Guidelines for Auditing Process Safety Management Systems E-Book

• Herausgeber: John Wiley & Sons
• Kategorie: Fachliteratur
• Sprache: Englisch

Seitenzahl: 714

Veröffentlichungsjahr: 2011

Beschreibung

This book discusses the fundamental skills, techniques, and tools of auditing, and the characteristics of a good process safety management system. A variety of approaches are given so the reader can select the best methodology for a given audit. This book updates the original CCPS Auditing Guideline project since the implementation of OSHA PSM regulation, and is accompanied by an online download featuring checklists for both the audit program and the audit itself. This package offers a vital resource for process safety and process development personnel, as well as related professionals like insurers.

Leseprobe

Contents

Cover

Half Title page

Title page

Copyright page

Acronyms

Glossary

Acknowledgements

Preface

User’s Guide to the Second Edition

Executive Summary

Introduction

Nomenclature

References

Guidance for Chapters 3–24

Chapter 1: Process Safety Management Audit Programs

1.1 Process Safety Management (PSM) Audits and Programs

1.2 PSM Audit Program Scope

1.3 PSM Audit Program Guidance

1.4 PSM Audit Frequency and Scheduling

1.5 PSM Audit Staffing

1.6 Certification of Auditors

1.7 PSM Audit Criteria and Protocols

1.8 Audit Reporting

1.9 Audit Follow-Up

1.10 Quality Assurance

1.11 Summary

References

Chapter 2: Conducting Process Safety Management Program Audits

2.1 Audit Planning

2.2 On-Site Audit Activities

2.3 Gathering, Recording, and Evaluating Audit Data and Information

2.4 Post-Audit Activities

2.5 Summary

References

Chapter 3: PSM Applicability

3.1 Overview

3.2 Audit Criteria and Guidance

3.3 Audit Protocol

References

Chapter 4: Process Safety Culture

4.1 Overview

4.2 Audit Criteria and Guidance

4.3 Posing Questions to Audit Process Safety Culture

4.4 Audit Protocol

References

Chapter 5: Compliance With Standards

5.1 Overview

5.2 Audit Criteria and Guidance

5.3 Audit Protocol

References

Chapter 6: Process Safety Competency

6.1 Overview

6.2 Audit Criteria and Guidance

6.3 Audit Protocol

References

Chapter 7: Workforce Involvement

7.1 Overview

7.2 Audit Criteria and Guidance

7.3 Audit Protocol

References

Chapter 8: Stakeholder Outreach

8.1 Overview

8.2 Audit Criteria and Guidance

8.3 Audit Protocol

References

Chapter 9: Process Knowledge Management

9.1 Overview

9.2 Audit Criteria and Guidance

9.3 Audit Protocol

References

Chapter 10: Hazard Identification and Risk Analysis

10.1 Overview

10.2 Audit Criteria and Guidance

10.3 Audit Protocol

References

Chapter 11: Operating Procedures

11.1 Overview

11.2 Audit Criteria and Guidance

11.3 Audit Protocol

References

Chapter 12: Safe Work Practices

12.1 Overview

12.2 Audit Criteria and Guidance

12.3 Audit Protocol

References

Chapter 13: Asset Integrity and Reliability

13.1 Overview

13.2 Audit Criteria and Guidance

13.3 Audit Protocol

References

Chapter 14: Contractor Management

14.1 Overview

14.2 Audit Criteria and Guidance

14.3 Audit Protocol

References

Chapter 15: Training and Performance Assurance

15.1 Overview

15.2 Audit Criteria and Guidance

15.3 Audit Protocol

References

Chapter 16: Management of Change

16.1 Overview

16.2 Audit Criteria and Guidance

16.3 Audit Protocol

References

Chapter 17: Operational Readiness

17.1 Overview

17.2 Audit Criteria and Guidance

17.3 Audit Protocol

References

Chapter 18: Conduct of Operations

18.1 Overview

18.2 Audit Criteria and Guidance

18.3 Audit Protocol

References

Chapter 19: Emergency Management

19.1 Overview

19.2 Audit Criteria and Guidance

19.3 Audit Protocol

References

Chapter 20: Incident Investigation

20.1 Overview

20.2 Audit Criteria and Guidance

20.3 Audit Protocol

References

Chapter 21: Measurement and Metrics

21.1 Overview

21.2 Audit Criteria and Guidance

21.3 Voluntary Consensus PSM Programs

21.4 Audit Protocol

References

Chapter 22: Auditing

22.1 Overview

22.2 Audit Criteria and Guidance

22.3 Audit Protocol

References

Chapter 23: Management Review and Continuous Improvement

23.1 Overview

23.2 Audit Criteria and Guidance

23.3 Voluntary Consensus PSM Programs

23.4 Audit Protocol

References

Chapter 24: Risk Management Programs

24.1 Overview

24.2 Audit Criteria and Guidance

24.3 Audit Protocol

References

Appendix A: PSM Audit Protocol

Appendix B: PSM Audit Report Templates

Appendix C: Sample PSM Audit Certifications

Appendix D: PSM Audit Plan Templates

Appendix E: Interview Questions for Nonmanagement Personnel

Appendix F: PSM Audit Planning Questionnaire

Appendix G: Integrated Contingency Plan (ICP) Audit Protocol

Appendix H: International PSM Audits

PSM Audits Performed By Non-U.S.-Based Audit Teams

PSM Audits Performed By U.S.-Based Or U.S.-Led Audit Teams

Appendix I: PSM Audit Dilemmas

Appendix J: PSM Audits During Mergers and Acquisitions

Index

Guidelines for Auditing Process Safety Management Systems

This book is one in a series of process safety guidelines and concept books published by the Center for Chemical Process Safety (CCPS). Please go to www.wiley.com/go/ccps for a full list of titles in this series.

Copyright © 2011 by American Institute of Chemical Engineers, Inc. All rights reserved.

A Joint Publication of the Center for Chemical Process Safety of the American Institute of Chemical Engineers and John Wiley & Sons, Inc.

Published by John Wiley & Sons, Inc., Hoboken, New Jersey.

Published simultaneously in Canada.

No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, [phone], fax [phone], or on the web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, [phone], fax [phone], or online at http://www.wiley.com/go/permission.

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Library of Congress Cataloging-in-Publication Data:

Guidelines for auditing process safety management systems/Center for Chemical Process Safety.—2nd ed.p. cm.Includes index.Includes bibliographical references and index.ISBN 978-0-470-28235-9 (hardback)1. Chemical plants—Safety measures. I. American Institute of Chemical Engineers. Center for Chemical Process Safety.TP149.G835 2011660’.2804—dc222010045224

It is sincerely hoped that the information presented in this document will lead to an even more impressive safety record for the entire industry; however, the American Institute of Chemical Engineers (AIChE), its consultants, the AIChE’s Center for Chemical Process Safety (CCPS) Technical Steering Committee and the Process Safety Management Systems Auditing Subcommittee members, their employers, their employer’s officers and directors, and AcuTech Consulting Group, Inc., and its employees do not warrant or represent, expressly or by implication, the correctness or accuracy of the content of the information presented in these Guidelines. As between (1) the AIChE, its consultants, the CCPS Technical Steering Committee and Subcommittee members, their employers, their employer’s officers and directors, and AcuTech Consulting Group, Inc., and its employees, and (2) the user of this document, the user accepts any legal liability or responsibility whatsoever for the consequence of its use or misuse.

ADDITIONAL ONLINE MATERIAL

The templates, samples, and protocols for Appendices A–G are provided electronically for the user’s convenience. See those appendices for more information on the substance and format of the material.

To access this material go to:

www.aiche.org/ccps/publications/auditing.aspx

And enter the password: Auditing2010

ACRONYMS

3133OSHA Publication 3133, Process Safety Management Guidelines for ComplianceACAApparent Cause AnalysisACCAmerican Chemistry CouncilAGAAmerican Gas AssociationAIAsset IntegrityAIChEAmerican Institute of Chemical EngineersALARAAs low as reasonably achievableALARPAs low as reasonably practicableANSIAmerican National Standards InstituteAPIAmerican Petroleum InstituteAPPCAppendix C of OSHA’s PSM Standard (Compliance Guidelines and Recommendations for Process Safety Management) (Nonmandatory)ARSAlternative release scenarioASMEAmerican Society of Mechanical EngineersASNTAmerican Society of Non-Destructive TestingBEACBoard of Environmental, Health, and Safety Auditor CertificationsB&PVBoiler & Pressure Vessel CodeCADComputer-aided designCalARPCalifornia Accidental Release Prevention (Program)CalOSHACalifornia Occupational Health and Safety AdministrationCAPPChemical Accident Prevention Program (Nevada)CBTComputer-based trainingCCCContra Costa CountyCCPACanadian Chemical Producers AssociationCCPSCenter for Chemical Process SafetyCDCCenters for Disease ControlCEI(Dow) Chemical Exposure IndexCEUCouncil of the European UnionCITCitation (issued by regulator)CMLCondition measurement locationCMMSComputerized maintenance management systemCOMAHControl of Major Accident HazardsCPLCompliance directive (OSHA instruction)CSCCChloride stress corrosion crackingCSChECanadian Society of Chemical EngineersCUICorrosion under insulationCVCurriculum vitaeDCSDistributed control systemDIERSDesign Institute for Emergency Relief SystemsDOIDepartment of InteriorDOTDepartment of TransportationDIERSAmerican Institute of Chemical Engineers—Design Institute for Emergency Relief SystemsEHSRMAExtremely Hazardous Substances Risk Management Act (Delaware)E&PExploration and productionEAPEmergency action planEHSEnvironmental, health, and safetyEMSEmergency medical services/environmental management systemEOPEmergency operating procedureEPAEnvironmental Protection AgencyERPEmergency response planERTEmergency response teamESDEmergency shutdown systemFEI(Dow) Fire and Explosion IndexFFSFitness for serviceFMFactory MutualFMEAFailure modes and effects analysisGDCGeneral duty clauseGIPGood industry practice (in PSM)HAZCOMHazard Communication (Standard—a U.S. regulation)HAZOPHazard and Operabiliry (Study)HAZWOPERHazardous Waste Operations and Emergency Response (Standard—a U.S. regulation)HFHydrogen fluoride or hydrofluoric (acid)HIRAHazard Identification and Risk AnalysisHSEHealth and Safety Executive (United Kingdom)HVACHeating, ventilating, and air conditioningHWPHot work permitICPIntegrated contingency planIDLHImmediately dangerous to life and healthI/EInstrument/electricalIFSTAInternational Fire Service Training AssociationILOInternational Labor OrganizationIPLIndependent protection layerITPMInspection, testing, and preventive maintenanceISAInternational Society of Automation (formerly Instrument Society of America)ISOInternational Standards Organization, Industrial Safety Ordinance (CCC)ISTInherently safer technologiesLEPCLocal Emergency Planning CommitteeLNGLiquified Natural GasLOPALayer of protection analysisLOTOLockout/tagoutMIMechanical IntegrityMIACCMajor Industrial Accident Council of CanadaMKOPSCMary Kay O’Connor Process Safety Center (Texas A&M University)MMSMinerals Management ServiceMOCManagement of ChangeMOUMemorandum of Understanding (or Memorandum or Agreement)MSDSMaterial Safety Data SheetN/ANot applicableNBNational BoardNDENondestructive examinationNEPNational Emphasis ProgramNDTNondestructive testingNETAInterNational Electrical Testing AssociationNFPANational Fire Protection AssociationNIMSNational Incident Management SystemNISTNational Institute of Standards & TechnologyOCAOff-site consequence analysisOEMOriginal equipment manufacturerOJTOn-the-job trainingOMSOil movement and storageOSHAOccupational Safety and Health AdministrationOSHASOccupational Health and Safety Assessment SeriesOSHRCOccupational Safety and Health Review CommissionPAPublic address (system)PANELBaker, J.A. et al., The Report of BP U.S. Refineries Independent Safety Review Panel, January 2007 (Baker Commission Report).PDAPersonal digital assistantPDCAPlan-Do-Check-ActPFDProcess flow diagramPHAProcess hazard analysisP&IDPiping and instrument diagramPMIPositive material identificationPPEPersonal protective equipmentPREPreamble to OSHA’s Process Safety Management StandardPSIProcess safety informationPSKProcess safety knowledgePSMProcess safety managementPSSRPre-start-up safety reviewQRAQuantitative risk analysisRAGAGEPRecognized and generally accepted good engineering practiceRBIRisk-based inspectionRBPSRisk-based process safetyRCResponsible Care®RCARoot cause analysisRCMReliability centered maintenanceRCMSResponsible Care Management SystemRCRAResource Conservation and Recovery ActRIKReplacement-in-kindRMPRisk management program/risk management planRMPPRisk Management and Prevention Program (California)RPRecommended practiceRSPAResearch and Special Projects AdministrationSARASuperfund Amendments and Reauthorization ActSCBASelf-contained breathing apparatusSEMPSafety and environmental management programSIFSafety instrumented functionSILSafety integrity levelSISSafety instrumented systemSOCMASociety of Chemical Manufacturers and AffiliatesSOPStandard operating procedureSPCCSpill prevention, countermeasures, and controlSWPSafe work practiceTCPAToxic Catastrophe Prevention Act (New Jersey)TEMATubular Exchanger Manufacturer’s AssociationTMLThickness measurement locationTSDTreatment, storage, and disposalTXCBP Corporation, Fatal Accident Investigation Report – Isomerization Unit Explosion, May 2005 (Texas City Refinery)UKHSEUnited Kingdom Health and Safety ExecutiveULUnderwriter’s LaboratoryUPSUninterruptible power supplyUSCGUnited States Coast GuardVPPVoluntary protection programVCLARVerbal clarification of PSM Standard by OSHAWCLARWritten clarification of PSM Standard by OSHAWCSWorst-case scenario

See the Introduction to Chapters 3–24 for additional acronyms that are used in the element chapters (Chapter 3–24) to define the sources of compliance and related audit criteria.

GLOSSARY

Accident: An incident that results in significant human loss (either injury of death), significant property damage, and/or a significant environmental impact.

Accident prevention pillar: A group of mutually supporting RBPS elements. The RBPS management system is composed of four accident prevention pillars: (1) commit to process safety, (2) understand hazards and risk, (3) manage risk, and (4) learn from experience.

Accountability: The obligation to explain and answer for one’s actions that are related to expectations, objectives, and goals. In this context, those that are accountable for PSM activities are answerable to the one person who has the ultimate responsibility for the program. There may be multiple persons accountable for an activity but only one person with the ultimate responsibility. Accordingly, it is a powerful element of an effective process safety management system.

Administrative control: Procedures that will hold human and/or equipment performance within established limits.

Anecdotal: Verbal evidence that is not supported by other, corroborating evidence. For example, the results of an interview with one person are not the basis for issuing a finding.

Apparent cause analysis (ACA): A less formal investigation method that focuses on the immediate causes of a specific incident.

As low as reasonably practicable (ALARP): The concept that efforts to reduce risk should be continued until the incremental sacrifice (in terms of cost, time, effort, or other expenditure of resources) is grossly disproportionate to the incremental risk reduction achieved. The term as low as reasonably achievable (ALARA) is often used synonymously.

Asset integrity: A PSM program element involving work activities that help ensure that equipment is properly designed, installed in accordance with specifications, and remains fit for purpose over its life cycle. Also asset integrity and reliability.

Audit: A systematic, independent review to verify conformance with prescribed requirements using a well-defined review process to ensure consistency and to allow the auditor to reach defensible conclusions.

By exception: The term “by exception” means that only information that fits a certain definition is documented and not all of the information that was generated by the activity. For example, in a HIRA, this most commonly happens when only those hazard scenarios that resulted in a recommendation(s) are documented and no others. In Asset Integrity, only those ITPM tasks that result in an out-of-specification result are documented.

Catastrophic release: An uncontrolled loss of containment of toxic, reactive, or flammable materials from a process that has the potential for causing onsite or offsite acute health effects, significant environmental effects (e.g., compromise of a public drinking water supply), or significant on-site or off-site property damage.

CCPA: Canadian Chemical Producer’s Association, Major Industrial Accidents Council of Canada (MIACC) Self Assessment Tool, September 2001. PSM Guide/HISAT Revision Project: Version 070820 prepared by the PSM committee of CCPA (rights maintained by CSChE).

Checklist: A list of items requiring verification of completion; typically, a procedure format in which each critical step is marked off (or otherwise acknowledged/verified) as it is performed. Checklists are often appended to procedures that provide a more detailed description of each step, including information regarding hazards, and a more complete description of the controls associated with the hazards. Checklists are also used in conjunction with formal hazard evaluation techniques to ensure thoroughness.

Code: Written requirements that affect a facility and/or the process safety requirements that apply to a facility. Codes contain requirements that apply to the design and implementation of management systems, design and operation of process equipment, or similar activities. The difference between a code and a standard is that codes have become part of a law or regulation, and therefore their requirements become mandatory within the jurisdictions that have adopted the code requirements in their laws or regulations. This usually occurs at the state level, but may also occur in local or federal laws or regulations.