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Enforcement of the Seveso II Directive

Enforcement of the Seveso II Directive. Structure of the presentation. Development of enforcement strategy Inspection and enforcement actions, required by Seveso Development and implementation of Inspection programme Planning, performing and reporting Inspections Follow up activities

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Enforcement of the Seveso II Directive

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  1. Enforcement of the Seveso II Directive

  2. Structure of the presentation • Development of enforcement strategy • Inspection and enforcement actions, required by Seveso • Development and implementation of Inspection programme • Planning, performing and reporting Inspections • Follow up activities • Investigation after Major accident • Penalties and Prohibition of use

  3. Enforcement of the Seveso II Directive • Part of the Regulatory cycle

  4. Basic Process of Enforcement

  5. Risk Analysis and Priorities Step 1: Develop a risk matrix: Legal interests Target groups Behaviour Risk matrix Prioritisation High Priorities Low Priorities

  6. Further analysis of priorities Step 2: Enforceability Analysis Target Groups Priorities Behaviour Analysis Enforcement Approaches Feedback (Assessment of the results towards the initial goals) Intervention Techniques Interventions Workability Analysis Expected Results

  7. Seveso II Requirements for inspections and enforcement • Article 18 – Inspections • Requires a system of inspections • Planned and systematic appraisal of the technical, organisational or managerial measures applied by the operator • Article 9(4) • Decision on the Safety Report, incl. the prohibition of use • Article 10 • Modifications • Article 11(4) • Control of the Emergency Plans • Article 14(2) • Investigation following a major accident • Article 17 • Prohibition of use

  8. Seveso II Requirements for inspections • Article 18 - The CA should organise a system of inspections, which delivers planned and systematic examination of the technical, organisational or managerial systems employed at the site and ensures: • that the operator can demonstrate that he has taken appropriate measures, in connection with the various activities involved in the establishment, to prevent major accidents, • that the operator can demonstrate that he has provided appropriate means for limiting the consequences of major accidents, on site and off site, • that the data and information contained in the safety report, or any other report submitted, adequately reflects the conditions in the establishment, • that information has been supplied to the public pursuant to Article 13 (1).

  9. Seveso II Requirements towards the system of inspections • The system of inspections should consist of: • Programme of inspections for all establishments or annual inspections of top tier sites; • Report, prepared by the competent authority following each inspection; • Where necessary, follow up within a reasonable period following the inspection.

  10. Development of Seveso II Inspection programme • Initial data needed: • Data on sites • Number of sites (per Inspectorate) • Estimated Level of Compliance of operators (incl. administrative and safety culture) • Data on legal Requirements • Legal Requirements • Scope of the Inspections • Inspecting Authorities • Competencies of the IA • Data on the administrative capacity of the IA • Average Time for inspections (incl. planning, preparation and reporting) • Number of inspectors (per Inspectorate) • Lower tier/Top tier ratio • Reporting procedures • Follow-up procedures • Non-routine inspections

  11. Development of Seveso II Inspection programme • Content of the Seveso II Inspection programme • RMCEI • Inventory of the sites • Geographic area covered • Time period • Provision for review and update • Identification of specific sites (LT/TT) • Programme for routine/non-routine inspections • Provision of coordination • Frequency of inspections • Public access

  12. Development of Seveso II Inspection programme • Content of the Seveso II Inspection programme • The Seveso Directive • Systematic and planned approach • Programme of inspections, based on the appraisal of the risk of major accidents (if not, annual inspections of TT sites) • Reporting of the inspections • Follow-up of inspections • Clear scope - technical, organizational or managerial measure for accident prevention and control, demonstrating that: • the operator has taken appropriate measures to prevent major accidents, • the operator has provided appropriate means for limiting the consequences of major accidents • the data and information contained in the safety report adequately reflects the conditions in the establishment • information has been supplied to the public

  13. Development of Seveso II Inspection programme • Possible steps • Preparation • Registry/inventory of the sites • Status report on the competencies and capacity of the IA • Status report on the capacity of the operators • Coordination and cooperation issues • Enforcement techniques • Action plan on enforcement • Implementation • Guidance notes and other tools for inspections • Routine inspections • Non-routine inspections • Follow-up • Reporting • Enforcement of the legal requirements • Review and update • Progress indicators • Update provisions

  14. National policy for Inspections • The national Policy is a multi annual document • Endorsed by the senior management of the CA • Definition of the goals • Tasks and responsibilities of SEVESO II CA+IA • Inspection frequency, incl. appraisal methodology • Investigation of incidents • Enforcement tools and techniques - Tools, report format, inspection method, SMS standards • Capacity of the IA • Provisions for Progress indicators and evaluation&update procedures Goal of the Policy is to set the framework for the SEVESO II activities

  15. Planning Inspections • Annual Inspection Programme • Done on national or regional level • List of companies to be inspected • Available / needed capacity • Time table inspections • Operational planning • Update provisions • Provisions on non-routine inspections Goal of this IP is to ensure that all the planned inspections are performed

  16. Planning Inspections • Inspection Programme for the sites • method of inspection • selection of installation • selection of interviewees • Selection of items of the safety report and (parts of the) SMS • Previous history of compliance, relevant experience from other plants Goal of this part of the IP is to know exactly what you do at the selected company and how you do it.

  17. Performing Inspections • Performing Inspections • Could include one or more IA • 3 main steps • Preparation • Inspection • Reporting • If necessary, follow-up and administrative or penalty measures

  18. Performing Inspections • Preparation • The inspector(s) should be familiar with the site, incl. the documentation submitted, its history of compliance, any technical particularities etc. • Methods of inspection • Takes one to three days • Joint inspections – coordination meeting prior the actual inspection • Reporting of the inspection • Selection of installation • Selection of interviewees • Selection of items of the safety report and (parts of the) SMS • Billing of the inspection if appropriate

  19. Performing Inspections • Reporting • Inspection report • formal document • Unified format • Allows appraisal • Contains • identification of the company • date of the inspection • Identification of the Inspectors + Site counterparts • Summary of the inspection • Data gathered from the inspection • Conclusions • Proposed follow-up and corrective measures • Stored in a Database • Reports or parts of them should be publicly available

  20. Performing Inspections • Follow-up • Done by the IA • Clear timetable • Clear measure to be taken by the operator • Join/separate action • Goals • Achieve compliance • Alert management • Give lifeline • Follow-up should be documented and added to the compliance history of the site Follow-up is not about buying time for the operator, but time schedule for eliminating proved safety issues

  21. Level of Cooperation with the operator Prohibition of use for the site Major Accident Risk Court proceedings, Notice to public prosecutor Administrative penalties Improvement notices, enhanced compliance monitoring Advice, training and guidance to the operator Partnership action Enforcement measures

  22. Enforcement measures • Measures can be skipped, combined or usage order changed • Measures should be • Proportionate to the level of risk • Proportionate to the level of non-compliance • Proportionate to the level of cooperation of the operator • Effective • Dissuasive • Extreme measures should applied if you have a good case

  23. Prohibition of Use • Article 17 of the directive • The CA are entitled to prohibit the use of any site or installation if • Serious deficiencies are found in the measures for the prevention and mitigation of major accidents • The operator has failed to submit the necessary documents • Notification • Safety report • Emergency plans • The decision can be appealed • Extremely hard to enforce – what is a “serious defficiency” • Should be the last resort, not a scarecrow

  24. Investigation after Major accident • Main goals • To identify the immediate and underlying causes, • To ensure that appropriate remedial actions are taken • To identify any unlawful behaviour and take the appropriate action • To contribute to the knowledge of the causes of incidents • To identify any shortcomings in policy, legislation or practice • To evaluate the effectiveness of inspections • To provide the public with information • Usually led by Public prosecutors (injuries, fatalities) • Team work • Investigation authorities must have liaison with the CA & IA

  25. The Enforcement of Seveso II – Bulgarian experience Preparation • Identification of IA • Legal requirements for joint inspections • Legal requirements for Planning and reporting of inspections • Agreement of common ToR between the IA • Preparation for Inspections • Competencies • Performing inspections • Follow-up • Enforcement measures

  26. The Enforcement of Seveso II – Bulgarian experience Practical details • By 2008 ~ 60 Inspections • At almost each sites inadequacies found • Minor offences – compliance promotion measures and notices for improvement • 5 administrative fines up to 5000 EUR to site management for breaches of the law and lack of cooperation • 2 Permits declined – Prohibition of use • 1 major accident • Operator error, but • Management penalised – the SMS should deal with the issue • Public prosecution in progress

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