Guidelines for process safety documentation

Contents Preface ...................................................................................... xvii Acronyms ................................................................................... xix Glossary .................................................................................... xxv 1. Introduction ....................................................................... 1 1.1 Process Safety Management Activities the Center for Chemical Process Safety ...................................................... 1 1.2 Benefits of Process Safety Management .............................. 2 1.3 Description of Documentation ............................................... 4 1.4 Organizational and Individual Responsibilities ...................... 5 1.5 Regulatory Considerations .................................................... 6 1.6 How to Use This Book ........................................................... 6 1.7 Summary ............................................................................... 7 1.8 References ............................................................................ 7 2. Process Safety Documentation Overview ...................... 9 2.1 Introduction ............................................................................ 9 2.1.1 Examples of Incidents Associated with Inadequate Documentation .................................. 10 2.2 Goals and Benefits of Documentation ................................... 11 2.3 Technological Changes ......................................................... 12 2.4 Summary ............................................................................... 12 2.5 References ............................................................................ 13 vi Contents This page has been reformatted by Knovel to provide easier navigation. 3. Accountability ................................................................... 15 3.1 Overview ............................................................................... 15 3.1.1 Introduction and Definition .................................... 15 3.1.2 Goals and Benefits ............................................... 15 3.2 Description of Documentation ............................................... 16 3.2.1 Statement of Values and Policies ......................... 16 3.2.2 More Detailed Documentation .............................. 16 3.2.3 Responsibility and Accountability ......................... 20 3.2.4 Measurement ....................................................... 21 3.3 Records Management ........................................................... 21 3.3.1 Policies and Practices .......................................... 21 3.3.2 Records Revision and Retention .......................... 21 3.4 Auditing ................................................................................. 22 3.5 References ............................................................................ 22 4. Records Management ....................................................... 23 4.1 Overview ............................................................................... 23 4.1.1 Introduction .......................................................... 23 4.1.2 Goals and Benefits ............................................... 23 4.2 Description of Records Management .................................... 24 4.2.1 Manual Systems .................................................. 24 4.2.2 Computerized Document Management Systems ............................................................... 25 4.2.3 Combination Systems .......................................... 25 4.2.4 System Selection ................................................. 25 4.3 Description of Documentation ............................................... 26 4.3.1 Documentation of Records Management Accountability and Responsibility ......................... 26 4.3.2 Description of Specific Types of Records .............. 27 4.4 Records Management ........................................................... 27 4.4.1 Where Maintained ................................................ 27 Contents vii This page has been reformatted by Knovel to provide easier navigation. 4.4.2 Document Control ................................................ 31 4.4.3 Choice of Media ................................................... 32 4.4.4 Files ..................................................................... 33 4.4.5 Document Management Systems ......................... 33 4.4.6 Fire Protection ..................................................... 34 4.4.7 Environmental Damage Control ............................ 35 4.4.8 Security ............................................................... 36 4.4.9 Reproduction ....................................................... 37 4.4.10 Destruction .......................................................... 37 4.5 Auditing ................................................................................. 38 4.6 References ............................................................................ 38 Appendix 4A. Records Management Resources ............................ 38 5. Process Knowledge .......................................................... 43 5.1 Overview ............................................................................... 43 5.1.1 Introduction .......................................................... 43 5.1.2 Goals and Benefits ............................................... 43 5.2 Description of Process Knowledge ....................................... 44 5.2.1 Objectives ............................................................ 44 5.2.2 Sources and Nature of Process Knowledge .......... 45 5.3 Process Knowledge Documentation ..................................... 65 5.3.1 Process Knowledge Program Documentation ....... 65 5.3.2 Records from Implementing the Process Knowledge Element ............................................. 67 5.4 Records Management ........................................................... 68 5.5 Auditing ................................................................................. 68 5.6 Examples .............................................................................. 68 5.6.1 Inadequate Investigation and Documentation of Chemicals Prior to Process Application ............ 68 5.6.2 Lack of Documentation of Process Information for Operations Personnel ..................................... 69 viii Contents This page has been reformatted by Knovel to provide easier navigation. 5.7 References ............................................................................ 69 Appendix 5A. Example of Process Knowledge File Index .............. 71 6. Process Hazard Analysis ................................................. 73 6.1 Overview ............................................................................... 73 6.1.1 Introduction .......................................................... 73 6.1.2 Goals and Benefits ............................................... 74 6.2 Description of Process Hazard Analysis ............................... 74 6.2.1 Objectives ............................................................ 74 6.2.2 Method 1: Safety Reviews .................................... 75 6.2.3 Method 2: Checklist Analysis (CL) ........................ 76 6.2.4 Method 3: Relative Ranking Analysis .................... 77 6.2.5 Method 4: Preliminary Hazard Analysis ................ 78 6.2.6 Method 5: What-If Analysis (WI) ........................... 79 6.2.7 Method 6: What-If/Checklist Analysis (WICL) ........ 80 6.2.8 Method 7: Hazard and Operability Study (HAZOP) .............................................................. 84 6.2.9 Method 8: Failure Modes and Effects Analysis (FMEA) ................................................................ 88 6.2.10 Method 9: Fault Tree Analysis (FTA) .................... 88 6.2.11 Method 10: Event Tree Analysis (ETA) ................. 92 6.2.12 Method 11: Cause-Consequence Analysis (CCA) .................................................................. 93 6.2.13 Method 12: Human Factors Analysis (HFA) .......... 95 6.3 Process Hazard Analysis Documentation ............................. 96 6.3.1 PHA Program Documentation .............................. 96 6.3.2 Documentation of PHA Results ............................ 100 6.3.3 Resolution of PHA Recommendations .................. 102 6.4 Records Management ........................................................... 103 6.4.1 Records Management Program ............................ 103 6.4.2 Media and Methods .............................................. 103 Contents ix This page has been reformatted by Knovel to provide easier navigation. 6.4.3 Responsibility and Accountability ......................... 104 6.4.4 Distribution, Access, and Retention ...................... 104 6.5 Auditing ................................................................................. 104 6.6 Examples .............................................................................. 105 6.6.1 Runaway Reaction in a Polymerization Reactor ................................................................ 105 7. Chemical Process Quantitative Risk Analysis ............... 107 7.1 Overview ............................................................................... 107 7.1.1 Introduction .......................................................... 107 7.1.2 Goals and Benefits ............................................... 108 7.2 Description of CPQRA .......................................................... 109 7.2.1 Objectives ............................................................ 109 7.2.2 Performance of CPQRA ....................................... 110 7.3 CPQRA Documentation ........................................................ 110 7.3.1 CPQRA Program Documentation ......................... 110 7.3.2 Documentation of CPQRA Results ....................... 111 7.3.3 Resolution of CPQRA Recommendations ............. 113 7.4 Records Management ........................................................... 114 7.5 Auditing ................................................................................. 114 7.6 References ............................................................................ 114 Appendix 7A. Graphical Presentation of CPQRA Results .............. 115 Appendix 7B. Documentation of Supporting Data .......................... 117 Appendix 7C. Other Aspects of CPQRA Documentation ............... 119 8. Process Equipment Integrity ............................................ 123 8.1 Overview ............................................................................... 123 8.1.1 Introduction .......................................................... 123 8.1.2 Goals and Benefits ............................................... 123 8.2 Description of Process Equipment Integrity .......................... 124 8.2.1 Objectives ............................................................ 124 x Contents This page has been reformatted by Knovel to provide easier navigation. 8.2.2 Process Equipment Integrity as Part of Process Safety Management ................................ 124 8.3 Process Equipment Integrity Documentation ........................ 125 8.3.1 Process Equipment Integrity Program Documentation ..................................................... 125 8.3.2 Records from Implementing Process Equipment Integrity Element ................................ 125 8.4 Records Management ........................................................... 130 8.4.1 Who and When .................................................... 130 8.4.2 Where Maintained ................................................ 130 8.4.3 Updating Documentation to Reflect Equipment Changes .............................................................. 131 8.5 Auditing ................................................................................. 131 8.6 Examples .............................................................................. 131 8.6.1 Inadequate Documentation of Equipment Integrity Requirements and Management of Change Procedures ............................................. 131 8.6.2 Inadequate Documentation of System Status ....... 132 8.6.3 Similar or Identical? Inadequate Equipment Integrity Documentation ....................................... 132 8.7 References ............................................................................ 132 Appendix 8A. Example of Documentation Requirements for Mechanical Equipment .......................................................... 133 Appendix 8B. Example of Documentation Requirements for Electrical Equipment .............................................................. 138 Appendix 8C. Example of Documentation Requirements for Instrumentation Equipment. .................................................. 145 Appendix 8D. Example of Documentation Requirements for Safety Systems Equipment ................................................... 149 9. Human Factors .................................................................. 153 9.1 Overview ............................................................................... 153 Contents xi This page has been reformatted by Knovel to provide easier navigation. 9.1.1 Introduction .......................................................... 153 9.1.2 Goals and Benefits ............................................... 153 9.2 Description of Human Factors ............................................... 154 9.2.1 Objectives ............................................................ 154 9.2.2 Human Factors in the Life Cycle of a Process Facility ................................................................. 154 9.2.3 Performance of Human Factors Analysis (HFA) ................................................................... 156 9.3 Human Factors Documentation ............................................ 156 9.3.1 Human Factors Program Documentation .............. 156 9.3.2 Documentation of HFA Results ............................ 157 9.3.3 Resolution of HFA Recommendations .................. 158 9.4 Records Management ........................................................... 159 9.5 Auditing ................................................................................. 159 9.6 Examples .............................................................................. 159 9.6.1 Types of Human Error .......................................... 159 9.6.2 Examples of Incidents .......................................... 161 9.7 References ............................................................................ 161 Appendix 9A. Typical Technical Documentation of HFA ................ 162 10. Management of Change .................................................... 177 10.1 Overview ............................................................................... 177 10.1.1 Introduction .......................................................... 177 10.1.2 Goals and Benefits ............................................... 177 10.2 Description of Management of Change ................................. 178 10.2.1 Objectives ............................................................ 178 10.2.2 Management of Change as Part of Process Safety Management ............................................. 178 10.3 Management of Change Documentation .............................. 179 10.3.1 MOC Program Documentation ............................. 179 xii Contents This page has been reformatted by Knovel to provide easier navigation. 10.3.2 Records from Implementing the MOC Element ............................................................... 182 10.4 Records Management ........................................................... 187 10.4.1 Records Management Program ............................ 187 10.4.2 Media and Methods .............................................. 187 10.4.3 Responsibility and Accountability ......................... 187 10.4.4 Records Retention and Purge Schedules ............. 188 10.5 Auditing ................................................................................. 188 10.6 Examples .............................................................................. 189 10.6.1 Mislabeled Electrical Equipment/Inadequate Management of Change ....................................... 189 10.6.2 Change to Operating Procedure ........................... 189 10.7 References ............................................................................ 189 11. Operating Procedures ...................................................... 191 11.1 Overview ............................................................................... 191 11.1.1 Introduction .......................................................... 191 11.1.2 Goals and Benefits ............................................... 191 11.2 Description of Operating Procedures .................................... 191 11.2.1 Objectives of Operating Procedures and Why They Are Required ............................................... 192 11.2.2 Key Elements and Preparation of Operating Procedures .......................................................... 192 11.3 Operating Procedures Documentation .................................. 194 11.3.1 Operating Procedures Program Documentation ..................................................... 194 11.3.2 Records from Implementing the Operating Procedures Element ............................................. 196 11.4 Records Management ........................................................... 197 11.4.1 Records Management Program ............................ 197 11.4.2 Where Are Records Maintained? .......................... 197 11.4.3 What Media Should Be Used? .............................. 198 Contents xiii This page has been reformatted by Knovel to provide easier navigation. 11.4.4 Retention/Purge Schedule for Records ................. 198 11.4.5 Access Control ..................................................... 198 11.4.6 Revision Control ................................................... 199 11.5 Auditing ................................................................................. 199 11.6 Examples .............................................................................. 200 11.6.1 Temporary Operating Procedures ........................ 200 11.6.2 Abnormal Operations ........................................... 200 11.6.3 Divided Responsibilities ....................................... 201 11.6.4 Precise Requirements .......................................... 201 11.7 References ............................................................................ 201 12. Training .............................................................................. 203 12.1 Overview ............................................................................... 203 12.1.1 Introduction .......................................................... 203 12.1.2 Goals and Benefits ............................................... 203 12.2 Training Program Design ...................................................... 204 12.2.1 Types of Training Methods ................................... 204 12.2.2 Initial Training ...................................................... 205 12.2.3 Refresher Training ............................................... 205 12.2.4 Training Evaluation .............................................. 206 12.2.5 Training Module Guidelines .................................. 207 12.3 Training Documentation ........................................................ 210 12.3.1 Training Program Documentation ......................... 210 12.3.2 Records from Implementing the Training Element ............................................................... 210 12.4 Records Management ........................................................... 211 12.4.1 Records Management Program ............................ 211 12.4.2 Media and Methods .............................................. 211 12.4.3 Responsibilities and Accountability ....................... 212 12.4.4 Records Retrieval and Access Controls ................ 212 12.4.5 Records Retention and Purge Schedule ............... 212 xiv Contents This page has been reformatted by Knovel to provide easier navigation. 12.5 Auditing ................................................................................. 212 12.6 References ............................................................................ 213 Appendix 12A. Training Topics ....................................................... 214 Appendix 12B. OSHA Regulations ................................................. 214 13. Emergency Response ....................................................... 217 13.1 Overview ............................................................................... 217 13.1.1 Introduction .......................................................... 217 13.1.2 Goals and Benefits ............................................... 217 13.2 Description of Emergency Response .................................... 218 13.2.1 Objectives ............................................................ 218 13.2.2 Planning for Emergency Response ....................... 218 13.3 Emergency Response Documentation .................................. 221 13.3.1 Emergency Response Program Documentation ..................................................... 221 13.3.2 Records from Implementing an Emergency Response Program .............................................. 222 13.4 Records Management ........................................................... 224 13.4.1 Where Are Records Maintained? .......................... 224 13.4.2 What Media Should Be Used? .............................. 225 13.5 Auditing ................................................................................. 225 13.6 Examples .............................................................................. 226 13.6.1 Lack of Preparedness .......................................... 226 13.6.2 Effective Evacuation Planning .............................. 226 13.7 References ............................................................................ 226 Appendix 13A. NRT-1 Hazardous Material Planning Elements ............................................................................... 227 Planning Element A: Introduction .................................... 227 Planning Element B: Emergency Assistance Telephone Roster ................................................ 231 Planning Element C: Response Functions ....................... 232 Contents xv This page has been reformatted by Knovel to provide easier navigation. Planning Element D: Containment and Cleanup .............. 240 Planning Element E: Documentation and Investigative Follow-Up ............................................................ 241 Planning Element F: Procedures for Testing and Updating Plan ...................................................... 242 Planning Element G: Hazards Analysis (Summary) ......... 243 Planning Element H: References ..................................... 243 14. Auditing ............................................................................. 245 14.1 Overview ............................................................................... 245 14.1.1 Introduction .......................................................... 245 14.1.2 Goals and Benefits ............................................... 245 14.2 Description of Auditing .......................................................... 246 14.2.1 Objectives ............................................................ 246 14.2.2 Types of Audits .................................................... 246 14.2.3 Audit Methodology References ............................. 247 14.3 Audit Documentation ............................................................. 248 14.3.1 Audit Program Documentation .............................. 248 14.3.2 Records from Implementing the Auditing Element ............................................................... 250 14.3.3 Resolution of Audit Recommendations ................. 251 14.4 Records Management ........................................................... 251 14.4.1 Storage Locations ................................................ 251 14.4.2 Media and Methods .............................................. 252 14.4.3 Records Retention and Purge Schedules ............. 252 14.5 References ............................................................................ 252 15. Incident Investigation ....................................................... 253 15.1 Overview ............................................................................... 253 15.1.1 Introduction .......................................................... 253 15.1.2 Goals and Benefits ............................................... 253 15.2 Description of Incident Investigation ...................................... 254 xvi Contents This page has been reformatted by Knovel to provide easier navigation. 15.2.1 Objectives ............................................................ 254 15.2.2 Conducting Incident Investigations ....................... 254 15.3 Incident Investigation Documentation ................................... 257 15.3.1 Incident Investigation Program Documentation ..................................................... 257 15.3.2 Documentation of Incident Investigation Results ................................................................ 257 15.3.3 Resolution of Incident Report Recommendations ............................................... 258 15.4 Records Management ........................................................... 259 15.4.1 Responsibilities and Accountability ....................... 259 15.4.2 Records Control ................................................... 259 15.5 Auditing ................................................................................. 264 15.6 Examples .............................................................................. 264 15.6.1 Inadequate Follow-Up to Incident Investigation Causes Fire ......................................................... 264 15.6.2 Proper Follow-Up Prevents Recurrent Equipment Damage ............................................. 264 15.7 References ............................................................................ 265 16. Standards, Codes, and Regulations ................................ 267 16.1 Overview ............................................................................... 267 16.1.1 Introduction .......................................................... 267 16.1.2 Goals and Benefits ............................................... 267 16.2 Description of Standards, Codes, and Regulations ............... 268 16.2.1 Objectives ............................................................ 268 16.2.2 Differentiation among Standards, Codes, and Regulations .......................................................... 269 16.2.3 Sources of Standards, Codes, and Regulations .......................................................... 270 16.3 Documentation of Standards, Codes, and Regulations ........ 271 Contents xvii This page has been reformatted by Knovel to provide easier navigation. 16.3.1 Program Documentation for Standards, Codes, and Regulations ................................................... 271 16.3.2 Records from Implementing the Standards, Codes, and Regulations Element ......................... 271 16.4 Records Management ........................................................... 271 16.4.1 Where Are Records Maintained? .......................... 272 16.4.2 Records Procurement .......................................... 272 16.4.3 Media and Methods .............................................. 274 16.4.4 Records Retention and Purge Procedures ............ 274 16.5 Auditing ................................................................................. 275 16.6 References ............................................................................ 276 Appendix 16A ................................................................................. 276 17. Contractor Issues .............................................................. 283 17.1 Overview ............................................................................... 283 17.1.1 Introduction .......................................................... 283 17.1.2 Goals and Benefits ............................................... 283 17.2 Description of Contractor PSM Programs ............................. 284 17.2.1 Objectives ............................................................ 284 17.2.2 Owner Responsibilities ......................................... 284 17.2.3 Contractor Responsibilities ................................... 285 17.3 Description of Documentation ............................................... 287 17.3.1 Owner's Program Documentation ......................... 287 17.3.2 Contractor's Program Documentation ................... 288 17.3.3 Records from Addressing Contractor Issues ......... 288 17.4 Records Management ........................................................... 289 17.4.1 Where Are Records Maintained? .......................... 289 17.4.2 Retention/Purge Schedule .................................... 289 17.4.3 Access Controls ................................................... 290 17.5 Auditing ................................................................................. 290 17.5.1 Auditing by the Contractor .................................... 290 xviii Contents This page has been reformatted by Knovel to provide easier navigation. 17.5.2 Auditing by the Owner .......................................... 291 17.6 Examples .............................................................................. 291 17.7 References ............................................................................ 291 18. Permit-to-Work Systems .................................................. 293 18.1 Overview ............................................................................... 293 18.1.1 Introduction .......................................................... 293 18.1.2 Goals and Benefits ............................................... 294 18.2 Description of Permit-to-Work Systems ................................ 294 18.2.1 Objectives ............................................................ 294 18.2.2 Implementing Permit-to-Work Systems ................. 295 18.3 Permit-to-Work Systems Documentation .............................. 295 18.3.1 Permit-to-Work Systems Program Documentation ..................................................... 295 18.3.2 Records from Implementing a Permit-to-Work System ................................................................ 298 18.4 Records Management ........................................................... 298 18.4.1 Records Management Program ............................ 298 18.4.2 Where Are Records Maintained? .......................... 298 18.4.3 What Media Should Be Used? .............................. 298 18.4.4 Retention/Purge Schedule for Records ................. 299 18.4.5 Revision Controls for Permit System .................... 299 18.5 Auditing ................................................................................. 299 18.6 Examples .............................................................................. 300 18.6.1 Inadequate Implementation of Permit-to-Work System ................................................................ 300 18.6.2 Inadequate Documentation .................................. 300 18.6.3 Application of Permit-to-Work System Not Comprehensive .................................................... 300 18.6.4 Ambiguous Information Entered on Work Permit .................................................................. 301 18.7 References ............................................................................ 301 Contents xix This page has been reformatted by Knovel to provide easier navigation. Appendix 18A. Typical Rules and Responsibilities for Permitto- Work Systems ................................................................... 301 A