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.

Table of Contents:
Preface. Acronyms. Glossary. 1. Introduction. 1.1 Process Safety Management Activities of the Center for Chemical Process Safety. 1.2 Benefits of Process Safety Management. 1.3 Description of Documentation. 1.4 Organizational and Individual Responsibilities. 1.5 Regulatory Considerations. 1.6 How to Use This Book. 1.7 Summary. 1.8 References. 2. Process Safety Documentation Overview. 2.1 Introduction. 2.1.1 Examples of Incidents Associated with Inadequate Documentation. 2.2 Goals and Benefits of Documentation. 2.3 Technological Changes. 2.4 Summary. 2.5 References. 3. Accountability. 3.1 Overview. 3.1.1 Introduction and Definition. 3.1.2 goals and Benefits. 3.2 Description of Documentation. 3.2.1 Statement of Values and Policies. 3.2.2 More Detailed Documentation. 3.2.3 Responsibility and Accountability. 3.2.4 Measurement. 3.3 Records Management. 3.3.1 Policies and Practices. 3.3.2 Records Revision and Retention. 3.4 Auditing. 3.5 References. 4. Records Management. 4.1 Overview. 4.1.1 Introduction. 4.1.2 Goals and Benefits. 4.2 Description of Records Management. 4.2.1 Manual Systems. 4.2.2 Computerized Document Management Systems. 4.2.3 Combination Systems. 4.2.4 System Selection. 4.3 Description of Documentation. 4.3.1 Documentation of Records Management Accountability and Responsibility. 4.3.2 Description of Specific Types of Records. 4.4 Records Management. 4.4.1 Where Maintained. 4.4.2 Document Control. 4.4.3 Choice of Media. 4.4.4 Files. 4.4.5 Document Management Systems. 4.4.6 Fire Protection. 4.4.7 Environmental Damage Control. 4.4.8 Security. 4.4.9 Reproduction. 4.4.10 Destruction. Appendix 4A. Records Management Resources. 5. Process Knowledge. 5.1 Overview. 5.1.1 Introduction. 5.1.2 Goals and Benefits. 5.2 Description of Process Knowledge. 5.2.1 Objectives. 5.2.2 Sources and nature of Process Knowledge. 5.3 Process Knowledge Documentation. 5.3.1 Process Knowledge Program Documentation. 5.3.2 Records from Implementing the Process Knowledge Element. 5.4 Records Management. 5.5 Auditing. 5.6 Examples. 5.6.1 Inadequate Investigation and Documentation of Chemicals Prior to Process Application. 5.6.2 Lack of Documentation of Process Information for Operations Personnel. 5.7 Reference. Appendix 5A. Example of Process Knowledge File Index. 6. Process Hazard Analysis. 6.1 Overview. 6.1.1 Introduction. 6.1.2 Goals and Benefits. 6.2 Description of Process Hazard Analysis. 6.2.1 Objectives. 6.2.2 Method 1: Safety Review. 6.2.3 Method 2: Checklist Analysis (CL). 6.2.4 Method 3: Relative Ranking Analysis. 6.2.5 Method 4: Preliminary Hazard Analysis. 6.2.6 Method 5: What-If Analysis (WI). 6.2.7 Method 6: What-If/Checklist Analysis (WICL). 6.2.8 Method 7: Hazard and Operability Study (HAZOP). 6.2.9 Method 8: Failure Models and Effects Analysis (FMEA). 6.2.10 Method 9: Fault Tree Analysis (FTA). 6.2.11 Method 10: Event Tree Analysis (ETA). 6.2.12 Method 11: Cause-Consequence Analysis (OCA). 6.2.13 Method 12: Human Factors Analysis (HFA). 6.3 Process Hazard Analysis Documentation. 6.3.1 PHA Program Documentation. 6.3.2 Documentation of PHA Results. 6.3.3 Resolution of PHA Recommendations. 6.4 Records Management. 6.4.1 Records Management Program. 6.4.2 Media and Methods. 6.4.3 Responsibility and Accountability. 6.4.4 Distribution, Access, and Retention. 6.5 Auditing. 6.6 Examples. 6.6.1 Runaway Reaction in a Polymerization Reactor. 7. Chemical Process Quantitative Risk Analysis. 7.1 Overview. 7.1.1 Introduction. 7.1.2 Goals and Benefits. 7.2 Description of CPQRA. 7.2.1 Objectives. 7.2.2 Performance of CPQRA. 7.3 CPQRA Documentation. 7.3.1 CPQRA Program Documentation. 7.3.2 Documentation of CPQRA Recommendations. 7.3.3 Resolution of CPQRA Recommendations. 7.4 Records Management. 7.5 Auditing. 7.6 References. Appendix 7A. Graphical Presentation of CPQRA Results. Appendix 7B. Documentation of Supporting Data. Appendix 7C. Other Aspects of CPQRA Documentation. 8. Process Equipment Integrity. 8.1 Overview. 8.1.1 Introduction. 8.1.2 Goals and Benefits. 8.2 Description of Process Equipment Integrity. 8.2.1 Objectives. 8.2.2 Process Equipment Integrity as Part of Process Safety Management. 8.3 Process Equipment Integrity Documentation. 8.3.1 Process Equipment Integrity Program Documentation. 8.3.2 Records from Implementing Process Equipment Integrity Element. 8.4 Records Management. 8.4.1 Who and When. 8.4.2 Where Maintained. 8.4.3 Updating Documentation to Reflect Equipment Changes. 8.5 Auditing. 8.6 Examples. 8.6.1 Inadequate Documentation of Equipment Integrity Requirements and Management of Change Procedures. 8.6.2 Inadequate Documentation of System States. 8.6.3 Similar or Identical Inadequate Equipment Integrity Documentation. 8.7 References. Appendix 8A. Example of Documentation Requirements for Mechanical Equipment. Appendix 8B. Example of Documentation Requirements for Electrical Equipment. Appendix 8C. Example of Documentation Requirements for Instrumentation Equipment. Appendix 8D. Example of Documentation Requirements for Safety Systems Equipment. 9. Human Factors. 9.1 Overview. 9.1.1 Introduction. 9.1.2 Goals and Benefits. 9.2 Description of Human Factors. 9.2.1 Objectives. 9.2.2 Human Factors in the Life Cycle of a Process Facility. 9.2.3 Performance of Human Factors Analysis (HFA). 9.3 Human Factors Documentation. 9.3.1 Human Factors Program Documentation. 9.3.2 Documentation of HFA Results. 9.3.3 Resolution of HFA Recommendations. 9.4 Records Management. 9.5 Auditing. 9.6 Examples. 9.6.1 Type of Human Error. 9.6.2 Examples of Incidents. 9.7 References. Appendix 9A. Typical Technical Documentation of HFA. 10. Management of Change. 10.1 Overview. 10.1.1 Introduction. 10.1.2 Goals and Benefits. 10.2 Description of Management of Change. 10.2.1 Objectives. 10.2.2 Management of Change as Part of Process Safety management. 10.3 Management of Change Documentation. 10.3.1 MOC Program Documentation. 10.2.2 Records from Implementing the MOC Element. 10.4 Records management. 10.4.1 Records Management Program. 10.4.2 Media and Methods. 10.4.3 Responsibility and Accountability. 10.4.4 Records Retention and Purge Schedules. 10.5 Auditing. 10.6 Examples. 10.6.1 Mislabeled Electrical Equipment/Inadequate Management of Change. 10.6.2 Change to Operating Procedure. 10.7 References. 11. Operating Procedures. 11.1 Overview. 11.1.1 Introduction. 11.1.2 Goals and Benefits. 11.2 Description of Operating Procedures. 11.2.1 Objectives of Operating Procedures and Why They Are Required. 11.2.2 Key Elements and Preparation of Operating Procedures. 11.3 Operating Procedures Documentation. 11.3.1 Operating Procedures Program Documentation. 11.3.2 Records from Implementing the Operating Procedures Element. 11.4 Records Management. 11.4.1 Records Management Program. 11.4.2 Where Are Records Maintained? 11.4.3 What Media Should Be Used? 11.4.4 Retention/Purge Schedule for Records. 11.4.5 Access Control. 11.4.6 Revision Control. 11.5 Auditing. 11.6 Examples. 11.6.1 Temporary Operating Procedures. 11.6.2 Abnormal Operations. 11.6.3 Divided Responsibilities. 11.6.4 Precise Requirements. 11.7 References. 12. Training. 12.1 Overview. 12.1.1 Introduction. 12.1.2 Goals and Benefits. 12.2 Training Program Design. 12.2.1 Types of Training Methods. 12.2.2 Initial Training. 12.2.3 Refresher Training. 12.2.4 Training Evaluation. 12.2.5 Training Module Guidelines. 12.3 Training Documentation. 12.3.1 Training Program Documentation. 12.3.2 Records from Implementing the Training Element. 12.4 Records Management. 12.4.1 Records management Program. 12.4.2 Media and Methods. 12.4.3 Responsibilities and Accountability. 12.4.4 Records Retrieval and Access Controls. 12.4.5 Records Retention and Purge Schedule. 12.5 Auditing. 12.6 References. Appendix 12A. Training Topics. Appendix 12B. OSHA Regulations. 13. Emergency Response. 13.1 Overview. 13.1.1 Introduction. 13.1.2 Goals and Benefits. 13.2 Description of Emergency Response. 13.2.1 Objectives. 13.2.2 Planning for Emergency Response. 13.3 Emergency Response Documentation. 13.3.1 Emergency Response Program Documentation. 13.3.2 Records from Implementing an Emergency Response Program. 13.4 Records Management. 13.4.1 Where Are Records Maintained? 13.4.2 Where Media Should Be Used? 13.5 Auditing. 13.6 Examples. 13.6.1 Lack of Preparedness. 13.6.2 Effective Evacuation Planning. 13.7 References. Appendix 13A. NRT-1 Hazardous Material Planning Elements. 14. Auditing. 14.1 Overview. 14.1.1 Introduction. 14.1.2 Goals and Benefits. 14.2 Description of Auditing. 14.2.1 Objectives. 14.2.2 Types of Audits. 14.2.3 Audit Methodology References. 14.3 Audit Documentation. 14.3.1 Audit Program Documentation. 14.3.2 Records from Implementing the Auditing Element. 14.3.3 Resolution of Audit Recommendations. 14.4 Records Management. 14.4.1 Storage Locations. 14.4.2 Media and Methods. 14.4.3 Records Retention and Purge Schedules. 14.5 References. 15. Incident Investigation. 15.1 Overview. 15.1.1 Introduction. 15.1.2 Goals and Benefits. 15.2 Description of Incident Investigation. 15.2.1 Objectives. 15.2.2 Conducting Incident Investigations. 15.3 Incident Investigation Documentation. 15.3.1 Incident Investigation Program Documentation. 15.3.2 Documentation of Incident Investigation Results. 15.3.3 Resolution of Incident Report Recommendations. 15.4 Records Management. 15.4.1 Responsibilities and Accountability. 15.4.2 Records Control. 15.5 Auditing. 15.6 Examples. 15.6.1 Inadequate Follow-Up to Incident Investigation Cause Fire. 15.6.2 Proper Follow-Up Prevent Recurrent Equipment Damage. 15.7 References. 16. Standards, Codes, and Regulations. 16.1 Overview. 16.1.1 Introduction. 16.1.2 Goals and Benefits. 16.2 Description of Standards, Codes, and Regulations. 16.2.1 Objectives. 16.2.2 Differentiation among Standards, Codes, and Regulations. 16.2.3 Sources of Standards, Codes, and Regulations. 16.3 Documentation of Standards, Codes and Regulations. 16.3.1 Program Documentation for Standards, Codes, and Regulations. 16.3.2 Records from Implementing the Standards, Codes, and Regulations Elements. 16.4 Records Management. 16.4.1 Where Are Records Maintained? 16.4.2 Records Procurement. 16.4.3 Media and Methods. 16.4.4 Records Retention and Purge Procedures. 16.5 Auditing. 16.6 References. Appendix 16A. 17. Contractor Issues. 17.1 Overview. 17.1.1 Introduction. 17.1.2 Goals and Benefits. 17.2 Description of Contractor PSM Programs. 17.2.1 Objectives. 17.2.2 Owner Responsibilities. 17.2.3 Contractor Responsibilities. 17.3 Description of Documentation. 17.3.1 Owner’s Program Documentation. 17.3.2 Contractor’s Program Documentation. 17.3.3 Records from Addressing Contractor Issues. 17.4 Records Management. 17.4.1 Where Are Records Maintained? 17.4.2 Retention/Purge Schedule. 17.4.3 Access controls. 17.5 Auditing. 17.5.1 Auditing by the Contractor. 17.5.2 Auditing by the Owner. 17.6 Examples. 17.7 References. 18. Permit-to-Work Systems. 18.1 Overview. 18.1.1 Introduction. 18.1.2 Goals and Benefits. 18.2 Description of Permit-to-Work Systems. 18.2.1 Objectives. 18.2.2 Implementing Permit-to-Work Systems. 18.3 Permit-to-Work Systems Documentation. 18.3.1 Permit-to-Work Systems Program Documentation. 18.3.2 Records from Implementing a Permit-to-Work System. 18.4 Records Management. 18.4.1 Records Management Program. 18.4.2 Where Are Records Maintained? 18.4.3 What Media Should Be Used? 18.4.4 Retention/Purge Schedule for Records. 18.4.5 Revision Controls for Permit System. 18.5 Auditing. 18.6 Examples. 18.6.1 Inadequate Implementation of Permit-to-Work System. 18.6.2 Inadequate Documentation. 18.6.3 Application of Permit-to-Work System Not Comprehensive. 18.6.4 Ambiguous Information Entered on Work Permit. 18.7 References. Appendix 18A. Typical Rules and Responsibilities for Permit-to-Work Systems. Appendix 18B. Hot-Work Permit. Appendix 18C. General Permit-to-Work. Appendix 18D. Lockout/Tagout Permit. Appendix 18E. Pipeline Breaking Permit. Appendix 18F. Confined Space Entry Permit. Appendix 18G. Other Permit Systems. 19. Control Software Documentation. 19.1 Overview. 19.1.1 Introduction. 19.1.2 Goals and Benefits. 19.2 Control Software Documentation. 19.2.1 Objectives. 19.2.2 Control Software Applications. 19.2.3 Software Life Cycle. 19.2.4 Software Life Cycle Stages. 19.3 Documentation of Control Software. 19.3.1 Control Software Documentation Program. 19.3.2 Definition Stage Records. 19.3.3 Design Stage Records. 19.3.4 Implementation Stage Records. 19.3.5 Testing Stage Records. 19.3.6 Installation and Checkout Stage Records. 19.3.7 Operations and Maintenance Stage Records. 19.4 Records Management. 19.4.1 Record Storage Locations. 19.4.2 Media. 19.4.3 Management of Change. 19.4.4 Configuration Management. 19.4.5 Replication, Storage, and Access Control. 19.4.6 Records Retention and Purge Schedules. 19.5 Auditing. 19.6 Examples. 19.6.1 Improper Integration and Documentation of Software. 19.6.2 Inadequate Test and Documentation of Control Software. 19.7 References. Appendix 19A. Quality Control of Software Documentation. 20. Document Life Cycle. 20.1 Overview. 20.1.1 Introduction. 20.1.2 Goals and Benefits. 20.2 Description of Documentation. 20.2.1 What Is a Document? 20.2.2 Overall Document Flow. 20.2.3 Company Generated Documents. 20.2.4 External Documents. 20.2.5 Working Documents. 20.2.6 Reference Documents. 20.2.7 Archival Documents or Records. 20.2.8 Quantities of Documents. 20.3 Description of Document Life Cycle. 20.1 Detailed Example. 20.5 References. 21. Emerging Technologies, Research, and Development. 21.1 Overview. 21.1.1 Introduction. 21.1.2 Goals and Benefits. 21.1.3 Impact of Regulatory Technologies. 21.2 Description of Emerging Technologies. 21.2.1 Electronic Information Management. 21.2.2 New Information Management Tools. 21.2.3 Type of Emerging Technologies. 21.3 Emerging Technologies Applied to Documentation. 21.4 Implementation of Emerging Technologies. 21.4.1 Consideration on the Use of Emerging Technologies. 21.4.2 General Issues for Implementation. 21.4.3 Implementation for Specific Elements of PSM. 21.5 Vision for the Future. 21.6 References.