Chemical Industry Inspection Check List by gps13265

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									June 2009
The Chemical Weapons Convention

         INSPECTION INFORMATION FOR
           PRODUCERS OF CHEMICALS

 Aim of Inspection                                                        2
 Key Players                                                              2

 CWC Documents                                                            2
 Inspection Experience                                                    3
 Inspection Methodology                                                   3

 How the Inspection will Proceed                                          4
    – Notification Arrangements                                           4
    – On-Site Preparation after Notification of Inspection                4

    – Roles of ASNO, OPCW and the Facility                                5
    – Pre-Inspection Briefing for OPCW Inspectors                         6
    – OPCW Inspection Activities                                          7

    – Access to Records                                                   7
    – OPCW Inspection Equipment                                           8
    – Completion of Inspection                                            8


 Annexes                                                                 9
 Annex 1:      Definitions                                               10

 Annex 2:    Facility Preparation prior to Inspection: Check List        11




CONTACT US:
Postal address:     Director General
                    Australian Safeguards and Non-Proliferation Office
                    DFAT, RG Casey Building
                    John McEwen Crescent, BARTON ACT 0221
Phone:              +61 2 6261 1920
Fax:                +61 2 6261 1908
Email:              asno@dfat.gov.au
Web address:        www.dfat.gov.au/cwco




                                    1
   AIM OF INSPECTION
   During an inspection, OPCW inspectors aim to verify that activities being carried
   out are consistent with the information declared for that facility, including the
   absence of any CWC Schedule 1 chemicals.




   KEY PLAYERS
   The Australian Safeguards and Non-Proliferation Office (ASNO):
   ASNO (within the Department of Foreign Affairs and Trade) is Australia’s National
   Authority for ensuring that Australia’s CWC obligations are met, primarily under
   the Chemical Weapons (Prohibition) Act 1994 (The Act).

   The Act provides for inspection of facilities either by ASNO or OPCW officials.

   During an OPCW inspection, ASNO officials will act as an intermediary between
   the OPCW inspection team and the site representatives so as to ensure Australia’s
   international treaty obligations are met, while protecting the rights of the facility.

   The Organisation for the Prohibition of Chemical Weapons (OPCW):
   The OPCW is an international organisation based in the Netherlands which is
   responsible for implementing the CWC at the international level.

   OPCW inspectors are employed full-time by the Organisation and they work under
   strict rules governing the protection of confidential information. They are chemical
   and chemical engineering professionals drawn from a range of CWC member
   countries.




CWC DOCUMENTS
ASNO reference and operational documents or tools available by request or downloadable
from its webpage (www.dfat.gov.au/cwco) include:
     Australian Safeguards and Non-Proliferation Office Annual Reports
     (www.asno.dfat.gov.au/annual_reports);
     A Guide for Australian Industry Producing, Using or Trading Chemicals;
     Information for Importers of Chemicals;
     International Chemical Trade Control – Information for Importers and Exporters of
     Chemicals – CD ROM;
     The Chemical Weapons (Prohibition) Act 1994 and associated Regulations;
     The Customs (Prohibited Imports) Regulations 1956 (5J);
     The Customs (Prohibited Exports) Regulations 1958 (13E); and
     Text of the Chemical Weapons Convention.




                                             2
INSPECTION EXPERIENCE
ASNO has facilitated, on average, three routine OPCW inspections at declared facilities
per year since 1997. Inspected chemical facility representatives have been complimentary
of the inspection process which, as expected, has not resulted in any disruption to
normal plant operations. All inspections have been accomplished in a spirit of full and
friendly cooperation which is a credit to the chemical industry and has demonstrated
Australia’s compliance with its obligations under the Convention. Declared information
was verified and there were no outstanding issues requiring subsequent clarification.

The inspection focus over the last few years has been changing from CWC Scheduled
facilities to those producing non-scheduled chemicals. The intensity of inspection effort
is reduced as the Schedule increases, with the non-scheduled chemical production facilities
having the least vigorous inspections given that their inclusion in the verification regime
is based on plant capabilities rather than the chemicals per se.

Inspections occur every 2 years or so at Australia’s Schedule 1 Protective Purposes
Facility. Whilst there are at least 10 facilities with permits to use Schedule 2 chemicals,
there is only one currently that is inspectable, given the 10 tonne per annum threshold
trigger for verification activities. All three Schedule 3 production facilities have been
inspected since entry-into-force of the Convention.

This publication has as its focus the most commonly inspectable facility type, those
which produce in excess of 200 tonnes per annum of non-scheduled Discrete Organic
Chemicals (DOCs) or above 30 tonnes per annum of DOCs containing phosphorus, sulfur
or fluorine (PSF-DOCs). There are in excess of 30 DOC facilities (mainly PSF-DOCs)
which are both declarable and inspectable in Australia among the 4600 or so declared
worldwide. The DOC inspection regime commenced in April 2000, and we expect to
receive, on average, two DOC OPCW inspections per year.



INSPECTION METHODOLOGY
The Conference of States Parties decides how many of each facility type will be inspected
each year according to the OPCW budget which is funded by member country contributions.
The average number of DOC inspections per year amount to about 125 out of a total
of approximately 200 industry verification inspections around the world (including
CWC Scheduled chemical facilities) and the trend is that these numbers are increasing.

The OPCW Technical Secretariat applies an inspection methodology to determine the
particular DOC facilities which are to be inspected in a given year. This methodology,
which is periodically reviewed and refined, includes a selection of the member country
and the facilities within the country. The selection of facilities is based on certain
weighting factors, one of which favours PSF-DOC facilities given that they pose a
higher risk to the object and purpose of the Convention than ordinary DOC facilities.
This is because many chemical warfare agents contain phosphorus, sulfur or fluorine
and PSF-DOCs are more suited to this type of activity.




                                             3
HOW THE OPCW INSPECTION WILL PROCEED
Figure 1 provides a useful schematic timeline for DOC inspections and the period leading
up to them. It also applies to a certain extent to inspections at Schedule 2 and 3
chemical facilities but with some variations. The following sections (pages 4-8) provide
more specific information on various aspects of the inspection process.




Notification Arrangements
ASNO will receive approximately 5 days notification of an impending OPCW inspection.
Standard practice will be for ASNO to immediately contact the site to notify the date of
the inspection and to provide logistical details such as expected time of arrival, the
names and nationalities of inspectors, and the names of the ASNO officials who will be
facilitating the inspection.



On-Site Preparation after Notification of Inspection
Once the site has been notified, the facility operator will need to prepare for the inspection.
This will entail the following:
         prepare pre-inspection briefing (see page 6);
         ensure that facility personnel are prepared for inspection, eg, that they understand
         the purpose of inspection and the inspection process, the role of ASNO,
         and role of the OPCW inspection team;
         ensure ready access to all relevant areas of the declared facility (eg, to ensure
         availability of plant managers, keys, etc.);
         ensure that relevant records and documents are available and easy to access;
         ensure that a secure work space is provided for inspectors (eg, lockable office)
         and where possible a separate work area for ASNO officials;
         order lunches to be brought to facility (where no canteen or other nearby dining
         facilities are available) – costs are reimbursed by ASNO;
         provide ASNO with any advice regarding safety equipment required by its
         officers or by OPCW inspectors (bearing in mind that they bring their own personal
         protective equipment including safety shoes, hard hat, goggles and overalls);
         arrange for availability of a shredding machine or other method to dispose of
         any in-confidence documents belonging to the facility; and
         be aware that there are procedures for protecting commercially-sensitive
         information.



   An ASNO official will visit the site before the inspection commences to assist the
   facility operator in finalising pre-inspection arrangements and to discuss the relevant
   managed-access provisions of the CWC.




                                               4
                                                            ASNO
                                                            meets OPCW                                                ASNO and        ASNO
                                                            inspectors                                                    OPCW        performs
                                                            at airport -                                          inspectors sign     final
                    ASNO             ASNO prepares
                                                            inspection                                           the preliminary      equipment
                    receives an      all logistical
                                                                                                                 factual findings     check and
ASNO



                    OPCW             arrangements           mandate is
                                                            handed over                                               report after    other post
                    inspection       including car
                                                            and equipment                                                  facility   inspection
                    notification     hire, visas,
                                                            checked                                                  consultation     activities
                                     accommodation
                                     bookings, etc.
                                                                   ≤12hrs
                                        5-7 days                                                             2-3 days

                                                                                              ≤ 24 hrs




                                                                                                                                      Post inpsection
                                                                            Briefing & tour
                                     Facility
FACILITY or OPCW




                                                       ASNO officers




                                                                                               Inspection
                                                                                                Activities
                                     prepares pre-     visit facility the




                                                                                                                  preliminary
                                     inspection        day before
                    ASNO




                                                                                                                  findings
                                                                                                                  Writing
                                     briefing and




                                                                                                                  report
                    immediately                        inspectors arrive
                                     organises         to finalise
                    informs
                                     office space      arrangements
                    facility about
                                     and lunches                         OPCW
                    inspection                                                                                                      OPCW
                                     (if required)                     Inspectors                                                 Inspectors
                                                                        arrive at                            ON-SITE                depart
                                                                         facility                                                   facility




                                                   Figure 1: DOC Inspection Timeline




Roles of ASNO, OPCW and the Facility
ROLE OF ASNO:
                   to assist site in preparing for the inspection, including pre-inspection briefing;
                   to organise accommodation and travel arrangements for the inspectors;
                   to verify the OPCW inspection mandate and check inspection equipment to ensure
                   that they are both consistent with CWC requirements;
                   to facilitate the inspection by ensuring inspectors are able to fulfil their mandate
                   while protecting sensitive information:
                   - this may involve negotiating with inspectors to clarify requirements under the
                      CWC or to provide alternative means of demonstrating compliance;
                   - this will ensure that inspectors remain within mandate of the inspection; and
                   in collaboration with facility personnel, to ensure that the inspection report is accurate
                   and classified to an agreed level.

ROLE OF OPCW INSPECTORS:
                   to strictly observe the inspection mandate and refrain from activities going beyond
                   the mandate; and
                   in the presence of ASNO representatives, the inspection team has the right to
                   communicate with the Headquarters of the OPCW, have unimpeded access to the
                   inspection site and interview site personnel.


                                                                    5
ROLE OF FACILITY:
     site personnel responsible for liaison with inspection team will need to be aware of
     obligations under Australian legislation and the CWC;
     to prepare and present the pre-inspection briefing and site tour (ASNO will assist);
     must be able to answer questions and access information; and
     must provide access to all declared areas of the facility.



Pre-Inspection Briefing for OPCW Inspectors
It is important that the pre-inspection brief is honest, open and transparent in order to
set the right tone for the inspection and remove any concerns that the facility is attempting
to conceal information. The brief should aim to assist the inspectors’ understanding of
the activities being carried out at the site, should include a site tour and should last no
longer than three hours.

The facility operator should recognise that the information being declared annually by
ASNO provides OPCW inspectors with little detail of the activities taking place at the
facility. For example, production quantities are declared in broad ranges and specific
chemicals are not identified.


With this in mind, the pre-inspection brief should include:
     an overview of company (including ownership and company structure, brief history
     of facility, etc.);
     a presentation of activities carried out on-site (including public brochures if
     available) and the chemicals produced;
     a layout of the plant site and plant(s) (eg, maps and photographs if available);
     an overview of the production chemistry at each of the declared plants;
     a brief description of the plant technological processes (including, for example,
     simplified process flow diagrams);
     annual production data of declared plants;
     a health and safety briefing;
     logistical and administrative arrangements; and
     a site tour.




                                              6
OPCW Inspection Activities
An OPCW inspection of a DOC facility may last up to 24 hours. In practice, this means
that inspectors may be on-site between 2 to 3 working days (as defined by the facility) in
order to undertake the inspection and finalise the inspection report. During this time, the
inspection team will need a separate (preferably lockable) office in which to work.


The OPCW inspector team is likely to consist of 2 or 3 inspectors which, during the
course of the inspection, may sub-divide into two groups:
     one group will focus on checking records and documents (see below) relevant
     to the conduct of the inspection, ancillary site facilities (eg, laboratory, medical
     centre) and site location; while
     the second group will focus on production processes in the declared plant(s).

Under the CWC, the areas that can be inspected include:
     areas where feed chemicals (reactants) are delivered;
     areas where manipulative processes are performed upon the reactants prior to
     addition to the reaction vessel;
     feed lines as appropriate from the areas referred to above to the reaction vessel
     together with any associated valves, flow meters, etc;
     the external aspect of the reaction vessels and ancillary equipment;
     lines from the reaction vessel leading to storage or to equipment for further
     processing;
     control equipment associated with any of the items described above;
     equipment and areas for waste and effluent handing; and
     equipment and areas for disposition of chemicals not up to specification.

The inspection team may interview site personnel. Although sampling and on-site analysis
to check for the absence of undeclared scheduled chemicals may be requested (conducted
by site representatives in the presence of inspectors), this is extremely unlikely.



Access To Records
As mentioned previously, the information declared on an annual basis for each facility is
minimal and provides little detail of activities taking place on-site. Nevertheless, during
the inspection, inspectors may need access to records to verify the accuracy of the
information declared. However, rather than the OPCW inspectors having access to all
documents, the managed-access provisions of the CWC can be used to protect
commercially-sensitive information. Examples of how managed-access can be used
in practice include the facility providing OPCW inspectors access to the following:

     monthly production records for some randomly selected months for the previous or
     current calendar year rather than accessing such records for the entire year. The
     inspection team can then extrapolate the findings over the whole year to confirm
     that production is consistent with the declared range;



                                             7
      in cases in which the plant has not operated during the whole year, monthly
      production records for all the months that the plant was in operation. The inspection team
      can then aggregate data and calculate the total production for the previous
      calendar year; or
      recordings of flowmeters of raw materials or records of reactants utilised for the
      production – the inspection team can then calculate the production based on raw
      materials (taking into account the stoichiometry and the conversion factors of the
      relevant chemical reactions involved in the technological processes linking raw
      materials and end products).

In any event, the details of the records provided during the inspection will not need to be
incorporated into the final inspection report. Rather, the report can confirm that records were
checked and the production ranges were found to be consistent with that declared.




     The OPCW inspection team will not need to access sensitive financial or customer
     information.




OPCW Inspection Equipment
The OPCW inspection team are permitted under the CWC to bring a variety of equipment to a
routine industrial inspection including: portable GPS, instant camera, secure voice telephone,
computer, seals, tape measure, flammability/explosive/air quality monitor and personal
protective equipment.


Completion of Inspection
Upon completion of the inspection, the inspection team will meet with ASNO and site
representatives to review the preliminary findings of the inspection and to clarify any ambiguities.
An inspection report will be prepared by the inspection team and reviewed by ASNO and
facility representatives before being finalised and co-signed by the leader of inspection team
and by ASNO. The inspectors will negotiate the level of confidentiality of this report and any
other material to be taken off-site (eg, company brochures). Other material used by the
inspectors will be shredded or returned to the facility.

No later than 10 days after the inspection, the inspectors will prepare a final inspection report
which will be sent to ASNO for comment. After consultation with site representatives, ASNO
may forward written comments on the report to the OPCW no later than 30 days after the
inspection.

The final report, including comments from ASNO, is then submitted to the Director-General of
the OPCW for official closure of the inspection file (assuming no uncertainties or issues requiring
further attention are identified in the report). It will be archived in the secure OPCW archive
file until its final destruction in accordance with OPCW confidentiality procedures.




                                                 8
                  ANNEXES


Annex 1:   Definitions

Annex 2:   Facility Preparation prior to Inspection: Check List




                              9
             ANNEX 1


             DEFINITIONS
             The following definitions are contained in the Chemical Weapons Convention and pertain
Schedule 1




             to facility notifications and declarations: In the event of an OPCW inspection of a facility
             with multiple plants, this guide can be used to reconcile declarations with on site operations.



             Discrete organic chemical (DOC) Any chemical belonging to the class of chemical
             compounds consisting of all compounds of carbon, except for its oxides, sulfides and
             metal carbonates, identifiable by chemical name, by structural formula, if known, and by
             Chemical Abstracts Service (CAS) registry number, if assigned. (Long chain polymers,
             petroleum refining and one-step explosives production are not included in this definition.)

             PSF-DOC Discrete Organic Chemical containing phosphorus, sulfur or fluorine.

             Facility means any of the industrial sites as defined below (“plant site”, “plant” and
             “unit”).

             (a) “Plant Site” (works, factory) means the local integration of one or more plants,
             with any intermediate administrative levels, which are under one operational control,
             and includes common infrastructure, such as:
                   (i)      administration and other offices;
                   (ii)     repair and maintenance shops;
                   (iii)    medical centre;
                   (iv)     utilities;
                   (v)      central analytical laboratory;
                   (vi)     research and development laboratories;
                   (vii)    central effluent and waste treatment area; and
                   (viii)   warehouse storage.

             (b) “Plant” (production facility, workshop) means a relatively self-contained area,
             structure or building containing one or more units with auxiliary and associated
             infrastructure, such as:
                   (i)      small administrative section;
                   (ii)     storage/handling areas for feedstock and products;
                   (iii)    effluent/waste handling/treatment area;
                   (iv)     control/analytical laboratory;
                   (v)      first aid service/related medical section; and
                   (vi)     records associated with the movement into, around and from the site, of
                            declared chemicals and their feedstock or product chemicals formed from
                            them, as appropriate.

             (c) “Unit” (production unit, process unit) means the combination of those items of
             equipment, including vessels and vessel set up, necessary for the production, processing
             or consumption of a chemical.




                                                           10
ANNEX 2


FACILITY PREPARATION PRIOR TO INSPECTION: CHECK LIST
Identify documents possibly relevant to the inspection including:
    relevant records and documents
    notifications under CW(P)Act 1994
    working instructions for relevant equipment/sites
    OH&S rules and procedures
    routines for purchases and storage of materials
Identify sensitive information: Assess managed-access provisions
    assess company policy of on-site photography
    remove sensitive material from office spaces
    shroud sensitive displays, stores and equipment (computer or electronic systems)
Identify facility equipment that may be used during inspection on request
    prepare equipment for analysis (calibration etc.)
    ensure that trained personnel are available to operate relevant analytical instruments/equipment
    ensure managed-access provisions are in place for use of above equipment, if necessary
Prepare facilities to be used during inspection
    conference/briefing room for pre- and post-inspection briefing
    working space for inspectors (preferably lockable) and if possible for ASNO officers
    fax and shredding machines
Prepare procedures for entering facility: permits, identity badges for site personnel etc.
Order lunch, where required, for OPCW inspectors and ASNO officials (reimbursed
by ASNO)
Prepare pre-inspection briefing (see below)
Prepare site tour




PRE-INSPECTION BRIEFING SHOULD INCLUDE:
   Overview of company, including:
     company structure
     date of establishment of facility and brief history of facility activities
     any changes of facility ownership
     number of personnel
   Layout of plant site
     site map identifying declared plants
     sketch of relevant plants to be inspected
   Relevant documents including permits / notifications
   Overview of current activities
     overview of the chemicals and products being produced
     overview of the chemistry at each declared plant
     anticipated changes in chemical production, if relevant
     brief description of technological process used (eg, process flow charts)
     production/processing/consumption data
   OH&S regulations and other safety measures




                                                   11
Disclaimer

Published by the Australian Safeguards and Non-Proliferation Office (ASNO) within the Department of Foreign Affairs and
Trade, this document contains information that may assist Australian manufacturers of discrete organic chemicals preparing
to receive OPCW inspections.

Whilst every care has been taken in ensuring the accuracy of the information provided, the Department of Foreign Affairs
and Trade, its officers, employees and agents, accept no liability for any loss, damage or expense arising out of, or in
connection with, any reliance on any omissions or inaccuracies in the material contained in this publication.

Copies are available free-of-charge from ASNO and electronically from its website.




                                                           12

								
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