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DRAFT CHEMICAL PLANT SAFETY & SECURITY

RATING SYSTEM

Govt. of India, New Delhi

(3)

FOREWORD

Chemical Accidents disrupt growth and development of chemical units as well

as impact the human beings and environment. Sustained industrial growth is not

possible without sound chemical safety management. As part of the overall

chemical safety management initiative, it is of paramount importance to develop a

Chemical Plant Safety & Security Rating System in order to propagate the need for

zero accidents and to incentivize the units having best safety operational measures.

The rating system envisages a 2-stage methodology for assessment of safe &

secure performance of a facility. The first stage acts as a screening mechanism to

filter out organisations that do not meet even the basic requirements of safety &

security systems essential for a chemical, petrochemical, and petroleum industry.

The second stage is a rigorous assessment to benchmark the various safety &

security systems being practiced by the organisation against the framework

stipulated in this document.

The rating system consists of 19 Key Performance Indicators (KPIs) and can

be used as an assessment tool for rating the Chemical organisations in respect of

the practices followed by them. The document envisages a star rating system to

grade the chemical plants according to their performance.

(4)

Contents

No.

Topic

Page No.

1

Introduction

1

2

Scope, Goal and Objective

1-2

3

Definitions

2-3

4

Methodology of Assessment

3-6

5

Safety & Security Rating System

6-9

(5)

List of Abbreviations:

BARC

:

Bhabha Atomic Research Centre

BIS

:

Bureau of Indian Standard

BSC

:

British Safety Council

CBT

:

Competency Based Training

CCE

:

Chief Controller of Explosives

CCTV

:

Closed Circuit Television

CEA

:

Central Electricity Authority

CEO

:

Chief Executive Officer

CMT

:

Crisis Management Team

DCS : Distributed Control System

DGCA

:

Directorate General of Civil Aviation

DNV

:

Det Norske Veritas

ERP

:

Emergency Response Plan

FAR

:

Fatal Accident Rate

Fi-Fi

:

Fire Fighting

HAZID

:

Hazard Identification

HIRA

:

Hazard Identification & Risk Assessment

HSE

:

Health Safety & Environment

HSSE

:

Health Safety, Security & Environment

IMO

:

International Maritime Organisation

IME

:

Initial Medical Examination

IS

:

Indian Standard

JSA

:

Job Safety Analysis

KPI

:

Key Performance Indicator

LOPA

:

Layer of Protection Analysis

LPG

:

Liquefied Petroleum Gas

LTIF

:

Loss Time Injury Frequency

MCLS

:

Maximum Credible Loss Scenario

MOC

:

Management of Change

MR

:

Management Representative

(6)

MSIHC

:

Manufacture, Storage and Import of Hazardous Chemical

NC

:

Non-Compliance

NDT

:

Non-Destructive Test

OHC

:

Occupational Health Centre

OISD

:

Oil Industry Safety Directorate

PESO

:

Petroleum Explosive Safety Organisation

PI

:

Performance Indicator

P&ID

:

Piping & Instrumentation Diagram

PFD

:

Process Flow Diagram

PME

:

Periodic Medical Examination

PLI

:

Public Liability Insurance

PPE

:

Personal Protective Equipment

PPT

:

Personal Protective Tools

PSM

:

Process Safety Management

PTW

:

Permit to Work

QRA

:

Quantitative Risk Assessment

RC

:

Responsible Care

SAFE

:

Safety Analysis Function Evaluation

SAT

:

Safety Analysis Table

SIMOPS

:

Simultaneous Operations

SME

:

Small, Medium Enterprise

SML

:

Small, Medium or Large Scale Industry

SOP

:

Standard Operating Procedure

SSRS

:

Safety & Security Rating System

SWL

:

Safe Woking Load

SWP

:

Safe Work Permit

TBT

:

Tool Box Talks

TREM

:

Transport Emergency

TRIR

:

Total Recordable Injury Rate

(7)

List of Acts & Regulations applicable

Safety Acts and Regulations:

Year

Name of Act & Regulation

1884

Indian Explosives Act

1934

Petroleum Act

1948

Factories Act

1952

Mines Act

1952

Inflammable Substance Act

1962

Atomic Energy Act

1968

Insecticides Act

1984

Oil Mines Regulations (OMR)

1989

Motor Vehicles(Central) Rules

1993

Public Liability Insurance Rules

1996

Atomic Energy(Factories)Rules

1996

Chemical Accidents (Emergency Planning, preparedness and Response)

Rules

2002

Petroleum rules

2008

Petroleum & Natural Gas( Safety in offshore operations)

2008

Explosive Rules

2010

Central Electricity Authority Regulations

(8)

Environment Acts and Regulations:

Year

Name of Act & Regulation

1981

The Air Act

1986

The Environment (Protection)Act

1989

Manufacture, Storage and Import of Hazardous Chemicals Rules

1992

The public Liability Insurance Act, Rules

1996

The Chemical accidents( Emergency Planning Preparedness and

Response

2000

Ozone Depleting Substance Rules

2006

Environment Impact Assessment Notification

2008

The Hazardous Wastes ( Management, Handling and Trans-boundary

Movement) Rules

2011

Central Regulation Zone Notification

2011

E-waste Management Rules

Multilateral Agreements:

1993

Chemical Weapons Convention

1999

Rotterdam Convention on Prior Informed Consent

(9)

CHEMICAL PLANT SAFETY & SECURITY RATING

FOR CHEMICAL INDUSTRY

1. Introduction:

A number of chemicals are required to be handled, stored and processed in

appreciable quantities in any chemical, petrochemical, and petroleum industry.

These chemicals pose various types of hazards due to their flammability, toxicity,

explosive nature, corrosiveness etc. In view of such hazards, stringent regulatory

requirement and various management systems & controls are introduced to ensure

safety.

Inadequate awareness about handling of hazardous chemicals and products may

lead to serious accidents with severe consequences on people, property and the

environment. The rating system facilitates safe & secure handling, storage and

processing of hazardous chemicals and in avoiding accidents and occupational

diseases.

The rating system envisages a 2-stage methodology for assessment of safe &

secure performance of a facility. The first stage acts as a screening mechanism to

filter out organisations that do not meet even the basic requirements of safety &

security systems essential for a chemical, petrochemical, and petroleum industry.

The second stage is a rigorous assessment to benchmark the various safety &

security systems being practiced by the organisation against the framework

stipulated in this document. Each organization shall develop its own specific

procedures for using this rating system and it can also be used as a

self-assessment tool for continual improvement. For awarding the rating to a chemical

facility, a standard assessment procedure would be followed.

2. Scope, Goal and Objective:

2.1

The Safety & Security Rating System (SSRS) will help the organisation to

build a system as part of a process leading to reduction of near misses

accidents, and such incidents for the overall improvement in safety

performance to achieve better control over activities. The rating system will

assess existing practices and serve as a yardstick for Health, Safety,

Security, Environment (HSSE) management performance. The rating system

in no way shall supersede the applicable statutory / regulatory requirements

governed by the respective Ministries/Departments/agencies.

2.2

The goal of the rating system is to provide a tool for benchmarking a facility in

terms of safety & security norms leading to elimination of harm to all

stakeholders.

2.3

The key objective of the safety & security rating system is to assess or

evaluate a facility in terms of the following:

 Adoption of the best practices for safety and security in the chemical

industry, including statutory / regulatory requirements

(10)

 Systematic evaluation of all potential hazards to personnel, property and

environment

 Identification of areas for improvement to minimize incidents, security

vulnerability and their consequences

3. Definitions:

The definitions given below shall apply for the purpose of this rating system:

3.1 Assesse:

An organization to be assessed for Safety & Security Rating.

3.2 Facility:

A facility includes Production Unit, Storage (packed, bulk) Location, Loading

Terminal, Plant, Warehouse, Laboratory, etc.

3.3 Assessment/Inspection:

It is the

formal evaluation of the client’s facility for awarding the chemical

safety and security rating.

3.4 Assessment /Rating Team:

A multi-disciplinary team of qualified personnel designated as assessor(s)

having adequate experience of relevant industry to perform the assessment /

evaluation.

3.5 Occupational Health, Safety, Security and Environment Assessment:

A systematic, objective and documented evaluation of the occupational health,

safety, security and environmental performance.

3.6 Client:

An organization which appoints rating agency / team to carry out third party

assessment on its behalf.

3.7 Management Representative:

An official of the assesse organization authorized to deal with the rating team.

3.8 Nonconformity:

Non-fulfilment of specified requirement(s).

3.9 Observation:

A statement of fact made in the course of an assessment and substantiated by

objective evidence.

(11)

3.10 Objective Evidence:

Qualitative and/or quantitative information, records and/or statement of facts

which are based on observation, measurement or test and which can be

verified.

3.11 Organization:

A company, corporation, firm, enterprise or institution in part or combination

thereof whether incorporated or not, public or private, that has its own functions

and administration.

4. Methodology of Assessment:

Prior to actual, formal assessment for awarding the rating, a preliminary evaluation

can be carried out by an internal team of the client for self-assessment. An external

agency / regulatory authority shall assess the HSSE performance and assign a

rating.

The following are the guidelines for conducting the assessment:

4.1

Formation of Multi-Disciplinary Assessment Team:

The assessment / self-assessment shall be carried out through a

multidisciplinary team. The composition of the team may vary depending

upon:

 Size, nature, functions, etc. of the facility to be assessed, e.g.

Small, Medium or Large.

 Background, knowledge and expertise of individual team members

to undertake an in-depth assessment in a particular industry.

For self-assessment, a team of 2 or more members with relevant domain

expertise, depending upon the size of the facility, with active involvement of

concerned departments, viz. Process, Production, Legal, HR, Maintenance,

Inspection, Electrical, Instrumentation, Fire, Safety, Security, etc. is

suggested. In multi-unit organizations, the team members could also be

drawn from the Head Office / Corporate Office and other operating Units

under its control.

In the case of formal assessment for awarding the rating, the composition of

the assessment team shall be on the similar lines representing specific

expertise for areas to be assessed. One of the team members shall be

nominated as a leader of the team. No member of the Assessment Team

shall have conflict of Interest with the client.

(12)

4.2

Frequency of Assessment:

All facilities in a particular organization shall be assessed as per the

periodicity given in Table 3: Levels of Rating & Periodicity of Assessment.

However, a facility shall be assessed within 1 year of carrying out any major

modification. Depending upon the complexity of the facility, the size of the

assessment team and duration of the assessment may vary from 2 to 5

working days for a large and medium scale industry and 1 to 2 days for the

rest.

4.3

Use of Check List:

The assessor(s) shall use a comprehensive checklist given as the last part of

this document for undertaking a systematic, uniform, comprehensive and

speedy assessment to ensure that no important aspect is left out.

4.4

Preparation Before Site Visits for Assessments:

Before the Assessment team formally visits a particular facility for carrying

out the assessment/inspection for awarding the rating, it would be mandatory

to provide an overview of the organization, inter alia, covering the following:

 Facility overview along with brief Process Description

 Inventory of Chemicals handled

 Previous Assessment reports including documents on Health,

Safety, Security & Environment (HSSE)

 Copy of the existing Certifications, including HSSE

 Applicable Statutory / Legal Regulations

 Organizational Chart, including Emergency Response System

 Details of accidents and investigation reports over the last 3 years

 Details of violations / incidents related to Health, Safety, Security &

Environment over the last one year.

The assessment team shall study the relevant documents in advance to

have a fair understanding of the facility.

(13)

4.5

Briefing:

Before carrying out/ conducting of an assessment, all concerned persons of

the facility would be briefed by the team leader about the scope of the

assessment.

4.6

Site Assessment:

Most of the information could be gathered through site assessment using

check list given in the last part of this document. The assessor(s) shall

record their observations to assess the efficacy of the existing systems &

practices in terms of the applicable framework.

Wherever necessary, observations shall be recorded in separate sheets.

During carrying out the assessment, the team shall be accompanied by

authorised / designated representative(s) of the client.

4.7

Discussions:

Further information, if required, can also be gathered through discussions

(formal & informal) with the site personnel and Installation / Plant Manager,

who are in-charge of the area or other site employees. The Assessment

team shall interact with persons from various disciplines. Formal discussions

could be in the form of brief sessions

.

4.8

Mandatory Documents to be provided for Assessment:

The following documents shall be provided to the assessment team by the

client for verification:

 Layouts

 Piping & Instrumentation Diagrams (P&ID)

 Process Flow Diagrams (PFD)

 Operating Manuals

 Health, Safety, Security, Environment (HSSE) Systems

 Emergency Response Plan (ERP)

 Incident records & investigations thereof

 Maintenance / Inspection Manuals

 Fire and Safety Manuals

(14)

 Security Systems & Procedures

 Any other relevant documents specific to the company

4.9

Closing Meeting:

After completion of the inspection/ assessment at the site and before

finalizing the report, the Assessment Team shall give a presentation to the

client covering strengths, weaknesses/ deficiencies and Opportunities for

Improvements in safety & security system, adopting a constructive approach,

as feedback to the Operating / Management personnel of the facility.

4.10 Preparation of Assessment Reports:

The work of the Assessment Team shall be presented in the form of a draft

Assessment Report, which shall contain observations & rating. The final

assessment report shall be submitted to the client after inviting comments /

views of client on the draft report. The final Assessment Report shall be

issued within 30 days of the site Assessment visit.

4.11 Follow up of Assessment Reports:

The post-assessment is equally important to ensure implementation of the

recommendations to strengthen the existing framework in place and take

suitable corrective measures to overcome the shortcomings, if any, identified

during the assessment. The client shall put in place a suitable mechanism for

implementing the recommendations given by the Assessment team and

submit the ‘Action Taken’ report to top management.

5. Safety & Security Assessment System:

5.1

Initial Screening:

The first stage of the assessment acts as a screening mechanism to filter out

those organizations that do not meet even the basic requirements of safety &

security systems, essential for a chemical, petrochemical, and petroleum

industry. The criteria consists of 7 Key Performance Indicators (KPIs) to

ascertain whether the organization has put in place management systems

that can improve HSSE system and is therefore likely to further benefit from

the assessment process. The criteria are articulated in the form of questions

that offer binary choices (“Yes/No”). The Assessment team shall go to the

next level of assessment only after all questions in the first level have been

answered in affirmative:

(15)

Table 1: Criteria for Initial Screening

No.

Key Performance Indicators

Yes

No

1

Is there a written and approved HSSE Policy with

commitment of leadership at the facility?

2

Is there an approved & documented Process

Safety Management (PSM) System available and

implemented in the company?

3

Is there an approved & documented Workplace

Safety Management available and implemented in

the company?

4

Is

an

approved

&

documented

Security

Management System available and implemented

in the company?

5

Is an approved & documented Emergency

Preparedness and Response Plan available and

implemented in the company?

6

Is an approved & documented system of Plant

Inspection and Audit available and implemented

for continual improvements?

7

Whether

facility

complies

with

statutory

requirements as applicable?

8

Does the facility handle corrosive, toxic, explosive

or inflammable materials?*

*If yes, KPI’s 16 to 19, as applicable, need to be evaluated.

Initial screening shall be carried out as part of pre-assessment before site visit.

However it shall be verified during assessment at the facility.

5.2

Final Assessment:

After getting an affirmative reply to all the 7 KPIs of the screening criteria, the

assessment shall move to the next level of final assessment which has [19] Key

Performance Indicators (KPIs). Each KPI has a number of Performance

Indicators (PIs) making a total of [ 2760 ] PIs. Weights are assigned to each KPI

in accordance with their importance in overall safety & security rating. The

details of KPIs and their corresponding weights are given below;

(16)

Table 2: Final Assessment

KPI

No.

KPI Description

No. of

PIs

Max.

Weight of

KPI

1

HSSE Organization and Leadership

10

200

2

Process Safety Management (PSM)

20

400

3

Work Place Safety

4

100

4

Fire Prevention & Protection System

2

100

5

Material storage, Handling & Transportation

and Lifting Tools & Tackles

3

100

6

Plant Inspection & Audits including Storages

& Tank farms

3

100

7

Occupational Health & Hygiene

2

100

8

Environment

Protection

&

Waste

Management

2

100

9

Security Management

4

200

10

Communication System ( Hardware &

Software)

3

100

11

Incident Reporting, Investigation & Analysis

2

100

12

Contractor Management

2

100

13

Emergency Preparedness & Response

3

100

14

Training & Competency

3

100

15

Statutory & Legal Compliances, Insurance &

Documentation

2

450

16

Handling of inflammable chemicals

7

102

17

Handling of explosive chemicals

7

102

(17)

19

Handling of corrosive chemicals

6

108

Total

91

2760

The maximum weight for each KPI varies (max. 450) depending upon its

importance in the overall safety & security management system. The maximum

score of all KPIs is 2760. The safety & security rating is assigned by adding the

total weights obtained for all the relevant applicable performance indicators in Table

3, assessed by assessor(s).

There are stars( 5-to-1) / levels of rating depending upon the overall percentage of

marks or the equivalent weights scored by a facility, i.e. excellent, very good, good,

fair and poor as interpreted below:

Table 3: Levels of Rating & Periodicity of Assessment

Star

Rating

% Score

Periodicity of

Assessment

5-Star

Excellent

Above 90

3 Years

4-Star

Very Good

80 - 90

3 Years

3-Star

Good

70 - 80

2 Years

2-Star

Fair

60 - 70

2 Years

1-Star

Poor

Below 60

1 Year

All above KPIs are applicable to each chemical, petroleum, and petrochemical or

industry irrespective of its size or investment viz. small, medium or larger scale unit.

(18)

Table 4: Check List for Final Assessment for Safety & Security Rating

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght 1 HSSE Organization & Leadership 200 1.1 HSSE

Policy 20 1) Is the HSSE policy statement signed/authorized by CEO?

2) Is HSSE policy

comprehensive reflecting hazards, risks injury, property damage, occupational health & hygiene, environment protection and compliance with legislation, continual improvements, [sustainable development]?

3) Is the HSSE policy made known to all stake holders?

5

10

5

1) Max score for HSSE policy signed by CEO, if not zero for this PI 2) Max score if all

mentioned aspects considered in policy or else score will be given on prorate basis 3) Max score if Documentary evidence is available for communicating policy to all stake holders or else prorate basis of % of stake holders communicated 1.2 HSSE Objec tives & planni ng

20 1) Are HSSE objectives clearly defined and aligned with HSSE policy?

2) Is HSSE Annual action plan drawn?

10

10

1) Max score if HSSE objectives are clearly defined with goals & strategies or else on prorate basis 2) Max score if

Action plan is drawn as per goals & strategies or else zero 1.3 HSSE Leade rship & Admi nistrat ion 20 1) Is Organizational structure with Roles & Responsibilities institutionalized?

2) Whether HSE department is adequately staffed with qualified & competent persons appropriate to the nature and size of the organization? 10 5 1) Max score if documental evidence duly signed by competent authority is available or else zero

(19)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

3) Are Roles & Responsibilities clearly defined and

communicated?

5 2) score will be given as per % of adequacy 3) If Documentary evidence is available of communicating role & responsibilities to all concerned gets max score or else prorate basis (% of concerned personnel communicated) 1.4 Senio r Mana geme nt Partici pation

20 1) Are safety rounds by senior management planned & implemented?

2) Are the findings

communicated in writing to all concerned for

compliance?

3) Are Management Review Meetings (MRMs) on HSE planned, conducted and minutes documented? 4) Are decisions taken in

MRMs implemented? 5 5 5 5 1) Score will be on percentage of Plan ( No. of rounds) Vs Actual(No. of rounds conducted) 2) Score will be on percentage of Plan Vs Actual 3) Score will be on percentage of Plan Vs Actual Score will be on percentage of Plan ( No. of decisions) Vs Actual( Implemented decisions) 1.5 HSSE Com mittee meeti ngs

20 1) Are Safety committee meetings planned and conducted at least once in a quarter?

2) Is there a specified agenda? 3) Are the minutes of safety

committee documented and communicated in written form? 4 4 4 1) Plan Vs Actual (percentage wise score)

2) Max score for HSE relevance of agenda, if not zero 3) Evidence of

communication gets max score or

(20)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

4) Are the recommendations of safety committee(s)

implemented in time bound manner?

5) 4) Are concerned employees apprised of safety committee recommendations? 4 4 else zero 4) Evidence of communication gets max score or else zero

1.6 HSSE budge t

10 Exclusive expenditure on HSE for improving HSE performance. Does budgeting process adequately addresses the resource requirement for identified HSE improvements

10 Documentary evidence for significant expenditure to be provided. Plan Vs Actual (for percentage wise score) 1.7 Conti nuous Impro veme nt

20 Is there a process of continuous improvement in HSSE performance e.g. adoption of best practices from industry peers, trends of accidents, incidents

20 1) LTIF : Previous year Vs Actual this year (Facility data only)

2) TRIR: Previous year Vs Actual this year (Facility data only)

3) FAR: Previous year Vs Actual this year ( Facility data only)

4) Audit compliance: Previous year Vs Actual this year 5) PME: Previous

year Vs Actual this year

6) Regulatory requirements: Previous year Vs Actual this year 1.8 Docu

menta tion & Infor matio

30 1) Are guidelines available for determining documents requiring control? 2) Is there a visual control/

Labeling standards for

3

3

Documentary & physical evidence will fetch max score or else zero for each aspect

(21)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght n Contr ol documents requiring control? 3) Is necessary information provided to concerned personnel? 4) Is an updated list of controlled document and recipients with designation maintained?

5) Are records identified with the appropriate part of organization, activity, product and service involved?

6) Is there a periodic review and revision of document and record management process?

7) Are current versions of controlled documents available at all locations where essential operations are performed?

8) Are all concerned informed of and provided with document changes when they occur?

9) Is there a system used to identify, classify and safeguard records?

10) Is back up system available? 3 3 3 3 3 3 3 3 1.9 Mana geme nt report ing

20 1) Is there system for appraisal and development plans 2) Is there methodology for

reporting lines and contact with all relevant parties

10

10

Documentary evidence will fetch max score or else zero for each aspect

1.10 Mana geme nt Revie w Meeti

20 1) Is there mechanism for effective monitoring of implementation of recommendations given during MRM 2) Percentage of compliance of 5 15 1) Copies of Minutes of Meeting Max score or zero 2) Plan Vs Actual

(22)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght ng(M RM) – (Resu lts & Revie w) recommendations 2 Process Safety Management (PSM) 400 2.1 Proce ss safety Infor matio n

20 1) Are all chemicals handled listed and MSDS available for all chemicals handled? 2) Are updated P&ID and PFD

available?

3) Is Legal Register available? 4) Is updated Risk Assessment

available?

5) Is information on process chemistry and reactivity data available? 4 4 4 4 4 1) Availability of list of chemicals handled and their MSDS document will fetch either max score or else zero

2) Updated P&ID and PFD will get max score or else zero 3) Updated and

approved legal register will fetch max score or else zero

4) Updated and approved Risk assessment document will fetch max score or else zero

5) Evidence will get full or else zero 2.2 Plant Lay out & Area Classi ficatio n

20 1) Whether updated plant lay out with area classification has been available accessible and displayed at strategic places?

2) Is standard classification of hazardous zones in the facility, especially for electrical installations followed?

3) Whether safe distances as per relevant standards maintained?

5

5

10

1) Updated plant lay out available accessible and displayed at all identified strategic locations (Physical evidence on prorate basis 2) Physical evidence on prorate basis 3) Physical evidence on prorata basis

(23)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght 2.3 Hazar d Identif icatio n & Risk Asses sment (HIRA ) 20 1) Are standard/widely accepted & practiced methods to identify, determine and evaluate the hazards of the operations being followed?

2) Are steps taken to prevent and minimize risks of hazards?

3) Are there safety inter-locks, alarms and trip system in place?

4) Is QRA / LOPA done for all the operations and recommendations

implemented?

5) Are all controls monitored / reviewed to ensure operability? 4 4 4 4 4 1) Documentary evidence of Method adopted for HIRA for all operations 2) No. of operations Vs Actual updated HIRA documents 3) Percentage of steps taken to prevent/minimize risks of hazard as per risk assessment. No. of steps to be taken Vs actual steps taken- physical evidence 4) Recommended Vs Actual 5) If QRA/LOPA done 50% marks and recommendations implemented points on prorate basis 6) Documentary evidence will get full or else zero

2.4 Stand ard Opera ting Proce dures (SOP s)

20 1) Are written / updated Standard Operating Procedures (SOP) available for all operations, especially critical?

2) Are SOPs made available? Are the SOPs explained in the local language to the workers and understood by them?

3) Is there a process for periodic review and up

5 5 5 1) No. of operations Vs actual updated SOPs available 2) Documentary evidence will fetch max score or else zero

3) Documentary evidence will fetch max score or else zero

(24)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

gradation of SOPs and after major changes?

4) Have the workers been informed of the consequences of failure to observe SOPs? 5 4) Documentary & physical evidences will fetch max score or else zero 2.5 New Equip ment Revie w

20 1) Is there a system for addressing any change in the existing unit, equipment or process?

2) Whether the P&I diagram and other related documents are updated accordingly?

3) Whether self assessment is conducted after induction of new equipment?

4) Is there established process for design and quality of induction of new equipment? 5 5 5 5 1) Documentary evidence will fetch max score or else zero

2) Documentary evidence will fetch max score or else zero

3) Documentary evidence will fetch max score or else zero

4) Documentary evidence will fetch max score or else zero 2.6 Mana geme nt Of Chan ge(M OC)- (Peop le, Techn ology, Equip ment

20 1) Is approved MOC process and documentation system available?

2) Does MOC address All capital projects?

3) Does MOC address All modifications of existing facilities?

4) Does MOC address the design modification and installation of vendor package equipment? 5) Does MOC address all

changes of operating conditions outside the safe working parameters? 6) Does MOC address

Instrument changes such as control valve trim

5 2 5 2 2 2 1) Documentary evidence will fetch max score or else zero 2) No. capital projects Vs Actual MOC 3) No. of modifications Vs Actual MOC 4) No. of design modifications Vs Actual MOC 5) No. of changes vs actual MOC 6) No. of instrument controls Vs actual MOC

(25)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

adjustments and changes of control parameters set points and alarm settings? 7) Does MOC address

personnel changes in key positions? 2 7) Personnel changes Vs actual MOC 2.7 Simult aneou s Opera tions( SIMO PS) – Non routin e activiti es

20 1) Whether approved SIMOPS document available and concerned persons are aware of using SIMOPS document?

2) Is there a system for periodic review and revision or revalidation of SIMOPS? 10 10 1) Evidence of updated document 2) Documentary evidence will fetch max score or else zero 2.8 Permi t –To-Work (PTW )

20 1) Is there approved Work Permit System?

2) Are all functions covered under Work permit system? 3) Is there a process for periodic audit of Work Permit System to ensure its effective implementation? 4) Whether job safety analysis

/ method statement conducted before undertaking the job? 5) Is there a system to train

and certify / authorize people who are involved in clearance in Work Permit System? 4 4 4 4 4 1) Documentary evidence of updated PTW will get max score or else zero

2) Comprehensive Vs actual (prorate)

3) Evidence of audit will fetch max score or else zero 4) Documentary

evidence will get max score or else zero

5) Documentary & physical evidence will fetch score on prorate basis 2.9 Asset Integri ty and Relia bility (Pres

20 1) Whether list of pressure vessels/equipment available which are operated at a pressure greater than the atmospheric pressure? 2) Are standards/codes of 5 5 1) Full list of pressure vessels will fetch max score or else zero

(26)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght sure vesse ls & Proce ss Equip ment)

practice adopted for design, fabrication, operation and maintenance of the pressure vessels and records maintained?

3) Are safety devices available for these pressure vessels and functioning?

4) Is there a prescribed frequency for integrity check and safety device integrity checks conducted periodically? 5 5 design documents/fabrica tion details if any/O&M document availability (score on prorate basis) 3) No. of safety devices vs actual functioning (Physical evidence)(score will be on prorate basis) 4) Evidence of prescribed frequency of safety device integrity check will fetch 50% of total score and rest 50% weightage for periodic checks( safety devices Vs actual) 2.10 Inspe ction and Repor ting Requi reme nts (Maint enanc e) 20 1) Is a preventive maintenance system in place, including review thereof?

2) Is Identification and prioritization done for all equipment / system requiring preventive maintenance based on criticality?

3) Is there an established procedure for capturing maintenance needs based on condition of each equipment?

4) Are responsibilities assigned and frequencies established?

5) Is there a system in place to report in writing, on a

day-4 4 4 4 4 Documentary evidence will fetch max score or else zero

(27)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

to-day basis, all observed substandard actions or hazard conditions?

2.11 Engin

eering 20 1) Are relevant engineering regulations, codes and industry standards identified and periodically reviewed to ensure compliance? 2) Are all engineering controls

identified, implemented and monitored regularly? 10 10 1) % compliance of Codes / industry standards / periodic review 2) Engineering controls required Vs availability Vs function Vs monitoring 2.12 Pre-start up Safet y revie w

20 1) Is Pre- start-up safety review system implemented for new facilities and modified facilities?

2) Are Pre- start-up review findings addressed for new, modified and after major shutdown? 10 10 1) Documentary evidence of pre-start up safety review system for new facilities/modified facilities- 50% each weightage 2) Findings Vs actual 2.13 Electri cal install ation and protec tion equip ment

20 1) Whether main single line diagrams of Electrical Power Distribution updated" and “As-built"?

2) Are the Installations duly approved by competent authority?

3) Are electrical equipment inspection planned and conducted?

4) Is the electrical Lock out & Tag out (LOTO) carried out with approved work permit system?

5) Is the integrity of flameproof equipment maintained w.r.t damages or missing bolts /nut in the junction boxes/panel covers /terminal boxes etc.? 6) Are the Transformer &

Switchyards free of 2 2 2 2 2 1 Documentary evidence will fetch max score are else zero

(28)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

vegetation / dry grass? 7) Are all the electrical

equipment (e.g. switchboards, Relays, Motors, Transformers & Bus ducts etc.) and junction / terminal boxes etc. vermin proof?

8) Are CO2 type fire extinguishers / other relevant fire detection and suppression system provided for electric fires? 9) Are personnel trained in first

– aid and electric shock treatment? Are charts of the same displayed at strategic locations?

10) Are electrical facilities manned by competent personnel as per relevant statutory requirement? 11) Whether equipment /

material conform to prescribed standards? 12) Substation provided with

emergency lighting and equipment accessible for Operation, Inspection and Maintenance? Provision of Emergency light

13) Approved inspection schedule of Motor Control Stations followed and records maintained?

14) Earthing carried out as per IS: 3043 and earth leakage protection provided and functioning

15) Anti-static charge device fitted wherever necessary

1 1 1 1 1 1 1 1 1 2.14 Worki

(29)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

Heigh

t practices during working at height like tagging system, maintenance records for fall arrest equipment

2) Is there approved scaffolding / working platform as per relevant standards? 10 50% each weightage 2.15 Confi ned space entry

20 1) Are safety measures taken in order to enter the Confined Space by preparing a Confined Space Entry Permit as per the procedure for issue of Permit to Work like Matrix of the isolation philosophy in place

2) Is there access control, stand by person, rescue plan, communication method for confined spaces? 10 10 Documentary Evidence of full information/data will get max score or else zero

Physical/documental evidence will fetch max score or else zero 2.16 Safe Isolati on Syste ms and Equip ment Contr ols

20 Do systems correspond to safe isolation methods and equipment control in place?

20 Max score for comprehensive isolation methods in place or else zero

Max score if all controls in place or else on prorate basis ( Requirement Vs Actual) 2.17 Hazar dous subst ance Contr ol 20 Is MISHC (Manufacture, Storage and Import of Hazardous Chemical) assessment in place?

20 Complete Documentary evidence will get max score or else zero

2.18 Radia tion Sourc es &

20 1) Whether statutory approvals are secured before radiation source substances handling?

4 Complete Documentary evidence will get max score or else zero

(30)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght Non ionizi ng radiati on

2) Are radiation sources kept in a controlled manner as prescribed?

3) Whether personnel handling such chemicals are properly trained?

4) Whether Personnel Protective Equipment necessary for handling such substances provided and used?

5) Are measurement and monitoring equipment and systems in place?

6) Is there evidence of records and usage of radioactive substances? 4 3 3 3 3 2.19 Mana geme nt of Noise and Vibrat ion

20 1) Has Noise survey been undertaken in the facility and meet statutory requirements?

2) Are procedures in place to prevent exposure to noise? 3) Are Health surveillance

records available?

4) Are procedure in place as regard to vibration monitoring of heavy machinery generating noise and remedy thereof?

5 5 5 5 1) Adequacy Vs Actual 2) Documentary /physical evidence will fetch max score or else zero 3) Documentary

evidence will fetch max score or else zero

4) Physical evidence will fetch max score or else zero 2.20 PPE asses sment and contro ls 20 1) Is PPE assessment available with respect to job, selection, quality?

2) Are appropriate PPE being used in practice as per the job requirement?

3) Is quality of PPE being used appropriate?

4) Evidence to ensure that adequate controls are in

4

4

4

4

Documentary evidence will get max score or else zero

Physical evidence will fetch max score or else zero

(31)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

place for the correct provision, training, use and storage of PPE

5) Is there a mechanism for verifying Inspection / expiry of PPEs? 4 3 Work Place Safety 100 3.1 House keepi ng

25 1) Are all the passages, floors and stairways clearly marked and maintained? 2) Is Spillage management

practiced?

3) Is there a waste/debris segregation and disposal system?

4) Are good housekeeping practices and standards made known to all employees and followed? 5) Is there a system to

recognize and reward the individual/unit for maintaining good housekeeping? 5 5 5 5 5 Physical evidence to satisfaction of auditor Documentary evidence for 4th & 5th

question: Max score or else zero 3.2 Acces s, Stacki ng and storag e

25 1) Is safe access provided to all places where workers need to work?

2) Are all such access in good condition?

3) Whether access is clear for easy approach and exit? 4) Are all drain covers provided

and maintained in good condition?

5) Is integrity check of drains is conducted periodically? 5 5 5 5 5 Physical evidence to satisfaction of auditors 3.3 Ventil ation, heatin g and lightin g

25 1) Is ambient air quality monitored?

2) Whether dust/fumes/hot air is generated in the process? . If so, is there a exhaust/ dilution/ ventilation system provided?

5

5

1) Documentary evidence will fetch max score or else zero. Physical evidence, score on prorate 2) For questions

(32)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

3) Are periodic/preventive maintenance of ventilation system carried out and record maintained?

4) Is there a system for detection and measurement of fumes / gaseous emissions?

5) Are appropriate PPEs, used for protection from dust / fumes and gases?

5

5

5

2)/3)/4): Documentary evidence will fetch max. score or else zero 5) Physical evidence to satisfaction of auditors 3.4 Safet y signs and notice s 25 1) Is there mechanism to ensure that adequate signage is displayed to warn danger, hazards, actions to be taken, safe and prohibited areas?

2) Are escape routes clearly marked in the facility? 3) Are emergency lighting and

illumination systems in place and functional?

10

10

5

Physical evidence is required and score will be on prorate basis 4 Fire Prevention & Protection System 100 4.1 Fi-Fi syste m Hard ware

50 1) Are fire detection systems available?

2) Are fire protection system including fire alarms, voice alarms, equipment, emergency lighting, fire water reservoir available as per standards and requirement?

3) Are fire suppression systems available and maintained?

4) Is there a containment facility for contaminated fire water? 15 15 10 10 1) Requirement vs available(function al) 2) Fire alarms / Voice alarms / Fi Fi equipment (Monitors / Hydrants / Fire extinguishers / Fire pumps) / emergency lighting / fire water reservoir as per standards, score will be as per Requirement Vs availability percentage

(33)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght 3) Adequacy Vs actual maintained (Prorate basis) 4) Physical evidence ( Full or zero) 4.2 Fi-Fi Syste ms & Practi ces

50 1) Is the firefighting system and equipment approved, tested and maintained as per relevant standard? 2) Is there a system of planned

inspection and maintenance for firefighting system? 3) Are all identified areas of the

plant covered by fire hydrants/monitors?

4) Are all personnel conversant with the fire prevention and protection measures? 5) Are all plant personnel

trained in the use of portable fire extinguishers?

6) Are fixed or automatic fire fighting installation(s) provided?

7) Are fire drills planned and conducted as per prescribed norms?

8) Are fire safety assessment conducted and recommendations

implemented?

9) Does firefighting Mutual aid facility exist?

10) Are all shifts manned by fire personnel? 5 5 5 5 5 5 5 5 5 5 1) For questions 1)/2)/9: Documentary evidence will fetch max. score or else zero 2) For questions 3) Norm Vs actual 3) For questions 4)/5): Both Documentary /physical evidence ( 50% each) 4) For questions 6) Norm Vs actual Percentage 5) For questions 7.Plan Vs Actual Percentage 6) For questions 8) Documentary evidence will fetch max. score or else zero

7) For questions 10) Physical evidence will fetch score on prorate basis 5 Material storage, Handling & Transportati on and Lifting Tools 100 5.1 Materi al & Equip ment Handl ing 40 Material Handling

1) Are there adequate storage facilities available?

2) Are material handling areas clearly defined?

3) Are all racks and steel 4

4

Physical evidence will fetch max. score or else zero

(34)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

& Tackles cages in good condition and safe working load displayed?

4) Are there adequate equipment for handling materials?

5) Do the workers know the hazards associated with manual material handling 6) Have workers been trained

where manual handling is necessary?

7) Do workers follow safe practices for storage and handling of materials? 8) Do workers practice as

trained?

9) Are hazardous chemicals handled with adequate PPE?

10) Are contractor workers provided with PPE during handling of hazardous chemicals? 4 4 4 4 4 4 4 4 5.2 Trans portati on 30 Surface Transportation 1) Are all transport vehicles

roadworthy (own/outsource)?

2) Are loading/unloading instructions and safety precautions displayed? 3) Are loaded tankers/trucks

parked in designated safe area?

4) Do all drivers carry TREM card or instruction booklet? 5) Do all drivers get training in

handling emergencies during transportation? 6) Is GPS enabled In-Vehicle

Monitoring System (IVMS) institutionalized and used for

2 2 2 2 2 2 1) Physical evidence will fetch max. score or else zero 2) Where both physical and Documentary evidences are required the score weightage will be 50% each, no evidence will be considered zero.

(35)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

monitoring of vehicle movement?

7) Are drivers’ details available and background checks done?

8) Is defensive driving training provided?

Pipeline Transportation 9) Are underground or over

ground pipelines secured? 10) Are corrosion detection and

protection measures employed in pipelines? 11) Is there a pipeline

surveillance system implemented?

12) If the pipelines are in the public domain, is public awareness, signage and emergency contact details provided?

13) Are the pipelines dedicated for each type of chemicals? 14) Are the pipelines fitted with

safety equipment such as leak detectors, automatic shut-off valves, etc?

15) Is there a documented procedure for tackling leakage in pipeline? 2 2 2 2 2 2 2 2 2

(36)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght 5.3 Lifting Tools & Tackl es

30 1) Whether all the lifting machines are marked with their SWL and date of test by competent person? 2) Are all the examinations and

tests documented in the prescribed form and statutory submissions made in time?

3) Are adequate lifting tackles provided at all the places where they are required, maintained in good condition and records kept? 4) Are trained operators

engaged for operating the lifting equipment?

5) Is there a system for identification and safe disposal of rejected lifting tools & tackles?

6 6 6 6 6 1) No. of lifting machines vs actual( Percentage) 2) Requirement vs Actual( Percentage) 3) Requirement vs

Actual will get score of 4 and for records, score will be 2

4) Physical evidence will get max. score or else zero 5) For system in

place score will be 3 and for physical evidence of safe disposal the score will be 3 6 Plant Inspection & Audits including Storages & Tank farms 100 6.1 Plant Inspe ction

30 1) Are safety inspections planned and carried out as per defined frequency? 2) Are all substandard

conditions observed during planned inspections reported in writing and corrective actions taken? 3) Is there a comprehensive

system to identify, inspect and control critical components/parts/items associated with the following?

 All areas / locations

 All structures and buildings (stability certificates)  All equipment 10 10 10 1) Plan vs Actual( Percentage) 2) Documentary

evidence will fetch o max. score or else zero

3) Evidence of system in place will get 5 and physical evidence of control will get score on prorate basis for each components

6.2 HSSE

(37)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

periodically?

2) Is there a system to review, implement and comply with recommendations of external audits?

3) Is the compliance of internal safety & security audit recommendations ensured?

10

10

Percentage) 2) System in place

will get 5 p and for compliance of recommendations it would be on percentage basis 3) Plan vs Actual( Percentage) 6.3 Stora ges & Tank Farm s

40 Inspection of Storage tanks 1) Is there a documented

inspection procedure for storages and tank farms? 2) Are inspection conducted as

per prescribed procedures and defined periodicity? 3) Are relevant statutory

requirements for storage followed?

4) Are Instrument controls & Electrical installations including earthing systems provided, maintained and calibrated as per standards? Tank Manifold Area

5) Is Tank Area properly fenced and accessible with controlled access?

6) Are storage vessels exceeding threshold quantities specified in MSIHC, Rules 1989 identified)?

7) Are the controls in tank manifold area identified, listed maintained and calibrated?

8) Are flameproof electrical installations provided for tanks storing flammable material?

Dyke Area & Pumping System 2 2 2 2 2 2 2 2

Both physical and Documentary evidences are required.

Where both physical and Documentary evidences are required the score will be 50% each, no evidence will be considered as zero score for each question

(38)

Key Performance

Indicators (KPIs) Indicators (PIs) Performance Evaluation Questionnaire Max. Scor e for eac h

Guidelines for

Scoring Rated Weigh t / Score PI

No. Description Max. Weigh t KPI

No. Description Max. Wei ght

9) Are these storage vessels/tanks dyked and integrity checked?

10) Is the capacity of the bunds/dykes as per design criteria for such storage? 11) Are vessels/tanks/piping

bonded and earthed, periodically checked and records maintained? 12) Are isolation arrangements

provided to prevent spillage in case of any mishap? Safety Gadgets/Devices 13) Are the vessels/tanks fitted

with remotely controlled isolation valves?

14) Are vessels provided with emergency vent, relief valve, bursting disc, level indicator, and pressure gauge, overflow line etc.? 15) Do such vents discharge at

safe distance/ closed system?

16) Are the vessels provided with alarms for high level, high temperature and high pressure?

17) Are standby empty tanks provided for transferring material in case of emergencies? .

18) Is firefighting system provided for tackling emergency situations around the storage vessels? 19) Is there a provision of

lightening protection mechanism?

20) Whether safe access to valves/manholes at the top

2 2 2 2 2 2 2 2 2 2 1 1

References

Outline

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