guidelines for auditing process safety management …...guidelines for auditing process safety...

Guidelines for Auditing Process Safety Management Systems

@%%..a ENCE A JOHN WlLEY 8 SONS, INC., PUBLICATION

CENTER FOR CHEMICAL PROCESS SAFETY

of the AMERICAN INSTITUTE OF CHEMICAL ENGINEERS

345 East 47th Street, New York, New York 10017

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Publications Available from the CENTER FOR CHEMICAL PROCESS SAFETY


Guidelines for Auditing Process Safety Management Systems Guidelines for Investigating Chemical Process Incidents Guidelines for Hazard Evaluation Procedures, Second Edition with Worked

Plant Guidelines for Technical Management of Chemical Process Safety Guidelines for Technical Management of Chemical Process Safety Guidelines for Chemical Process Quantitative Risk Analysis Guidelines for Process Equipment Reliability Data, with Data Tables Guidelines for Vapor Release Mitigation Guidelines for Safe Storage and Handling of High Toxic Hazard Materials Guidelines for Use of Vapor Cloud Dispersion Models Safety, Health, and Loss prevention in Chemical Processes: Problems for

Undergraduate Engineering Curricula Safety, Health, and Loss prevention in Chemical Processes: Problems for

Undergraduate Engineering Cumcula-Instructor’s Guide Workbook of Test Caseslor Vapor Cloud Source Dispersion Models Proceedings of the International Conference on Hazard Identification and Risk

Analysis, Human Factors, and Human Reliability in Process Safety, 1992 Proceedings of the International ConferenceWorkshop on Modeling and

Mitigating the Consequences of Accidental Releases of Hazardous Materials, 1991.

Examples

Proceedings of the International Symposium on Runaway Reactions, 1989 Proceedings of the International Conference on Vapor Cloud Modeling, 1987 Proceedings of the International Symposium on Preventing Major Chemical

1991 CCPS/AIChE Directory of Chemical Process Safety Services Audiotapes and Materials from Workshops at the International Conference on

Electronic Chemical Process Quantitative Risk Analysis Bibliography

Accidents, 1987

Chemical Process Safety Management, 1991


@%%..a ENCE A JOHN WlLEY 8 SONS, INC., PUBLICATION

CENTER FOR CHEMICAL PROCESS SAFETY


345 East 47th Street, New York, New York 10017

Copyright 0 1993 Amaican Institute of Chemical Engineers 345 East 47th Street New York, New Y a k 10017

- This book k available at a special discount when ordered in bulk quantities. For information, contact the Center for Chemical Process Safety at the address shown above.

No part of this publication may be reprodud, stored in a retrieval system or transmitted in any form or by any means, electronic. mechanical, photocopying, recording, scanning or otherwise, except as permitted under Sections 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher. or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, 222 Rosewood Drive, Danvers. MA 01923. (978) 750-8400, fax (978) 750-4470. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken. NJ 07030. (201) 748-6011, fax (201) 748-6008.

Library of Congress Cataloging-in Publication Data Guidelines for auditing process safety management systems /Center

for Chemical procesS Safety of the American Institute of Chemical Engineen.

P- an. Includes bibliographical references and index. ISBN 0-8169-05564 1. Chemical plants-Safety measures. I. American Institute of

Chemical Engineers. Center for Chemical Proces Safety. 'IP149.G835 1993 860' .28Od-dc20 92-40116

CIP

It Is sincerely hoped that the information prrsentcd in this volnmc will lead to an even molt im- preuivc safety record for the entire IndusItry; however, neither the American InsUtuk o f Chemi- cal Engineers, itr consuItantr, CCPS and/or its sponsors, io subcommittee members, their employers, nor their employers' officers and directors warnut or represent, expresly or Im- plied, the comctocsa or accuracy of the content of the information presented in tbk conference, nor a. they swept liability or responsibility whatroever for the comcqneaca of its use or misuse by anyone.

Contents

List of Figures and Ihb\e~ Aaonyns Glossary Preface Acknowledgments Introduction

Chapter 1 Management of Process Safety Management Systems Audits

1.1 Overview 1.2 Audit P q m m Scope 1 3 Audit Frequency

1.3.1 Degree of Risk 1.3.2 Process Safety Management Prognm Maturity 1.3.3 Results of Prior Audits 1.3.4 Incident History 1.35 Company Policies and Government Regulations

1.4 Audit Stnfling 15 Audit Reporting

1.5.1 Report Content 1.52 Distribution of Reports 1.5.3 Language of Reporrs 1.5.4 Report Retention

1.6 Audit Follow-up 1.7 Qunlity Asurnnee 1.8 Summary

Chapter 2 Audit Techniques

2.1.1 Pre-Audit Activities 2.1.2 Audit Activities 2.1.3 Post-Audit Activities

2.2 Audit Guides 2.2.1 Protocol 2.2.2 Questionnaire 2.2.3 Topical Outline

2.3.1 DntaGathering Methods and Sources 2.3.2 Intcrviewing Techniques

2.1 Overview

2 3 Gnthering Data

xi xiii

xvii xxi

xxiii

xv

1 3 5 5 5 6 6 6 6 8 8 9 9

10 10 11 12

13 13 16 19 19 20 21 22 22 22 24

V

vi Contents

2.3.2 Interviewing Techniques 2.33 Sampling Strategies and Techniques

2.4.1 Gathering Sufficient Information 2.4.2 Determining Adequacy of Information Gathered

2.4 Evnlunting Field Work

2 5 Working Pnpers 2.6 Sunininry

Chapter 3 Accountability and Responsibdity 3.1 Overview 3.2 Indicntors ofAccountnbility nnd Responsibility

3.2.1 Policy Statement 3.2.2 Management Commitment 3.2.3 Requirements For Procedures 3.2.4 Individual Performance Measurement

3.3.1 Responsibilities 3.3.2 Performance Measurement 3.3.3 Resources 3.3.4 Procedures 3.3.5 Culture 3.3.6 Acquisitions

33 Orgniiizntionnl Chnnges

3.4 Summnry

Chapter 4 Process Safety Knowledge 4.1 Overview 4.2 Audits of l’rocess Snfety Knowledge

4.2.1 Data Sources 4.2.2 Data Availability and Distribution 4.2.3 Maintaining Information

4 3 ‘Qps of Process Snfety Information 4.3.1 Chemical Data 4.3.2 Design Data 4.3.3 Design Basis 4.3.4 Process Flow Diagnms 4.3.5 Special Design Considerations 4.3.6 Piping and Instrumentation Drawings 4.3.7 Plot Plans 4.3.8 Electrical Classification Plot Plan 4.3.9 Plot Plan of Underground Services 4.3.10 Equipment Specification Sheers 4.3.11 Piping Specifications 4.3.12 Safety-Critical Instrument Index 4.3.13 Electrical One-line Diagrams

24 28 30 31 31 32 32

33 33 33 34 35 36 36 37 31 37 37 37 38 38

39 39 40 40 41 41 41 41 42 44 45 46 46 46 46 46 46 46 46

Contents vii

43.14 Programmble Controllers and Computers 4.3.15 Vendor Dam 43.16 Other Information

4.4.1 Operating Procedures 4.4.2 Other Procedures

4.4 Pmcdures

4 5 ' Enhnncement of Process Snfety Knowledge 4.6 Summnry

Chapter 5 Project Safety Reviews 5.1 Overview 5 2 Project Snfety Review Procedures 53 Hnznrd Annlysis

5.3.1 Hazard AnalysisTechniques 5.3.2 Staffing 5.3.3 RoleslRespnsibilitia

5.4.1 Assigned Responsibility for Action Items 5.4.2 Tracking System on Stntus of Action Items 5.4.3 Resolution of Disagreements 5.4.4 Updating Process Safety Informa!ion 5.4.5 Report 5.4.6 Dissemination of Findings 5.4.7 Record Retention

5.4 Recomniendntions/FoIlow-up/Closure

55 Summnry

Chapter 6 Management of Change 6.1 Overview 6.2 Auditing Appronch 6 3 Written Procedures

6.3.1 General Requirements 6.3.2 Definition of Change 6.3.3 Identification of Change 6.3.4 Description of Change 6.3.5 Temporary Changes 6.3.6 Authorization 6.3.7 Safety Review 6.3.8 Training

6.4 Documentntion 6 5 Summery

Chapter 7 Process Equipment Integrity 7.1 Overview 7.2 New Equipment Design, Fnbricntion, nnd Inshllntion 7 3 Preventive Mnintennnce 7.4 Mnintennnce Procedures

7.4.1 Work Authorization

46 48 48 48 48 49 49 50

51 52 54 55 58 58 58 59 59 60 60 60 60 60 61

63 64 65 65 66 68 69 69 69 70 70 71 71

73 75 77 78 78

riil Contents

7.4.2 Safe Work Practices 7.5 Contrnctors 7.6 Decommissioning nnd Demolition 7.7 Summary

Chapter 8 Process Risk Management 8.1 Overview 8.2 llnznrd IdentiKention

8.2.1 Soope of the Study 8.2.2 Methodology Selection 8.2.3 Implementation Practices 8.2.4 Study Recommendations

8 3 Risk Assessnient of Operations 8.3.1 Scope of the Study 8.3.2 Methodology Selection 8.3.3 Implementation Practices 8.3.4 Study Recommendations

8.4 Risk Reduction Activities 8.5 Residual Risk Management 8.6 Customer/!jupplier Fncilitis and Practices 8.7 New Businesses 8.8 Summory

Chapter 9 Incident Investigation 9.1 Overview 9.2 Incident Investigntion Systeni 9 3 Reporting Mechanism

9.3.1 Definition of lncidenrs 9.3.2 Initial Reporting 9.3.3 Responsibilities

9.4.1 Criteria for Investigation 9.4.2 Investigation Team 9.4.3 Investigation P ~ S S

9.5 Investigntion Reporting 9.6 Dwnrinntion of Findings

9.6.1 Internal Distribution 9.6.2 External Distribution

9.4 Investigation

9.7 Recommendntioii Implementntion/CIosure 9.8 Incident Annlysis 9.9 Summnry

Chapter 10 Ilnman Factors 10.1 Overview 10.2 Orgnnlzational Issues 103 Design Considemtions 103 Operatiiig Culture

78 79 79 80

81 82 83 84 84 85 85 85 a6 87 88 88 a9 90 91 91

93 95 % % 97 97 97 97 98 98 99

100 100 100 100 101 101

103 105 106 107

Contents Ix

10.5 Opernting Pr0adul.e~ 10.6 Envimnmentnl Conditions

10.6.1 Lighting 10.6.2 Noise 10.6.3 Temperature 10.6.4 Other Environmentd conditions

10.7.1 Display Design and Layout 10.7.2 Alarms 10.7.3 Match Between Operations and Program 10.7.4 Monitoring Multiple Screens

10.7 Proass Control Issues

10.6 Sumninry

Chapter 11 ’Ibaining and Performance 11.1 Overview 11.2 Auditing of “hining Programs

11.2.1 Needs Analysis 11.2.2 Program Content and Presentation 11.2.3 Training Frequency 11.2.4 Training Records 11.2.5 Training Program Effectiveness

113 Sunimory

Chapter 12 Emergency Response Planning 12.1 Overview 12.2 Needs Annlysis 123 Emergency Response Plnn Content 12.4 Auditing Emergency Response Plnnning 125 Emergency Mnnngenlent Systems 12.6 Documentntion of Resources, Organizations and Procedures 12.7 Tmining and Records 128 Emergency Response Plan Effectiveness 12.9 Sumninry Appendix A. Chnrnderistics of nn Incident Conimnnd

Bibliography

107 108 108 109 109 109 110 110 111 111 111 112

113 113 113 116 118 118 118 119

121 121 122 124 124 125 126 126 126 127

13 1

Index 133

List of Figures and Tables

Figure 2-1 Typical Steps in the Process Safety Management Audit Process F k u n 2-2 Example Page from an Audit Protocol Format Fig~ire 2-3 Example Page from a Process Safety Management Topical Outline Figure 4-1 Process Safety Knowledge Linkages Figure 5-1 Project Safety Rcview Interfaces Ft&re 5-2 Mazard Evaluation at Various Project Stages Figrrre 6-1 Example of an Approach to Auditing Management of Change Figure 6-2 Typical Management of Change Procedure Figure 7-1 Process Equipment Integrity Chart Figure 9-1 Incident Investigation Flowchart Figure 11-1 Example Training Matrix for Site Organization Figure 12-1 Emergency Response Planning Elements

lhbfe 1-1 Twelve Elements of Chemical Process Safety Management Table 1-2 Examples of Appropriate Report Phrasing Table 1-3 Examples of Audit Reporting Language to Avoid lhbfe 2-1 Typical Background Information Gathered in Pre-Audit Process lhble 2-2 Examples of Systematic Sampling Methods lbble 4-1 Typical Chemical Data lbbfe 4-2 Selected US. Regulations for Chemicals lbble 4-3 Typical Process Design Data 7&b& 4-4 Examples of Special Daign Considerations lhbfe 5-1 Evaluation of the Common Elements of Project Safety Reviews lhb& 10-1 Examples of Items to Consider in B Human Factors Review lhble 11-1 Examples of OSHA Required Training lbbfe 12-1 Examples of U.S. Emergency Response Planning Regulations Table 12-2 Typical Emergency Response Plan Considerations

14 21 23 42 52 56 65 67 74 95

114 123

2 9

10 15 30 43 43 44 45 55

104 115 122 125

xi

Acronyms

A IChE AIChE-DIERS

ANSI API ASME CAD CCPS CMA EHSRMA EPA FMEA mzop HVAC MSDS NDE OSHA PFD P&ID RCRA RMPP SARA SOP TCP UPS

American Institute of Chemical Engineers American Institute of Chemical Engineers--Design Institute for Emergency Relief Systems American National Standards Institute American Petroleum Institute American Society of Mechanical Engineers Computer Fqided Design Center for Chemical Process Safety Chemical Manufacturers Association Extremely Hazardous Substances Risk Management Act (DE) Environmental Protection Agency Failure Modes and Effects Analysis Hazard and Opembility Analysis Heating, Ventilating and Air Conditioning Material Safety Data Sheet Non-Destructive Examination Occupational Safety and Health Administration Process Flow Diagram Piping and Instrument Diagram Resource Conservation and Recovery Act Risk Management and Prevention Program (California) Superfund Amendments and Reauthorization Act Standard Operating Procedure Toxic Catastrophe Prevention A d (New Jersey) Unintermptable Power Supply

xiit

Glossary

Accident: An incident limited to a single injury and/or minor property damage. Accountabilily: The obligation to explain and answer for one’s actions that are related

to expectations, objectives, and goals. Because it is associated with positive and negative rewards for actions taken, accountability gives “teeth” to the roles and responsibilities assigned through the management system. Accordingly, it is a powerful element of an effective process safety management system.

Actionplan: A project schedule for the follow-up activity, and a management control document which can be used to monitor the status of corrective action.

Adnlinisfmtive conlrol: Procedures that will hold human and/or equipment performance within established limits.

Audit: A systematic, independent review to verify conformance with established guidelines or standards. It employs a well-defined review process to ensufe consistency, and to allow the auditor to reach defensible conclusions.

Checklist(tmdi~ioMI):A detailed list ofdesiredsystem attributes orsteps fora system or operator to perform. Usually written from experience and used to assess the acceptability or status of thesystem or operation compared toestablished norms.

ConrJintuztion: A special audit term referring to the substantiation of the existence or condition of something. A confirmation often takes the form of a written request and acknowledgement from independent third parties, but it may alsobeobtained orally or through observation.

Consequence: The direct, undesirable result of an accident sequenceusually involving a fire, explosion, or release of toxic material. Consequence descriptions may be qualitative or quantitative estimates of the effects of an accident in terms of factors such as health impacts, economic loss, and environmental damage.

Conskfency: Continued uniformity, during a period or from one period to another. Detemzine: To conclude; to reach an opinion consequent to the observation of the fit

of sample data within the limit, range, or area associated with substantial conformance, accuracy, or other predetermined standard; to obtain firsthand knowledge of.

Evaluate: To reach a conclusion as tosignificance, worth, effectiveness or usefulness. Exception: A finding which is a deviation from a standard. Failure Modes and Effects Analysis (FMEA): A systematic, tabular method for

evaluating and documenting the causes and effects of known types ofcomponent failures.

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