Api rp 9000 1998 scan (american petroleum institute)

Management Practices, Self-Assessment Process, and Resource Materials SECTION 1--INTRODUCTION One of the most significant long-term trends af- fecting the future vitality of the petrole

Management Practices, Self-Assessment Process, and Resource Materials

API RECOMMENDED PRACTICE 9000 SECOND EDITION, OCTOBER 1998

-

day's

Environmental Partnmsbip

American Petroleum Institute

American

Petroleum

Institute

American Petroleum lnstitute

SF$- and Guiding Principles

MISSION The members of the American Petroleum Institute are dedicated to continuous

efforts to improve the compatibility of our operations with the environment while economically developing energy resources and supplying high qualily 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 protecting 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 respond 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

To 'mke safety, health and environmental considerations a priority in our planning, and o w development of new 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

To counsel customers, transporters and others in the safe use, transportation and disposal of our raw materials, products and waste materials

To economically develop and produce natural resources and to conserve those resources by using energy efficiently

To extend knowlcdgc by conducting or supporting research on the safety, health and environmental effects of our raw materials, products, processes and waste materials

To commit to reduce overall emission and waste generation

To work with others to resolve problems created by handling and disposal of hazardous substances from our operations

To participate with govcrnmcnt 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 or dispose of similar raw materials, petroleum products and wastes

Rev November 1996

Management Practices, Self-Assessment Process and Resource Materials

Policy Analysis and Strategic Planning Department API RECOMMENDED PRACTICE 9000

SECOND EDITION, OCTOBER 1998

Petroleum Institute

Environmental Partnersb fp

Information concerning safety and health risks and proper precautions with respect to particular materials and con- ditions 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 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 Generally, API standards are reviewed and revised, reaffirmed, or withdrawn at least every five years Sometimes

a one-time extension of up to two years will be added to this review cycle This publication will no longer be in ef- fect five years after its publication date as an operative API standard or, where an extension has been granted, upon republication Status of the publication can be ascertained from the API Authoring Department, [telephone (202) 682-8000) A catalog of API publications and materials is published annually and updated quarterly by API, 1220 L Street, N.W., Washington, D.C 20005

Copyright O 1998 American Petroleum Institute

CONTENTS

Page

SECTION 1-INTRODUCTION 1

SECTION 2 MANAGEMENT PRACTICES FOR POLLUTION PREVENTION

2.1 Background

2.2 Practical Implementation 2.3 Pollution Prevention Management Practices

2.3.1 Management Commitment

2.3.2 Prevention of Spills and Accidental Releases

2.3.3 Inventory of Releases and Assessment of Impacts

2.3.4 Pollution Prevention Opportunities and Approaches

2.3.5 Pollution Prevention in Research and Design

2.3.6 Industry and Public Outreach SECTION 3-MANAGEMENT PRACTICES FOR OPERATING AND PROCESS SAFETY 7

3.1 Background 7 3.2 Practical Implementation 8

3.3 Operating and Process Safety Management Practices 8

3.3.1 Management Commitment 8

3.3.2 Impact Assessment and Resolution 8 3.3.3 Sound Work Practices 8

3.3.4 Contractor Safety 8 3.3.5 Use of Standards 9

3.3.6 Documentation of Information 9

3.3.7 Safe Transportation Practices 9

3.3.8 Incident Investigation 9

3.3.9 Fitness for Duty 9 3.3.10 Health and Exposure Assessments 9

3.3.1 1 Management of Change 10 3.3.12 Management System Assessments 10

SECTION "MANAGEMENT PRACTICES FOR COMMUNITY AWARENESS

4.1 Background

4.2 Practical Implementation

4.3 Community Awareness Management Practices

4.3.1 Management Commitment

4.3.2 Assessment of Employee and Contractor Concerns

4.3.3 Communications Training

4.3.4 Education 4.3.5 Dialogue With Employees and Contractors

4.3.6 Effectiveness Evaluation

4.3.7 Assessment of Community Concerns

4.3.8 Education Program 4.3.9 Dialogue With Local Citizens

4.3.10 Openness Policy 4.3.1 1 Effectiveness Evaluation

SECTION 5-MANAGEMENT PRACTICES FOR

CRISIS READINESS

5.1 Background

5.2 Practical Implementation

5.3 Crisis Readiness Management Practices

5.3.1 Assess and Update Hazards

5.3.5 Employee Training Programs

5.3.6 Community Coordination and Response

5.3.7 Coordination for Recovery

SECTION 6-MANAGEMENT PRACTICES FOR

PRODUCT STEWARDSHIP

6.3.6 Product Dcsign, Manufacture, and Distribution

SECTION 7-MANAGEMENT PRACTICES FOR

PROACTIVE GOVERNMENT INTERACTION

7.1 Background

7.2 Practical Implementation

7.3 Proactive Government Interaction Management Practices .

7.3.1 Providing Information

7.3.2 Identifying Proactive Opportunities

7.3.6 Participating in Intercompany and Industry Activities

SECTION 8-MANAGEMENT PRACTICES FOR

RESOURCE CONSERVATION

8.1 Background

8.3.5 Planning

APPENDIX A-SELF-ASSESSMENT FORMS A-I

Tables 1-Management Practices for Pollution Prevention and Corresponding API EHS Guiding Principles A-3 2-Management Practices for Operating and Process Safety and Corresponding API EHS Guiding Principles A-5 3-Management Practices for Community Awareness and Corresponding

API EHS Guiding Principles A-7

4 Management Practices for Crisis Readiness and Corresponding API EHS Guiding Principle A-9 5-Management Practices for Product Stewardship and Corresponding

API EHS Guiding Principles A- 11 6-Management Practices for Proactive Government Interaction and

Corresponding API EHS Guiding Principles A-13 7-Management Practices for Resource Conservation and Corresponding

API EHS Guiding Principle A-15

APPENDIX B-RESOURCE MATERIALS B-1 B-l Examples of Resources for Pollution Prevention B-3

Industry Resources B-3 Other Private Sector Resources B-4

International Groups B-6 State Government Agencies B-6 Sector Specific Resources B-6 Exploration 8r Production Operations B-7 Refining Marketing and Transportation Operations B-7 B-2 Examples of Resources for Operating and Process Safety B-9

Industry Resources B-9 Other Private Sector Resources B-9

B-6 Examples of Industry Resources for Proactive Government

Industry Rcsourccs B-29 Other Petroleum Industry Trade Associations that Sponsor

Cooperative Projects with Government Agencies B-29 Federal Government Agencies B-30

State Government Agencies B-31

FOREWORD

The management practices described in this rccomrnended practice are intended to act as a bridge between API's Environmental, Health and Safety Mission and Guiding Principles and activities of individual companies that are aimed at improving environmental, health, and safety performance The sell-assessment process described in this recommended practice provides a mechanism for measuring progress in implementing the management practices This recommended practice also provides a compilation of resources to assist API members with their implementa- tion of the management practices

API publications may be used by anyone desiring to do so Every effort has been made by the Institute to assure the accuracy and reliability of the data contained in them; however, the Institute makes no representation, warranty,

or guarantee in connection with this publication and hereby expressly disclaims any liability or responsibility for loss or damage resulting from its use or for the violation of any federal, state, or municipal regulation with which this publication may conflict

Suggested revisions are invitcd and should be submitted to the STEP Coordinator of the Policy Analysis and Strategic Planning Department, American Petroleum Institute, 1220 L Street, N.W., Washington, D.C 20005

Management Practices, Self-Assessment Process, and Resource Materials

SECTION 1 INTRODUCTION

One of the most significant long-term trends af- fecting the future vitality of the petroleum industry is the public's concerns about the environment, health and safety Recognizing this trend, API member companies have developed Strategies for Today's

Environmental Partnership (STEP), an initiative to build understanding and credibility with interested parties by continually improving our industry's envi- ronmental, health and safety performance; docu- menting performance; and communicating with the public

The foundation for STEP is the API Environ- mental, Health and Safety Mission and Guiding Prin- ciples API programs and activities that support STEP include development of industry standards and recomrncnded practices; research; training and certi- fication programs; community partnership activities;

documentation of industry performance; and estab- lishing ongoing dialogue with the public and other stakeholders

STEP also embraces the efforts of API member companies, as we work toward a common goal The member companies recognize the importance of pro- tecting the environment for the health and welfare of today's' citizens, as well as future generations They have expressed their commitment to protecting the environment, their employees, and the public by in- corporating these concerns into their operations, and through the adoption of API's Guiding Principles

In 1992, API adopted this recommended practice, which includes management practices and a self- assessment process, to assist the members' imple- mentation of the API EHS Mission and Guiding Principles The management practices provide a bridge between the API EHS Mission and Guiding Principles and individual company activities aimed at

improving environmental, health and safety perform- ance API encourages its members to incorporate these management practices into an environmental, health and safety management system to help achieve continual improvement in performance The self- assessment process provides a mechanism for meas- uring in implementing the management practices

The recommended practice is organized around the following strategc elements:

API recommends that companies establish a re- view cycle or self-assessment process to document the extent to which these practices have been incor- porated into the management of environmental, health and safety issues (see Appendix A for a sug- gested self-assessment process) API has also devel- oped a compilation of rcsources to assist with imple- mentation of these management practices (see Ap- pendix B) These materials are in no way mandatory

or essential elements of the management practices

SECTION 2-MANAGEMENT PRACTICES FOR POLLUTION PREVENTION

2.1 Background distribution plant, or production lease site Companies

can choose to organize their pollution prevention pro- Pollution prevention is a multimedia approach that

grams at an appropriate regional or central managerial emphasizes eliminating pollution at the source It es-

level at which staff can assist in addressing the concerns tablishes a process that may create opportunities for (a)

of citizens, officials, employees, and customers

improving the environment, (b) developing the most cost-effective solutions, (c) eliminating the need for additional command and control regulations and (d) demonstrating positive industry support for environ- mental programs

In practice, there is often disagreement over just what pollution prevention really means or includes Some see

it exclusively as toxics use reduction or industrial source reduction, whereas others include recycling The following is the working API definition:

Pollution prevention is a multimedia concept that reduces or eliminates pollutant discharges to air, water, or land and in- cludes the development of more environmentally acceptable products, changes in processes and practices, source reduction, beneficial use and environmentally sound recycling

The pollution prevention management practices (see Table 1) apply generally to all operations Substantial manned facilities, such as refineries, major gas proc- essing plants, and major distribution terminals, should develop pollution prcvention programs However, a company is not expected to design a unique program for each small facility, such as an individual service station,

2.2 Practical Implementation

Achievement of pollution prevention goals will occur over time and will require a transition from today's emissions control practices to a process that encourages businesses to voluntarily conduct a critical review of their use of materials, their processes and practices, and their products to search for ways to reduce or eliminate pollution The evolution of technology and availability

of resources are among the many factors that will affect this transition A practical approach to implementation encourages the concepts of striving to conduct opera- tions in an environmentally sound manner, to produce environmentally acceptable products, and to move up the environmental management hierarchy in operations (that is, from treatment to environmentally sound recy- cling and beneficial use, from recycling and beneficial use to source reduction)

The following management practices for pollution prevention represent the practical embodiment of the

Table 1-Management Practices for Pollution Prevention and

Corresponding API EHS Guiding Principles

Strategic Element Management Practices

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-Pollution Prevention-focuses on the following API

EHS Guiding Principles:

To commit to reduce overall emissions and waste generation

a To work with others to resolve problems created

hy handling and disposal of hazardous sub- stances horn our operations

To make safety, health and environmental con- siderations a priority in our planning, and our development of new products and processes

To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, transport or disposc of similar raw materials, petroleum products and wastes

1 Provide management support for ongoing pollution pre- vention activities through appropriate policies, actions, communications, and resource commitments

2 Develop and implement a prongam to improve preven- tion and early detection and reduce impacts of spills of crude oil and petroleum products and other accidental releases from operations

3 Develop an inventory of significant releases to air, wa-

ter, and land; identify their sources; and evaluate their impact on human health and the environment

4 Periodically review and identify pollution prevention options and opportunities, develop approaches for re- ducing releases, and set goals and timing for reducing releases considering community concerns, technology and economics, and impact on human health and the environment In reducing releases, give preference first

to source reduction; second to recycling and reuse; and third to treatment; and measure progress

5 Include pollution prevention objectives in research ef- forts and in the design of new or modified operations, processes, and products

6 Support an outreach program to promote pollution pre- vention opportunities within the industry, including sharing of industry experiences and accomplishments

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STD.API/PETRO RP 9000-EMGL 1978 11 0732230 Ob3502D 7b5 e

petroleum industry's commitment to pollution preven- tion and provide a more specific mechanism for im- plementing the following API EHS Guiding Principles:

To commit to reduce overall emissions and waste generation

To work with others to resolve problems created by handling and disposal of hazardous substances from our operadons

To make safety, health and environmental considerations a prior- ity in our planning, and our development of new products and processes

To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, trans- port or dispose of similar raw materials, petroleum products and wastes

2.3 Pollution Prevention Manage- ment Practices

2.3.1 MANAGEMENT COMMITMENT Provide management support for ongoing pollution prevention activities through appro- priate policies, actions, communications, and resource commitments

Management support at all levels is an underlying principle in the implementation of API's STEP pro- gram and the commitment to reduce overall releases to the environment STEP is designed for flexibility to allow each member company to t ~ l o r its own individ- ual optimum approach to implementation of thc man- agement practices

2.3.2 PREVENTION OF SPILLS AND ACCI- DENTAL RELEASES

Develop and implement a program to improve prevention and early detection and reduce impacts of spills of crude oil and petroleum products and other accidental releases from operations

Spill and release prevention has been a historic pri- ority for the petroleum industry Proven methods of preventing spills and releases, hazard assessments (for cxample, hazard operability studies), inspection and maintenance programs, and secondary containment should be considered in implementing this manage- ment practice Once a spill has occurred, however, in- dustry cooperative efforts, such as the Marine Spill Response Corporation and other spill response coop- eratives, and techniques like emergency release mod- eling and hazardous waste operations and emergency response (HAZWOPER) training are examples of the growing list of resources available to the industry The actual methodologies employed will depend on the nature and extent of the potential health and environ- mental hazard as determined by each company for its operations

2.3.3 INVENTORY OF RELEASES AND AS-

Develop an inventory of significant releases to air, water, and land; identify their sources; and evaluate their impact on human health and the environment

Undcr this management practice, member companies develop release inventories, conduct source identifica- tions for operations, and evaluate the impact these re- leases may have on human health and the environment

API, the Chemical Manufacturers Association the U.S Environmental Protection Agency, and many state and local agencies offer reference materials on methods

of estimating or measuring releases

There are several ways to evaluate health and envi- ronmental impacts, and each company should deter- mine the methods appropriate to its operations The concerns of the affected public will also be taken into consideration, as described in Section 4

2.3.4 POLLUTION PREVENTION OPPORTU- NITIES AND APPROACHES

Periodically review and identify pollution pre- vention options and opportunities, develop approaches for reducing releases, and set goals and timing for reducing releases consid- ering community concerns, technology and economics, and impact on human health and the environment In reducing releases, give preference first to source reduction; second to recycling and reuse; and third to treatment; and measure progress

After completing an inventory of releases, a survey

of waste generation sources, and an assessment of con- cerns, operating units should review current manage- ment practices and develop appropriate release reduc-

STD.API/PETRO RP SQQO-ENGL 1998 6 0 7 3 2 2 9 0 O b L 5 0 2 L b T L

API Recommended Practice 9000 5

tion plans, considering community concerns and im- pact on human health and the environment This is an ongoing process with thc goal of continuous environ- mental improvement

Each company should identify its own reduction priorities and implement a reduction plan to meet com- pany and operating-unit goals When developing re- duction priorities, companies should consider the fol- lowing operations-specific or release-specific criteria:

technical feasibility, cost-benefit, community concern, type and size of the operation, conservation of re- sources, and any additional specific local or regional issues of concern

Measuring progress is an important feature of pollu- tion prevention and release reduction Companies should develop methods to measure progress in irnple- menting their reduction plans These methods may be specific to the company, the operating unit, or both

RESEARCH AND DESIGN Include pollution prevention objectives in re- search efforts and in the design of new or modified operations, processes, and products

Incorporating pollution prevention objectives into appropriate research and design situations will maxi- mize the opportunity to create cost-effective reduction opportunities The greatest opportunity for optimizing

pollution prevention is at project conception, during the early research and design phases of new (or modified) products, processes, or projects, rather than as an af- terthought It is important that each company analyze the waste- and release-generation potential of new or modified operations, processes, and products as part of research and design and that it apply the concepts of pollution prevention in such designs

2.3.6 INDUSTRY AND PUBLIC OUTREACH Support an outreach program to promote pollution prevention opportunities within the industry, including sharing of industry experi- ences and accomplishments

Companies have flexibility in the types of activities

in which they choose to participate Some opportunities may include the following:

a Sharing technical information and experience with partners, customers, and suppliers

b Supporting efforts to develop improved releasc re- duction techniques

c Participating in efforts to develop consensus ap- proaches to evaluating the health and environmental impacts of releases

d Participating in educational workshops and the de- velopment of training materials

e Participating in public forums

SECTION 3-MANAGEMENT PRACTICES FOR OPERATING AND PROCESS SAFETY

Substantial manncd facilities, such as refineries, major The petroleum industry is dedicated to continuous gas processing plants, and major distribution terminals, improvement and safe operations Incidents of any kind should develop operating and process safety programs

can result in injuries, illness, environmental damage, However, a company is not expected to design a and adverse public impact and opinion unique program for each small facility, such as an indi- The operating and process safety management prac- vidual service station, distribution plant, or production

Table 2-Management Practices for Operating and Process Safety and

Corresponding API EHS Guiding Principles

Strategic Element Management Practices Operating and Process Safefy-focuses on thc fol- 1 Demonstrate management leadership and support lowing API EHS Guiding Principles: through appropriate policy, communication, and re-

To oprate our plants and facilities, and to handle source co~nmitment for continuous improvement of our raw materials and products in a manner that operational and process safety performance

protects the environmtk, and the safety and 2 Assess, prioritiz, and address the environmental, health of our employees and the public health, and safety impacts of our operations

To promote these principles and practices by 3 Establish programs, procedures, training, and work sharing experiences and offering assistance to practices appropriate to each operation to foster safe, others who produce, handle, use, transport or healthful, and environmentally sound work environ- dispose of similar raw materials, petroleum ments

products, and wastes

4 Employ processes to select safe connactors, clarify responsibilities, assess performance, and exchange in- formation to promote safe work environments

5 Use sound engineering, operating, and maintenance practices consistent with recogruzed codes and stan-

d a d s in the design, construction, use, and maintenance

of operations

6 Document process design, operating paramriers and procedures, and other information relating to the haz- ards of materials and process technology

7 Employ processes to provide for safe transport of raw materials, petroleum products, wastes, and hazardous materials, including selection of reliable carriers and distributors

8 Investigate and take appropriate action on each inci-

dent that results or could have resulted in a significant injury, illness, fire, explosion, or accidental release

Where appropriate, share lessons lcarned from signifi- cant incidents with employees, industry, government, and the community

9 Employ processes to assure that personnel are able to perform their jobs safely and are not compromised by external influences, such as drugs and alcohol

10 Conduct job safety and occupational health assess- ments to evaluate risks to personnel from processes, equipment, hazardous materials, and other work-site conditions

11 Manage changes in operations to maintain or enhance the levels of safety and environmental protection dc- signed into those operations

12 Develop processes that assess safcty and occupational health management systems Conduct systematic as- sessments of operating and process safety management systems

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STD.API/PETRO RP SOOO-ENGL 1998 1 0732290 0bb5023 474 M

8 API Recommended Practice 9000

lease site Companies can choose to organize their op- erating and process safety programs at an appropriate regional or central managerial level at which staff can assist in addressing the concerns of citizens, officials, employees, and customers

To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, trans- port or dispose of similar raw materials, peuoleum products, and wastes

The operating and process safety strategic element is designed to assist the industry in preventing incidents such as fires, explosions, and accidental releases of hazardous materials and to protect and promote health and safety This strategic element comprises a series of management practices that underscore this objective

The practices are based on the principle that operations will be safe if they are designed according to sound engineering practices; built, used, and maintained properly; and reviewed periodically for conformance

The management practices provide a multidisciplinary means of identifying and assessing hazards, preventing unsafe acts and conditions, maintaining and improving employee health, and fostering communication on safety and health issues

A list of resources, found in Appendix B, is offered

as an aid to member companies in developing plans and programs to implement operating and process safety There is no obligation to use any of the listed resources, nor are they specifically tied to any single management practice The list is not exhaustive, and member companies are encouraged to use additional resources as appropriate

3.3 Operating and Process Safety Management Practices

3.3.1 MANAGEMENT COMMITMENT Demonstrate management leadership and support through appropriate policy, commu- nication, and resource commitment for con- tinuous improvement of operational and proc- ess safety performance

Management leadership and support are essential for continuous improvement of operating and process safety performance Management at all levels can demonstrate its dedication by its actions, including

allocation of appropriate staff and financial resources Also included are the training and empowerment of cmployccs to address thc safety and health issues they encounter on heir jobs Approaches include formal written policies communicated and implemented using quality-based management techniques

3.3.2 IMPACT ASSESSMENT AND RESOLU- TION

Assess, prioritize, and address the environ- mental, health, and safety impacts of our op- erations

The purpose of this management practice is to minimize the likelihood of the occurrence and the con- sequences of an unplanned cvcnt by idcntifying, cvalu- ating, and controlling the factors that could lead to the event

3.3.3 SOUND WORK PRACTICES Establish programs, procedures, training, and work practices appropriate to each operation

to foster safe, healthful, and environmentally sound work environments

Safe work practices should be established to ensure the safe conduct of operating, maintenance, and modi- fication activities and the control of materials and sub- stances that could affect the safcty and hcalth of those employed at the operation and those in the surrounding community These work practices should be based on written procedures that offer employees critical guid- ance on how to protect themselves and others and on safe operations under expected operating conditions Training programs bridge the gap between good work practices and inexperience These training programs should use qualified instructors and appropriate train- ing materials, provide a means of evaluating profi- ciency, and offer supplemental or remedial training provisions

3.3.4 CONTRACTOR SAFETY Employ processes to select safe contractors, clarify responsibilities, assess performance, and exchange information to promote safe work environments

Contractors, as well as employees, can affect the overall safety of an operation Proper evaluation, se- lection, and assessment of contractor performance can help the contractor and the operation ensure that this management practice is met Communication of, ex- pectations, sharing of information, and close coopera- tion are keys to a successful program

STD.API/PETRO R P 9000-ENGL 1998 1 0 7 3 2 2 9 0 0 b 1 5 0 2 4 300 6

3.3.5 USE OF STANDARDS Use sound engineering, operating, and main- tenance practices consistent with recognized codes and standards in the design, construc- tion, use, and maintenance of operations

A process should be in place to identify, communi-

cate, and apply appropriate safety codes and standards applicable to engineering, design, construction, opera- tion, and maintenance activities Periodic equipment inspection, testing, and maintenance programs are ways to ensure adherence to applicable codes, regula- tory requirements, and continued mechanical integrity

3.3.6 DOCUMENTATION OF INFORMATION Document process design, operating parame- ters and procedures, and other information relating to the hazards of materials and proc- ess technology

Documented process safety information should be compiled and maintained to provide the foundation for identifying and understanding the hazards in an opera- tion Examples of pertinent information that might be included are process and mechanical design, material specifications, equipment records, safe operating ranges, and known hazards

Employ processes to provide for safe trans- port of raw materials, products, wastes, and hazardous materials, including selection of re- liable carriers and distributors

Transportation of raw materials, products, hazardous materials, and wastes can affect the health and safety of employees and the public Processes to consider are risk evaluation, carrier selection and qualification, emergency response plans, documentation of proce- dures for selection and use of containers appropriate for the materials being shipped, documentation of pro- cedures for loading and unloading, and periodic feed- back on safety performance, including suggestions for improvement to carriers, distributors, and operators

All modes of transportation should be addressed (such

as highway, rail, marine, air, and pipeline)

3.3.8 INCIDENT INVESTIGATION Investigate and take appropriate action on each incident that results or could have re- sulted in a significant injury, illness, fire, ex- plosion, or accidental release Where appro- priate, share lessons learned from significant

incidents with employees, industry, govern- ment, and the community

Incidents that result in, or could reasonably have caused, serious injury, illness, fire, explosion, or acci- dental release should be investigated The purpose of these investigations is to learn from incidents, prevent their recurrence, and help prcvent similar incidents Incident investigations should be initiated as promptly

as possible after taking the necessary measures to pro- tect people and the environment, secure the incident scene, and maintain and recover important evidence and testimony The lessons learned from an investiga- tion should be shared, where appropriate, with the management of similar facilities within the company, employees, industry government, and the community

3.3.9 FITNESS FOR DUTY Employ processes to assure that personnel are able to perform their jobs safely and are not compromised by external influences, such as drugs and alcohol

Member companies should consider employing drug and alcohol abuse programs to assure that personnel in safety-sensitive jobs are fit for duty and not compro- mised by external influences A program might include identification of safety-sensitive jobs, employment screening practices, employee training to recognize the symptoms of impairment, a process for dealing with cases of suspected incapacity, appropriate rehabilita- tion assistance, appropriate security measures for search and seizure of contraband, and a disciplinary process specific to substance abuse

3.3.10 HEALTH AND EXPOSURE ASSESS- MENTS

Conduct job safety and occupational health assessments to evaluate risks to personnel from processes, equipment, hazardous mate- rials, and other work-site conditions

This management practice addresses the need for job-safety and occupational-hcalth risk assessments These assessments involve the anticipation, recogni- tion, and evaluation of hazards found in the workplace Typical program elements to be considered are hazard communications programs, medical surveillance pro- grams, exposure assessments (for example, noise, dust, asbestos, benzene, hydrogen sulfide), job safety analy- ses ergonomic evaluations, toxicological studies, ma- terial safety data sheets (MSDSs), job and employee exposure tracking, and inventories of hazardous mate- rials and chemicals

STD.API/PETRO RP 9000-ENGL 1 9 9 8 1111 0 7 3 2 2 9 0 0 6 1 5 0 2 5 2 4 7 1

10 API Recommended Practice 9000

3.3.11 MANAGEMENT OF CHANGE Manage changes in operations to maintain or enhance the levels of safety and environmental protection designed into those operations

Operations are subject to continual change to main- tain and increase efficiency, improve operability and safety, accommodate technical innovations, and im- plement mechanical improvements Temporary repairs, connections, bypasses, or other modifications are common and necessary occurrences Because changc can introduce new hazards or compromise safeguards incorporated in the design, appropriate care should be taken to understand the process safety and environ- mental implications Written procedures should be es- tablished and implemented to manage change

3.3.12 MANAGEMENT SYSTEM ASSESS- MENTS

Develop processes that assess safety and occu- pational health management systems Conduct systematic assessments of operating and proc- ess safety management systems

The operating and process safety strategic element is quite comprehensive Periodic assessments should be conducted to assure that there is continuous improve- ment and that the necessary management systems are

in place and working These assessments should ad- dress the technical elements covered in the other man- agement practices in this section The system should specify the assessment frequency, how the assessments can be performed and follow-up procedures

SECTION 4-MANAGEMENT PRACTICES FOR COMMUNITY AWARENESS

The goal of the community awareness management practices (see Table 3) is to be responsive to community concerns about petroleum industry operations, raw ma- terials, and products These management practices are also intended to address similar concerns of employees, contractors, and public officials These practices in- volve a commitment to openness and community dia- logue They are intended to help member companies initiatc and maintain awareness programs to openly communicate relevant, useful information that is re- sponsive to the public's questions and concerns about safety, health, and the environment The important principle behind these management practices is that better communications-backed up by excellent per- formance-help reduce fear and mistrust

Community awareness programs can communicate ac- tivities and performance under all of the API strategic elements and can promote an open, periodic dialogue with employees, contractors, and the community In- formation may be provided about activities such as waste minimization and emission reduction, about ef- forts to ensure the safc and environmentally sound op- eration of petroleum industry operations, and about subjects such as health effects of petroleum products, materials, and supplies

These management practices apply generally to all operations Substantial manned facilities, such as refin- eries, major gas processing plants, and major distribu- tion terminals, should develop community awareness programs However, a company is not expected to de- sign a unique program for each small facility, such as

an individual service station distribution plant, or

Table 3-Management Practices for Community Awareness and

Corresponding API EHS Guiding Principles

Strategic Element Management Practices Community Awareness-focuses on the following 1 Demonstrate management commitment and leadership

API EHS Guiding Principles: aimed at achieving effective community awareness

To recognize and to respond to community con- 2 Provide an awareness program for employees and cems about our raw materials, products and op- contractors that includes periodic absessments of their erations questions and concerns about the operation

To advise promptly appropriate officials, em- ployees, customers, and the public of infonna- tion on significant industry-related safety, health and environmental hazards and to recommend protective measures

a To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, transport or dispose of similar raw materials, petroleum products and wastes

3 Provide communications training for key company

personnel who communicate with employees, con- tractors, and the public concerning safety, health, and environn~ental issues

4 Provide for education of employees and contractors about the operation's emergency response plan and safety, health, and environmental programs

5 Conduct periodic dialogue with employees and con-

tractors to respond to their questions and concerns and involve them, as appropriate, in community awareness efforts

6 Conduct periodic evaluations of the effectiveness of employee and contractor communications efforts

7 Provide an awareness program for the community that includes periodic assessments of community questions and concerns about the operation

8 Maintain program to educate the community, outside emergency responders, government officials, the me- dia, and other businesses about the operation's emer- gency response program and its health, safety, and en- vironmental protection programs

9 Conduct periodic dialogues with appropriate local citizens to respond to questions and concems about safety, health, and the environment

10 Maintain a policy of openness that is responsive to persons interested in becoming familiar with the op- eration, its products, and its efforts to protect safety, health, and the environment

1 I Conduct periodic evaluations of the effectiveness of community communications efforts

S T D - A P I / P E T R O RP 9000-ENGL 1 9 9 8 11 0 7 3 2 2 9 0 ObL5027 OlT I I

12 API Recommended Practice 9000

production lease site Companies can choose to organ- ize their community awareness programs at an appro- priate regional or central managerial level at which staff can assist in addressing the concerns of citizens,

officials, employees, and customers

4.2 Practical Implementation

The community awareness management practices will assist companies in implementing the following API EHS Guiding Principles:

To recognize and to respond to community concerns about our raw materials, products and operations

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

To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, trans- port or dispose of simila raw materials, petroleum products and wastes

4.3 Community Awareness Manage- ment Practices

4.3.1 MANAGEMENT COMMITMENT Demonstrate management commitment and leadership aimed at achieving effective com- munity awareness

API's STEP program represents a management commitment to maintaining an open dialogue with em- ployees and communities about the safety, health, and

environmental aspects of operations This management commitment can bc demonstrated through company policy, management participation and communications, allocation of resources, and other means

4.3.2 ASSESSMENT OF EMPLOYEE AND

CONTRACTORCONCERNS Provide an awareness program for employees and contractors that includes periodic assess- ments of their questions and concerns about the operation

The STEP program represents management recogni- tion that employees and contractors require information about the operations they work in, the processes that are used in those operations, and the substances pro- duced, used, stored, processed, and transported This management practice addresses the key step of under- standing what the employee and contractor concerns are and how they can best be addressed

4.3.3 COMMUNICATIONS TRAINING Provide communications training for key company personnel who communicate with employees, contractors, and the public con- cerning safety, health, and environmental is- sues

Employees who best know the operation may not be experts in relaying necessary information to other em- ployees, contractors, and external audiences A key

part of the program is to provide effective training for those who will engage in the community dialogue

4.3.4 EDUCATION Provide for education of employees and con- tractors about the operation's emergency re- sponse plan and safety, health, and environ- mental programs

All employees and contractors should have informa- tion about company and industry programs designed to protect their health and safety Employees and con- tractors should understand the general emergency re-

sponse plan for the operation, as well as the process

unit in which they work This information about plans and programs is important both for the employee's own well-being and for his or her role as a member of the community and a representative of the company

CONTRACTORS Conduct periodic dialogue with employees and contractors to respond to their questions and concerns and involve them, as appropri- ate, in community awareness efforts

Employees are a key part of community awareness efforts Grass-roots employee contacts and communi- cation can be particularly important in effectively reaching a community Employees who are interested

in and capable of playing this role should be given the

necessary training and education and, as appropriate,

be provided with opportunities for direct involvement with the community

4.3.6 EFFECTIVENESS EVALUATION Conduct periodic evaluations of the effective- ness of employee and contractor communica- tions efforts

The program should include regular assessments of the effectiveness of communications with employees and contractors The evaluation should include

STD*API/PETRO RP 9000-ENGL 1 9 9 8 0 7 3 2 2 7 0 ObL5028 T5b I

feedback from employees and contractors and assess- ment by company management

4.3.7 ASSESSMENT OF COMMUNITY CON- CERNS

Provide an awareness program for the com- munity that includes periodic assessments of community questions and concerns about the operation

API's STEP program represents management recog- nition that citizens may have concerns about operations

in their communities, the processes used in those op- erations, and the substances produced, used, stored, processed, and transported A key step is to understand these concerns and determine how they can be ad- dressed Community concerns may be assessed through meetings, plant visits, or other means during which a company can ask questions and listen carefully to the answers and the concerns expressed

4.3.8 EDUCATION PROGRAM Maintain programs to educate the community, outside emergency responders, government of- ficials, the media, and other businesses about the operation's emergency response program and its health, safety, and environmental pro- tection programs

The nccd for scientific literacy and understanding is increasing as a result of technological complexity and sophistication Effective communications require that information be tailored to the audience Usable infor- mation-backed up by excellent performance-helps to reduce fear and mistrust This information can come from both company employees and third parties such as universities, scientists, and consultants This program can include steps such as tours of operations and joint emergency response training with outside responders

4.3.9 DIALOGUE WITH LOCAL CITIZENS Conduct periodic dialogues with appropriate local citizens to respond to questions and con- cerns about safety, health, and the environ- ment

An element critical to the success of this program is the formation of constructive working relationships with appropriate local government officials, emergency responders, citizens, and the media Citizens and poli- cymakers require sound information if they are to make informed decisions on environmental and safety issues The relationships established in this program can form a framework for communicating this information, as well

as company achievements in areas such as pollution prevention and release reduction

4.3.10 OPENNESS POLICY Maintain a policy of openness that is respon- sive to persons interested in becoming familiar with the operation, its products, and its efforts

to protect safety, health, and the environment

An openness policy demonstrates that a company is proud of what it is doing, that it is helping to make the community safer, and that it is striving to go beyond rcgu- latory reporting requirements Through such a policy, a company can also seek to learn from the experiences of other companies in the industry

4.3.1 1 EFFECTIVENESS EVALUATION Conduct periodic evaluations of the effective- ness of community communications efforts

The program should include regular assessments of the effectiveness of communication efforts and how community concerns may be changing The evaluation can include feedback from the community and assess- ment of the program by company management

SECTION 5-MANAGEMENT PRACTICES FOR CRISIS READINESS 5.1 Background

The goal of the crisis readiness management prac- tices (see Table 4) is to help assure emergency pre- paredness and efficient, effective response in the cvent of an accident Proper planning and implemen- tation can result in fewer injuries and fatalities, re- duced environmental impact, minimized product loss, and reduced cleanup and recovery costs Although crisis readiness will not eliminate accidents or emer- gency situations, preparation to mitigate the effects of such incidents will lead to a grcatcr awareness of risks

in operations and prudent management of those risks

An effective crisis readiness program results in knowledgeable employees, increased community awareness, and an informed public The crisis readi- ness management practices are closely tied to the

design a unique program for each small facility, such

as an individual service station, distribution plant, or production lease site Companies can choose to or- ganize their crisis readiness programs at an appropri- ate regional or central managerial level at which staff can assist in addressing the concerns of citizens, offi- cials, employees, and customers

5.2 Practical Implementation

The APT crisis readiness management practices represent the petroleum industry's commitment to crisis readiness and provide more specific guidelines for implementing the following API EHS Guiding Principle:

To advise promptly appropriate officials, employees, customers and the public of information on significant industry-related safety, health and environment hazards, and to recommend

goals of the community awareness management prac- protective measures

tices for sharing of information on local operations Commitment and leadership by management will These management practices apply generally to all be required through policy, participation, communi- operations Substantial manned facilities, such as re- cation, and allocation of resources for improving fineries, major gas processing plants, and major dis- readiness to respond to emergencies Achieving crisis tribution terminals, should develop crisis readiness readiness goals will require an ongoing effort to as- programs However, a company is not expected to

Table 4 Management Practices for Crisis Readiness and Corresponding API EHS Guiding Principle

Strategic Element Management Practices

Crisis Readiness-focuses on the following APT 1 Periodically update assessments of potential hazards to EHS Guiding Principle: - employees, local communities, and the environment

from accidents or emergencies

To advise promptly appropriate officials, em-

~lovees customers and the public of information 2 Based on h e assessment in Management Practice 1,

bn significant industry-related safety, health and establish, implement, and periodically update emer- environment hazards, and to recommend protec- gency response plans and capabilities that include tive measures communication procedures, appropriately trained per-

sonnel, practice exercises, organizational structures: re- source availability, and response procedures

3 Develop and use formal procedures for handling prompt and comprehensive communication to employees, gov- ernment agencies, and the public in the event of a crisis

4 Maintain a 24-hour capability for receiving emergency

or crisis information and for mobilizing response re- sources

5 Conduct employee &aining programs on a periodic ba- sis for those who have emergency response responsi- bilities

6 Coordinate emergency response plans with community emergency response plans or investigate community interest in creating a plan if none exists

7 Incorporate into contingency plans measures to coordi- nate with government agencies, nearby industry opera- tions, and private community aid organizations for the recovery of communities adversely affected by an op- erational incident

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S T D - A P I / P E T R O RP 9000-ENGL 1990 1 0 7 3 2 2 9 0 Ob15030 bO4 E

16 API Recommended Practice 9000

sess changing risks, accommodate new technologies, resource availability, and response proce-

reevaluate contingency and emergency preparedness dures

plans, and increase communication, training, and co-

ordination with community response personnel

Although crisis readiness applies to all sectors of the industry, the extent of contingency planning may

vary depending on the specific functions and products

being produced, used, refincd, storcd transported, or

marketed and the proximity to communities API's

STEP program provides flexibility for each member

company to tailor its optimum approach to imple-

mentation of these management practices

The resources in Appendix B are offered as an aid

in developing company procedures to implement the

crisis readiness strategic element Companies are not

obligated to use any of the listed resources The list is

not exhaustive, and companies are encouraged to use

additional resources as appropriate

5.3 Crisis Readiness Management

Practices 5.3.1 ASSESS AND UPDATE HAZARDS

Periodically update assessments of potential hazards to employees, local communities, and the environment from accidents or emergencies

Petroleum products have unique characteristics that affect the hazard they present (for example, toxicity;

vapor propagation, particularly in the case of highly

volatile liquids; flammability; and low specific gravi-

ties allowing water flotation) Many employees, local

community responders, and the general public may

not be familiar with hazards posed by the company's

operations or appropriate emergency response prac-

tices

For most processes and products, companies al- ready have information on the relative hazards in re-

lation to existing operations Some of this information

may be contained in material safety data sheets

(MSDSs) or company safety material New processes,

new products, or new information obtained from ex-

perience, research, or government or industry may

require a reevaluation of the hazards and the revision

of emergency response plans

5.3.2 EMERGENCY RESPONSE PLANS

Based on the assessment in Management Practice 1, establish, implement, and peri- odically update emergency response plans and capabilities that include communication procedures, appropriately trained personnel, practice exercises, organizational structures,

After assessing the potential risks, a logical step in crisis readiness is to establish an emergency response plan that details capabilities and resources for that operation These capabilities may include the ability

to call on assistance from other ncarby operations, local emergency responders, or commercially avail- able contractors for various incidents The term re- sources is intended to be broadly defined to encom- pass personnel, contractors, aerial patrols, local emer- gency response personnel, rental agencies, emergency radio frequencies, and the like that are immediately available to the operation in the event of a crisis As new equipment is obtained, the emergency response plan should be revised and the operating instructions should be readily available

Reassignment of personnel may require updating the emergency plan to reflect newly assigned and trained emergency response personnel as well as up- dating telephone numbers and addresses of listed em- ployees Some companies operate under an Incident Command System that reflects the organizational structure for emergency situations; other companies may wish to list their appropriate chain of command Practice drills are intended to provide hands-on experience and coordination with local emergency response personnel On-site training exercises in which community responders and government per- sonnel participate may help to improve response in a real emergency These drills may reveal faulty equipment or incompatibility of the equipment to be used by industry and the community Through these exercises, participants should become familiar with the role they need to assume during an emergency

Develop and use formal procedures for han- dling prompt and comprehensive communi- cation to employees, government agencies, and the public in the event of a crisis

Internal and external communications play a major role in determining the success or failure of handling

an emergency situation Formal procedures should include who should be notified in case of an emer- gency, whose responsibility it is to notify those peo- ple, and how they should communicate to employees, government agencies, and the public

Internal communications should include notifying those employees who are to respond immediately to the emergency and those who should be on a standby basis, as well as informing all employees of the facts

of an incident and the company's response plans

API Recommended Practice 9000 17

For external communications to the public, it is important to include customers, suppliers, vendors, carriers, homeowners, government agencies, local emergency responders, and others who may bc af- fected by potential hazards, accidents, and environ- mental or other emergencies

5.3.4 TWENTY-FOUR-HOUR CAPABILITY Maintain a 24-hour capability for receiving emergency or crisis information and for mo- bilizing response resources

Each company could perform this capability through job descriptions and training of the people who would be responsible for notification and call-out

or on duty 24 hours Alternatively, companies could contract with a commercial firm to provide this serv- ice to the company The time required to deploy emergency response resources is directly related to the successful resolution of the situation and to subse- quent public relations

5.3.5 EMPLOYEE TRAINING PROGRAMS Conduct employee training programs on a

periodic basis for those who have emergency

They should be provided with the opportunity to re- view these procedures and to integrate them with their own response plans Response plans should be re- viewed to assure coordinated interaction with agen- cies and responders (for example, telephone contacts, individual and joint responsibilities) Copies of the response plans should be made available to appropri- ate community agencies as needed for the purpose of integrating emergency procedures with their own re- sponse plans County emergency management offices

or equivalent county agencies may provide one means

of coordinating with community emergency response planning activities

Although it is not a company's responsibility to develop local emergency response plans for a com- munity, a company should help communities become familiar with its operations Through these coordina- tion and educational efforts, companies should en- courage community responders to create a plan or to adapt the company plan to their needs The commu- nity coordination and response planning should take into account potential hazards and impacts on the community

response responsibilities Incorporate into contingency plans measures

An element of the emergency response plan is the to coordinate with government agencies, identification of appropriately trained personnel The nearby industry operations, and private appropriate level of training is rclated to the range of community aid organizations for the recov- incidents and products to be encountered Training ery of communities adversely affected by an should be kept current by requiring refresher courses operational incident

for previously trained employees

Employee training should also include on-site training practice exercises, as discussed in 5.3.2

5.3.6 COMMUNITY COORDINATION AND RESPONSE

Coordinate emergency response plans with community emergency response plans or in-

vestigate community interest in creating a plan if none exists

Community emergency responsc capability gener- ally consists of "first responders" such as fire, police, and sheriffs departments and hazardous materials response teams These community responders need to

be familiar with the emergency response procedures

Although it may not be possible to completely es- timate the full impact of an operational incident on a community, companies should include in their contin- gency plans measures for recovery These could in- clude the potential impacts, steps to be taken, gov- ernment agencies and private community aid organi- zations involved, and contacts at nearby operations With these contingency measures identified in ad- vance, immediate recovery action can begin as soon

as the crisis situation is under control

It is not the intent of the management practice to call on a company to provide all of the funding or other resources for such recovery By addressing this phase in advance, more cooperation may be achieved

to jointly address the projected needs of the commu- nity

SECTION 6-MANAGEMENT PRACTICES FOR PRODUCT STEWARDSHIP

6.1 Background

Product stewardship involves the identification, evaluation, and communication of the health, safety, and environmental hazards of all raw materials and products, from crude oil, natural gas, and natural gas liquids to intermediate streams and refined and formu- lated petroleum products

A successful product stewardship program should be directed at reducing the health, safety, and environ- mental hazards of company products It should con- sider the life cycle of a product from raw material to final disposition and promote safe use, handling, trans- portation, and disposal Successful implementation is a shared responsibility Everyone involved with the product has the responsibility to address society's in- terests in a healthy environment and in products that can be used safely All employees are responsible for providing a safe workplace, and all who use and handle products should follow safe and environmentally sound practices

The product stewardship management practices (see Table 5) apply generally to all operations Substantial manned facilities, such as refineries, major gas proc- essing plants, and major distribution terminals, should develop product stewardship programs However, a

company is not expected to design a unique program for each small facility such as an individual service

station, distribution plant, or production lease site

Companies can choose to organize their product stew- ardship programs at an appropriate regional or central managerial level at which staff can assist in addressing the concerns of citizens, officials, employees, and cus- tomers

To counsel customers, transporters and others in the safe use, transportation and disposal of our raw materials, products and waste materials

To extend knowledge by conducting or supporting research on the safety, health and environmental effects of our raw materials, products, processes and waste materials

To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, trans- port or dispose of similar raw materials, petroleum products and wastes

6.3 Product Stewardship Manage- ment Practices

6.3.1 MANAGEMENT COMMITMENT

Table 5-Management Practices for Product Stewardship and Corresponding

API EHS Guiding Principles

Strategic Element Product Stewardship-focuses on the following

API EHS Guiding F'rinciples:

To make safety, health and environmental con- siderations a priority in our planning and our dcvelopment of new products and processes

a To counsel customers, transporters and others in the safe use, transportation and disposal of our raw materials, products and waste materials

To extend knowledge by conducting or support- ing research on the safety, health and environ- mental effects of our raw materials, products, processes and waste materials

To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, transport or disposc of similar raw materials, petroleum products and wastes

Management Practices

1 F'mvide management comrmtment to product steward- ship through appropriate policies, communication, and allocation of resources

2 Establish goals and responsibilities for implementing product stewardship activities throughout the organiza- tlon and periodxally measure performance

3 Establish and maintain a program to identify and evalu- ate the health, safety, and environmental hazards and exposures related to new and existing products Estab- lish a process that initiates appropriate reevaluation and considers new knowledge

4 Develop mechanisms to provide for safe transport of products and selection of reliable transporters

5 Provide information including emergency procedures to employees, conuactors, transporters, distributors, and customers on the safe use, handling, storage, recycling, and disposal of products

6 Establish and implement procedures that consider health, safety, and environmental hazards and exposures

in product design, manufacture, distribution, use, and disposal

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20 API Recommended Practice 9000

Provide management commitment to product Select transporters that have a commitment to and stewardship through appropriate policies, concern for health, safety, and environmental goals communication, and allocation of resources Transporters should have established procedures for

emergency response that include appropriate training in Management should develop and implement policies

spill response and emergency notification Companies and practices that support a program of product stew-

should work with transporters to develop their under- ardship Management is responsible for appropriate

standing of the hazards of the materials being trans- commitment of both human and financial resources to

ported and should establish a system for emergency carry out the product stewardship program

communication with them

6.3.5 COMMUNICATION OF PRODUCT IN-

Establish goals and responsibilities for imple- FORMATION

menting product stewardship activities

Provide information including emergency throughout the organization and periodically

procedures to employees, contractors, trans- measure performance

porters, distributors, and customers on the Initiate and implement product stewardship activities safe use, handling, storage, recycling, and dis- that are well defined, are achievable, and allow demon- posal of products

stration of measurable improvement Product steward-

Ensure that employees, as appropriate for their job ship goals should be considered a high priority, along

function, have the training and skills necessary to un- with other business and organizational goals

derstand the hazards associated with use, handling,

actions Make information available to contractors Establish and maintain a program to identify transporters, distributors, and customers on the hazards and evaluate the health, safety, and environ- associated with use, handling, storage, recycling, and mental hazards and exposures related to new disposal Encourage feedback on new uses, identified and existing products Establish a process that misuses, and adverse effects Companies should work initiates appropriate reevaluation and consid- with distributors to transmit appropriate information to ers new knowledge downstream users

Establish and maintain a knowledge base of relevant information on the human and environmental hazards 6.3.6 PRODUCT DESIGN, MANUFACTURE,

of new and existing products and on exposures of hu- AND DISTRIBUTION

mans and the environment to those products Develop new information as necessary, and collect and periodi- cally analyze existing information for accuracy, timeli- ness, and completeness This information base could be used to characterize product hazards relative to a prod- uct's use, handling, transportation, and disposal

6.3.4 TRANSPORT OF PRODUCTS

Develop mechanisms to provide for safe transport of products and selection of reliable transporters

Establish and implement procedures that con- sider health, safety, and environmental haz- ards and exposures in product design, manu- facture, distribution, use, and disposal

Companies should include health, safety, and envi-

ronmental impacts as key considerations in designing

and developing products and processes Product haz- ards and exposures should be reevaluated periodically and whenever significant new information is obtained

SECTION 7 MANAGEMENT PRACTICES FOR PROACTIVE GOVERNMENT INTERACTION

7.1 Background

As state and federal environmental regulatory and legislative activity increases and issues become more complex, industry must continue to interact effectively with government The following proactive government interaction management practices (see Table 6) repre- sent practical guidelines that assist the industry in its constant interaction with public-sector policymakers

These proactive government interaction management practices apply generally to all operations Companies can choose to organize their proactive govemmcnt in- teraction programs for substantial manned facilities, such as refineries, major gas processing plants, and major distribution terminals, at an appropriate regional

or central managerial level at which staff can assist in addressing the concerns of citizens, officials, employ- ees, and customers However, a company is not ex- pected to design a unique program for each small facil- ity, such as an individual service station, distribution plant, or production lease site

Adequate resources should be provided for effective government relations at all lcvels that are commensu- rate with the extent of a company's investments and geographic presence Senior management should be involved in government relations activities

7.2 Practical Implementation

Industry-government relations efforts covcrcd by the proactive government interaction management prac- tices address the following API EHS Guiding Princi- ple:

To participate with govemment and others in creating responsible laws, regulations and standards to safeguard the community, workplace and environment

7.3 Proactive Government lnteraction Management Practices

Provide information to government and other appropriate parties to foster development of responsible laws, regulations, and standards that reflect benefits commensurate with costs and recognize technological limitations

Information that is forwarded to government and other appropriate parties must be based on credible data and thorough research Relevant company opera- tional and public affairs divisions should be involved in the preparation of industry technical reports, policy positions, and public affairs documents Outreach to the public sector is accomplished through companies' govemment relations and operations representatives working together to develop strategies to convcy com-

Table 6-Management Practices for Proactive Government lnteraction and Cor-

responding API EHS Guiding Principle

Strategic Element Manaeement Practices Proactive Government Interaction-focuses on 1 Provide informatiun to government and other ap- the following API EHS Guiding Principle: propriate parties to foster development of respon-

To participate with government and others

in creating responsible laws, regulations and standards to safeguard the communitv

sibie laws, regulatiuns, and standards that reflect benefits commensurate with costs and recognize technological limitations

workplace and environment 2 Identify opportunities to impact current and future

govemment initiatives with sound, reliable infor- mation that is scientifically and analytically based

3 Assure that the development of positions, policy, and suppomng information is based on sound and credible principles

4 Assure that advocacy activities are perfumed in a

manner that reflects the highest standards of pro- fessional conduct to maintain credibility with gov- ernment and the public

5 Participate in appropliate cooperative projects to better evaluate innovative ideas

6 Participate in intercompany and industly task forces or industry associations on significant gov- ernmental issues

STDmAPI/PETRO RP 7000-ENGL 1 9 7 8 1 0732290 0615035 196 1111

pany positions to the government Industry associa- 7.3.4 CONDUCTING ETHICAL ADVOCACY

tions' staff assist the companies in assessing the impact ACTIVITIES

of regulation on an industry-wide basis and in prepar- Assure that advocacy activities are performed ing policies that reflect an industry perspective in a manner that reflects the highest standards

7.3.2 IDENTIFYING PROACTIVE OPPORTU- NITIES

of professional conduct to maintain credibility with government and the public

Any government relations program at the state or

Identify opportunities to impact current and

federal level should operate fully within the scope of

future government initiatives with sound, reli-

both the letter and the spirit of lobbying, campaign

able information that is scientifically and

finance, and ethics laws

analytically based

Industry research and positions can be effectively presented to public-sector policymakers by companies' participation in relevant public policy formulation and debate This interaction with government is more ef- fective if management and public affairs staff are in- volved in liaison activities with state and federal advi- sory and regulatory groups, independent public policy groups, and legislators

Established public policy organizations serve as fo- rums for increased communications between elected and appointed officials A federal emphasis on stronger state government has given greater importance to pub- lic policy groups that provide research, strategic plan- ning materials, and conferences 'for state legislators

API and allied associations encourage mcmber compa- nies' membership and participation in these organiza- tions

7.3.3 DEVELOPMENT OF POSITIONS, POL- ICY, AND SUPPORTING INFORMATION Assure that the development of positions, pol- icy, and supporting information is based on sound and credible principles

Policy formation should take into account the com- pany's goals and objectives and, when possible, should reflect the input of all sectors of the company that would be affected by the regulations or legislation

Companies should strive toward policy that represents the breadth of public and industry concerns

7.3.5 PARTICIPATING IN APPROPRIATE PI- LOT PROJECTS

Participate in appropriate cooperative proj- ects to better evaluate innovative ideas

Open and sustained dialogue with key state and fed- eral legislators, not only on issues but also on industry activities and accomplishments, is important These projects may include environmental conservation ac- tivities such as used-oil collection programs and safety programs, similar to hazardous materials seminars

7.3.6 PARTICIPATING IN INTERCOMPANY AND INDUSTRY ACTIVITIES

Participate in intercompany and industry task forces or industry associations on significant governmental issues

Maintain, as appropriate, an active external cornmu- nications program on government/industry issues in- volving the following: proactive outreach by senior, middle, and local management to explain key issues; and coordination with internal public relations and me- dia activities to respond to outside inquiries

Actively participate in relevant public policy forma- tion and debate, involving management and public af-

fairs staff interaction with industry associations, state and federal advisory and regulatory groups, independ- ent public policy groups, and legislators

SECTION 8-MANAGMENT PRACTICE FOR RESOURCE CONSERVATION

8.1 Background 8.3.1 MANAGEMENT COMMITMENT

The primary goal of the resource conservation management practices is to promote responsible use of energy resources These practices recognize the impor- tance of efficiently meeting society's energy needs and industry's responsibility to work with the public, the government, and others to develop ways to use the na-

tion's energy resources efficiently Energy eficiency

means using energy wisely, recognizing concerns about energy security, protection of the environment, and economic well-being

The resource conservation management prac- tices (see Table 7) apply generally to all operations

Companies can choose to organize their energy conser- vation programs at an appropriate managerial level

Programs should include only those management prac- tices that are appropriate to each facility

8.2 Practical Implementation

The resource conservation management prac- tices will assist companies in implementing the follow- ing API EHS Guiding Principle:

To economically develop and produce natural resources and to conserve those resource by using energy efficiently

8.3 Resource Conservation Manage- ment Practices

Demonstrate management support for energy efficiency and internal conservation efforts through appropriate policy development

Management support is required to implement appropriate resource conservation policies Demon- stration of management commitment to these responsi- bilities calls for support of company energy efficiency goals and programs

8.3.3 EFFICIENT OPERATIONS Improve energy efficiency and resource con- servation through facility design, operation, and maintenance, considering product mix, raw material supply, technological and eco- nomic constraints, and sound business princi- ples

Table 7-Management Practices for Resource Conservation and Corresponding

API EHS Guiding Principle

Strategic Element Management Practices

Resource Conservation - focuses on the fol- 1 Demonstrate management support for energy effi- lowing API EHS Guiding Principle: ciency and internal conservation efforts through

appropriate policy development

To economically develop and produce natural resources and to conserve those re- 2 Keep employees informed about their role in con- sources by using energy efficiently serving energy and resource conservation

3 Improve energy efficiency and resource conserva-

tion through facility design, operation, and main- tenance, technological and economic constraints, and sound business principles

4 Incorporate improved energy efficiency technolo gies both in new designs and in retrofits to exist- ing equipment when economically justified

5 Implement procedures to ensure that energy effi- ciency and resource conservation are considera- tions in the planning and development of new and substantially modified products and operations

STD.API/PETRO R P 7000-ENGL I1778 m 0732290 0615037 Tb9 e

24 API Recommended Practice 9000

Energy efficiency can be enhanced by programs to

ensure that company facilities are designed, operated,

and maintained properly Product mix, raw material

supply and quality, process, complexity, and techno-

logical constraints are major variables in energy usage

and optimal operations An important issue to con-

sider in operations is that of measuring performance

Companies should consider establishing energy effi-

ciency goals that can be used for this purpose

Incorporate improved energy efficiency technologies both in new designs and in ret- rofits to existing equipment when economi- cally justified

An additional way for industry to support energy conservation measures is to keep abreast of

improved energy efficiency technologies Examples

of programs available for industry to consider include

the following:

a State or federal energy conservation programs

b Industry and other association energy conservation programs

c Industry research on process improvement

Implement procedures to ensure that energy efficiency and resource conservation are con- siderations in the planning and development

of new and substantially modified products and operations

Planning is a key part of an energy conser- vation program Energy conservation measures that incorporate responsible health, safety, and environ- mental practices need to be part of the design group's plans in the early stages of development to ensure that the measures receive proper consideration

APPENDIX A - SELF ASSESSMENT

To make safety, health and envi- ronmental considerations a priority

in our and our develop- ment of new products and proc- esses

To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, trans- port or dispose of similar raw mate- rials, petroleum products and wastes

*NA = no action (if no action is taken because isting company practices against management practice; DP = developing program to implement management practice; IM = imple- menting management practice: MP = management practice generally In place; RE = reassessing management practice implementa- tion; stage of continuing review and improvement

Explanations of "NA responses (please provide a separate explanation for each management practice marked "NA; attach additional sheets if necessary) Indicate the Management Practice number(s) in the appropriate space

No Action has been taken This practice is felt to be "Not Applicable" in this sector

MANAGEMENT PRACTICES

Management Practices

1 Provide management support for ongoing pollution prevention activities through ap- propriate policies, actions, communications, and resource commitments

2 Develop and implement a program to im- prove prevention and early detection and reduce impacts of spills of crude oil and petroleum products and other accidental releases from operations

3 Develop an inventory of significant releases

to air, water, and land; identify their sources; and evaluate their impact on hu- man health and the environment

4 Periodically review and identify pollution prevention options and opportunities, de- velop approaches for reducing releases, and set goals and timing for reducing re- leases considering community concerns, technology and economics, and impact on human health and the environment In re- duc~ng releases, give preference first to source reduction; second to recycling and reuse; and third to treatment; and measure progress

5 Include pollution prevention objectives in research efforts and in the design of new or modified operations, processes, and prod- ucts

6 Support an outreach program to promote pollution prevention opportunities within the industry, including sharing of industry expe- riences and accomplishments

the management practice is not applicable, please

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OPERATING AND PROCESS

Strategic Element

Operafing and Process Safety-fo- cuses on the following API EHS Guid- ing Principles:

* 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

To Promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, trans- port or dispose of similar raw mate- rials, petroleum products, and wastes

*NA = no action (if no action is taken because isting company practices against management menting management practice; MP = management practice generally in place; RE = reassessing management practice implementa- tion; stage of continuing review and improvement

SAFETY MANAGEMENT PRACTICES

Management Practices

1 Demonstrate management leadership and support through appropriate policy, commu- nication, and resource commitment for con- tinuous improvement of operational and pro- cess safety performance

2 Assess, prioritize, and address the environ- mental, health, and safe@ impacts of our operations

3 Establish programs, procedures, training, and work practices appropriate to each op- eration to foster safe, healthful, and envi- ronmentally sound work environments

4 Employ processes to select safe contractors, clarify responsibilities, assess performance, and exchange information to promote safe work environments

5 Use sound engineering, operating, and maintenance practices consistent with rec- ognized codes and standards in the design, construction, use, and maintenance of op- erations

6 Document process design, operating pa- rameters and procedures, and other infor- mation relating to the hazards of materials and process technology

7 Employ processes to provide for safe trans- port of raw materials, petroleum products, wastes, and hazardous materials, including selection of reliable carriers and distributors

8 Investigate and take appropriate action on each incident that results or could have re- sulted in a significant injury, illness, fire, ex- plosion, or accidental release Where appro- priate, share lessons learned from significant incidents with employees, industry, govern- ment, and the community

9 Employ processes to assure that personnel are able to perform their jobs safely and are not compromised by external influences, such as drugs and alcohol

1O.Gonduct job safety and occupational health assessments to evaluate risks to personnel from processes, equipment, hazardous rna- terials, and other work-site conditions

11 Manage changes in operations to maintain or enhance the levels of safety and environ- mental protection designed into those op- erations

the management practice is not applicable, please practice; DP = developing program to implement

SELF-ASSESSMENT FORM

NA

explain management

Categories*

MP

evaluating imple-

OPERATING AND PROCESS SAFETY MANAGEMENT PRACTICES SELF-ASSESSMENT FORM

(CONTINUED)

Strategic Element

Operating and Process Safew-fo- cuses on the following API EHS Guid- ing Principles:

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

To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, trans- port or dispose of similar raw mate- rials petroleum products and

*NA = no action (if no action is taken because the management practice is not applicable, please explain below); EV = evaluating ex-

isting company practices against management practice; DP = developing program to implement management practice; IM = imple- menting management practice; MP = management practice generally in place; RE = reassessing management practice implementa- tion: stage of continuing review and improvement

Explanations of " N A responses (please provide a separate explanation for each management practice marked "NA"; attach additional sheets if necessary), Indicate the Management Practice number@) in the appropriate space

No Action has been taken This practice is felt to be "Not Applicable" in this sector

Self-Assessment Categories*

NA EV DP IM MP RE

COMMUNITY AWARENESS

Strategic Element Community A warenessfocuses on the following API EHS Guiding Princi- ples:

To recognize and to respond to community concerns about our raw materials, and operations,

• To advise promptly appropriate of- ficials, employees, customers, and the public of information on signifi- cant industry-related safety, health and environmental hazards, and to recommend protective measures

• To promote these principles and practices by sharing experiences and offering assistance to others

who produce, handle, use, trans- port or dispose of similar raw mate- rials, petroleum products and wastes

'NA = no action (if no action is taken because isting company practices against management menting management practice; MP = management practice generally in place; RE = reassessing management practice implementa- tion; stage of continuing review and improvement

MANAGEMENT PRACTICES

Management Practices

1 Demonstrate management commitment and leadership aimed at achieving effective community awareness

2 Provide an awareness program for employ- ees and contractors that includes periodic assessments of their questions and con- cerns about the operation

3 Provide communications training for key company personnel who communicate with employees, contractors, and the public con- cerning safety, health, and environmental is- sues

4 Provide for education of employees and contractors about the operation's emergency response plan and safety, health, and envi- ronmental programs

5 Conduct periodic dialogue with employees and contractors to respond to their questions and concerns and involve them, as appro- priate, in community awareness efforts

6 Conduct periodic evaluations of the effec- tiveness of employee and contractor com- munications efforts

7 Provide an awareness program for the community that includes periodic assess- ments of community questions and concerns about the operation

8 Maintain programs to educate the commu- nity, outside emergency responders, gov- ernment officials, the media, and other busi- nesses about the operation's emergency re- sponse program and its health, safety, and environmental protect~on programs

9 Conduct periodic dialogues with appropriate local citizens to respond to questions and concerns about safety, health, and the envi- ronment

10 Maintain a policy of openness that is re- sponsive to persons interested in becoming familiar with the operation, its products, and its efforts to protect safety, health, and the environment,

11 Conduct periodic evaluations of the effec- tiveness of community communications ef- forts

the management practice is not applicable, please practice; DP = developing program to implement

SELF-ASSESSMENT FORM

NA

explain management

COMMUNITY AWARENESS MANAGEMENT PRACTICES SELF-ASSESSMENT FORM (CONTINUED)

Explanations of "NA" responses (please provide a separate explanation for each management practice marked "NA; attach additional

sheets if necessary) Indicate the Management Practice nurnberfs) in the appropriate space

No Action has been taken This practice is felt to be "Not Applicable" in this sector

*NA = no action (if no action is taken because isting company practices against management practice; DP = developing program to implement management practice; IM = irnple-

menting management practice; MP = management practice generally in place; RE = reassessing management practice implementa-

tion; stage of continuing review and improvement

Explanations of " N A responses (please provide a separate explanation for each management practice marked "NA"; attach additional sheets if necessary) Indicate the Management Practice number(s) in the appropriate space

No Action has been taken This practice is felt to be "Not Applicable" in this sector

MANAGEMENT PRACTICES SELF-ASSESSMENT

Management Practices

1 Periodically update assessments of poten- tial hazards to employees, local communl- ties, and the environment from accidents or emergencies

2 Based on the assessment in Management Practice 1, establish, implement, and peri- odically update emergency response plans and capabilities that include communication procedures, appropriately trained person- nel, practice exercises, organizational structures, resource availability, and re- sponse procedures

3 Develop and use formal procedures for handling prompt and comprehensive com- munication to employees, government agencies, and the public in the event of a crisis

4 Maintain a 24-hour capability for receiving emergency or crisis information and for mobilizing response resources

5 Conduct employee training programs on a periodic basis for those who have emer- gency response responsibilities

6 Coordinate emergency response plans with community emergency response plans or investigate community interest in creating a plan if none exists

7 Incorporate into contingency plans rneas- ures to coordinate with government agen- cies, nearby industty operations, and pri- vate community aid organizations for the recovery of communities adversely affected

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r To counsel customers, transport- ers and others in the safe use, transportation and disposal of our raw materials, products and waste materials

To extend knowledge by conduct- ing or supporting research on the safety, health and environmental effects of our raw materials, prod- ucts, processes and waste materi- als

To promote these principles and practices by sharing experiences and offering assistance to others who produce, handle, use, trans- port or dispose of similar raw mate- rials, petroleum products and wastes

'NA = no action (if no action is taken because isting company practices against management practice; DP = developing program to implement management practice; IM = imple- menting management practice; MP = management practice generally in place; RE = reassessing management practice implementa- tion; stage of continuing review and improvement

alnvolves identification, evaluation, and communication of the health, safety, and environmental effects of new and existing products Products range from crude oil through refined products

Explanations of " N A responses (please provide a separate explanation for each management practice marked "NA"; attach additional sheets if necessary) Indicate the Management Practice number(s) in the appropriate space

No Action has been taken This practice is felt to be "Not Applicable" in this sector

MANAGEMENT PRACTICES

Management Practices

1 Provide management commitment to prod- uct stewardship through appropriate poli- cies, communication, and allocation of re- sources

2 Establish goals and responsibilities for im- plementing product stewardship activities throughout the organization and periodi- cally measure performance

3, Establish and maintain a program to iden- tify and evaluate the health, safety, and en- vironmental hazards and exposures related

to new and existing products Establish a process that initiates appropriate reevalu- ation and considers new knowledge

4 Develop mechanisms to provide for safe transport of products and selection of reli- able transporters

5 Provide information including emergency procedures to employees, contractors, transporters, distributors, and customers on the safe use, handling, storage, recycling, and disposal of products

6 Establish and implement procedures that consider health, safety, and environmental hazards and exposures in product design, manufacture, distribution, use, and dis- posal

the management practice is not applicable, please

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PROACTIVE GOVERNMENT INTERACTION MANAGEMENT PRACTICES SELF-ASSESSMENT FORM

'NA = no action (if no action is taken because isting company practices against management practice; DP = developing program to implement management practice; IM = imple- menting management practice; MP = management practice generally in place; RE = reassessing management practice implementa- tion; stage of continuing review and improvement

Explanations of "NA" responses (please provide a separate explanation for each management practice marked "NA; attach additional sheets if necessary) Indicate the Management Practice number(s) in the appropriate space

No Action has been taken This practice is felt to be "Not Applicable" in this sector

Management Practices

1 Provide information to government and other appropriate parties to foster devel- opment of responsible laws, regulations, and standards that reflect benefits com- mensurate with costs and recognize tech- nological limitations

2, Identify opportunities to impact current and future government initiatives with sound, reliable information that is scientifically and analytically based

3 Assure that the development of positions, policy, and supporting information is based

on sound and credible principles

4 Assure that advocacy activities are per- formed in a manner that reflects the highest standards of professional conduct to main- tain credibility with government and the public

5 Participate in appropriate cooperative proj- ects to better evaluate innovative ideas

6 Participate in intercompany and industry task forces or industty associations on sig- nificant governmental issues

the management practice is not applicable, please explain below); EV = evaluating ex-

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RESOURCE CONSERVATION MANAGEMENT PRACTICES SELF-ASSESSMENT FORM

Strategic Element Resource Conservation - focuses on the following API EHS Guiding Princi- ple:

To economically develop and pro- duce natural resources and to those resources by using

energy efficiently

'NA = no action (if no action is taken because the management practice is not applicable, please explain below); EV = evaluating ex- isting company practices against management practice; DP = developing program to implement management practice; IM = imple- menting management practice; MP = management practice generally in place; RE = reassessing management practice implementa- tion; stage of continuing review and improvement

Explanations of " N A responses (please provide a separate explanation for each management practice marked "NA; attach additional sheets if necessary) Indicate the Management Practice number(s) in the appropriate space

No Action has been taken This practice is felt to be "Not Applicable" in this sector

Management Practices

1 Demonstrate management support for en- ergy efficiency and internal conservation efforts through appropriate policy develop- ment

2 Keep employees informed about their role

in conserving energy and resource conser- vation

3 Improve energy efficiency and resource conservation through facility design, opera- tion, and maintenance, considering product mix, raw material supply, technological and economic constraints, and sound business principles

4 Incorporate improved energy efficiency technologies both in new designs and in retrofits to existing equipment when eco- nomically justified

5, Implement procedures to ensure that en- ergy efficiency and resource conservation are considerations in the planning and de- velopment of new and substantially modi- fied products and operations