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THE SAFETY REPORT ASSESSMENT MANUAL
Sections 2 to 7 CONTENTS 2 OVERVIEW 3 ROLES AND RESPONSIBILITIES 4 ASSESSMENT PROCEDURES 5. APPLICATIONS FOR LIMITING INFORMATION IN SAFETY REPORTS 6 DESIGNATING DOMINO GROUPS 7 PROPORTIONALITY AND TARGETING OF ASSESSMENT
2 OVERVIEW
PURPOSE SCOPE INTRODUCTION TO SAFETY REPORT ASSESSMENT MANAGEMENT OF SAFETY REPORT ASSESSMENT OPERATOR RESPONSIBILITY AUDIT AND REVIEW 2 2 3 6 7 8
Purpose
1 This manual been prepared for use by staff of the Competent Authority (CA) to give guidance on the way that safety reports are to be assessed. The CA is a joint authority comprised of the Health & Safety Executive (HSE) and the Environment Agency (EA) in England and Wales, or the HSE and the Scottish Environment Protection Agency (SEPA) in Scotland. 2 It describes the arrangements the CA will follow in assessing safety reports required by regulations 7 and 8 of the Control of Major Accident Hazards Regulations 1999 (as amended) (COMAH). The purpose of assessment is to reach conclusions on the demonstrations made in the safety report against the requirements of the regulations, to make these conclusions known to the operator and to assist the CA in developing an intervention strategy for the site. 3 The manual is not intended to provide guidance to operators on writing safety reports. However it has been made publicly available via the HSE/COMAH Website to ensure transparency in respect of the assessment process.
Scope
4 The assessment of safety reports involves the exercise of professional judgement by Assessors. This manual provides a framework of procedures and guidance within which professional judgements are to be made. The manual is therefore intended as a practical tool for assessors, to help achieve consistency in the approach to safety report assessment, and in the judgements arising from the assessment. 5 The manual is one part of an overall enforcement strategy for installations that must prepare them. It is not an isolated or 'one-off' process but is part of a cycle. Information gained from assessing the safety report is used to inform the inspection plan for a particular operator or establishment. The CA also uses its knowledge and experience of dealing with an operator to help it assess each subsequent report. The aim is to secure continuous improvement to ensure risks from major accident hazards are reduced to as low as reasonably practicable (ALARP) see Section 8 How to use the Criteria. 6 The term intervention is used in its wider context to include a range of actions from advice, guidance and inspection to enforcement involving legal action. The assessment process must meet current enforcement policy, for example as set out in the HSE Enforcement Management Model and EA and SEPA equivalent, and should be transparent, consistent, proportionate and targeted. 7 Each individuals Role in the process is described in Section 3. The procedures are set out in tabular format in Section 4. The overall process is divided into elements, each of which is broken down into a number of procedures that identify the mains steps, action required and the person responsible for taking the action. Sections 5 7 of the manual cover particular issues
8 The criteria to be used for assessment and guidance on how to use them are found Sections 8-14. These sections provide a framework for assessors to help them assess whether the content of a safety report meets the purposes of the COMAH Regulations. More detailed technical guidance supporting the topics covered by Sections 10, 12 and 13 of SRAM exists on the relevant agency Website and/or Intranet.
Introduction to safety report assessment

Assessment purposes
9 Assessment is a structured process by which the CA examines the adequacy of safety reports against the purposes set out in Schedule 4 Part 1 of the COMAH Regulations and which contributes to the CA's decision about whether the measures taken by the operator for the prevention and mitigation of major accidents are seriously deficient. 10 The purpose is not to require the production of a model or perfect report before conclusions can be reached. The examination by the CA should determine whether the safety report: a) b) contains sufficient information. makes the demonstrations required and overall it demonstrates that the operator has taken the necessary measures to prevent major accidents and limit their consequences. enables the CA to identify any serious deficiencies in the measures to prevent major accidents and limit their consequences.
c)
11 Schedule 4 Part 2 of COMAH provides further details on the information to be included in safety reports. Schedule 2 sets out the principles to be taken into account when preparing a Major Accident Prevention Policy (MAPP) and the contents of a MAPP must be incorporated into safety reports. Schedules 2 and 4 of COMAH form the basis of the assessment criteria found in Sections 8 - 14 of this Manual. Conclusions about the safety report are the result of a structured assessment process based on these assessment criteria. 12 The assessment reviews the documentary evidence in the report and further documentation, as appropriate, which is referred to in the report or requested by the assessor. Assessment does not verify the accuracy of information contained in the report during the assessment process, other than following up on suspected serious deficiencies in the measures provided to prevent major accidents or limit their consequences. Checks on accuracy of selected elements of the report will be included as part of an overall intervention strategy for the site. 13 Assessors may request further information where the information required in Schedules 4 and 2 are missing. In order to effectively manage the process and draw the assessment to a conclusion within 6 months the CA has decided that assessors should normally make only one such request. Information requested will be expected to be readily available on the basis that the operator is presumed to have conducted the necessary work in preparing the demonstrations in the report. It is therefore assumed that the operator can provide the requested information, typically within four weeks see Section 8 How to use the criteria. 14 The priority during assessment is to identify possible serious deficiencies as defined in the Regulations. Many other matters, identified during the assessment process as requiring further consideration, will not indicate a serious deficiency and do not need to be pursued to closure in order for the CA to reach conclusions on the adequacy of the Safety Report. When the hazards have been properly 3
identified and the preventive measures established, then the apparent risks should be considered to determine and prioritise required action within the intervention plan.
Principles of hazard control
15 Major accident hazards should be avoided or reduced at source through the application of principles of inherent safety. Where risks remain, then recognised risk approaches such as ALARP for health and safety matters, or BATNEEC (Best Available Technology Not Entailing Excessive Costs) for environmental matters, should be used to determine the extent of the preventive and mitigation measures required. 16 Operators are required to take 'all measures necessary' to prevent major accidents and limit their consequences (COMAH Reg. 4). Operators should therefore demonstrate that they have looked at ways of avoiding the hazards or reducing them at source through the application of the principles of inherent safety. It is more likely to be reasonably practicable to take measures to avoid or reduce hazards at source during the design stage of new plant and equipment and as early as possible during the design process. It is at this stage that assessors particularly need to look for evidence of the use of principles of inherent safety to remove or reduce hazards to people and the environment. Even so, risks will remain, and the overall demonstration that 'all necessary measures' have been taken should be made on the basis of existing legal frameworks that risks should be reduced ALARP for health and safety matters, or BATNEEC for environmental matters. The preferred approach to further risk reduction, after the application of inherent safety principles, is through the application of a hierarchy of measures comprised of prevention and control of hazards, followed by mitigation of events. 17 Operators should therefore demonstrate that they: a) b) have identified the possible hazards of their operation; and have considered options for reducing the risks arising from these hazards including: i) changing the process to use substances or conditions that are intrinsically less harmful reducing the quantity of hazardous substances present and therefore the consequence of a loss of containment;
ii)
and have properly considered these against the costs and effort involved to reduce the hazards and risks.
Selection of topics and issues for assessment
18 The CA will plan its resources to ensure it assesses reports effectively and reach conclusions within six months from the start of the process. It may not be necessary to examine every element of every safety report. Further guidance on breadth and depth of assessment is provided in Section 7 Proportionality and Targeting of Assessment. Where assessment is based on the examination of selected elements of a safety report the process will: a) involve a selection of a range and type of elements of the report sufficient to permit the assessment team to have confidence about the conclusions drawn;
b)
ensure that the items for examination are identified in accordance with the guidance in the manual and the reasons for choosing them are recorded.
19 Where reports are submitted by operators in parts, using the COMAH Reg 7 (10) arrangements, each part will be regarded as a full report for the purposes of assessment. A selective scrutiny of the information in each part may be made, in line with the guidance above. 20 The extent of the assessment will be judged on the basis of whether the assessors are satisfied that they can conclude that the purposes of the safety report have been met and minimum required information supplied, based on the elements they have assessed. 21 The primary factor in selecting information for assessment in revised reports, submitted under COMAH Reg 8, will be the examination of the new information in the reports. However, assessors will not be precluded from choosing elements of the report that have not changed from previous submissions and were assessed previously provided there is good reason to do so. If assessors wish to re-assess parts of reports in this way the Assessment Manager (AM) will record the reasons before the work starts.
Assessment conclusions
22 The CA has a duty to conclude its assessment of the safety report within a reasonable period of time and to communicate its conclusions to the operator. This time will vary and is related to what stage the report is at e.g. initial, (i.e. the COMAH report for existing establishments as first received), Regulation 8 revision, pre-construction or pre-operation. In all cases the assessment will not normally take more than six months to complete. Shorter targets may be set for certain reports, for example pre-construction reports and straightforward revisions. 23 The conclusions drawn from the assessment will be based on the information contained in the report and on further information requested during assessment. The CA must conclude whether operators have made the demonstrations required by Schedule 4 Part 1 and provided the minimum information required by Schedule 4 Part 2. The assessment process can lead to the following conclusions: a) b) Evidence of a serious deficiency The demonstrations have not been made, and /or the minimum information has not been provided The demonstrations have been made and the minimum information has been provided.
c)
Further guidance on concluding an assessment and the action to take in respect of particular conclusions is provided Section 8 How to use the Criteria. 24 A conclusions letter to the operator that identifies deficiencies in the demonstrations or information in the report does not mean that the CA will take no further action to obtain the necessary information. Further action to provide the required information will form part of a revision plan attached to the conclusions letter to the operator.
Management of safety report assessment

Work planning
24 It is essential to ensure the CA's workplans allocate the necessary resources to meet the performance standards required for safety report assessment. HSE lead on behalf the CA on the development and administration of Safety Report assessment programmes and plans. 25 The HSE Principal Inspector of each Regulatory Field Group will prepare a 5 Year Plan and an Annual Group Plan identifying each operator/ establishment/ installation from which a safety report submission is expected. The Annual Group Plan should give a prediction of the likely submission date, extent of assessment and likely resource required. This will depend on the site and nature of the installation and whether a full report, revision or some other form of submission is expected. They will consult with the relevant Agency Team Leaders and HSE Discipline Specialist Principal Inspectors to ensure assessors are identified for assessment teams. 26 The Annual Group Plan will be updated as necessary to take account of new intelligence on site notifications, anticipated receipt of revised reports, periodic updates etc. The HSE Head of Field Unit and relevant Agency Area Environment Manager are responsible for the oversight of the process and ensuring plans, and resource commitment, are in place.
Assessment manager
27 An Assessment Manager (AM) will be appointed and his/her name will be made known to the operator to provide the primary point of contact for communications about the report. The AM is responsible for keeping the operator informed of progress, particularly the commencement date for the assessment and any unavoidable delays. The AM will always be provided by HSE and normally be a Regulatory Inspector in the HSE Inspection Group dealing with the site. The AM will be responsible for the development of the Assessment Plan for the site which will include the scope of the assessment and target dates for commencement and completion of the assessment. 28 Where the major accident hazards on a site are predominantly or solely environmental the relevant Agency will lead the assessment process.
Assessment team
29 For each safety report, an assessment team will be formed, comprised of the required discipline backgrounds, skills and knowledge to implement the assessment process. It is important that all team members work strictly to the assessment plan, attend the Assessment Planning and Conclusions meetings where organised, and communicate with each other throughout the process to avoid duplication and complement their work.
The safety report assessment process
30 The assessment of each safety report is managed following project management principles with a clear start and end point. The AM, in consultation with the assessment team, will draw up an Assessment Plan for each safety report. The AM will be responsible for setting up and chairing the Assessment Planning meeting, normally within 8 weeks of the start of the process. It should be used to set the target agenda, ensure a coordinated approach by the assessors, and agree proportionality see Section 7. The need for further information should also be discussed and a deadline agreed for forwarding details of specific further information requirements to the AM.
31 Before the conclusions of the safety report assessment are given, all views of the assessment team will be considered, normally at a conclusions meeting organised by the AM. The conclusions meeting is chaired by the AMs line manager and conclusions reached based on information provided by the assessment team and discussion at the meeting. Provision is made in the procedures to permit an individual team member to challenge a team decision see Procedure 6.2. The AM is responsible for sending the conclusions letter to the site operator. 32 The AM and key assessors will meet with the operator to discuss the conclusions, revisions and additional information required see Revision Plan in Section 8. The AM should ensure the further information is received by an agreed date and consider appropriate enforcement action to achieve this. The AM, in consultation with the assessment team, will make the arrangements for any further assessment, putting a supplementary plan in place if necessary. 33 The AM and assessors should raise any difficulties in completing their assessment commitments with their LMs.
Line managers
34 Line managers (LMs) of assessment team members are responsible for ensuring the necessary resource is provided for safety report assessment and discussing any shortfall with their HSE Head of Field Unit or Agency Area Environment Manager as soon as it becomes apparent. They will also be responsible for monitoring the quality of the professional input of their staff into the assessment process and provide guidance and support, as appropriate, on such matters within their competence, or securing the necessary guidance from elsewhere. 35 Line managers for AMs will be responsible for monitoring whether assessments are progressing within milestones set in the assessment plan. The conclusions from the assessment will be 'signed off' by the AM's line manager. The signing off confirms management agreement that the conclusions have been derived in accordance with the procedures, are consistent with the assessment records and that the action proposed is in accordance with HSC's and EA/SEPA's four enforcement principles i.e. targeting, transparency, consistency and proportionality.
Operator responsibility
36 The duty to ensure that necessary measures have been taken to prevent major accidents and to limit their consequences at an establishment remains with the operator and no conclusions reached following assessment of a safety report by the CA diminishes that duty. The process of assessment is strictly to establish to the CA's satisfaction that the requirements of the regulations have been properly addressed and, as far as can be reasonably determined from a prima facie assessment of the report, that the operator has taken appropriate action to prevent major accidents and limit the consequences to man and the environment. 37 Assessment is not a check or approval by the CA of the operator's plant and process design and the conclusions of the assessment cannot be regarded as a statement that the CA has determined that an establishment is 'safe'. The duty to ensure that an establishment is designed, constructed and managed safely remains with the operator. 38 The safety report and major accident prevention policy should be living documents, an integrated part of site procedures, and used to ensure major hazard risks are reduced to ALARP. The conclusions of the operators assessments should be fed into a site improvement plan prepared by the operator. The site inspection or intervention plan prepared by the CA should recognise and complement the operators site
improvement plan where appropriate. It is recommended that operators continuously update their copy of the safety report to maintain its currency with site procedures and to facilitate the revision process. 39 Where subsequent changes are made on site, including to safety management arrangements, that require amendments to the information provided in the safety report, then the operator must consider whether a further report is required based on current published guidance - see Review and Revision of COMAH Safety Reports Guidance for Operators from the Competent Authority on the HSE /COMAH website. Although they may choose to do so, operators are not required to re-submit a complete, revised safety report at any stage, but only to provide information on the changes. Operators are also required to notify the CA where the safety report has not been revised after a five-year review.
Audit and review

40 The SRAM procedures and CA management arrangements include in-built mechanisms for review. The procedures are also reviewed at liaison meetings with stakeholder and operator representatives. Reviews check whether: a) b) c) performance measures are being achieved and whether there are any difficulties; the overall aims and purposes are being achieved; the principles and procedures are right, taking into account the views of assessors and those whose reports are being assessed.
41 The assessment procedures and guidance are designed to ensure resources are properly allocated and used efficiently, legal obligations are being complied with, and that consistent, professional judgements are being reached within the published timescales. They also ensure that information is properly recorded and this can be demonstrated if required. 42 HSE leads on the administration of safety report assessments and HSEs Common Operational Information System (COIN) will be used as the mechanism for categorizing / tracking / chasing progress on the completion of safety reports. COIN procedures for the timely recording of safety report assessment work shall be followed to ensure progress and performance can be effectively monitored.
3 ROLES AND RESPONSIBILITIES

HSE HEADS OF FIELD UNITS (CI & SI) EA AREA ENVIRONMENT MANAGER / SEPA HEAD OF AREA HSE HEAD OF RISK ASSESSMENT AND PROCESS SAFETY UNIT (CI 5) HSE PRINCIPAL INSPECTORS, WITHIN REGULATORY FIELD UNITS (CI AND SI) HSE DISCIPLINE SPECIALIST PRINCIPAL INSPECTORS WITHIN THE FIELD UNITS RELEVANT AGENCY TEAM LEADERS ASSESSMENT MANAGER (HSE REGULATORY INSPECTOR, CI & SI) ASSESSMENT TEAM MEMBERS RELEVANT AGENCY INSPECTORS LINE MANAGERS TO ASSESSMENT TEAM HSE LEAD UNIT /AGENCY CO-ORDINATING INSPECTOR HSE SAFETY REPORT ADMINISTRATOR
HSE Heads of Field Units (CI & SI)

Role 1. Ensure allocation of competent resources, and make decisions on resource prioritisation where necessary Summary of Tasks Identified in Assessment Procedures Element 1 : Preplanning Procedure 1.2 Production of annual unit plan
Ensure that each group in the unit prepares an annual plan, and that the necessary regulatory and specialist resource commitment is in place Where there is a shortfall of resource make the necessary decisions on resource prioritisation Collate group plans into a unit plan
2. Resolve assessment team disagreements
Element 4 : Assessment Planning Part 2 Procedure 4.4 - approve and distribute assessment plan
Approve any plan referred by a Principal Inspector after resolving outstanding issues
Element 6 : Assessment Conclusion Procedure 6.2 disagreements resolution

For a health and safety issue, the Head of the Field Unit responsible for regulation of the operator has authority to decide the outcome. Resolve any outstanding environmental issue with the EA Area Environment Manager/SEPA Head of Area of the assessor involved in the disagreement. If further resolution is required, refer the issue to the COMAH CA Steering Group via the appropriate Policy Adviser in the Agencies and the HID HQ 1C contact.
HSE Heads of Field Units (CI & SI)

Role 3. Monitor against targets and standards set in assessment procedures Summary of Tasks Identified in Assessment Procedures Element 7: Assessment Follow Up Procedure 7.1 Assessment follow up
Report back to Head of HID CI Division on a quarterly basis on the number and type of safety reports for which completion of assessment is overdue (i.e. where assessment remains incomplete after 6 months), together with reasons for the delay, e.g. (a) pressure of work; (b) member of Assessment Team not completing assessment within agreed timescales.
General
Take action as necessary to address issues about assessment quality, progress and resources
4. Endorse proposed prohibition activity
Not a specific requirement of the procedures, but included in the guidance to the regulations
EA Area Environment Manager / SEPA Head of Area

Role 1. Ensure allocation of competent resources, and make decisions on resource prioritisation where necessary Summary of Tasks Identified in Assessment Procedures Element 1 : Preplanning Procedure 1.2

Liaise with team leaders with the aim of meeting the resource requirements Discuss options for resolution with relevant HSE Head of Field Unit where there may be a shortfall in resource
2. Resolve assessment team disagreements
Element 2 : Safety Report Received Procedure 2.2 Providing safety reports for the public register
In cases where HSE and the relevant Agency do not agree on determination of a confidentiality application, use the procedures set out in the COMAH MoU to reach agreement
Element 6 : Assessment Conclusion Procedure 6.2 disagreements resolution
Resolve any issues in discussion with the HSE Head of Field Unit of the AM involved in the disagreement
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HSE Head of Risk Assessment and Process Safety Unit (CI 5)

Role 1. Ensure allocation of identified assessment resource Summary of Tasks Identified in Assessment Procedures Element 1 : Preplanning Procedure 1.2 Production of annual unit plans
Liaise with discipline specialist Principal Inspectors in the field units, with the aim of meeting the resource requirements
2. Monitor against targets and standards given in assessment procedures 3. Disagreements resolution
Refer to responsibilities for line managers of assessment team.
Element 6 : Assessment conclusion Procedure 6.2 disagreements resolution
1. Liaise with The Head of Field Unit where the disagreement involves CI5
staff.
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HSE Principal Inspectors, within Regulatory Field Units (CI and SI)
(Line Manager to the AM)
Role 1. Overall work planning for assessment, including identification and allocation of resource requirements Summary of Tasks Identified in Assessment Procedures Element 1 : Preplanning Procedure 1.1 Production of a 5 yr plan
Prepare and maintain a 5 yr plan showing all COMAH top tier operators, establishments and/or installations, and the expected submission or revision dates for the site safety report Continued consultation with existing operators, and monitoring of COMAH notifications, to identify any forthcoming safety report revisions or new submissions, and update of 5 Year Plan accordingly
Procedure 1.2 Production of annual unit plans
Prepare a draft Annual Group Plan identifying each operator/establishment/installation from which we can expect a safety report submission in the forthcoming workyear, together with an indication of the likely submission date, extent of assessment and a prediction of the resource required Circulate the draft Annual Group Plan to the relevant Agency Team Leader(s) for the area, and the HSE discipline specialist Principal Inspector(s) representing each discipline in the area Agree which safety report assessments should have an Agency lead, and record on the relevant Annual Group Plans Confirm the group plans to their teams of inspectors and confirm the appointment of assessment managers. Confirm group plans to relevant discipline specialist line managers and Agency team leaders. Continued consultation with existing operators, and monitoring of COMAH notifications, to identify any forthcoming safety report revisions or new submissions, and update of Annual Group Plan accordingly
2. Monitor against targets and standards given in assessment procedures
Refer to responsibilities set out in line managers to assessment team.
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HSE Principal Inspectors, within Regulatory Field Units (CI and SI)
(Line Manager to the AM)
Role 3. Moderator role in Assessment Team discussions Summary of Tasks Identified in Assessment Procedures Element 2 : Safety Report Documents Received Procedure 2.2 providing safety reports for the public register
In cases where HSE and the Agency do not agree on determination of a confidentiality application, use the procedures set out in the COMAH MoU to reach agreement
Element 4 : Assessment Planning Part 2 Procedure 4.3 Approve and distribute assessment plan
Discuss with AM (or team members, or their line managers) any issues that prevented the team from reaching agreement of the plan at the assessment planning meeting. After resolving any issues, and bearing in mind knowledge of the operator and resources available, approve final assessment plan.
Element 6 : Assessment Conclusion Procedure 6.1 Assessment outcome meeting Chair the assessment outcome meeting. Seek consensus from team members on conclusions and the priorities for any remedial action by the operator. Agree the contents of the conclusions letter to the operator. Agree and endorse the inspection plan for the establishment arising from consideration of the safety report Refer any issues in disagreement to the resolution arrangements in procedure 6.2
Procedure 6.2 Disagreements resolution Resolve any issues that remain in dispute following the assessment outcome meeting with the LM of the relevant assessor(s). If the issue in dispute is between an HSE and an Agency assessor, consult the Memorandum of Understanding to help resolve the matter. Refer any issue that remains in dispute to the Head of the Field Unit responsible for regulation of the operator. When the result of the resolution procedure is received, sign the conclusions letter and ask the AM to send it to the operator
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HSE Discipline Specialist Principal Inspectors within the Field Units

Role 1. Secure technical resource Summary of Tasks Identified in Assessment Procedures Element 1 : Preplanning Procedure 1.2 Production of annual unit plan
Identify the technical assessors, for their discipline and delegated area, that will fill the required roles in assessment teams and feedback these names, to the HSE Principal Inspector of the relevant regulatory team, for inclusion in the Annual Group Plans The Process Safety Discipline Principal Inspector is required to also secure and allocate the resource for the predictive assessment Identify and allocate resources as necessary to take account of updates to Annual Group Plan
2. Monitor against standards and targets in assessment procedures
Refer to responsibilities for line managers to assessment team NB These responsibilities extend to all those that the Discipline Specialist Principal Inspector has allocated to an assessment team, and therefore include assessors in other teams that they do not manage, and external contractors Element 6 : Assessment conclusion Procedure 6.2 disagreements resolution
3. Disagreements resolution
Liaise with HSE Principal Inspector (Line Manager of AM) where disagreement involves their staff.
Relevant Agency Team Leaders

Role 1. Secure technical resource Summary of Tasks Identified in Assessment Procedures Element 1 : Preplanning Procedure 1.2 Production of annual unit plan
Identify the relevant Agency assessors required to fulfil the required roles in assessment teams and feedback these names, to the relevant HSE regulatory Principal Inspector, for inclusion in the Annual Group Plans Identify and allocate resources as necessary to take account of updates to Annual Group Plan
Refer to responsibilities for line managers to assessment team.
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Relevant Agency Team Leaders

Role 3. Disagreements resolution Summary of Tasks Identified in Assessment Procedures Element 6 : Assessment conclusion Procedure 6.2 disagreements resolution
Liaise with HSE Principal Inspector (Line Manager of AM) where disagreement involves their staff.
Assessment Manager (HSE Regulatory Inspector, CI & SI)

Role Summary of Tasks Identified in Assessment Procedures The below just identifies some key points and the AM should refer to the procedures. 1. Assist Principal Inspector in the work planning process as necessary Element 1 : Preplanning Procedure 1.1 Production of a 5 yr plan
Continued consultation with existing operators, and monitoring of COMAH notifications, to identify any forthcoming safety report revisions or new submissions, and update of 5 Year Plan accordingly
Procedure 1.2 Production of annual unit plans
Consult with operators and provide line manager (Principal Inspector) with information as required to assist in the population of the Annual Group Plan, and any necessary updates -
2. Manage confidentiality requests in accordance with agreed procedures.
Element 2 : Safety Report Receipt Procedure 2.2 Providing safety reports for the public register
Determination of confidentiality requests, inform the operator of the outcome and arrange for the necessary version of the report to be put on the public register
3. Manage assessment in line with standards and targets in assessment procedures
Element 2 : Safety Report Receipt Procedure 2.1 Safety report processing
Consider the extent of any changes to revised reports and advise on assessment team make up and numbers of reports required
Procedure 2.3 Failure to submit a report
Deal with any operators failing to submit a safety report, or details of a 5 yr review, accordingly
Element 3 : Assessment Planning Part 1 15

Role Summary of Tasks Identified in Assessment Procedures Procedure 3.1 Completion of part 1 of the assessment plan and first reading of the report
Carry out the initial read of the safety report, and determine whether the minimum information has been provided. Complete part 1 of the assessment plan, determine (in consultation with colleagues) make up of the assessment team, and arrange assessment planning meeting if necessary
Element 4 : Assessment Planning Part 2 Procedure 4.1 Assessment planning meeting
Where minimum information has not been provided, make arrangements to communicate decision to the operator and for the resubmission of the report
Procedure 4.2 Completion of part 2 of assessment plan
Through the assessment planning meeting, or other means, gather the information from, and make decisions with, the assessment team, necessary to complete part 2 of the assessment plan
Procedure 4.3 Confirm key information present in safety report

Write to the operator to confirm minimum information present Write to the Emergency Planning Department of the local authority, to confirm report received and minimum information present
Procedure 4.4 Approve and distribute final assessment plan
When approval for assessment plan is gained, distribute it to the assessment team, and make arrangements for assessment conclusions meeting
Element 5 : Implement Assessment Plan Procedure 5.1 Work the plan
Co-ordinate and make any requests for further information to the operator Provide focus for the assessment team to address any issues of potential serious deficiency
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Role Summary of Tasks Identified in Assessment Procedures Element 6 : Assessment Conclusions Procedure 6.1 Assessment outcome meeting

Arrange assessment outcome meeting, where necessary Where necessary, liaise with lead unit co-ordinating inspector Make a record of the assessment outcome meeting, including conclusions, disputes, and issues raised for the intervention plan Prepare and forward a conclusions letter to the operator, and make arrangements to meet and discuss assessment conclusions
Element 7 : Assessment Follow up Procedure 7.1 Assessment Follow up
Make arrangements for copies of the safety report and the assessment records to be filed
4. Assessment 5. Bring to attention of line management any significant disagreement, failure or difficulty in meeting stated milestones in assessment process
Refer to responsibilities of assessment team Element 4 : Assessment Planning Meeting Procedure 4.1 Assessment planning meeting
If agreement cannot be reached on the assessment plan, refer to line manager
Element 6 : Assessment Conclusions General
Raise issues with line manager as they arise
6. Lead on enforcement, including prohibition activity
Provide focus for the assessment team to address any issues of potential serious deficiency
Element : Assessment Conclusions Procedure 6.1 Assessment outcome meeting
Address any issues of potential serious deficiency through a site visit
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Role 7. Provide balanced view of safety report assessment based on views of all the assessment team members in the written conclusions by the CA 8. Send conclusions letter to operator on behalf of all parts of CA Summary of Tasks Identified in Assessment Procedures Element 6 : Assessment Conclusions Procedure 6.1 Assessment outcome meeting
Ensure that the views of all the assessment team are included in the assessment conclusions record and the conclusions letter
Element 6 : Assessment Conclusions Procedure 6.1 Assessment outcome meeting
Prepare and forward a conclusions letter to the operator, and make arrangements to meet and discuss conclusions
Assessment Team Members

Role 1. Provide input to assessment of confidentiality requests where requested by Assessment Manager 2. Assessment Summary of Tasks Identified in Assessment Procedures Element 2 : Safety Report Receipt Procedure 2.2 Providing Safety Reports for the Public Register
Assist AM, if requested, in determination of confidentiality applications
Element 3 : Assessment Planning Part 1 Procedure 3.1 Completion of part 1 of the assessment plan and first reading of the report
Where required, carry out the initial read of the safety report, to prepare for the planning meeting, assist the AM in the determination of target agenda, and (in the case of a predictive or EA assessor) to assist the AM in determining whether the minimum information has been provided
Element 4 : Assessment Planning Part 2 Procedure 4.1 Assessment planning meeting
Contribute to the assessment planning process, and completion of part 2 of the assessment plan, by whatever means is agreed most appropriate with the assessment manager
Assess the aspects of the safety report allocated to you by the assessment plan, against the criteria set out in part 2 of the SRAM to 18
Assessment Team Members

Role Summary of Tasks Identified in Assessment Procedures determine whether the safety report provides the minimum information, and meets the purposes, required by the COMAH regulations
Where further information is required liaise with, and make the necessary requests through, the assessment manager Forward assessment records to the AM, including, where relevant issues for inclusion in the intervention plan, and if necessary a revision plan Comply with timescales laid out in the SRAM procedures, and agreed in the assessment plan
Element 6 : Assessment Conclusions Procedure 6.1 Assessment outcome meeting

Attend the assessment conclusions meeting Present assessment conclusions, discuss with other team members as appropriate and agree the contents of the conclusions letter and proposals for the intervention plan
Element 7 : Assessment Follow up Procedure 7.1 Assessment follow up
Reply to the AM in answer to any queries raised in respect of the assessment conclusions
3. Enforce
Where the report suggests, or gives evidence of, serious deficiencies in the measures taken to prevent or mitigate major accidents raise the issue with the assessment manager as soon as possible
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Relevant Agency Inspectors

Role 1. Assessment Summary of Tasks Identified in Assessment Procedures Refer to responsibilities of assessment team, but in addition to include: Element 2: Safety Report Receipt Procedure 2.1 Processing Arrangements for Safety Report Documents
Where the safety report has been submitted by a multi-establishment operator, contact the Industry Sector Group (EA) or Co-ordinating Inspector (SEPA) for advice and guidance
Element 3 : Assessment Planning Part 1 Procedure 3.1 Completion of part 1 of the assessment plan and first reading of the report
Carry out the initial read of the safety report, and assist AM in determining whether the minimum information has been provided Assist the AM in determining the make up of the assessment team Where predictive assessment is required work with HSE predictive assessor to agree whether or not the major accident scenarios are described adequately and that the key information relating to hazard identification and risk analysis is present
Where the major accident hazards on a site are predominantly or solely environmental lead the assessment process. Discuss additional support required from HSE assessors with AM Element 4 : Assessment Planning Part 2 Procedure 4.1 Assessment planning meeting
Where minimum information has not been provided, assist the AM in communicating the decision to the operator
2. Manage confidentiality requests in accordance with agreed procedures.
Element 2 : Safety Report Receipt Procedure 2.2 Providing Safety Reports for the Public Register
Assist AM in determination of confidentiality requests, and arrange for the necessary version of the report to be put on the public register
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Line Managers to Assessment Team

Role 1. Allocate resource Summary of Tasks Identified in Assessment Procedures Element 1 : Preplanning Procedure 1.2 Production of annual unit plans
Give resource commitment as identified by the HSE Regulatory Principal Inspector
General
Check a selection of assessors work to determine the technical quality of the contributions Monitor progress of the staff managed against the agreed timescales of their assessment plans. Take appropriate action where performance standards or targets are not being met Where it becomes apparent that allocated resource may not be provided, within the agreed time period (e.g. where resource is diverted to other work), raise the issue with the assessment manager as soon as possible, and make alternative arrangements to supply the resource
HSE Lead Unit /Agency Co-ordinating Inspector

Role 1. Take the lead in deciding how common issues for multi site operators should be assessed or dealt with Summary of Tasks Identified in Assessment Procedures Element 2 : Safety Report Documents Received Procedure 2.1 Processing arrangements for safety report documents step 9
No specific tasks in procedures. Refer to guidance on the lead unit and coordinating inspector role in the relevant HSE / agency guidance.
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HSE Safety Report Administrator

Role 1. Track safety report submissions Summary of Tasks Identified in Assessment Procedures Element 2 : Safety Report Documents Received Procedure 2.1 Processing arrangements for safety report documents
Take and record receipt of reports, allocate a unique identifier and distribute copies to the assessment team as required.
General
Ensure progress with the safety report assessment, including conclusion, is recorded as necessary on COIN
2. Administration of safety reports in accordance with assessment procedures
Element 2 : Safety Report Documents Received Procedure 2.1 Processing arrangements for safety report documents
Send letters acknowledging receipt to the report to the operator, employee representatives
3. Administration of confidentiality requests in accordance with assessment procedures
Element 2 : Safety Report Documents Received Procedure 2.1 Processing arrangements for safety report documents
Check accompanying letter to see if an application is being made to exclude information from the public register copy of the report, and inform AM if necessary
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4 ASSESSMENT PROCEDURES
INTRODUCTION FIGURE 4.1 OVERVIEW OF ASSESSMENT PROCESS ELEMENT 1 PRE-PLANNING ELEMENT 2 SAFETY REPORT DOCUMENTS1 RECEIVED ELEMENT 3 PART 1 ASSESSMENT PLAN AND FIRST READING OF THE REPORT ELEMENT 4 ASSESSMENT PLANNING MEETING ELEMENT 5 IMPLEMENT ASSESSMENT PLAN ELEMENT 6 ASSESSMENT OUTCOME MEETING ELEMENT 7 ASSESSMENT FOLLOW UP APPENDIX 4.1 GUIDANCE TO ASSIST IN DETERMINING OPERATOR APPLICATIONS FOR EXCLUSION OF INFORMATION FROM THE PUBLIC REGISTER ON THE GROUNDS OF COMMERCIAL OR PERSONAL CONFIDENTIALITY APPENDIX 4.2 SECRETARY OF STATE ARRANGEMENTS AND CONTACT POINTS APPENDIX 4.2A STATEMENT TO ACCOMPANY REGISTER ENTRIES WHERE INFORMATION HAS BEEN EXCLUDED ON CONFIDENTIALITY GROUNDS APPENDIX 4.3 ASSESSMENT PLAN APPENDIX 4.4 GENERIC IMPROVEMENT NOTICE FOR RESUBMISSION OF COMAH SAFETY REPORTS APPENDIX 4.5 TEAM ASSESSMENT CONCLUSIONS RECORD APPENDIX 4.6 FRAMEWORK LETTERS APPENDIX 4.7 TIMESCALES FOR ASSESSMENT OF PRE-CONSTRUCTION SAFETY REPORTS (PCSRS) TIMESCALES FOR ASSESSMENT OF SAFETY REPORTS/REVISIONS APPENDIX 4.8 LIST OF WORD TEMPLATES 23 25 26 29 39 44 50 55 59
63 69 70 71 75 78 81 93 94 95
Introduction
1 The procedures are set out in tables, describing the key steps for planning and completion of assessments. The overall process is divided into elements, each of which is broken down into a number of procedures that identify the mains steps, action required and the person responsible for taking the action. 2 An overview of the assessment process is presented at Figure 4.1. Indicative timescales for carrying out the various steps in the process are given at Appendix 4.7, which contains charts specifying timescales for assessment of (1) preconstruction safety reports (PCSRs), and (2) all other safety reports/revisions. 3 Once started, the majority of assessments should be completed within 6 months. However, a shorter timescale of 3 months is necessary for assessment of PCSRs. This is because the COMAH Regulations do not allow the operator to start construction of a new establishment until the CAs conclusions have been received on examination of the PCSR. 4 The start of the assessment may be delayed by up to 26 weeks, where necessary to smooth out peaks in resource demand (but note that assessment of PCSRs should not be delayed in this way). Where such a delay is deemed appropriate, actions required by Procedure 2.1 (Processing arrangements for safety report documents) and Procedure 2.2 (Providing safety report documents for the 23
public register) should be commenced immediately following receipt of the document. Only the later stages, from Procedure 3.1 onwards, should be delayed. 5 Assessment of a PCSR allows the CA to communicate early conclusions about the key hazard issues and associated control measures. This allows the operator improved opportunity to take appropriate remedial action before it becomes too difficult or costly to implement. COMAH regulation 7(2) allows operators to provide a PCSR in the form of a rolling submission of documents. To make the most of this opportunity for comment, it is important for the CA to provide interim conclusions on each stage of the submission as speedily as possible to afford the best opportunity for the operator to take remedial action. Timescales for assessment of rolling submission PCSRs will therefore be influenced by the operators planned programme for the submission and cannot be subjected to a specific time frame for assessment. 6 Although the timescales specified at Appendix 4.7 should not normally be exceeded, they are not intended to constrain inspectors from adopting a more flexible approach where assessment can be completed earlier than indicated. For example, there may be circumstances where revisions to safety reports can be assessed quickly, e.g. where revisions are not extensive and/or the inspector has already discussed the changes giving rise to the need to revise the report at a site visit and collected further information to inform the assessment.
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Figure 4.1 Overview of Assessment Process
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Element 1 Pre-planning
Purpose To plan and coordinate the work to be done on safety report assessment, and to ensure the necessary resources are allocated. Procedure 1.1 Production of 5 year plan Step 1 Responsibility/Action HSE Principal Inspectors within Regulatory Field Units
Prepare and maintain a 5 yr plan showing all COMAH top tier operators/establishments/installations and the expected submission or revision dates for the site safety report.1,2 Ongoing throughout the workyear
HSE Principal Inspectors within Regulatory Field Units Regulatory inspectors
Continued consultation3 with existing operators, and monitoring of COMAH notifications, to identify any forthcoming safety report revisions or new submissions, and update of 5 Year Plan accordingly. Ongoing throughout the workyear
Operational support teams (HID CI4a, SI2 & HQ1C) Advise field units of forthcoming changes to legislation, or other factors, that may impact on the duty to submit a safety report.
Procedure 1.1 Guidance Notes
Includes expected PCSR and POSR submissions.
2 Intelligence for this comes from field staff, notifications, previous assessment conclusions and revision plans. 3 This should consider forthcoming notifications of new establishments and significant changes to existing establishments (reg 8).
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Procedure 1.2 Production of an Annual Group Plan Step 1 Responsibility/Action HSE Principal Inspectors within Regulatory Field Units Prepare a draft Annual Group Plan identifying each operator/establishment/installation from which we can expect a safety report submission1 in the forthcoming workyear, together with an indication of the likely submission date, extent of assessment and a prediction of the resource required.2,3 Circulate the draft Annual Group Plan to the line managers representing each discipline in the group area, and their Agency counterpart. 3 months before the start of the workyear 2 Regulatory inspectors Consult with operators and provide line manager with information as required to assist in the population of the Annual Group Plan.4 3 HSE Principal Inspectors within Regulatory Field Units and Relevant Agency team leader Agree which safety report assessments should have an Agency lead, and record on the relevant Annual Group Plans.5 4 Discipline specialist line managers, for each discipline Identify the technical assessors, for their discipline and delegated area, that will fill the required roles in assessment teams, and feedback these names to the relevant regulatory line manager, for inclusion in the Annual Group Plans. 6,7 Process safety discipline line manager - secure and allocate the resource for the predictive assessment.8 1 month prior to the start of the workyear 5 Relevant Agency team leader Identify the Agency assessors required to fulfil the required roles in assessment teams and feedback these names to the relevant regulatory line manager for inclusion in the Annual Group Plans.6 1 month prior to the start of the workyear 6 HSE Principal Inspectors within Regulatory Field Units, discipline specialist line managers and Agency team leader Agree start date for assessment, considering availability of resource.6 1 month prior to the start of the workyear
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Procedure 1.2 Production of an Annual Group Plan Step 7 Responsibility/Action Head of field unit Ensure that an Annual Group Plan, and resource commitment, is in place for each group in the unit. Where there is a shortfall of resource, make the necessary decisions on resource prioritisation. Collate the group plans to produce a unit plan. Prior to the start of each workyear 8 HSE Principal Inspectors within Regulatory Field Units Confirm the group plans to their teams of inspectors and confirm the appointment of assessment managers. Confirm group plans to relevant discipline specialist line managers and Agency team leaders. At the start of each workyear 9 Regulatory inspectors HSE Principal Inspectors within Regulatory Field Units Continued consultation with existing operators, and monitoring of COMAH notifications, to identify any forthcoming safety report revisions or new submissions, and inform line manager to allow update of Annual Group Plan accordingly. Ongoing throughout the workyear 10 HSE Principal Inspectors within Regulatory Field Units Update the Annual Group Plan as necessary, according to new intelligence on site notifications or report revisions. Ongoing throughout the workyear 11 Discipline specialist line managers for each discipline, Relevant Agency team leader Identify and allocate resources as necessary (repeating steps 4 & 5) to take account of updates to Annual Group Plan. Ongoing throughout the workyear
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Includes PCSRs, POSRs and revisions to existing safety reports.
2 Intelligence for this comes from the 5 year plan, field staff, notifications, previous assessment conclusions and revision plans. 3 At this stage the annual group plan may show suggestions for each technical assessor. This may be based on them having previous assessment experience or site knowledge. The actual name will not be confirmed until the resource commitment is made in steps 4 and 5 of the procedure. 4 This should consider forthcoming notifications of new establishments and significant changes to existing establishments (reg 8). 5 It is expected that the HSE will provide the Assessment Manager in all cases, but the need to identify which sites require an Agency lead recognises that in these cases the Agency will be expected to take the lead on technical assessment. 6 Where it is necessary, to smooth out peaks in resource demand, to delay the start of assessment, then such delays should not exceed 26 weeks, be made with the agreement of all other line mangers involved in the planning process, and be recorded on Annual Group Plan. Assessment of PCSRs and POSRs should commence as soon as possible following receipt and should not be delayed. 7 It is not expected that discipline specialist line managers will always be able to resource all the technical assessment from their own teams. Therefore, liaison with other teams, FOD SGs, HID CI5 and external resource suppliers will be required. 8 Liaison with HID CI5 will be necessary.
Element 2 Safety report documents1 received

Purpose
To describe the actions to be taken following receipt of safety report documents, and the actions to take if a report is not received
Procedure 2.1 Processing arrangements2 for safety report documents
Step 1
Responsibility/Action All staff involved in handling and assessing safety report documents
Keep safety reports and associated documents out of sight when not in use, in a locked desk or cabinet. Handle all documents subject to a protective marking in accordance with the HSE Security Policy (available on the intranet)3.
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Step 2
Responsibility/Action Safety report administrator
Re-direct safety report documents to the correct HSE office if necessary. Normally within 24 hours of receipt
Safety report administrator
Date and record receipt of safety report documents, and log the information on to COIN. Normally within 24 hours of receipt
Check and record the number of copies of each safety report document received, tag each copy with a unique identifier4,5 and record details on COIN.
Check that adequate contact details6 have been provided by the operator and if not, contact the operator to obtain them and attach details to the safety report documents. Carry out a completeness check on the safety report document to confirm that all parts have been sent by the operator and there are no obvious omissions. Contact the operator to obtain any missing information.
Check the accompanying letter to identify whether an application is being made to exclude information from the public register version of the document on the grounds of commercial and/or personal confidentiality or national security.
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Step 7
Where an application is being made to exclude information on the grounds of commercial and/or personal confidentiality, forward the safety report document to the AM and Agency inspector for determination of the confidentiality application. Where an application is being made to exclude information on the grounds of national security, forward all papers relating to the application to the relevant contact point for the Secretary of State (see Appendix 4.2), i.e. HID HQ Administrative Section, for establishments in England and Wales, or to The Scottish Executive, for establishments in Scotland. Forward a copy of communications sent to the Scottish Executive to the above HID HQ Administrative Section in Bootle. Forward the safety report, together with a copy of all application papers requesting exclusion of information on grounds of national security, to the AM to proceed with the assessment process. Within 2 days of receipt
Where no application is being made for exclusion of material from the public register version of the document, despatch a copy to the AM. Within 5 working days of receipt
AM/ Relevant Agency inspector
Where the safety report document has been submitted by a multiestablishment operator, contact the Lead Unit (HSE), Industry Sector Group (EA) or Co-ordinating Inspector (SEPA) for advice and guidance7,8.
10
AM
Where necessary9, look at revisions to safety reports when received to determine the extent of predictive, technical and/or environmental assessment necessary and therefore the number of copies required. Where revisions have been submitted in the form of changed pages or an appendix, decide whether additional copies of the full safety report to which they relate will be required to enable assessment to proceed.
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Step 11
Responsibility/Action AM
Where the start of the assessment is going to be delayed, look at the safety report document and make an initial judgement about whether there appears to be sufficient information to enable the assessment to proceed, or whether there are any significant errors or omissions that might necessitate returning the document to the operator with a request for resubmission.10
12
Obtain additional copies of the safety report documents from the operator if required, in consultation with the AM, or make additional copies and charge the operator for producing them11.
13
Acknowledge receipt of the safety report documents to the operator and name the AM in the letter (framework letter 2).
14
Write to employee representatives (framework letter 2A).
15
Send copies of the safety report documents to members of the Assessment Team (where allocated in the pre-planning element). Within 5 working days of receipt
16
Where contractor effort was secured at the pre-planning stage, send 1 copy of the safety report documents to the discipline specialist responsible for managing the contractor.
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Step 17
Monitor progress with the assessment using COIN and keep AM informed of any shortfalls.
1 The term safety report documents includes full safety reports and all other documents requiring assessment, such as revised reports and revisions submitted in the form of an appendix to an existing report or changed pages. 2 These procedures apply equally to the processing of electronic safety report documents stored on removable electronic media such as CDs. 3 Guidance on the protective marking system and document security can be found on the intranet at http://intranet/security/markings.htm. Safety reports should be treated as restricted documents for security purposes. The protective marking rules and security arrangements apply equally to safety reports stored on electronic media such as CDs, which should be marked up with the highest protective marking of the contents, with storage as for paper files. 4 A simple numbering system should be adopted, comprising the COIN Site ID number followed by a unique sequential number, e.g. 2004137/001. 5 Ensure all copies of individual parts of a rolling submission PCSR are tagged with a unique identifier. 6 The safety report should contain the name, address, telephone and fax numbers (and preferably also the e-mail address) of a contact within the operators organisation for communication about the safety report. 7 This could include guidance on previous assessment of exemplar safety reports, what has already been considered and where attention should be focussed. 8 In the case of PCSRs, communication should be by direct contact (e.g. telephone, e-mail, video conferencing) wherever possible, to ensure the information is obtained quickly. 9 Ideally, the nature and extent of revisions should be discussed with the operator prior to submission, and the number of copies required agreed at that stage, but this will not be possible in all cases. 10 This step recognises that it is not desirable to wait for up to 6 months before looking at the document, only to discover that the shortcomings or omissions are such that it is not possible to proceed to full assessment. It is left to the discretion of 33
the AM whether to undertake a full initial read at this stage, in accordance with steps 1-3 of Procedure 3.1. However, for COIN recording purposes the due date for completion of the initial read will remain as 3 weeks from the start of the assessment process proper (procedure 3.1 onwards). 11 The first step would normally be to ask the operator for additional copies, as that would probably be cheaper for them. If the operator declines to provide them, or prefers the CA to provide them, make the copies but notify the operator first that there may be a charge for making them (at the standard photocopying rate).
Procedure 2.21,2 Providing safety report documents3 for the public register Step 1 Responsibility/Action AM Where no application is being made for exclusion of material from the public register version of the safety report document, on the grounds of personal or commercial confidentiality or for national security reasons, send it to the appropriate Agency office for inclusion on the register.
AM and Relevant Agency inspector Where an application is being made for exclusion of material from the public register version of the safety report document on the grounds of commercial and/or personal confidentiality, determine the application following the guidance in Appendix 4.1. Where an application is being made for exclusion of material on grounds of national security only, go to step 14. Within 28 days4
Line manager of AM In cases where HSE and the Agency do not agree on the determination of the application, use the procedures set out in the COMAH Memorandum of Understanding to reach agreement. Within the 28-day determination period
AM Once the application has been determined notify the operator of the outcome in writing using framework letter 8.
AM Where the application is accepted, make a record of the information to be removed from the public register version of the safety report document for use when the register version is being prepared.
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Procedure 2.21,2 Providing safety report documents3 for the public register Step 6 Responsibility/Action AM Where the application is refused, in part or in its entirety, advise the operator in writing, using framework letter 8, of the right of appeal against the determination to the Secretary of State.
AM Where the application is refused, in part or in its entirety, allow 21 days after the date the operator was notified of the refusal for receipt of notification that the operator has made an appeal to the Secretary of State.
AM Where no appeal has been lodged at the end of 21 days, arrange for the operator to produce an appropriate version of the safety report document for the public register and send it to the appropriate Agency office.
AM Where an appeal has been lodged, wait to be advised of the outcome by the Secretary of State and confirm with the operator, using framework letter 9, that they are aware of the outcome.
10
AM Where an appeal is rejected or withdrawn, wait at least 7 days before arranging for the public register version of the safety report document to be placed on the register.
11
AM Where an appeal is upheld, make a record of the information to be removed from the public register version of the safety report document for use when the register version is being prepared.
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Procedure 2.21,2 Providing safety report documents3 for the public register Step 12 Responsibility/Action AM Where the Secretary of State has specified information or descriptions of information to be excluded from the public register5, identify and make a record of any such information in the safety report document for use when the register version is being prepared.
13
AM Where the Secretary of State has specified descriptions of information to be referred to him for determination6 identify such information and refer it to the Secretary of State using framework letter 11. Identify and make a record of any information required to be excluded from the public register version of the safety report document as a result of this determination, for use when the register version is being prepared.
14
AM Where the operator has applied to the Secretary of State for information to be excluded from the public register version of the safety report document for national security reasons and the Secretary of State has made a Direction, make a record of any information required to be excluded for use when the register version is being prepared.
15
AM If there is no information to be excluded from the public register after issues of commercial/personal confidentiality and national security have been considered, send the safety report document directly to the appropriate Agency office for placing on the public register.
16
AM If there is information to be excluded it will have been identified and recorded in accordance with the earlier steps in this procedure. Collate this information and either (a) forward it to the operator using framework letter 10, requiring the operator to prepare the public register version of the document within 3 months; or (b) in the case of a conclusions letter, prepare the public register version of the letter and continue from step 18 of this procedure.
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Procedure 2.21,2 Providing safety report documents3 for the public register Step 17 Responsibility/Action AM On receipt of the public register version of the safety report document from the operator, check that the correct information has been excluded and that no additional information has been removed. If any significant amendments are required instruct the operator to make them.
18
AM Prepare a statement to accompany the safety report document on the public register, stating that information of a commercially and/or personally confidential nature has been removed7. A standard form of words is provided at Appendix 4.2A.
19
AM In the case of a conclusions letter, send the public register version of the letter and the accompanying confidentiality statement to the appropriate Agency office for inclusion on the register. In all other cases retain the public register version of the safety report document and the confidentiality statement until the initial read has been carried out and the presence of key information has been confirmed, in accordance with procedure 4.2. Where the presence of key information is confirmed, send the safety report document and the confidentiality statement to the appropriate Agency office for inclusion on the register. Where key information is found to be missing and resubmission of the safety report document is also deemed by the AM (following consultation with the assessment team if necessary) to be required, send nothing to the Agency and begin again from step 1 of this procedure when the document is resubmitted."
20
AM In cases where the Secretary of State has specified information to be excluded from the public register, send a notification confirming that this has been done, using framework letter 12.
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1 Discussions with operators regarding the scope of applications for exclusions from the register, prior to submission, can assist this procedure. 2 A rolling submission PCSR, comprising a number of documents sent over a period of time, will not be deemed complete for public register purposes until the final document has been received. As such, this procedure should not be applied to rolling submissions until the final document is submitted. 3 In this procedure the term safety report document includes the conclusions letter sent to the operator on completion of the assessment, a copy of which also needs to be placed on the public register. 4 If this period is exceeded the confidentiality application will be deemed to be accepted. 5 There is presently a direction in place from the Secretary of State that all safety reports should be removed from the public register. 6 Further guidance will be provided in the event of such requirements from the Secretary of State, of which there are currently none. 7 No such statement should be prepared where information has been removed from the report on national security grounds.
Procedure 2.3 Failure to submit report or notify details of 5-year review/revision Step 1 Responsibility/Action AM Identify any operators who fail to submit a safety report or notify details of a 5-year review/revision by the due date.
AM For operators who have not submitted their safety report or notified details of 5-year review/revision by the due date contact the operator to establish the reason.
AM Agree a deadline with the operator, generally not more than one month later than the due date.
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Procedure 2.3 Failure to submit report or notify details of 5-year review/revision Step 4 Responsibility/Action AM Where a deadline within 1 month of the due date cannot be agreed, or where the new deadline is also missed, an IN should be considered, taking account of the CAs Enforcement Policy1.
AM Where an operator does not produce a safety report2 as required, prohibit operation under reg. 18(2) of the COMAH Regulations.
AM Inform other members of the assessment team of the delay and the expected date of submission.
AM Record the number and types of overdue reports/revisions and the number and nature of associated enforcement actions taken using local arrangements devised by the line manager.
1 Refer to tables 4 and 5.2 of the Enforcement Management Model, and related guidance, for details of the circumstances in which an IN would be warranted. 2 An initial report but not a revision to an existing report.
Element 3 Part 1 assessment plan and first reading of the report

Purpose To determine whether the safety report appears to contain sufficient information of the expected quality to make the assessment process viable. To complete part 1 of the assessment plan and discuss it within the team.
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Procedure 3.1 Completion of part 1 of assessment plan and first reading of the report Step 1 Responsibility/Action AM and Relevant Agency inspector1 In the case of a PCSR submitted as a single document, read the report to determine whether (prima facie) the operator has provided appropriate information against the main headings in Schedule 4, Part 2 (minimum information to be included in a safety report) as is reasonable to expect at the pre-construction stage to satisfy the purposes as specified in Schedule 4, Part 1, para 3(a). In the case of a PCSR submitted as a rolling submission of documents, read (not assess) each document to determine whether the operator has provided appropriate information against Schedule 4, Part 2, as is reasonable to expect at the particular stage in development of the design. By end of week 22 2 AM and Relevant Agency inspector1 In the case of an initial submission, read the report to determine whether (prima facie) the operator has provided appropriate information against the main headings listed in Schedule 4, Part 2 (minimum information to be included in a safety report)3, and to inform possible targeting of the assessment. Check from the information in the safety report that the consent entitlement (for sites with Planning (Hazardous Substance) consent) or the licensed quantity (for sites licensed under the Explosives Act 1875 or the Nuclear Installations Act 1965) has not been exceeded. If it has, then the hazardous substances consent issuing authority or, in the case of a licensed explosive site, HID SI2, should be informed. Record details of initial read on appropriate Word template. By end of week 3
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Procedure 3.1 Completion of part 1 of assessment plan and first reading of the report Step 3 Responsibility/Action AM and Relevant Agency inspector1 In the case of a revision, read the revised material with reference to the original report, where necessary, and with reference to the conclusions from the previous assessment, to become familiar with the nature and extent of the changes, to check whether the key information is present, and to inform possible targeting of the assessment. Identify any outstanding items from the previous assessment and discuss with the relevant predictive/technical assessors. Check from the information in the safety report that the consent entitlement (for sites with Planning (Hazardous Substance) consent) or the licensed quantity (for sites licensed under the Explosives Act 1875 or the Nuclear Installations Act 1965) has not been exceeded. If it has, then the hazardous substances consent issuing authority or, in the case of a licensed explosive site, HID SI2, should be informed. Record details of initial read on appropriate Word template. By end of week 3 4 AM and Relevant Agency inspector1 Decide, in consultation with appropriate predictive and technical assessors, the extent of predictive and technical input needed4. Confirm membership of the assessment team5 and agree to stand down any disciplines that are not required. By end of week 4 5 Predictive assessors Where predictive assessment is required, HSE and Agency assessors should carry out an initial read6 of the safety report document. They should work jointly (making early contact by phone or at a meeting), to agree whether or not the major accident scenarios are described adequately7, to check that the key information relating to hazard identification and risk analysis is present (COMAH Schedule 4 Part 2 paras 4(a) & (b)), and to inform possible targeting of the assessment. Weeks 4-6 (Weeks 2-3 for PCSRs2)
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Procedure 3.1 Completion of part 1 of assessment plan and first reading of the report Step 6 Responsibility/Action Predictive assessors Record comments on the Early Predictive Assessment Record (Word template), including suggestions for the target agenda, and forward them to the assessment manager for use when drawing up the assessment plan. By end of week 6 (Week 3 for PCSRs2) 7 AM Complete part 1 of the assessment plan8 (Appendix 3), based on information agreed at the pre-planning stage, comments from the initial read (including those from the predictive assessors, where relevant), site knowledge and information obtained from the Lead Unit (where applicable).
AM Set the date for the assessment planning meeting, unless a meeting is considered unnecessary9. Forward part 1 of the assessment plan to the other members of the assessment team10, together with comments on the initial read by the predictive assessor (where applicable) and confirmation of the date for the assessment planning meeting where one is to be held. By end of week 6
Technical assessors In the case of an initial submission, read (not assess) the safety report, with reference to part 1 of the Assessment Plan, focussing on the measures that appear significant (with reference to comments made by predictive assessors, where appropriate), and consider whether the safety report could be sampled for assessing technical measures to help target the agenda for assessment11. In the case of a PCSR, give immediate feedback to the AM by direct contact (e.g. telephone, e-mail or video conferencing). Weeks 6-8 (Weeks 3-4 for PCSRs2)
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Procedure 3.1 Completion of part 1 of assessment plan and first reading of the report Step 10 Responsibility/Action Technical assessors In the case of a revision, read the revised material with reference to part 1 of the Assessment Plan, and the original safety report where necessary, to become familiar with the changes to the measures for preventing and limiting major accidents/additional measures introduced as a result of changes on site which triggered revision of the safety report. Record initial opinions on the scope of assessment necessary, for discussion at the assessment planning meeting. By end of week 8 Procedure 3.1 Guidance Notes
1 Where the major accident hazards are predominantly or solely environmental the Agency will lead the assessment process. See introduction to Section 13: Guidance for environmental assessment for further information. 2 For rolling submission PCSRs, timescales should be decided on a case-bycase basis but should not normally exceed this. 3 Also check that details of the operators emergency response arrangements have been provided, including (a) confirmation that an on-site emergency plan has been prepared; and (b) confirmation that the operator has consulted those required to be consulted by regulation 9(3) in the preparation of the plan, and the local authority, as required by regulations 9(4). 4 In the case of a revision, where predictive or technical aspects are unchanged from the original report, the relevant specialists may only need to be involved if the AM believes that there may be implications for these topics that have not been considered by the operator, or where current guidance on extent and severity and ALARP is not being followed. 5 When agreeing membership of the team it is important to ensure availability at key stages in the assessment process, taking into account pre-booked annual leave and other known commitments of prospective team members. 6 See guidance under heading early predictive assessment in Section 10 and Predictive aspects key information requirements at Appendix 10.2. 7 On the basis that the scenarios will be roughly the same for safety and environmental considerations. 8 For a rolling submission PCSR, a separate plan will be needed for each document of the submission.
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9 Where the assessment team is very small, or the extent of the assessment is likely to be limited, a meeting may be unnecessary. 10 In the case of a rolling submission PCSR it may be appropriate for different members of the assigned assessment team to assess individual documents in the submission. However, all parts of the rolling submission and assessment plan should be copied to all members of the team, in order to keep everyone informed of relevant developments. 11 All parts of a PCSR should normally be assessed. Sampling is to be on an exceptional basis.
Element 4 Assessment planning meeting

Purpose To hold an assessment planning meeting to confirm whether the assessment process should continue, to agree the assessment plan and to set the target agenda. Procedure 4.1 Assessment planning meeting1, including decision on re-submission or continuing the assessment and completion of part 2 of the assessment plan Step 1 Responsibility/Action Assessment team Attend the assessment planning meeting, where one is being held. Where attendance in person is not possible, take part by spider phone or video conference. Where no meeting is being held, correspond with the AM by telephone or email. By end of week 8 (Week 4 for PCSRs) 2 AM/Assessment team If the report/revision is thought not to contain all the key information discuss at the assessment planning meeting and decide whether the operator should be required to resubmit the report/revision2.
AM/Relevant Agency Inspector Where the shortcomings and omissions are substantial3, and linked to a clear omission in the requirements of the COMAH Regulations (Schedule 4, Part 2), arrange an immediate meeting with the operator, including a representative at director level or senior site manager, to explain the shortcomings and missing information and require resubmission of the safety report/revision within an agreed timescale.
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Procedure 4.1 Assessment planning meeting1, including decision on re-submission or continuing the assessment and completion of part 2 of the assessment plan Step 4 Responsibility/Action AM/Relevant Agency inspector Consider the need to serve an Improvement Notice (see Appendix 4) requiring resubmission of the safety report/revision, in accordance with the CAs enforcement policy4.
AM Write to the operator, using framework letter 4, giving the deadline for resubmission of the safety report/revision and detailing missing key information or shortcomings in the risk analysis. Where an Improvement Notice is being served it should be sent with the letter.
AM Inform the employee representatives that resubmission has been required/the assessment process has been postponed and therefore the assessment conclusions will be delayed as a result.
Assessment team Where the shortcomings and omissions are less substantial and resubmission is not warranted, agree that assessment will commence. Where appropriate, discuss and draw up a target agenda5 for the assessment in accordance with guidance in Section 7. Agree the deadline for forwarding details of further information requirements to the AM (see Procedure 5.1, step 2).
AM Complete part 2 of the Assessment Plan, using the proforma at Appendix 4.3, with input from the assessment team. By end of week 8 (Week 4 for PCSRs)
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Procedure 4.1 Assessment planning meeting1, including decision on re-submission or continuing the assessment and completion of part 2 of the assessment plan Step 9 Responsibility/Action AM If discussions with team members do not lead to agreement on the assessment plan, refer to line manager for resolution in accordance with Procedure 4.3. Otherwise, forward agreed assessment plan to line manager for approval.
10
AM Where resubmission of the report/revision has been required, inform the assessors of the likely date for resubmission. Monitor the operators progress in meeting the date for resubmission. If the report/revision is not resubmitted by the deadline, ascertain the reasons for the delay and decide on appropriate enforcement action, in line with the CAs enforcement policy4 and discussion with line manager.
11
AM When a re-submitted safety report/revision is received, it should be treated as a new report. The procedures should be followed again from safety report documents received Element 2. Copies of the earlier version of the report/revision should be returned to the operator.
1 Generally a planning meeting should take place with the assessment team but the AM may agree with team members that this is not necessary. This may be the case, for example, re gas-holders, nth LPG report for a particular operator, or in general where the course of action looks straightforward. If the planning meeting does not take place then the team should correspond by e-mail/phone and the AM should confirm the actions normally agreed at the planning meeting in writing. 2 The decision on whether to ask for resubmission or for further information to the existing report/revision should be considered carefully. If resubmission is required then the shortcomings and omissions should be substantial rather than minutiae, and generally be linked to a clear omission in the requirements of the Regulations (Schedule 4, Part 2). In some cases, information may be provided relating to each of the headings in COMAH Schedule 4, Part 2, but is transparently so lacking in detail that it would not be possible to make the demonstrations. Further considerations would include whether major restructuring of the report/revision is required and how long the operator requires to provide the information. 46
3 Further guidance is available in Section 8, under the heading: Serious deficiency and other deficiencies. 4 Refer to tables 4 and 5.2 of the Enforcement Management Model, and related guidance, for details of circumstances in which an IN would be warranted. 5 All parts of a PCSR should normally be assessed. Sampling is to be on an exceptional basis.
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Procedure 4.2 Confirm key information present in safety report Step 1 Responsibility/Action AM Write to the operator, using framework letter 3, to confirm that sufficient information is contained in the safety report/revision for it to continue to the full assessment stage. By end of week 9 (Week 5 for PCSRs) 2 AM Where an offsite emergency plan is expected to be required, write to the Chief Executive and to the Emergency Planning Department of the local authority required to prepare the off-site emergency plan, using framework letter 6, to confirm the type of report received/nature of the revisions1, and to confirm that the report has been read but not assessed and has been checked to ensure that it has the minimum information required by COMAH.
Where a Reg. 10(7) exemption from producing an offsite emergency plan applies, do not send this letter but refer to Procedure 6.12. By end of week 9
AM Send public register version of the safety report/revision to the appropriate Agency office (subject to any outstanding determinations re exclusions on the grounds of personal or commercial confidentiality and national security directions) and advise that it should now be placed on the public register.
Where changes are likely to have implications for the off-site emergency plan.
2 If during the assessment process, but before reaching the conclusions meeting stage (Procedure 6.1), it later becomes evident that an exemption from producing an off-site emergency plan will not now apply, framework letter 6 should be sent to the local authority forthwith.
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Procedure 4.3 Approve and distribute final assessment plan Step 1 Responsibility/Action Line manager of AM Discuss with AM (or team members, or their line managers) any issues that prevented the team from reaching agreement of the plan at the assessment planning meeting. After resolving any issues, and bearing in mind knowledge of the operator and resources available, approve final assessment plan. By end of week 9 (Week 5 for PCSRs) 2 Line manager of AM Refer to Head of Unit any plan that you are unable to approve after discussion with all relevant parties.
Head of field unit Approve any plan referred by the line manager of AM after resolving outstanding issues. By end of week 10 (Week 5 for PCSRs)
Head of field unit Return approved final plan to AM.
AM Circulate the completed assessment plan to team members and their line managers. By end of week 10 (Week 5 for PCSRs)
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Procedure 4.3 Approve and distribute final assessment plan Step 6 Responsibility/Action AM In consultation with the Band 2, decide whether an assessment outcome meeting is needed1. Where a meeting is to be held, agree agenda with Band 2 and organise date and venue.
1 Where the assessment team is very small and/or the extent of the assessment is limited a meeting may not be necessary.
Element 5 Implement assessment plan

Purpose To instruct staff on how to organise, communicate, operate and record in line with the approved final assessment plan Procedure 5.1 Work the plan Step 1 Responsibility/Action Assessment team Assess the information in the safety report/revision in accordance with the assessment plan. Assess against the assessment criteria and in line with Section 8 (How to Use the Criteria).
Assessment team Decide whether more information is needed to come to a conclusion1. Discuss with the AM to check whether the information is likely to be available, and that the request is reasonable. Forward full details of further information requirements to the assessment manager by week 14 or as agreed at the Assessment Planning Meeting.
Assessment team Decide whether you need to see other documents referenced in the safety report to support statements made.
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Procedure 5.1 Work the plan Step 4 Responsibility/Action AM Arrange an interim meeting of the assessment team if it would help decide the agenda for requests for further information or other supporting documents, and the weight of the issues raised.
Assessment team Consider whether the most efficient way to obtain the further information or view supporting documents would be at a meeting with the operator, where assessors can explain exactly what is required.
AM Where a meeting is considered appropriate arrange one as soon as possible, keeping numbers attending to a minimum2 and normally including the AM.
AM Following the meeting, write to the operator to confirm the nature of any further information obtained at the meeting, together with details of any additional further information still required and the date by which it should be provided. Framework letter 5 may be adapted for this purpose.
AM/Assessment team members Where sight of supporting documents referenced in the safety report/revision is required and a meeting is not considered appropriate, arrange for the operator to send copies. Where such documents are found to contain important information for the purposes of Schedule 4 Part 1 or information required under Schedule 4 Part 2 ask the operator to extract the information for inclusion in/appending to the safety report. Return all other information to the operator.
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Procedure 5.1 Work the plan Step 9 Responsibility/Action AM Where further information is required and a meeting is not considered appropriate, write to the operator using framework letter 5, with details of the required information and the date by which it should be provided (which should normally be within 4 weeks). Make it clear to the operator that if the information is not received by the deadline the assessment will be concluded without it. By end of week 14 10 AM Where further information has been requested, allow 4 weeks for receipt. Where the information requested is not received within 4 weeks, speak to the operator to ascertain whether it is likely to be provided within the next few days. If the information is not forthcoming, notify the assessment team and instruct them to proceed towards conclusion of the assessment without it.
11
Assessment team Where the operator has sent further information directly to assessors, forward it to the AM for filing in the local office.
12
Assessment team If the further information is used to help assessors come to a conclusion (in making any of the demonstrations required of a safety report or that there are serious deficiencies in the measures to prevent a major accident or in limiting the consequences of a major accident), then it must be allocated a number linking it with the number allocated to the original safety report. Such information should be kept with the safety report for which it provides further information and should be included on the public register (subject to confidentiality and national security considerations as per procedure 2.2) with the rest of the report when it is placed there. Other information provided should be returned to the operator.
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Procedure 5.1 Work the plan Step 13 Responsibility/Action Assessment team Decide whether the report/revision suggests that there are serious deficiencies3,4 in conditions on site and (if so) act on those without delay5. Discuss with team members and line management.
14
AM Provide the focus for liaising with the operator to enquire into potential serious deficiencies using expertise from the assessment team as appropriate.
15
Assessment team Using professional judgement, from testing the information examined6 against the assessment criteria, draw conclusions7 on: a) Whether the report contains the minimum information required by Schedule 4 part 2; b) How far the purposes (taking into account site knowledge and any additional intelligence obtained from the operator during the assessment process) have been achieved, i.e. how well the demonstrations required by Schedule 4 part 1 have been made8; c) Whether or not serious deficiencies on site are indicated; d) Which issues arising from the safety report assessment should be included in the intervention plan for the operator, and in particular which issues should be dealt with by inspection in the next year9; e) Whether a revision plan is required. Record conclusions about the parts of the report assessed using the standard forms (available as Word templates). 10,11 Include details of any standards and information (beyond that included in the safety report) that were used in coming to conclusions12.
16
Assessment team Forward preliminary assessment conclusions to the AM. For efficiency, these should be in a form suitable for sending to the operator. By end of week 22 (Week 9 for PCSRs)
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Procedure 5.1 Work the plan Step 17 Responsibility/Action AM Copy individual conclusions to all assessment team members.
1 See guidance in Section 8, under the heading: Request for further information. 2 Technical assessors may wish to appoint a technical assessment leader to discuss issues with the AM and represent technical assessors at any meetings arranged. 3 See guidance in Section 8, under the heading: Serious deficiency and other deficiencies. 4 Prohibition under reg. 18 of COMAH is not an option at the PCSR stage. However, potential serious deficiencies should be discussed with the operator as soon as they are discovered to allow maximum opportunity for efficient remedial action prior to submission of the POSR. 5 Arrange a visit to the establishment as soon as possible, to make enquiries with a view to prohibition under reg. 18 of COMAH. 6 The PCSR and POSR together make up the complete safety report. Therefore, when judging whether the report contains sufficient information, the information provided by the operator in both the PCSR and the POSR needs to be considered. The only exception to this is where the operator specifies that the POSR is a fully comprehensive report, i.e. the POSR replaces all previously supplied information. 7 When assessing a POSR, the conclusions should be for the complete report, comprising the PCSR and the POSR, and should make clear how any outstanding issues from the PCSR assessment have been resolved. 8 For a complete PCSR, how far purpose 3(a) of Schedule 4, Part 1 has been achieved. 9 For a complete PCSR, matters for consideration in the inspection programme during construction and commissioning using non-dangerous substances. 10 For a rolling submission PCSR, individual assessors conclusions for parts of the submission may be affected by consideration of subsequent parts. Therefore, assessors should produce a composite record confirming their conclusions for the complete PCSR. 54
11 When recording conclusions about information submitted in response to a revision plan, the original assessment forms may be updated as an alternative to completing a new set. 12 For a rolling submission PCSR, this could include information from earlier parts of the submission.
Element 6 Assessment outcome meeting

Purpose To give instructions to staff on assessment outcome meetings and define meeting purposes, membership, decisions, records, outputs, authority, and disputes resolution Procedure 6.1 Assessment outcome meeting Step 1 Responsibility/Action Assessment team Attend the assessment outcome meeting, where one is being held1. Where attendance in person is not possible, take part by spider phone or video conference. Where no meeting is being held, provide the assessment manager with information normally discussed at the meeting. By end of week 24 (Week 10 for PCSRs2) 2 Line manager of AM Chair the assessment outcome meeting.
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Procedure 6.1 Assessment outcome meeting Step 3 Responsibility/Action Assessment team Present conclusions and (if necessary) justify them.7 In the case of a PCSR, agree issues for consideration during assessment of the pre-operation part of the safety report (POSR). In the case of a POSR, agree conclusions on the combined PCSR/POSR safety report. Agree the contents of the conclusions letter to the operator. Recommend topics for inspection that relate to prevention or control of major accidents, for inclusion in the CAs intervention plan. Discuss cross-team issues with other team members, as appropriate. Participate in the disagreements resolution procedure (procedure 6.2) if necessary. Confirm the basis for exemption from the need for the local authority to produce an offsite emergency plan where applicable - See Reg. 10(7).
Line manager of AM Seek consensus from team members on conclusions and the priorities for any remedial action by the operator. Agree the contents of the conclusions letter to the operator. Agree topics for inclusion in the intervention plan for the establishment arising from consideration of the safety report. Take action to resolve any issues in disagreement using the resolution arrangements in procedure 6.2.
AM If serious deficiencies in on-site conditions are signposted at the conclusions stage, e.g. as a result of accumulated evidence from more than one assessor, arrange a visit to the establishment as soon as possible to make enquiries with a view to prohibition under Reg. 18 of COMAH3.
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Procedure 6.1 Assessment outcome meeting Step 6 Responsibility/Action Assessment team Where significant shortfalls remain in the demonstrations, justifying followup in the intervention plan, propose a revision plan for improving the report, with timescales for the provision of further information.
AM Draft the conclusions letter using framework letter 7. For multi-establishment operators, send a copy of the draft conclusions letter to the Lead Unit/Co-ordinating inspector(s), including those of the Agency where appropriate. Do this sufficiently early to allow input of relevant central knowledge of the company to the final version of the conclusions letter. Draw up the revision plan where appropriate, based on discussions at the meeting. For sites where exemption from producing an offsite emergency plan applies, send framework letter 6A to the Local Authority.
AM Send the conclusions letter to the operator within 2 weeks of the assessment outcome meeting4 (but not until any disagreements have been resolved, in accordance with procedure 6.2), copying to employee representatives, having arranged for it to be signed at the appropriate level (normally by line manager of AM). Where appropriate, the revision plan should accompany the letter. By end of week 26 (Week 12 for PCSRs5)
AM Arrange a meeting with the operator to discuss the conclusions of the assessment and proposals for the intervention plan for the coming year. This meeting may be used to provide positive feedback to the operator on the findings of the assessment team, which is outside the scope of the conclusions letter.
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Procedure 6.1 Assessment outcome meeting Step 10 Responsibility/Action AM Complete the Assessment Team Conclusions Record using the standard form at Appendix 4.5 (and available as a Word template). Record the date of the assessment outcome meeting (if one was held), its membership and conclusions. If an issue was subject to disagreements resolution record details, including the person it was referred to and the outcome (see Procedure 6.2). Record inspection issues agreed. Keep a copy of the final conclusions letter to the operator and note any conclusions that are for follow up by the other part of the CA. Copy the conclusions letter6 to all members of the assessment team and (for multi-establishment operators) to the Lead Unit/Co-ordinating Inspector.
1 If a meeting does not take place the team should correspond by e-mail/phone and the AM should confirm the actions normally agreed at the meeting in writing. 2 For a rolling submission PCSR, there may be a requirement for interim assessment outcome meetings where significant issues are arising, for example those relating to potential serious deficiencies or to major topics for the operator to address. In such cases, it may be appropriate to organise a final assessment outcome meeting to compile composite conclusions for the complete PCSR and to allow consideration that subsequent staged documents may lead to amended conclusions of earlier submissions. In all other cases, a single assessment outcome meeting for the complete PCSR, held as soon as possible after receipt of the final part, should be sufficient. 3 Prohibition under reg. 18 of COMAH is not an option at the PCSR stage. However, potential deficiencies should be discussed with the operator as soon as they are discovered to allow maximum opportunity for efficient remedial action prior to submission of the POSR. 4 For a rolling submission PCSR there are likely to be a number of interim assessment conclusions letters, the number dependent on the number of parts of the submission. A final conclusions letter should be sent, which confirms or amends the status of previous interim letters. 5 For a rolling PCSR submission, agree with the operator, on a case-by-case basis, timescales for communicating interim conclusions for parts of the submission.
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6 Including intermediate conclusions letters in the case of a rolling submission PCSR. 7 See Appendix 8.2 for a more detailed list of Main Questions to be considered by the assessment team prior to completion of the Team Assessment Conclusions Record in Appendix 4.5.
Procedure 6.2 Disagreements resolution Step 1 Responsibility/Action Line manager of AM Resolve any issues that remain in dispute following the assessment outcome meeting with the LM of the relevant assessor(s). If the issue in dispute is between an HSE and an Agency assessor, consult the Memorandum of Understanding to help resolve the matter. Refer any issue that remains in dispute to the Head of the Field Unit responsible for regulation of the operator.
Head of field unit For a health and safety issue, the Head of the Field Unit responsible for regulation of the operator has authority to decide the outcome. Resolve any outstanding environmental issue with the EA Area Environment Manager/SEPA Head of Area of the assessor involved in the disagreement. If further resolution is required, refer the issue to the COMAH CA Steering Group via the appropriate Policy Adviser in the Agencies and the HID HQ 1C contact.
Line manager of AM When the result of the resolution procedure is received, sign the conclusions letter and ask the AM to send it to the operator. Keep a written record of the issues under disagreement and the outcome of the resolution procedure.
Element 7 Assessment follow up

Purpose
To give instructions to staff on how to follow up assessment
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Procedure 7.1 Assessment follow up Step 1 Responsibility/Action AM On completion of the assessment process, retain 2 copies plus the original of the safety report original for site inspector, copy for Agency Inspector and copy for Public Register1.
AM Ask the operator whether he wants redundant copies of the safety report (or revisions to it) to be returned or destroyed2 by the CA.
AM File the CAs assessment records at the local office. These records will comprise (a) draft and final assessment plans; (b) written contributions of individual assessors to the CAs assessment conclusions; (c) copies of all correspondence generated during the assessment; (d) conclusions letter to the operator.
AM Follow procedure 2.2 Providing Safety Report Documents for the Public Register in order to produce a copy of the conclusions letter suitable for placing on the public register.3
AM Deal with any queries and correspondence from the operator in respect of the assessment conclusions. Refer any issues to the appropriate team member for advice.
Assessment team members Reply to the AM in answer to any queries referred in respect of the assessment conclusions.
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Procedure 7.1 Assessment follow up Step 7 Responsibility/Action AM Record any correspondence and replies relating to the assessment. Deal with any correspondence received from members of the public concerning the assessment, taking advice from team members as necessary.
AM Keep a complete set of assessment sheets and correspondence with a copy of the safety report for future reference. In the case of a PCSR, carry forward outstanding issues to assessment of the pre-operation part of the report.
AM Where a revision plan has been issued, monitor the operators progress towards complying with it. Where revisions are submitted in response to a revision plan, assess them in the same way as any other revisions, starting from procedure 2.1.
10
Head of field unit Report back to Head of HID CI Division on a quarterly basis on the number and type of safety reports for which completion of assessment is overdue (i.e. where assessment remains incomplete after 6 months), together with reasons for the delay, e.g. (a) pressure of work; (b) member of Assessment Team not completing assessment within agreed timescales.
1 Where the operator has made a successful application to exclude information from the public register version of the safety report on the grounds of commercial and/or personal confidentiality or national security, a separate public register version of the report will have been obtained. 2 Note that multiple copies of the safety report may be required in the future to enable assessment of revisions. 3 The Secretary of States Direction of 22 November 2001, requiring all safety reports to be removed from the public register for reasons of national security, applies only to safety reports. All other material specified in Schedule 8 of the 61
COMAH Regulations, including notifications and conclusions letters, should still be placed on the register as normal.
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Appendix 4.1 Guidance to assist in determining operator applications for exclusion of information from the public register on the grounds of commercial or personal confidentiality
Introduction
1 This guidance is provided to assist inspectors (from both HSE and the Agencies) to determine commercial and personal confidentiality applications from operators. The aim is to protect from disclosure information that would adversely affect those to whom the information relates. 2 Operators need to be confident that the CA will assess their requests in a way that does not damage their legitimate interests or undermine the trust they have placed in the CA. Consequently, applications from operators will need to be sufficiently detailed to enable full consideration of their application. 3 The purpose of the register is to make available information of public interest; consequently, in considering the reasonableness of confidentiality requests from operators, this purpose will need to be kept in mind.
Commercial confidentiality
4 Paragraph 18 of COMAH Schedule 8 defines information as commercially confidential, in relation to any individual or person, if "its being contained in the register would prejudice to an unreasonable degree the commercial interests of that individual or person" (individual or person in practice will relate to the operator). 5 Commercially confidential information can be considered to fall broadly into three categories: trade secrets, commercial confidences and intellectual property (see below for definitions). Although there may be some information that falls outside these categories it is anticipated that this will rarely happen (see paragraph 8). 6 In determining whether the information should be considered commercially confidential for the purposes of the Schedule 8 register the two key questions are: a) Would the information be useful to a competitor, and otherwise be unobtainable by them? Would disclosure of the information concerned otherwise unreasonably damage the commercial interests of the operator?
b)
The following tests will help answer this: TEST 1: Is this information of the relevant category, i.e. a trade secret, a commercial confidence or intellectual property? TEST 2: Would its disclosure be likely to prejudice to an unreasonable degree the commercial interests of the operator? 63
TEST 3: Is the information already available in the public domain? For example, via: a) b) c) d) e) f) g) h) Environmental Protection Act public registers Consents applications Planning applications Off-site emergency plans Technical literature Published incident reports Other public registers Press articles and other media publications
8 If the answers to both TEST 1 and TEST 2 is yes and the answer to TEST 3 is no then the information should be determined to be commercially confidential. If the answer to either TEST 1 or TEST 2 is no, or the answer to TEST 3 is yes then the information should be determined not to be commercially confidential unless paragraph 9 below applies. 9 In the rare cases where the information does not fall within one of the three categories set out in TEST 1 but is still thought to be of a potentially commercially confidential nature and the answer to TEST 2 is yes and TEST 3 is no then further advice should be sought via HID HQ 1C. 10 The determination will to some extent be subjective because of the term "prejudice to an unreasonable degree" which is open to a degree of interpretation. Illustrative examples, used by the Agencies in their guidance on assessing commercial confidentiality issues with regard to the Environmental Protection Act registers, are given at paragraph 19.
Definitions
11 The following broad definitions may be useful. Legal advice, sought via HID HQ 1C, may be needed in difficult cases.
Trade secrets
12 Trade secrets include information (including but not limited to a formula, pattern, compilation, program, method, technique, or process or information contained or embodied in a product, device or mechanism) which: a) is or may be used in a trade or business;
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b) c)
is not generally known in that trade or business; has economic value from not being generally known; and
d) is the subject of efforts that are reasonable under the circumstances to maintain its secrecy.
Commercial confidences
13 This category goes wider than trade secrets since the information does not need to be capable of industrial or commercial application or use. 14 There are two basic types of this information: a) information which has an intrinsic commercial value where that value depends upon the ability of the person to whom the information relates to maintain its confidentiality; and information which might not have intrinsic commercial value but whose disclosure might unreasonably disadvantage the person to whom it relates in the conduct of their lawful business, commercial, financial or professional affairs.
b)
15 The essential criteria for the first type are that the information is both commercial (including financial, scientific and technical information), and confidential (i.e. it has been consistently treated as such by the provider). 16 The sort of information that has been included in this category includes information on proposed projects, tenders, details of an organisation's decisionmaking processes, its cost structures, and its development plans; i.e. typically information linked to how the organisation is managed and run rather than the production orientated information under the trade secret category. 17 The second category identified above is information which, although not intrinsically of commercial value, might disadvantage the person or organisation to which it relates if disclosed. This would seem to be a catch-all type category and could include background information about the organisation that may in some way influence the way the organisation develops or operates in the future.
Intellectual property
18 This tends to be information linked to research/development of new equipment/designs/processes typically in advance of the production/use stage. In considering whether disclosure of this information would harm the competitive position of the operator, it should be borne in mind that disclosure of an invention before an application for a patent has been filed may prevent the owner obtaining a patent. Similarly, premature disclosure of a design may prevent it being registered.
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Agency examples regarding assessment of commercial confidentiality
19 Below are the illustrative examples used by the Agencies in their guidance on assessing commercial confidentiality issues with regard to the Environmental Protection Act registers: a) The cost of a product as detailed in a BAT or BEPO justification. Only claims for confidentiality based on a justification demonstrating that real commercial harm could result from provision of this information to competitors are likely to be accepted; Contractual agreements that forbid disclosure to third parties. For existing contracts this alone is not sufficient to provide confidentiality. The potential for commercial harm that is likely to result from disclosure must be demonstrated. For new contracts the possibility of collusion between contractual partners in an attempt to avoid disclosure must be considered. Again the potential for commercial harm must be demonstrated; Trade secrets, e.g. ingredients for brand name drinks, would require a demonstration of potential commercial harm before consideration could be given to excluding such information from the register; Plant details, e.g. design, capacities, throughput and raw materials used, are very likely frequently to be considered by applicants to be confidential. However, the inspector must assess the case made in support of such assertions and only allow those where an unreasonable degree of harm would result; Concern over public criticism is not considered a valid justification for exclusion on confidentiality grounds.
b)
c)
d)
e)
Personal confidentiality
20 It is anticipated that the amount of personal information that is likely to appear in the information required on the register will be minimal; consequently, confidentiality requests under the personal confidentiality heading are expected to be uncommon. 21 Personal confidentiality relates to individual privacy and while this may extend to information about whether an individual does or does not belong to a particular group, it is separate from consideration of confidentiality (commercial or otherwise) of firms, institutions and organisations. 22 In determining whether the information should be considered personally confidential for the purposes of the schedule 8 register the key question is, would the disclosure of the information on the register constitute or facilitate an unwarranted invasion of privacy? The following tests will help answer this: TEST 1: Does the information in question amount to personal information? (See definitions given below). 66
TEST 2: Would this information normally, or in the particular circumstances of the case, be regarded as "private"? (See definitions given below). 23 It must be decided first if the information is personal and if so it has to be decided if it is also private. If it is both personal and private then the application to exempt it from the register should be agreed. If the answer to either of the two tests is no then the application to exempt it from the register should be refused. In borderline cases advice can be sought via HID HQ 1C. 24 Although there is no requirement for the subject of the information to be consulted before the determination of the application is made, to assist in reaching a decision on these issues it may be appropriate to do this where it is practicable, particularly in borderline cases.
Definitions
25 The concept of "privacy" does not have a statutory definition as such in English or Scots law. There is nonetheless (or perhaps because of this) a substantial literature on the subject. 26 Although it does not attempt a definition, the concept of privacy is enshrined as a right in the European Convention for the Protection of Human Rights and Fundamental Freedoms (ECHR). Article 8 states: a) Everyone has the right to respect for his private and family life, his home and his correspondence; There shall be no interference by a public authority with the exercise of this right except such as is in accordance with the law and is necessary in a democratic society in the interests of national security, public safety or the economic well-being of the country, for the prevention of disorder and crime, for the protection of health or morals, or for the protection of the rights and freedoms of others.
b)
Personal information
27 The list below gives an indication of what counts as personal information. It does not follow that providing such information in the register would necessarily constitute a substantive invasion of privacy. It would normally be accepted that to give someone's age, for example, would not be an invasion of privacy to anything like the same degree as would, for example, providing details of their financial affairs. 28 Personal information, disclosure of which to a third party may be an invasion of privacy includes: a) b) The age, address or marital status of the individual; Information relating to the nationality, ethnic origin or religion of the individual;
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c)
Information relating to the sexual preferences, life-style and activities or personal relationships of the individual; Information relating to the education or employment history of the individual; Information relating to an individual's financial affairs; Information relating to an individual's criminal record; Information relating to the health or medical history of the individual; Personal physical data such as fingerprints, blood type or genetic information; Correspondence from the individual that is implicitly or explicitly of a private or confidential nature, and replies to such correspondence that would reveal the contents of the original correspondence; The personal opinions or views of the individual; and The views or opinions of another individual about the individual.
d)
e) f) g) h)
i)
j) k)
Private information
29 This only applies to information that identifies an individual or can be readily associated with a particular individual. The exemption does not apply to information that is kept in statistical or other anonymous form.
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APPENDIX 4.2 Secretary of State arrangements and contact points

1 Different Secretaries of State have responsibilities for COMAH register issues depending on whether operators are in England and Wales or Scotland. For England and Wales the Secretary of State for Environment, Food and Rural Affairs has responsibility. For Scotland the Secretary of State for Scotland has responsibility.
Inspectors contact point with Secretary of State
Inspectors will need to contact the Secretary of State to: a) forward information to him for determination on issues of national security; notify him that information specified by him has been excluded from the register.
b)
Contact addresses
3 For England and Wales Inspectors should contact the Secretary of State via HSE, HID HQ Adminstrative Section, 2nd Floor, Building 5 South, Redgrave Court, Merton Road, Bootle, Merseyside, L20 7HS. 4 For Scotland Inspectors should contact the Secretary of State via Waste and Pollution Reduction Division, The Scottish Executive, Unit 1J Victoria Quay, Edinburgh, EH6 6QQ. A copy of communications should be sent to HSE, HID HQ Adminstrative Section, 2nd Floor, Building 5 South, Redgrave Court, Merton Road, Bootle, Merseyside, L20 7HS.
Operators contact point with the Secretary of State
Operators will need to contact the Secretary of State to: a) request that information contrary to the interests of national security be excluded from the COMAH public register; appeal against the CA decision refusing an application to exclude information from the COMAH public register on the grounds of commercial/personal confidentiality.
b)
Contact addresses
6 For England and Wales Operators should contact the Secretary of State via HSE, HID HQ Administrative Section, 2nd Floor, Building 5 South, Redgrave Court, Merton Road, Bootle, Merseyside, L20 7HS. 7 For Scotland Operators should contact the Secretary of State via Waste and Pollution Reduction Division, The Scottish Executive, Unit 1J Victoria Quay, Edinburgh, EH6 6QQ. 69
APPENDIX 4.2A Statement to accompany register entries where information has been excluded on confidentiality grounds
The following details and statement should accompany all register entries where information has been excluded on the grounds of commercial and/or personal confidentiality: a) b) c) Details of the operator/address/installation Safety report reference number "In accordance with the requirements of Schedule 8 of The Control of Major Accident Hazards Regulations 1999, as amended, certain information has been excluded from this register on the grounds that it is commercially and/or personally confidential" Signed and dated by AM
d)
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APPENDIX 4.3 Assessment plan

Assessment plan - Part 1
Assessment Plan Part 1 - To be completed as soon as possible by the assessment manager, but no later than 6 weeks after receipt of the report. NB much of the information can be provided prior to receipt of the report, which will aid the assessment planning process.
1. Assessment Brief 1.1 Lead Unit Information

Confirmation of whether there is a lead unit, and if so, details of any coordination of report assessments
1.2 Background Information

This is required to help inform decisions being made on the scope of assessment and the target agenda. It should give an overview of any previous assessment conclusions(including those relating to PCSRs and POSRs) or revision plans, and any relevant site history (including previous inspection activities and relevant incidents) or significant changes (Reg. 8) that may influence assessment
1.3 AMs Proposals for Assessment Scope

Basic information such as whether there will be:
a full assessment, an assessment co-ordinated in some

way by a lead unit, or following an exemplar approach, an assessment targeted at specific changes that have occurred on site since the last assessment an assessment targeted against the requirements of a revision plan from the last assessment a combination of the above, or other measures. Include details of any items still outstanding from the previous assessment.
1.4 Proposals for Assessment Team

This allows the AM to state what disciplines will be required for the proposed assessment.
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1.5 AMs Proposals for Target Agenda

Initial proposals only, based on 1.3, may be subject to review at the planning meeting
2. Target Dates 2.1 Date report expected/received

This acknowledges that part 1 can be completed ahead of receipt to aid the assessment planning process
2.2 Date for assessment commencement

This acknowledges that in some cases, to allow planning of resources, the start of assessment may be delayed
2.3 Date for assessment planning meeting

No later than 8 weeks after commencement of assessment The need for the meeting is dependent on the scope of the assessment and make up of the team (as recorded in 1.3 & 1.5). Mark N/A if there considered no need for a meeting.
3. Endorsement This recognises that the assessment manager may have greatly restricted the scope of the assessment and membership of the team. Therefore there should be endorsement by a line manager. Role Assessment Manager Line Manager to AM Name Signature/Endorsement Date
72
Assessment Plan - Part 2

Assessment Plan Part 2 - To be completed at assessment planning meeting, but no later than 8 weeks after commencement of assessment. NB decisions taken at the part 1 stage may remove the need for the planning meeting, in which case this is completed, or marked n/a, by the assessment manager.
4.1 Outcome of Initial Read
4.1 Is the basic information available to allow the report move to full assessment (Y/N)
If yes move to section 5
If no give reasons and action to be taken
4.1.1 Reasons 4.1.2 Action taken
5 Target Agenda This section should record the agreed target agenda as necessary to implement the general brief described above.
Should any assessor be withdrawing from the assessment, then this should also be recorded here.
Assessment Aspect
Descriptive Predictive MAPP/SMS Technical (Process safety) Technical (Mech Eng) Technical (Elec C&I) Technical (Other) Emergency Response Additional Environmental
SR ref
Issues Targeted & Reasons for Choice
Assessor
73
6. Target Dates 6.1 Any requests for further information to be submitted to AM

This should be within 14 weeks of assessment commencement
6.2 All final assessment records/reports complete and submitted to AM

This should be within 22 weeks of the assessment commencement
6.3 Assessment conclusions meeting

This should be within 24 weeks of the assessment commencement
6.4 Conclusions letter sent out This should be within 26 weeks of the assessment commencement
7. Assessment Planning Meeting Attendance
Assessor
Role
Assessment Manager
Predictive Assessor
Environmental assessor
Technical (Process safety)
Technical (Mech Eng)
Technical (Elec C&I)
Others
74
APPENDIX 4.4 Generic improvement notice for resubmission of COMAH safety reports
Guidance
1 Where a decision is taken to serve an Improvement Notice requiring resubmission of an operators safety report in accordance with the CAs enforcement policy, care needs to be taken when drafting the schedule. 2 There have been problems in the past when schedules to Improvement Notices have included a wide ranging requirement on the operator to submit a safety report/additional information that is sufficient for the purposes specified in Part 1 of Schedule 4 to the COMAH Regulations. 3 Whilst this is a correct interpretation of the legal duty placed on an operator of a COMAH establishment with respect to a safety report, it does not provide the operator with further guidance on the specific safety report improvements that are required. This can make compliance with the notice by the operator very difficult to achieve. It also makes judgements on compliance very difficult for the COMAH CA. More importantly, a subsequent decision by the inspector that the notice is complied with could limit (or possibly remove altogether) any future opportunity by the CA to seek further improvements in the safety report. This is because (by definition) the notice can only be complied with by the operator submitting a safety report which is sufficient for the purposes specified in Part 1 of Schedule 4. 4 The text of a generic Improvement Notice for use when operators are required to resubmit safety reports is provided below. This should be used for all notices requiring resubmission of COMAH safety reports. 5 References in the generic notice to Part 1 of Schedule 4 of COMAH are restricted solely to the notice itself. The schedule is restricted to a list of the issues that need to be addressed by the resubmission. Compliance with the notice can then be achieved by the operator dealing with the specific points listed in the Schedule. 6 The content of the notice has been agreed by HSE Solicitors Office.
Explanatory notes
7 Text in italic font and within square brackets should be modified to suit the specific situation. The notice has been drafted to cover existing establishment reports (Regulation 7(7)), pre-construction reports (Regulation 7(1)) and pre-operation reports (Regulation 7(5)). 8 Note that the standard text has been changed from as an employer wholly in control of the premises to being the operator of an establishment. 9 For Regulation 7(7) and Regulation 7(5) reports, the purposes specified in the whole of Part 1 of Schedule 4 are relevant. For Regulation 7(1) (pre-construction) reports, only the purposes specified in Paragraph 3(a) of Part 1 of Schedule 4 are relevant.
75
Health and Safety at Work etc. Act 1974, sections 21, 23, and 24
Serial number I/
Improvement Notice
To : Name Address Trading as Inspector's full name Inspector's official designation Official address Telephone number
(Sample)
I,
Enter your FULL name
one of Her Majesty's Inspectors of Health and Safety, being an Inspector appointed by an instrument in writing made pursuant to section 19 of the said Act and entitled to issue this Notice of
Health & Safety Executive, [Inspectors address] [Inspectors Telephone Number]
hereby give you notice that I am of the opinion that Location of premises or place of activity at
the above address the operator of an establishment The Control of Major Accident Hazards Regulations 1999 (As Amended); Regulation 7(7) [or 7(1) or 7(5) as appropriate]
you, as
are contravening the following statutory provisions :
The reasons for my said opinion are :
The safety report prepared by you for your COMAH Top Tier Establishment at [location of establishment], which was sent to the Health and Safety Executive on [date of submission], does not contain information sufficient for the purposes specified in [Paragraph (state which paragraphs) of] Part 1 of Schedule 4 to the Regulations.
Date for compliance and I hereby require you to remedy the said contraventions or, as the case may be, the matters occasioning them, by and I direct that the measures specified in the Schedule which forms part of this Notice shall be taken to remedy the said contraventions or matters Signature An Improvement Notice is also being served on Date
of related to the matters contained in this Notice Environment and Safety Information Act 1988
This is a relevant notice for the Environment and Safety Information Act 1988 This page only will form the register entry
Signature
LP1 (06.05)
Date SEE NOTES OVERLEAF or ATTACHED
76
Health and Safety at Work etc. Act 1974, sections 21, 23, and 24
Serial number
Schedule
I/ .
The Improvement Notice, of which this Schedule forms part, must be complied with by: 1. Amending the safety report so that it includes the following information [relating to [(name of installation)]: [list of issues to be addressed by amendment] AND 2. Sending the amended report to the Health and Safety Executive by the date specified in the notice. OR 3. Any other means, agreed in advance with HSE, which meet the requirements of the Notice.
___________________________________________________________________
LP3 (12/02)
APPENDIX 4.5 Team assessment conclusions record

COMAH Assessment Team Conclusions Record 1 Serious deficiency
Reference COMAH regulation 18
Question
Answer (y/n)
Action Agreed (In case of yes)
Is there any evidence of a serious deficiency in the measures for the prevention and mitigation of major accidents?
2. Minimum information provided

Reference: COMAH Schedule 4 part 2
Question
Answer (y/n)
Action Agreed CA action required in case of the answer being no. (Reference may be made to revision plans.)
2.1 Does the report contain the information required by schedule 4 part 2?
3. Demonstrations
Reference: COMAH Schedule 4 part 1 Question Answer (y/n) Action Agreed CA action required in case of the answer being no. (Reference may be made to revision plans.)
3.1 Does the report demonstrate that there is a major accident prevention policy and SMS for implementing it? (ref: Sched 4 part 1 para 1) 3.2 Does the report demonstrate that the major accident hazards have been identified? (ref: Sched 4 part 1 para 2) 3.3 Does the report demonstrate that the necessary measures have been taken to prevent and limit the consequences of major accidents? (ref: Sched 4 part 1 para 2)
3.4 Does the report demonstrate that adequate safety and reliability have been incorporated into (a) design and construction, and (b) operation and maintenance of any installationlinked to major accident hazards within the establishment? (ref: Sched 4 part 1 para 3) 3.4 Does the safety report demonstrate that an on-site emergency plan has been drawn up? (ref: Sched 4 part 1 para 4)
4 Feedback to the operator

This section allows a record to be made of any agreed feedback to the operator. The most likely use for this is to record the contents of a safety report revision plan, to be referred to in the conclusions letter. However, it may also be used for advisory comments to the operator. NB This section does not have to be completed if the minimum information is provided and the demonstrations are made.
Revision plan Item Action for operator
Source
Other comments
Item
Comment
Source
5. Inspection planning
This section allows a record to be made of any issues proposed for inclusion in the inspection plan. NB The final intervention plan may differ from this list as it will be influenced by other factors such as lead unit issues, strategic themes, resources, etc.
Item
Issue
Source
6. Assessment Conclusions Meeting Attendance Assessor Role
Assessment Manager Line Manager to AM Predictive Assessor Environmental assessor Technical (Process safety) Technical (Mech Eng) Technical (Elec C&I) Others
Non attendances
..7..Summary of the use of the disputes resolution procedure
APPENDIX 4.6 Framework letters

1 A "framework" letter is similar to a standard letter, but one in which the prescribed content is listed as bullet points rather than set out in full. Thus, the sender has a list of items that must be covered, but is free to tailor the words used to the particular circumstances. 2 Currently there are framework letters for: 1) Advising operator in advance of safety report due date 2) Acknowledgement to operator on receipt of safety report document; 2A) Confirming to employee reps receipt of safety report document from operator; 3) Confirming to operator that the safety report document contains the key information required; 4) Informing operator of safety report document requiring re-submission because it is missing key information; 5) Requesting further information from operator to support the safety report document; 6) Confirming to local authorities that CA has completed the check for key information; 6A) Local authorities, for use where the local authority is exempt from preparing an off-site emergency plan 7) Giving the operator assessment conclusions; 7A) Confirming receipt of notification of 5-yearly review resulting in no change to the safety report; 8) Informing the operator of the outcome of confidentiality applications, including details of right of appeal; 9) Confirming the outcome of an appeal with the operator; 10) Requesting the operator to prepare a public version of the safety report document; 11) Referring information to the Secretary of State for determination of national security issue;
12) Notifying the Secretary of State that information has been excluded from the register on the grounds of national security as directed.
Framework letter 1 to operator advising of safety report due date
3 4 5
This letter should be sent to the operator one month before his safety report is due. Joint CA letterhead paper should be used. Content: a) b) c) d) identify the operator/address/installation (if multi-installation establishment); due date for safety report; who the assigned AM is and where he/she is located; number of copies of the report required; that one copy will suffice but in such cases CA will charge for making remainder; reminder of the requirement to, at the time the report is submitted i) make applications to the CA for exempting information in the safety report from the COMAH Public Register on the grounds of personal or commercial confidentiality, and ii) inform the CA of any application being made to the Secretary of State (AM to provide contact point see Appendix 2) on the grounds of national security; inform the operator he may wish to discuss with AM the scope of any applications covered in para (e) in advance of submitting them; ask operator to specify when he submits his report whether he wants redundant copies of safety reports to be returned or destroyed by the CA on completion of assessment. (Note need to consider implications for assessment of revisions if all copies are destroyed.)
e)
f)
g)
Framework letter 2 acknowledgement to operator
Joint CA letterhead paper should be used.
7 The CA assigned reference number for the safety report document should be included. Also, any unique identifier marked on the document by the operator should be included. 8 Content: a) identify the operator/address/installation (if multi-installation establishment)/ safety report document by name/type of document (e.g. initial submission, modification, interim revision, 5-year revision, pre-construction, preoperation);
b)
acknowledge date of receipt of safety report document (for purposes of COMAH Regulation 8 five yearly review criteria) and confirm name and location of AM; acknowledge receipt of any accompanying application for information to be excluded from the public register version of the safety report document on the grounds of commercial and/or personal confidentiality; acknowledge receipt of any confirmation from the operator that a request is being made to the Secretary of State for information to be excluded from the public register version of the safety report document on the grounds of national security; if paras (c) or (d) do not apply, confirm that the operator is not making any applications for excluding information from the public register version of the safety report document on the grounds of commercial and/or personal confidentiality, or applying to the Secretary of State for excluding information on the grounds of national security; request more copies from the operator if an insufficient number are received (unless the AM has agreed that the CA will itself make copies from the original); ask operator to inform employee representatives of the name of AM and the contents of this letter.
c)
d)
e)
f)
g)
Framework letter 2A to employee representatives confirming receipt of safety report document from operator
10 The CA assigned reference number for the safety report document should be included. Also, any unique identifier marked on the document by the operator should be included. 11 Content: a) identify the operator/address/installation (if multi-installation establishment)/ safety report document by name/type of document (e.g. initial submission, modification, interim revision, 5-year revision, pre-construction, preoperation); confirm date of receipt of safety report document from operator (for purposes of COMAH Regulation 8 five yearly review criteria) and name of AM; advise of receipt of any accompanying application for information to be excluded from the public register version of the safety report document on the grounds of commercial and/or personal confidentiality; advise of receipt of any confirmation from the operator that a request is being made to the Secretary of State for information to be excluded from the public
b)
c)
d)
register version of the safety report document on the grounds of national security; e) if paras (c) or (d) do not apply, advise that the operator is not making any applications for excluding information from the public register version of the safety report document on the grounds of commercial and/or personal confidentiality, or applying to the Secretary of State for excluding information on the grounds of national security.
Framework letter 3 to operator confirming safety report document contains key information
12 13
Joint CA letterhead paper should be used. Content: a) Identify the operator/address/installation, referring to the unique CA assigned number for the safety report document, and any identifier used by the operator. Confirm that the safety report document has been subjected to the initial stage of assessment and is considered to contain sufficient key information and a suitable risk analysis such that the assessment process can proceed. Confirm that this does not mean that the safety report document has met the requirements of Schedule 4. The full assessment process will examine the document in more detail to determine this, and further information may be requested during this stage. Confirm that the safety report document will now be placed on the public register (subject to any outstanding determinations on the grounds of personal or commercial confidentiality and national security directions).
b)
c)
d)
14 If not already done so, provide required information to CEPO to prepare off-site plan (Reg 10(3)) and write to Emergency Planner to advise safety report document contains minimum information (framework letter 6).
Framework letter 4 to operator requesting re-submission of safety report document
15
16 The CA assigned reference number for the safety report document should be included. Also, any unique identifier marked on the document by the operator should be included. 17 Content: a) identify the operator/address/installation (if multi-installation establishment)/safety report document by name/type of document;
b)
give details of missing key information or shortcomings in the risk analysis and ask operator to check for any further omissions as well as addressing the ones uncovered; statement that document as submitted is not considered by the CA to be an adequate safety report document and that a re-submission is required; advise that the re-submission will be considered by the CA as a new safety report document (for assessment and for public register purposes) and the assessment process will start again on receipt of the re-submission; give deadline for re-submission.
c)
d)
e)
18 Where an Improvement Notice is being served, requiring resubmission, this should be enclosed with the letter.
Framework letter 5 to operator requesting further information in support of safety report
19
20 The CA assigned reference number for the safety report document should be included. Also, any unique identifier marked on the document by the operator should be included. 21 Content: a) identify the operator/address/installation (if multi-installation establishment)/safety report document by name/type of document; give details of further information required, making clear this letter is not a "conclusions" letter under Regulation 17(1)(a); specify the basis for asking for further information, that is, how it relates to satisfying the purposes of Schedule 4 Part 1 or the minimum information requirements of Schedule 4 Part 2; specify when this information is required by (normally within 4 weeks); inform operator that if this time limit is exceeded the assessment will be concluded without the information, which may mean that we have to conclude that the demonstrations have not been made; statement that any information provided will be appended to the initial safety report document. Information that is required because the document is incomplete (Schedule 4 Part 2) and/or is required to support the demonstrations required, will form part of the safety report and be placed on the public register; advise re requirement to make applications for exempting information in the safety report document from the COMAH Public Register on the grounds of personal, or commercial confidentiality grounds (or informing the CA that an
b)
c) d)
e)
f)
application has been made to the Secretary of State (AM to provide contact point - see Appendix 4.2) on the grounds of national security) at the time the further information is provided. 22 Paras (b) (c) and (d) above need not be included or may be summarised if supported by an Improvement Notice.
Framework letter 6 to chief executive of local authority and emergency planning department
23
24 The CA assigned reference number for the safety report document should be included. Also, any unique identifier marked on the document by the operator should be included. [AM should note that 'Local Authority' in the context of this letter refers to the relevant body included in the definition of 'Local Authority' contained in COMAH Regulation 2(1), or its current equivalent holding responsibility for producing the off-site emergency plan.] 25 Content: a) remind the local authority that they have a duty under COMAH Regulation 10(1) to prepare an off-site emergency plan for COMAH establishments; remind that consultation is required under Regulation 10(6). For the COMAH CA, the contact is initially through HSE. A copy of the completed off-site plan should subsequently be sent to the HSE, on behalf of the CA; identify the operator/address/installation (if multi-installation establishment)/safety report by name/type of report; confirm whether it is the initial establishment report or whether it refers to modified or updated information; advise that the safety report document has been read, although not yet fully assessed, by the competent authority and that it: confirms that an on-site emergency plan has been prepared; contains the key information required in a safety report; and that this should enable the local authority to prepare a suitable off-site emergency plan.
b)
c)
d)
e)
f) g) h)
Framework letter 6A to chief executive of local authority and emergency planning department, for use where the local authority is exempt from preparing an off-site emergency plan
26
27 The CA assigned reference number for the safety report document should be included. Also, any unique identifier marked on the document by the operator should be included. 28 Content: a) identify the operator/address/installation (if multi-installation establishment)/safety report by name/type of report; confirm whether it is the initial establishment report or whether it refers to modified or updated information; advise that the safety report document has been assessed by the competent authority, and that: with reference to the duty of the local authority to produce an off-site emergency plan for COMAH establishments in accordance with Regulation 10(1), the local authority is exempt from preparing an off-site emergency plan for this establishment under the provisions of Regulation 10(7) until further notice; include a statement giving the reason for the exemption in accordance with COMAH regulation 10(7). Normally this will be on the basis of major accident consequences not extending beyond the establishment boundary, or other basis agreed by the assessment team consistent with Regulation 10(7).
b)
c)
d)
e)
Framework letter 7 to operator giving assessment conclusions
29
30 The CA assigned reference number for the safety report document should be included. Also, any unique identifier marked on the document by the operator should be included. 31 Content: a) identify the operator/address/installation (if multi-installation establishment)/safety report document by name/type of document; a statement advising the operator that he is responsible for ensuring that all necessary measures have been taken on site to prevent major accidents and their consequences to people and the environment; statement informing the operator that the report was examined to check whether it had the minimum information required by Schedule 4 Part 2 and was assessed against the purposes in Schedule 4 Part 1 of COMAH; using the assessment criteria found in the Safety Report Assessment Manual, which can be found on the HSE web site.
b)
c)
d)
statement that the letter contains the conclusions of the CA under COMAH Regulation 17(1)(a) and is agreed by both parts of the competent authority; confirmation about what actions were taken during the assessment process, e.g.:
e)
whether serious deficiencies were indicated in the text during assessment and the action taken, e.g. site visit, Prohibition Notice; sources of further information used, e.g. IPC authorisations, letters with dates from the operator.
f)
the conclusions from the assessment process should be specified. They should include confirmation:
whether the safety report document contains the minimum information specified in Schedule 4 Part 2; whether the document has achieved the required purposes in Schedule 4 Part 1. Where the purposes are not achieved then explain why not and confirm what has been agreed (at an earlier discussion) by way of improvements to the safety report document (revision plan) and/or measures on site (see (iii) re intervention plan); that information in the safety report document will be used to help the CA determine its priorities for inspection. Provide information on which issues arising from the assessment will be subject to site inspection before the end of the current planning year. Also identify issues in the safety report document, which it is proposed to look at as part of the intervention plan beyond the current work year, but do not provide a detailed plan for undertaking this work. [N.B. Intention is to inspect matters of first priority during the current planning year and not wait until the next planning event].
g)
request for operator to specify whether redundant copies of safety report documents should be returned or destroyed, bearing in mind that multiple copies may be required in the future, as and when revisions are submitted for assessment; a statement advising the operator that:
h)
under Schedule 8 of COMAH this letter communicating the conclusions of the CA assessment of the safety report document will be made available to the public via the COMAH public register; if the letter contains any information they believe should be excluded from the register, on the grounds of commercial or personal confidentiality, they should apply to the Assessment Manager, within 28 days of receipt of this letter, for its exclusion to be considered;
if the letter contains any information they believe should be excluded from the register, on the grounds of national security, they should apply to the Secretary of State (AM to provide contact point - see Appendix 4.2) for its exclusion to be considered and notify the assessment manager that they have made such an application within 28 days - the AM should also request a copy of the application; if there are no issues of confidentiality or national security they should confirm this in writing to the Assessment Manager.
i)
a statement indicating the expected date for notification to the CA of the completion of the next 5-yearly review in accordance with the requirements of COMAH Regulation 8. This date is calculated from the date that the current report was submitted to (i.e. received by) the CA.
Framework letter 7A Acknowledgement to operator who has informed CA in writing that 5year review has been carried out and that safety report has not been revised as a result (COMAH reg. 8(2))
32 This letter should be sent when the operator has notified the CA of having completed a 5 yearly review in accordance with the requirements of COMAH Regulation 8(2) and has determined that no revision to the safety report is required. 33 Joint CA letterhead paper should be used.
34 The CA assigned reference number for the safety report and/or revisions to it should be included. Also, any unique identifier marked on the report/revisions by the operator should be included. 35 Content: a) b) Identify the operator / address / installation (if multi-installation establishment). Acknowledge receipt of written confirmation that 5-year review completed/ safety report not revised. Inform operator of date by which next 5-year review is due. Remind operator of requirement for interim review under COMAH reg.8 and refer to guidance for operators on review and revision of safety reports on HSE web site.
c) d)
Framework letter 8 to operator regarding outcome of confidentiality application
36 This letter should be sent when commercial and/or personal confidentiality applications have been determined. 37 Joint CA letterhead paper should be used.
38 The CA assigned reference number for the safety report document should be included. Also, any unique identifier marked on the document by the operator should be included. 39 Content: a) b) identify the operator/address/installation; statement that their application for information to be excluded from the COMAH Schedule 8 register, on the grounds of commercial/personal confidentiality, has been considered by the CA; give details of the determination of the application, where several issues have been determined, the outcome for each should be given; in cases where applications are being refused, in part or in their entirety, the reasons for refusal should be specified and the operator advised of the right of appeal, regarding the CA decision, to the Secretary of State; advise that appeals should be made within 21 days of receipt of this letter and the CA notified if an appeal is being made. Provide the Secretary of State contact point as given in Appendix 4.2; advise that no information will go on to the register until either the 21 day appeal period has expired or 7 days after the completion of appeal proceedings.
c)
d)
e)
f)
Framework letter 9 confirming the outcome of an appeal with the operator
40 This letter should be sent when we have been advised of the outcome of an appeal against the CA's determination of a commercial/personal confidentiality application. 41 Joint CA letterhead paper should be used.
42 The CA assigned reference number for the safety report document should be included. Also, any unique identifier marked on the document by the operator should be included. 43 Content: a) b) c) d) identify the operator/address/installation; quote any appeals reference numbers; confirm the outcome of the appeal; in cases where the appeal was upheld advise that the information in question will not be placed on the register;
e)
in cases where the appeal was refused advise that the information in question will be placed on the register.
Framework letter 10 requiring the operator to prepare the public version of the safety report document
44 This letter should be sent when all national security and commercially/personally confidential information to be excluded from the register version of the safety report document has been identified. 45 Joint CA letterhead paper should be used.
46 The CA assigned reference number for the safety report document should be included. Also, any unique identifier marked on the document by the operator should be included. 47 Content: a) b) identify the operator/address/installation; statement that all issues regarding information to be excluded from the public register version of the safety report document, on the grounds of national security and commercial/personal confidentiality, have now been determined and the operator is now required to prepare a version of the document for the register; list all the information that has to be excluded from the register version and request that the operator makes the document as readable as possible where information has been removed; require the operator to provide the public register version (1 copy) to the AM within 3 months (or such longer period as the CA may allow), in accordance with COMAH Schedule 8, paragraph 13A.
c)
d)
Framework letter 11 referring information to the Secretary of State for determination of national security issues
48 This letter should be sent when the Secretary of State has specified that certain information should be referred to him for determination regarding issues of national security. 49 50 Joint CA letterhead paper should be used. Content: a) b) identify the operator/address/installation; identify the AM for the operator and contact point for the Secretary of State's response;
c)
statement that in line with the Secretary of State's direction, made under Schedule 8 paragraph 7b of the COMAH regulations, the attached information is being referred to him for determination of whether the information should form part of the public register required by Schedule 8 of COMAH; attach the information required by the Secretary of State's direction.
d) 51
For Secretary of State contact points see Appendix 4.2.
Framework letter 12 notifying the Secretary of State of information excluded from the register as directed
52 This letter should be sent when the information specified by Secretary of State, regarding issues of national security, have been excluded from the register. 53 54 Joint CA letterhead paper should be used. Content: a) b) identify the operator/address/installation; statement confirming that in line with the Secretary of State's directions, made under Schedule 8 paragraph 7 of the COMAH regulations, the information listed below has been excluded from the public register required by Schedule 8 of COMAH; provide a list of the information excluded.
c) 55
For Secretary of State contact points see Appendix 4.2.
Appendix 4.7 Timescales for assessment of pre-construction safety reports (PCSRs)

1. AM and local Agency inspector carry out initial read and complete assessment plan part 1 2. Predictive Assessor carries out initial read (if required) 3. Technical Assessors (as appropriate) read report 4. Assessment planning meeting and/or AM completes assessment plan part 2 5. AM confirms key information 6. B2 approves final assessment plan 7. B1 approves any plan referred by B2 8. AM distributes final assessment plan 9. Assessment (approx. 6 week period assumed) 10. Assessment outcome meeting 11. AM sends conclusions letter WEEK
10
11
12
Earliest task can be completed Possible period in which task can be completed KEY MILESTONES WHICH SHOULD NOT BE EXCEEDED (Latest task can be completed)
Timescales for assessment of safety reports/revisions

1. AM and local Agency inspector carry out initial read and complete assessment plan part 1 2. Predictive Assessor carries out initial read (if required) 3. Technical Assessors (as appropriate) read report 4. Assessment planning meeting and/or AM completes assessment plan part 2 5. AM confirms key information 6. B2 approves final assessment plan 7. B1 approves any plan referred by B2 8. AM distributes final assessment plan 9. Assessment (approx. 6 week period assumed) 10. Assessment outcome meeting 11. AM sends conclusions letter WEEK
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
Earliest task can be completed Possible period in which task can be completed Latest date by which requests for further information should be forwarded to AM Latest date for receipt of further information from operator KEY MILESTONES WHICH SHOULD NOT BE EXCEEDED (Latest task can be completed) * #
Appendix 4.8 List of Word Templates

The following templates are available under the HIDSRAM tab when opening a new Word document: 1 Assessment Plan 2 Assessment Record, Initial Read for Key Information 3 Early Predictive Assessment Record 4 Assessment Record, Descriptive Aspects 5 Assessment Record, MAPP & SMS Aspects 6 Assessment Record, Emergency Response Aspects 7 Assessment Record, Predictive Aspects 8 Assessment Record, Technical Aspects 9 Assessment Record, Team Conclusions 10 Assessment Record, Environment Aspects 11 Assessment Record, Environment Other Links
5. APPLICATIONS FOR LIMITING INFORMATION IN SAFETY REPORTS

INTRODUCTION TO PROCEDURES FOR HANDLING APPLICATIONS FOR DISPENSATION ELEMENT 1 PRE-PLANNING ELEMENT 2 APPLICATION FOR DISPENSATION RECEIVED ELEMENT 3 ASSESSMENT PLAN FOR APPLICATION FOR DISPENSATION ELEMENT 4 FINAL ASSESSMENT PLAN ELEMENT 5 WORK THE PLAN ELEMENT 6 ASSESSMENT OUTCOME ELEMENT 7 DISPENSATION ASSESSMENT FOLLOW UP APPENDIX 5.1: ASSESSMENT RECORDING FORM APPENDIX 5.2 FRAMEWORK LETTERS APPENDIX 5.3: TIMESCALES FOR PROCESSING APPLICATIONS FOR DISPENSATION 96 97 98 99 101 102 102 103 105 107 110
Introduction to procedures for handling applications for dispensation

1 Under Regulation 7(12) of the COMAH Regulations, where an operator considers he can demonstrate that particular dangerous substances present at his establishment are in a state incapable of creating a major accident hazard, he may submit a dispensation application to the Competent Authority (CA) requesting that information required in the safety report for the establishment be limited to those matters relevant to prevention and mitigation of residual major accident hazards to people and the environment. 2 The European Commission has established criteria for deciding whether dispensation for limiting information contained in a safety report may be granted. The Commission has also published an explanation and guidelines for the application of the dispensation rule. Contained within the guidelines is a list of the information that should be included in an application for dispensation. The text of the criteria and guidelines is reproduced in Appendix 1 of the guidance booklet L111, A guide to the Control of Major Accident Hazards Regulations 1999 (as amended). 3 As with the main assessment process the procedures are set out in tables, describing the key steps for planning and completion of assessment of applications for dispensation. The overall process is again divided into elements, each of which is broken down into a number of procedures that identify the main steps, action required and the person responsible for taking the action.
Element 1 Pre-planning
Purpose To plan work to be done on assessment of applications for dispensation under COMAH Regulation 7(12). Complete the tasks under Element 1 of the procedures for assessing safety reports, modifying as set out below. Procedure 1.1 Amend 5 Year Plan
Step 1
Responsibility/Action Line manager for each group of regulatory inspectors Where there is advance knowledge of an application for a dispensation incorporate the details into the 5 year plan. Amend the 5 year plan when made aware of an intention to apply for a dispensation.
1 Operators should submit applications for dispensation a reasonable time before a safety report is due. This is to allow sufficient time for a complete safety report to be produced if the CA does not grant a dispensation, and so that reference can be made to the dispensation in the limited safety report if it is granted. 2. Applications for dispensation should be assessed and the CAs conclusion on the application determined within three months of receipt.
Procedure 1.2 Amend Group Annual Safety Report Assessment Plan
Step 1
Responsibility/Action Line manager for each group of regulatory inspectors Where there is advance knowledge of an application for a dispensation incorporate the details into the annual plan. Amend the group annual plan when made aware of an intention to apply for a dispensation following consultation with discipline specialist line managers and Agency Team Leader.
Line manager for each group of regulatory inspectors Inform Head of Field Unit so that the Unit Plan can be amended
Discipline specialist line managers, for each discipline, PIR/RSR Team Leader and Head of Field Unit Amend Unit and Team plans as appropriate.
1 The assessment manager for the safety report will normally act as assessment manager for the dispensation application. 2 For multi-establishment operators consultation will be necessary with Lead Unit/Coordinating Inspectors to ensure consistency if it appears that applications are to be made for a number of establishments.
Element 2 Application for dispensation received

Purpose
To describe the actions to be taken following receipt of an application for dispensation. Complete the appropriate tasks under Element 2 of the procedures for assessing safety report documents, modifying as set out below.
Procedure 2.1 Processing Arrangements for Dispensation Applications
Step 1
Responsibility/Action AM and Agency Inspector Examine the dispensation application when received to determine the extent of predictive and/or technical assessment necessary and therefore the number of copies required.
1 The operator may voluntarily submit a limited safety report together with the application for dispensation. Local arrangements should ensure that the two can be linked via unique but related identifiers. 2. Assessment of any voluntarily submitted limited safety report should not begin before the application for dispensation has been determined.
Procedure 2.2 Provision of Information to the Public and Others on Dispensation Applications
Step 1
Responsibility/Action Line manager for each group of regulatory inspectors Applications for dispensations are not required to be placed on the public register. Requests for information should be dealt with as requests subject to the Environmental Information Regulations 2004.
Procedure 2.3 Failure to Submit Timely Application for Dispensation
Step 1
Responsibility/Action AM Applications for dispensation should be assessed within 12 weeks of receipt. Sufficient time is required after the application is assessed for the operator to produce either a limited or a full report depending on the outcome of the assessment. If the operator submits an application for dispensation giving insufficient time to complete its assessment he should be asked to submit a complete report by the due date.
The CA may as a result of its assessment grant a dispensation following which the operator may replace his complete safety report with a limited one in line with any conditions communicated by the CA in its conclusions of assessment of the application for dispensation.
Element 3 Assessment plan for application for dispensation

Purpose
To determine whether the application for dispensation appears to contain sufficient information of the expected quality to make the assessment process viable. To complete Part 1 of the assessment plan and discuss it within the team. Complete the appropriate tasks under Element 3 of the procedures for assessing safety report documents, modifying as set out below.
Procedure 3.1 Judgement on Whether the Application for Dispensation Contains the Necessary Key Information
Step 1
Responsibility/Action AM and Agency Inspector Determine whether the operator has provided appropriate information against the main headings for the contents of an application for dispensation as listed in guidance1,2. By end of week 2
1 See Appendix 1 of A Guide to the Control of Major Accident Hazards Regulations 1999 (as amended), L111. 2 In cases where the application for dispensation does not contain key information, communication to the operator should be modelled on the appropriate standard framework letter given in Appendix 5.2
Procedure 3.2 First Draft of Assessment Plan
Step 1
Responsibility/Action AM Decide in consultation with appropriate assessors the extent of predictive, technical and environmental input needed1
The scope of the required assessment should be apparent from the application for dispensation. As a matter of policy, the whole application for dispensation should be assessed against the cited criterion/a as sampling is not appropriate. By end of week 2
1 Depending on the criteria cited only a limited number of assessors may be involved in the assessment process, in which case the arrangements can be simplified by close communication between the AM and other assessor(s). 2 The draft plan should detail assessment responsibilities. Assessment will be concerned with risk assessment and technical matters backed up by local background knowledge provided by the AM.
Procedure 3.3 Draft Assessment Plan Feedback from Team
Step 1
Responsibility/Action Assessment Team. Provide feedback to the AM on the draft assessment plan. By the end of week 4
Assessment Team, including AM Agree the content of the assessment plan1. By the end of week 5
1 It should not normally be necessary to hold an assessment planning meeting as the whole of the application for dispensation should be assessed against the cited criterion/a.
Element 4 Final assessment plan

Purpose
To convert the draft assessment plan into a final plan that confirms the assessment team, finalises the resources likely to be expended and lays down milestones and timing for particular stages. Complete the appropriate tasks under Element 4 of the procedures for assessing safety report documents, modifying as set out below.
Procedure 4.1 Prepare, Approve and Distribute Final assessment Plan
Step 1
Responsibility/Action AM Convert draft assessment plan into final assessment plan. By the end of week 5
Line manager of AM Approve the final assessment plan. By the end of week 5
Head of Field Unit Approve any final assessment plan referred by the AMs line manager and return to the AM via the line manager after resolving outstanding issues. By the end of week 5
AM Distribute final assessment plan. By the end of week 6
AM In consultation with line manager, decide whether an assessment outcome meeting1,2 is likely to be needed and where it is considered that one may be necessary agree the date, venue and agenda. Notify other team members of the details. By the end of week 6
1 In many cases it may be possible for team members to agree their conclusions by correspondence.
2. 10.
Assessment outcome meetings should be held no later than the end of week
Element 5 Work the plan

Purpose
To instruct staff on how to organise, communicate, operate and record in line with the approved final assessment plan. Complete the appropriate tasks under Element 5 of the procedures for assessing safety report documents, modifying as set out below.
Procedure 5.1 Work the Plan
Step 1
Responsibility/Action Assessment Team Assess information in the application for dispensation against the criteria using their professional judgement1,2,3
1 Where a limited safety report has been submitted with application for dispensation it may be used, where appropriate, as a source of information for assessors in arriving at conclusions. 2 If the assessment team considers that additional information is required before the application can be determined the standard procedures should be followed. In such cases it is unlikely that the application can then be determined within 12 weeks of receipt. 3 Assessors should record: a) Which parts of the application for dispensation they assessed; b) Conclusions against the criteria listed in Appendix5.1 making it clear whether a criterion has been fulfilled such that a dispensation may be granted; c) Any conditions attached to dispensations continuing validity (if any of the criteria in Appendix 5.1 have been fulfilled); d) The information which is not required in the safety report when a dispensation is granted
Element 6 Assessment outcome

Purpose
To give instructions to staff on assessment outcome meetings and define meeting purposes, membership, decisions, records, outputs, authority, and disputes resolution Complete the appropriate tasks under Element 6 of the procedures for assessing safety report documents, modifying as set out below.
Procedure 6.1 Assessment Outcome Meeting1
Step 1
Responsibility/Action Assessment Team The conclusions will be based on whether the application for dispensation together with any further information gathered during the assessment process fulfils at least one of the criteria in Appendix 5.1. By the end of week 10
AM Send draft conclusions of the assessment of the application for dispensation to the operator prior to finalising them in writing. By the end of week 11
AM For multi-establishment operators send a copy of the draft conclusions letter to the Lead Unit/Coordinating Inspector. By the end of week 11
AM Send final conclusions letter to the operator. By the end of week 12
1 It may not always be necessary to hold an assessment outcome meeting. Where there is consensus or the number of assessors involved is limited communication by correspondence and telephone should suffice.
Element 7 Dispensation assessment follow up

Purpose
To give instructions to staff on how to follow up assessment

Procedure 7.1 Assessment Follow Up
Step 1
Responsibility/Action Line manager of AM Applications for dispensations are not required to be placed on the public register. Requests for information should be dealt with as requests subject to the Environmental Information Regulations 2004.
AM Send a copy of the conclusions letter to HID HQ 1C who will be responsible for notifying DTLR and Agency policy sections. HID HQ will arrange for the European Commission to be notified of any dispensations granted on behalf of the.
AM Record details of dispensations granted on a central database. Over time this will allow a consistent approach to be taken regarding similar requests for dispensation.
AM If a limited safety report was sent with the application for dispensation begin its assessment1. If the information in a limited safety report is incompatible with the relevant dispensation(s) the report should be considered to not contain key information and be returned to the operator for re-submission by an agreed deadline.
1 If a limited safety report was not sent with the application the report eventually received should be checked against the dispensation granted to ensure that only information permitted by the dispensation is excluded.
APPENDIX 5.1: ASSESSMENT RECORDING FORM

CRITERIA (AT LEAST ONE CRITERION MUST BE FULFILLED FOR A DISPENSATION TO BE GRANTED)
Physical Form of Substance
COMMENTS
Criterion 1: Substances in solid form, such that, under both normal conditions and any abnormal conditions which can reasonably be foreseen, a release of matter or energy which could create a major accident hazard is not possible.
Containment and Quantities
Criterion 2: Substances packaged or contained in such a fashion and in such quantities that the maximum release possible under any circumstances cannot create a major accident hazard.
Location and Quantities
Criterion 3: Substances present in such quantities and such distances from other dangerous substances (at the establishment or elsewhere) that they can neither create a major accident by themselves nor initiate a major accident involving other dangerous substances.
Classification
Criterion 4: Substances which are defined as dangerous substances by virtue of their generic classification in Schedule 1 Part 3, but which cannot create a major accident hazard, and for which therefore the generic classification is inappropriate for this purpose. * Recommend Approval of Request for Limiting Information in Safety Report/Recommend Reject Request for Limiting Information in Safety Report against the following criteria (* delete as appropriate)
Criteria referred to in Application (* delete as appropriate):

1 Physical Form of Substance 2 Containment and Quantities 3 Location and Quantities 4 Classification IF A DISPENSATION MAY BE GRANTED Substance(s) to which dispensation applies: Part(s) of establishment concerned:
Criteria Fulfilled (Yes/No)
Any conditions attached to a dispensation's continuing validity: Information not required in the safety report: Further Comments: TYPE OF SAFETY REPORT REQUIRED: *FULL/ LIMITED (*delete as appropriate) ASSESSOR: SIGNED:
APPENDIX 5.2 Framework letters

1 A "framework" letter is similar to a standard letter, but one in which the prescribed content is listed as bullet points rather than set out in full. Thus, the sender has a list of items that must be covered, but is free to tailor the words used to the particular circumstances. 2 Currently there are framework letters for: (a) Giving conclusions of assessment where the CA decides to grant a dispensation; Giving conclusions of assessment where the CA decides NOT to grant a dispensation; Informing the operator that the application for dispensation does not contain key information; and, Requesting information in support of an application for dispensation.
(b)
(c)
(d)
3 All correspondence with operators should be sent on CA letterhead paper, it should include the CA assigned reference number and any unique identifier marked on the document by the operator.
Framework letter 1 Assessment conclusions where the CA decides to grant a dispensation
Content: (a) identify the operator/address/installation (if multi-installation establishment); confirm that the application has been assessed against the European Commission criterion/a indicating which criterion/a is/are relevant; state that the dispensation has been granted, identifying the relevant dangerous substance(s), part(s) of the establishment and criterion/a; list any conditions attached to the dispensation; identify the information that need not be included in the safety report; and, confirm the date for the submission of the amended safety report.
(b)
(c)
(d) (e)
(f)
Framework letter 2 Assessment conclusions where the CA decides NOT to grant a dispensation
Content (a) identify the operator/address/installation (if multi-installation establishment); confirm that the application has been assessed against the European Commission criterion/a indicating which criterion/a is/are relevant; state that the dispensation has NOT been granted indicating that the operator has not provided an adequate demonstration that any of the European Commission criteria have been fulfilled, providing reasons for the decision; and, confirm the date by which a safety report containing all the information required by the relevant part of Regulation 7 should be submitted.
(b)
(c)
(d)
Framework letter 3 Informing the operator that the application for dispensation does not contain key information
Content (a) state that in the assessors opinion the application does not contain the required key information to allow assessment to proceed, identifying the shortcomings; require the operator to review and resubmit their application taking the assessors comments into account; and, confirm the date by which a safety report containing all the information required by the relevant part of Regulation 7 should be submitted if the request for dispensation cannot be agreed.
(b)
(c)
Framework letter 4 Requesting information in support of an application for dispensation
Content (a) identify which additional information is required before the application for dispensation can be assessed; give reasons for the request stating how it relates to the criteria for assessment; state that additional information received will be appended to and form part of the application;
(b)
(c)
(d)
confirm the date by which the information is required indicating that if the deadline is not met assessment of the application may stop with a consequent delay in the CA being able to come to its conclusions; and, confirm the date by which a safety report either containing all the information required by the relevant part of Regulation 7, or omitting information specified by a granted dispensation, should be submitted.
(e)
APPENDIX 5.3: TIMESCALES FOR PROCESSING APPLICATIONS FOR DISPENSATION

ELEMENT 3: DRAFT ASSESSMENT PLAN 1.AM judges whether Report does not contain key information 2.AM first draft of assessment plan 3.Draft AP - feedback from team ELEMENT 4: FINAL ASSESSMENT PLAN 4.AM converts draft AP into final AP 5.B2 approves final AP 6.B1 approves any plan referred by B2 7.AM distributes final AP ELEMENT 5: IMPLEMENT ASSESSMENT PLAN 8.Assessment (approx. 3 week period assumed) ELEMENT 6: ASSESSMENT OUTCOME MEETING 9.Assessment outcome meeting 10. Draft conclusions letter sent out 11.Conclusions letter sent out WEEK Earliest task can be completed Possible period in which task can be completed KEY MILESTONES WHICH SHOULD NOT BE EXCEEDED (Latest task can be completed) 1 2 3 4 5 6 7 8 9 10 11 12
6 Designating domino groups

INTRODUCTION CA DUTIES: REGS 16(1) & 16(2) OPERATOR DUTIES: REGS 16(3)(A) & 16(3)(B) PROVISION OF INFORMATION TO OTHER ESTABLISHMENTS IN THE DOMINO GROUP ACTION TO BE TAKEN BY OPERATORS ON RECEIPT OF THE NEW INFORMATION PROCEDURE FOR DESIGNATING DOMINO GROUPS APPENDIX 6.1 - FRAMEWORK LETTERS 111 111 112 112 112 113
Introduction
1 In some circumstances a major accident at one COMAH establishment might be triggered by an incident at another COMAH establishment (the so-called domino effect). The initiating event need not necessarily be a major accident itself but must be at a COMAH establishment, either top-tier or lower-tier, and involve a defined dangerous substance. 2 COMAH Regulation 16(1) requires the competent authority (CA) to designate groups of establishments with the potential to affect each other in this way. Domino groups will be designated by HSE on behalf of the CA. A contour, known as the Consultation Distance (CD), will be assigned to each COMAH site for land use planning purposes and this contour, where it overlaps with the boundary of other COMAH sites, will be used as the basis to group COMAH sites. 3 Once designated, the CA must notify the operator of each establishment within the group of the names and addresses of other establishments within the same group (using framework letter 1, Appendix 6.1). Once notified, operators must determine and then take account of the increase in overall hazard by taking certain action (see below), which is explained in the framework letter. 4 The CA accepts the limitations of using CDs for designating domino sites, not least the fact that these distances have been developed for risks to people. It is fully recognised that in many cases the escalation potential and increasing severity of consequences of major accidents between neighbouring sites will mainly focus on the vulnerability of plant and equipment (including safety critical control systems) to the effects from fire and explosions, including missile hazards from fragmentation of plant and equipment. However, the main purpose of regulation 16 is to ensure that operators fully consider the implications of all such events affecting them and their neighbours as part of their MAPP and safety report assessments. Those assessments will provide operators with the opportunity for a deeper analysis of the significance of their activities, either as a source or target to and from the effects of accidents. This should also include consideration of other issues, such as the effects of toxic hazards on operators who carry out safety critical functions and environmental effects.
CA duties: regs 16(1) & 16(2)

5 The competent authority shall: a. Use the information received from operators in notifications under Regulation 6 and in safety reports, to designate groups of establishments; Notify each operator of an establishment in a group designated pursuant to Regulation 16(1) of the names and addresses of other establishments within the same group.
b.
Operator duties: regs 16(3)(a) & 16(3)(b)

6 Operators who have first been notified by the CA that their site is part of a group of designated sites are required to exchange information with others in that group to: a. allow proper account to be taken of the nature and extent of the overall hazard in their MAPP, safety report and on-site emergency plans; and to co-operate with other establishments, in connection with off-site emergency plans and provision of information to the public, to enable them to carry out any obligations they have under Regulations 10(3), 10(5), and 14(1).
b.
Provision of information to other establishments in the domino group

7 Whilst the type of information and means by which it is exchanged is not specified, it should be in writing. It should include details of the types of activities and the means by which they could trigger major events at other establishments. Details of substances and their properties should also be included. Sending a copy of an operator's safety report is not a requirement. 8 Where there are doubts about the quality of information supplied, these should be dealt with by the CA if it is clearly deficient. In marginal cases further action could be delayed, in the light of other priorities, to be picked up as part of the planned inspection programme or, if it has not yet been received, when the safety report is due.
Action to be taken by operators on receipt of the new information

9 When operators of COMAH sites receive information about the possible consequences of a major accident from a neighbouring site, they should review whether they have taken all the measures necessary to limit the consequences of such accidents for their site and in particular whether there is likely to be an escalation as a result of consequent incidents on their own site. This duty also relates to substances that are not defined as dangerous by COMAH. 10 For top tier sites with an existing COMAH safety report such a review is required by Reg 8(1)(b) and where it is necessary to revise the report operators should send the details of the revision to the CA for assessment. The length of time to complete the review of the safety report will depend on the amount of information to be dealt with. However, where revision of the safety report is found to be necessary this should be done forthwith. 11 Operators will also need to take account of this new information in their on-site emergency plans, provide the information to the local authorities, relevant to their off-site emergency plans (Regs 10(3), 10(5)) and to the public (Reg 14(1)) and pass on information about the increased consequences to other members of the domino group where it affects them (Reg 16(3)(a)). It is anticipated that the new information will be incorporated within on/off site emergency plans by, for example, including drawings showing the domino circles, where risks have been identified, to ensure appropriate actions are put in place to mitigate their effects. 12 For lower tier sites, the results of the review concerning any change in the nature and extent of the overall hazard of a major accident and the measures necessary to prevent or limit the consequences of a major accident should be incorporated into the MAPP document.
13 It is anticipated that most reviews as a result of information from within a domino grouping will not lead to amendments of MAPPs and safety reports. However operators should be advised to keep a written record of any notification sent or received, for inspection by the CA, and of their review.
Action by agencies re water borne domino effects
14 Potential domino effects concerned with releases to water (ground or surface) from an establishment have been considered. An example might be contaminated water entering an abstraction system at another COMAH site that could cause a major accident. These are difficult to identify or quantify generically. The main focus by the Agencies initially will therefore be on prevention, by particular care being taken during the course of MAPP and safety report assessment and site inspection to ensure that there is a minimal risk of a major accident resulting from the ingress of any dangerous substances via the abstraction intakes. The CA will monitor and review the basis upon which sites are designated, in the light of future experience and knowledge gained from the information provided by operators. As a result of information from the assessment and inspection, further individual sites might be linked as a domino group subsequently.
Procedure for designating domino groups

Procedure for designating domino groups Step Responsibility/Action 1 HID CI5 2 Provide local inspection teams with details of CDs allocated to COMAH establishments.
HID SI2 and SI3 Advise local inspection teams in CI1, 2 & 3 of the name and grid reference of those licensed explosive sites and gas installations that are also COMAH establishments, to enable them to determine domino groupings.
Regulatory inspector (HID CI1-3) Mark up the CD boundaries on local maps1. Where a CD has yet to be assigned, use a distance of 500m for sites with flammable/explosives risks and 1000m 2 for sites with toxic risks.3
Regulatory inspector (HID CI1-3) Identify each establishment that has a COMAH establishment partly or fully within its CD and against each of these establishments identify the names and addresses of the establishments coming within the CD. Inform HID SI2 of domino groupings involving explosives sites. Inform HID SI3 of domino groupings involving gas installations.
Regulatory inspector (HID CI1-3, SI2 & SI3)
Write to the operator of each establishment identified at step 4, using framework letter 14 (Appendix 1). Send a copy of each letter to the local Agency office marked copy for public register.
EA/SEPA
Place each copy letter received on the local COMAH public register.
Regulatory inspector (HID CI1-3) Write to the Local Authority re designated domino group, using framework letter 2 (Appendix 1).
HID CI5 Consider information about amended consents and advise the local inspection team of any resultant change in the CD.
Regulatory inspector (HID CI1-3) Mark any changes to CDs on local maps and review whether changes will have an impact on domino groupings. Where groupings are affected, repeat the procedure from step 4 above.
10
Regulatory inspector (HID CI1-3, SI2 & SI3) Check that the CA and site operators are complying with their duties5.
Procedure notes
1 Where a site appears to have been designated a CD based on significant quantities of generic toxic and/or very toxic substances and the CD assigned is >1000m, inspectors should contact HID CI5 and ascertain whether the CD has been based on actual inventories. If the CD has been based on maximum allowable quantities of chemicals within specified generic categories then an administrative figure of 1000m should be assigned solely for the purpose of establishing domino groupings. CDs greater than 1000m are the exception rather than the norm and where they are based on hazardous substances consent figures the use of these for setting domino groupings will cause operators a disproportionate amount of work. 2 This figure should be checked with CI5 for sites that have deemed consent for generic toxic and/or very toxic substances in bulk storage vessels. 3 Once the actual CD has been determined, local inspection teams should review whether this has an impact on the domino groupings already determined. 4 When writing to a COMAH establishment that falls within the CD of another COMAH establishment, but where its own CD does not extend to that establishment and it has no other COMAH
establishments within its CD, modify framework letter 1 at paragraphs (d), (e) and (f) on the basis that the site need only receive but not provide information. 5 Units are encouraged to devise local tracking systems to record actions required by the CA (see procedure table) and by operators, namely: Information passed to other group members Information received from other group members Information reviewed and decision made as to whether revisions should be made to (a) safety report, (b) MAPP, (c) on-site emergency plan [reg. 16(3)(a)], (d) off-site emergency plan, (e) information supplied to public [reg. 16(3)(b)] Copies of revised safety report to CA [reg. 8(1)(b)].
Appendix 6.1 - Framework letters

Framework letter 1 to operators
1 2 3
Joint CA letterhead paper should be used. The CA assigned reference number for the safety report or notification form, where applicable, should be included, along with any unique identifier on the report given by the operator. Content: a. b. c. d. identify the operator/address/installation [if multi-installation establishment], safety report by name/type of report; statement advising the operator that the establishment has been designated as a domino site under Regulation 16(1); details of the names and addresses of other establishments in the domino group to which they should send information as required by Regulation 16(3)1; a request for confirmation that the operator has passed on to the other establishments in the group appropriate information as to the nature and extent of the overall hazard of a major accident1; advice that the written information should include details of the types of activity and the means by which they could trigger major accidents at other establishments1. It may be helpful to point out that operators may be able to agree the extent of what is appropriate between them. However, the type of information envisaged ought also to include information about the likely dangerous substances involved and their properties; [for top tier sites only] a reminder that information about the types of activity and the means by which they could trigger major accidents at other establishments should be provided to the local authority to help in the preparation of an off-site emergency plan, along with other information that the local authority will require under regulation 10(3)1; a reminder that they are entitled to receive domino information from [details of the names and addresses of other establishments within whose CDs they fall] and that this should be in writing so that a permanent record is maintained; a reminder that they should review their [for lower tier sites] MAPP document or [for top tier sites ] on-site emergency plan in the light of the new information received and amend it as appropriate; [for top tier sites] a reminder that they should review their safety report in the light of the new information received and where necessary revise it and inform the competent authority of the details of such revision, as required by Regulation 8(1); [for top tier sites] advise what the extent of the PIZ is, for newly set PIZs and as a reminder for existing ones; advise the operator that the CA will monitor and review the basis on which sites are designated, in the light of future experience and knowledge gained from the information provided by operators; request confirmation of receipt of letter.
e.
f.
g.
h.
i.
j. k.
l.
Note: Paragraphs (d), (e) and (f) are not required for establishments that fall within another COMAH establishments CD, where their own CD does not extend to that establishment and they have no other COMAH sites within their CD, because these sites need only receive but not provide information. Paragraph (c) should also be amended in these circumstances, such that it reads details of the names and addresses of other establishments in the domino group from which they should receive information in accordance with Regulation 16(3). Framework letter 2 to the Local Authority (LA)
4 5 6 7
Joint CA letterhead paper should be used. The CA assigned reference number for the safety report or notification form, where applicable, should be included, along with any unique identifier on the report, given by the operator. Letter to be addressed to the Chief Executive, copied to the CEPO. Content: a. b. c. statement advising the LA that this letter provides information about establishments that have been designated as a domino group under Regulation 16(1); details of the names and addresses of other establishments in the domino group to which they should send information as required by Regulation 16(2); advise that off-site emergency plans are only required relating to top tier site operators only and that the CA has notified separately on this. If the LA requires further information to enable them to prepare an off-site emergency plan it should seek it from the operators in the domino group; advise that the CA is informing that there may be potential domino effect scenarios but it is for the operators involved to exchange information and determine the consequences. This is the important information that should be shared with the LA; advise the LA that the CA will monitor and review the basis on which sites are designated, in the light of future experience and knowledge gained from the information provided by operators.
d.
e.
7 Proportionality and targeting of assessment

FACTORS AFFECTING PROPORTIONALITY THE DECISION PROCESS BREADTH OF ASSESSMENT DEPTH OF ASSESSMENT TARGET AGENDA 118 118 119 119 120
Factors affecting proportionality

1 A key principle of the safety report assessment process is that it is proportionate to the level of hazard and risk associated with the establishment to which the safety report relates. The proportionality of assessment of a safety report should broadly match the proportionality required of the operators risk assessment for the establishment. This is essentially determined by the severity of the worst possible consequences should the worst case scenario occur, and the levels of risk that remain after taking into account the prevention and mitigation measures that the operator has put in place. The following factors are therefore important: a) b) c) c) d) e) f) The scale (inventory, vessel sizes, etc.) and nature (hazardous properties, toxicity, flammability, danger to the environment, etc.) of the hazards; The location of the establishment in relation to off-site populations and environmentally sensitive receptors; The density and types (vulnerability) of off-site populations (dwellings, hospitals, schools, etc.) and types of environmentally sensitive receptors; The number of people on site; The variation of residual individual risk with distance; Escalation potential (e.g. domino effects in relation to adjacent hazardous establishments); and, The criticality of applied measures to achieving the claimed level of residual risk.
The decision process

2 The level of risk posed by the establishment should influence the aspects on which assessors focus the most attention, that is, the issues where the occupier is expected to provide convincing arguments to support the demonstrations. Information in the safety report should enable assessors to understand site specific circumstances (on-site and off-site), so that a view on proportionality can be reached. The report should therefore describe the processes, the hazardous substances involved and their effects on people and the environment, the distribution of people off-site, the numbers of people onsite and their distribution in relation to the various installations, and details of environmentally sensitive receptors. 3 Decisions about proportionality should be made by the assessment team as a whole. Where there has been the early involvement of a predictive assessor, the assessors initial findings will inform the decision making process. If an assessment planning meeting is held, the presumption is that the
meeting will be the forum for making decisions about proportionality. The assessment planning process provides a means of arriving at decisions about proportionality whether an assessment planning meeting is held or not. The target agenda sections in the Assessment Plan, parts 1 and 2, provide the means of recording decisions that the assessment team has reached on proportionality based on the hazards and risk posed by the establishment. 4 In the context of the SRAM, decisions about proportionality of assessment mean considering both the breadth and depth of assessment.
Breadth of assessment
5 The nature and spread of the hazards present at an establishment determines the breadth of assessment. The assessment will need to consider a representative sample of the types of hazards found. It will therefore need to cover different plants, units, activities and containments sufficient to reflect the varying nature of the hazards present, and the different nature of the measures taken to control them. The assessment team should agree on the sample to be selected and record their decisions as part of the Target Agenda on the Assessment Plan.
Depth of assessment
6 The targets for assessment and the depths of information required depend on the risk. One approach is to use the extent and severity information relating to a scenario to make judgements about the required depth of assessment. 7 In considering the extent of an accident the team will be looking at how big an accident might be and taking into account matters such as thermal radiation dose, toxicity, dose, quantity of hazardous material and range over which the effects extend for both people and the environment, both on-site and off-site. In considering the severity of an accident the team will be looking at how severe the consequences of the accident might be. This might be expressed in terms of numbers of fatalities or serious injuries, or harm to the environment, etc. Such matters depend on the surrounding population and environment. 8 Establishments can be considered to fall on a continuum between two extremes ranging from unmanned sites with no surrounding population which are not in an environmentally sensitive location to manned sites in the middle of a dense population and in a very sensitive environmental location. 9 Assessment teams should consider allocating establishments to broad risk categories, as suggested below, based on the level of risk presented by the establishment in question. This does not preclude other criteria for determining proportionality from also being taken into account, provided they are recorded and agreed by the assessment team as being suitable for the site specific circumstances. 10. The determination of a proportionate approach to assessment is dependent upon the professional judgement of the assessment team, based on the information provided in the report and on the criteria described above. Where doubt exists on the required depth or breadth of assessment, the assessment team should adopt a cautionary approach until evidence suggests otherwise.
Low risk establishments:
a)
For example, a simple site remote from population and sensitive environments with a single dangerous substance presenting a limited range of hazards that;
b)
May only require description of the extent and severity of the worst case incidents plus a simple qualitative risk assessment to demonstrate that the necessary prevention and mitigation measures are in place; and, Some quantification of the possible consequences to help develop the emergency plan.
c)
Medium risk establishments:
a) b) c)
For example, a simple site in a sensitive location and presenting risks which may be tolerable to people and the environment, for which; A more detailed description of the extent and severity of the worst case incidents is required, together with analysis to demonstrate that the associated risks are ALARP; and, Where some quantification of the possible consequences is necessary in order to develop the emergency plan.
High risk establishments:
a) b)
For example a complex site with many processes and several hazardous materials in the vicinity of centres of population and/or sensitive environments for which; A much more detailed assessment with quantification of the likelihood of the full range of hazardous releases and their consequences, and possibly of the associated risks is needed; and, Where quantification of the possible consequences is necessary in order develop the emergency plan.
c)
11 Once the assessment team has agreed the appropriate basis for proportionate assessment for a particular site, individual assessors should use their professional judgement to decide on the depth of their assessment. It follows that the safety reports for higher risk establishments should be assessed to a greater depth than those for establishments presenting lower risk .
Target agenda
12 Details of the target agenda are recorded on the Assessment Plan. Part 1 of the Plan is the Assessment Brief, and is prepared by the Assessment Manager (AM). The AMs proposals will be based on an initial read of the safety report, or safety report revision, together with other background information such as: a) b) c) d) e) f) g) The type of assessment to be carried out; A summary of the changes in the safety report since the last submission; Previous assessment history; Matters from previous assessments or interventions The duty holders compliance history; Duty holder commitments arising from previous safety report assessments; Safety and environmental standards at the establishment;
h) i)
The size and complexity of the establishment; and, The type of management organisation
13 The AMs proposals for the target Agenda will include an indication of which topic specialists are to be involved in the assessment and initial proposals on the topics to be assessed. The targeting of assessment topics may be particularly relevant to the assessment of those safety report revisions where it is known that certain specific changes have been made in the content of the safety report. 14 At the assessment planning meeting the assessment team should agree the level of risk presented by the establishment (High/Medium/Low) in order to agree on a proportionate approach for the assessment. The team should discuss what this means for the report in terms of breadth and depth of assessment, informed by any early observations made by the predictive assessor where appropriate. 15 In their discussions the team will need to take account of the factors listed above, but they will also need to take into account the following: a) b) c) The surrounding natural environment; The type and complexity of the safety report or revision; and, Models for prioritising attention on prevention and mitigation measures that are most likely to avoid a major accident.
16 Once issues are targeted for assessment by the relevant members of the team, they should be recorded in Part 2 of the Assessment Plan, together with the reasons for making the choice, and should form the basis of the subsequent assessment by the team members. The Target Agenda should indicate the breadth of assessment through the list of issues targeted. The depth of assessment will be determined by the outcomes from the teams discussion on risk and the required proportionate approach to assessment which will inform the individual assessors professional judgement.

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THE SAFETY REPORT ASSESSMENT MANUAL

Introduction to safety report assessment

Management of safety report assessment

Audit and review

3 ROLES AND RESPONSIBILITIES

HSE Heads of Field Units (CI & SI)

2. Resolve assessment team disagreements

Element 6 : Assessment Conclusion Procedure 6.2 disagreements resolution

HSE Heads of Field Units (CI & SI)

4. Endorse proposed prohibition activity

EA Area Environment Manager / SEPA Head of Area

2. Resolve assessment team disagreements

Element 6 : Assessment Conclusion Procedure 6.2 disagreements resolution

HSE Head of Risk Assessment and Process Safety Unit (CI 5)

Refer to responsibilities for line managers of assessment team.

Element 6 : Assessment conclusion Procedure 6.2 disagreements resolution

Procedure 1.2 Production of annual unit plans

2. Monitor against targets and standards given in assessment procedures

Refer to responsibilities set out in line managers to assessment team.

HSE Discipline Specialist Principal Inspectors within the Field Units

2. Monitor against standards and targets in assessment procedures

Relevant Agency Team Leaders

2. Monitor against standards and targets in assessment procedures

Refer to responsibilities for line managers to assessment team.

Relevant Agency Team Leaders

Assessment Manager (HSE Regulatory Inspector, CI & SI)

Procedure 1.2 Production of annual unit plans

2. Manage confidentiality requests in accordance with agreed procedures.

3. Manage assessment in line with standards and targets in assessment procedures

Element 2 : Safety Report Receipt Procedure 2.1 Safety report processing

Procedure 2.3 Failure to submit a report

Element 3 : Assessment Planning Part 1 15

Assessment Manager (HSE Regulatory Inspector, CI & SI)

Element 4 : Assessment Planning Part 2 Procedure 4.1 Assessment planning meeting

Procedure 4.2 Completion of part 2 of assessment plan

Procedure 4.3 Confirm key information present in safety report

Procedure 4.4 Approve and distribute final assessment plan

Element 5 : Implement Assessment Plan Procedure 5.1 Work the plan

Assessment Manager (HSE Regulatory Inspector, CI & SI)

Element 7 : Assessment Follow up Procedure 7.1 Assessment Follow up

If agreement cannot be reached on the assessment plan, refer to line manager

Element 6 : Assessment Conclusions General

Raise issues with line manager as they arise

6. Lead on enforcement, including prohibition activity

Element 5 : Implement Assessment Plan Procedure 5.1 Work the plan

Element : Assessment Conclusions Procedure 6.1 Assessment outcome meeting

Address any issues of potential serious deficiency through a site visit

Assessment Manager (HSE Regulatory Inspector, CI & SI)

Element 6 : Assessment Conclusions Procedure 6.1 Assessment outcome meeting

Assessment Team Members

Assist AM, if requested, in determination of confidentiality applications

Element 4 : Assessment Planning Part 2 Procedure 4.1 Assessment planning meeting

Element 5 : Implement Assessment Plan Procedure 5.1 Work the plan

Assessment Team Members

Element 6 : Assessment Conclusions Procedure 6.1 Assessment outcome meeting

Element 7 : Assessment Follow up Procedure 7.1 Assessment follow up

Element 5 : Implement Assessment Plan Procedure 5.1 Work the plan

Relevant Agency Inspectors

2. Manage confidentiality requests in accordance with agreed procedures.

Line Managers to Assessment Team

Give resource commitment as identified by the HSE Regulatory Principal Inspector

2. Monitor against standards and targets in assessment procedures