Guidelines for Process Safety Documentation

The process industry has developed integrated process safety management programs to reduce or eliminate incidents and major consequences, such as injury, loss of life, property damage, environmental harm, and business interruption. Good documentation practices are a crucial part of retaining past knowledge and experience, and avoiding relearning old lessons. Following an introduction, which offers examples of how proper documentation might have prevented major explosions and serious incidents, the 21 sections in this book clearly present aims, goals, and methodology in all areas of documentation. The text contains examples of dozens of needed forms, lists of relevant industry organizations, sources for software, references, OSHA regulations, sample plans, and more. Guidelines for Process Safety Documentation......Page 1 Front Matter......Page 2 Preface......Page 4 Acronyms......Page 6 Glossary......Page 11 Table of Contents......Page 13 1.1 Process Safety Management Activities the Center for Chemical Process Safety......Page 30 1.2 Benefits of Process Safety Management......Page 31 1.3 Description of Documentation......Page 33 1.4 Organizational and Individual Responsibilities......Page 34 1.6 How to Use This Book......Page 35 1.8 References......Page 36 2.1 Introduction......Page 38 2.1.1 Examples of Incidents Associated with Inadequate Documentation......Page 39 2.2 Goals and Benefits of Documentation......Page 40 2.4 Summary......Page 41 2.5 References......Page 42 3.1.2 Goals and Benefits......Page 43 3.2.2 More Detailed Documentation......Page 44 3.2.3 Responsibility and Accountability......Page 48 3.3.2 Records Revision and Retention......Page 49 3.5 References......Page 50 4.1.2 Goals and Benefits......Page 51 4.2.1 Manual Systems......Page 52 4.2.4 System Selection......Page 53 4.3.1 Documentation of Records Management Accountability and Responsibility......Page 54 4.4.1 Where Maintained......Page 55 4.4.2 Document Control......Page 59 4.4.3 Choice of Media......Page 60 4.4.5 Document Management Systems......Page 61 4.4.6 Fire Protection......Page 62 4.4.7 Environmental Damage Control......Page 63 4.4.8 Security......Page 64 4.4.10 Destruction......Page 65 Appendix 4A: Records Management Resources......Page 66 5.1.2 Goals and Benefits......Page 70 5.2.1 Objectives......Page 71 5.2.2 Sources and Nature of Process Knowledge......Page 72 5.3.1 Process Knowledge Program Documentation......Page 92 5.3.2 Records from Implementing the Process Knowledge Element......Page 94 5.6.1 Inadequate Investigation and Documentation of Chemicals Prior to Process Application......Page 95 5.7 References......Page 96 Appendix 5A: Example of Process Knowledge File Index......Page 98 6.1.1 Introduction......Page 100 6.2.1 Objectives......Page 101 6.2.2 Method 1: Safety Reviews......Page 102 6.2.3 Method 2: Checklist Analysis (CL)......Page 103 6.2.4 Method 3: Relative Ranking Analysis......Page 104 6.2.5 Method 4: Preliminary Hazard Analysis......Page 105 6.2.6 Method 5: What-If Analysis (WI)......Page 106 6.2.7 Method 6: What-If/Checklist Analysis (WICL)......Page 107 6.2.8 Method 7: Hazard and Operability Study (HAZOP)......Page 111 6.2.10 Method 9: Fault Tree Analysis (FTA)......Page 115 6.2.11 Method 10: Event Tree Analysis (ETA)......Page 119 6.2.12 Method 11: Cause-Consequence Analysis (CCA)......Page 120 6.2.13 Method 12: Human Factors Analysis (HFA)......Page 122 6.3.1 PHA Program Documentation......Page 123 6.3.2 Documentation of PHA Results......Page 127 6.3.3 Resolution of PHA Recommendations......Page 129 6.4.2 Media and Methods......Page 130 6.5 Auditing......Page 131 6.6.1 Runaway Reaction in a Polymerization Reactor......Page 132 7.1.1 Introduction......Page 134 7.1.2 Goals and Benefits......Page 135 7.2.1 Objectives......Page 136 7.3.1 CPQRA Program Documentation......Page 137 7.3.2 Documentation of CPQRA Results......Page 138 7.3.3 Resolution of CPQRA Recommendations......Page 140 7.6 References......Page 141 Appendix 7A: Graphical Presentation of CPQRA Results......Page 142 Appendix 7B: Documentation of Supporting Data......Page 144 Appendix 7C: Other Aspects of CPQRA Documentation......Page 146 8.1.2 Goals and Benefits......Page 149 8.2.2 Process Equipment Integrity as Part of Process Safety Management......Page 150 8.3.2 Records from Implementing Process Equipment Integrity Element......Page 151 8.4.2 Where Maintained......Page 156 8.6.1 Inadequate Documentation of Equipment Integrity Requirements and Management of Change Procedures......Page 157 8.7 References......Page 158 Appendix 8A: Example of Documentation Requirements for Mechanical Equipment......Page 159 Appendix 8B: Example of Documentation Requirements for Electrical Equipment......Page 164 Appendix 8C: Example of Documentation Requirements for Instrumentation Equipment.......Page 171 Appendix 8D: Example of Documentation Requirements for Safety Systems Equipment......Page 175 9.1.2 Goals and Benefits......Page 178 9.2.2 Human Factors in the Life Cycle of a Process Facility......Page 179 9.3.1 Human Factors Program Documentation......Page 181 9.3.2 Documentation of HFA Results......Page 182 9.3.3 Resolution of HFA Recommendations......Page 183 9.6.1 Types of Human Error......Page 184 9.7 References......Page 186 Appendix 9A: Typical Technical Documentation of HFA......Page 187 10.1.2 Goals and Benefits......Page 201 10.2.2 Management of Change as Part of Process Safety Management......Page 202 10.3.1 MOC Program Documentation......Page 203 10.3.2 Records from Implementing the MOC Element......Page 206 10.4.3 Responsibility and Accountability......Page 211 10.5 Auditing......Page 212 10.7 References......Page 213 11.2 Description of Operating Procedures......Page 214 11.2.2 Key Elements and Preparation of Operating Procedures......Page 215 11.3.1 Operating Procedures Program Documentation......Page 217 11.3.2 Records from Implementing the Operating Procedures Element......Page 219 11.4.2 Where Are Records Maintained?......Page 220 11.4.5 Access Control......Page 221 11.5 Auditing......Page 222 11.6.2 Abnormal Operations......Page 223 11.7 References......Page 224 12.1.2 Goals and Benefits......Page 225 12.2.1 Types of Training Methods......Page 226 12.2.3 Refresher Training......Page 227 12.2.4 Training Evaluation......Page 228 12.2.5 Training Module Guidelines......Page 229 12.3.2 Records from Implementing the Training Element......Page 232 12.4.2 Media and Methods......Page 233 12.5 Auditing......Page 234 12.6 References......Page 235 Appendix 12B: OSHA Regulations......Page 236 13.1.2 Goals and Benefits......Page 239 13.2.2 Planning for Emergency Response......Page 240 13.3.1 Emergency Response Program Documentation......Page 243 13.3.2 Records from Implementing an Emergency Response Program......Page 244 13.4.1 Where Are Records Maintained?......Page 246 13.5 Auditing......Page 247 13.7 References......Page 248 Planning Element A: Introduction......Page 249 Planning Element B: Emergency Assistance Telephone Roster......Page 253 Planning Element C: Response Functions......Page 254 Planning Element D: Containment and Cleanup......Page 262 Planning Element E: Documentation and Investigative Follow-Up......Page 263 Planning Element F: Procedures for Testing and Updating Plan......Page 264 Planning Element H: References......Page 265 14.1.2 Goals and Benefits......Page 266 14.2.2 Types of Audits......Page 267 14.2.3 Audit Methodology References......Page 268 14.3.1 Audit Program Documentation......Page 269 14.3.2 Records from Implementing the Auditing Element......Page 271 14.4.1 Storage Locations......Page 272 14.5 References......Page 273 15.1.2 Goals and Benefits......Page 274 15.2.2 Conducting Incident Investigations......Page 275 15.3.2 Documentation of Incident Investigation Results......Page 278 15.3.3 Resolution of Incident Report Recommendations......Page 279 15.4.2 Records Control......Page 280 15.6.2 Proper Follow-Up Prevents Recurrent Equipment Damage......Page 285 15.7 References......Page 286 16.1.2 Goals and Benefits......Page 287 16.2.1 Objectives......Page 288 16.2.2 Differentiation among Standards, Codes, and Regulations......Page 289 16.2.3 Sources of Standards, Codes, and Regulations......Page 290 16.4 Records Management......Page 291 16.4.2 Records Procurement......Page 292 16.4.4 Records Retention and Purge Procedures......Page 294 16.5 Auditing......Page 295 Appendix 16A: Organizations in the United States that Write Codes, Standards, and Regulations......Page 296 17.1.2 Goals and Benefits......Page 302 17.2.2 Owner Responsibilities......Page 303 17.2.3 Contractor Responsibilities......Page 304 17.3.1 Owner's Program Documentation......Page 306 17.3.3 Records from Addressing Contractor Issues......Page 307 17.4.2 Retention/Purge Schedule......Page 308 17.5.1 Auditing by the Contractor......Page 309 17.7 References......Page 310 18.1.1 Introduction......Page 312 18.2.1 Objectives......Page 313 18.3.1 Permit-to-Work Systems Program Documentation......Page 314 18.4.3 What Media Should Be Used?......Page 317 18.5 Auditing......Page 318 18.6.3 Application of Permit-to-Work System Not Comprehensive......Page 319 Appendix 18A: Typical Rules and Responsibilities for Permit-to-Work Systems......Page 320 Appendix 18B: Hot-Work Permit......Page 322 Appendix 18C: General Permit-to-Work......Page 323 Appendix 18D: Lockout/Tagout Permit......Page 326 Appendix 18F: Confined Space Entry Permit......Page 329 Appendix 18G: Other Permit Systems......Page 330 19.1.1 Introduction......Page 337 19.2.2 Control Software Applications......Page 338 19.2.3 Software Life Cycle......Page 339 19.3.1 Control Software Documentation Program......Page 340 19.3.2 Definition Stage Records......Page 341 19.3.3 Design Stage Records......Page 346 19.3.4 Implementation Stage Records......Page 347 19.3.6 Installation and Checkout Stage Records......Page 348 19.3.7 Operations and Maintenance Stage Records......Page 349 19.4.3 Management of Change......Page 350 19.4.4 Configuration Management......Page 351 19.5 Auditing......Page 352 19.6.2 Inadequate Test and Documentation of Control Software......Page 353 Appendix 19A: Quality Control of Software Documentation......Page 354 20.1.1 Introduction......Page 359 20.2.1 What Is a Document?......Page 360 20.2.2 Overall Document Flow......Page 361 20.2.3 Company Generated Documents......Page 362 20.2.5 Working Documents......Page 363 20.2.6 Reference Documents......Page 365 20.2.7 Archival Documents or Records......Page 366 20.2.8 Quantities of Documents......Page 367 20.3 Description of Document Life Cycle......Page 368 20.4 Detailed Example......Page 372 20.5 References......Page 374 21.1.1 Introduction......Page 375 21.1.2 Goals and Benefits......Page 376 21.2.1 Electronic Information Management......Page 377 21.2.3 Types of Emerging Technologies......Page 379 21.3 Emerging Technologies Applied to Documentation......Page 382 21.4.1 Considerations on the Use of Emerging Technologies......Page 384 21.4.2 General Issues for Implementation......Page 385 21.4.3 Implementation for Specific Elements of PSM......Page 386 21.5 Vision for the Future......Page 390 21.6 References......Page 391 A......Page 392 C......Page 393 D......Page 397 E......Page 399 F......Page 401 H......Page 402 I......Page 403 L......Page 405 O......Page 406 P......Page 407 R......Page 412 S......Page 415 T......Page 416 W......Page 418

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