1. Enforcement of the Seveso II Directive Enforcement of the Seveso II Directive

2. 2  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 Structure of the presentation

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

4. 4 Basic Process of Enforcement

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

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

7. 7  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 Seveso II Requirements for inspections and enforcement

8. 8  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). Seveso II Requirements for inspections

9. 9  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. Seveso II Requirements towards the system of inspections

10. 10  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 Development of Seveso II Inspection programme

11. 11 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 Development of Seveso II Inspection programme

12. 12 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 Development of Seveso II Inspection programme

13. 13  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 Development of Seveso II Inspection programme

14. 14 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 National policy for Inspections

15. 15 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 Planning Inspections

16. 16 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. Planning Inspections

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

18. 18  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 Performing Inspections

19. 19  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 Performing Inspections

20. 20  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 Performing Inspections

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

22. 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. 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. 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. 25 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 Preparation The Enforcement of Seveso II – Bulgarian experience

26. 26 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 Practical details The Enforcement of Seveso II – Bulgarian experience