API PUBL 9100B-1998 Guidance Document for Model EHS Management System A Manual to Assist Companies Interested in Developing an EHS Management System or Enhancing an Existing System.pdf

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1、 STD.API/PETRO PUBL SLOOB-ENGL LYS8 m 0732290 Ob14240 428 m American Petroleum Institute Guidance Document for Model EHS Management System A Manual to Assist Companies Interested in Developing an EHS Management System or Enhancing an Existing System API Publication 91 OOB October 1998 d- Strateaies

2、for Tas Y- Envinmmental Purtnersbip American Institute Petroleum American Petroleum Institute Environmental, Health and Safety Mission and Guiding Principles MISSION The members of the American Petroleum Institute are dedicated to continuous efforts to improve the compatibility of our operations wit

3、h the environment while economically developing energy resources and supplying high quality products and services to consumers. We recognize our responsibility to work with the public, the government, and others to develop and to use natural resources in an environmentally sound manner while protect

4、ing the health and safety of our employees and the public. To meet these responsibilities, API members pledge to manage our businesses according to the following principles using sound science to prioritize risks and to implement cost-effective management practices: PRINCIPLES To recognize and to re

5、spond to community concerns about our raw materials, products and operations. To operate our plants and facilities, and to handle our raw materials and products in a manner that protects the environment, and the safety and health of our employees and the public. planning, and our development of new

6、products and processes. To advise promptly, appropriate officials, employees, customers and the public of information on significant industry-related safety, health and environmental hazards, and to recommend protective measures. disposal of our raw materials, products and waste materiais. 0 To make

7、 safety, health and environmental considerations a priority in our To counsel customers, transporters and others in the safe use, transportation and To economically develop and produce natural resources and to conserve those To extend knowledge by conducting or supporting research on the safety, hea

8、lth and environmental effects of our raw materials, products, processes and waste materials. resources by using energy efficiently. To commit to reduce overall emission and waste generation. 0 To work with others to resolve problems created by handling and disposal of hazardous substances from our o

9、perations. To participate with government and others in creating responsible laws, regulations and standards to safeguard the community, workplace and environment, To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, transport o

10、r dispose of similar raw I materials, petroleum products and wastes. Rev. November 1996 Guidance Document for Model EHS Management System A Manual to Assist Companies Interested in Developing an EHS Management System or Enhancing an Existing System API Publication 91 OOB October 1998 American Petrol

11、eum Institute STD-APIIPETRO PUBL SLOOB-ENGL 1938 D 0732290 Ob14243 137 SPECIAL NOTES API publications necessarily address problems of a general nature. With respect to particular circumstances, local, state, and federal laws and regulations should be reviewed. API is not undertaking to meet the duti

12、es of employers, manufacturers, or suppliers to warn and properly train and equip their employees, and others exposed, concerning health and safety risks and precautions, nor undertaking their obligations under local, state, or federal laws. Information concerning safety and health risks and proper

13、precautions with respect to particular materials and conditions should be obtained from the employer, the manufacturer or supplier of that material, or the material safety data sheet. Nothing contained in any API publication is to be construed as granting any right, by implication or otherwise, for

14、the manufacture, sale, or use of any method, apparatus, or product covered by letters patent. Neither should anything contained in the publication be construed as insuring anyone against liability for infringement of letters patent. If you would like more information on this publication, contact the

15、 API Policy Analysis and Statistics Department, STEP Office (202) 682-8468. A catalog of API publications and materials is published annually and updated quarterly by API, 1220 L Street, N.W., Washington, D.C. 20005. API Publication 91 OOA, Model Environmental, Health and Safety (EHS) Management Sys

16、tem, was developed as a voluntary tool or template to assist companies interested in developing an EHS management system or enhancing an existing system. The model, which applies a quality systems approach to managing EHS activities, focuses on people and procedures by pulling together company EHS p

17、olicies, legal requirements, and business strategies into a set of company or facility expectations or requirements to achieve continual improvement in overall EHS performance consistent with company policies. It is intended to be flexible and adaptable to fit the size and complexity of a companys o

18、r facilitys operations. Those who use this model should refer to the companion document, API Publ. 91 OOB, Guidance Document for Model EHS Management System, for additional information. API Publication 91008, Guidance Document for Model EHS Management System, provides assistance to corporate and ope

19、rating organization employees who are developing, implementing and assessing environmental, health and safety management systems. The guidance document serves as self-study source material, explains the basic purpose and scope of management systems, enhances efficiency of interchange among employees

20、 by use of common terminology, clarifies relationships between operating and other systems, describes how to evaluate effectiveness of an EHS management system and its elements, and facilitates system continuity over time. Those who use this guidance document should be familiar with API Publ. 91 OOA

21、, Model Environmental, Health and Safety (EHS) Management System. Copyright O 1998 American Petroleum Institute II GUIDANCE DOCUMENT FOR MODEL EHS MANAGEMENT SYSTEM TABLE OF CONTENTS OVERVIEW v Section 1.0 . DEFINITION AND CHARACTERISTICS OF A MANAGEMENT SYSTEM 1 1.1 Management System Definition 1 1

22、.1.1 Differences Between System and Other Terms . 2 1.2 Key System Characteristics . 2 1.2.1 . Scope and Objectives 3 1.2.2 . Procedures and Resources . 4 1.2.3 . Measurement and Verification . 6 1.2.4 . Feedback Mechanism . 7 Section 2.0 . IMPLEMENTING AN EHS MANAGEMENT SYSTEM 8 2.1 General 8 2.2 E

23、nsuring Capability 8 2.2.1 . Resources 8 2.2.2 . EHS Management System Alignment and Integration 8 2.2.3 . Accountability and Responsibility . 9 2.2.5 . Knowledge, Skills and Training . 10 2.2.4 . Awareness and Motivation . 9 2.3 Support Action . 10 2.3.1 . Communication and Reporting . 10 2.3.2 . D

24、ocumentation . 11 2.3.3 . Operational Control 11 2.3.4 . Emergency Preparedness and Response 11 2.4 Measurement and Evaluation 12 2.4.1 . Measuring and Monitoring 12 2.4.2 . Corrective and Preventive Action . 12 2.4.3 . Records and Information Management . 12 2.4.4 . EHS Management System Audits 12

25、2.5 Review and Improvement 13 2.5.1 . Management System Review . 13 2.5.2 . Continual Improvement 13 . 111 STD.API/PETRO PUBL SLOOB-ENGL 1998 0732290 Ob34245 TOT = Table of Contents . Continued Section 3.0 . ASSESSMENT OR AUDIT OF MANAGEMENT SYSTEMS . 14 3.1 Overview 14 3.2 Status 14 3.3 Effectivene

26、ss . 15 3.3.1 . Quality . 15 3.3.2 . Categories of System Effectiveness 16 3.4 System Element Assessment 17 3.5 Overall Management System Assessment . 18 3.6 Self-Assessment Examples . 18 3.6.1 . Self-Assessment Example #1 . 19 3.6.2 - Self-Assessment Example #2 . 20 Section 4.0 . GLOSSARY . 22 Sect

27、ion 5.0 . APPENDIXES 24 Appendix A . Industry Codes. Practices and Standards . 24 Appendix B . Government Codes. Rules and Regulations . 28 Appendix C - References and Other Useful Resources . 29 Appendix D - Gap Analysis 31 iv STD-API/PETRO PUBL SLB-ENGL 1798 0732290 bL42Yb 74b II OVERVIEW Purpose

28、of Guidance Document for Model EHS Management System The purpose of this guidance document is to assist employees who are developing, implementing and working with environmental, health and safety management systems. The guidance document is intended to: serve as self-study source material, which ca

29、n be used for other related training; 0 enhance efficiency of interchange (between individuals, operating organizations, and companies) through the use of common definitions and terminology; and 0 provide continuity of an EHS management system over time. Objectives The objectives of this document ar

30、e to provide information that will enable you to: 0 more easily implement an EHS management system at a company or facility; 0 understand the basic purpose and scope of EHS management systems (EHS MS); 0 be familiar with the definition of a management system; 0 clarify the relationship between opera

31、ting and other systems and an EHS management cyst em ; 0 understand and describe the characteristics of an effective management system; and understand and describe how to evaluate an EHS management system and its elements. Target Audience This guidance document may be used by any operating organizat

32、ions involved in the development, implementation, or assessment of EHS management systems. Persons who carry out their work within the framework of operational management systems may also benefit from this information. Prerequisite Knowledge Those who use this guidance document should be familiar wi

33、th the Model EHS Management System, Publication 91 OOA, and existing company EHS policies, procedures, programs, and operating and management systems. Figure 1 summarizes the overall scope of the Model EHS Management System. How to Use This Document You should go through the document at your own pac

34、e. Sections 1,2 and 3 can be completed in about 15 to 30 minutes. Section 4, Glossary, and Section 5, Appendixes, provide additional reference materials that some companies may find useful. V Figure 1 API MODEL EHS MANAGEMENT SYSTEM *Management Review (2) documented procedures, and responsible and a

35、ccountable resources; (3) measurement and verification; and (4) feedback or review mechanisms leading to continuai improvement of the management system. The Model EHS Management System (EHS MS) is a tool or template to help members, industry sectors, and others develop or enhance an EHS MS. It is no

36、t expected that this particular system necessarily be used. Companies may choose to organize their management systems differently depending upon other existing systems and/or procedures that are to be incorporated into their own management systems, or emphasis that company management may want placed

37、 on certain system elements. The Model EHS MS is intended to be flexible and adaptable by scaling up or down to fit the size and complexity of a companys or facilitys operations. 2 STD.API/PETRO PUBL 7100B-ENGL 1778 0732270 0614250 377 II Management system documentation is important. The reasons for

38、 documenting a system are: 0 0 0 It describes the function and form of the system and gives it substance; It has longevity and will continue to survive personnel changes (Le., transfer, retire, etc.); and People associated with the system have a common understanding of the system. 1.2.1 Scope and Ob

39、jectives PLAN Characteristic components of the scope and objectives portion of the EHS management system are: 0 A clearly defined purpose with specific objectives for the system; 0 System scope, including boundaries, explaining what the system does and does not cover; 0 Operating requirements that t

40、he system is designed to satisfy; and 0 Expected results or outcomes of the system. In the Model EHS management system, the “PLAN” portion of the system includes the following four elements (expectations for each element are included in the appropriate box): 1. Management Leadership, Responsibilitie

41、s and, individuals involved with the system need to understand their roles and responsibilities in ensuring effective application of the management system throughout a companys operations. The amount of documentation that is necessary depends on the systems complexity. The “DO” portion of the Model

42、EHS management system includes the following five elements (expectations for each element are included in the appropriate box): 5. Personnel, Training 0 Define specific roles and necessary skill requirements for key personnel involved with the management system; 0 Assign approval authority to allow

43、personnel to carry out the duties of their assigned roles; 0 Identify experience levels and/or training (both initial and refresher) that qualify a person to carry out the responsibilities assigned under the management system; and 0 Allocate resources sufficient for personnel to carry out their resp

44、onsibilities. 1.2.3 Measurement and Verification ASSESS The third or “ASSESS portion of the Model EHS management system includes the following three elements (expectations for each element are included in the appropriate box): 10. EHS Performance Monitoring improved interested party communications;

45、etc.). After quantifying the changes and trends in performance, an organization can identify economic and social benefits, both internal and external, resulting from 6 these activities. It is the monitoring of EHS performance that gives the organization the capability, “the facts, to demonstrate the

46、 quality and degree of improvement of its performance, and consequently, the quality of its environmental stewardship. The objectives of measurement and verification are to ensure: (1) that processes exist to measure performance against objectives and expected results, and (2) that proper functionin

47、g of the system is verified. Processes need to be set up to measure system performance against the objectives and expected results. Measurement is a means to check system performance against requirements or expectations. Specific system outputs need to be measured to ensure that the system is functi

48、oning and meeting its objectives. Auditing the EHS Management System involves monitoring and assessing system effectiveness and efficiency parameters. The purpose of system verification is to confirm that the system is continuously functioning and meeting its objectives. Verification is usually done

49、 through some form of review of the system or system outputs. Verification includes both management review of the system and field verification to ensure the system is working as designed in an operation. 1.2.4 Feedback Mechanism ADJUST The final or “ADJUST” portion of the Model EHS management system includes one element (expectations of this element are included in the box below): 13. Management Review raise awareness; deal with concerns about company/facility activities, products or services; and provide information about the EHS management system and performance. R