Guidelines for auditing process safety management systems

Contents List of Figures and Tables ....................................................... xi Acronyms ................................................................................ xii Glossary .................................................................................. xv Preface .................................................................................... xvii Acknowledgments ................................................................... xxi Introduction .............................................................................. xxiii 1. Management of Process Safety Management Systems Audits ............................................................... 1 1.1 Overview ............................................................................ 1 1.2 Audit Program Scope ......................................................... 3 1.3 Audit Frequency ................................................................. 5 1.3.1 Degree of Risk ................................................... 5 1.3.2 Process Safety Management Program Maturity .............................................................. 5 1.3.3 Results of Prior Audits ........................................ 6 1.3.4 Incident History .................................................. 6 1.3.5 Company Policies and Government Regulations ........................................................ 6 1.4 Audit Staffing ...................................................................... 6 vi Contents This page has been reformatted by Knovel to provide easier navigation. 1.5 Audit Reporting .................................................................. 8 1.5.1 Report Content .................................................. 8 1.5.2 Distribution of Reports ........................................ 9 1.5.3 Language of Reports .......................................... 9 1.5.4 Report Retention ................................................ 10 1.6 Audit Follow-up .................................................................. 10 1.7 Quality Assurance .............................................................. 11 1.8 Summary ............................................................................ 12 2. Audit Techniques ............................................................ 13 2.1 Overview ............................................................................ 13 2.1.1 Pre-Audit Activities ............................................. 13 2.1.2 Audit Activities ................................................... 16 2.1.3 Post-Audit Activities ........................................... 19 2.2 Audit Guides ....................................................................... 19 2.2.1 Protocol ............................................................. 20 2.2.2 Questionnaire .................................................... 21 2.2.3 Topical Outline ................................................... 22 2.3 Gathering Data ................................................................... 22 2.3.1 Data-Gathering Methods and Sources ................ 22 2.3.2 Interviewing Techniques ..................................... 24 2.3.3 Sampling Strategies and Techniques ................. 28 2.4 Evaluating Field Work ........................................................ 30 2.4.1 Gathering Sufficient Information ......................... 31 2.4.2 Determining Adequacy of Information Gathered ............................................................ 31 2.5 Working Papers .................................................................. 32 2.6 Summary ............................................................................ 32 Contents vii This page has been reformatted by Knovel to provide easier navigation. 3. Accountability and Responsibility ................................. 33 3.1 Overview ............................................................................ 33 3.2 Indicators of Accountability and Responsibility .................. 33 3.2.1 Policy Statement ................................................ 33 3.2.2 Management Commitment ................................. 34 3.2.3 Requirements for Procedures ............................. 35 3.2.4 Individual Performance Measurement ................ 36 3.3 Organizational Changes ..................................................... 36 3.3.1 Responsibilities .................................................. 37 3.3.2 Performance Measurement ................................ 37 3.3.3 Resources ......................................................... 37 3.3.4 Procedures ........................................................ 37 3.3.5 Culture ............................................................... 37 3.3.6 Acquisitions ....................................................... 38 3.4 Summary ............................................................................ 38 4. Process Safety Knowledge ............................................ 39 4.1 Overview ............................................................................ 39 4.2 Audits of Process Safety Knowledge ................................. 39 4.2.1 Data Sources ..................................................... 40 4.2.2 Data Availability and Distribution ........................ 40 4.2.3 Maintaining Information ...................................... 41 4.3 Types of Process Safety Information ................................. 41 4.3.1 Chemical Data ................................................... 41 4.3.2 Design Data ....................................................... 41 4.3.3 Design Basis ...................................................... 42 4.3.4 Process Flow Diagrams ..................................... 44 4.3.5 Special Design Considerations ........................... 45 4.3.6 Piping and Instrumentation Drawings ................. 46 4.3.7 Plot Plans .......................................................... 46 viii Contents This page has been reformatted by Knovel to provide easier navigation. 4.3.8 Electrical Classification Plot Plan ........................ 46 4.3.9 Plot Plan of Underground Services ..................... 46 4.3.10 Equipment Specification Sheets ......................... 46 4.3.11 Piping Specifications .......................................... 47 4.3.12 Safety-Critical Instrument Index .......................... 47 4.3.13 Electrical One-line Diagrams .............................. 47 4.3.14 Programmable Controllers and Computers ......... 47 4.3.15 Vendor Data ....................................................... 48 4.3.16 Other Information ............................................... 48 4.4 Procedures ......................................................................... 48 4.4.1 Operating Procedures ........................................ 48 4.4.2 Other Procedures ............................................... 49 4.5 Enhancement of Process Safety Knowledge ..................... 49 4.6 Summary ............................................................................ 50 5. Project Safety Reviews ................................................... 51 5.1 Overview ............................................................................ 51 5.2 Project Safety Review Procedures ..................................... 52 5.3 Hazard Analysis ................................................................. 54 5.3.1 Hazard Analysis Techniques .............................. 55 5.3.2 Staffing .............................................................. 58 5.3.3 Roles/Responsibilities ........................................ 58 5.4 Recommendations/Follow-up/Closure ............................... 58 5.4.1 Assigned Responsibility for Action Items ............ 59 5.4.2 Tracking System on Status of Action Items ......... 59 5.4.3 Resolution of Disagreements .............................. 60 5.4.4 Updating Process Safety Information .................. 60 5.4.5 Report ................................................................ 60 5.4.6 Dissemination of Findings .................................. 60 5.4.7 Record Retention ............................................... 60 Contents ix This page has been reformatted by Knovel to provide easier navigation. 5.5 Summary ............................................................................ 61 6. Management of Change .................................................. 63 6.1 Overview ............................................................................ 63 6.2 Auditing Approach .............................................................. 64 6.3 Written Procedures ............................................................ 65 6.3.1 General Requirements ....................................... 65 6.3.2 Definition of Change ........................................... 66 6.3.3 Identification of Change ...................................... 68 6.3.4 Description of Change ........................................ 69 6.3.5 Temporary Changes .......................................... 69 6.3.6 Authorization ...................................................... 69 6.3.7 Safety Review .................................................... 70 6.3.8 Training ............................................................. 70 6.4 Documentation ................................................................... 71 6.5 Summary ............................................................................ 71 7. Process Equipment Integrity .......................................... 73 7.1 Overview ............................................................................ 73 7.2 New Equipment Design, Fabrication, and Installation ........ 75 7.3 Preventive Maintenance ..................................................... 77 7.4 Maintenance Procedures ................................................... 78 7.4.1 Work Authorization ............................................. 78 7.4.2 Safe Work Practices ........................................... 78 7.5 Contractors ......................................................................... 79 7.6 Decommissioning and Demolition ...................................... 79 7.7 Summary ............................................................................ 80 x Contents This page has been reformatted by Knovel to provide easier navigation. 8. Process Risk Management ............................................. 81 8.1 Overview ............................................................................ 81 8.2 Hazard Identification ........................................................... 82 8.2.1 Scope of the Study ............................................. 83 8.2.2 Methodology Selection ....................................... 84 8.2.3 Implementation Practices ................................... 84 8.2.4 Study Recommendations ................................... 85 8.3 Risk Assessment of Operations ......................................... 85 8.3.1 Scope of the Study ............................................. 85 8.3.2 Methodology Selection ....................................... 86 8.3.3 Implementation Practices ................................... 87 8.3.4 Study Recommendations ................................... 88 8.4 Risk Reduction Activities .................................................... 88 8.5 Residual Risk Management ............................................... 89 8.6 Customer/Supplier Facilities and Practices ........................ 90 8.7 New Businesses ................................................................. 91 8.8 Summary ............................................................................ 91 9. Incident Investigation ..................................................... 93 9.1 Overview ............................................................................ 93 9.2 Incident Investigation System ............................................. 95 9.3 Reporting Mechanism ........................................................ 96 9.3.1 Definition of Incidents ......................................... 96 9.3.2 Initial Reporting .................................................. 97 9.3.3 Responsibilities .................................................. 97 9.4 Investigation ....................................................................... 97 9.4.1 Criteria for Investigation ..................................... 97 9.4.2 Investigation Team ............................................. 98 9.4.3 Investigation Process ......................................... 98 9.5 Investigation Reporting ....................................................... 99 Contents xi This page has been reformatted by Knovel to provide easier navigation. 9.6 Dissemination of Findings .................................................. 100 9.6.1 Internal Distribution ............................................ 100 9.6.2 External Distribution ........................................... 100 9.7 Recommendation Implementation/Closure ........................ 100 9.8 Incident Analysis ................................................................ 101 9.9 Summary ............................................................................ 101 10. Human Factors ................................................................ 103 10.1 Overview ............................................................................ 103 10.2 Organizational Issues ......................................................... 105 10.3 Design Considerations ....................................................... 106 10.4 Operating Culture ............................................................... 107 10.5 Operating Procedures ........................................................ 107 10.6 Environmental Conditions .................................................. 108 10.6.1 Lighting .............................................................. 108 10.6.2 Noise ................................................................. 109 10.6.3 Temperature ...................................................... 109 10.6.4 Other Environmental Conditions ......................... 109 10.7 Process Control Issues ...................................................... 110 10.7.1 Display Design and Layout ................................. 110 10.7.2 Alarms ............................................................... 111 10.7.3 Match Between Operations and Programs .......... 111 10.7.4 Monitoring Multiple Screens ............................... 111 10.8 Summary ............................................................................ 112 11. Training and Performance .............................................. 113 11.1 Overview ............................................................................ 113 11.2 Auditing of Training Programs ............................................ 113 11.2.1 Needs Analysis .................................................. 113 11.2.2 Program Content and Presentation .................... 116 11.2.3 Training Frequency ............................................ 118 xii Contents This page has been reformatted by Knovel to provide easier navigation. 11.2.4 Training Records ................................................ 118 11.2.5 Training Program Effectiveness .......................... 118 11.3 Summary ............................................................................ 119 12. Emergency Response Planning ..................................... 121 12.1 Overview ............................................................................ 121 12.2 Needs Analysis .................................................................. 121 12.3 Emergency Response Plan Content .................................. 122 12.4 Auditing Emergency Response Planning ........................... 124 12.5 Emergency Management Systems .................................... 124 12.6 Documentation of Resources, Organizations and Procedures ......................................................................... 125 12.7 Training and Records ......................................................... 126 12.8 Emergency Response Plan Effectiveness ......................... 126 12.9 Summary ............................................................................ 126 Appendix A. Characteristics of an Incident Command ................ 127 Bibliography .......................................................................... 131 Index ....................................................................................... 133