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Preface
ATEX 95 and 137 are two safety Directives of the European Union, named after the French
“ATmosphere EXplosive”.
Directive 94/9/EC of 23. March 1994 (ATEX 95, “Machine”, “Equipment” Directive) provides the
technical requirements to be applied to equipment intended for use in potentially explosive atmos-
phere. Thus equipment has to fulfill certain specification dependant on the use in explosion zones.
Directive 99/92/EC of 16. December 1999 (ATEX 137) lays down minimum requirements for im-
proving the safety and health protection of workers from explosive atmospheres. It requires classi-
fying work places where explosive atmosphere may occur in order to ensure protection against ex-
plosion.
New equipment must meet the requirements as from July 2003. Existing or second-hand equipment
is permissible if justified by appropriate risk assessment. If the user imports equipment from outside
the EU, he is required to meet the requirement of the Directive.
The Pharma Global HSE & BCP Management Meeting of June 03 decided to elaborate a Guide
supporting the implementation of ATEX 137 of the ChemOps / PharmOps sites in the European
Union. However, the principles of managing safety in areas with explosive atmospheres are gener-
ally applicable. The aim was to make optimal use of the safety standards and tools that are already
successfully implemented and applied within Novartis Pharma to avoid duplication of work.
We have asked the Swiss Safety Institute to elaborate such a Guide with us. The latter has also de-
veloped the Novartis Standards in this area. It is intended to supplement the Guide with further ex-
amples. Please feel free to submit examples to be included in the Guide. Likewise, any suggestions
and comments are welcomed.
October 2003
Introduction................................................................................................................................... 1
Requirements ................................................................................................................................. 2
Target Date......................................................................................................................................
.................................................................................................................................... 2
Annex 8 References................................................................................................................. 21
Introduction
This Guide supports the implementation of the European Directive 1999/92/EC (ATEX137). It ap-
plies to all sites of NOVARTIS PHARMA in Europe. However, the general principles of managing
safety in areas with explosive atmospheres are applicable also in other regions.
The non-binding guide provides support in fulfilling the requirements of the Directive taking into
consideration concepts and tools that are traditionally applied in NOVARTIS PHARMA, such as
• ZHA Risk analyses
• the Worksheets to Guidance Note 3.1
• Evaluation of the Hazards in the Work Area according to Guidance Notes “Assignment of
Health Protection Measures for the Handling of Hazardous Substances” and “Workplace Health
Risks Assessment”
Thus it does not set new internal standards of it own; rather it shows how to combine established
rules and NOVARTIS working practice in order to fulfill the European Directive.
The main part of the Guide is a procedure to implement the directive. It is intentionally short, but
contains many references to some more extensive annexes, which you might wish to read when fol-
lowing the proposed procedure.
Requirements
Directive 1999/92/EC is addressed to employers operating establishments where explosive atmos-
pheres occur. It defines the following minimum requirements in order to improve the safety and
health of workers potentially at risk from explosive atmospheres:
• An explosion protection concept must be established to employees working in such areas.
• The concept must be based on a risk assessment and take into consideration the following priori-
ties:
1. Prevention of the formation of explosive atmospheres
2. Elimination of ignition sources
3. Mitigation of detrimental effects of an explosion
• The concept must be implemented and enforced
• The concept must be documented in an explosion protection document
The worksheets that support the implementation of NOVARTIS Guidance Note 3.1 provide a basis
for safety concepts that are in compliance with this EU directive. One should notice however, that for
a complex plant, the worksheets for each apparatus must be applied, and a separate safety concept
must be developed for equipment where there is no worksheet.
Where safety concepts are based on worksheets it is sufficient to refer to those in the explosion pro-
tection document (see Annex 6) and to add the details that are described in the worksheets in a ge-
neric way (e.g. details such as certificates of electric devices must be enclosed or specifications of
conductive footwear etc.)
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Target Date
The directive has come into force on June 30th, 2003. It must be implemented as follows:
Establishments in use The directive must be implemented until June 30th, 2006. Electrical
before June 30th, 2003: equipment must not be recertified, unless risk analysis shows that it
did not fulfill the requirement for Ex-Zones existing before June
30th, 2003
Establishments coming The directive must be implemented before operating the establish-
use after June 30th, ment. Electrical equipment must comply with EU directive 94/9/EG
2003:
Establishments being The directive must be implemented before operating the modified or
modified or extended extended establishment. Certification of equipment by a notified
after June 30th, 2003: body is required for use in Zones 0 and 20 and where electrical
equipment is involved. In all other cases, the certification can be
made by specialists employed or contracted by NOVARTIS.
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1
) Notice that other European countries (e.g. Switzerland) have harmonized their legislation with the EU, such that
similar requirements apply.
2
) see Annex 1
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of the dust one hand and the vapor (or gas) on the other hand are below the lower explosive limit!
The ignition energy of hybrid mixtures is mainly determined by the ignition energy of the vapor
(gas), which is by 1-4 orders of magnitude lower that that of the powder (dust). This dangerous ef-
fect can occur if the vapor (gas) concentration is as low as 25% of the LEL. Therefore hybrid mix-
tures may be formed in presence of flammable liquids at temperatures as low as 30°C below the
flashpoint of the liquid.
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2.3 Ventilation
By adequate ventilation, preferably at the source, flammable substances can be removed from the
working area und thus the formation of explosive atmospheres can be prevented or at least the ex-
tension of the dangerous area can be significantly reduced.
However one should notice that the ventilation system itself (including the filters and fans) is an area
where explosive atmospheres may be formed and therefore is subject to the directive.
The design of a ventilation concept in areas where explosive atmospheres could occur is quite a chal-
lenge: From point of view of explosion protection (and industrial hygiene) the air flow should always
be directed towards the possible source of the flammable material (e.g. an open man way). This im-
plies that production rooms should have a slightly lower pressure than the access corridors. However
from point of view of product quality, the airflow should be just in the opposite direction in order to
avoid contamination of pharmaceutical products with contaminants form outside.
A detailed description of the impact of ventilation systems on the extent of Ex-Zones is given in [7].
2.4 Evacuation
Working under reduced pressure will reduce the explosion risk. Firstly, the energy required to ignite
explosive mixtures at reduced pressure is much higher than at normal pressure, and below approx.
100 mbar no ignition is possible with ignition sources occurring in practice. Secondly, the possible
impact of an explosion starting at reduced pressure will be reduced, as the maximum explosion pres-
sure will decrease proportionally the initial pressure.
2.5 Inerting
By operating under inert gas (e.g. nitrogen), the formation of explosive mixtures can be avoided. In-
erting can avoid explosions of dusts, vapours and hybrid mixtures, but not decomposition or smoul-
dering of powder deposits.
• The level of residual oxygen should not exceed the experimentally determined Limiting Oxygen
Concentration of the respective explosive mixture, taking into consideration a safety margin of
2%.
• Inerting must be ensured in all locations and during all process phases where explosive mixtures
could be formed and relevant ignition sources can not be safely excluded.
• Inerting must be carried out according to validated procedures. A standard method [12] is
evacuation followed by refilling with inert gas. The number of necessary evacuation cycles de-
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pends on the residual pressure after evacuation, the residual oxygen content in the inert gas and
the permitted residual oxygen concentration. An alternative - less preferable - method is flushing
with inert gas.
• Where highly reliable inerting is required, the oxygen concentration must be monitored, prefera-
bly by oxygen meters. Monitoring the nitrogen flow after validation with an oxygen meter is a -
less reliable - alternative.
The operating manual for inerted plants must include instructions for the prevention of accidents due
to asphyxiation (e.g. when cleaning out the equipment, on control rounds, at discharge points).
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Annex 3 Ex-Zones
Where the formation of explosive atmospheres can not be reliably and permanently excluded, the
respective hazardous area has to be designated as an Ex-Zone, according to the following definitions:
Ex-Zone 0 An area in which a hazardous explosive atmosphere formed by vapor or gas in
air is present
− continuously or
− for long periods or
− frequently
Ex-Zone 1 An area in which a hazardous explosive atmosphere formed by vapor or gas in
air is likely to occur in normal operation.
Ex-Zone 2 An area in which a hazardous explosive atmosphere formed by vapor or gas in
air is not likely to occur in normal operation, and if it does occur, it will exist
for a short period only.
Ex-Zone 20 An area in which a hazardous explosive atmosphere formed by a dust cloud in
air is present
− continuously or
− for long periods or
− frequently
Dust layers of unknown or excessive thickness may be formed. Dust layers on
their own do not constitute a zone 20.
Ex-Zone 21 An area in which a hazardous explosive atmosphere formed by a dust cloud in
air is likely to occur in normal operation. Layers of combustible dust will in
general be present.
Ex-Zone 22 An area in which either
− a hazardous explosive atmosphere formed by a dust cloud in air is not
likely to occur in normal operation, and if it does occur, it will exist for
a short period only.
− accumulations or layers of combustible dust are present.
In general the Ex Zones 0, 1, 2 and 20, 21, 22 are found in the following areas. Inert gas blanketing
or natural or active ventilation that ensures a sufficient dilution of the combustible component could
justify classification in a less hazardous zone.
Zone 0 • inside containers, reactors and pipes containing flammable vapors (i.e.
liquids above their flashpoint)
• where open handling of flammable liquids occurs permanently or for long
periods (degreasing stations)
• in vent lines of containers, reactors and pipes containing flammable va-
pors
Zone 1 • inside pipes normally filled with liquids above their flashpoint
• adjacent to zone 0 where there is no separation (wall, siphon)
• at manholes of reactors containing flammable vapors
• at outlet points of venting or breathing lines of containers and reactors
containing flammable vapors
• at filling stations open handling of flammable liquids occurs
• in trenches and sumps below Zone 0 areas
Zone 2 • adjacent to zone 1 where there is no separation (wall, siphon)
• at outlet points of pressure relief systems of containers and reactors con-
taining flammable vapors and gases
• where spillages of flammable liquids or gases could occur
• around flanges and blind flanges of pipes containing flammable liquids or
gases
• around couplings of hoses, pipes and vapor return lines where flammable
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o Temperature: With increasing temperature the vapor pressure of the hazardous substance
will increase and the density will decrease its density and viscosity.
o Viscosity: Highly viscous media will have a lower release rate and thus produce a smaller
explosive volume compare to low viscous media having otherwise the same properties.
o Explosion range: Substance with having a low Lower Explosive Limit (LEL) will in gen-
eral lead to larger explosive volumes
• Ventilation
By effective ventilation the formation of explosive atmospheres can be prevented or their extent
and persistence can be significantly reduced. See [7]
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Explosive atmosphere
periods or frequently
does not occur
eration
Zone none 2/22 1/21 0/20
Ignition source ò ò ò ò
acceptable
not acceptable
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Where open flames are part of the process (e.g. gas flames in spray driers, combustion units in off-gas
incineration units), these must be location outside ex-zones, and measures must be take to avoid the
transfer of embers from these unit into ex-zones.
II G 2 EEx ib IIC T3
Lagel of the notified body,
T1=450°C; T2=300°C;
T3=200°C; T4=135°C;
G for gas/vapor; D for
and graphic Ex-Label
T5=100°C; T6=85°C
the process industry)
Protection type,
temperature:
and 50039
and MIC
above
dust
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Charge can be accumulated on non-conductive liquids or powders. Therefore special precautions are
required to avoid ignition of explosive atmospheres where such materials are handled. If the bulk re-
sistivity of a powder is >1010Ohm⋅m discharges between a pile of such a powder to the earthed wall
of the container may occur (cone discharges, see worksheets to GN 3.1)
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Design of protective measures must be made on the basis of safety data (K-values) by specialists
following acknowledged codes. As a standard, design should be made for K values up to 299 bar
ms-1. Lower specifications are allowed, provided it is shown that only products with K-values up
to the design value are handled. Effects of solvent in the mixture on the K-value are to be consid-
ered.- The design documentation must be available.
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The recommended layout given below for an explosion protection document follows ref [3].
It is important to notice that reference to existing documents (e.g. management manuals, corporate
and divisional guidelines, manuals of equipment and SOPs) can and shall be made where possible. A
hierarchical structure (site/plant/equipment) will reduce paperwork, as topics treated on a higher
level can be referenced to in equipment-specific documents. Example: The site emergency organiza-
tion must not be described in detail in the documents for each plant.
Header Information
• Identification Code
• Version
• Company, Site, Plant, Equipment, Area
• Names of author and person in charge of approval
• Date of creation / modification
General Site Safety Management
• Safety Management System
• ESHA Organization, in particular on site level
• Emergency organization, in particular on site level
• Safety relevant infrastructure (e.g. nitrogen supply)
Organization
• Organization chart (plant)
• Responsibilities
• Staff, Qualification
Buildings and topography
Documentation of the buildings and topography may be in graphic form: e.g.
• location plan
• layout plan
• building or plant ventilation
Specification of the process step and activities to be assessed
• The process can be described in the following ways:
• textual description
• process flow chart and
• layout plan.
• The outline of the process should contain all information that is important for explosion pro-
tection.
• Description of the operational steps including
• overview of design and operational data (e.g. temperature, pressure, volume, throughput, ro-
tational speed, equipment)
• startup and shutdown
• cleaning
• maintenance
• process or product changes
Flammable substances
• identification (name)
• quantity
• safety data
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Annex 8 References
1. ATEX 137: Directive 1999/92/EC of the European Parliament and the council of December 16,
1999 on minimum requirements for improving the safety and health protection of workers poten-
tially at risk from explosive atmospheres.
2. ATEX 95: Directive 94/9/EC of the European Parliament and the council of March 23, 1994 on
the approximation of the laws of the Member States concerning equipment and protective sys-
tems intended for use in potentially explosive atmospheres.
3. Guidelines on the application of council directive 94/9/ec of 23 march 1994 on the approxima-
tion of the laws of the member states concerning equipment and protective systems intended for
use in potentially explosive atmospheres
4. EN 13461: Non-electrical equipment for potentially explosive atmospheres, January 2002
5. EN 50015-21: Electrical equipment for potentially explosive atmospheres
6. EN 1127: Explosive Atmospheres - Explosion prevention and protection - Basic Concepts, 1997
7. EN 60079-10: Electrical equipment for use in explosive atmospheres, part 10: Classification of
hazardous areas
8. IEC 61508- Functional safety of electrical/electronic/programmable safety related systems
1998/2000
9. RASE: Methodology for the Risk Assessment of Unit Operations and Equipment for Use in Po-
tentially Explosive Atmospheres; EU Project No: SMT4-CT97-2169; March 2000
10. K.Nabert, G.Schön: "Sicherheitstechnische Kennzahlen", Deutscher Eichverlag, Berlin 1963 and
Supplements up to 1990.
11. Schweizerische Unfallversicherungsgesellschaft SUVA: Merkblatt 2153 "Explosionsschutz", 2003
12. ESCIS Booklet Nr. 3: "Inerting", 1994
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Annex 9 Examples
x
Zone 0
Zone 1
1m
Zone 2
1m
Risk Assessment
Areas where explosive atmospheres may occur (Ex-Zones)
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Conclusion:
In addition to the existing safety concept: the following measures must be taken:
1. Lab technicians must be properly grounded during operation.
2. Plastic cans must be banned
3. The lamp must be replaced by one fulfilling requirements of Zone 2. As an alternative, limiting
Zone 2 to the lower part of the room is an option (line “x”)
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1 The mechanical integrity of the sieve is regularly checked within the SAMACO program
2 The action to be taken in case of blockage is described in in SOP 415-03.
3 Ex Zones have been assigned, see page 27
The electrical equipment is not formally certified for the use in Ex-Zones. It is however
dust tight (Sieve control panel and motor IP 65, fan IP 54). Furthermore, surface tem-
peratures above 50°C (i.e. temperatures at which surface can not be touched for long du-
ration with unprotected hand have never been observed. The surface temperature of the
drives of the sieve and of the fan have been measured after 1h under full load: Values of
38°C for the sieve and of 32°C for the fan were observed. The plant is aware that after
modification or replacement of the equipment, certification is required.
4 Does not apply
5 The sieve and all mobile equipment is grounded.
6 Does not apply: MIE is 30 mJ
7 Does not apply: The diameters of the receiver and of the drum are smaller than the
critical diameter d = 0.612 x MIE 0.297 x M-0.435=5.9m !
8 Does not apply
9 Does not apply
10 Metal drum 50L with plastic bag permitted. Drum is grounded.
12 Does not apply
13 No non conductive liner in the sieve
14 Does not apply: MIE >3mJ
15 Does not apply: sieve run in batch mode
16 Does not apply: powder does not deflagrate
17 The protection concept for small equipment (bench scale equipment is applied) with a
clearly designated hazard zone (see scheme to item 3)
18 Protective measures as implemented in measure 17 are required for the combination of
MIE=30-100mJ and MIT=390°C.
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Decomposition Test
(Lütolf test, open tube), (dynamic, 1st exotherm at: 190ºC
2.5C/min) dTmax 29ºC at 210ºC
OPTIONAL TESTS
Bulk Resistivity: 6.1x1011 +/- 0.6x1011 Ohm m
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