Performance Measures Guidance Document

Transcription

1 The American Chemistry Council Performance Measures Guidance Document For Responsible Care Partner Companies 2010

2 Contents Background... 3 Table of Applicable Metrics By Sector... 4 Reporting Guidelines and Glossary... 5 Partner Performance Measures Accidental Chemical Release Certification of Responsible Care Management System Community Outreach DOT 5800 Incidents DOT Recordable Frequency Emergency Drills Fatalities for Employees and Contractors Federal Railroad Administration Reportable Train Accidents Federal Railroad Administration Energy Efficiency Federal Railroad Administration Injury Frequency Non Accident Related Container Failures (NAR s) Shipper Notification OSHA Recordable Incidence and Lost Workday Case Rates for Employees and Contractors Process Safety Incidents Product Risk Management Product Stewardship: MSDS Review Product Stewardship: Regulatory Non Conformances Responsible Care Status of Vendor: Consideration of Responsible Care Partner Status Security: Initial Affirmation of the Responsible Care Security Code Security: Reaffirmation of the Responsible Care Security Code Hazardous Cargo Spills Appendix A Distribution Incident Severity Index Appendix B Process Safety Reporting Details Appendix C Form 5800 Regulatory Definition Appendix D List of Extremely Hazardous Substances under 40 CFR Responsible Care Partner Performance Measures Guidance Document 2

3 Background In 2002, the American Chemistry Council (ACC) enhanced the Responsible Care program by requiring the public reporting of certain performance measurements. Public reporting for some ACC member metrics began in 2004, and other metrics were reported publicly for the first time in Partner public reporting began subsequently in For both members and partners, some metrics are publicly reported on a company basis while others are publically reported as aggregated industry statistics. It is the intention of this public reporting to enhance transparency and accountability and drive performance of Responsible Care Partner companies. In 2005 and 2006, a Performance Measures Taskforce spent approximately 12 months reviewing, analyzing and developing proposed improvements to the ACC Responsible Care publicly reported member performance metrics. The Taskforce was guided by a set of key considerations, including but not limited to 1) the desire to establish connectivity to the Global Charter and ICCA performance measures resulting in harmonized reporting globally, where possible; 2) the need to communicate effectively with our primary audiences informed Americans and internal company employees; 3) maximizing the internal value of metrics through strong linkages to ACC advocacy objectives and the creation of benchmarking capabilities where appropriate. The Taskforce provided continuous update and feedback opportunities to the Responsible Care Committee and Board Committee on Responsible Care. It also allowed a one-month open comment period for all companies to provide feedback on the draft recommendations of the Taskforce. All feedback received was fully considered. After a year s work, the Taskforce recommended and the ACC Board of Directors adopted a revised set of ACC member Responsible Care Performance Measures. Originally, partner performance metrics were defined in a series of sector leadership meetings held through the period The metrics first implemented in 2005 across the sectors were products derived from these earlier meetings. Subsequent to implementation of new member performance metrics in 2008, a review process was initiated to reconfirm and / or modify partner individual sector metrics as appropriate and to be consistent with the newly revised member metrics where deemed appropriate. The Partner metrics review process included the following: 1) review of initially proposed modifications by individual sector leadership representatives participating in the Partner Steering Group; 2) sounding with the full roster of each partner sector; and 3) review with the Responsible Care Committee. The resulting revised metrics for each sector are summarized in overview fashion in the table on the following page. Responsible Care Partner Performance Measures Guidance Document 3

4 Table of Applicable Metrics By Sector * Indicates new metric # Name Equipment Logistics Management 1 *Accidental Chemical Release Marine Bulk and LTL Motor Carrier Rail Service Terminal Warehouse 2 Certification of Responsible Care Management System X X X X X X X X 3 Community Outreach X X X X X X 4 *DOT 5800 Incidents (Including severity calculations as appropriate for each sector group) X X X X 5 DOT Recordable Frequency 6 Emergency Drills 7 *Fatalities for Employees and Contractors 8 FRA Accident Frequency 9 FRA Energy Efficiency 10 FRA Injury Frequency 11 *Non Accident Related Container Failures 12 *Shipper Notification X X X X X X X X X X X X X X X X X X X X X X 13 OSHA Recordable Incidence and Lost Workday Case Rates for Employees and Contractors X X X X X X X 14 Process Safety Incidents 15 Product Risk Management 16 *Product Stewardship : MSDS Review 17 *Product Stewardship: Regulatory Non-conformances X X X X X 18 *Responsible Care Status of Vendors 19 Security: Initial Affirmation 20 *Security: Reaffirmation 21 Hazardous Cargo Spills X X X X X X X X X X X X X X X X X X Responsible Care Partner Performance Measures Guidance Document 4

5 Reporting Guidelines and Glossary Guidelines The measurements described in this guidance document should be based only on The American Chemistry Council (The Council) dues base portion of the company within the United States; in other words, that portion of the company that is a Responsible Care Partner. It is important to use the same basis for each metric from year to year to enable establishment of trends which are inherently valuable in continually evaluating performance and implement corrective actions. The Council has developed an electronic, web-based system for reporting the Responsible Care metrics, which was used for the first time in This system allows secure and confidential data entry from companies for the internal and public reporting of the metrics. This website can be accessed at For questions regarding passwords and access to the site, contact Bradford Johnson at or Bradford_Johnson@americanchemistry.com. Glossary Available to the public: Information can be found with little or no interaction with the company (e.g. through a website). Certification: Completion of independent third party evaluation and certification of a company s Responsible Care Management System. Contractors: Those persons who are not considered company employees for OSHA recordkeeping purposes (see definition of employee below), who are under contract, subcontract, or purchase order to provide on-site services at company premises that are required to keep OSHA No. 300 logs. Such premises include: Employer-owned, directly managed, or full-time charter transport such as buses, boats, and aircraft; and Property leased or accessed through rights secured by the employer. Examples of work that might fall under the contractor definition include (but are not limited to): maintenance, construction, security, engineering consulting, janitorial, food service, information management, and training. Exclusions include: A contractor that provides on-site services that amount to less than 20,000 man-hours per reporting year, equivalent to about 10 full-time employees. Visitors that don t provide service. Contract employees that are considered to be company employees under current OSHA rules for recordkeeping purposes. These contract employees are to be included in the company OIIR numbers submitted to The Council. Responsible Care Partner Performance Measures Guidance Document 5

6 DOT Form 5800 Distribution Incident: Transportation incidents involving hazardous material or hazardous waste reported by carriers to the Department of Transportation (DOT) on Form , as required by DOT in 49 CFR Applicable DOT Incidents: Those that meet the criteria of DOT regulatory requirements and fall under the members ACC dues base. Form 5800 incidents are attributable to the ACC member/partner if the member/partner is listed as either the shipper or carrier on the DOT 5800 Form. Days Away from Work Incident Rate: Defined by OSHA as the number lost workday incidents for each 100 full-time employees per year, based on 2,000 hours worked per employee per year. The calculation is as follows: Days Away from Work Incident Rate = Annual # of Days Away from Work Cases x 200,000 employee hours Annual number of employee hours worked Employees: All persons on the company or corporation s payroll. Under current OSHA rules, some contract employees are considered to be company employees for record keeping purposes and are to be included in the company s OSHA 300 log. These contractor data should also be included in the company s occupational injury and illness reporting, and reporting of total number of employees to the Council. Fatalities: Number of fatalities included on OSHA 300 log for employees, and for contractors that occurred on the ACC member premises. Process Safety Incident: An incident is reportable if it meets all three of the following tests: 1) chemical/process involvement, 2) reporting threshold, and 3) location. See the Process Safety Incident reporting section of this document. Recordable Injury Rate: Defined by OSHA as the number of recordable incidents for each 100 full-time employees per year, based on 2,000 hours worked per employee per year. The calculation is as follows: Recordable Incident Rate = Annual # of Recordable Cases x 200,000 employee hours Annual number of employee hours worked Responsible Care Partner Performance Measures Guidance Document 6

7 Partner Performance Measures 1. Accidental Chemical Release Purpose On occasion during field service activities, a Service sector Partner may either create or be involved with an accidental chemical release. Tracking these events is one way to insure proper focus on eliminating reoccurrences as well as demonstrating product stewardship throughout the service company operations. Units Total number of incidents including the pounds (lbs.) released during the incident. Definition Accidental Chemical Release: A chemical release exceeding an EPA imposed reportable quantity level for chemical(s) involved. See Appendix D for the list of regulated chemicals and their respective threshold levels. Partner Reporting Instructions Partner Should Report: 1) Each chemical release exceeding the threshold quantity listed in Appendix D and provide a written explanation for that release as appropriate for clarification. 2) The total pounds (lbs.) released during each incident. Timing for Reporting Service sector Partners are required to enter their respective company data by the last calendar day in February of each year. Data will be collected and reported internally in 2010 and reported publicly in 2011 for the past two reporting years. Responsible Care Partner Performance Measures Guidance Document 7

8 2. Certification of Responsible Care Management System Either RCMS or RC14001, for both headquarters and sampling of facilities Purpose Third party certification of the Responsible Care Management System is a key component of the overall Responsible Care program. It provides credibility in the eyes of the outside world for the Responsible Care program. Units Company has met ACC certification requirements; Yes or No. Definition Certification: Completion of independent, third party evaluation and certification of a company s Responsible Care management system for HQ and for requisite sample of domestic facilities. Partner Reporting Instructions This information will be collected via the web-based data management system. The ACC will collect information about each facility and HQ certification. Also, with ACC and both its members and RC partners beginning second cycle certifications for most companies, the reporting website and the public website have been updated to reflect each of the first two certification cycles. Timing for Reporting Partner companies may enter Certification details at any time during the year. Responsible Care Partner Performance Measures Guidance Document 8

9 3. Community Outreach Purpose Community Outreach activities are a historic and key part of Responsible Care. With increasing awareness and emphasis on stakeholder involvement, this metric provides an opportunity to further define outreach mechanisms beyond CAPs. Units Total number of community outreach events that the company participated in and total number of participants in each event. Definitions LEPC: Local Emergency Planning Committee CAP: Community Advisory Panel Emergency Responder: Members of municipal fire departments, law enforcement officials, emergency medical services personnel, emergency management agency staff or officers. TRANSCAER: Transportation Community Awareness Emergency Response, a program jointly supported by ACC members companies and transportation industry companies to increase the awareness of chemical transportation safety and train local emergency responders in safe and efficient response to chemical transportation incidents. Additional information can be added optionally if the company so chooses. Partner Reporting Instructions Partners Should Report: 1) Total number of community outreach events completed 2) Total number of participants in ALL community outreach programs completed Timing for Reporting Partners are required to enter their respective company data by the last calendar day in February of each year. Responsible Care Partner Performance Measures Guidance Document 9

10 4. DOT 5800 Incidents Purpose Tracking the number and severity of hazardous materials incidents while products are in transit is an excellent method to identify specific trends in performance and to identify areas for focus and for improvement. The metric also enables the supply chain members and partners to clearly address stakeholder concerns that arise regarding chemicals moving through their communities. In the past, these incidents have not been categorized by severity. This process resulted in tracking all incidents as equivalent by reporting only the absolute number of all incidents. Going forward, incidents will be categorized by severity using information already available on the DOT 5800 form. (Note that the rail sector partners will report using an index categorization sanctioned by the AAR for the past several years). If incidents are broken down by severity, it enables a specific focus on those incidents with actual environmental, safety, community or infrastructure impacts. This metric continues to be an important communication mechanism for Responsible Care Partners and ACC members in their respective supply chain interactions. Units Total Number of DOT Form 5800 incidents attributable to each partner (partner normally listed as carrier on the DOT 5800 Form) in total, and broken down by severity categories, Levels 4 through Level 1. A level 4 incident is the least significant and a level 1 incident is the most significant. The electronic database will automatically sort the DOT 5800 incidents and assign severity ratings based on the information in the DOT database. Partners will have an opportunity to review, validate and if necessary, modify the system-assigned ratings. Definitions DOT Form 5800 Distribution Incident: Transportation incidents involving hazardous material or hazardous waste reported by carriers to the Department of Transportation (DOT) on Form , as required by DOT in 49 CFR Incidents Severity Categorization (Levels 1-4) See Appendix A For DOT 5800 Regulatory Definitions See Appendix C Partner Reporting Instructions The Council will be using a contractor to extract the number of reportable distribution incidents for each company from the U.S. DOT Hazardous Materials Incident Report (HMIR) database. The carrier (or anyone performing the function of the carrier) is required to file a DOT Form to DOT as described in 49 CFR A copy of the DOT Form can be obtained at Responsible Care Partner Performance Measures Guidance Document 10

11 On an annual basis, The Council contractors will extract the number of reportable distribution incidents for each company from the HMIR database. The data will be uploaded into the ACC web-based data management system and Partners will be able to verify the HMIR data during the data entry period each year. Any discrepancies should be noted by each company and reconciled using the comment process embedded in the data management system. Partners Should: 1) Verify that all incidents are applicable to their company 2) Remove those incidents that do not apply to their company, if any Applicable government or association forms DOT Form (Rev. 6/89): A DOT guideline document for assisting in the completion of DOT Form (Rev. 6/89) may be obtained from the Office of Hazardous Materials Transportation, DHM-51, U.S. Department of Transportation, Washington, DC or at Go to for a copy of the DOT Form Timing for Reporting Partners will be required to review and validation of their respective company data by the last calendar day in February of each year. Responsible Care Partner Performance Measures Guidance Document 11

12 5. DOT Recordable Frequency Purpose Tracking the over-the-road safety performance of motor carriers operating within the chemical; industry supply chain. The Frequency helps to identify trends and establish performance improvement programs based on most recent experience. This is also a component of overall EHS&S excellence within the motor carrier community. Units Frequency Rate of DOT recordable accidents per Million Miles driven. Frequency Rate = Total Number of Recordable Accidents Millions of Miles Driven Reporting Instructions Occurrences involving a commercial motor vehicle on a highway in interstate or intrastate commerce resulting in a fatality, injury to a person requiring immediate treatment away from the scene of the accident, or disabling damage to a vehicle requiring it to be towed from the scene should be reported according to DOT using DOT guidelines and appropriate DOT recordable accident form. Partners Should Report: 1) Absolute number of recordable accidents 2) Total distance traveled in Millions of Miles. The Metrics Reporting System will automatically calculate the Frequency Rate. Timing for Reporting Motor Carrier sector Partners are required to enter their respective company data by the last calendar day in February of each year. Responsible Care Partner Performance Measures Guidance Document 12

13 6. Emergency Drills Purpose Marine Carrier Partners must be prepared to respond appropriately and expeditiously to an emergency situation which can be unique within their businesses and facilities. Accordingly, each Marine Carrier Partner prepares itself by planning to complete a certain number of emergency drills on an annual basis. This measure indicates the extent to which each Marine Carrier Partner has completed its planned emergency exercises and is one measure of emergency preparedness. Units Percent of Emergency Drills completed Percent of Emergency Drills Completed = Emergency Drills Completed Emergency Drills Required Key Definitions Emergency Drill: (man overboard, spill response, fire, etc.) as required in company s emergency preparedness plans. Partner Reporting Instructions Partners Should Report: 1) Total number of Emergency Drills required 2) Total number of Emergency Drills completed Timing for Reporting Marine sector Partners are required to enter their respective company data by the last calendar day in February of each year. Responsible Care Partner Performance Measures Guidance Document 13

14 7. Fatalities for Employees and Contractors Purpose The collection of this measure will further our transparency with stakeholders with regard to the most severe personal safety event. This measure has been and will continue to be collected in the OSHA Recordable Incidence metric. Units Total number of fatalities for the company and for contractors. Definitions Fatalities: Number of fatalities included on OSHA 300 log for employees and for contractors that occurred on the ACC member or Responsible Care Partner premises. Partner Reporting Instructions Partners Should Report: 1) Total number of fatalities for employees 2) Total number of fatalities for contractors Timing for Reporting Partners are required to enter their respective company data by the last calendar day in February of each year. Data will be collected and reported internally in 2010 and reported publicly in 2011 for the past two reporting years. Responsible Care Partner Performance Measures Guidance Document 14

15 8. Federal Railroad Administration Reportable Train Accidents Purpose This measure will provide insight into the continuous improvements made by the industry as a whole and by each rail carrier individually. Rail carriers involved in the ACC Responsible Care program collectively operate thousands of trains every day. Each of these train operations has a direct impact on the safety of employees, the public, the environment and the shipper s products being transported. Each company and regulatory agencies closely track train accident performance as a measure of the operational safety of each company. Train accident prevention involves organizational competency from multiple departments within each company. Train accident causes can include engineering causes (track design and maintenance), train operation and management ( on-track operations and dispatching), equipment maintenance (locomotive and railcar inspection and maintenance) as well as interference from outside parties (grade cross accidents, weather, and track clearance encroachment). In the aggregate, a rail carrier s train accident performance gives insight into the overall operational management of the complex system of daily rail operations. Units FRA Train Accident Frequency Rate per Million Train Miles. FRA Accident Frequency Rate = Total Number of Reportable FRA Reportable Accidents Millions of Train Miles Definitions FRA: Federal Railroad Administration, the federal agency charged with regulation of U.S. railroad operations and compliance with federal operating regulations. Train Accident: Any collision, derailment, fire, explosion, act of God, or other event involving the operation of on-track equipment (standing or moving) that results in total damages to all railroads involved in the event that is greater than the current reporting threshold to railroad on-track equipment, signals, track, track structures, and roadbed. (For accidents that occur in calendar years , the reporting threshold was $ 6,700.) Accidents below the threshold but involve the release of hazardous materials; result in an evacuation (precautionary evacuations with no hazardous materials release are not reportable); a fatality or injuries to more than 5 persons are FRA reportable train accidents. Responsible Care Partner Performance Measures Guidance Document 15

16 Partner Reporting Instructions Railroads are required by the FRA to report monthly detailed train accident reports. Railroads must complete all outstanding reports for each calendar year by April 15 th of the following year. Dividing the total number of FRA reportable train accidents by the total train-miles (in millions) for each railroad will result in a frequency rate, which creates a train accident frequency rate known as the FRA Train Accident Index. (see for FRA guidance on completing form F and for a copy of the form). Partners Should Report: 1) Total number of FRA reportable train accidents 2) Total Distance Traveled in Millions of Train Miles 3) FRA Accident Frequency Rate Applicable government or association forms The total FRA Form F FRA reportable train accidents filed by each rail Partner and the gross train-miles summed for each calendar year to develop the FRA Reportable Train Accidents per Million Train Miles Index. Timing for Reporting Rail sector Partners will report their respective company data by May 31 st of each year. ACC Reporting ACC will report the FRA Accident Frequency, by each Rail Partner company, on the public website. Responsible Care Partner Performance Measures Guidance Document 16

17 9. Federal Railroad Administration Energy Efficiency Purpose This measure is intended to present overall fuel efficiency of Class 1 railroads in the US. Viewed from a multi-year perspective, an overall improvement in the Gross Ton Mile traveled per Gallon of Fuel consumed will illustrate each Rail Partner s success in improving fuel efficiency while conducting train operations. Diesel fuel for transporting freight by rail represents the highest energy usage by US freight railroads. As a major operating expense, each Partner rail carrier has programs to reduce fuel usage through operating practices while increasing the fuel efficiency of locomotives. These programs include maximization of locomotive capacity while in train operations and application of industry best practices to locomotive maintenance programs. The upgrading to best available technology for locomotive onboard fuel management systems during non-train operation periods will also improve overall rail carrier fuel efficiency. This measure also encompasses rail industry practices aimed at reducing fuel loss during equipment fueling, derailments and inefficient fuel handling systems. Units Gross ton-miles of freight transported per gallon of diesel fuel consumed. Energy Efficiency = Gross Ton-Miles of Freight Transported Gallons of Diesel Fuel Consumed Definitions Gross Ton Miles: Aggregate of the movement of 1 ton of freight 1 mile by rail. Fuel Usage: Diesel fuel used for train operations including freight, passenger and yard switching services. Work train or maintenance activity in not included in this total. Responsible Care Partner Performance Measures Guidance Document 17

18 Partner Reporting Instructions Rail sector Partners should use data currently reported to the Surface Transportation Board as part of their required annual report, form R-1. Partners Should Report: 1) Total diesel fuel consumed in gallons - as listed on line 4 of schedule 750, Consumption of Fuel by Motive Power Units, Railroad Operating Statistics 2) Total gross ton miles of freight transported - as listed on line 104 of schedule 755, Railroad Operating Statistics The Metrics Reporting System will automatically calculate the Fuel Efficiency. Applicable Government or Association forms Surface Transportation Board Annual Report, form R-1 schedules 750 and 755. Timing for Reporting Rail sector Partners will report their respective company data by May 31 st of each year. ACC Reporting ACC will report the FRA Energy Efficiency, by each Rail Partner company, on the public website. Responsible Care Partner Performance Measures Guidance Document 18

19 10. Federal Railroad Administration Injury Frequency Purpose This measure is designed to demonstrate continuous improvement in preventing employee injury and illness from work place hazards. Viewed from a multiple year perspective, the measure can illustrate each rail partner s success in reducing employee injuries and illnesses. This measure will provide ACC members, Partners and other interested parties with information on employee health and safety performance for each year. This performance measure is similar to the OSHA Recordable Injury Rate metric reported by ACC member companies Units FRA Reportable Employee Injuries and Illness per 100 employees. Definitions Casualty: A reportable death, injury, or illness arising from the operation of a railroad. Casualties may be classified as either fatal or nonfatal. Fatality: An event resulting in death of one or more persons. If death occurs subsequent to the filing of the monthly report, the injury or illness must be reclassified as fatal as per 49 CFR Event: Includes occurrences, which can be identified in terms of a specific time and those of a continuing or intermittent nature, which can be identified only in terms of a probable time or activity. Injury: Harm to a person resulting from a single event, activity, occurrence, or exposure of short duration. Occupational Illness: Any abnormal condition or disorder, as diagnosed by a physician or other licensed health care professional, of any person who falls under the definition for the classification of Worker On duty- Employee, other than one resulting from injury, discernibly caused by an environmental factor associated with the person s employment, including, but not limited to, acute or chronic illnesses or diseases that may be caused by inhalation, absorption, ingestion, or direct contact. Worker On Duty- Employee: An individual who receives direct monetary compensation form the railroad. Whether or not the worker is under pay will normally be the deciding factor for determining on duty status. Responsible Care Partner Performance Measures Guidance Document 19

20 Partner Reporting Instructions All criteria for classifying injuries, illnesses and fatalities should be consistent with those proscribed in the current FRA Guide for Preparing Accident/Incident Reports. (see for FRA guidance on completing form F and for a copy of the form). Partners Should Report: 1) Total FRA Recordable Cases as in worker on duty-employee cases - Worker on duty employee cases Sum of casualty, fatality, injury and occupational illness cases 2) Total FRA exposure hours 3) FRA Recordable Incidence Rate Applicable Government or Association forms Data for this performance measure will use data currently collected and reported to the FRA on form FRA F Timing for Reporting Rail sector Partners will report their respective company data by May 31 st of each year. ACC Reporting ACC will report the FRA Injury Frequency, by each Rail Partner company, on the public website. Responsible Care Partner Performance Measures Guidance Document 20

21 11. Non Accident Related Container Failures (NAR s) Purpose Container equipment used to transport chemicals must be reliable and not present risk of failure resulting in hazardous chemical release. The equipment manufacturer can track non-accident related equipment failure frequency to determine any negative trends in equipment performance and subsequently take action to avoid recurrence of equipment failure. Performance Measure NAR (Non-Accident related) container failures per 1,000 containers severity considered. Key Definitions NAR : Non-Accident Related container failure. Number of containers: Total number of containers in service during a calendar year. Severity Breakdown Extreme: commodity involved is a TIH (toxic inhalation hazard) Serious: chemical or petroleum product not TIH Low: food grade or mineral Partner Reporting Instructions Partners Should Report: 1) Total number of containers in service in the past calendar year 2) Total NAR s for the past calendar year 3) Rate each incident according to the Severity Breakdown above Timing for Reporting Equipment sector Partners are required to enter their respective company data by the last day in February each year. Data will be collected and reported internally only starting in 2010, and subsequently reported publicly for the preceding two years in Responsible Care Partner Performance Measures Guidance Document 21

22 12. Shipper Notification Purpose DOT regulations specify completion and submission of DOT form 5800 (see Partner metric #4) on each occurrence of hazardous material spill in transit. The form is robust in defining details of the incident including: timing, location, shipper, carrier, materials involved and quantities, safety and impact information. The current report implies notification of the shipper, however it is not always done in timely fashion. Thus the purpose of this measure is to insure timely notification of the shipper in the event of a DOT 5800 incident. Units Notification of shipper on creation of a DOT 5800 hazmat incident report Yes or No Key Definitions DOT Form 5800 Distribution Incident: Transportation incidents involving hazardous material or hazardous waste reported by carriers to the Department of Transportation (DOT) on Form , as required by DOT in 49 CFR Timely notification: Prompt contact with identified responsible party at the shipper. Judgment should be made as to urgency based on the nature and impact/severity of the specific incident. While this may, in some cases, occur via emergency responders or emergency service coordinators (e.g. CHEMTREC), it is deemed most important that contact with the shipper be confirmed in all instances without disruption of required immediate action. Instructions for Reporting Partners Should Report: 1) Answer either Yes or No to the question: As part of our emergency response procedures, the company named as shipper in any DOT 5800 report is notified in a timely manner consistent with the impact of the incident? Timing for Reporting Partners are required to enter their respective company data by the last calendar day in February of each year. Data will be collected and reported internally only starting in 2010, and subsequently reported publicly for the preceding two years in Responsible Care Partner Performance Measures Guidance Document 22

23 13. OSHA Recordable Incidence and Lost Workday Case Rates for Employees and Contractors Purpose: The US Occupational Safety and Health Administration (OSHA) has historically required employers to track and annually report occupational illness and injury (OIIR) incidents and frequency (incidents per 100 persons) for their direct employees. This is a safety metric which is universally used, has a significant value for benchmarking, and is an excellent tool for demonstrating performance improvement. It is recognized that a significant number of contract employees may also routinely work within facilities of the member or partner company. Since these individuals have exposure to hazards and risks similar to company employees, it is appropriate to similarly track performance of these contract employees in OIIR. Units a) OSHA Recordable and Days Away from Work Incident Rate for employees b) OSHA Recordable and Days Away from Work Incident Rate for contractors Definitions Contractors: Those persons who are not considered company employees for OSHA recordkeeping purposes (see definition of employee below), who are under contract, subcontract, or purchase order to provide on-site services at company premises that are required to keep OSHA No. 300 logs. Such premises include: o Employer-owned, directly managed, or full-time charter transport such as buses, boats, and aircraft; and o Property leased or accessed through rights secured by the employer. Examples of work that might fall under the contractor definition include (but are not limited to): maintenance, construction, security, engineering consulting, janitorial, food service, information management, and training. Exclusions include: A contractor that provides on-site services that amount to less than 20,000 man-hours per reporting year, equivalent to about 10 full-time employees. Employees of common carriers such as those used for truck, rail deliveries, pipelines, and marine movements when off the employer s premises. o Visitors that don t provide service. o Contract employees that are considered to be company employees under current OSHA rules for recordkeeping purposes. These contract employees are to be included in the company OIIR numbers submitted to the Council. Responsible Care Partner Performance Measures Guidance Document 23

24 Employees: All persons on the company or corporation s payroll. Under current OSHA rules, some contract employees are considered to be company employees for record keeping purposes and are to be included in the company s OSHA 300 log. These contractor data should also be included in the company s occupational injury and illness reporting, and reporting of total number of employees to the Council. Reporting Instructions This information will be collect via the web-based data management system. American Chemistry Council member and non-rail partner companies are required by law (Department of Labor/Occupational Safety and Health Administration (OSHA)) to document the number of recordable and days away from work injury and illness cases that they experience on a worksite. The data required for this metric are based on the information that member company s record for OSHA recordkeeping purposes on an annual basis. All criteria for classifying injuries, illnesses, and fatalities should be consistent with those prescribed by OSHA. Additional information regarding occupational injury and illness recordkeeping can be accessed at Each company must provide complete information for the entire company for both employee and contractor data. For contractor data, reporting definitions for injuries, illnesses, fatalities, and number of hours worked are the same as the OSHA definitions used for employee reporting, except that contractor should be substituted for employee as necessary. Companies must develop their own systems for collecting contractor OIIR information. This can be accomplished in at least two ways: 1) solicit data directly from contractors; or 2) estimate the data via best available information. Direct collection of data from contractors will provide the most accurate information. Many companies have begun to require in their contract or purchase order agreements that contractors provide information on injuries and illnesses that occur during performance of the work, and contractor man-hours worked can be obtained in the same way. Even where there is not an existing reporting obligation established through the procurement agreements, most contractors will voluntarily provide this information when asked. Whatever means a company chooses for collecting contractor information, it will need to be sure that a system is put in place to consolidate information for reporting to the Council, keeping in mind that the Council requires a single report consolidating the experience of all contractors used by your company, not a contractor-by-contractor report. As stated previously, companies need not include data from contractors that provide services that amount to less than 20,000 man-hours per calendar year, which is equivalent to approximately 10 full-time employees. Timing for Reporting Partners are required to enter their respective company data by the last calendar day in February of each year. Responsible Care Partner Performance Measures Guidance Document 24

25 14. Process Safety Incidents Purpose Process safety incidents are an important parameter to all stakeholders. They can be a leading indicator of process safety issues and also serve as both a mechanism for tracking industry trends and benchmarking. Diligently tracking and reporting process incidents based on common criteria has been successfully used to pin point areas for priority attention to preclude reoccurrence. Units Number of process safety incidents, broken down by severity (levels 1-4). A level 4 incident is the least significant and a level 1 incident is the most significant. Definitions Process Safety Incident: An incident is reportable if it meets all three of the following tests: 1) chemical/process involvement 2) reporting threshold, and 3) Location Process Safety Severity Index = [(# Level 4 ratings x 1) + (# Level 3 ratings x 3) + (# Level 2 ratings x 9) + (# Level 1 ratings x 27)] * 200,000 [OSHA worker hours (employees plus contractors) for the year] See Appendix B for the details about what qualifies as a process safety incident and how calculate severity. Partner Reporting Instructions Partners Should Report: 1) Details on each process safety incident Timing for Reporting Equipment sector Partners are required to enter their respective company data by the last calendar day in February of each year. Responsible Care Partner Performance Measures Guidance Document 25

26 15. Product Risk Management Purpose It is clearly recognized that companies in the partner sectors as defined today do not manufacture chemicals. However, since many companies operating within the supply chain assume possession or manage the movement of these chemicals, it is imperative that these companies operating within the chemical industry supply chain maintain a current and thorough understanding of the risks and hazards that may be associated with handling of a given chemical. Creating the data defining hazards and risks of a given product are the responsibility of the manufacturer in addition to dissemination of that information to their stakeholders. Subsequent maintenance of current understanding (including training and other communications as defined in the RCMS) within the partner company and his/her respective customers is incumbent upon the partner. Thus these measures are deemed relevant to selected partner sectors. In the definition and prioritization of hazards and risks instrumental in development of a management system for EHS&S the chemicals involved or potentially involved in a partner company s operations are primary considerations. These performance measures, reflecting maintaining current product knowledge, demonstrate a company s commitment to product stewardship, through safe handling and transport. They also convey that the industry values a systematic and rigorous process for evaluating and communicating risks about the chemicals it transports and handles. Companies will report on whether they have a documented process for characterizing and managing risk from products they handle and transport and if a summary of the process is available to the public. Companies will also report whether they have a process for communicating the results of their product safety and handling decisions. Units Company has in place a documented process for characterizing and managing product risk with a publicly available summary? Yes or No Company has in place a process to communicate results of the risk characterization and management process to facilitate public knowledge? Yes or No Responsible Care Partner Performance Measures Guidance Document 26

27 Key Definitions Available to the public: Information can be found with little or no interaction with the company (e.g. through a public facing website). Summary of the process: The publicly available summary should reflect the overall process typically used by the reporting company. It is recognized that different approaches to risk characterization and management may be applied for individual different substances. This metric does not require that a company s detailed risk characterization documents be made public. An appropriate summary of the risk characterization process that enables the public to understand what information is applied to reach risk-related decisions will satisfy this metric. Partner Reporting Instructions Partners Should Report: 1) Answer either Yes or No to the question: Company has in place a documented process for characterizing and managing product risk with a publicly available summary? 2) Answer either Yes or No to the question: Company has in place a process to communicate results of the risk characterization and management process to facilitate public knowledge? For further background in use by Responsible Care partners: A process for characterizing and managing product risk generally includes the following elements. The purpose of the elements outlined below is to illustrate a general approach to risk characterization and management. As substance risks vary, this guidance outlines considerations that may or may not be applicable based on the risk, including use, of a particular substance. A. AVAILABLE INFORMATION COLLECTED FOR KNOWLEDGE BASE 1. Chemical structure, including consideration of similar structures 2. Hazard information, such as: a. Physicochemical properties, such as explosivity, flammability, corrosivity b. Ecological fate and effects, such as toxicity to environmental organisms, biodegradation, photochemical oxidant formation c. Human health effects, such as acute toxicity, chronic toxicity, carcinogenicity 3. Exposure information, such as a. Explanation on how exposure information is gathered. b. Types of information collected in reviewing a simple lifecycle consideration 4. Current risk management and/or exposure control measures (if applicable), such as a. Special precautionary instructions, b. Personal protective equipment, c. Practices designed to reduce risk, or d. Applicable regulatory restrictions Responsible Care Partner Performance Measures Guidance Document 27

28 B. CONDUCT RISK CHARACTERIZATION 1. Explanation of the company s process to apply information about hazards, uses and foreseeable exposures to help determine the nature and magnitude of possible exposures, effects and/or risks. 2. Potential circumstances or findings that may trigger a more detailed review. 3. How risks, benefits, and other values are considered. C. IMPLEMENT RISK MANAGEMENT 1. Communication of risk management information. 2. How current practices are evaluated to determine if additional actions are needed for controlling risks, and if so, what those additional actions might be. 3. Educational and guidance tools. D. EVALUATION AND RE-EVALUATION 1. How new substances are evaluated. 2. What circumstances trigger a re-evaluation of risk characterization for an existing substance. It is intended that the publicly available summary for this metric reflect the overall process typically used by the reporting company. It is recognized that different approaches of risk characterization and management may be applied for individual substances. This metric does not require that a company s detailed risk characterization documents be made public. An appropriate summary of the risk characterization process that enables the public to understand what information is applied to reach riskrelated decisions will satisfy this metric. This metric is not intended to create any new legal obligations and is not intended to expand the legal risks already faced by Responsible Care Partner companies. Timing for Reporting Partners are required to enter their respective company data by the last calendar day in February of each year. Responsible Care Partner Performance Measures Guidance Document 28

29 16. Product Stewardship: MSDS Review Purpose Understanding hazards and risks that may be associated with chemicals in transport is extremely important. Communicating these hazards and risks to both employees in HQ and employees in the field is equally important. Units Percentage of Material Safety Data Sheets (MSDS) reviewed with employees annually for chemicals transported. Percent MSDS s Reviewed = Total Number of MSDS s Reviewed Total Number of Materials Handled Partner Reporting Instructions Partners Should Report: 1) Total number of materials handled 2) Total number of MSDS s reviewed with employees Timing for Reporting Marine sector Partners are required to enter their respective company data by the last calendar day in February of each year. Data will be collected and reported internally only starting in 2010, and subsequently reported publicly for the preceding two years in Responsible Care Partner Performance Measures Guidance Document 29

30 17. Product Stewardship: Regulatory Non Conformances Purpose While Service sector Partner companies may vary in their involvement with chemical products, their diligence in managing those business functions associated with chemicals (e.g. waste handling, emergency services) can play a significant role in product stewardship within the chemical industry supply chain. For those service companies who maintain and operate such facilities as recycling, emergency response or disposal operations; the service company must be certain that regulatory compliance is maintained within those operations. Tracking reportable regulatory non-conformances in absolute numbers will enable prompt identification of variances and implementation of corrective procedures to prevent reoccurrence by appropriate parties. For those companies who do not operate facilities but offer such services as selection of recycling/disposal facilities, selection of transporters, or preparation of shipment documents; diligence in selecting commercial partners for such activities is essential. Units Number of reportable regulatory non-conformances in owned and operated facilities or in facilities selected as a part of a service offering. Key Definitions: Regulatory non-conformance: Any NOV (Notice of Violation) from either a federal, state or local jurisdiction; and any DOT reportable accident or DOT 5800 hazmat incident. Partner Reporting Instructions Partner Should Report: 1) Total number of regulatory non-conformances involving their operations in the past calendar year Timing for Reporting Service sector Partners will be are required to enter their respective company data by the last calendar day in February of each year. Data will be collected and reported internally only starting in 2010, and subsequently reported publicly for the preceding two years in Responsible Care Partner Performance Measures Guidance Document 30