Self Assessment and Verification as integral elements of Responsible Care: Approaches in Europe to d

1
Self Assessment and Verification as integral
elements of Responsible Care Approaches in
Europe to date. A company view

• Harry Spaas
• Dow Europe GmbH

2
Cefic agreement based on Responsible Care review
(1)

• Key recommendations from this review
• A management system framework will be
  introduced as a tool to assist in the delivery
  and systematic management of Responsible Care. It
  should have a built-in capability of
  certification should there be stakeholder reward
  or a business case for doing so.
• Mandatory self assessment of the implementation
  of Responsible Care by companies will be the
  minimum baseline with a move to periodic
  verification by external parties

3
Cefic agreement based on Responsible Care review
(2)

• C2. A Responsible Care Management System
  Framework will be introduced to help companies
  address and manage all the key areas of the
  Responsible Care initiative.based on the Deming
  Cycle of Plan-Do-Check-Act and will take into
  account the requirements of existing recognized
  management system standards and have an
  in-built capacity to enable it to be certified
  . This course of action could be taken as and
  when a business value is identified or when there
  is potential for stakeholder recognition.

4
Fundamental features of National Responsible Care
programmes

• Establishing and implementing a set of Guiding
  Principles.
• Adopting a title and Responsible Care logo.
• Implementing management practices through a
  series of systems, codes, policies and guidance
  documents to assist companies to achieve better
  performance.
• Developing a set of progressive performance
  indicators.
• Communicating with interested parties inside and
  outside the membership.
• Sharing best practices through information
  networks.
• Encouraging all association member companies to
  commit to and participate in Responsible Care.
• Introducing and implementing systematic
  procedures to verify the implementation of the
  key elements of Responsible Care by member
  companies.

5
Cefic agreement based on Responsible Care review
(3)

• C3. Verification (implementation assurance) an
  essential element
• Verification is considered an essential element
  of the programme Self-assessment by companies on
  their implementation of Responsible Care is to be
  a mandatory requirement. there should be a
  commitment to move to periodic external
  assessment.

6
Self-assessment and Verification Objectives

• Company
• drive improvement
• assure compliance
• address priorities
• transparency
• dialogue
• credibility/ acceptance
• stakeholder confidence

• Federation
• drive industry-wide improvement together with
  companies
• share best practices
• address priorities and relevant common issues
• credibility/acceptance of the chemical industry
• stakeholder confidence

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General information about Responsible Care in
Spain

• Responsible Care was adopted by FEIQUE in 1993.
• Not a condition of membership special
  Responsible Care budget
• Verification by companies
• - Implementation of FEIQUE RC Guiding Principles
• - Implementation of FEIQUE RC Codes
• - FEIQUE Responsible Care Indicator
  Questionnaire
• Verification by FEIQUE
• - Evaluation of the Guiding Principles Self
  Assessments
• - Evaluation of the RC Codes Self Assessments

8
Guiding Principles and Codes for the companies

• Responsible Care Guiding Principles Ten
• Content of Codes (revised in 2001)
• Six Codes of Management Practices (Environment,
  )
• Management practices and references Enunciate
  actions to carry on in a generic way.
• References Specific activities related to each
  Practice
• Levels 1 to 6 and n.a.

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Self Assessment of Guiding Principles and Codes
by companies

• Responsible Care Guiding Principles Self
  Assessment Questionnaire to be sent out every
  three years
• Responsible Care Codes
• Companies are asked to send the self-evaluation
  of three codes to Feique annually
• Feique verifies the self-assessment by company
  visits.
• Feique identifies opportunities for improvement
  and gives specific recommendations.
• A final report sent to C.E.O. and RC co-ordinator
  with general recommendations and the results of
  an internal benchmark.

10
Responsible Care Self - Assessment in Italy

• The FEDERCHIMA RC Self Assessment Questionnaire
  is a checklist based on
• -FEDERCHIMICA Guide to the Management of the
  Responsible Care Programme and on
• -Cefic RC SAQ document 1998
• -further developped in 2001
• FEDERCHIMICA Guide to the Management of the
  Responsible Care Programme
• -aims at the diffusion of Integrated Management
  Systems to encourage the development of
  management systems as an effective approach
  to manage HSE issues
• -promotes the use of ISO 14001
• Policy for Self Assessment Survey
• - every 3 years 1996 and 1999
• -Self Assessment Survey 2002 cancelled for
  organizational reasons
• (transition to Checklist launched in 2001)
• -new Survey Tool launched in October 2004,
  presently in progress

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Guide for the Management of Responsible Care
Programme

• Guidelines
• Check List
• Launched in 2001

Detailed for each chapter
Check List
General Summary
Internal
Use
Base for Survey
12
General Information about Responsible Care in
Germany

• VCI adopted Responsible Care in 1991
• Responsible Care is a condition of membership
  since 1991
• Verification by companies
• Implementation of VCI Guiding Principles via RC
  SAQ
• Implementation of VCI Codes and Guidelines via RC
  SAQ
• Continous Performance Improvement via RC IoP
  Questionnaire
• Verification by VCI
• Evaluation of the company results
• Based on the results of VCIs Self Assessment
  Survey priorities and areas of activities
  defined
• VCI RC workshops for information and experience
  sharing on demand

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Guiding Principles and Codes for the Companies

• VCI Responsible Care Guiding Principles based on
  VCI Environmental Guidelines 1986
• Content of VCI Codes/Guidance Documents
• Environment, Occupational Health and Safety,
  Transport Safety, Process Safety, Product
  Stewardship, Dialogue/Communication
• Description of good management practice
• Levels 0 (not applicable) I (no), II
  (implemention planned), III (implementation
  started) IV (yes, implemented), V (implemented,
  checked and integrated in continous improvement
  processes)

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Self Assessment of Guiding Principles and
Codes/Guidances

• VCI Responsible Care Self Assessment
  Questionnaire
• published 1998
• in line with Cefic RC Self Assessment
  Questionnaire (1998) for AFEMs
• based on VCI Implementation Guideline Responsible
  Care (1995)
• in revision since 2004

15
General information about Responsible Care in the
Netherlands

• VNCI adopted Responsible Care in 1990
• Responsible Care is mandatory for members since
  2002
• Verification by companies
• Implementation of VNCI Guiding Principles via RC
  SAQ
• Implementation of VNCI Responsible Care Codes via
  RC SAQ
• A yearly environmental report, which is to be
  validated by the authorities
• Verification by VNCI
• Evaluation of the companies RC Self Assessments
• Based on the results priorities for areas of
  improvement are defined
• VNCI RC Workshops for experience sharing held

16
Guiding Principles and Codes for the companies

• Responsible Care Guiding Principles based on the
  12 Cefic guidelines for the
• protection of the environment
• Content of VNCI RC Codes
• Six Codes of Management Practices (Environment,
  Health, Safety, P.S. Transport, Communication)
• Description of good management practice
• Levels no action (1), inventory phase (2), plan
  (3), do (4), check (5) act (6)

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Self Assessment of Guiding Principles and Codes
by companies

• VNCI Self Assessment Questionnaire
• Companies are asked to send their self evaluation
  (their self assessment questionnaire filled in
  with the level of implementation 1-6) to VNCI
  annually
• VNCI evaluates the answers to identify areas for
  improvement at sector level

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Dows observations on todays programs

• Many commonalities but also many differences
• Federation assessments to date (first
  generation) do not reflect company internal
  systems, organization, improvement processes
• Present self-evaluations only partially lead to
  achieving the multiple objectives for
  self-evaluation and verification

19
Todays situation with respect to Self-Assessment
and Verification

• Company-level
• Many sites and installations meet ISO or other
  standard requirements (incl. self-assessment,
  auditing and management system reviews)
• These standards are helpful
• ISO etc. do not address an optimized and balanced
  structure in which self-assessment, auditing and
  verification on plant, site, national, and
  company level are put in a common perspective

• Federation level
• Self-assessment is the main means of verification
  
• Common strengths and opportunities can be
  identified and addressed
• Difficult to roll-up in aggregated industry
  performance , e.g. to support meaningful
  transparency
• draft subsequent SAQ generation (tries) to
  understand, address and assist the performance
  improvement processes of companies

20
Towards the next generation in self-assessment
and verification

• With the Responsible Care Management Framework as
  the reference the multiple objectives for
  self-evaluation and verification, both within
  companies and within the chemical industry, can
  be achieved through natural evolution
• A systematic approach to self-assessment can help
  to
• define built-in drivers for continuous
  improvement in performance, relevant for the
  chemical industry at large and for individual
  companies,
• apply appropriate differentiation along the value
  chain and the supply chain
• meet relevant stakeholder expectations in a
  dynamic manner.
• balance system improvements and performance
  improvements

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Requirements with respect to self-assessment and
verification

• Federation level
• taking into account internal and external
  expectations
• supportive to address common improvement
  opportunities and to help enhance company
  improvement processes
• relevant for key performance indicators
• assessment along an agreed framework, recognizing
  company diversity
• avoid unnecessary burden
• dynamic (the balanced framework dilemma a
  common framework with maximum flexibility)

• Company-level
• consistent with internal management systems and
  work processes
• address full value chain
• relevant with respect to company specific
  situations and company specific risks
• include compliance assurance
• drive improvement both in performance and systems
  which enable performance
• cost-effectiveness
• dynamic (the standard dilemma global
  definition/ local implementation/static versus
  change)

22
A tiered structure for (self-)assessment and
verification
company federation

• inspections/ monitoring
• self-assessment
• internal auditing
• external auditing
• management system and performance review
• other (complementary and/ or statistical)
  verification
• gt geared to individual company specifities and
  needs
• gt aligning with overall industry continuous
  improvement in systems and performance

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• Continual improvement
• System
• Key Industry Performance Indicators
• Occupational Health Safety
• Process Safety
• Environment
• Product Stewardship
• Distribution
• Emergency Preparedness
• Key company performance indicators
• Stakeholder Engagement
• Outside-in perspectives

external verification
inspections/ monitoring self-assessment internal
auditing external auditing
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Path forward (multi-generation approach)
3 guidelines for implementing main elements
pilot SAQ2 pilot external party
verification

• 4
• assess value and need for next generation
  framework/ standard
• implement SAQ 2
• implement external party verification
• apply selective 3rd party verification

• 2
• add next level of detail to main elements
• guideline for management reviews
• assess implementation of SA and MSR
• SAQ 2 draft1
• integrate management review in management system
• define and implement verification structure

• 1
• broad definition/ main elements
• assess best practices for self assessments and
  management reviews
• guideline for company self-assessment
• integrate self-assessment in management
  system

• framework
• federations
• companies