Guidelines for Risk Based Process Safety

List of Tables xxix

List of Figures xxxi

Acronyms and Abbreviations xxxiii

Glossary xxxvii

Acknowledgments xlvii

Preface xlix

Executive Summary li

1 INTRODUCTION 1

1.1 Purpose of These Guidelines 2

1.2 Background 6

1.3 Important Terminology 9

1.4 Management Systems Concepts 10

1.5 Risk Based Process Safety Elements 12

1.6 Relationship Between RBPS Elements and Work Activities 12

1.7 Application of these RBPS Guidelines 14

1.8 Organization of these Guidelines 16

1.9 References 17

2 OVERVIEW OF RISK BASED PROCESS SAFETY 19

2.1 Risk Based Process Safety System Design Strategies 22

2.2 Risk Based Process Safety Design and Improvement Criteria 24

2.3 Using Element Chapters to Design and Improve a Process Safety Management System 32

I COMMIT TO PROCESS SAFETY 37

3 PROCESS SAFETY CULTURE 39

3.1 Element Overview 40

3.2 Key Principles and Essential Features 45

3.3 Possible Work Activities 48

3.4 Examples of Ways to Improve Effectiveness 58

3.5 Element Metrics 62

3.6 Management Review 64

3.7 References 66

4 COMPLIANCE WITH STANDARDS 67

4 1 Element Overview 67

4.2 Key Principles and Essential Features 69

4.3 Possible Work Activities 74

4.4 Examples of Ways to Improve Effectiveness 81

4.5 Element Metrics 83

4.6 Management Review 84

4.7 References 86

5 PROCESS SAFETY COMPETENCY 89

5.1 Element Overview 90

5.2 Key Principles and Essential Features 93

5.3 Possible W ork Activities 100

5.4 Examples of Ways to Improve Effectiveness 111

5.5 Element Metrics 116

5.6 Management Review 119

5.7 References 121

6 WORKFORCE INVOLVEMENT 123

6.1 Element Overview 123

6.2 Key Principles and Essential Features 128

6.3 Possible Work Activities 131

6.4 Examples of Ways to Improve Effectiveness 136

6.5 Element Metrics 140

6.6 Management Review 142

6.7 References 143

7 STAKEHOLDER OUTREACH 145

7.1 Element Overview 146

7.2 Key Principles and Essential Features 148

7.3 Possible Work Activities 152

7.4 Examples of Ways to Improve Effectiveness 159

7.5 Element Metrics 161

7.6 Management Review 164

7.7 References 165

II UNDERSTAND HAZARDS AND RISK 167

8 PROCESS KNOWLEDGE MANAGEMENT 169

8.1 Element Overview 170

8.2 Key Principles and Essential Features 173

8.3 Possible Work Activities 186

8.4 Examples of Ways to Improve Effectiveness 196

8.5 Element Metrics 201

8.6 Management Review 204

8.7 References 206

9 HAZARD IDENTIFICATION AND RISK ANALYSIS 209

9.1 Element Overview 209

9.2 Key Principles and Essential Features 213

9.3 Possible Work Activities 221

9.4 Examples of Ways to Improve Effectiveness 229

9.5 Element Metrics 237

9.6 Management Review 240

9.7 References 242

III MANAGE RISK

10 OPERATING PROCEDURES 245

10.1 Element Overview 245

10.2 Key Principles and Essential Features 247

10.3 Possible Work Activities 260

10.4 Examples of Ways to Improve Effectiveness 273

10.5 Element Metrics 279

10.6 Management Review 282

10.7 References 283

11 SAFE WORK PRACTICES 285

11.1 Element Overview 285

11.2 Key Principles and Essential Features 288

11.3 Possible Work Activities 298

11.4 Examples of Ways to Improve Effectiveness 307

11.5 Element Metrics 312

11.6 Management Review 314

11.7 References 316

12 ASSET INTEGRITY AND RELIABILITY 317

12.1 Element Overview 318

12.2 Key Principles and Essential Features 320

12.3 Possible Work Activities 335

12.4 Examples of Ways to Improve Effectiveness 352

12.5 Element Metrics 359

12.6 Management Review 361

12.7 References 363

13 CONTRACTOR MANAGEMENT 365

13.1 Element Overview 365

13.2 Key Principles and Essential Features 368

13.3 Possible Work Activities 377

13.4 Examples of Ways to Improve Effectiveness 385

13.5 Element Metrics 390

13.6 Management Review 391

13.7 References 393

14 TRAINING AND PERFORMANCE ASSURANCE 395

14.1 Element Overview 395

14.2 Key Principles and Essential Features 398

14.3 Possible Work Activities 406

14.4 Examples of Ways to Improve Effectiveness 414

14.5 Element Metrics 417

14.6 Management Review 420

14.7 References 421

15 MANAGEMENT OF CHANGE 423

15.1 Element Overview 423

15.2 Key Principles and Essential Features 426

15.3 Possible Work Activities 431

15.4 Examples of Ways to Improve Effectiveness 440

15.5 Element Metrics 445

15.6 Management Review 447

15.7 References 448

16 OPERATIONAL READINESS 449

16.1 Element Overview 449

16.2 Key Principles and Essential Features 452

16.3 Possible Work Activities 456

16.4 Examples of Ways to Improve Effectiveness 462

16.5 Element Metrics 464

16.6 Management Review 465

16.7 References 467

17 CONDUCT OF OPERATIONS 469

17.1 Element Overview 469

17.2 Key Principles and Essential Features 471

17.3 Possible Work Activities 484

17.4 Examples of Ways to Improve Effectiveness 498

17.5 Element Metrics 502

17.6 Management Review 506

17.7.References 508

18 EMERGENCY MANAGEMENT 509

18.1 Element Overview 510

18.2 Key Principles and Essential Features 513

18.3 Possible Work Activities 526

18.4.Examples of Ways to Improve Effectiveness 541

18.5 Element Metrics 543

18.6 Management Review 545

18.7 References 547

IV LEARN FROM EXPERIENCE 549

19 INCIDENT INVESTIGATION 551

19.1 Element Overview 552

19.2 Key Principles and Essential Features 556

19.3Possible Work Activities 563

19.4 Examples of Ways to Improve Efficiency and Effectiveness 575

19.5 Element Metrics 580

19.6 Management Review 582

19.7 References 584

20 MEASUREMENT AND METRICS 585

20.1 Element Overview 585

20.2 Key Principles and Essential Features 588

20.3 Possible Work Activities 590

20.4 Examples of Ways to Improve Effectiveness 594

20.5 Element Metrics 595

20.6 Management Review 597

20.7 References 598

21 AUDITING 599

21.1 Element Overview 599

21.2 Key Principles and Essential Features 602

21.3 Possible Work Activities 615

21.4 Examples of Ways to Improve Effectiveness 622

21.5 Element Metrics 626

21.6 Management Review 628

21.7 References 629

22 MANAGEMENT REVIEW AND CONTINUOUS IMPROVEMENT 631

22.1 Element Overview 631

22.2 Key Principles and Essential Features 634

22.4 Examples of Ways to Improve Effectiveness 644

22.5 Element Metrics and Indications 646

22.6 Management Review 647

22.7 References 647

23 IMPLEMENTATION 649

23.1 Reasons to Implement a Risk-based Process Safety Management System 650

20.2 First Steps Toward Implementation 651

20.3 Start with RBPS Elements that Provide the Greatest Risk Benefit to Your Facility 653

20.4 Implementation Examples 656

20.5 Other Applications 680

20.6 Conclusions 681

20.7 References 682

24 THE FUTURE 683

Index 689

LIST OF TABLES

TABLE S.l. Risk Based Process Safety Elements liv

TABLE 1.1. Possible Causes of Process Safety Management Performance Stagnation 2

TABLE 1.2. RBPS Management System Accident Prevention Pillars 3

TABLE 1 3. CCPS Guidelines and Tools for Chemical Process Safety Management 7

TABLE 1.4. North American Industry Process Safety Management Initiatives 7

TABLE 1.5. Partial List of Worldwide Governmental Accident Prevention and Process Safety Management Initiatives 8

TABLE 1.6. Some Factors that Motivated the CCPS RBPS Project 9

TABLE 1.7. Important Issues to Address in a Process Safety Management System 11

TABLE 1.8. Comparison of RBPS Elements to Original CCPS PSM Elements 13

TABLE 1.9. Generic Work Breakdown Structure for the RBPS System 14

TABLE 2.1. Process Safety Accident Prevention Principles and Associated RBPS Elements 24

TABLE 2.2. Examples of How Risk Affects Implementation of RBPS Work Activities 31

TABLE 2 3. Advice on Using these Guidelines to Meet Specific User Needs 33

TABLE 3.1. Culture as a Determinant of Process Risk Control Attitudes and Practices 41

TABLE 4.1. Examples and Sources of Process Safety Related Standards, Codes, Regulations, and Laws 71

TABLE 6.1. UK HSE Workforce Involvement Suggestions 127

TABLE 8.1. Typical Types of Process Knowledge 176

TABLE 9.1. Example Issues that Can Be Addressed at Various Life Cycle Stages 233

TABLE 10.1. Procedure Formats 253

TABLE 11.1. Activities Typically Included in the Scope of the Safe Work Element 290

TABLE 13.1. Safety Program and Performance Information Useful in Evaluating Potential Contractors 372

TABLE 22.1. Example Schedule for Management Reviews 636

TABLE 23.1. RBPS Implementation Options for Upgrading Operating Procedures 659

TABLE 23.2. RBPS Implementation Options for Implementing the Conduct of Operations Element 665

TABLE 23.3. RBPS Implementation Options for Fixing a Deficient MOC System 671

TABLE 23.4. Using RBPS to Develop and Implement a New Process Safety Management System 678

LIST OF FIGURES

FIGURE 2.1. Evolution of Process Safety and Accident/Loss Prevention Strategies 19

FIGURE 9.1. Levels of Hazard Evaluation and Risk Assessment 211

FIGURE 9.2. Typical Qualitative Risk Analysis Documentation Form 213

FIGURE 9.3. Example Risk Matrix 216

FIGURE 14.1. Training System Tasks 399

FIGURE 19.1. Incident Investigation Flowchart 553

FIGURE 19.2. Incident Investigation Levels of Analysis 555

FIGURE 23.1. A Risk-based Approach to Identifying Which RBPS Elements to Implement 655