to
report forthwith to management any
situations which they believe could
present a deviation from normal
operating conditions, in particular
situations which could develop into an
accident involving hazardous substances.
Management should investigate these
reports. If this does not result in an
adequate response, the employee should
be entitled to refer the matter to public
authorities.
B.5.25 Employees should not be placed
at any disadvantage because of the
actions referred to in B.5.23 and B.5.24
above.
B.5.26 Specific policies with respect to
personal activities which may affect the
safe operation of an installation - such as
smoking, substance abuse and similar
matters - should be agreed on and
included in every individual employee's
contract or conditions of employment.
B.5.27 Management should ensure that
all employees have appropriate personal
protective equipment and ensure that it is
maintained in good condition.
Management should also ensure that
regular training is provided in its use.
Employees should be responsible for
using the personal protective equipment
in accordance with safety procedures and
policies.
B.5.28 Management should not engage
contractors to perform jobs related to
the operation of a hazardous
installation if this would compromise
safety.
(i) Management should only hire those
contractors who are competent to
carry out the contracted work in
accordance with all applicable laws
and regulations, as well as the safety
policies and standards of the
enterprise and any additional
practices particular to their task.
(ii) Before contracts are given,
management should obtain evidence
that the contractors are capable of
performing their tasks to a
sufficiently high standard of safety.
Compliance with these laws,
regulations, safety policies and
standards should be an integral part
of the contract with contractors.
(iii) Management should monitor the
safety performance of their
contractors and, in general,
contractors should be subject to the
same safety management systems as
employees.
B.5.29 Contractors hired to perform
duties related to the operation of a
hazardous installation should have
equivalent rights and responsibilities with
respect to safety as employees. If
necessary, special measures should be
developed to ensure that contractors'
employees are well-informed of the
hazards when operating at hazardous
installations. Specific site safety
information should be made available to
contractors' employees.
Education and Training
B.5.30 Management should take all
reasonable measures to ensure that all
those employed at a hazardous
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Prevention of Accidents Involving Hazardous Substances
the need to establish a language as the
one used in the event of an emergency,
and then to provide the appropriate
education and training so alf employees
can understand and respond correctly to
commands during an emergency.
B.5.35 Records should be kept, and
maintained up-to-date, of all
safety-related education and training of
employees including managers,
supervisors, technicians and Safety
Representatives.
B.5.36 The effectiveness of safety
education and training should be
regularly assessed to ensure that all
employees can carry out the duties for
which they are responsible in a safe
manner. This assessment process is
particularly important in times of change,
such as when employees, including
managers and supervisors, are being
assigned to a new or different
installation.
B.5.37 Education and training
programmes should be modified to
reflect changes in processes used,
technology applied, and procedures
followed at an installation.
B.5.38 Training should be considered
part of employees' jobs for purposes of
calculating working time and wages.
B.5.39 The management of hazardous
installations should take all reasonable
measures to inform on-site employees
and contractors of the hazards to which
they may be exposed related to accidents
involving hazardous substances.
Adequate information on hazards
(including emergency exposure levels)
and on the procedures to be followed for
safe handling of all substances used at the
installation, manufactured as
intermediates, or available for sale,
should be obtained, kept up-to-date and
disseminated widely, in a language(s)
which all employees can understand.
B.5.40 Technological information and
assistance related to safety of hazardous
substances should be provided by
management of hazardous installations to
contractors, distributors, transporters and
users as well as to employees.
B.5.41 Managers and supervisors should
be made aware that they have a special
obligation to keep informed about safety
standards and risks. They should know
and fully understand the properties and
behaviour of the hazardous substances
being used and the limitations of the
equipment and technology. They should
be competent to implement the measures
to be taken in an emergency.
B.5.42 Every supervisor should ensure
that those on his or her team know how
to carry out safely the tasks entrusted to
them and how to maintain a high level of
safety awareness. To achieve this, each
supervisor should receive training in
communication techniques, safety
leadership, accident investigation and
reporting procedures, safety and health
analyses, and the conduct of safety
meetings.
B.5.43 Safety training should be included
in the education of engineers and other
technical specialists at both universities
and schools. To this end, the safety
aspects of the design and operation of
hazardous installations should be
integrated into the; relevant curricula.
Industry and public authorities should
promote this. !
Human Factors
B.5.44 Particular attention should be
given to the role of human factors in
preventing accidents at hazardous
installations, recognising that humans
will, on occasion, fail and that the
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Prevention of Accidents Involving Hazardous Substances
majority of accidents are in some part
attributable to human error, meaning
human actions which unintentionally
exploit weaknesses in equipment,
procedures, systems and/or
organisations.
(i) In planning all phases in the design,
development, operation,
maintenance, shutdown and
decommissioning of a hazardous
installation, management should take
into account the possibility that
human error can occur so that its
effects can be minimised.
(ii) The human factor should be taken into
account when hazard identification
and assessments are carried out.
(iii) The human factor, including both
positive and negative aspects of
human behaviour, is applicable to all
employees in a hazardous
installation including managers and
contractors.
B.5.45 The demands of each task which
may affect the safe operation of an
installation should be carefully analysed
in order that employees and their tasks
are mentally and physically matched, and
employees are not overloaded or
excessively stressed, so that they can
make the most effective and safe
contribution to the enterprise. Mental
matching of a task involves consideration
of the information and decision-making
requirements as well as the perception of
the task; physical matching includes
consideration of the design of the
workplace and working environment.
B.5.46 Employees should be encouraged
to share their experiences in order to
reduce the risk of human error. This can
be accomplished through, for example,
safety workshops, discussions of
near-misses and other group discussions,
as well as by inspection and observation
of the workplace by employees and,
where appropriate, by Safety
Representatives.
B.5.47 Experiences relating to human
errors should also be shared among
different companies and, to the extent
possible, among public authorities.
B.5.48 Training and education
programmes for all employees should
deal with the issue of human errors,
including the underlying causes and
prevention of such errors. These ;
programmes should also take into
account ergonomics and the
employee/machine interface (see,
paragraphs B.5.30-B.5.43 on Education
and Training).
B.5.49 Special care should be taken
during periods of stress to avoid human
errors which could lead to accidents.
Management should make it clear that
safety considerations take precedence
over other considerations. Stress
affecting safety could result from
pressure on individuals or groups of
employees or on the enterprise as a whole
(for example, to increase production or
cut costs).
B.5.50 In their monitoring activities, both
management and public authorities
should consider the role human errors
might play in increasing the potential for
accidents involving hazardous
substances. They should consider the
potential for errors both in the use of
equipment and in following procedures
(see subsection B.6 on Safety
Performance Review and Evaluation).
B.5.51 It should be recognised that
human error outside the hazardous
installation can contribute to the
increased risk of an accident or adverse
effects in the event of an accident. For
example, public authorities should take
into account the fact that human error in
40
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Prevention of Accidents Involving Hazardous Substances
B.5.56 In the case of any changes made
to a process which could affect safety -
for example, use of different process
materials, alterations of conditions,
increase in batch size, or use of
larger/different equipment - the original
hazard analysis should be reviewed and
the process documentation file or plant
dossier supplemented accordingly.
Techniques should be developed to
assess how a series of minor changes,
taken together, could affect safety at
an installation and what could be done
to mitigate any increased potential for
accidents.
B.5.57 After repair, modification, and/or
overhaul of plant and equipment, the
necessary test runs and safety checks
should be carried out in the presence of
the supervisor responsible for the
operation of the installation, who should
be required to formally approve the
restarting of operations.
I
B.5.58 Procedures should also exist to
ensure that changes in management, other
personnel and organisation do not
compromise safety. Such changes should
trigger review procedures to ensure safety
has not been adversely affected.
Storage of Hazardous Substances:
Special Considerations
While all the Guiding Principles in this
document apply to storage facilities for
hazardous substances, storage presents
special risks or concerns which warrant
additional guidance. These apply to both
on-site (at the installation) and off-site
(contract) storage, including bulk storage
(for example, in tank farms) and non-bulk
storage (for example, of packaged goods).
Only paragraph 5,5.59 relates exclusively
to the situation where the storage facility
is off-site. The warehousekeeper, for
purposes of this text, is the person
responsible for the storage facility,
whether on-site or off-site.
B.5.59 The management of an
enterprise seeking to store hazardous
substances off-site - including products,
raw materials and intermediates -
should satisfy itself as to the suitability
of the facility for the storage of such
substances, and of the competence of
the warehniisekeeper to undertake the
storage required in a safe manner.
This could involve the enterprise
monitoring the storage facility and
training employees of the off-site facility.
B.5.60 The warehousekeeper should
ensure that all relevant legislative
requirements and applicable codes of
practice for the safe storage of hazardous
substances are strictly applied wherever
applicable.
B.5.61 The owner/supplier of the
hazardous substances being stored should
provide the warehousekeeper the
information necessary to prevent
accidents and to respond appropriately
should an accident occur.
(i) In this regard, the owner/supplier
should provide a material safety data
sheet (MSDS) or product data sheet
so that the warehousekeeper can
ensure that physical, chemical and
(eco)toxicological, and other
properties relevant in the case of an
accident are understood by all
relevant employees working in the
storage facility.
(ii) Particular attention should be given to
. proper labeling of hazardous
substances, indicating any hazardous
properties on labels and the
appropriate precautions to be taken.
(iii) In addition, the owner/supplier of the
hazardous substances should provide
information concerning reaction
42
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Prevention of Accidents Involving Hazardous Substances
land-use p1flnningj in emergency
planning, or in emergency response can
affect the safety of a hazardous
installation or aggravate effects of an
accident.
Maintenance
B.5.52 Management of hazardous
installations should establish
programmes for the regular
maintenance, inspection and testing of
equipment to ensure that it is at all
times fit for the purpose for which it
was designed.
(i) Maintenance programmes should be
adhered to strictly and should be
reviewed periodically to ensure they
continue to be appropriate in relation
to safety requirements.
(ii) Maintenance standards should be
developed to help guarantee the
safety of each operation.
(iii) Maintenance jobs should be
performed according to established
maintenance procedures.
(iv) Records should be kept of all
safety-related maintenance work
carried out, and equipment reviews
and reliability assurance procedures
should be established.
(v) Records should be kept of any faults
found during maintenance of
equipment which might materially
affect safety, and prompt action
should be taken to rectify the faults.
B.5.53 The local management at each
hazardous installation should regularly
inspect and maintain emergency alarms,
protective and emergency devices, and all
devices critical to the orderly shutdown
of operations in conjunction with the
relevant public authorities, where
appropriate.
Repairs and Modifications
B.5.54 The management of a hazardous
installation should establish formal
procedures to ensure that no repair
work or modifications to plant,
equipment, processes, facilities or
procedures compromise safety.
(i) Modification procedures should apply
to both permanent and temporary
changes, and should be based on
appropriate up-to-date process
documentation and, where
appropriate, a physical inspection of
the installation.
(ii) All modification proposals should be
registered and assessed so that the
necessary hazard studies are carried
out, the appropriate design
considerations are made, and the
changes proposed are properly
engineered and recorded.
(iii) Major modifications should be subject
to the same notification and
reporting requirements as new
installations (see, for example,
paragraphs B.2.12-B.2.14).
B.5.55 Proposals for significant
modifications should require a review by
competent technicians who are
independent of those directly responsible
for the proposal.
(i) The level of management approval
necessary for a modification should
be based on the associated level of
risk.
(ii) Supervisors having the authority to
make a modification, for example to
a manufacturing procedure or
operating instruction, should be fully
aware of the hazards involved and
should consult the relevant
competent specialist(s) before
initiating such a change.
41
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Prevention of Accidents Involving Hazardous Substances
and/or decomposition products
formed in the event of a fire.
B.5.62 The owner/supplier of hazardous
substances should consider reducing the
amount of hazardous substances
requiring storage, off-site and/or on-site,
if this would reduce the adverse
consequences of an accident involving
the hazardous substances.
B.5.63 A storage facility should be
designed taking into account the nature of
the hazardous substances to be stored in
the facility.
(i) The design of the facility should allow
for the separation of incompatible
substances and subdivision of
inventories by the use of separate
buildings, fire walls, etc. and, for
example, should enable access for
inspection of hazardous substances,
reduce the likelihood of domino
effects should an accident occur, and
permit firefighting.
(ii) In designing such facilities, particular
attention should be given to
incorporating automated systems for
handling hazardous substances,
which reduce the risk of an accident
involving such substances.
B.5.64 Storage facilities should
incorporate safety features to prevent
accidents and to reduce the adverse
effects in the event of an accident. For
example, security measures should be in
place and fire protection equipment
should be available. Adequate catchment
facilities should be provided to facilitate
the activation of spill mitigation
procedures to protect the environment in
the event of an accident.
B.5.65 A storage plan should be drawn
up by the warehousekeeper showing the
nature of the hazardous substances in
each part of the storage facility.
(i) The storage plan should be made
available to the relevant local public
authorities (for example, fire
services).
(ii) Information concerning hazardous
substances held in a storage facility
should be maintained up-to-date.
B.5.66 Procedures should be established
at storage facilities to prevent the risk of
degradation of hazardous substances or
packages as well as labels or other
markings. Good housekeeping practices
should be initiated to prevent accidents.
B.5.67 In order to prevent explosions and
fires, consideration should be given to
whether the conditions of storage
(including, for example, temperature and
pressure) create social risks.
Consideration should also be given to
avoiding potential, sources of ignition
such as smoking, welding, and shrink
wrapping equipment. All power
equipment should be specially protected,
as necessary.
B.6 Safety Performance Review
and Evaluation
Safety Performance Review
The premise of this subsection is that
hazardous installations should be subject
to periodic safety performance reviews
and evaluations. The nature of these
reviews and evaluations, and the roles and
responsibilities of management, other
employees and public authorities are set
out below.
B.6.1 Safety performance in hazardous
installations should be periodically
reviewed in order to:
assess achievements with respect to
the general goal's set;
43
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Prevention of Accidents Involving Hazardous Substances
determine how well specific
safety-related policies and decisions
have been put into practice;
focus resources where
improvements are most needed;
provide information to justify the
adjustment or upgrading of goals
and achieve further improvements;
demonstrate management's
commitment to safety and provide
motivation for improvement;
provide a basis for recognising good
and inadequate performance;
provide information on safety
achievements to the public
authorities, community,
shareholders and non-governmental
organisations; and
provide input into education and
training activities.
B.6.2 Public authorities and industry,
with the involvement of employees,
should develop proactive/positive
indicators of safety performance as well
as methods of assessing achievements in
risk reduction. While changes in
lost-time accident rates have been used
and have some value in measuring safety
performance, they are reactive indicators
and provide only part of the total safety
picture.
B.6.3 Systematic safety improvement
programmes should be developed by
management, with the involvement of
other employees, at each installation.
(i) These programmes should be regularly
reviewed to ensure an improving
trend in safety performance is
achieved.
(ii) Such proactive safety schemes should
be promoted by public authorities.
Monitoring by Industry
B.6.4 Management should ensure that
every hazardous installation is subject
to a comprehensive system for
monitoring safety, covering both
technical and management aspects,
including hardware and procedures.
Management should continually review
its operations to ensure that no
previously unrecognised risks have
been introduced and that there is the
required degree of compliance with the
relevant national and international
legislation, standards, codes and
guidance as well as the enterprise's
own requirements and guidance. By
doing this, any needs for additional,
new or improved standards, hardware
and/or procedures should be revealed.
(i) The approach to monitoring should be
systematic. In this regard, a
monitoring plan should be developed
at each installation, "owned" and
primarily implemented by the local
management, and with flexibility
built in to avoid it becoming routine.
(ii) The monitoring plan should include
regular inspections at the workplace,
periodic detailed checks on specific
activities and procedures, and an
overall audit of performance.
(iii) The monitoring plan of an installation
should form the basis of a hierarchy
of annual safety assurance reports,
from the manager responsible for an
installation to division/business/
company/enterprise executives and
subsequently to the Chief Executive
Officer of an enterprise. ,
(iv) Emphasis in monitoring should be on
those aspects vital to the safety of
the particular installation, as revealed
by the hazard evaluations. Some
general aspects will need to be
covered in all monitoring, such as:
44
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rdous Substances
m
: ensure
iose with
they can
satisfy the
ities.
;use
pding
^hazardous
i:>e
Hansibilities.
Ipunity for
;s in their
avide
advice or details on where further
information and assistance should be
sought. This may be particularly
important in the case of small and
medium-sized enterprises.
B.6.13 For monitoring to be effective and
credible, the monitoring authorities
should be publicly accountable. This can
be achieved by making the system
transparent. To this end, the monitoring
authorities should publicise their
objectives, procedures and the results of
monitoring the safety aspects of
hazardous installations.
46
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Prevention of Accidents Involving Hazardous Substances
organisation and management;
training; plant integrity; fire
protection and prevention;
accident/dangerous occurrence
investigation and reporting; and
emergency procedures.
(v) The potential level of risk should be a
significant factor in determining the
frequency of monitoring.
B.6.5 In addition to any changes in
response to legal requirements,
improvements suggested by monitoring
should be made where such
improvements are reasonably practicable
and contribute to the ultimate goal of
"zero incidents".
B.6.6 Management should, as
appropriate, utilise auditors independent
of the local management and employees
to monitor hazardous installations. Such
an approach using, for example, expert
consultants or the enterprise's central
safety services can be a valuable means,
in certain cases, of raising safety
performance by providing another, more
independent, viewpoint. Insurance
companies may provide a useful service
in this respect, especially to small and
medium-sized enterprises.
B.6.7 A statement of an enterprise's
safety and health performance should
form part of the yearly report to its
shareholders and employees.
Monitoring by Public Authorities
B.6.8 Public authorities should
establish appropriate arrangements for
monitoring the safety of hazardous
installations in all phases of their life
cycle, including planning, design,
construction, operation (including
maintenance) and decommissioning.
When monitoring hazardous
installations, public authorities should
assess the safety performance of the
operation both in terms of meeting
technical standards and ensuring that
management systems are adequate and
effective (that is, systems/procedures as
well as the hardware). By proactive
monitoring of hazardous installations,
public authorities should check, on an
equitable basis, industry's compliance
with relevant requirements and
practices and help to promote industry
action beyond minimum requirements.
(i) Monitoring of existing installations
should be carried out by means of
both a planned sequence of
unannounced or announced
inspections, and visits in response to
accidents, complaints and other
indicators that safety performance
may be inadequate.
(ii) Public authorities should decide on the
frequency and nature of planned
inspections, commensurate with the
resources available to them and the
risks presented by the installation,
using some form of priority rating
system.
(iii) Public authorities should have free
access to hazardous installations and
be provided with the information
necessary to conduct inspections and
audits.
B.6.9 Public authorities should be given
sufficient resources and personnel to
carry out their monitoring function.
Public authorities' inspectors should
receive the training and have the
necessary expertise to determine, for
example, whether the approaches taken in
a hazardous installation will achieve the
legal safety requirements.
B.6.10 Public authorities' inspectors
should be empowered to initiate
enforcement action to remedy any serious
defects which they discover during any
monitoring.
45
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(i)
(ii) The
ace
Section C ___
Land-Use Planning
This Section addresses land-use planning as an essential el
controlling major hazards. Land-use planning is compleme,
other preventive and mitigatory measures.
C.1 Piihlic authorities should establish
land-use planning arrangements to
ensure that new hazardous
installations are appropriately sited
with respect to protection of health and
environment, including property, in
the event of an accident involving
hazardous substances. These
arrangements should also prevent the
placing of inappropriate developments
near hazardous installations and
should control inappropriate changes
to existing installations.
Land-use planning should consist of
two elements: general zoning for
hazardous industrial activities, taking
into account all aspects of protecting
health and the environment, including
property; and case-by-case
decision-making concerning the siting
of a new installation or proposed
development near an existing
installation.
C.2 Land-use planning arrangements, as
well as related control mechanisms,
should provide a clear indication of the
standards to be met, and of the evaluation
procedures used by public authorities,
both for new hazardous installations and
for proposed developments in proximity
to existing installations.
C.3 Public authorities should establish
general guidelines to identify which
proposals for new installations or for
other developments may increase the risk
of a major accident or of any adverse
consequences in the event of a major
accident.
uld
us
Being
ped
rflteise the
trans
subs
ease
which
event
exis
vuln
school^
aged),
C.4 Manag
select poss*
installations!^
consistent
by public aa
adverse effi
environments
event of an
as a result
substances to,
C.5 Public
the risks of aa«i
^
specific
adverse effecMi
accident, are
account
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Land-Use Planning
the full range of implications, advantages
and disadvantages of the particular
location. This should be done both for
proposed hazardous installations and
proposed developments of other kinds in
the vicinity of hazardous installations.
Quantified Risk Assessment (QRA),
which is part of a systematic approach
to the identification, estimation and
evaluation of hazards, is one of a
number of tools which can provide
guidance to public authorities in
land-use planning and be an aid to
industry in decision-making. The use
of standardised QRA procedures
could facilitate the transparency of
decision-making processes and allow
for a relative ranking of risk.
However, since the numeric results of
QRA have little absolute value, QRA
should not be used indiscriminately.
C.6 As part of the assessment process,
management of an enterprise making a
proposal to construct a new hazardous
installation or a significant modification
to an existing installation should be
required to develop a scale plan of the
proposed development showing:
the locations and quantities of the
hazardous substances present on-site
relative to the surrounding area;
the nature of the land-use in adjacent
areas;
the local population and areas of local
environmental significance; and
the potential off-site hazard effects
posed by their proposal.
(i) Management should also provide
details of the processes which will
involve hazardous substances, the
inventory of hazardous substances to
be stored, and the conditions under
which the hazardous substances are
to be handled. Furthermore,
management should provide an
assessment of the environmental
impact of the proposed installation.
(ii) These assessment-related activities
should be carried out in conjunction
with the local authorities as early as
possible in the process of planning
for the installation, in order to
facilitate consideration of
cost-effective alternatives.
C.7 Land-use planning decisions by
public authorities related to hazardous
installations should take into account the
cumulative risk of all hazardous
installations in the vicinity.
(i) Consideration should be given to
avoiding intensification of the total
risk to the community, recognising
that in some cases it may be
preferable to centralize hazardous
installations in one location, while in
other cases it may be preferable to
keep hazardous installations apart.
(ii) Land-use planning decisions should
take into account the possibility of a
"domino effect" and the need for
"separation distances" to provide a
buffer zone between potentially
hazardous areas and populated areas
in order to reduce the risks of
adverse effects in the event of an
accident.
C.8 The availability of external
emergency response capability should
also be part of the land-use planning
considerations.
C.9 Where a specific area with existing
hazardous installations may riot be able to
meet current guidelines for land-use
planning in the short-term, measures
should be taken to alleviate the risks in
the longer term, for example by
modifying installations or by phasing out
48
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Land-Use Planning
older installations and/or residential
buildings near the site. Such a phase-out
may involve the need for compensation
to property owners.
C.10 Land-use planning arrangements
should include mechanisms for
enforcement of zoning and siting
decisions. The mechanisms for applying
and enforcing land-use planning for
safety purposes will vary from one
country to another as a result of differing
cultures, population, and legal systems,
although some general principles can be
identified.
C.ll The roles of public authorities with
respect to setting of safety objectives for
industry, and to land-use planning,
should be well-integrated in order to
minimise the adverse effects of an
accident. Integrated land-use planning
decisions can also help to reduce other
environmental impacts such as those
caused by chronic pollution and nuisance,
as well as to address issues of transport
risks.
C.12 The land-use planning activities of
local, state/regional and national public
authorities should be co-ordinated.
(i) State/regional and national authorities
should develop the overall objectives
to be met with supporting technical
information and guidance.
(ii) Local authorities, at an appropriate
level, are usually in the best position
to make the planning decisions,
taking into account local social and
economic factors. Sufficient
flexibility should be built into the
process to allow social and economic
factors to be taken into account in
zoning and siting decisions.
C.13 The public should be given the
opportunity to provide input into
decision-making processes related
to siting of hazardous installations
(see OECD Council Decision-
Recommendation C(88)85(Final),
set out in Annex II).
C.I4 With respect to land-use planning
for proposed hazardous installations
capable of causing transfrontier damage
in the event of an accident, a policy
concerning the exchange of information
and consultation between competent
public authorities of neighbouring
countries should be applied consistent
with OECD Council Decision
C(88)84(Final), set out in Annex I.
49
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Section D
Community Awareness
Provision of information to the public is addressed in this Section as a critical element in
accident prevention and emergency preparedness and response programmes. The Guiding
Principles set out in this Section are based on the fact that communication with the public is
a joint responsibility of public authorities and industry.
D. 1 Public authorities should ensure,
through the legal and procedural
means they deem appropriate, that the
potentially affected public:
is provided with general
information on the nature, extent
and potential off-site effects on
human health and/or the
environment, including property, of
possible major accidents at planned
or existing hazardous installations:
is provided with specific and timely
information on the appropriate
behaviour and safety measures they
should adopt in the event of an
accident involving hazardous
substances: and
has access to other available
information needed to understand
the nature of the possible effects of
an accident (such as information on
hazardous substances capable of
causing serious off-site damage) and
to be able to contribute effectively,
as appropriate, to decisions
concerning hazardous installations
and the development of community
emergency preparedness plans.
(See OECD Council Decision-
Recommendation C(88)85(Final), set
out in Annex II.)
D.2 The activities of public authorities
and industry related to communication
with the public should be co-ordinated to
optimise the value of the communication
and to build up trust and credibility.
D.3 Information concerning the
potential adverse effects of hazardous
installations should be shared openly
and actively and should be
comprehensive, correct, credible, clear
and consistent.
(i) Care should be taken not to
underestimate the ability of the
public to deal with information
concerning hazardous installations,
and not to be condescending in
providing information to the public.
(ii) Public authorities should ensure that
essential information is provided,
and should not omit information out
of a concern that it might generate
fear or inquiries.
(iii) The public should be made aware of
the information and documents
available to them related to
hazardous installations, and where
these can be examined.
(iv) Highly technical documents should
include meaningful and
comprehensive summaries in
language which is generally
understandable.
(v) Public authorities should not infer a
lack of interest on the part of the
public if the public rarely consults
such documents.
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Community Awareness
D.4 Public authorities should take steps
to provide the public with information
which will allow them to understand, and
develop confidence in, the regulatory
system's ability to ensure that hazardous
installations are operating safely. Such
communications should be two-way,
providing an opportunity for public input
to the authorities as well as providing
information to the public from
authorities. This will allow the public,
public authorities and other interested
parties to learn from each other.
D.5 Certain information concerning
hazardous installations, for instance
that related to emergency response,
should be provided actively, without
request, to members of the public
potentially affected in the event of an
accident (see OECD Council Decision-
Recommendation C(88)85(Final), set out
in Annex II). In defining the targeted
audience for such information, natural
community groupings or boundaries
should be used to avoid disseminating
different information among members of
the same community.
D.6 The members of the public
potentially affected by a major accident
should be carefully delineated, and the
information should be targeted so that all
potentially affected people have adequate
and appropriate information presented in
an easily understandable manner.
The information should permit all
relevant individuals to understand
their responsibilities (for example,
teachers require special information
and training in view of their
responsibilities in the event of an
accident and to assure parents that
their children will be safeguarded).
D.7 In order to avoid confusion and
facilitate information exchange, the
mechanisms for obtaining and delivering
information should be as clear as possible
and use, to the extent possible, known
and existing channels.
D.8 Information concerning hazardous
installations which is provided to the
potentially affected public should be
provided in timely fashion, be reissued
periodically, as appropriate, and updated
as necessary.
D.9 The responsibility for
communicating information concerning
hazardous installations should be
assigned to persons who have the
necessary knowledge and skills, are
viewed as knowledgeable and credible,
instill confidence, and enjoy respect in
the community.
D.10 Individuals responsible for
communication of information related to
hazardous installations should be
specifically trained to understand how to
develop information for target audiences
and how to deliver information
effectively, particularly in an emergency.
D. 11 The effectiveness of communication
with the public should be assessed to
ensure that the information is understood
and retained, in order that the appropriate
actions are taken during an emergency.
Consideration of the public's reaction to
information concerning hazardous
installations and accidents should be part
of the testing and feedback stage of the
communication process.
D.12 Mechanisms should be established
to facilitate consultation with the public
concerning the type of information it
would like to receive and the information
which should be made available
regarding hazardous installations.
(i) Public authorities should initiate
discussions with interested parties on
the acceptabilitv/tolerahilitv of risks
so that the public becomes familiar
with risk concepts and is better able
52
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Community Awareness
to participate in the decision-making
processes. Public authorities should
consider the possibility of creating
community groups for this purpose.
(ii) Industry can help promote this
education process by maintaining
close relations with the local
population, community leaders and
groups, education facilities, etc.
(iii) Non-governmental organisations may
play a role in increasing public
awareness by providing information
concerning hazards and the need for
safe practices, procedures and
equipment.
D.13 Communication of information by
industry to the public on plant safety,
safety measures and the characteristics of
substances should not be unduly
hampered by reference to "trade secrets".
As a general rule, multinational
enterprises should not claim trade secret
protection in one country for types of
information they release in another
country.
D.14 An effective internal
communication system within a
hazardous installation is a prerequisite for
industry to achieve effective
communication with the public. In
addition, employees from hazardous
installations can play an important role in
communications with the public since
they have a working knowledge of the
installation and a strong incentive to
ensure its continuing safe operation in
order to protect themselves and their
families.
D.15 As the media are a primary channel
of information to the general public,
media representatives should be involved
in the development and implementation
of the communication process. Industry
and public authorities should provide
representatives of the media with
background information concerning
hazardous installations, in order that the
media can be more effective in providing
information to the public.
53
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Section E
Emergency Preparedness and Response
This Section deals with the roles and responsibilities of all parties in emergency
preparedness and response. It also addresses, in subsection E.5, the related activities of
reporting and investigating accidents and near-misses.
Paragraphs E. 1.1-E.I. 19 relate to both on-site and off-site emergency preparedness
programmes and plans. Specific Principles relating only to on-site or only to off-site
planning are set out in paragraphs E.1.20-E.1.29 and paragraphs E.L30-E.1.41,
respectively. These are followed in subsection E.2 with Principles relating to the
communication process during emergency preparedness and response and, in subsection
E.3, with medical aspects of emergency planning and response.
E.I Emergency Preparedness
Programmes and Plans
General Principles
E.I.I Public authorities, at all levels,
and management of hazardous
installations should establish
emergency preparedness programmes
concerning accidents involving
hazardous substances.
(i) The objective of emergency
preparedness programmes should be
to localise any accidents that may
occur and, if possible, contain them,
and to minimise the harmful effects
of the accident on health and the
environment, including property.
(ii) These programmes should include
commonly accepted principles and
practices.
(iii) The risk of transport accidents
involving hazardous substances
should be taken into consideration in
emergency planning relating to
hazardous installations.
E.1.2 Public authorities should develop
guidelines and standards for off-site
and on-site emergency preparedness
plans. They should also ensure the
development, implementation, testing
and updating of off-site and on-site
emergency preparedness plans in
co-ordination with the management of
hazardous installations and, as
appropriate, with the participation of
employees and of neighbouring
communities, recognising that the
responsibility for the actual
development and implementation of
the plans will differ among countries.
The on-site and off-site emergency
plans should give details of the
technical and organisational
procedures which are appropriate to
reduce the effects on people, property
and the environment both on-site and
off-site in the event of an accident.
E.1.3 There must be close co-operation
between those responsible for off-site
and on-site emergency planning.
The off-site emergency plan and all
relevant on-site emergency plans must
be consistent and integrated, so that,
for example, there is effective
co-ordination, problems with
overlapping responsibilities and
complicated interfaces are resolved,
and it is clear who has the
responsibility for various emergency
response functions in the event of an
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Emergency Preparedness and Response
accident involving hazardous
substances which may have off-site
effects.
E.1.4 To form a basis for both off-site
and on-site emergency planning, the
management of a hazardous
installation should identify and assess
the full range of accidents, including
low-probability, high-consequence
accidents, which could arise at the
installation. This information should be
available in the safety reports, where such
reports have been prepared (see
paragraph B.2.13).
Public authorities should give
particular attention to ensuring that all
hazardous installations, including
small and medium-sized enterprises
and commercial users of hazardous
substances, undertake this assessment
and the appropriate emergency
planning. Specific assistance should
be obtained, where necessary, to
ensure that such enterprises and users
fulfill their responsibilities in
emergency planning.
E.1.5 Emergency planning should take
into account potential complicating
factors which could be associated with
major accidents at hazardous installations
such as extreme weather conditions,
natural disasters, loss of power or water
supplies, etc., as well as factors which
may make response more difficult, such
as problems with communication and
transportation systems.
E.I.6 During the emergency planning
process, there should be a realistic
assessment of the capabilities and
resources of those who will be involved
in emergency response, and the skills and
resources required. This assessment will
provide insight into what additional skills
and resources are needed.
(i) The planning process should also
provide a learning experience
concerning, for example, the
potential for accident hazards based
on: an analysis of a range of accident
scenarios; possible implications of
such accidents; response needs and
capabilities; and the roles and
responsibilities of those involved
with emergency response.
(ii) Those parties who will be involved in
emergency response should be
involved in the planning process.
E.1.7 Emergency plans should provide
the necessary guidance to allow for
flexible response to a range of possible
circumstances. An emergency plan
cannot provide prescriptive instructions
for response, since accidents by their
nature will be different and will often
involve a combination of aspects which
may not have been considered during the
planning process.
E.1.8 Back-up systems should be built
into emergency plans. For example,
alternative communication lines should
be available, reliefs for key personnel
should be assigned, and an alternative
command centre should be designated in
the event that the primary centre cannot
function properly.
E.1.9 All responsible parties should
ensure that manpower, equipment
(including communication equipment
and persona] protective equipment),
and financial and other resources
necessary to carry out emergency plans
are readily available for immediate
activation in the event, or imminent
threat, of an accident. Where
necessary, expensive or specialised
equipment should be obtained through
joint co-operation at a regional level.
E.1.10 Provisions should be made for
mutual assistance, in the event of an
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Emergency Preparedness and Response
accident, among neighbouring hazardous
installations and public authorities.
E.l.ll Public authorities responsible for
emergency response, including fire and
rescue services, should familiarise
themselves in advance of any emergency
with the relevant information concerning
a hazardous installation including the
chemical and physical properties and the
location of hazardous substances, as well
as the location of water and foam supply
points and other firefighting equipment at
the hazardous installation.
(i) On-site managers should ensure that
appropriate employees are familiar
with the capabilities and response
plans of the fire authorities and other
emergency responders.
(ii) As part of the emergency planning
process, emergency responders
together with management should
consider response options to various
accident scenarios and should agree
on appropriate options on a
case-by-case basis.
E.1.12 AH personnel involved in the
emergency response process should be
educated and trained on a continuing
basis to ensure that a state of readiness
for varying contingencies is
maintained. Education and training
programmes should be tested, assessed
and revised regularly, as appropriate.
E.1.13 Exercises should be carried out
on a regular basis to test both on-site
and off-site emergency plans and their
compatibility.
(i) The use of independent observers
facilitates an objective review of any
deficiencies or defects in the plans.
(ii) Exercises can test separately different
components of a plan and can
include simulations through, for
example, table-top computer
exercises.
(iii) Exercises should also be undertaken
in adverse conditions (for example,
outside normal working hours,
during inclement weather, etc.)
which stress the systems and,
therefore, reveal the range of
limitations arid problems inherent in
the systems..
(iv) The emergency plans should be
revised as appropriate following
evaluation of the exercises.
E.1.14 On-site and off-site emergency
plans should be reviewed regularly and
maintained up-to-date taking into
account, for example, changes at
hazardous installations and in the
residential and commercial
developments in the area, improvements
in response technology and capabilities,
and lessons learned in exercises and tests.
(i) The recording of the actions and
decisions taken during an accident
should be required so that the plans
can be evaluated and lessons can be
learned.
(ii) Following an accident, emergency
preparedness plans should be
reviewed in light of experience
gained and, where appropriate,
changes made.
E.1.15 Systems should be in place for the
rapid detection of an accident or
imminent threat of an accident, and for
the immediate notification of emergency
response personnel. The channel of
communication should flow as directly as
possible from the individual discovering
the abnormal occurrence to the
emergency responders.
E.I. 16 Public authorities should consider
whether to undertake emergency
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Emergency Preparedness and Response
planning for hazardous installations and
emergency planning for natural disasters
and civil defense in an integrated way,
since these activities involve most of the
same requirements.
E.1.17 Public authorities and
management should consider what
requirements may be needed to avoid
pollution of nearby water sources, both
surface and underground, in the event of
an accident at hazardous installations.
E.1.18 The "Polluter-Pays Principle"
with respect to emergency preparedness,
as well as to emergency response, related
to accidents involving hazardous
substances should be applied, as
appropriate, in accordance with OECD
Council Recommendation
C(89)88(Final), set out in Annex in.
E.1.19 Multinational and regional
co-operative activities should be
undertaken by public authorities in order
to improve emergency preparedness
planning and ensure appropriate
co-ordination of emergency response in
the event of an accident.
On-Site Emergency Preparedness
Plans
The following ten paragraphs apply to
on-site emergency plans, in addition to the
General Principles set out above in
paragraphs E.L1-E.1.19.
E.1.20 AH hazardous installations
should have an adequate on-site
emergency plan which is appropriate
for that installation and is based on a
complete range of credible accident
scenarios.
(i) The preparation and implementation of
this plan should be the responsibility
of management, financed by the
enterprise.
(ii) These plans should be subject to
review by public authorities.
E.1.21 An on-site emergency plan should
contain a scale plan of the site together
with a list of all hazardous substances
handled, indicating the quantities
involved and their locations on the site
relative to the surrounding area and
population. The plan should also contain
an evaluation of the hazards involved and
include information regarding each
hazardous substance, and the conditions
under which the hazardous substance is
processed, handled and stored.
E.1.22 Emergency plans should provide
for the orderly and phased shutdown of
an installation when necessary.
E.1.23 Information and equipment for
generating data, which may be needed in
the event of an accident, should be
readily available. This would include, for
example, analytical methods and
equipment for detecting hazardous
substances and the protective measures to
be taken in the event of loss of
containment of a hazardous substance.
Models should be prepared for the most
likely accident scenarios and their
possible effects in order to facilitate rapid
response.
E.I.24 In establishing the responsibilities
for various employees in the event of an
accident, the on-site emergency plan
should take account of such matters as
absences due to sickness, holidays and
periods of installation shutdown, and
should be flexible so as to be applicable
to all foreseeable variations in staffing.
E.1.25 On-site emergency plans, in
identifying the roles and responsibilities
of all parties concerned, should clearly
indicate: the chain of command and
co-ordination among the parties; lines of
communication; and the means of
obtaining necessary information.
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Emergency Preparedness and Response
(i) As part of the emergency plan,
individuals should be nominated for
the following roles, among others:
a site incident controller to take
control on scene in the event of an
emergency; and
a site main controller to take overall
control of an emergency from the
emergency control centre.
(ii) The role of these controllers in relation
to community emergency response
personnel should be clearly spelled
out in order to avoid any potential
conflicts.
E.1.26 All employees and contractors
at a hazardous installation should be
made fully aware of the relevant
provisions of the on-site emergency
plan. In particular, they should be made
aware of what to do in the event of an
emergency such as taking action to limit
the release of hazardous substances
and/or evacuating the installation and
gathering at a previously designated
assembly point.
E.1.27 Visitors to a hazardous
installation should be provided with
relevant information concerning what
they should do in the event of an
emergency.
E.1.28 All employees should be informed
of the procedures for raising the alarm in
the event of an accident or threat of an
accident to ensure that earliest possible
action is taken to control an incident.
E.1.29 The organisation of activities
related to emergency preparedness and
those related to prevention of industrial
accidents should be integrated with the
normal operation of a hazardous
installation, in order that the
organisational structures for these
activities are compatible.
Off-Site Emergency Preparedness
Plans
The following twelve paragraphs apply to
off-site emergency plans, in addition to the
General Principles set out above in
paragraphs E.1.1-E.L19.
E.1.30 Public authorities should ensure
that there is an adequate off-site
emergency plan wherever there is a
hazardous installation. Such a plan
should:
set out its objectives;
provide relevant information on the
hazardous installations and
surrounding areas;
evaluate the hazards (including
transport hazards) which may result in
emergency situations in the
community; and
establish the procedures to be
followed, and identify the officials
responsible, in the event of an
accident.
E.1.31 Public authorities at various
levels have respomibilities related to
the off-site emergency planning.
(i) Central authorities should establish the
general principles concerning such
planning, provide advice and
assistance, where appropriate, to
local authorities and ensure that
officials at all levels are motivated to
develop appropriate emergency
preparedness and response
capabilities before an accident
occurs.
(ii) Public authorities at the local level
should ensure that off-site
emergency plans are developed,
consistent with the general
principles.
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Emergency Preparedness and Response
(iii) The responsibility for the actual
development and implementation of
the off-site emergency plan may rest
with local officials or with a
designated committee, depending on
the laws and policies which are
applicable in the locality, and may
include involvement by regional or
national authorities. It should be
clear, however, who has the
decision-making responsibility for
the development and implementation
of the plan.
£.1.32 Management of a hazardous
installation should provide, without
reservation, information it has which is
necessary to assess hazards and to
develop the off-site emergency plan to
those responsible for preparation of the
off-site plan.
In addition to information concerning
the installation, management should
co-operate with public authorities in
the routing and identification of
pipelines which carry hazardous
substances outside the boundary fence
of the hazardous installation across
public land to another part of the site.
E.1.33 Highly technical and specialised
information in emergency plans should
be presented in a form appropriate for
emergency responders. Technical details
on a specific chemical should be
expressed in terms which provide clear
guidance as, for example, in the case of
an acute exposure to a high dose.
E.1.34 In the development of an off-site
emergency plan, all emergency response
participants should be identified. In
addition, their roles, resources and
capabilities should be realistically
established and their commitment and
participation obtained. These participants
should include, among others:
police, fire, medical (including
hospitals), transport and welfare
services;
emergency management or civil
defense agencies;
public works and utilities;
the management of the hazardous
installations;
public information/communication
outlets; and
public health and environmental
agencies.
E.1.35 Emergency preparedness plans, in
identifying the roles and responsibilities
of all the parties concerned, should
clearly indicate the chain of command
and co-ordination among the parties, the
lines of communication and the means of
obtaining the necessary technical,
meteorological and medical information.
The plan should identify an
emergency co-ordinating officer with
the necessary authority to mobilize
and co-ordinate the emergency
services.
E.1.36 Emergency planning must take
into account the special situation of local
institutions which may have particularly
vulnerable populations such as schools,
hospitals and homes for the elderly.
E.1.37 The emergency plan should
provide guidance on when the potentially
affected public should shelter indoors and
when they should be evacuated.
E.1.38 The public should be given, on a
continuing basis, specific information
on the appropriate behaviour and
safety measures they should adopt in
the event of an accident involving
hazardous substances (see OECD
Council Decision-Recommendation
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Emergency Preparedness and Response
C(88)85(Final), set out in Annex II, and
Section D of these Guiding Principles).
and UNEP, forms a good basis for such a
listing.
The predictable reactions of the public
should be taken into consideration
when developing emergency response
instructions. For example, the
reactions of the public to stressful,
unanticipated events are often
determined by instincts rather than as
a consequence of training and
information and, therefore, parents
will instinctively want to collect their
children from school even if this will
put them and their children at a
greater risk of harm.
E.1.39 Procedures should exist for public
input in the development of off-site plans
(see OECD Council Decision-
Recommendation C(88)85(Final), set out
in Annex II).
E.1.40 For cases in which an accident at
a hazardous installation may have effects
in neighbouring communities, emergency
planning and response should be
co-ordinated among the potentially
affected communities. Where an
accident may have transfrontier effects,
emergency planning and response should
be carried out in co-operation with
neighbouring countries. Careful planning
is necessary to overcome differences
between response systems and
administrative cultures in the countries
concerned (see OECD Council Decision
C(88)84(Final), set out in Annex I).
E.1.41 An up-to-date national network of
experts on emergency preparedness and
response should be maintained. In
addition, there should be an international
listing of groups of experts who can
make themselves available to countries
requiring assistance in the event of an
emergency. The International Directory
of Emergency Response Centres, which
has been jointly published by the OECD
E.2 Communications
E.2.1 Emergency warning alert systems
should be available to warn the
potentially affected! public that an
accident has occurred or that there is
an imminent threat of an accident.
(i) The system chosen can vary depending
on local culture and conditions
providing that it is effective and
timely. Suitable warning systems
could include, for example, sirens,
automatic telephone messages,
mobile public address systems or a
combination of systems.
(ii) The potentially affected public should
be notified of the systems which will
be used in an emergency, and the
systems should be tested in advance
so that their significance is fully
understood by the public and the
public knows how to respond
appropriately in an emergency.
(iii) In order to increase public
understanding of warning systems,
new approaches - such as public
education through schools and
greater use of audio-visual materials
- should be explored.
E.2.2 Designated spokespeople for
emergency situations should be carefully
chosen in order that they have the
necessary knowledge, skills, authority
and credibility to efiFectively
communicate with the public.
(i) They should be specifically selected
and trained to understand how to
develop information for target
audiences and deliver information
effectively.
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Emergency Preparedness and Response
(ii) Since effective communication with
the public during an emergency
requires the co-ordinated
involvement of a number of relevant
parties - including, for example,
local response officials, corporate
spokespeople, employee
representatives, community
representatives, public authorities,
technical experts and the media - the
duties of these parties should be
established during the preparation of
emergency plans.
E.2.3 The media should be involved
during the development of emergency
plans and should be given information
concerning the emergency plans in order
that they have the necessary background
to be an effective and reliable source of
information should an accident occur.
E.3 Medical Aspects of
Emergency Preparedness
and Response
The subject of medical aspects of
emergency preparedness and response is
being addressed in greater detail through
a joint activity of the International
Programme on Chemical Safety, the World
Health Organization (Euro), the United
Nations Environment Programme and the
OECD. A Workshop to consider
guidelines in this area will be held in
mid-1993. The Guiding Principles in this
subsection are, therefore, provisional and
will be reviewed and substantially
augmented by the guidelines resulting
from the Workshop.
E.3.1 Public health authorities should
establish their own health sector plans
at national, regional and local level as
part of the overall emergency
preparedness plans.
(i) Each country should establish an
information centre capable of
providing relevant information in an
emergency on the diagnosis,
treatment and rehabilitation of
persons injured by chemicals.
(ii) This information should be available
on a 24-hour-a-day basis throughout
the year.
E.3.2 Public health authorities, including
experts from the information centre,
should be involved in national and local
emergency planning related to accidents
involving hazardous substances.
(i) They should take part in exercises with
the other relevant authorities
involved in emergency response, in
order to test emergency plans and
train emergency response medical
staff.
(ii) They should be consulted when
issuing statements to the media
concerning health aspects of
chemical accidents. :
E.3.3 As part of emergency planning, it
should be ensured that adequate
medical facilities are available
including transportation facilities,
which may mean in an emergency the
rapid transformation of facilities
normally used for other purposes.
(i) The availability should also be ensured
of up-to-date antidotes and other
pharmaceutical substances, including
oxygen, necessary for the treatment
of persons injured by chemicals.
(ii) Where suitable antidotes exist for
treatment of persons injured by
chemicals produced or used by
industry, the industry should be
required to ensure their availability
locally if this is a problem for the
health authorities. Necessary
relevant emergency medicines, kept
updated, should be available at
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installations handling toxic
chemicals.
(iii) Decontamination equipment for
on-site and hospital use and, as
appropriate, protective equipment for
the medical emergency response
personnel should also be available.
E.3.4 Public health and education
authorities should ensure the basic
training of all medical and paramedical
professions, as appropriate, in the
principles of medical toxicology and
emergency medicine. Specialist courses
should be provided for those involved in
emergency response work.
E.3.5 Industry should be encouraged to
provide to the appropriate information
centres adequate data for emergency
medical response and follow-up,
including information on the composition
and the toxicological and other relevant
properties of chemical products which
they produce, use, store, dispose of, or
transport. Arrangements should be made
to guarantee the confidentiality of data,
where appropriate.
E.3.6 Research into new antidotes and
decontamination procedures for toxic
chemicals should be encouraged by the
health authorities and the relevant sectors
of industry.
E.4 Emergency Response
E.4.1 Management of a hazardous
installation should promptly notify
emergency response authorities of all
incidents involving hazardous
substances which result or threaten to
result in potential harm to health or
the environment.
(i) Notification should flow as directly as
possible from the individual
detecting the incident to responders.
(ii) The initial notification should include
the following information, if
ascertainable:
the nature of the incident;
the hazardous substances involved;
the potential severity of the incident;
and
the incident's potential off-site
effects.
E.4.2 The notification from the
hazardous installation should trigger the
implementation of the off-site emergency
response plan, beginning with an initial
assessment of the situation leading to a
decision on which response actions are
required.
E.4.3 Handover of responsibility from
management to public authorities, in the
case of accidents with potential off-site
effects, should be based on criteria
contained in the emergency plan. These
criteria should make: it clear at what stage
the handover should take place, and to
whom.
E.4.4 The first responders to an accident
should have sufficient information,
training and experience to be able to
assess quickly whether they can deal with
the situation, or whether additional
equipment and/or persons with particular
expertise should be summoned.
Mechanisms should be in place for the
first responders to obtain whatever
additional personnel and equipment are
needed for responding to the accident.
(i) Systems should be available to allow
immediate, on-the-spot access to the
information necessary to assess and
respond to an emergency and, in
particular, information regarding: all
hazardous substances in the
installation; how to deal with these
substances and their effects; and, as
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appropriate, related transport
activities.
(ii) Systems should be in place for
obtaining assistance, as needed, from
emergency responders in
neighbouring or other appropriate
communities.
E.4.5 Where the safety of the first
emergency responders is at risk, or where
other difficulties exist in responding
effectively, specialists should be called in
to assist with such matters as:
identification of the hazardous
substances involved;
evaluation of the'hazard;
*
need for protective equipment;
control and containment of the
hazardous substances; and
decontamination and emergency
termination activities.
Such specialists should be able to
provide fast, reliable information under
stressful conditions so that it can be
understood and immediately acted upon
by emergency services personnel.
E.4.6 In the case of the release of a toxic
substance, the decision on whether the
potentially affected public should shelter
indoors or be evacuated should be taken
by the responsible person designated in
the emergency preparedness plan. The
decision made should be based on likely
exposure and possible health effects.
E.4.7 The systems used for
communicating with the public in an
emergency to provide initial and
continuing information should be
well-known and readily accessible and
understood.
E.4.8 The media should have ready and
continuous access to designated officials
with relevant information, as well as to
other sources, in order to provide
essential and accurate information to the
public throughout the emergency and to
help avoid confusion. Efforts should be
made to check the clarity of the
information as it becomes available,
before it is communicated to the public.
E.4.9 Official spokespeople should be as
open as possible in providing information
during an emergency. In this regard they
should, for example, admit when
information is not available, avoid
making promises which cannot be
fulfilled, be the first to give bad news,
and ensure that the messages provided
are consistent with actions taken.
E.4.10 Public authorities should ensure
that systems are in place to provide
information to the public following the
accident and the immediate emergency
response.
(i) Such information should cover the
off-site effects of the accident, the
risks of further adverse off-site
effects, and related follow-up
information.
(ii) Counselling services should be made
available for victims of the accident
as well as victims' family, friends
and fellow employees.
E.4.11 During the transition between
emergency response/rescue operations
and clean-up activities, all those involved
should co-operate and exchange
information in order to maintain safety
and protect and/or restore the
environment.
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E.5 Incident Reporting and
Investigation
General Principle
E.S.I Efficient reporting and
investigation of all significant incidents
should be undertaken by industry and
public authorities, as they can provide
an important contribution to the safe
operation of hazardous installations.
Incident reporting and investigation can
also help to instill public confidence that
proper actions will be taken to avoid
similar incidents, or incidents with
similar consequences, in the future.
(i) Reporting and investigation should
identify causes of incidents and lead
to remedial action to correct any
deficiencies in technology or
procedures which led to the incident.
(ii) All interested parties should
encourage, and management should
promote, the full reporting and
critical examination of accidents and
near-misses.
Reporting
E.5.2 All fatalities, regardless off cause,
all significant incidents, and other
"reportable" events as determined
within the enterprise, should be
immediately reported by local
management to the appropriate
members of management of the
enterprise.
Reportable events should include
those which occur in conjunction with
work by contractors.
E.5.3 Employees and contractors
should be positively encouraged by
their management to report all
incidents to appropriate managers in
the enterprise so that the causes can be
established.
(i) Employees should be given the
appropriate training in hazard
identification to facilitate this.
(ii) Employees should also be encouraged
to discuss neair-misses among
themselves immediately after they
happen.
(iii) Efforts should, be made to foster an
environment where reporting
incidents and discussing them are
considered to be positive activities.
(iv) Employees should be given the
assurance that there will be no
adverse repercussions for reporting
incidents to mana.gement or
discussing incidents among
themselves.
E.5.4 Public authorities should require
prompt notification to an appropriate
authority of the key elements of major
accidents involving hazardous
substances. This notification should be
followed up by foimal written reports.
(i) Public authorities should encourage the
voluntary reporting by enterprises to
public authorities of accidents and
significant near-rnisses beyond that
legally required.
(ii) Similar information on incidents
should be provided to relevant trade
associations.
E.5.5 Mechanisms to foster the open and
frank exchange of information related to
accidents and near-misses, both within an
enterprise and among enterprises, should
be further developied and encouraged.
There is an obvious need to capture and
share such information widely throughout
industry, so that enterprises can learn
from the experience of others.
In addition to the sharing of
information within industry, means
should be developed to involve public
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Emergency Preparedness and Response
authorities in this information sharing
without jeopardising the enterprises'
interests.
E.5.6 Public authorities and industry
should promote further efforts to improve
the international exchange of information
on significant accidents and near-misses
in order to promote safety.
Efforts should be made to co-ordinate
reporting by industry at the national
and international level, in order to
facilitate information sharing.
E.5.7 Public authorities should also
establish a structured national system for
maintaining statistics on accidents
involving hazardous substances. This
will facilitate: exchange of information;
analyses of this information; and
dissemination of the results of the
analyses.
Investigation
E.5.8 The local management of an
installation should be responsible for
ensuring the prompt investigation and
thorough analysis of all incidents.
(i) The emphasis should be on identifying
the underlying causes, the lessons to
be learned, and ways to prevent
future accidents rather than
identifying the person(s) responsible.
(ii) The use of a computer database for
storing the key elements of incidents
can facilitate their analysis. By this
means, particular trends can be
highlighted and historical data can
be used proactively in accident
prevention, for example by orienting
safety training towards the avoidance
of the type of incidents which have
occurred.
E.5.9 Public authorities should
independently investigate all major
accidents.
(i) Where appropriate, this investigation
should be conducted by a group of
experts (for example, a specially
designated commission) which
includes different individuals than
those responsible for inspection of
installations and enforcement of the
control framework.
(ii) All appropriate interested parties
should have an opportunity to be
involved in this investigation.
E.5.10 In all accident investigations,
efforts should be made to determine the
underlying cause(s) in a chain of events
leading to an accident, and not to limit
the investigation to determining the
apparent cause(s).
Where "human error" is involved, the
cause should not simply be so
recorded. Rather, investigators
should determine exactly what
elements contributed to any human
error. Such elements could include
boredom, stress, overwork, lack of
training, inadequate procedures, poor
ergonomic design, poor
system/technology design,
communication problems,
management inadequacies, :
inappropriate safety goals, and similar
factors.
E.5.11 Public authorities should publish
accident investigation information for as
wide dissemination as possible. This
should include sufficient information to
enable it to be useful in other situations,
as well as any conclusions arising from
the analysis of accident data.
Public authorities are in a unique
position to correlate information,
foster exchange of information, and
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Emergency Preparedness and Response
provide credible analyses. Such
information is important in order to
gain knowledge useful for public
authorities and management in their
role in evaluating and making
decisions related to, for example,
regulation, monitoring, preparation of
emergency plans, and development of
risk assessment a.nd management
techniques.
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Section F
Research and Development
This Section concerns research and development related to improving safety at hazardous
installations and reducing adverse effects in the event of an accident. A.s described below,
research and development should be a co-operative activity involving industry, public
authorities, academia and intergovernmental organisations.
F. 1 The primary responsibility for
carrying out such research rests with
industry, that is the manufacturers and
processors of hazardous substances as
well as equipment designers.
Public authorities should prnmnfp.
research and development by
industry.
F.2 Industry should fund the research and
development needed to permit the most
effective compliance with regulations and
other requirements.
F.3 Public authorities should finance
research and development related to
policy formulation and implementation,
and in support of their statutory duties.
(i) Public authorities should also consider
financing the following:
research which industry would not
normally undertake because, for
example, it involves bringing
together analytical skills not
necessarily available in one
enterprise or sector of industry; and
research related to the sociological
and psychological aspects of
accidents, such as the ways
organisations and people behave
during emergencies.
(ii) Public funds should be allocated to
those projects which have the
greatest potential for improving
F.4 In order to make! greater use of the
results of the significant amount of
safety-related research which already
exists, public authorities and industry
should promote applied research
incorporating these results while
continuing efforts to refine them. In
addition, special efforts should be made
to obtain appropriate: experimental data in
order to validate the models used in
accident analysis.
F.5 Co-operation among research groups
should be encouraged through
multi-member, shared-cost research
projects and informal networks, as well
as through exchange of information at
meetings and in written materials. Such
co-operation helps to establish trust and
confidence in the work of others and to
avoid unnecessary duplication.
F.6 A significant amount of
safety-related research results are
disseminated in the form of computer
software. Their evaluation should be
subject to peer review in the same way as
research results disseminated in scientific
journals.
F.7 The results of safety-related research
should be disseminated as widely as
possible. Therefore, these results should
be available in an acceptable format and
in a language which could be widely
understood by potential users.
In order to promote the widest use of
research results, activities should be
initiated to develop common
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Research and Development
terminology at the international level
through professional associations and
other means.
F.8 National and international inventories
of research activities should be
established in order to facilitate the
dissemination of research information
and results, including research financed
by industry, public authorities and
academia. There should be rapid
exchange of information on planned and
on-going research and research results, so
as to stimulate the appropriate use of
scarce resources and minimise
unnecessary duplication.
F.9 Special attention should be given to
how research results should be
disseminated to those potential users who
may not have regular access to existing
channels of information. For example,
efforts should be made to target research
results related to safety technology and
management processes to small and
medium-sized enterprises. In addition,
information of interest to public
authorities should be disseminated, as
appropriate, to local communities and to
public authorities in non-OECD
countries.
F.10 The curriculum and research
programmes of science and engineering
departments of universities and colleges
should include, as an integrated .element,
safety aspects of design, operation and
management of hazardous installations
and the transport of hazardous
substances. These issues should also be
incorporated in the relevant activities of
professional organisations.
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Section G
Transfer of Technology and International Investment
Related to Installations in Non-OECD Countries
The premise of this Section is that hazardous installations in non-OECD countries should
meet a level of safety equivalent to that of similar installations in OECD countries. In this
regard, it should be emphasized that the foregoing Guiding Principles should apply to all
hazardous installations irrespective of location. This Section highlights certain points and
sets out additional Principles which should be taken into account in order to achieve this
equivalent level of safety -when OECD-based enterprises transfer technology to, or invest in,
hazardous installations in non-OECD countries. It should be pointed out that general
Principles related to transfer of technology and to acquisitions and affiliated operations are
set out in paragraphs B.4.18-B.4.22 and B.4.23-B.4.30, respectively.
This Section is not meant to be comprehensive in indicating how the Principles set out in
previous Sections may need to be elaborated in order to take into account situations in which
technology or investment flow from an OECD country to a non-OECD country. Rather, it is
meant to illustrate the types of local requirements, circumstances and cultural aspects which
should be considered, as well as the need in some cases to redefine the roles and
responsibilities of public authorities, industry and employees in order that the overall
objective of an equivalent level of safety is achieved.
Section G relates to the roles and responsibilities of public authorities, industry and
employees (and employee representatives where they exist) in the OECD countries from
which the technology or investment originates. Clearly the public authorities, industry and
employees (and their representatives where they exist) in the non-OECD, recipient countries
also have critical roles and responsibilities related to the safety of hazardous installations,
and it is ultimately the responsibility of the host government to establish and enforce
appropriate safety objectives. Since these Guiding Principles have been developed within
the OECD, however, it was considered appropriate to limit this Section to the provision of
guidance only to parties from OECD countries, with the recognition that Guiding Principles
relating to the roles and responsibilities of recipient countries should be developed in a
forum in which the views of representatives of non-OECD countries would be represented.
Nevertheless, it should be recognised that these Guiding Principles, in general, have been
drafted so as to apply in all countries including non-OECD countries, and it is therefore
hoped that they will be utilised world-wide.
A basic premise of these Principles is that there should not be any discrimination in
treatment between domestic and foreign enterprises, and that these Principles should be
implemented in a non-discriminatory fashion: the same standards should apply to domestic
technology and investments as to imported technology and foreign investments. In this
regard, the provisions of the General Agreement on Tariffs and Trade (GATT) should be
followed.
In addition, the Environment chapter in the Revised OECD Guidelines for Multinational
Enterprises, set out in Annex TV, should be taken into account.
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Transfer of Technology and International Investment
Related to Installations in Non-OECD Countries
Consideration was given as to whether this Section of the Guiding Principles should
incorporate a type of "prior informed consent" procedure for particularly hazardous
technologies, paralleling the activities for banned or severely restricted chemicals. It was
concluded that, while the objective of such a procedure is appropriate, technology cannot be
classified as banned or severely restricted. Furthermore, such a procedure would appear
unnecessary given the general provision of G. 1.1. indicating that the degree of safely of the
technology being transferred should be the highest level of safety reasonably practicable. A
number of provisions in this Section do, in addition, call for the exchange of the types of
information associated with prior informed consent procedures. ',
G.I General Principles
G.I.I The degree of safety of
installations which result from an
investment by an OECD-based
enterprise, or which incorporate
process or other safety-related
technology transferred from an OECD
country, should be the highest level of
safety reasonably practicable
according to the current state of
knowledge and local circumstances.
AH parties should promote a level of
safety for hazardous installations in
non-OECD countries equivalent to that
for similar installations in Member
countries. Equivalent level of safety
does not preclude the public authorities
or enterprises from seeking to achieve
a higher level of safety.
(i) Good design, engineering, construction,
operational procedures and
management practices should be
followed at the installation in order
that safety is maintained on a
continuing basis. Account should
also be taken of the need for
education and training, as well as the
need for provision of information
concerning the installation.
(ii) The transfer of technology, or the
investment, should only take place
once there is reasonable assurance
that safe operating conditions can be
achieved.
(iii) Responsibilities, including costs,
associated with meeting the
objectives of these Guiding
Principles may be allocated by
agreement amongst the parties
concerned.
G. 1.2 When an OECD-based enterprise
invests in a new hazardous installation in
a non-OECD country, or provides
process or other safety-related technology
for such an installation, the process
should be chosen and the installation
should be designed to take into account
local factors which may affect the safety
of the installation. These include, among
other considerations:
geographical and climatic conditions;
cultural and socio-economic factors;
infrastructure, including emergency
services;
legal and administrative framework;
land-use policies;
local legal and control systems;
local availability of labour;
information systems; and
available construction materials and
equipment.
G.1.3 Technology suppliers and investors
should, in conjunction with technology
receivers and relevant public authorities,
prepare a site-specific hazard assessment
that includes, among other things, an
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evaluation of the culture and practices in
the non-OECD country that may prompt
a re-design of the safety engineering
system, and an evaluation of the potential
impacts of any design assumptions that
may affect the safe use of the technology
at die specific location. These might
include, for example, assumptions
regarding the capacity and size of
existing public emergency services, the
reliability of steady electrical supply, the
size of the pool of safety engineers, and
the availability of spare parts and
maintenance equipment.
The hazard assessment should be used
in deciding whether to go forward
with a proposed technology transfer
or investment.
G.1.4 The Guiding Principles relating to
provision of information to employees
and to the public should be applicable to
all hazardous installations, irrespective of
location, recognising however that the
location of the installation may affect the
relative roles of industry and public
authorities. For instance, if local public
authorities do not have adequate
resources to implement public
information schemes, the management of
a hazardous installation should undertake
to make relevant information available to
the public, consistent with Section D of
these Guiding Principles.
The approaches used for risk
communication in OECD countries
cannot effectively be transferred
wholesale to non-OECD countries.
To ensure that the information
provided is accurate, comprehensive
and understood, the approaches used
in non-OECD countries should take
into account such differences as social
and family structures, religious
influences, language/dialect
differences, resource limitations, and
available information dissemination
technology.
Transfer of Technology and International Investment
Related to Installations in Non-OECD Countries
G.1.5 International organisations should
continue to take action to support the
principle that transfers of technology and
investments concerning hazardous
installations should only take place when
accompanied by the related safety
technology and "laiow-how", together
with the assurance that safe operating
conditions can be achieved in the
recipient country.
G.2 Transfer of Technology:
Role of Technology Suppliers
Subsections G.2 and G.3 concern the
transfer of process or other safety-related
technology by an OECD-based enterprise
to a hazardous installation in a non-OECD
country. The transfer of technology could
be either: between independent parties; or
within the framework of a relationship
between companies. In the latter case, the
relationship can range from minority
participation to full ownership. The
nature of this relationship may affect the
allocation of responsibilities between the
technology supplier and receiver, or may
influence the means of carrying out their
respective responsibilities.
These Guiding Principles should be read
in conjunction with the general Principles
on Transfer of Technology (paragraphs
B.4.18-B.4.22).
G.2.1 The responsibilities of all parties
involved in the transfer of technology
related to a hazardous installation
should be clearly defined at a
preliminary stage of the transaction.
There should be ai written contract
between the suppllier and the receiver
which specifies the duties of each with
respect to the safety aspects of the
technology being transferred,
recognising that responsibility is linked
to effective operational control. Such
arrangements should take into account
the amount of resources needed to
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Transfer of Technology and International Investment
Related to Installations in Non-OECD Countries
comply with safety requirements, as well
as the corporate Safety Policy and
guidelines.
G.2.2 The technology supplier should
export only those technologies for
which sufficient experience has been
gained to permit an appropriate
hazard analysis of the safety of the
technology at the location where it will
be used.
G.2.3 Transfer of technology related to
hazardous installations should only
take place if accompanied by the
appropriate safety technology and the
information necessary for the safe
operation of the installation.
G.2.4 Consistent with the principle that
technology transfer should only take
place when accompanied by related
safety information, the technology
supplier should make available to the
technology receiver and, on request, to
competent public authorities in the
importing country, the following
information relating to the technology to
the extent relevant to safety:
national regulations, legal or
administrative requirements, and
accident prevention practices in the
major areas where the technology is
in use;
generally accepted safety standards,
voluntary codes, trade association
rules, and other technical guidance
documents relevant to the technology
design, construction or operation;
description of the process, including
all necessary data on the substances
handled, the chemical reactions
involved, etc.;
operating instructions and critical
operating parameters during routine
and non-routine conditions;
a hazard analysis indicating, among
other things, significantly hazardous
features of the technology, known or
suspected safety problems associated
with the technology, possible products
of runaways and domino effects
during an accident, the minimum and
maximum safe operating zones for
each industrial process, and the
normal quantities of hazardous, toxic
and flammable substances present
during processing or storage;
any additional information relevant
for hazard assessment and control, for
the safe operation of the technology
and the safe handling of any
hazardous substances used or
manufactured, and for review of
safety performance;
directions for maintenance, including
the recommended frequency of
surveillance and of maintenance of
vital components as' well as the
installation as a whole, estimates of
the prospective maintenance costs,
monitoring equipment needed, and the
skills required; and
manuals and programmes for the
education and training of employees.
(i) The above information should be
available in an appropriate language
and should be provided as early as
possible and, to the extent
appropriate and in accordance with
the contract, before the transfer of
technology takes place. The
schedule for the provision of
information should be acknowledged
in the negotiation process for the
transfer.
(ii) Recognising that this paragraph
applies to the provision of
information to the extent necessary
to ensure safety, appropriate
arrangements should be in place to
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Transfer of Technology and International Investment
Related to Installations in Non-OECD Countries
ensure the protection of legitimate
trade secrets, taking into account
paragraph D. 13. The above in no
way diminishes the intellectual
property rights associated with the
product or process which is the
subject of the transfer of technology.
G.2.5 The technology supplier should
indicate to the technology receiver and,
as appropriate, to the public authorities in
the technology importing country, if the
technology being transferred involves
activities which are classified as
hazardous in the supplier's country
and/or, if known, in any third country.
G.2.6 The technology supplier should be
responsible for safe process design,
supervision of commissioning, initial
technical education and training, and
start-up assistance, and for providing
information needed for safe operation
and safe handling of products used or
manufactured, recognising that there
should be a contract specifying the duties
of the supplier and receiver in accordance
with paragraph G.2.1.
G.2.7 The technology supplier, through
its own staff or consultancy services,
should make technically qualified people
available to provide assistance to the
technology receiving enterprise for
training and education regarding the
safety of the technology, including the
adaptation of the transferred technology
to local conditions and its
implementation in the local industrial
infrastructure. Such assistance should be
made available during the design,
construction, start-up and initial
operation of the hazardous installation
(see paragraph G.2.1).
(i) Normally, the technology receiver
should be responsible for detailed
engineering, plant construction,
process operation, plant maintenance
and modifications, alteration in
design or operating procedures,
provision of information to local
authorities on safety issues, training
and supervision of the workforce,
and the establishment of safety and
security checking systems.
(ii) Specific contractual provisions can
require the technology supplier to
exercise control over some of these
tasks. i
G.2.8 The technology supplier should, as
appropriate, continue to provide
information and assistance necessary for
the safe operation of a hazardous
installation following start-up, although
the extent of this responsibility and the
period during which it applies can vary
depending on the type and context of the
specific contract. In all cases, the
technology supplier should provide any
relevant subsequent information related
to safety which was not identified at the
time of the transfer including, for
example, information concerning the
investigation of an accident or near-miss
involving related technology (see
paragraph G.2.1).
G.3 Transfer of Technology:
Role of Technology
Exporting Countries
G.3.1 Upon request by public authorities
in the technology importing country, the
public authorities in the technology
exporting country should make available,
to the extent reasonably practicable, the
following information concerning a
proposed or actual transfer of technology
related to a hazardous installation:
national and local legal and
administrative requirements and
regulations applicable to the situation
in which the installation is sited and
operated; i
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Transfer of Technology and International Investment
Related to Installations in Non-OECD Countries
government-prepared information
relevant to the risks and safe
operation of the technology being
transferred and the purpose for which
it is intended to be used; and
publicly available post-accident and
incident-review studies and reports, to
the extent relevant.
(i) Public authorities in the technology
exporting country should be able to
recover the costs of providing this
information from the technology
supplier, as appropriate.
(ii) Efforts should be made to develop an
international mechanism for the
collection, collation and
dissemination of this type of
information on a worldwide basis.
G.4 Investments by
OECD-Based Enterprises
in Hazardous Installations
in Non-OECD Countries
Subsection G.4 relates to international
investment by an OECD-based enterprise
in a hazardous installation in a non-OECD
country. This can involve a wide range of
activities, including those in which the
hazardous installation is under the actual
control of the OECD-based enterprise
(defined as a subsidiary relationship) and
those in which the OECD-based enterprise
is a minority partner and does not have
actual control of the installation through
contractual or other means (defined as an
affiliate relationship). The nature of the
investment could be, for example, an
acquisition of an existing installation, the
construction of a new installation, or
participation in a joint venture
partnership.
It should be noted that many of the
provisions relating to the transfer of
technology also apply to investments.
Often the investment requires a transfer of
technology, or a technology transfer is
needed to bring the installation in issue up
to the necessary degree of safety.
These Guiding Principles should be read
in conjunction with the general Principles
on Acquisition and Affiliated Operations
(paragraphs B.4.23-B.4.30).
G.4.1 The prevention of accidents should
be one of the fundamental business
considerations taken into account by
OECD-based enterprises, as well as by
international service organisations and
financial institutions, in any investment
related to a hazardous installation in a
non-OECD country. The amount of
resources needed to comply with safety
requirements as well as corporate safety
policies and safety practices, based on
these Guiding Principles, as well as the
influence of local needs and culture,
should be taken into account in
determining the levels of funding and
assistance required in conjunction with
the investment.
G.4.2 Investments by OECD-based
enterprises resulting in new enterprises
should be accompanied by good design,
engineering, construction and operational
practices in order that a high degree of
safety can be maintained on a continuing
basis. Account should be taken of the
needs for education and training, as well
as for the transfer of information,
concerning the installation and its
operation in the local community.
G.4.3 To the extent reasonably
practicable, an OECD-based enterprise
should ensure that subsidiaries apply
policies and practices concerning
accident prevention and emergency
preparedness and response which are
equivalent to those followed by the
enterprise in the home country.
Equivalent does not preclude the public
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authorities or enterprises from seeking to
achieve a higher level of safety.
(i) The means of implementing these
policies and practices should be
adapted to the particular local needs
and circumstances, including legal,
policy, administrative, technical and
similar factors.
(ii) Line management of individual
installations should develop its own
safety programmes to implement the
enterprise's Safety Policy;
(iii) Information concerning the hazardous
installations and measures to adopt
in the event of an emergency should
be provided to employees,
contractors and the local community
in a manner equivalent to that done
by the enterprise in its home country;
and
(iv) Employees should have rights
concerning participation in safety-
related activities at the hazardous
installation equivalent to those of
employees in the home country.
G.4.4 The corporate Safety Policy of an
OECD-based enterprise should be
publicised in the relevant national
language(s) in all hazardous installations
of subsidiaries and, to the extent possible,
in hazardous installations of affiliates.
Transfer of Technology and International Investment
Related to Installations in Non-OECD Countries
GAS An OECD-based enterprise should
endeavour to have affiliates adopt safety
policies and practices which are
comparable to its own, and should offer
assistance to facilitate this objective.
G.4.6 An OECD-based enterprise with
investments in hazardous installations in
non-OECD countries should co-operate
with local officials to ensure that an
appropriate infrastructure exists for
emergency preparedness and response,
siting/land-use planning, and provision of
information to the public.
GAT Safety experience including,
among other things, experience relating
to operation, training, maintenance,
emergency preparedness and response
gained by an OECD-based enterprise
operating in a non-OECD country should
be shared among local enterprises within
that country, while recognising the need
to protect trade secrets.
GAS Internationiil service organisations,
particularly engineering firms, law
partnerships, consultancy firms, financial
institutions and financial advisors, should
take reasonable steps to ensure that their
practices encourage the application of
these Guiding Principles by, for example,
following the relevant Principles in their
own activities and by bringing the
Principles to the attention of the
appropriate corporate or government
clients.
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Section H
Bilateral and Multilateral Technical and Financial
Assistance
i
This Section deals -with the provision of technical and financial assistance from OECD
countries, and from multilateral aid agencies and multilateral financial institutions. It
recognises that significant experience related to accident prevention, preparedness and
response is available in OECD countries and that means should be found to facilitate
transfer of information and know-how to those countries which may not have the same level
of knowledge or experience.
This Section also incorporates the idea that assistance to non-OECD countries should be
consistent with ecologically sound development and, therefore, efforts should be made to
minimise the possibility that assistance projects will help create, increase or sustain risks of
accidents involving hazardous substances. In this regard, assistance related to the safety of
hazardous installations should be linked with assistance provided for infrastructure
development related to environmental protection, as well as with assistance for industrial
development.
H.I Aid Agencies
H.I.I Bilateral and multilateral aid
agencies should help non-OECD
countries to minimise the risk of
accidents involving hazardous
substances through development
assistance projects. Technical
assistance and training should be
provided to build institutional
infrastructures and to further develop
human resource capabilities.
H.1.2 Aid agencies should screen
relevant aid proposals to minimise the
possibility that projects will help
create, increase or sustain an
unreasonable risk of an accident
involving hazardous substances, and to
further the objective that hazardous
installations in non-OECD countries
should meet an equivalent level of
safety to similar installations in OECD
countries.
Aid agencies responsible for initiating
bilateral aid proposals should be
sensitive to issues of safety with
respect to such proposals.
H.1.3 Technical co-operation between
OECD and non-OElCD countries should
be strengthened in order to increase the
institutional capability of non-OECD
governments to fulfill the roles and
responsibilities of public authorities
related to the safety of hazardous
installations. This should include, for
example, assistance relating to
establishing accident prevention
programmes, undertaking emergency
planning, responding to an accident, and
facilitating assistance should an accident
occur.
H. 1.4 Aid agencies should provide
information, technical education, training
and assistance to promote safety of
hazardous installations at the local level
through, for example, siting and land-use
policies to avoid the encroachment of
populations in the vicinity of hazardous
installations, and the application of the
UNEP APELL procedures, the ILO Code
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of Practice on Prevention of Major
Industrial Accidents, and related
guidance materials.
Intergovernmental organisations, as
well as industry and trade unions and
their international organisations,
should assist with such technical
co-operation.
H.1.5 Aid agencies, industry associations
and enterprises in OECD countries
should assist non-OECD countries to
identify appropriate technical and
financial support for activities related to
accident prevention, preparedness and
response.
H.1.6 The team within an aid agency
responsible for developing aid proposals
should, as appropriate, include specialists
with the background, training and
experience necessary to consider the
potential safety consequences of any
proposals relating to hazardous
installations.
H.1.7 Aid agencies should use formal
and explicit procedures to assess
potential risks of accidents when
decisions are being taken concerning
technical and financial assistance in
connection with specific hazardous
installations.
H.1.8 Aid agencies should ensure that an
adequate assessment of accident
potential, consistent with these Guiding
Principles, is carried out prior to
providing financial assistance to support
new hazardous installations or the
expansion of existing installations. This
assessment should take into account,
among other things: potential technical
failures; managejnent capability;
workforce capability; appropriateness of
the technology for the local community;
and the institutional arrangements for
oversight, emergency preparedness and
response.
(i) In this regard, environmental impact
assessments should include
consideration of the risk of accidents
involving hazardous substances.
(ii) The results of these assessments
should be made available to officials
in the aid-recipient countries and to
local community groups.
H.1.9 Input should be sought from local
residents in the aid-recipient country,
including community leaders, in
undertaking the formulation, assessment
and implementation of aid projects
relating to hazardous installations, in
order to benefit from their knowledge
about the special attributes and
limitations of the local community
(infrastructure, workforce capability,
cultural considerations, etc.). ;
H.1.10 Funding allocations from aid
agencies related to hazardous
installations should ensure that sufficient
resources are available for safety-related
issues such as education and training.
Consideration also should be given to
incorporating arrangements and funding
for adequate monitoring, evaluation,
maintenance and other follow-up to
ensure that essential safety requirements
are being met.
H.1.11 Aid agencies should ensure the
availability of emergency medical
facilities, and of information necessary
for treatment of injured persons, where
they are financing industrial and other
development projects involving toxic
chemicals. Such agencies should be
encouraged to finance the development
of the capability in non-OECD countries
for adequate medical response to
accidents involving hazardous substances.
80
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Bilateral and Multilateral Technical and Financial Assistance
H.2 Multilateral Financial
Institutions
H.2.1 Multilateral financial institutions
should develop and apply policies and
procedures for minimising the risk of
accidents at hazardous installations that
they help to finance. For example, they
should not assist with any project which
poses an unacceptable risk of a major
accident involving hazardous substances.
(i) In this regard, an adequate assessment
of accident potential, consistent with
these Guiding Principles, should be
carried out prior to the multilateral
financial institutions providing
financing for new hazardous
installations or expansion of existing
installations.
(ii) In addition, these institutions should
assist non-OECD countries, as
appropriate, to undertake an analysis
of risks of existing installations and
help develop education and training
programmes concerning accident
prevention, preparedness and
response.
H.2.2 Multilateral financial institutions
should inform host governments when
projects they propose to help finance
would create, increase or sustain a risk of
a major accident involving hazardous
substances, and should provide any
available information concerning these
risks.
H.2.3 Multilateral financial institutions
should promote appropriate safety
practices by enterprises which are to
receive financial credits for transfer of
technology with the potential for a major
accident by actively encouraging such
enterprises to follow these Guiding
Principles, and by taking into account the
resources necessary to do so in
determining the level of their financial
assistance.
81
-------
-------
*?
y'
^Section I
^^
Acronyms
APELL:
BIAC:
CAER:
CCPA:
CCPS:
CEFIC:
CIA:
CMA:
CONCAWE:
EFCE:
EPA:
HSE:
IAEA:
ICFTU:
IChemE:
ILO:
INES:
IPCS:
NGO:
OECD/NEA:
Awareness and Preparedness for Emergencies at Local Level
(UN Environment Programme)
Business and Industry Advisory Committee to OECD
Community Awareness and Emergency Response
Canadian Chemical Producers Association
Center for Chemical Process Safety
(of the American Institute of Chemical Engineers, AIChE)
Conseil European des Federations de 1'Industrie Chimique
(European Chemical Industry Council)
(UK) Chemical Industries Association
(US) Chemical Manufacturers Association
The Oil Companies European Organization for Environmental
and Health Protection
European Federation of Chemical Engineering
(US) Environmental Protection Agency
(UK) Health and Safety Executive
International Atomic Energy Agency
International Confederation of Free Trade Unions
(UK) Institute of Chemical Engineers
International Labour Office
International Nuclear Event Scale
International Programme on Chemical Safety
Non-governmental organisation
OECD Nuclear Energy Agency
83
85
-------
Glossary
damage to the environment, including
property.
hazard analysis earn
identifying potential hazards.
properties, consulates a hazard.
incidents: Accidents and/or near-misses.
well
zoning/physical planning a
or of other developments.
environment.
level in the enterprise having such
authority.
, regulations, standards,
Industry and independent bodies.
hSolvedalossofcon^nment
possibly giving rise to significant
adverse effects.
Sntru, competent authormes.
OECD-based Enterprise: Enterprise
in an OECD Member country.
resposibili.y and authority to take
a
continuously improving
health and the environment).
PublicAuthorities: Government bodies at
other instructions having the force ot
law. ;
-------
0
Cent
B
-1
E.,
4o»s
^ses,
jigfcAS aft
cofttfol. Tvve
rredftttology: Jptv
rans** <* Ce" d otWet safety
tlft
. A&V sed°US
T«-^S£2^£«.*«"
4a«*S610,,": todB^Sw a
'fffe2Z&~
87
.4.13;
n;G.1.3;G.2.7;G.4.2
Event Tree Analysis:: BA1
89
-------
Key Word Index
Exercise or Test (for emergency
response): A.l(h); A.2(q);D.ll;
E.1.2;E.U3;E.1.14;E.2.1;E.3.2
Fire (fighting or protection from): B.4.8;
B.4.11; B.5.4; B.5.61; B.5.63 - B.5.65;
B.5.67;B.6.4;E.1.11;E.1.34
Hazard (analysis, assessment, evaluation
or identification) (see also "Risk
Assessment"): A.2(e); A.2.(q); B.4.1 -
B.4.4; B.4.14; B.4.19; B.4.23; B.5.30;
B.5.45; B.5.54; B.5.56; B.6.4; C.5;
C.6; E.1.21; E.1.30; E.1.32; E.4.5;
E.5.3; G.1.3; G.2.2; G.2.4
Hazard and Operability Studies
(HAZOP): B.4.1
Human Error/Human Factor: B.4.5;
BA10;B.5.44-B.5.51;E.5.10
Incident (see also "Near-miss"): A.2(b);
A.2(u); B.1.5; B.2.15; B.3.3; B.3.6;
B.6.5;E.1.25;E.1.28;E.4.1;
subsection E.5; G.3.1
Industry (see also "Management" and
"Producers"): Section A (intro);
A.l.(b); A.l(f); A.l(j); subsection A.4;
A.6(a); B.1.2; B.1.4 - B.1.6; B.2.3;
B.2.5; B.2.8 - B.2.10; B.2.16; B.2.19;
subsection B.3; B.4.6; B.5.43; B.6.2.;
B.6.4 - B.6.8; C.5; C.11; Section D
(intro); D.2; D.12 - D.15; E.L17;
E.3.3; E.3.5; E.3.6; E.5.1; E.5.5; E.5.6;
Section F (intro); F.I - F.4; F.8;
Section G (intro); G.1.4; H.1.4; H.1.5
Industry Association: see "Trade
Association"
Inspections (see also "Audit" and
'Monitoring"): A.l(c); A.2(l);
B.2.13; B.4.14; B.5.46; B.5.52; B.5.54;
B.5.63; B.6.4; B.6.8; E.5.9
Intermediate Substance: B.4.9; B.5.39;
B.5.59
Investigation (of incidents, accidents and
near-misses): A.l(d); A.2(u); B.1.3;
B.5.24; B.5.42; B.6.4; Section E
(intro); E.5.1; E.5.8-E.5.11;G.2.8
Investment: Section A (intro); A.6(b);
A.6(c); A.6(e); B.4.23 -B.4.26; Section
G (intro); subsection G.I; subsection
G.4
Land-use (Planning and Policies) (see
also "Siting"): Section A (intro);
subsection B.2 (intro); B.5.51; Section
C;G.1.2;G.4.6;H.1.4
Licensing (of hazardous installations):
A.l(e);B.2.14
Line Management: A.2(c); B.3.8; B.5.10;
B.5.14;B.5.19;G.4.3
Maintenance: A.2(l); A.6(a); B.4.4;
B.5.5; B.5.44; B.5.52; B.5.53; B.6.8;
G.1.3; G.2.4; G.2.7;G.4.7; H.1.10
Management (see also "Industry"):
Section A (intro); A.l(c); A.l(d);
A.l(h); subsection A.2; A.3(c); Section
B (intro); B.1.4 -B.I.7; B.2.5; B.2.10;
B.2.13 - B.2.15; subsections B.3 - B.6;
C.4; C.6; E.1.1; E.1.2; E.1.4; E.l.ll;
E.l. 17; E.1.20; E.1.32; E.1.34; E.4.1;
E.4.3; E.5.1 - E.5.3; E.5.8; E.5.10;
E.5.11; F.9; F.10; G.I.I; G.1.4; GAS;
H.1.8
Media: A.5(b); D.15; E.2.2; E.2.3; E.3.2;
E.4.8 '.
Modification: A.2(e); A.2(m); B.2.14;
B.4.1; B.4.5; B.4.6; BAH; B.5.54 -
B.5.58; C.3; C.6; C.9; G.2.7
Monitor or Monitoring (see also "AudJ
and "Review"): A.l(c); A.2(j); A.2
A.6(a); A.6(g) B.1.3; B.1.5; B.2.2;J
B.2.11; B.2.13; B.5.16; B.5.28; B/
B.5.59; subsection B.6; E.5.11;
H.1.10
90
-------
Key Word Index
Multilateral Financial Institutions:
Section H (intro); A.6(h); subsection
H.2
Near-miss (see also "Incident"): B.5.46;
Section E (intro); E.5.1; E.5.3 - E.5.6;
G.2.8
OECD-based Enterprise: A.6(b); A.6(c);
A.6(e); Section G (intro); G.I.I; G.1.2;
subsection G.2 (intro); subsection G.4
OECD Council Acts:
C(88)84(Final), "Decision of the
Council on the Exchange of
Information concerning Accidents
Capable of Causing Transfrontier
Damage": B.2.17;C.14
C(88)85(Final), "Decision-
Recommendation of the Council
concerning Provision of Information to
the Public and Public Participation in
Decision-Making Processes Related to
the Prevention of, and Response to,
Accidents Involving Hazardous
Substances": C.13; D.I; D.5; E.1.38;
E.1.39
C(89)88(Final), "Recommendation of
the Council on the Application of the
Polluter-Pays Principle to Accidental
Pollution": A.5(a);B.3.2;E.1.18
Off-site Emergency (Preparedness) Plan:
A. l(h); A.2(q); A.2(r); Section E
(intro); E.1.2 - E.1.4; E.1.13; E.1.14;
E.1.30-E.1.41;E.4.2
On-site Emergency (Preparedness) Plan:
A.l(h); A.2(q); A.2(r); A.2(s); Section
E (intro); E.1.2 - E.1.4; E.1.13; E.1.14;
E.1.20-E.1.29
Operating Procedures: A.2(f); B.I.5;
B.4.18;B.5.1;B.5.2;G.2.7
Non-governmental Organisation: B.6.1;
D.12.3
Polluter Pays Principle: A.5(a); E.I. 18
Producer: A.2(d);EU.8;B.3.10
Product Stewardship: A.2(d);B.1.8;
B.3.10
Public (including Public Potentially
Affected in the Event of an
Accident): A.l(f); A.l(i); A.2(p);
A.5(b); B.1.2 - B.1.4; B.2.5; B.2.13;
B.2.14; B.2.16; B.3.5; C.13; Section
D; E.1.37 - E.1.39; E.2.1; E.2.2; E.4.6-
E.4.8; E.4.10;; E.5.1; G.1.4; G.4.6
Public Authorities: Section A (intro);
subsection A.1; A.2(p); A.6(a); Section
B (intro); B.1.2 - B.1.4; B.1.7;
subsection B.2; subsection B.3 (intro);
B.3.6; B.3.12; B.4.4; B.4.6; B.4.21;
B.4.24; B.5.17; B.5.24; B.5.43; B.5.47;
B.5.50; B.5.51; B.5.53; B.5.65;
subsection B.6 (intro); B.6.1 - B.6.3;
B.6.8 - B.6.13; Section C; Section D
(intro); D.I - D.4; D.12; D.15; E.I.I;
E.1.2; E.1.4; E.1.10; E.l.ll; E.1.16;
E.1.17; E.1.19; E.1.20; E.1.30 -
E.1.32; E.2.2; subsection E.3; E.4.1;
E.4.3; E.4.10; subsection E.5; Section
F (intro); F.I; F.3; F.4; F.8; F.9;
Section G (intro); G.I.I; G.1.3; G.1.4;
G.2.4; G.2.5; G.2,,7; G.3.1; G.43;
H.1.3
Quantified Risk Assessment (QRA):
B.4.2;C.5
Recipient or Receiver (of technology,
investment or aid): A.4.(b); A.6(f);
B.4.18; B.4.20; Section G (intro);
G.1.3; G.1.5; subsection G.2 (intro);
G.2.1; G.2.4 - G.2.6; H.1.8; EL 1.9;
H.2.3 :
Repairs: A.2(m); B.5.54; B.5.57
Reporting (of incidents, accidents and
near-misses): A.1i(d); A.3(c); B.L3;
B.2.15; B.4.30; B.5.23 - B.5.25;
91
-------
Key Word Index
B.5.42; B.6.4; Section E (intro); E.5.1-
E.5.7;G.3.1
Research: Section A (intro); A. l(k);
A.4(c); B.2.16; B.4.1; B.4.5; B.4.28;
B.5.2; E.3.6; Section F
Review (of safety or safety performance)
(see also "Audit" and "Monitor"):
Section A (intro); BAH; B.4.27;
B.5.16; B.5.50; B.5.58; subsection B.6;
G.2.4
Risk Assessment (see also "Quantified
Risk Assessment" and "Hazard
Assessment"): B.4.19;C.5;C6;
Risk Management: B.3.7; E.5. 1 1
Safety Committee: A.2(k);B.5.19;B.5.20
Safety Culture (Corporate): A.2(a);
B.1.5;B.3.5;B.3.6;B.5.14
Safety Objectives: Section A (intro);
A.l(b); A.4(a); B.1.3; B.2; B.3.3;
B.3.6; B.3.13; B.3.14; B.5.10; C.11;
Section G (intro)
Safety Personnel: B.5.14
Safety Policy or Policies (Corporate):
Section A (intro); A.2(a); A.2(j);
A.3(a); B.1.5; B.1.9; subsection B.3;
B.4.17; B.4.24; B.4.25; B.5.5; B.5.9;
B.5.27; B.5.28; B.6.1; G.2.1; G.4.1;
0.4.3 -GAS
Safety Report: B.2.13;B.4.4;E.1.4
Safety Representative: B.5.19;B.5.21;
B.5.23; B.3.35; B.5.46
Safety Requirements: A.l(b); A.6(g);
B.1.3; B.2.2; B.2.4; B.2.7 -B.2. 11;
B.2.13; B.2.16; B.3.8; B.4.6; B.4.16;
B.4.25; B.5.11; B.5.12; B.5.22; B.5.52;
B.5.60; B.6.4; B.6.5; B.6.8; B.6.9; F.2;
G.2.1; G.2.4; G.3.1; G.4.1; H.1.10
Shareholder: B.6.1;B.6.7
Siting (see also "Land-use"): Section A
(intro): A.6(a); B.2.14; Section C;
G.3.1; G.4.6;H.1.4
Small and Medium-sized Enterprises or
Companies: A.4(a); B.2.8; B.2.16;
B.2.21; B.3.12; B.3.13; B.6.6; B.6.12;
E.1.4;F.9
Storage or Storage Facilities: A.2(n);
B.1.5; B.3.6; B.3.10; B.4.3; B.4.9;
B.4.29; B.5.59 - B.5.67; C.6; E.1.21;
E.3.5; G.2.4
Subsidiary: A.2(o); B.4.27 - B.4.30;
subsection G.4
Supplier (of Technology): A.4(b);
B.4.18 - B.4.20; G.1.3; subsection G.2;
G.3.1
Technology Exporting Country:
subsection G.3
Technology Importing Country: G.2.4;
G.2.5; G.3.1
Technology Transfer (or Transfer of
Technologies): Section A (intro);
A.4(b); A.6(a) - A.6(e); B.4.18 -
B.4.22; Section G (intro); G.I.I; G.1.3;
G.I.5; subsection G.2; subsection G.3;
subsection G.4 (intro); H.2.3
Test (for emergency response): see
"Exercise"
Tolerability of Risk: see "Acceptability"
Trade Association or Industry
Association: A.4(a); B.2.5; B.2.21;
B.3.12 - B.3.14; B.4.6; E.5.4; G.2.4;
H.1.5
92
-------
Key Word Index
Trade Secret: B.2.13; D.13; G.2.4; G.4.7
Trade Union (see also "Employee
Representatives"): B.2.5;B.5.17;
H.1.4
Training (and Education): A.l(h); A.l(l);
A.2(g); A.6(f); B.2.3; B.2.16; B.3.9;
B.4.4; B.4.18; B.5.4; B,5.10; B.5.14;
B.5.19; B.5.21; B.5.27; B.5.30 -
B.5.43; B.5.48; B.5.59; B.6.1; B.6.4;
B.6.9; D.6; D.10; E.I. 12; E.1.38;
E.2.1; E.2.2; E.3.2; E.3.4; E.4.4; E.5.3;
E.5.8; E.5.10; G.I.I; G.2.4; G.2.6;
G.2.7; G.4.2; G.4.7; H.1.1; H.1.4;
Transfrontier Dannage or Effects:
B.2.17;C.14;E.L40
Transport (of hazardous substances):
A.l(g); B.3.10; B.5.7; B.5.40; C.3;
C.4; C.ll; E.I.I; Ei.1.30; E.3.5; E.4.4;
F.10
Warehousekeeper: A.2(n); B.5.59 -
B.5.67
Warning Systems: A.l(i); B.2.17; E.2.1
93
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Section L
References
Note: The publications listed in this Section were considered by the ad hoc Group to be
particularly relevant and are generally available to the public. This list is not intended to be
comprehensive.
Many of these publications are available in more than one language. This is especially
likely to be true in the case of publications from international organisations, or from the
governments of countries which have more than one official language,.
The contact points in subsection L.8 below may be able to furnish additional information
about publications which come from their country or organisation, as well as about
programmes related to chemical accident prevention, preparation and response.
L.1 General
1. CCPA: Responsible Care: A Total
Commitment, Ottawa, 1991.
2. Council of the European Communities:
Council Directive of 24 June 1982 on
the Major Accident Hazards of Certain
Industrial Activities (82/50 I/EEC)
("The Seveso Directive"), Official
Journal of the European Communities
(OJ) No. L 230, August 1982, p. 1, as
amended by Council Directive of
19 March 1987 (87/216/EEC),
OJ No. L 85, 28 March 1987, p. 36,
and by Council Directive of 24
November 1988 (88/610/EEC),
OJ No. L 336,7 December 1988, p. 14.
3. Direccidn General de Proteccitfn Civil:
Guiapara la communication de
riesgos industriales, guimicos y planes
de emergencia, Madrid.
4. Direccidn General de Protecci<5n Civil:
Legislation espanola de accidentes
mayores de origin gufmico, Madrid.
5. Environment Canada: Bhopal Aftermath
Review: Assessment of the Canadian
Situation, 1986.
6. HSE: Assessment of the Toxicity of
Major Hazard Substances (by
R. M. Turner and S. Fairhurst),
Specialist Inspector Report No. 21,
Health and Safety Executive
Information Centre, London, 1989.
7. HSE: Major Hazard Assessment: A
Survey of Current Methodology and
Information Sources (by P. Kinsman),
Specialist Inspector Report No. 29,
Health and Safety Executive
Information Centre, London, 1991.
8. ICFTU: Is There a Bhopal Near You?
Union's Drive to Prevent Chemical
Disasters Worldwide. Trade Union
Principles for Preventing Chemical
Disasters, Brussels, 1986.
9. ILO: Convention Concerning Safety in
the Use of Chemicals at Work
(Convention No. 170), Geneva, 1990.
10. ILO: Major Hazard Control: A
Practical Manual, Geneva, 1988.
11. ILO: Prevention of Major Industrial
Accidents (an ILO Code of Practice),
Geneva, 1991.
12. ILO: Recommendation Concerning
Safety in the Use of Chemicals at
Work (Recommendation no. 177),
Geneva, 1990.
95
-------
References
13. IPCS: Guidelines for Poisons Control,
WHO, Geneva, 1992.
14. OECD: Accidents Involving Hazardous
Substances (OECD Environment
Monograph No. 24), Paris, 1989.
15. Secretariat d'Etat aupres du Premier
Ministre charge" de 1'environnement et
de la Prevention des Risques
Technologiques et Naturels Majeurs:
Elements de surete chimique et de
desastrologie, Tomes 1,2 and 3, Paris,
1989.
L.2 Prevention
16. CCPS: Guidelines for Technical
Management of Chemical Process
Safety, New York, 1985.
17. CEFIC: A Guide to Safe Warehousing
for the European Chemical Industry,
Brussels, 1987.
18. CEFIC: Views on the Quantitative
Assessment of Risks from Installations
in the Chemical Industry.
19. CIA: A Guide to Hazard and
Operability Studies, London, 1977.
20. CIA: Guidelines for Safe Warehousing,
London, 1983.
21. CM A: Process Safety Management
(Control of Acute Hazards),
Washington D.C., 1985.
22. Commission of the European
Communities, JRC: Community
Documentation Centre on Industrial
Risk, Bulletin, Ispra.
23. CONCAWE: Managing Safety,
Report No. 4/89, The Hague, 1989.
24. CONCAWE: Quantified Risk
Assessment, Report No. 88/56, The
Hague, 1988.
25. Crop Protection Institute of Canada:
Warehousing Standards, Etobicoke,
Ontario, 1990.
26. Direcci6n General de Protection Civil:
NBE-CPI-91. Condiciones de
Proteccion contra incendios en
edificios, Madrid.
27. EFCE: Risk Analysis in the Process
Industries, Rugby (UK), 1985,
28. EPA: Review of Emergency Systems,
Report to Congress, Washington D.C.,
June 1988.
29. EPA, OSHA,etal.: Managing
Chemicals Safely: Putting It All
Together, Washington D.C.,
February 1992.
30. Federal Office of Environment, Forests
and Landscape: Handbook to the
Ordinance on Prevention of Major
Accidents. Vol. 1: Fixed Installations
Containing Hazardous Materials (in
French and German), Berne,
Switzerland, 1991.
31. HSE: Effective Policies for Health and
Safety. Review Drawn from the Work
and Experience of the Accident
Prevention Advisory Unit ofHM
Factory Inspectorate, London:
HMSO, 1990, ISBN 0 11 883254 9.
32. HSE: Guide to the Control of
Industrial Major Accident Hazards
Regulations 1984, Health and Safety
Executive Booklet HS(R)21 (Rev),
London: HMSO, 1990, ISBNO 11
885579 4.
33. HSE: Human Factors in Industrial
Safety, Health and Safety Series
Booklet HS(G)48, London: HMSO,
1989, ISBN Oil 8854860.
34. HSE: Managing Safety - A Review of
the Role of Management in
Occupational Health and Safety,
Occasional Paper, Series No. 3,
96
-------
References
London: HMSO, 1981,
ISBN Oil 88344 3 6.
35. HSE: Monitoring Safety - An Outline
Report on Occupational Safety and
Health by the Accident Prevention
Advisory Unit, London, 1985.
36. OECD: Workshop on Prevention of
Accidents Involving Hazardous
Substances: Good Management
Practice (OECD Environment
Monograph No. 28), Paris, 1990.
37. OECD: Workshop on Prevention of
Accidents Involving Hazardous
Substances - The Role of The Human
Factor in Plant Operations (OECD
Environment Monograph No. 44),
Paris, 1991.
38. OECD: Workshop on the Role of
Public Authorities in Preventing
Major Accidents and in Major
Accident Land-Use Planning
(Environment Monograph No. 30),
Paris, 1990.
39. ORC: Recommendations for Process
Hazards Management of Substances
with Catastrophe Potential,
Washington D.C., 1988.
40. OSHA: 3091 Safety and Heath Guide
for Chemical Safety, Washington D.C.,
1986.
41. Secretariat d'Etat aupres du Premier
Ministre charge" de l'environnement et
de la Prevention des Risques
Technologiques et Naturels Majeurs:
Prevention des risques industriels:
Legislation des installations classees -
Application de la Directive Seveso,
Paris, 1990.
42. UNEP: Guidelines for Assessing
Industrial Environmental Impact and
Environmental Criteria for the Siting
of Industry, Paris, 1990.
43. UNEP: Guidelines on Risk
Management and Accident Prevention
in the Chemical Industry, Paris, 1982.
44. UNEP: Storage of Hazardous
Materials (Technical Report Series
No. 3), Paris, 1990.
45. WHF: Blueprint for Prevention-A
Guide to Preventing Chemical
Releases, Washington D.C., 1989.
46. World Bank: Techniques for Assessing
Industrial Hazards, World Bank
Technical Papers No. 55, Washington
D.C., 1988.
L.3 Land-Use Planning
47. HSE: Risk Criteria for Land-Use
Planning in the Vicinity of Major
Industrial Hazards, London: HMSO,
1989, ISBN Oil 885491 7.
48. Netherlands Directorate-General for
Environmental Protection: Dutch
National Environmental Policy Plan -
Premises for Risk Management: Risk
Limits in the Context of Environmental
Policy, Ministry of Housing, Physical
Planning and Environment, 1988-89.
49. OECD: Workshop on the Role of
Public Authorities in Preventing
Major Accidents and in Major
Accident Land.-Use Planning (OECD
Environment Monograph No. 30),
Paris, 1990. ,
50. Secretariat d'Etat aupres du Premier
Ministre charge de l'environnement et
de la Prevention des Risques
Technologiques et Naturels Majeurs:
Mattrise de I'urbanisation autour des
sites industriels a haut risque, Paris,
1990.
L.4 Community Awareness
51. EPA, etal. Risk Communication About
Chemicals in Your Community: A
97
-------
References
Manual For Local Officials
(EPA et al. 230/09-89-066),
Washington D.C., 1989.
52. EPA: Seven Cardinal Rules of Risk
Communication, Washington D.C.,
April 1988.
53. OECD: Decision of the Council on the
Exchange of Information Concerning
Accidents Capable of Causing
Transfrontier Damage
[C(88)84(Final)].
54. OECD: Decision-Recommendation of
the Council Concerning Provision of
Information to the Public and Public
Participation in Decision-Making
Processes Related to the Prevention of,
and Response to, Accidents Involving
Hazardous Substances
[C(88)85(Final)]. (Guiding Principles
are included as an Appendix to this
Council Act.)
55. OECD: Workshop on the Provision of
Information to the Public and on the
Role of Workers in Accident
Prevention and Response (OECD
Environment Monograph No. 29),
Paris, 1990.
L.5 Emergency Preparedness
and Response
56. Canadian Standards Association:
Emergency Planning for Industry,
CAN/CSA-Z731-M91, Toronto, 1991.
57. CEFIC: Checklistfor On-site
Emergency Plans, Brussels, 1990.
58. CEFIC: Communication between the
Chemical Industry and the Community
on Emergency Response Organisation
(The CICERO Process), Brussels,
1988.
59. CIA: Guidelines for Chemical Sites on
Off-site Aspects of Emergency
Procedures, London, 1984.
60. CMA:CAER: The Next Phase -
Program Handbook.
61. CONG AWE: Emergency Planning
Guidance Notes, Report No. 11/87,
The Hague, 1987.
62. EPA, Dept. of Transportation, and
Federal Emergency Management
Agency: Technical Guidance for
Hazards Analysis - Emergency
Planning for Extremely Hazardous
Substances, Washington D.C., 1987.
63. HSE: The Control of Industrial Major
Accident Hazards Regulations 1984
(CIMAH): Further Guidance on
Emergency Plans (Health and Safety
Series Booklet HS(G)25), London:
HMSO, 1985, ISBN Oil 883831 8.
64. IAEA: Planning for Off-Site Response
to Radiation Accidents in Nuclear
Facilities, Safety Series No. 55,
Vienna, 1981.
65. IAEA: Principles for Establishing
Intervention Levels for the Protection
of the Public in the Event of a Nuclear
Accident or Radiological Emergency,
Safety Series No. 72, Vienna, 1985
(under revision).
66. IAEA, OECD/NEA, INES: The
International Nuclear Event Scale,
IAEA, Vienna, 1990.
67. International Commission on
Radiological Protection: Protection of
the Public in the Event of Major
Radiation Accidents: Principles for
Planning, Publication No. 40,
Pergamon Press, 1984 (under revision).
68. Ministere de I'lnteYieur et Ministere de
FEnvironnement: Guide
d'elaboration d'unplan d'operation
interne, Paris, 1985.
69. OECD: Recommendation of the
Council on the Application of the
Polluter-Pays Principle to Accidental
Pollution [C(89)88(Final)]. (Guiding
98
-------
References
Principles are included as an Appendix
to this Council Act.)
70. OECD: Recommendation of the
Council on Principles concerning
Transfrontier Pollution [C(74)224].
71. OECD: Workshop on Emergency
Preparedness and Response and on
Research in Accident Prevention,
Preparedness and Response (OECD
Environment Monograph No. 31),
Paris, 1990.
72. OECD: Users Guide to Hazardous
Substance Data Banks Available in
OECD Member Countries, Paris, 1991.
73. OECD: Users Guide to Information
Systems Useful to Emergency Planners
and Responders Available in OECD
Member Countries, Paris, 1991.
74. OECD/NEA: Emergency Planning
Practices and Criteria after the
Chernobyl Accident, A Critical
Review, Paris, 1988.
75. OECD/NEA: Protection of the
Population in the Event of a Nuclear
Accident, A Basis for Intervention,
Paris, 1990.
76. OECD/UNEP: International Directory
of Emergency Response Centres
(OECD Environment Monograph No.
43; UNEP-ffi/PAC Technical Report
No. 8), Paris, 1991.
77. OSHA: 3008 How to Prepare for
Workplace Emergencies, Washington
D.C., 1991.
78. UNEP: APELL - Awareness and
Preparedness for Emergencies at
Local Level: A Process for
Responding to Technological
Accidents (the APELL Handbook),
Paris, 1988.
79. U.S. National Response Team:
Developing a Hazardous Materials
Exercise Program: A Handbook for
State and Local Officials,
Washington D.C., 1990.
80. U.S. National Response Team:
Hazardous Materials Emergency
Planning Guide, Washington D.C.,
1987.
81. WHO: Emergency Response to
Chemical Accidents (Health Aspects of
Chemical Safety Interim Document
No. 1), Copenhagen, 1981.
82. WHO: Nuclear Power: Accidental
Releases - Practical Guidance for
Public Health Action, WHO
Publications, European Series No. 21,
Copenhagen, 11987.
83. WHO: The Organisation and
Requirements for an Emergency
Preparedness System.
L.6 International Investment
and Transfer of Technology
84. CEFIC: Guidelines on Transfer of
Technology and Safety, Health and
Environmental Aspects, Brussels, 1991.
85. CEFIC: Principles and Guidelines for
the Safe Transfer ofTechnology,
Brussels, 1987.
86. ILO: Safety, Health and Working
Conditions in the Transfer of
Technology to Developing Countries
(an ILO Code of Practice), Geneva,
1988.
87. ILO: Tripartite. Declaration of
Principles concerning Multinational
Enterprises and Social Policy,
Geneva, 1982.
88. OECD: The OECD Declaration and
Decisions on the International
Investment and Multinational
Enterprises - Basic Texts, Paris,
March 1992.
99
-------
References
89. UN General Assembly Resolution
43/186 (concerning the second UN
conference on the least developed
countries).
90. UN General Assembly Resolution
44/228 (concerning the UN conference
on Environment and Development).
91 UNCTC: Doc. E1990/94, Letter dated
31 May 1990 from the Chairman of the
Reconvened Special Session of the
Commission of Transnational
Corporations to the President of the
Economic and Social Council,
Development and International
Co-operation (Draft Code of Conduct),
New York, 12 June 1990.
L.7 Glossary
92. CEFIC: Nomenclature in Risk
Assessment of Industrial Installations,
Brussels, 1988.
93. ICHEME, Nomenclature for Hazard
and Risk Assessments in the Process
Industries, Rugby (UK), 1985.
94. ILO: Prevention of Major Industrial
Accident Hazards (an ILO Code of
Practice), Geneva, 1991.
95. OECD: The OECD Declaration and
Decisions on the International
Investment and Multinational
Enterprises - Basic Texts, Paris,
March 1992.
L.8 Contact Points for
Publications and Related
Information
The contact points listed below should be
able to provide information on how to
obtain publications prepared within their
country or organisation.
These contact points may also be able to
provide additional information concerning
the programmes within their country or
organisation related to accident
prevention, preparedness and response.
Australia
National Occupational Health and Safety
Commission
(Worksafe Australia)
92 Parramatta Road
Camperdown, Sydney NSW 2050
TEL: (61) (2) 565 9555
FAX: (61) (2) 565 9202
Austria
Mr. Gustav Neubauer
Federal Ministry of the Environment,
Youth and Family
Chemical Division
Untere Donaustrasse 11
A-1020 Vienna
TEL: (43) (1) 211 32, EXT 2020
FAX: (43) (1) 211 32, EXT 2008
Belgium
Ministere de la Sante" publique et de
1'Environnement
Cellule Environnement - Prevention des
risques industriels
Boulevard Pache\x>, 19, BP1
1010 Brussels
TEL: (32) (2) 210 48 55
FAX: (32) (2) 210 48 52
Canada
Prevention Division
Environmental Emergencies Branch
Conservation and Protection
Environment Canada
Ottawa Kl A OH3
TEL: (1) (613) 941 0792
FAX: (1) (819) 953 5361
(National Environmental Emergency
Centre)
Denmark
J.H. Schultz Information A/S
Ottillavej 18
2500Valby !
100
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References
TEL: (45) (36) 44 22 66
FAX: (45) (36) 44 01 41
Finland
Accident prevention and preparedness:
Mr. Esko Ulvelin
Technical Inspection Centre
P.O. Box 44
00811 Helsinki
TEL: (358) (0)6167 201
FAX: (358) (0) 7591 596
Emergency preparedness and response:
Mr. Jukka Metso
Ministry of the Interior
Rescue Department
P.O. Box 257
00171 Helsinki
TEL: (358) (0) 160 2985
FAX: (358) (0) 160 4672
Environment in general:
Mr. Olli Pahkala
Ministry of the Environment
P.O. Box 399
00121 Helsinki
TEL: (358) (0) 1991 253
FAX: (358) (0) 1991 399
France
Ministere de 1'environnement
Service de 1'environnenment industriel
14, boulevard du GdneYal Leclerc
92400 Neuilly-sur-Seine
FAX: (33) (1)40 8133 22
Germany
Umweltbundesamt
Bismarckplatz 1
D-1000 Berlin
FAX: (49) (30) 8903 2285
The Netherlands
Dr. BJ.M. Ale
Head, Department of External Safety
Ministry of Housing, Physical Planning
and Environment
P.O. Box 450, 2260 MB Leidschendam
TEL: (31) (70) 317 4703
FAX: (31) (70) 317 4919
Norway
Ms. Berit Borgen
Directorate for Fire and Explosion
Prevention
The Library
P.O. Box 355
3101 T0nsberg
TEL: (47) (33) 10700
FAX: (47) (33) 10660
Spain
For publications:
Direcci<5n General de Protecci6n Civil
Escuela Nacional de; Protecci6n Civil
C/ Evaristo San Miguel No. 8
28008 Madrid
TEL: (34) (1) 537 31 00
FAX: (34) (1) 248 78 317 247 50 82
For additional information:
Direcckm General die Protecci6n Civil
Subdirecci6n General de Planes y
Operaciones
Consejero Te"cnico Riesgos Tecnol6gicos
(Mr. Ruiz Boada)
(same address as above)
Sweden
National Rescue Services Board
Karolinen
S-651 80 Karlstad
TEL: (46) (8) 103 000
Switzerland
Federal Office of Environment, Forests and
Landscape
Section Safety of Installations
C/o Dr E. Berger
Hallwylstrasse 4
CH-3003 Berne
TEL: (41) (31) 61 69 71
United Kingdom
Health and Safety Executive
Library and Information Services
101
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References
Information Centre
Broad Lane
Sheffield
South Yorkshire S3 7HQ
TEL: (44)742892000
(0) 742 892 000 (from inside UK)
FAX: (44) 742 892 500
(0) 742 892 500 (from inside UK)
United States
The Emergency Planning and Community
Right-to-Know Information Hotline
U.S. Environmental Protection Agency
(OS-120)
401 M Street, N.W.
Washington, D.C. 20460
TEL: (1) (703) 920 9877
FAX: (1) (202) 260 0927
Commission of the European
Communities
Mr. P. Wiederstein
Community Documentation Centre on
Industrial Risk
Institute for Systems Engineering and.
Informatics
SER Division TP 632
Joint Research Centre, Ispra
I21020Ispra(VA)
Italy
TEL: (39) (332) 789 244
FAX: (39) (332) 789 001
International Organisations;
ILO (International Labour Office)
For publications:
ILO Publications Branch
CH-1211 Geneva
Switzerland
FAX: (41) (22) 799 7359
For technical questions:
Chief, ILO Occupational Safety and Health
Branch
(same address and fax as above)
OECD (Organisation for Economic
Co-operation and Development)
OECD Environment Directorate
Environmental Health and Safety Division
2, rue Andre'-Pascal
75775 Paris Cedex 16
France
TEL: (33) (1) 45 24 97 76
TELEX: 62 01 60
FAX: (33) (1) 45 24 16 75
UNCTC (UN Centre for Transnational
Corporations)
Mr. Harris Gleckman
Chief, Environment Unit
UNCTC
2 UN Plaza
New York, NY 10017 ;
USA
TEL: (1) (212) 963 3160
FAX: (1) (212) 962 2146
UNEP (UN Environment Programme)
The Librarian
UNEP-IE/PAC
Tour Mirabeau
39-43, quai Andre"-Citroe'n
75739 Paris Cedex 15
France
TELEX: 20 49 97
FAX: (33) (1) 40 58 88 74
World Bank
World Bank Book Store
1818 H Street, N.W.
Washington, D.C. 20433
USA
FAX: (1) (202) 477 6391
WHO (World Health Organization)
Dr. S. Ben Yahmed
Emergency Preparedness and Response
Unit
EPA/WHO
20, Avenue Appia
CH-1211 Geneva 27
Switzerland
TEL: (41) (22) 791 2720
FAX: (41) (22) 791 0746
702
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Annex I
Decision of the Council on the Exchange of Information
Concerning Accidents Capable of Causing Transfrontier
Damage
Adopted by the Council at its 687th Session on 8th July 1988, C(88)84(FinaI)
THE COUNCIL,
Having regard to Article 5 a) of the
Convention on the Organisation for
Economic Co-operation and Development
of 14th December 1960;
Having regard to paragraph 3 of Article 6
of the Convention on the Organisation for
Economic Co-operation and Development
of 14th December 1960;
Having regard to the Recommendations of
the Council of 14th November 1974 on
Principles Concerning Transfrontier
Pollution, of 11th May 1976 on Equal
Right of Access in Relation to
Transfrontier Pollution, of 17th May 1977
for the Implementation of a Regime of
Equal Right of Access and
Non-Discrimination in Relation to
Transfrontier Pollution, and of
21st September 1978 for Strengthening
International Co-operation on
Environmental Protection in Frontier
Regions [C(74)224, C(76)55(Final),
C(77)28(Final), C(78)77(Final)];
Having regard to the Recommendations of
the Council of 26th July 1983 concerning
the Exchange of Confidential Data on
Chemicals and concerning the OECD List
of Non-Confidential Data on Chemicals
[C(83)97(Final), C(83)98(Final)];
Having regard to the Declaration on
Environment: Resource for the Future
adopted by the Governments of OECD
Member countries and of Yugoslavia at the
session of the Environment Committee at
Ministerial Level on 20th June 1985 stating
that "they will ensure the existence of
appropriate measures to control potentially
hazardous installations, including measures
to prevent accidents";
Having regard to the Conclusions adopted
by the Third High L^vel Meeting of the
Chemicals Group on 17th-18th March
1987 regarding the prevention of, and
response to, unintended releases of
hazardous substances in the environment.
Considering that certain hazardous
installations are likely to cause serious
damage to human health and the
environment in the event of a major
accident;
Considering that it is necessary to promote
new measures for the prevention of
accidents involving hazardous substances
and for limiting the adverse consequences
of such accidents;
Considering the need to ensure that
frontiers between Member countries do not
constitute an obstacle to the transmission
of information needed in order to protect
human health and the environment in the
event of accidents capable of causing
transfrontier damage:;
Considering that increased co-operation
between Member countries should help to
address the international problems which
can arise with hazardous installations
located in their frontier regions;
On the proposal of the Environment
Committee;
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Annex I
DECIDES:
1. Member countries concerned shall
exchange information and consult one
another, on a reciprocal basis if so
desired, with the objective of
preventing accidents capable of
causing transfrontier damage and
reducing damage should such an
accident occur.
2. Member countries shall take all
necessary practical steps to implement,
on a reciprocal basis if so desired, the
provisions set out in Appendix I to this
Decision, which is an integral part of
this Decision, including, as need be, to
conclude arrangements or agreements
aimed at specifying procedures for
exchanging information relating to
accidents capable of causing
transfrontier damage.
3. Definitions of terms used in this Decision
are given in Appendix n, which is an
integral part of this Decision.
4. The Environment Committee will
examine, within three years, actions
taken by Member countries pursuant to
this Decision.
5. The Environment Committee will review
Appendix III, which is an integral part
of this Decision, within three years and
will propose, as need be, a revised
minimum list for the identification of
hazardous installations.
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Annex I
Appendix I to Annex I [OECD Council Act C(88)84(Final)]
Provisions Relating to the Exchange of Information
Title A. Exchange of Information on
Hazardous Installations
1. Countries concerned shall exchange
relevant information for the prevention
of, and the response to, accidents at
hazardous installations. To this end,
the country of the installation shall
provide to the exposed country
relevant information concerning
existing or planned hazardous
installations located in the area under
its national jurisdiction and capable of
causing transfrontier damage in the
event of an accident, and the exposed
country shall provide to the country of
the installation relevant information
concerning the area under its
jurisdiction capable of being affected
by such transfrontier damage,
2. Relevant information supplied by the
country of the installation shall include
the following information in so far as it
is available in accordance with
domestic law to the public authorities
of the country of the installation:
a) Location and general description of
the hazardous installation capable
of-causing transfrontier damage;
b) Common chemical names or, if more
appropriate, the generic names or
general danger classifications of
the main hazardous substances
which may cause transfrontier
damage in the event of a major
accident;
c) The legislative, regulatory and
administrative requirements,
including any conditions imposed
by the licensing authorities, under
which the installation operates;
3.
d) General information concerning the
nature, extent and likely effects
off-site of a major accident on
human health or the environment,
including property; and
e) Information on the off-site
emergency plan relevant to the
exposed country.
Relevant information supplied by the
exposed country relating to the area
under its national jurisdiction capable
of being affected by transfrontier
damage in the event of an accident at
the hazardous installation shall include
the following; information, in so far as
it is available in accordance with
domestic law to the public authorities
of the exposed country:
a) Distribution of the population,
including sensitive groups;
b) Location and general description of
pertinent properties and activities
which could be adversely affected;
and
c) Location of natural resources,
protected areas, sensitive
ecosystems and historical
monuments v/hich could be
damaged.
The countries concerned shall consult
one another in case of difficulties in
the identification of those hazardous
installations under their respective
national jurisdictions which shall be
subject to an exchange of information.
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Annex I
Title B. Proposals for a Hazardous
Installation
5. Where a Member country, through any
forum or by any process to which the
public has access and through which it
can make representations, determines
any human health or environmental
risks which may be posed by an
accident at a proposed hazardous
installation or where a Member
country requires the completion of a
study concerning the impact on human
health or the environment of a
proposed hazardous installation in the
event of an accident, it shall transmit to
an exposed country any conclusions of
the enquiry or of the study which it
makes available to the public and shall
implement the procedures described in
Title A above.
6. Where the country of the installation has
transmitted to the exposed countries
the conclusions referred to in
paragraph 5 above, it shall allow a
reasonable amount of time for
consultations with the exposed
countries prior to implementing the
proposal for a hazardous installation.
7. Where a Member country convenes or
holds, as part of existing procedures, a
meeting, enquiry, hearing or session of
a tribunal, at which a decision is to be
taken or an advice given on the
establishment of a hazardous
installation, it shall provide the
exposed countries with the venues and
dates of such a meeting, enquiry,
hearing or session at which the
proposed hazardous installation will be
considered.
8. The country of the installation shall
transmit to the exposed countries a
copy of the documents concerning any
proposal for a hazardous installation
which are made available to the public
in the country of the installation in
accordance with its domestic law.
Title C. Organisation of Emergency
Measures
9. The countries concerned shall consult
one another with a view to
co-ordinating the off-site emergency
plans relating to a hazardous
installation capable of causing
transfrontier damage. They shall
inform one another of the
communication systems to be used, the
main features of their emergency plans
and the means available for emergency
response in the event of an accident
capable of causing transfrontier
damage.
10. The countries concerned shall inform
one another of the instructions given to
their respective population on how to
respond in the event of an accident
capable of causing transfrontier
damage and on any evacuation or
protection measures to be taken in the
event of such an accident or imminent
threat of such an accident.
Title D. Transmission of the Emergency
Warnings
11. In the event of an accident or imminent
threat of an accident capable of
causing transfrontier damage, the
country of the installation shall
immediately transmit an emergency
warning to the exposed countries.
Title E. Organisation of the Subsequent
Transmission of Information
Relating to the Accident
12. In the absence of an agreed system for
transmitting information relating to an
accident, the country of the installation
shall communicate to the authorities
responsible for receiving emergency
warnings in the exposed countries
appropriate information relating to the
accident or imminent threat of an
accident.
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Annex I
13. The countries concerned shall draw up,
as need be, procedures and practical
arrangements for rapid and effective
transmission of information relating to
an accident or to the imminent threat of
an accident capable of causing
transfrontier damage, and they shall set
up, as need be, systems for
communication of pertinent
information following an accident.
The information to be transmitted shall
include:
a) Accident location and brief
description of the circumstances;
b) Immediate effects of the accident;
c) Emergency measures planned and
actions taken;
d) Chemical identity, quantity and
physical form of the hazardous
substances which may affect an
exposed country; and
e) Data available for evaluating the
probable impact of the accident in
an exposed country.
Title F. Confidentiality
14. The obligations of the countries
concerned to transmit the relevant
information referred to above shall be
subject to the limitations of their
domestic law concerning the protection
of confidential information, including
both proprietary data and information
protected for reasons of national
security.
15. The receiving country shall respect the
confidentiality of the information
received. It shall not make available to
its public information that is not made
available to the public in the country
supplying it.
16. The information supplied in the
framework of the implementation of
this Decision may be used only for
assessing the nature and extent of the
potential transfrontier damage and for
reducing the consequences of an
accident beyond the frontier or for
coping with the imminent threat of an
accident capable of causing
transfrontier damage.
Title G. Identification of Competent
Authorities
17. The countries concerned shall notify
one another of the identity and details
of the following:
a) National, regional and/or local
authorities responsible for
transmitting oir receiving the
relevant information referred to in
paragraphs; 2 and 3 above;
b) Authorities responsible for
implementing the off-site
emergency plans referred to in
paragraphs 9 and 10 above; and
c) Authorities; responsible for
transmitting and receiving the
emergency warnings referred to in
paragraph 11 above at national,
regional and/or local levels.
Title H. Information from other Sources
18. The above provisions shall not
prejudice the direct transmission of
information by the operator of a
hazardous installation to the authorities
or to the public in the exposed
countries with the objective of
preventing accidents in the hazardous
installation or reducing transfrontier
damage should an accident occur.
Title I. Strengthening International
Co-operation
19. The countries concerned shall
co-operate in ensuring that persons in
107
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Annex I
the exposed country who might be
affected by an accident in the country
of the installation receive the same
information that is provided to persons
who might be affected in the country
of the installation.
20. The above provisions shall be taken into
account by Member countries when
preparing agreements or arrangements
with non-Member countries on the
subject area covered by this Decision.
21. The above provisions shall not
prejudice the organisation of wider
exchanges of information or
consultations between the countries
concerned with the objective of
preventing accidents involving
hazardous substances and reducing
transfrontier damage should an
accident occur; nor shall it prejudice
the conclusion of subsequent
agreements intended to specify the
scope and extent of the exchanges of
information provided for under this
Decision.
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Annex I
Appendix II to Annex I [OECD Council Act C(88)84(Final)]
Definitions
For the purpose of this Decision,
a) "Hazardous installation" means an
industrial installation which contains
more than the threshold quantity of
any of the hazardous substances
mentioned in Appendix HI and in
which are used, stored or produced
such hazardous substances which are
capable, in the event of an accident,
of causing serious damage to human
health or the environment, including
property, outside the installation site,
with the exclusion of military or
nuclear installations;
b) "Proposal for a hazardous installation"
means any proposal made to a
competent authority to set up a new
hazardous installation and any
proposal involving substantial
modification of an existing
hazardous installation;
c) "Accident" means any occurrence
involving a hazardous substance
such as a major emission, fire or
explosion at a hazardous installation
leading to serious damage to human
health or the environment, including
property;
d) "Hazardous substance" means any
substance which is capable of
causing serious damage to human
health or the environment, including
property v in the event of an accident
in a hazardous installation and which
is identified in Appendix HI;
e) "Transfrontier damage" means any
serious damage to human health or
the environment, including property,
suffered by an exposed country in
the event of an accident and, in
general, by the country of the
accident;
f) "Sensitive group" means any group of
persons particularly sensitive to the
consequences of an accident as a
result of their age, health conditions
or way of life;
g) "Country of title installation" means any
Member country within whose
jurisdiction there is a hazardous
installation or a proposal for a
hazardous installation;
h) "Exposed country" means any Member
country other than the country of the
installation which suffers serious
damage as a result of an accident, or
which is capable of being affected by
such damage in an area under its
national jurisdiction;
i) "Countries concerned" means the
country of the; installation in the
exposed country or countries.
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Annex I
Appendix HI to Annex I [OECD Council Act C(88)84(Final)]
Threshold Quantities of Hazardous Substances
Hazardous Substances
1. Flammable, explosive or oxidizing substances:
Flammable gases* including
liquefied flammable gases
Highly flammable liquids**
Ethylene oxide
Sodium chlorate
Ammonium nitrate
2. Substances toxic to man and/or the environment:
Ammonia
Chlorine
Hydrogen cyanide
Hydrogen fluoride
Methyl isocyanate
Sulphur dioxide
Acrylonitrile
Hydrogen sulphide
Phosgene
Methylbromide
Tetraethyl lead
Disulfoton
Parathion
Warfarin
Aldicarb
Threshold quantity
(tonnes)
200
50000
50
250
2500
500
25
20
50
0.15
250
200
50
0.75
200
50
0.1
0.1
0.1
0.1
The hazardous substances and threshold quantities mentioned above are without prejudice to
those used in more extensive lists of hazardous installations developed in a national or
international context.
* Flammable gases: substances which in the gaseous state at normal pressure and mixed with air become
flammable and the boiling point of which at normal pressure is 20°C or below.
** Highly flammable liquids: substances which have a flash point lower than 21°C and me boiling point of
which at normal pressure is above 20°C.
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Annex II
Decision-Recommendation of the Council Concerning
Provision of Information to the Public and Public
Participation in Decision-Making Processes Related to the
Prevention of, and Response to, Accidents Involving
Hazardous Substances
Adopted by the Council at its 687th session on 8th July 1988, C(88)85(Final)
THE COUNCIL,
Having regard to Articles 5 a) and 5 b) of
the Convention on the Organisation for
Economic Co-operation and Development
of 14th December 1960;
Having regard to paragraph 3 of Article 6
of the Convention on the Organisation for
Economic Development of 14th December
1960;
Having regard to the Declaration on
Anticipatory Environmental Policies
adopted by the Governments of OECD
Member countries and of Yugoslavia at the
session of the Environment Committee at
Ministerial Level on 8th May 1979 stating
that "they will encourage public
participation, where possible, in the
preparation of decisions with significant
environmental consequences, inter alia, by
providing as appropriate information on
the risks, costs and benefits associated with
the decisions";
Having regard to the Recommendation of
the Council of 8th May 1979 on the
Assessment of Projects with Significant
Impact on the Environment [C(79)l 16] in
which Member governments were
recommended to "introduce, where
appropriate, practical measures for
informing the public and for participation
by those who may be directly or indirectly
affected, at suitable stages in the process of
arriving at decisions on projects" having a
potentially significant impact on the
environment;
Having regard to the; Recommendation of
the Council of 26th July 1983 concerning
the OECD List of Non-Confidential Data
on Chemicals [C(83)98(Final)];
Having regard to the; Declaration on
"Environment: Resource for the Future"
adopted by the Governments of OECD
Member countries and of Yugoslavia at the
session of the Environment Committee at
Ministerial Level on 20th June 1985 stating
that "they will ensure the existence of
appropriate measures to control potentially
hazardous installations, including measures
to prevent accidents";
Having regard to the conclusions adopted
by the Third High Level Meeting of the
Chemicals Group on 17th-18th March
1987 regarding the prevention of, and
response to, unintended releases of
hazardous substances; to the environment;
Considering that the potentially affected
public has a right to be informed about the
hazards to human hezilth or the
environment, including property, which
could arise from accidents occurring at
hazardous installations;
Considering that persons potentially
affected in the event of an accident at a
hazardous installation should be
well-informed of measures which need to
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Annex II
be taken by them in order to mitigate
adverse consequences of such an accident;
Considering that such persons should have
the opportunity to be heard, as appropriate,
in decision-making processes related to
prevention of, and response to, accidents
involving hazardous substances;
On the proposal of the Environment
Committee;
1. DECIDES that Member countries shall
ensure, through the legal and
procedural means they deem
appropriate, that the potentially
affected public:
a) is provided with specific information
on the appropriate behaviour and
safety measures they should adopt
in the event of an accident
involving hazardous substances;
b) is provided with general information
on the nature, extent and potential
off-site effects on human health or
the environment, including
property, of possible major
accidents at a planned or existing
hazardous installation*; and
c) has access to such other available
information needed to understand
the nature of the possible effects
of an accident (such as
information on hazardous
substances capable of causing
serious off-site damage) and to be
able to contribute effectively, as
appropriate, to decisions
concerning hazardous installations
and the development of
community emergency
preparedness plans.
2. RECOMMENDS that Member countries
take action to facilitate, as appropriate,
opportunities for the public to
comment prior to decisions being
made by public authorities concerning
siting and licensing of hazardous
installations and the development of
community emergency preparedness
plans.
3. RECOMMENDS that, in implementing
this Decision-Recommendation,
Member countries take into account
the Guiding Principles set out in the
Appendix.
4. INSTRUCTS the Environment
Committee to review, within three
years, actions taken by Member
countries in pursuance of this
Decision-Recommendation.
* The definition of "hazardous installation" for purposes of this Decision-Recommendation is set out in
paragraph 2 of the Appendix.
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Annex II
Appendix to Annex H [OECD Council Act C(88)85(Final)]
Guiding Principles on provision of information to the public and
public participation in decision-making processes related to the
prevention of, and response to, accidents involving hazardous
substances
I. General Principles
1. The following Guiding Principles are
designed to facilitate the
implementation by Member countries
of programmes and policies to ensure
that the potentially affected public is
well-informed about existing or
planned hazardous installations and to
facilitate the opportunities for the
public to provide input, as appropriate,
into decision-making by public
authorities concerning such
installations. These Principles do not
prejudice public authorities from
instituting more extensive
requirements related to provision of
information to the public or public
participation.
2. These Guiding Principles relate to such
hazardous installations defined under
applicable law as being capable of
giving rise to hazards sufficient to
warrant the taking of precautions
off-site, excluding nuclear or military
installations.
3. These Guiding Principles focus on
objectives to be achieved with respect
to provision of information to the
public and public participation, and not
on the procedural approaches which
should be followed. It is recognized
that Member countries allocate
responsibility differently between the
public and private sectors and among
national, regional and local
governments and that Member
countries have differing legal and
administrative frameworks with regard
to prevention of accidents and
development of community emergency
plans.
In implementing this Decision-
Recommendation, Member countries
should give consideration to the
protection of confidential information,
as defined under domestic law,
including both proprietary data and
information protected for reasons of
national security.
II. Division of Responsibilities
5. Industry and public authorities each have
responsibilities to the public
concerning prevention of, and response
to, accidents involving hazardous
substances.
6. Industry is a primary source of that
information which should be made
publicly available. It therefore has a
responsibility to provide this
information to public authorities and,
directly or indirectly, to the public.
Industry should l>e prepared to work
with the authorities which develop
community emergency plans.
7. Public authorities have the responsibility
of ensuring that adequate and timely
information is provided to the
potentially affected public and that
appropriate opportunities are available
for public participation in certain
decision-making processes. Public
authorities also have the responsibility
of ensuring that adequate community
emergency plans are in effect
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Annex II
HL Provision of Information to the
Public
Information to be Provided without Request
8. Those members of the public who might
be affected were an accident to occur
should be provided with certain
information, without request, so that
they will be aware of the hazards
arising from the installation and will be
able to respond appropriately should
an accident occur.
9. This information should include specific
guidance related to public response in
the event of an accident, such as:
details on how the potentially affected
public will be warned in the event of
an accident;
details of the actions and behaviour
the potentially affected public should
take in the event of an accident; and
the source of post-accident
information (e.g., radio or television
frequencies).
It should clearly be indicated therein that
the information should be read
immediately and be kept in a
convenient place for reference in the
event of an accident.
10. The guidance on what to do in the event
of an accident should be adapted to
meet the needs of groups of sensitive
persons, for example in schools,
hospitals and homes for aged people.
i 1. The following information should also
be provided, without request, to the
potentially affected public:
the name of the operator of the
installation and the address of the
installation;
the common names or, if more
appropriate, the generic names or the
general danger classification of the
substances involved at the installation
which could give rise to an accident
capable of causing serious off-site
damage, with an indication of their
principal harmful characteristics;
general information relating to the
nature of the hazards of accidents
capable of causing serious off-site
damage, as well as their potential
effects on human health and the
environment, including property; and
details of how further explanatory
information can be obtained.
12. The information described in
paragraphs 9 and 11 should be
comprehensible to the general public
and be provided in a format which is
easily read and understood.
13. This information should be provided in
a timely fashion, be reissued
periodically as appropriate, and be
updated as necessary.
14. The potentially affected public should
also be provided with notification of
applications for siting or licensing of a
hazardous installation. Decisions
concerning such applications should
also be publicised.
15. In those cases in which a hazardous
installation is located in a frontier
region and the country of such
installation has transmitted to the other
country information referred to above
in paragraphs 9 and 11, the country
receiving this information should
ensure that such information is
provided to all persons within its
jurisdiction potentially affected in the
event of an accident.
16. Arrangements should be made, before
an accident, for the timely transmission
of information to the public and the
media in the case of an accident in
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Annex II
order to mitigate adverse effects and to
allay unjustified fears.
Information Available upon Request
17. The public should have access, upon
request, to certain additional
information to allow it to understand
the nature of the hazards arising from
hazardous installations, understand the
reasons for guidance provided, and
participate effectively in
decision-making processes, as
appropriate. Such information would
include, for example:
any information concerning the
hazardous installation which has
previously been made publicly
available by the installation or public
authorities (as appropriate, licenses,
environmental impact assessments,
operating permits, safety reports,
hearing documents);
a general description of the types of
activities undertaken at the
installation;
additional guidance concerning
actions to be taken by the public to
protect human health and the
environment, including property, in
case of an accident and the reasons for
such guidance; and
other information necessary for
effective participation in
decision-making, as appropriate.
IV. Public Participation
18. Whenever possible and appropriate, the
potentially affected public should be
given the opportunity to participate, by
providing their views and concerns,
when decisions related to siting and
licensing of hazardous installations and
the development of community
emergency plans are being made by
public authorities.
19. In all cases, adequate information about
the opportunity to participate should be
given.
20. As appropriate, a variety of mechanisms
for public participation in decision-
making processes can be used. These
mechanisms can include those for
direct public participation, such as
open public hearings, and those for
indirect public participation by means
of, for example, open consultative
procedures.
21. In some Member countries, local safety
committees have been established with
representatives of the installation, local
authorities and local residents which,
inter alia, facilitate the flow of
information from the installation to
persons who live and work in the area
and co-ordinate local participation in
appropriate decision-making processes.
22. The mechanisms for public
participation and the scope of
participation should be adapted to the
nature of the decision being made and
to who may be iiffected by the
decision, while taking account of
applicable law amd practice.
23. In determining who should be given the
opportunity to participate in
decision-making processes, public
authorities should consider which
persons are seriously threatened by a
potential accident and the nature of the
decision being made. For example, in
the case of the development of a
community emergency preparedness
plan, the local community near the
hazardous installation might have the
opportunity to participate. In the case
of a siting decision for an installation
which could have serious adverse
effects on a watershed, national park or
natural resources of more than local
concern, provision might be made for
broader participation, for example by
allowing comments by representatives
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Annex II
of public-interest organisations (e.g.,
envkonmental, agricultural or forestry
groups).
24. Providing an opportunity for public
participation should not affect the
ultimate responsibilities of the public
authorities with respect to
decision-making in this area.
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Annex III
Recommendation of the Council on the Application of the
Polluter-Pays Principle to Accidental Pollution
Adopted by the Coundl at its 712th session on 7th July 1989, C(89)88(Final)
THE COUNCIL,
Having regard to Article 5 b) of the
Convention on the Organisation for
Economic Co-operation and Development
of 14th December 1960;
Having regard to the Recommendation of
the Council of 26th May 1972 on Guiding
Principles Concerning International
Economic Aspects of Environmental
Policies [C(72)128];
Having regard to the Recommendation of
the Council of 14th November 1974 on the
Implementation of the Polluter-Pays
Principle [C(74)223];
Having regard to the Recommendation of
the Council of 28th April 1981 on Certain
Financial Aspects of Action by Public
Authorities to Prevent and Control Oil
Spills [C(81)32(Final)3;
Having regard to the Concluding Statement
of the OECD Conference on Accidents
Involving Hazardous Substances held in
Paris on 9th and 10th February 1988
[C(88)83];
Considering that this Conference
concluded that "operators of hazardous
installations have the full responsibility for
the safe operation of their installations and
for taking all appropriate measures to
prevent accidents" and that "operators of
hazardous installations should take all
reasonable measures... to take emergency
actions in case of an accident";
Considering that such responsibility has
repercussions on the allocation
of the cost of reasonable measures aimed at
preventing accidents in hazardous
installations and limiting their
consequences and that the Conference
concluded that "the Polluter-Pays Principle
should be applied, as far as possible, in
connection with accidents involving
hazardous substances";
Considering that public authorities are
often required to take expensive action in
case of accidental pollution from hazardous
installations and may find it necessary to
undertake costly accident preparedness
measures in relation to certain hazardous
installations;
Considering that closer harmonization of
laws and regulations relating to the
allocation of the cost: of measures to
prevent and control accidental pollution is
likely to reduce distortions in international
trade and investment;
On the proposal of the Environment
Committee,
I. RECOMMENDS that, in applying the
Polluter-Pays Princijple in connection
with accidents involving hazardous
substances, Member countries take
into account the "Guiding Principles
Relating to Accidental Pollution" set
out in the Appendix which is an
integral part of this Recommendation.
II. INSTRUCTS the: Environment
Committee to review the actions taken
by Member countries pursuant to this
Recommendation and to report to the
Council within tliree years of the
adoption of this Recommendation.
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Annex HI
Appendix to Annex III [OECD Council Act C(89)88(Final)]
r
Guiding Principles Relating to Accidental Pollution
Scope and Definition
1. The Guiding Principles described below
concern some aspects of the
application of the Polluter-Pays
Principle to hazardous installations.
2. For the purposes of this
Recommendation:
a) "Hazardous installations" means
those fixed installations which are
defined under applicable law as
being capable of giving rise to
hazards sufficient to warrant the
taking of precautions off-site,
excluding nuclear or military
installations and hazardous waste
repositories (1);
b) "Accidental pollution" means
substantial pollution off-site
resulting from an accident in a
hazardous installation;
c) "Operator of a hazardous
installation" means the legal or
natural person who under
applicable law is in charge of the
installation and is responsible for
its proper operation (2).
The Polluter-Pays Principle
3. According to the Recommendation of the
Council of 26th May 1972, on the
Guiding Principles Concerning
International Economic Aspects of
Environmental Policies [C(72)128],
the "principle to be used for allocating
the costs of pollution prevention and
control is the so called Polluter-Pays
Principle". The implementation of this
principle will "encourage rational use
of scarce environmental resources".
According to the Recommendation of
the Council of 14th November 1974 on
the Implementation of the
Polluter-Pays Principle [C(74)223],
"the Polluter-Pays Principle... means
that the polluter should bear the
expenses of carrying out the pollution
prevention and control measures
introduced by public authorities in
Member countries, to ensure mat the
environment is in an acceptable state.
In other words, the cost of these
measures should be reflected in the
cost of goods and services which cause
pollution in production and/or
consumption". In the same
Recommendation, the Council
recommended that "as a general rule,
Member countries should not assist the
polluters in bearing the costs of
pollution control whether by means of
subsidies, tax advantages or other
measures".
Application of the Polluter-Pays Principle
4. In matters of accidental pollution risks,
the Polluter-Pays Principle implies that
the operator of a hazardous installation
should bear the cost of reasonable
measures to prevent and control
accidental pollution from that
installation which are introduced by
public authorities in Member countries
in conformity with domestic law prior
to the occurrence of an accident in
order to protect human health or the
environment.
5. Domestic law which provides that the
cost of reasonable measures td control
accidental pollution after an accident
should be collected as expeditiously as
possible from the legal or natural
person who is at the origin of the
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Annex HI
accident, is consistent with the
Polluter-Pays Principle.
6. In most instances and notwithstanding
issues concerning the origin of the
accident, the cost of such reasonable
measures taken by the authorities is
initially borne by the operator for
administrative convenience or for other
reasons (3). When a third party is
liable for the accident, that party
reimburses to the operator the cost of
reasonable measures to control
accidental pollution taken after an
accident.
7. If the accidental pollution is caused
solely by an event for which the
operator clearly cannot be considered
liable under national law, such as a
serious natural disaster that the
operator cannot reasonably have
foreseen, it is consistent with the
Polluter-Pays Principle that public
authorities do not charge the cost of
control measures to the operator.
8. Measures to prevent and control
accidental pollution are those taken to
prevent accidents in specific
installations and to limit their
consequences for human health or the
environment. They can include, in
particular, measures aimed at
improving the safety of hazardous
installations and accident
preparedness, developing emergency
plans, acting promptly following an
accident in order to protect human
health and the environment, carrying
out clean-up operations and
minimising without undue delay the
ecological effects of accidental
pollution. They do not include
humanitarian measures or other
measures which are strictly in the
nature of public services and which
cannot be reimbursed to the public
authorities under applicable law nor
measures to compensate victims for
the economic consequences of an
accident.
9. Public authorities of Member countries
that "have responsibilities in the
implementation of policies for
prevention of, and response to,
accidents involving hazardous
substances" (4), may take specific
measures to prevent pollution.
Although the cost entailed is as a
general rule met by the general budget,
public authorities may with a view to
achieving a more economically
efficient resource allocation, introduce
specific fees or taxes payable by
certain installations on account of their
hazardous nature (e.g., licensing by
fees), the proceeds of which to be
allocated to accidental pollution
prevention and control.
10. One specific application of the
Polluter-Pays Principle consists in
adjusting these fees or taxes, in
conformity with domestic law, to cover
more fully the cost of certain
exceptional measures to prevent and
control accidentail pollution in specific
hazardous installations which are taken
by public authorities to protect human
health and the environment
(e.g., special licensing procedures,
execution of detailed inspections,
drawing up of installation-specific
emergency plans or building up special
means of response for the public
authorities to be used in connection
with a hazardous installation),
provided such measures are reasonable
and directly connected with accident
prevention or with the control of
accidental pollution released by the
hazardous installation. Lack of laws or
regulations on rellevant fees or taxes
should not, however, prevent public
authorities from meeting their
responsibilities in connection with
accidents involving hazardous
substances.
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Annex III
11. A further specific application of the
Polluter-Pays Principle consists in
charging, in conformity with domestic
law, the cost of reasonable pollution
control measures decided by the
authorities following an accident to the
operator of the hazardous installation
from which pollution is released. Such
measures taken without undue delay
by the operator or, in case of need, by
the authorities would aim at promptly
avoiding the spreading of
environmental damage and would
concern limiting the release of
hazardous substances (e.g., by ceasing
emissions at the plant, by erecting
floating barriers on a river), the
pollution as such (e.g., by cleaning or
decontamination), or its ecological
effects.(e.g., by rehabilitating the
polluted environment).
12. The extent to which prevention and
control measures can be considered
reasonable will depend on the
circumstances under which they are
implemented, the nature and extent of
the measures, the threats and hazards
existing when the decision is taken, the
laws and regulations in force, and the
interests which must be protected.
Prior consultation between operators
and public authorities should
contribute to the choice of measures
which are reasonable, economically
efficient, and provide adequate
protection of human health and the
environment.
13. The pooling among operators of certain
financial risks connected with
accidents, for instance by means of
insurance or within a special
compensation or pollution control
fund, is consistent with the
Polluter-Pays Principle.
Exceptions
14. Exceptions to the Polluter-Pays
Principle could be made under special
circumstances such as the need for the
rapid implementation of stringent
measures for accident prevention,
provided this does not lead to
significant distortions in international
trade and investment. In particular,
any aid to be granted to operators for
prevention or control of accidental
pollution should be limited and comply
with the conditions set out previously.
(5) In the case of existing hazardous
installations, compensatory payments
or measures for changes in zoning
decisions in the framework of the local
land use plan might be envisaged with
a view to facilitating the relocation of
these installations so as to lessen the
risks for the exposed population.
15. Likewise, exceptions to the above
Guiding Principles could be made in
the event of accidental pollution if
strict and prompt implementation of
the Polluter-Pays Principle would lead
to severe socio-economic
consequences.
16. The allocation to the person at the
origin of the accident or the operator,
as the case may be, of the cost of
reasonable measures taken by public
authorities to control accidental
pollution does not affect the possibility
under domestic law of requiring the
same person to pay other costs
connected with the public authorities'
response to an accident (e.g., the
supply of potable water) or with the
occurrence of the accident. In
addition, public authorities may, as
appropriate, seek compensation from
the party liable for the accident for
costs incurred by them as a result of
the accident when such costs have not
yet been paid to the authorities.
Notes
1. Hazardous installations covered by this
Recommendation are as defined in the
law applicaole in the country of the
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Annex HI
installation (domestic law and in some
instances, European Community law).
Countries are not prevented from
making provisions under their national
laws to the effect that the Guiding
Principles also apply to installations
excluded under subparagraph 2a of this
Appendix.
2. The concept of operator is defined in the
law applicable in the country of the
installation, in which attention may be
given to criteria such as ownership of
certain hazardous substances or
possession of a license or permit.
3. In cases where a party other than the
operator has, under the law applicable
in the country of the installation, strict
4.
liability for an accident, the cost of
reasonable control measures taken by
the authorities would be charged to
that party, not to the operator.
Whenever national laws provide a
regime of strict liability, this regime
would be applied in respect of the
reimbursement: of costs of control
measures taken after the accident.
Concluding Statement of the OECD
Conference on Accidents Involving
Hazardous Substances, C(88)83.
5. Recommendation of the Council of 14th
November 1974 on the Implementation
of the Polluter-Pays Principle,
C(74)223.
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Annex IV
Environment Chapter in the Revised OECD Guidelines
for Multinational Enterprises*
(Adopted by the Council on 5th June 1991)
Environmental Protection
"Enterprises should, within the framework
of laws, regulations and administrative
practices in the countries in which they
operate, and recalling the provisions of
paragraph 9 of the Introduction to the
Guidelines that, inter alia, multinational
and domestic enterprises are subject to the
same expectations in respect of then-
conduct whenever the Guidelines are
relevant to both, take due account of the
need to protect the environment and avoid
creating environmentally-related health
problems. In particular, enterprises,
whether multinational or domestic, should:
1) Assess, and take into account in
decision making, foreseeable
environmental and environmentally-
related health consequences of then-
activities, including siting decisions,
impact on indigenous national
resources and foreseeable
environmental and environmentally-
related health risks of products as
well as from the generation,
transport and disposal of waste;
2) Co-operate with competent authorities,
inter alia, by providing adequate and
timely information regarding the
potential impacts on the environment
and environmentally-related health
aspects of all their activities and by
providing the relevant expertise
available in the enterprise as a whole;
3) Take appropriate measures in their
operations to minimise the risk of
accidents and damage to health and
the environment, and to co-operate
in mitigating adverse effects, in
particular:
a) by selecting and adopting those
technologies; and practices
which are compatible with these
objectives;
b) by introducing a system of
environmental protection at the
level of the enterprise as a
whole including, where
appropriate, the use of
environmental auditing;
c) by enabling their component
entities to be adequately
equipped, especially by
providing them with adequate
knowledge and assistance;
d) by implementing education and
training programmes for their
employees;
e) by preparing contingency plans;
and
f) by suppoirting, in an appropriate
manner, public information and
community awareness
programmes." '
The Guidelines for Multinational Enterprises are contained in Annex I to The OECD Declaration and
Decisions on International Investment and Multinational Enteiprises-Basic Texts (OECD, Pans, 1992).
723
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Some Other OECD Publications Related to Chemical Accident
Prevention, Preparation and Response
Users Guide to Hazardous Substance Data Banks
Available in OECD Member Countries.
Users Guide to Information Systems Useful to
Emergency Planners and Responders Available in
OECD Member Countries.
International Directory of Emergency Response
Centres (OECD Environment Monograph No. 43;
UNEP-IE/PAC Technical Report No. 8).
Workshop on Emergency Preparedness
and Response and on Research in Accident
Prevention, Preparedness and Response
(OECD Environment Monograph No. 31).
Workshop on the Role of Public Authorities
in Preventing Major Accidents and in Major
Accident Land-Use Planning (OECD
Environment Monograph No. 30).
Workshop on the Provision of Information
to the Public and on the Role of Workers
in Accident Prevention and Response (OECD
Environment Monograph No. 29).
Workshop on the Prevention of Accidents
Involving Hazardous Substances: Good
Management Practice (OECD Environment
Monograph No. 28).
Accidents Involving Hazardous Substances
(OECD Environment Monograph No. 24).
Available to the public at no charge from:
OECD Environment Directorate,
Environmental Health and Safety Division,
2, rue Andre-Pascal, 75775 Paris Cedex 16, France
Telex: 62 01 60 Fax: (33) (1) 45 24 16 75
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Via Meravigli 16
20123 Milano
Tel. (055) 64.54.15
Telefax: (055) 64.12.57
Tel. (02) 36.50.83
Tel. 679.46.28
Telex: NATEL I 621427
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Japan - Japon
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Landic Akasaka Building
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Tel. (81.3) 3586.2016
Telefax: (81.3) 3584.7929
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Kyobo Book Centre Co. Ltd.
P.O. Box 1658. Kwang Hwa Moon
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Cooperative Bookshop Ltd.
University of Malaya
P.O. Box 1127, Jalan Pantai Baru
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Malaysia
Netherlands - Pays-Bas
SOU Uitgeverij
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Voor bestellingen:
Tel. 730.78.91
Telefax: 735.00.30
Tel. 756.5000/756.5425
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New Zealand - Nouvdle-Zelande
OP Publications Ltd.
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Telefax: (04) 5685.333
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Telefax: (02) 68.19.01
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Telex: 44886 UBL PK. Attn: MIRZA BK
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Libreria International AEDOS
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.... . . . _ Telefax: (93) 487.76.59
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Telefax: (93) 412.18.54
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Centre for Policy Research
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Tel. (1) 574240. 573551-2
Telefax: (1) 575394, 510711
Sweden - Suede
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Telefax: (08) 20.50.21
Subscription Agency/Abonnements:
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Telefax: (08) 618.62.32
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Telefax: (49.228) 26.11.04
Suisse Fomande
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Librairie Payot
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Gen. enquiries Tel. (071) 873 0011
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Telegram: Libreste Caracas
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Telefax: (011)625.970
Orders and inquiries from countries where Distributors have
not yet been appointed should be sent to: OECD Publica-
tion!! Service. 2 rue Andrf-Pascal. 75775 Paris Cetex 16,
France.
Les comrmndes provenant de pays ou 1'OCDE n'a pas
enccre design^ de distributeur devraient ctre adressees V:
OCDE, Service des Publications. 2. rue Andrf-Pascal, 75775
Pans CeViej: 16, France.
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OECD PUBLICATIONS. Z lueAndrt Pascal. 75775 RARIS CEDEX 16 - No. 76599 1992
PRINTED IN FRANCE
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ISBN 0-16-041782-1
9 "780160" 4178
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