Project Design and Management of Optimized Self-Protection Plans: A Case Study for Spanish Public Buildings

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A novel methodology for project management applicable for self-protection plans for public buildings based on the best practices of technologies, systems, and methods.

Abstract

Self-protection plans are the fundamental tool established to prevent and control the risks that threaten people and assets. In turn, they are essential to provide an adequate response to possible emergency situations that may occur in public or private buildings, facilities, or events. In this context, current and future challenges advocate increasing the usefulness, versatility, and adaptability of self-protection plans. For this purpose, this paper aims to develop a conceptual model for the project management of self-protection plans with a lifecycle approach. The research provides results concerning guidelines, aspects, and potential regulations, technologies, tools, methodologies, and maintenance frameworks to be followed for any building in different project phases. The methodology followed has consisted of a process in stages, with literature review and a conceptual development to obtain an adaptable model to any public building. The adaptability of the framework relies on the definition of potential methods, information systems, and technologies that can support any phase during the Self-Protection Plan life cycle. Moreover, it was applied in a specific environment, such as in public buildings under the Spanish regulation using the most common tools and applications available. Results proved that although it is possible to make a base model applicable to any publicly owned building, there is an extensive and precise subsequent work of adaptation to specific cases in which the applicable legal framework makes this task challenging. Finally, the results obtained have allowed us to reflect on future research needs.

1. Introduction

According to Contelles (2014), self-protection can be defined as “self-defense against possible harm or danger through the adoption of a series of measures” [1]. The General Directorate of Civil Protection and Emergencies considers two types of self-protection, one part that citizens will exercise in the physical setting where they live their lives, and a corporate self-protection, formed by the system of actions and measures adopted by public or private entities, aimed at preventing and controlling risks, responding to emergencies, and guaranteeing the coordination of the actions adopted [2].

Self-protection plans are emergency plans and, consequently, are part of the set of civil protection plans determined by the different laws and regulations in force. Civil protection was born after the First World War as a response and preparation to organize care for the civilian victims caused by the war. This model evolved into the modern concept of civil protection, where the aim is to ensure the safety of people and property in situations of serious collective risk, catastrophes, or calamities in times of peace [3].

In such a technology—an enhanced universe—some islands are left in emergency management where innovation is still to arrive. Among them, the development of the Emergency Plan—the tangible result of the planning stage—is of particular relevance since emergency plans are the essential building blocks of every response, and, as such, one would expect the launch of emergency planning tools that allowed building better plans. Nevertheless, we will show that such tools are still to come. Finally, what is missing is a full life cycle support for emergency plans including tools for plan definition, dissemination, enactment, and analysis [4].

To regulate corporate self-protection, Royal Decree (RD) 393/2007, of 23 March, was published, approving the Basic Self-Protection Standard (NBA) for centers, establishments, and dependencies dedicated to activities that may give rise to emergency situations [5]. The NBA presents the Self-Protection Plan as the document that establishes the organic and functional framework planned for a center, establishment, space, installation, or dependency, to prevent and control risks to people and assets, and to provide an adequate response to possible emergency situations, in the area under the responsibility of the owner of the activity, guaranteeing the integration of these actions with the public civil protection system. This document deals with the identification and evaluation of the risks, actions, and measures necessary for the prevention and control of risks, as well as the protection measures and other actions to be taken in the event of an emergency [5].

The duty of protection that is imposed on the Self-Protection Plan is based on Article 15 of the Spanish Constitution, which states that all citizens have the right to life and to physical and moral integrity [6]. This sees its application and development in RD 314/2006, of 17 March, which approves the Technical Building Code (CTE), a regulatory framework that establishes and develops the basic quality requirements of buildings and installations [7]. Similarly, Law 38/1999 of 5 November, on Building Planning, regulates the basic requirements of buildings and updates and completes the legal configuration of the agents involved in the building process [8].

In turn, and as indicated by the National Institute of Safety and Health at Work (INSST), by writing and putting into practice the Self-Protection Plan, it is possible to comply with article 20 of Law 31/1995, of 8 November, Prevention of Occupational Risks, where it establishes the obligations of the employer in preventive matters [9].

In addition to these state framework regulations, the Autonomous Communities (CCAA) have drawn up, in accordance with the powers conferred on them, different regulations to regulate the drawing up of plans and the necessary coordination in the event of an emergency, including the material and technical support [10].

It is necessary to distinguish the life cycle of the project and the life cycle of the product. Under this idea, a comprehensive approach to self-protection plans would have, on the one hand, a product that would be the Self-Protection Plan prior to the start of the works, and with the start of the works, we would have an overlapping period, since we would have a project that would adapt day by day to new needs, and which, in turn, would be a finished product already delivered, since it must be operational at all times. Lastly, we would only have, at the end of the works, the life cycle of the product that would be operational from that moment and that would go from a period of almost daily changes to another of relative stability, since it should only adapt to the possible changes that were taking place and that in no case would have the magnitude of some works, since if not, we should undertake that period as a new period of crisis [11]. In this context, a full life cycle approach to emergency plan management is still to come [4]. The self-protection measures are the establishment of a set of rules that must be adopted during the lifetime of buildings. The self-protection measures foresee preventive measures, actions in case of an emergency, safety records, training, and awareness on fire safety and evacuation exercises. The performance in case of an emergency is characterized as a set of rules and procedures, duly organized and systematized, which articulate the human and material resources available in the building, so that in case of an emergency, the occurrence will be properly treated, minimizing or annulling its effects [12].

After reviewing policies in different countries, we see that the last decade has been crucial in the advance of civil defense and emergency management: regulations in most countries are less than 10 years old. Moreover, there is no uniformity in the way civil defense is organized. Differences arise about the global philosophy (all-hazard vs. specific-hazard approaches), the structuring of the emergency life cycle (different number and type of stages), the implementation of policies (nationwide vs. state-driven policy), and the standardization of emergency plans (only a few of the studied countries provide a plan template). The most surprising finding is, however, that even if they are recent activities, the main tool used to build plans is a text editor, without consideration of technological advances whose application would produce more effective and efficient managed plans [4]. Carrying out a Self-Protection Plan is presented as a mandatory procedure for certain work centers at which activities can generate risks. Moreover, as in Spain, self-protection plans are governed by the national legislation including assigned powers to Autonomous Communities generating differences or particularities in the Self-Protection Plan requirements demanded, depending on the area where the workplace is located.

The SARS-CoV-2 pandemic situation has forced the managing directors of public buildings to rethink their overall management and their self-protection plans, as hospitals looked like they were practicing medicine in war times, during the pandemic. Therefore, there is a challenge to be addressed, i.e., how to design and manage a Self-Protection Plan that is adaptable and based on the current legislation [13]. In this context, the importance of the subject should push the research toward interest groups, such as: designers, managers of hospitals, schools, residences, or hotels who are going to carry out works in their activity while maintaining operations, and above all, those legislators in matters of self-protection. The management of possible emergency situations should be performed in a comprehensive and simple way with coordination capable to manage crisis situations thanks to the prior planning of risk situations [14]. Traditionally, prevention, response, and recovery measures are based mainly on technical solutions. Thus, we may conclude that Spanish risk management is a clear example of the science-policy gap. While scientific research has demonstrated the need to encompass the social dimension and public participation for a more effective treatment of natural hazards, public management still reproduces the predominant technocratic paradigm, which has been shown to be insufficient. Thus, the relationships between society and the environment need to be developed at the academic and theoretical level, but this has not yet influenced the practical development and implementation of environmental policies. Therefore, the scientific community’s demands for new, more integrated models [15].

For all the above-mentioned research gaps, the need and relevance of the paper are set. Thus, the purpose of the paper is to develop a conceptual model with a life cycle approach for developing self-protection plans and for their continuous actualization and improvement. For this purpose, technologies, tools, methodologies, systems, and best practices in this regard are reviewed, as well as a project management methodology based on the Plan-Do-Check-Act Cycle is derived. Furthermore, a maintenance plan for legal compliance and for continuous monitoring is developed. The conceptual model and its application provide a novel framework applicable to any building and self-protection plan.

Likewise, it is of great interest to know the generic guidelines to obtain a Self-Protection Plan valid for any place, such as the entire Spanish territory, and for the most demanded activities, which leads to a search and selection of the best methods and tools currently available for technicians. The Self-Protection Plan is a preventive tool regulated by the NBA, which establishes the legal framework of this document, but, at the same time, there is a great variety of legal texts related to a greater or lesser extent to self-protection, including those published by the Autonomous Communities. Therefore, an outline of the most important preventive legal texts that affect buildings both in the design or construction phase, as well as existing ones, will be made. At the same time, it is necessary to analyze the most important criteria of the specific technical regulations, as well as the regulation technician responsible for a Self-Protection Plan. For this, an approach of concepts will be made based on the legal texts mentioned and used. The purpose of the research performed is to know the implications and steps in the development process of a Self-Protection Plan. The goal is to define a model to derive measures and actions and related means and resources to prevent risks to people and assets within the scope of the activities carried out in any given building.

To obtain a legal and functional Self-Protection Plan, it is key to identify which data are necessary and which are secondary or complementary. This information includes the definition of the building itself, as well as the legislated matters from the regulations that will influence the plan. Therefore, one of the research goals is to develop a list of all the preventive and technical regulations that are directly applicable in a building for public use. Once this information has been obtained and classified, it will be necessary to carry out its analysis and process. For this, there are different tools such as CAD (Computer-Aided Design) as well as project applications, and it will be necessary to know how to identify all the available ones and differentiate between the most current ones, those that best adapt to the entrusted purposes, and those that are most available to any technician who is dedicated to preventive tasks. In turn, these tools must allow the Plan to adapt to the possible modifications that the building may undergo in its useful life, allowing it to be updated and maintain its effectiveness.

For this reason, it is of great interest to know the generic guidelines to follow, to obtain a document valid for the entire Spanish territory and for the most common activities that take place in any public building, which leads to a search and selection of the best methods and tools currently available to technicians.

Finally, it is interesting to focus attention on public buildings, which are centers that are modified and transformed throughout their useful life. For this reason, the Self-Protection Plan, as a document that establishes an organic and functional framework for these centers, must be maintained, adapted, and implemented in search of the perfect symbiosis. For this reason, it is relevant to investigate which methods are the most appropriate to carry out not only the design, but also the implementation and improvement of the functionality of the Self-Protection Plan over its life cycle.

2. Materials and Methods

2.1. Research Methodology

As shown in Figure 1, to achieve the stated objectives, the research methodology to be followed is based on the establishment of a process in stages, which makes it easier to achieve the final global goals. In the first stage, it is necessary to carry out an extensive literature review related to the questions raised, their reading, assimilation, and filtering, always considering the use of the building and the Self-Protection Plan targets. For this, both official sources and verified technical and academic sources must be analyzed, as well as the available written and graphic documentation of the building. Next, it will be necessary to select the most suitable tools for the development of the Self-Protection Plan. For this purpose, carrying out a selection of tools and methodologies according to the purpose, features, and compatibility is required. Moreover, the existing best-practices for similar self-protection plans in their different phases must be analyzed considering the plan goals, the users, employees, as well as the related environment. With the selection of tools, methodologies, and best-practices, a Self-Protection Plan will be designed that adapts to the particularities of the building, planning all the necessary means, as well as establishing and proposing the implementation and management channels focused on the specific use.

Later, as the plan is not static, it must develop over time to introduce changes based on new activities within the building, modifications in the building, events from the environment, etc., that modify the associated risks. For this, through a PDCA cycle (Plan-Do-Check-Act) or spiral of continuous improvement, this mission can be performed. As a result, the plan is enhanced from a static planning, valid for a certain time frame with defined characteristics, to a dynamic planning that will consider any kind of change based on the planning, implementation, control, and continuous improvement of the process, enabling the optimization of results [16]. Thus, a plan is to be generated based on a project management methodology based on the PDCA cycle that will ensure its development over time. The plan obtained for a particular application is changed to achieve the objectives, pursuing the characteristics of adaptability, and reducing the associated risks. For that purpose, changes are based on target goals, a maintenance plan for legal compliance, and the continuous improvement approach. Later, based on the results of the Self-Protection Plan implementation and the impact of the introduced changes, a discussion must be carried out by comparing them with the initial hypotheses. This should be followed by a critical reflection to define recommendations for improvement as well as the identification of future research needs. This process will lead to final conclusions about the holistic project management for Self-Protection Plan. Finally, the methodology is to be performed in an iterative manner for any specific application by comparing the results of the indicators with the expected values and initial hypothesis, and by analyzing the relationships and correlations between changes and actions, i.e., causes, with the effects on the self-protection plans’ targets and associated risks. These comparisons and analyses can be complemented with statistical analysis of indicators and factors.

2.2. Fundamental Terms and Definitions

In order to carry out a correct design and implementation of a Self-Protection Plan, it is necessary to know certain fundamental terms described in the Basic Self-protection Standard [17]:

• Activity;
• Alarm;
• Alert;
• Self-protection;
• Center, establishment, space, dependency, or installation;
• Evacuation;
• Intervention;
• Means;
• Hazard;
• Self-protection plan: organic and functional framework provided for an activity, center, establishment, space, facility, or dependency, in order to prevent and control risks to people and property and provide an adequate response to possible emergency situations, in the area under the responsibility of the owner, guaranteeing the integration of these actions in the public civil protection system;
• Emergency action plan;
• Risk prevention and control;
• Resources;
• Risk;

In relation to the management of the Self-Protection Plan, we find some agents involved in the process who, in accordance with the Practical Guide for the preparation and implementation of self-protection plans and/or emergency measures in companies, prepared by the Confederation Regional Business Extremeña [18], are the following:

• Owner of the activity: natural or legal person that operates or owns the center, establishment, space, dependency, or installation where the activities are carried out.
• Competent technician for drafting and signing the self-protection plan: a technician who must be trained to decide on those aspects related to self-protection against the risks to which the activity is subject.
• Director of the Self-protection Plan: responsible for the management of actions aimed at risk prevention and control.
• Director of the Emergency Action Plan: responsible for activating the Plan.

The Holder of the activity will present it to the competent Public Administration body to grant the determining license or permit for the exploitation or start of the activity; it will be integrated into others of superior territorial, basic, special, or state scope and will be sent to the corresponding registry of its CCAA. To carry out the maintenance of the effectiveness of the plan, the Director will be responsible for reviewing and updating it periodically, as well as when important changes occur in the activities. This review program will have a minimum periodicity of three years. In turn, recycling training activities will be scheduled for the staff and periodic simulations will be carried out to detect deficiencies to be corrected.

3. Conceptual Model Development for Generating Optimized Self-Protection Plans

The purpose of this chapter is to describe a generic approach how to develop self-protection plans independent of the physical location of the building and working space for its deployment. It is the aim of the research to provide a project management sequence for any Self-Protection Plan over the life cycle of the plan and the related assets to comply with legal regulations while improving all the related indicators of the related environment associated with the asset.

In Figure 2, the five steps to be followed can be seen. Initially, it is to be analyzed which are the regulations to be applied for a public building, then to identify the tools, technologies, methodologies, and systems that are the best options to develop the self-protection plans, followed by searching for the best practices in the practical field. Based on the first three steps, the project management methodology based on the Plan-Do-Check-Act cycle can be derived. Finally, a maintenance plan for legal compliance and continuous improvement is to be applied, ensuring the adaptability and resilience of the Self-Protection Plan over its life cycle.

3.1. Current and Applicable Regulations

As defined, the first step is to identify the matters in which there is an existing regulation, standard, or guidelines that are to be applied to the building and its intended use. For that purpose, Figure 3 provides a review of topics in which regulations may exist for any given public building. It is divided into preventive aspects, regulations for any building, and regulations for any publicly owned building:

3.2. Tools and Methodologies

The second step is to identify the best possible technologies, tools, systems, and methodologies for the different Self-Protection Plan project phases over its life cycle. For this purpose, Figure 4 provides an overview of the different methodological elements that are recommended to be considered for use in the different life cycle phases of a Self-Protection Plan. First, in the analysis phase, the goal is to know the status of the Self-Protection Plan. For that purpose, a process analysis with a detailed description of activities including process and layout mappings would support the analysis. In addition, the knowledge of the historical analysis of the building and of the related environment, and the sector of use. Moreover, it is important to identify data sources, such as data from sensors, RFID (Radio-Frequency-Identification), and existing data analysis. In the design and planning phases, key technologies and systems are simulation, virtualization technologies, and CAD as well as project applications. Later, in the implementation phase, a joint methodology consisting of the PDCA-Cycle and new technologies can lead to an optimized deployment of the Self-Protection Plan. Finally, in the management and control phase of the Self-Protection Plan, the maintenance and continuous improvement methodologies linked with information systems and data analytics provide the needed elements to improve the existing plan and to introduce new installations and comply with new regulations.

3.3. Best Practices in the Practical Field

The third step consists of identifying the best practices for the different project phases. For it, the best practices in current handbooks, guidelines, procedures, simulations, authorized centers, and engineering and consulting companies were reviewed. As a result, an extract is shown in Figure 5, which shows where the best practices were found for the different project phases:

3.4. Project Management Based on the PDCA-Cycle

The fourth step is to define the methodology of the PDCA-Cycle to be applied in the Self-Protection Plan based on SMART (Specific, Measurable, Ambitious, Real, Terminated) Key Performance Indicators. The implementation of the Self-Protection Plan could be defined as the execution of a continuous improvement program over time. For this, a quality improvement system based on a continuous improvement model can be adopted through the “PDCA cycle” [19]. This applied to Occupational Health and Safety Management Systems as explained to us by the INSST in the documents published by NTP 898 OHSAS 18001. Occupational Health and Safety Management Systems: implementation (I) [20] and NTP 899 OHSAS 18001. Occupational health and safety management systems: implementation (II) [21].

The 18001:2007 standard “Occupational health and safety management systems” establishes the requirements for an occupational health and safety (OH&S) management system aimed at allowing an organization to control its risks and improve its performance. the SST [20,21]. In turn, the ISO 9001:2015 Standard prepared by the International Organization for Standardization determines the requirements for a Quality Management System also based on a PDCA cycle [22]. Both systems can be used to maintain the effectiveness and the necessary update of the Self-Protection Plan by planning simulations, carrying them out, taking the results, and subsequently executing the necessary modifications, reaching the starting point again. of planning. Therefore, by following this methodology shown in Figure 6, the continuous improvement of the Self-Protection Plan is ensured:

3.5. Maintenance Plan for Legal Compliance and Continuous Improvement

By using the PDCA-Cycle, the maintenance plan for legal compliance and continuous improvement of the risk installations of any public building is derived. In the planning phase, the project would perform the analysis, the design, and the planning phases, consisting of the identification of the installations, their analysis attending to their history, condition, regulations, and scope and frequency of the maintenance activities to be performed in order to derive the optimum planning of resources for the required activities in a planning horizon. Later, the Do-Phase would represent the execution of the maintenance activities followed by the Check-Phase, which performs the management and control of the installations with activities such as repairing the breakdowns, selecting management systems, and monitoring the indicators and legal maintenance plan. Finally, as shown in Figure 7, the Act-Phase will derive measures to improve the plan in a continuous way. For that purpose, new technologies, and continuous improvement methodologies, as well as new regulations and standards, can provide a suitable basis for developing specific measures:

4. Design and Management of a Self-Protection Plan: A Case Study for Spanish Public Buildings

4.1. Current and Applicable Spanish Regulations

The legislation related to the management of the self-protection plans is very extensive, for which a selection of the most important is related, making a classification according to its scope of application, both by administrative and functional sectors, both for buildings in the project and construction phase, or already existing.

4.1.1. General Preventive Regulations That Affect All Types of Buildings

• Law 2/1985, of 21 January, on Civil Protection [23]. Already repealed, it indicated that “the Government will establish a catalog of activities of all kinds that may give rise to an emergency, as well as the centers, establishments, and dependencies in which they are carried out”.
• Law 31/1995, of 8 November, on Prevention of Occupational Risks [9]. Article 20 establishes the employer’s obligations in the event of an emergency.
• RD 485/1997, of 14 April, on minimum provisions regarding safety and health signage at work [24]. It establishes that there must be adequate health and safety signage, provided that the risks cannot be avoided or sufficiently limited through technical means of collective protection or work organization measures, methods, or procedures.
• RD 486/1997, of 14 April, which establishes the minimum safety and health provisions in workplaces [25]. It establishes the conditions to guarantee safety and health in the workplace, so that its use does not lead to risks for workers.
• RD 393/2007, of 23 March, which approves the Basic Self-protection Standard for centers, establishments, and dependencies dedicated to activities that may give rise to emergency situations [26]. Defines and develops self-protection and establishes the control mechanisms by the Public Administrations for all the activities included. At the same time, it regulates the elaboration of the self-protection plans and establishes its minimum content and the obligatory nature of its registration.
• RD 1468/2008, of 5 September [5]. It modifies the NBA fundamentally affecting the powers of the Autonomous Communities and the National Civil Protection Commission.
• Law 17/2015, of 9 July, on the National Civil Protection System [2]. Indicates that the National Information Network on Civil Protection will contain “the official catalogs of activities that may cause a civil protection emergency, including information on the centers, establishments, and dependencies in which they are carried out, in the terms established by regulation”.

4.1.2. Regulatory Regulations for Buildings in the Design, Construction, or Existing Phase

• Law 38/1999 of 5 November, on Building Regulations (LOE) [8]. It sets the basic requirements for buildings and updates, and completes the legal configuration of the agents involved in the building process, sets their obligations, and establishes the responsibilities and protection guarantees for users.
• RD 314/2006, of 17 March, Technical Building Code (CTE) [7]. It is the regulatory framework that establishes the basic quality requirements of buildings and their facilities, as well as the requirements that buildings must meet in relation to the basic requirements of safety, habitability, and safety. Within the CTE we find the information structured in the following Basic Documents Structural Safety (DB-SE), Safety in case of fire (DB-SI), Safety of use and accessibility (DB-SUA), Protection against noise (DB-HR), and Health (DB-HS).
• RD 842/2002, of 2 August, approving the Low Voltage Electrotechnical Regulation [27]. It was created in order to establish the technical conditions and guarantees that electrical installations connected to a supply source within the limits of low voltage must meet, and thereby preserve the safety of people and goods, ensure the normal operation of these installations, and prevent disturbances in other installations and services and contribute to the technical reliability and economic efficiency of the installations.
• RD 1027/2007, of 20 July, approving the Regulations for Thermal Installations in Buildings (RITE) [28]. It establishes the conditions that must be met by installations designed to meet the demand for thermal well-being and hygiene through heating, air conditioning, and domestic hot water installations, to achieve a rational use of energy.
• RD 513/2017, of 22 May, approving the Regulations for fire protection installations [29]. Determines the conditions and requirements applicable to the design, installation, application, maintenance, and inspection of equipment, systems, and components that make up active fire protection installations, and that can be found in public buildings.

4.1.3. Regulatory Regulations of Specific Sectors of Buildings for Public Use

• Order VIV/561/2010, of 1 February, which develops the technical document on basic conditions of accessibility and non-discrimination for the access and use of urbanized public spaces [30]. It arises with the purpose that the design, placement, and maintenance of the urbanization elements that must be located in areas of pedestrian use guarantee the safety, accessibility, autonomy, and non-discrimination of all people.
• Legislative RD 1/2013, of 29 November, approving the Consolidated Text of the General Law on the rights of persons with disabilities and their social inclusion [31]. Its objective is the real and effective exercise of rights by people with disabilities, on equal terms with respect to other citizens, through universal accessibility and the removal of architectural barriers that prevent access. safe circulation.
• Legislative RD 7/2015, of 30 October, approving the consolidated text of the Urban Land and Rehabilitation Law [32]. Evaluates the state of conservation of the building and the basic conditions of universal accessibility and non-discrimination with disabilities for the access and use of the building, in accordance with current regulations, establishing whether or not the building is capable of making reasonable adjustments to satisfy them.

4.2. Tools and Methodologies for the Different Phases That Allow to Improve or Design Self-Protection Plans for Buildings for Public Use

4.2.1. Analysis Phase

The NBA indicates that one of the chapters that must be part of the Self-Protection Plan is the inventory, analysis, and risk assessment; it is highly useful to adopt methods that serve this function and that are presented by organizations official or technically endorsed.

For this purpose, the INSST [33] offers us a method of evaluating occupational risks to assess the magnitude of the risks that we can find in the activities that take place in the workplace. It is divided into a first phase with the risk analysis where the danger is identified and the risk is estimated by assessing the probability of its occurrence and its possible consequences, and with which the order of magnitude of the risk will be known, and a second with the risk assessment, since with the value of the risk obtained and comparing it with the value of the tolerable risk, a judgment is issued on the tolerability of the risk in question.

Depending on the method, the risk assessments can be grouped into four sections: imposed by specific legislation, for which there is no specific legislation but where there are recognized standards or guides, for which specialized analysis methods are required (Fault Tree, Diagram of events, Functional analysis, etc.) and the General Risk Method.

The INSST also offers a simpler method in the NTP 330: Simplified System for Accident Risk Assessment [34], which also allows us to determine the probability that certain factors of risk materialize in damages, and the magnitude of the damages (consequences). With this, it is possible to establish a scale in the magnitude of the different risks and prioritize their correction priority. This simplified method is focused on uses with larger risks and it is necessary to carry it out together with the questionnaire described in NTP 324: Check-up questionnaire for the control of accident risks [35].

4.2.2. Design Phase

For the design of the Self-Protection Plan that conforms to the Self-Protection Plan, document edition, spreadsheets, and Computer-Assisted Design (CAD) software will be necessary. In relation to the writing and processing of texts, computer programs such as Microsoft Word can be used and with regard to data treatment, spreadsheets programs such as the Excel program can be also applied.

In relation to the preparation of plans to be included in the Annexes of the Plan, the most widespread program at present for the design and work with graphic representations is the AutoCAD software from the Autodesk company. Through this program, you can easily make the plans that most commonly make up a Self-Protection Plan, such as the situation, position of the technical means of protection or evacuation, inserting, if necessary, images, or text boxes or calculation. Recently, an implementation of modeling using computer-aided design is being carried out using BIM (Building Information Modelling) technology. The Autodesk company offers us a set of programs in the BIM environment, among which is Revit, which is fully compatible with AutoCAD and with other programs such as Presto for measurements and budgets, Excel, or documentation managers in PDF format.

It can be seen that tools are currently marketed that advertise fulfilling all or most of the functions necessary for the correct development of a Self-Protection Plan, as is the case of the company UrbiCAD architecture S.L. With its software called “Buildings” self-protection plans, self-protection plans can be developed in accordance with current state and regional regulations, and risk assessment can be carried out using 19 different methods. In turn, it also has a CAD application to automate design processes and indicates working in a BIM environment.

4.2.3. Planning Phase

For the planning of the lines of action to deal with emergency situations, the Microsoft 365 suite of applications also offers us the Project program. This application allows you to manage the assets of a maintenance and revision project, including personnel, means, and time, by managing the tasks along a schedule. In turn, within the Apache OpenOffice suite of office applications, the OpenProject software is offered, with functions similar to Project and compatible with it. This software is collaborative with BIM, which achieves communication versatility between applications and savings in work and planning time.

4.2.4. Implementation Phase

The implementation of the Self-Protection Plan can be defined as the execution or start-up of a continuous improvement program over time. It is based on a strategy based on the continuous improvement of quality in four steps that are repeated in an endless continuous cycle:

• Phase I, Plan: In this phase, the necessary activities to obtain the expected result of the process are established. Actions are oriented to the expected result, and to the improvement of the accuracy and compliance with the specifications to be achieved. Whenever possible, it is advisable to carry out pre-production tests or simulations to check the possible effects. To carry out this stage, planning tools will be used, which facilitate and standardize the methodology for planning projects, activities, and tasks, and help design products, processes, and services according to the requirements and functions foreseen in the future.
• Phase II, Do: It consists of the implementation of the changes or actions necessary to achieve the proposed improvements. The necessary resources for the establishment, implementation, maintenance, and continual improvement of the quality management system shall be determined and provided, considering the capabilities and limitations of existing resources. To gain efficiency and be able to easily correct possible errors in execution, emergency simulations must be carried out in the centers.
• Phase III, Check: Once the improvement plan has been launched, a trial period is established to measure and assess the effectiveness of the changes. It is a phase of regulation and adjustment. The control data are collected and analyzed, comparing them with the initially specified requirements, to find out if they have been met and, where appropriate, to evaluate if the expected improvement has occurred. To implement this, evaluation tools will be used, which serve to control the status of the service, to have a detailed view of its status, evaluate it, or find ways to improve it later. Finally, the conclusions will be documented in detailed reports.
• Phase IV, Act: Based on the results achieved in the previous phase, what has been learned is compiled and put into operation. Recommendations and observations also usually appear that usually serve to return to the initial step of planning and, thus, the circle will never stop flowing. To support these tasks, continuous improvement tools are used, designed to find weak points in current processes, products, and services. In the same way, some of them focus on pointing out which are the areas for improvement that have the highest priority or that can bring the most benefits to our work, so that we can save time and make changes only in the most critical areas. Once the measurements have been made, if the results do not meet the predefined expectations and objectives, the necessary corrections and modifications are made. On the other hand, the pertinent decisions and actions are taken to continuously improve the development of the processes. All this is to improve the services to meet the requirements, as well as to consider future needs and expectations, correct, prevent, or reduce undesirable effects and improve the performance and effectiveness of the system.

4.3. Best Practices in the Practical Field

4.3.1. Best Practices in the Design Field

The basic content of any Self-Protection Plan presented in the NBA may be qualified by the indications present in the regional regulations, with the power to specify or expand the minimum content of the state law. In turn, the technical body or authorized drafting company that produces the document will leave its vision and professional imprint on the document. It is therefore important to carry out an examination and study of the guides and manuals that have been prepared by different official organizations with recognized solvency and competence in preventive and civil protection matters.

The INSST published in 2015 [36] has within its Regulatory Disclosure Files (FDN), the title Emergency plans, self-protection plans, and emergency measures. Its purpose is to provide all the people who intervene in the design, organization, and development of emergency or self-protection plans with knowledge of the existing regulations on this subject, to organize the necessary material and human resources that guarantee the safety and health of workers in emergency situations. Its content is structured into two large blocks, the first one with a summary of the current regulatory framework at that time divided into general legislation, for specific sectors and regional or local; and a second block, with the description of the process of a Plan of self-protection. At the end of the document, a profuse bibliography is included with normative references in this regard, as well as the concepts to consider when developing the document based on the structure described in the NBA.

The Department of Security and Mobility of Civil Protection belonging to the City Council of Córdoba published in 2007, the manual called Self-protection Plan—Manual for drafting according to RD 393/2007, of 23 March [26]. Following the scheme of NBA chapters, the functionality and data needs are identified in each of them, and tables, forms, and texts are included with parameters to fill in that can serve as a guide or be used literally to carry out the Plan, thus ensuring that the ratios of the minimum information necessary to incorporate are met. At the same time, necessary information is provided for the design of signage and posters to be placed in the center for preventive purposes.

In the same way, the Technical Guide for the elaboration of a Self-protection Plan, elaborated by the Civil Protection Unit of the Delegation of the Government of Murcia belonging to the General Directorate of Civil Protection and Emergencies [37], provides blank boxes to include and fill in the Emergency Plan and examples of how to make graphic diagrams of protocols or action procedures in emergency situations. It also incorporates in its Annex IV very useful general forms in the event of an emergency, carrying out simulations or carrying out a control of the companies in charge of maintaining the facilities. Finally, Annex V Graphic Documentation establishes the guidelines for drawing up and presenting the plans to be incorporated into the Self-Protection Plan, describing the formats, scales, and visual composition of the plan, with very useful generic graphic examples.

In relation to the purely aesthetic design, the Manual for the preparation of self-protection plans for centers, published by the Junta de Andalucía [38], incorporates blank boxes with a combination of colors that coincide with the chapters that correspond according to the scheme provided by the NBA, which is attractive and modern. Since the chromatic range is used in the header, footer, and development boxes, it helps to compartmentalize and identify the contents presented in the plan.

In Extremadura, the Technical Office for the Prevention of Occupational Risks of the Regional Business Confederation of Extremadura (CREEX), with funding from the Ministry of Equality and Employment of the Junta de Extremadura, published a practical guide for the preparation and implementation of self-protection plans and/or emergency measures in companies [18]. It defines what elements an Emergency or Self-protection Plan must contain and the sequence of actions for its correct drafting, and an annex is included with the most relevant information to comply with that included in the CTE.

4.3.2. Best Practices in the Development and Implementation Field

The Andalusian Health Service belonging to the Junta de Andalucía [39] offers on its website the “Procedure 18. Self-protection Plan” that establishes the necessary provisions for the realization and implementation of the Self-protection Plan of each of its centers. For this, two models can be downloaded ready to be completed with the data of the corresponding hospital or health center, which facilitates compliance with the basic structure of the NBA with a minimum of information and documentation to develop, which may be the starting point for implementation for improvements.

In 1998, the Basque Institute for Occupational Health and Safety [40] published the Manual for the development of a Self-protection Plan (non-hospital health buildings with an area of less than 2000 square meters). Although already outdated due to being prior to the NBA and the CTE, it serves as an example of a document published by an official body to help professionals involved in the preparation of emergency measures in their work.

Zaragoza City Council published in 2014, Procedure 1200, for the preparation, implementation, and updating of self-protection plans for public buildings required by state, regional and local regulations. This document establishes which departments of the consistory are in charge of drafting the chapters required in the NBA, as well as the guidelines to follow in the implementation of tasks and carrying out simulations, having a final section dedicated to the responsibilities of each of the parties involved in the development of the Plan [41].

Once the Self-Protection Plan has been carried out, it must be implemented and maintained. For this, there are currently consulting and training companies in Industrial Safety and Emergencies, which provide specialized technical professional work. One of them is Previnsa, which has carried out the implementation of self-protection plans in hospitals. As Gutiérrez (2018) tells us, to carry out this work, they have been based on the dissemination of the plan through informative talks and leaflets aimed at users, with specific but not excessive information. It indicates that it is essential to educate and train the members of the emergency team and to carry out drills to evaluate the Plan and ensure its effectiveness and operability, taking into account its frequency and scope, as well as the necessary number of observers to evaluate the information extracted [42].

Private entities that do not have a purely preventive purpose also publish articles related to self-protection, as is the case of CESVIMAP, the MAPFRE Road Safety and Experimentation Center or the R&D center, which published CESVIMAP No. 66 in 2008, an article dedicated to the self-protection plans of buildings, facilities, and homes [43]. This article applies the NBA to facilities with functions in the area of after-sales of vehicles, and more specifically, to an Authorized Vehicle Treatment Center, being very interested in the adaptation of a Plan to said use and the points to have into account in the responsibilities and obligations of the intervening agents.

In the magazine Castellvi (2021), the presence of animals in public events is addressed, which, as indicated, is not a topic dealt with directly in the NBA or in its development regulations; although, some regional regulations are already focusing their attention on this point, as is the case of the Extremaduran community or the Canary Islands [44]. Animals can be found permanently or temporarily in certain public events with large numbers of people, and that is why the plans must be adapted to this particularity, taking into account the risks that may be generated and the tools necessary to manage them, as well as a personalized preventive training for the human resources involved in an emergency situation.

To carry out the implementation of the Self-Protection Plan, simulations are available as a fundamental tool to observe in situ the results of the application of the measures contemplated in the case of a hypothetical emergency. In certain public centers such as shopping malls, which, due to their size and capacity, may be subject to particular emergencies such as attacks by individuals or armed groups, drills with exercises of this type should be considered within their self-protection plans. As González Herrero (2019) indicates, they are practices that provide the necessary coordination between all the parties involved in the management of the emergency and the development of the Plan, with the security personnel assigned to the center itself having to take part in the development of the drills, department, the competent security forces and bodies, as the case may be, and the health emergency personnel, as was implemented at the El Boulevard Shopping Center in Vitoria [45].

Other centers where large numbers of people can generally be concentrated, and which can be the object of terrorist attacks are hotel chains. For this reason, Álvarez (2013) indicates that within the preventive means among which the Self-Protection Plan is found, apart from the parameters of fire safety and access to the building’s facilities, there are public access controls and vertical means of communication such as elevators. Fundamental to the prevention of risks and the security system is the training of workers and their involvement in security processes [46].

4.3.3. Best Practices in the Management and Control Field

In the “Procedure 18. Self-protection Plan” of the Andalusian Health Service [42] mentioned above, different tools are available to facilitate the management and control of self-protection. Among them, we find a flowchart that divides the implementation of the Self-Protection Plan into three phases, as well as different documents for the management of occupational risk prevention, such as consultations and designation of workers, information on simulations, and their results.

The Practical Guide for the preparation and implementation of self-protection plans and/or emergency measures in Extremaduran companies [18] indicates the steps to follow to carry out their mandatory regional registration, incorporating an application model for the procedure, bringing together in a single document all the information related to the design and management of the Plan.

The Health and Safety Manual in nursing homes published by the Mutual Collaborator of Social Security No. 61 FREMAP [47] addresses preventive issues for general and specific risks, as well as the measures that are necessarily adopted to face them by all workers and staff who carry out their professional work in this type of center. Interesting are the rules of action that it proposes in the event of a fire and it is necessary to carry out an evacuation of the resident staff.

The Trade Union Confederation of Workers’ Commissions published, with the collaboration of the Foundation for the Prevention of Occupational Risks, the document, “Emergency measures in centers that serve people with disabilities” [48], where the information is collected, aimed at the workers of these residences, arranged in files, with both theoretical and practical information on documentary preventive means, materials, guidelines, and verification methods or practical examples.

On the web portal of the company Enion, an engineering and consultancy specializing in fire protection and security [49], a news article is presented on the management of protection and security in nursing homes and care centers. As indicated, in addition to updating the Self-Protection Plan and the theoretical and practical training of workers, it is essential to know the situational particularities of the residents to anticipate their possible reactions and to be able to have the appropriate means.

A final example of management and control of self-protection in a public administration can be found in the Madrid City Council [50], which, in 2005, carried out an implementation and development of integrated preventive activity with which it was possible to reduce the number accidents and sick leave among its employees. These results were the result of the Occupational Risk Prevention Management Model, which included tools such as the implementation and monitoring of self-protection plans in all municipal buildings. For its management and control, the Madrid City Council created the Self-Protection Commission, with the aim of monitoring the implementation of said plans and carrying out their periodic review. As can be seen in the data provided, the evolution of the accident rate, specifically the frequency rate, was decreasing.

4.4. Project Management Based on the PDCA-Cycle

The PDCA-Cycle consists of the following phases, activities, and results:

(1)

Phase Plan—Identification of goals: In the case of the implementation of the Self-Protection Plan, the main objective is to follow a plan that complies with legal requirements as well as improves target indicators. In this sense, the installations in the building are listed and then analyzed in terms of legal procedures, maintenance requirements, as well as goal indicators in their functionality of input, process, and output.

(2)

Phase Do—Measurement of the real values of KPIs: They allow the results to be analyzed to see if they compare with the objectives. The measurement must be carried out in advance to detect deviations before they occur and with a defined periodicity.

(3)

Phase Check—Detection of deviations: In the event that any KPI shows deviations from the objective, improvement actions must be prepared to correct them.

(4)

Phase Act—Correction of deviations: If the deviations are due to regulatory inspections not carried out or not scheduled, the improvement proposal must always start from its planning in the shortest possible time, updating the management and maintenance of the existing planning.

4.5. Maintenance Plan for Legal Compliance and Continuous Improvement

During the management phase, the management of the public building must carry out the following tasks: implementation of the inspections in a planning system, the updating of new installations or important modifications in the building, and the establishment of a legal monitoring process. The maintenance strategy for risk facilities must be based on preventive–predictive maintenance and punctually on corrective maintenance. The risk installations, of common use in public buildings, susceptible to maintenance, will be the following:

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Low-voltage electrical installation;

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High-voltage electrical installation;

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Generator set;

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Lightning rod;

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Pressure group;

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Gas supply installation;

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Air conditioners.

According to what is stipulated in the specifics, each of the installations, including their devices, equipment, systems, and components, will be subjected to periodic revisions and, always, after a fire, thus establishing preventive–predictive maintenance.

A certificate will be issued from the performance of these revisions to be carried out by companies authorized and registered by the competent body of the corresponding Autonomous Community, on which, the name, seal, and corresponding registration number must appear, as well as the signature of the technician who has made them; they must be available to the competent inspection services in the field of fire prevention, for at least five years from the date of issue.

Likewise, in each type of installation, faulty components must be replaced or repaired whenever they are detected; these works being part of corrective maintenance. The maintenance records of the facilities will always be available to be consulted or reviewed at the request of an inspection.

The maintenance program will be designed in accordance with current regulations governing the installation in question. The chronological programs with the inspections and reviews are to be carried out in the different facilities, with their frequency, the responsible body, an indication of whether it is mandatory or not, and the applicable regulations being developed for a given public building. If deviations occur in relation to obtaining a high number of conditional or negative inspections, the improvement proposal must consider revising the scheduled preventive maintenance activities to reduce the number of defects.

5. Discussion

Based on the research performed, the most influential factors for the development and implementation of self-protection plans are derived and described as a recommendation for managers and technicians for their consideration when generating and improving existing or new self-protection plans. These factors are divided into two categories: factors depending on current regulation and factors depending on the related environment.

5.1. Results of the Application and the Influence of Current Regulation

For the regulation-related influence, there are five key influential factors as shown in Figure 8. Firstly, compliance with existing regulations must be considered. Secondly, regulations depend on the location as they can change depending on the region. Third, the use of the building will also influence the Self-Protection Plan; thus, the intended processes and activities are to be considered. Moreover, the building itself where the activities take place is a fourth factor that influences the plan. Finally, the use rate of the building depends on the user and influences the plan.

5.1.1. National Regulations in Application

Fundamental aspects that must be taken into account are the resistance of the structural and constructive elements to fire, the maximum occupations or the number and dimensions of the accesses and evacuation routes Given that they are periodically updated, a periodic review of the building’s Self-Protection Plan is necessary, as well as in the event of a change in current regulations or when new legal texts are published that modify or repeal the previous ones. Likewise, other specific standards for the design, installation, and maintenance of the different facilities that provide service to the residence, must be taken into account.

5.1.2. Geographical Situation and Its Territorial Regulations

The location of the building under study will largely determine the result of the design that conforms to the Self-Protection Plan document. Given that, as indicated above, various Autonomous Communities have legislated aspects that characterize the NBA, it is necessary to know the current regulations applicable in each territory. The same happens with the municipalities since the municipalities can publish regulations regarding the self-protection of their buildings.

5.1.3. Influence of the Characteristic Use of the Building

The characteristic use of the building determines multiple factors that are related to self-protection such as the maximum occupancy volumes, the dimensions, and characteristics of the escape routes, the situation, maximum separation, quantity, or characteristics of the means of fighting and fire protection. In turn, depending on the type of use, it will be necessary to place different installations and means of protection and communication with outside-help services in the building. Moreover, if the use is modified or new uses are included, a review of the Self-Protection Plan is required.

5.1.4. Construction Characteristics of the Building

The characteristics of the building, including its morphology and materials used, greatly influence self-protection. If it is developed on a single floor without basements, and its maximum height does not reach 15 m, it would not be necessary to consider certain protection elements. Otherwise, the necessary means and procedures for acting below ground and at height should be provided.

5.1.5. User-Dependent Modulating Factors

Depending on the hours of service to the public of the building and if, due to its characteristic use, workers are in it 24 h a day. The adequate training of the number of members required in each work shift must be considered, as well as the existence of necessary means depending on the number and characteristics of the users.

5.2. Adaptation Depending on the Environment

For the environment-related influence, there are five key influential factors as shown in Figure 9. These are urban or rural context, the environment characteristics, the soil characteristics, and the population and endowment context:

5.2.1. Urban or Rural Context

At this point, it is necessary to observe the population environment where the building is located. Depending on the location, the distance to facilities such as hospitals, fire stations, or police stations, should be studied. At the same time, the width of the communication routes with the population center must be observed, the condition and dimensions of the roads leading to the building, and the width of the existing space in the perimeter of the building that facilitates the approach and performance of foreign aid teams. If necessary, a landing point for helicopters must be located.

5.2.2. Characteristics of the Environment

In this part of the Self-Protection Plan, the environment of the building must be studied from the point of view of the possible influence that certain activities can produce, such as factories or industrial facilities that could cause points of danger in the event of suffering an emergency. Likewise, it should be analyzed whether extractive or energy production facilities are in the surroundings of the building to be taken into account in the Self-protection Plan. Finally, it should be considered that all buildings are subject to the risk of vandalism and that certain typologies, such as public service centers, facilities, or critical infrastructures, are also at risk of bomb threats, which should be considered when developing the Plan.

5.2.3. Soil Characteristics

The orography of the terrain has an important influence on the production of possible risks. Steep terrain or terrain with pronounced changes in level makes it necessary to implement structural containment elements, which are subject to the risk of collapse or landslide. Regarding the external factors that may affect the installation, you can consult the available cartography related to flood zones published by the Cartographic Centers managed by the Ministry of Public Works as the highest public body. In a similar way to what happens with the risk of earthquake, it is necessary to consult the Basic Guideline of Civil Protection planning before the seismic risk [51] and the Seismic Risk Maps updated by the Geographic Institute National.

5.2.4. Population and Endowment Context

If the building is in an area with a high population density, in the event of an emergency resulting in fire and/or explosion, this would affect this densely populated area. Similarly, it would happen if facilities such as schools, institutes, libraries, health centers, or hospitals were found nearby that could be affected in the event of an emergency.

6. Conclusions

The research has proven the need for the development of project management approaches for self-protection plans. Adaptability is a need for self-protection plans for public buildings with different uses, such as any change in the building, in the activities and processes that are performed inside, or as any event occurring in the related environment, can modify the associated risks. In this context, this paper provides an improvement in existing conceptual and practical models and project management approaches on this topic.

Regulations governing planning and intervention instruments in the event of an emergency are very similar between different regions. However, as shown in this paper, the specific requirements must be considered to be compliant with existing regulations. Although being compliant is a must, this paper exposes the need for continuous improvement based on maintenance of the building, installations, and activities as a way to prevent risks from happening, as well as to identify improvement opportunities. As a result, for meeting this need, the research performed has derived a novel methodology to generate self-protection plans with adherence to regulations, with an optimal selection of systems, tools, and methodologies for the different life cycle phases of a Self-Protection Plan. Moreover, the PDCA-Cycle has provided the required framework that enables continuous improvement. Furthermore, the identification of best practices has enriched the model supporting the generating of proven and holistic self-protection plans.

The maintenance plan for legal compliance and continuous improvement expands the model for covering the lifetime of the Self-Protection Plan, responding to the initial research gaps, and defining one of the key novelties of this paper. Furthermore, the model has been applied to public buildings under Spanish regulations. It has provided a clear step-by-step process on how to develop self-protection plans based on regulations, standards, and guidelines, the best fit of tools and methodologies, and the best practices from the practical field in the same geographical territories.

Finally, there is currently a wide range of technical tools for generating self-protection plans. As has been shown, Industry 4.0 technologies, together with improvement methodologies, processes, and organizational management, provide a variety of options in the searching for excellence in the development process of self-protection plans.