PSM Workbook Canada
PSM Workbook Canada
PSM Workbook Canada
Foreword
This interview workbook has been designed by the Process Safety Management (PSM) Subject Division of the Canadian
Society for Chemical Engineering (CSChE) as a helpful tool to supplement the Audit Protocol for the CSChE Process Safety
Management Standard. It is available for free download from the website of the PSM Division, and may be used or edited
to meet a users needs, provided that this Forward, and accompanying Disclaimer and Introduction are retained, with an
added notation that the modified workbook has been adapted from the original PSM Division template.
The PSM Guide, upon which the Standard is based, was developed through the Major Industrial Accidents Council of
Canada (MIACC), a voluntary alliance of interested parties dedicated to reducing the frequency and severity of major
industrial accidents. From 1987 until its dissolution in 1999, this partnership included the federal, provincial and municipal
governments, industry, labour, emergency response groups, public interest groups and academia. On the dissolution of
MIACC, the PSM aspects of this initiative were transferred to the new subject division of the CSChE, which was formed for
this purpose.
The material in the PSM Guide is based on the approach developed by the U.S. Center for Chemical Process Safety CCPS).
The CCPS was established in 1985 as a Directorate of the American Institute of Chemical Engineers to focus on engineering
practices that will help prevent or mitigate catastrophic process safety incidents.
Disclaimer
The proposed application of this publication is stated in the Introduction. While the information presented in this docu-
ment is intended to assist users in the safe design and operation of facilities handling, using, processing or storing haz-
ardous materials, the user is advised that neither the Canadian Society for Chemical Engineering (CSChE) nor persons
involved in producing this publication warrant to represent, expressly or implicitly, the correctness or accuracy of the in-
formation presented herein. This publication is intended to provide general guidance and not advice for specific situations,
nor is it meant to constitute a legal standard of care.
It remains the responsibility of the user of the publication to determine its suitability for the particular application in-
tended, to use the information provided in the publication in a manner appropriate to that application, and to consult
with qualified professionals as necessary. Notwithstanding the above, or any other provisions in this publication or any
applicable statutory provisions, the Canadian Society for Chemical Engineering, the Chemical Institute of Canada (includ-
ing without limitation their respective past and present officers, directors, members, employees or volunteers), the orga-
nizations, or the persons involved in producing this publication shall not be liable to the user for any damages whether
direct, indirect, general, punitive, consequential, for alleged lost profits, or otherwise that may result directly or indirectly
from the application of this publication.
The Process Safety Management Standard established by the Canadian Society for Chemical
Engineering in 2012 identifies the requirements of a management system that will address the
scope of issues covered by Process Safety Management (PSM) for facilities handling or storing
potentially hazardous materials. The overarching purpose of the Standard is to identify the
performance requirements that can be audited by an organization or a third party to recognize
and address gaps that may exist in the overall management system. The Standard identifies the
expected results of the various policies, practices and procedures that will help to ensure the
organization achieves the desired results.
The Standard defines the minimum requirements that must be in place to ensure the 12 Elements
are adequately addressed. Any deficiencies can lead to unacceptable risks to safety, health and
the environment or loss of assets and/or production. An organization would normally include
these minimum requirements in an integrated health, safety, environmental and risk management
program that will be effective in preventing incidents at facilities that manufacture, store, handle
or otherwise use potentially hazardous materials. The Standard also includes Guidelines for some
of the elements. While not mandatory, the Guidelines have been included as they represent
recommended best practices in helping to meet the Standard.
The questions in the PSM Audit Protocol have been prepared as a master audit tool that can be
used to establish whether an organization is meeting the requirements of the PSM Standard.
While many of the audit questions imply yes/no answers, they do require technical knowledge to
verify. In addition, some of the questions are of a more qualitative nature. Thus an audit of
adherence to the standard needs to be conducted by an individual or team who are
knowledgeable in the principles and practice of process safety. For convenience, questions that
address the Guidelines have also been included in italics for easy identification.
This audit workbook has been created as a tool that auditors may use when examining an
organizations adherence to the PSM Standard. It is intended to simplify the task by
conveniently grouping together all the audit questions for each functional group of the
organization.
Table of Contents
Company XYZ Example Audit Agenda ......................................................................................... 1
Dates ............................................................................................................................................... 1
Sunday 20:00 21:00 Hotel Lounge .................................................................................................. 1
Monday - 08:00 16:30 ........................................................................................................................... 1
Tuesday - 08:00 16:30 ........................................................................................................................... 1
Wednesday - 08:00 22:00 ...................................................................................................................... 2
Thursday - 08:00 16:00.......................................................................................................................... 2
Activities ......................................................................................................................................... 3
Interviews ................................................................................................................................................. 3
Follow-up Items........................................................................................................................................ 4
Protocols ......................................................................................................................................... 5
Engineering Protocol ...................................................................................................................... 5
Human Resources Protocol........................................................................................................... 13
Inspection Protocol ....................................................................................................................... 15
Leadership Protocol ...................................................................................................................... 18
Maintenance Audit Protocol ......................................................................................................... 26
Operations Audit Protocol ............................................................................................................ 32
Purchasing Audit Protocol ............................................................................................................ 37
Safety Audit Protocol.................................................................................................................... 41
Training Audit Protocol ................................................................................................................ 47
Notes: _______________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
Company XYZ Example Audit Agenda
Dates
1
Wednesday - 08:00 22:00
Item Facility/Audit Resource Time
1. Interview Safety representative Safety Representative 08:00
2. Interview Purchasing representative Buyer or designate 09:00
3. Review Purchasing documentation Audit Team 09:30
4. Interview Human Resources representative Human Resources 10:00
5. Review HR documentation Audit Team 10:30
6. Interview Training representative Training Coordinator 11:00
7. Review and verify training documentation Trainer or designate 11:30
8. Lunch 12:00
2
Activities
Interviews
Interviewee Day/Time Purpose Complete
3
Follow-up Items
Protocol Area Reference Comments
4
Protocols
Engineering Protocol
Element 1. Accountability; Objectives and Goals
1b Are PSM goals and objectives visible to and understood by all workers?
1c Are there company objectives that demonstrate the priority of Process Safety compared to other
business objectives like production and cost?
1d Is accountability for Process Safety clearly identified in roles, responsibilities, and position
descriptions?
1e Are there appropriate resources available to meet the Process Safety goals and objectives?
1f Are there examples of management commitment to Process Safety at all levels of the
organization, e.g., directives that state inadvertent loss of process containment situations must be
eliminated?
1A Continuity of operations
1A3 How is the need for spare and redundant equipment identified at the design stages of a project so
the facility can reduce the need for a complete shutdown?
1A4 How does the company decide when to segregate parts of a facility so that small sections of the
facility can be shut down without shutting down the complete operation?
1A5 Is there a process in place to decide when there is a need to install multiple lines rather than
relying on a single stream operation?
1B Continuity of systems
1B1 Are resource allocations driven by the process hazards rather than by the economic viability of the
process?
1C Continuity of organization
1C1 Are PSM responsibilities clearly defined as part of position or job descriptions?
1D Quality process
1D1 Do workers understand the scope of issues involved in PSM?
1D2 Does the facility maintain monitoring programs to track the status of Process Safety?
1D3 Are there established goals, targets and key performance indicators (KPI) for measuring Process
Safety performance?
1D5 Is there a quality assurance system for all aspects of work that includes checking, verification,
validation, documentation and configuration management, as appropriate?
1E Control of exceptions
1E1 Is there a process in place to allow exceptions in engineering designs to be managed with
appropriate controls by assigning accountability to qualified personnel?
1E2 Is there a process in place to assign accountability for construction, commissioning and
decommissioning of facilities?
1G Management accessibility
1G1 Is management available to assist in the decision-making process?
1G2 Is leadership available to resolve conflicting views among safety, engineering, maintenance,
production and business managers?
1G3 Is there a process in place for conflict resolution on issues that include Process Safety?
1H Communications
5
1H1 Does senior management communicate their understanding of Process Safety accountability for
their unit and individuals within it?
1H2 Are overlapping responsibilities between individuals/units clearly defined and communicated to
ensure that no gaps exist?
1I Company expectations
1I1 How does the Board of Directors and the Executive Management Team communicate their
expectations regarded Process Safety performance?
1I2 Are the Process Safety goals consistent with other aspects of the organizational vision or master
plan?
1I3 Are broad Process Safety goals established by management?
1I4 Is there a process in place to measure Process Safety performance and take any action that may be
required?
1I5 Do Process Safety goals address the long-term aims of the company as well as detailed short-term
targets?
1I6 Are adequate resources available within or outside the company to achieve Process Safety goals?
1I7 Have key leading and lagging indicators been established to measure Process Safety performance
(e.g. Process Safety-related incidents should be included as a lagging metric)?
1I8 Has the organization been benchmarked against others to ensure the best practices are being
used?
6
2C7 electrical area classification drawings; and
2C8 plot plans?
2D Protective systems
Does the facility have up-to-date and available data regarding:
2D1 critical interlocks (systems which either prevent or mitigate incidents);
2D2 pressure relief and venting systems;
2D3 data regarding relief system design and design basis;
2D4 Fire and gas detection and protection equipment;
2D5 emergency isolation valves; and
2D6 effluent treatment systems?
3B Hazard reviews
3B1 Are hazard reviews completed to ensure risks associated with hazardous material and energy have
been identified and the risks are acceptable?
3B2 Are adequate capital and other resources made available to minimize exposure to workers, the
public and the environment to the effects of hazardous materials and energy associated with the
process?
3B3 Is the scale of the review dependent upon the hazards of the proposed process and the stage of the
project?
3B4 Are more intensive review techniques required as additional information becomes available as the
design proceeds?
3C Siting
Does the siting of a proposed expansion or new plant consider:
3C1 buffer zones between the plant and the public;
3C2 worst credible scenarios for release of a toxic chemical, explosion or fire, and effect(s) on
exposed groups;
3C3 exposure hazard to and from adjacent plants or facilities;
3C4 possible exposures due to natural events such as earthquake, flood, tornado, etc.;
3C5 the effects of transporting hazardous material feedstocks or products through local
communities; and
7
3C6 location-specific information such as altitude, distance from the sea or ocean, land
topography and meteorological conditions, e.g., direction and velocity of prevailing winds?
3D Plot plan
Does the plot plan review of a proposed expansion or new plant specifically consider:
3D1 congestion, e.g. overlapping hazard zones, difficult access, possible confinement of a vapour
release;
3D2 location of control rooms, offices and other buildings;
3D3 the location of storage areas;
3D4 the location of loading and unloading areas;
3D5 layout of drainage and location of containment areas;
3D6 proximity to and hazards from other process areas;
3D7 proximity to public receptors beyond the site boundary
3D8 insurance requirements;
3D9 federal, provincial and local regulations; and
3D10 company/industry spacing guidelines?
8
4B Risk analysis of operations
4B1 Does the facility have a process to estimate the risks once hazards have been identified?
4B2 Does the facility estimate risk based on the combination of potential consequences and the
likelihood of occurrence, using qualitative and/or quantitative methods such as fault tree, event
tree or risk indices?
4B3 Does the facility evaluate the total risk by comparison to criteria for acceptability?
4C Reduction of risk
4C1 Does the facility have a process to reduce those risks that are deemed unacceptable?
4C2 Does the range of risk reduction methodologies employed by the facility include
protective equipment, improved training and procedures as well as Inherently Safe Design
principles, such as inventory reduction, alternative processes and alternative materials?
5B Change of facility
Does the Management of Facility Change system:
5B1 define facility changes that are not replacement in kind;
5B2 address major equipment changes through the Capital Project Review and Design System;
5B3 address smaller changes and minor changes, e.g. a cross connection or instrumentation change;
5B4 require an assessment of hazards and risks associated with the change;
5E Permanent changes
5E1 Does the facility subject permanent changes to the steps of planning, organizing, implementation
and control in conjunction with other plant programs such as the systems for work order, purchase
order, Capital Project Review and Design, etc.?
5E2 Is risk management a part of the systems for dealing with permanent changes?
5F Temporary changes
5F1 Does the facility subject temporary changes to conditions similar to those that apply to permanent
changes?
9
Element: 6. Process and Equipment integrity
6B Materials of construction
6B1 Have systems been established, where appropriate, to supplement industry standards such as
piping and pressure vessel codes?
6B2 Is there a system to identify critical items that may need special tracking to verify materials used
are as specified?
6D Installation procedures
6D1 Are critical steps in the installation of equipment identified during the planning phase?
6D2 Is field inspection used to verify that installation corresponds to design?
7A Operator-process/equipment interface
7A1 Does the facility assess human interactions with the facility as part of the design process?
7A2 Is there a process to address computerized control systems that can confront operators with
unmanageable amounts of information during an upset condition (alarm management)?
Does the process examine the following interfaces for potential problems:
7A3 alarm display;
7A4 information display; and
7A5 ergonomics?
7A7 Do human factors assessments address confusing equipment, positioning of dials, colour coding,
different directions for on/off etc.?
10
7C5 written communications; and
7C6 design of operator - process/equipment interface?
11
12B Professional and trade association programs
12B1 Does the company/facility encourage participation in professional and trade associations as a
means to enhance Process Safety knowledge?
12
Human Resources Protocol
Element 1. Accountability; Objectives and Goals
1a How are Process Safety goals and objectives established throughout the company?
1d Is accountability for Process Safety clearly identified in roles, responsibilities, and position
descriptions?
1B Continuity of systems
1B2 Is there a process to allocate adequate resourcing of supporting job functions or units for each
phase of the life cycle of the process?
1C Continuity of organization
1C1 Are PSM responsibilities clearly defined as part of position or job descriptions?
1C2 During changes in organizational structure is there a process in place to assure that PSM
responsibilities are maintained?
1C3 Is accountability for PSM flexible enough to accommodate organizational changes while ensuring
that Process Safety tasks are properly assigned and performed throughout the change?
1D Quality process
1D3 Are there established goals, targets and key performance indicators (KPI) for measuring Process
Safety performance?
1D4 Is there guidance in place to address deviation from this performance?
1E Control of exceptions
1E6 Is there a process in place to allow exceptions in qualifications of operating personnel to be
managed with appropriate controls by assigning accountability to qualified personnel?
1E8 Has the facility identified the minimum operating staff requirements to deal with all foreseeable
operating modes, including operational upsets during holidays, and are appropriate controls in
place to deal with situations where this minimum operating requirement is not in place?
1G Management accessibility
1G3 Is there a process in place for conflict resolution on issues that include Process Safety?
1I Company expectations
1I2 Are the Process Safety goals consistent with other aspects of the organizational vision or master
plan?
13
5C4 address the need for transfer and retention of knowledge and skills due to departure of
staff, and especially elimination of organizational units (e.g. through downsizing);
5C5 ensure accountability and safe control of operations continues despite the loss of key
knowledge and skills; and
5C6 ensure the workload consequent to any staff reductions does not result in unacceptable short-
or long-term increases in risk?
14
Inspection Protocol
Element 1. Accountability; Objectives and Goals
1e Are there appropriate resources available to meet the Process Safety goals and objectives?
1A Continuity of operations
1A1 Is there a policy that makes it clear when operations personnel have the authority to shut down a
facility if they believe it is unsafe to operate?
1A2 Are there guidelines or procedures to determine when the facility should be shut down or output
reduced for planned or unplanned maintenance or modifications?
1A4 How does the company decide when to segregate parts of a facility so that small sections of the
facility can be shut down without shutting down the complete operation?
1A5 Is there a process in place to decide when there is a need to install multiple lines rather than
relying on a single stream operation?
1C Continuity of organization
1C1 Are PSM responsibilities clearly defined as part of position or job descriptions?
1D Quality process
1D1 Do workers understand the scope of issues involved in PSM?
1D2 Does the facility maintain monitoring programs to track the status of Process Safety?
1D3 Are there established goals, targets and key performance indicators (KPI) for measuring Process
Safety performance?
1D4 Is there guidance in place to address deviation from this performance?
1D5 Is there a quality assurance system for all aspects of work that includes checking, verification,
validation, documentation and configuration management, as appropriate?
1E Control of exceptions
1E2 Is there a process in place to assign accountability for construction, commissioning and
decommissioning of facilities?
1E4 Is there a process in place to allow exceptions in maintenance practices and procedures to be
managed with appropriate controls by assigning accountability to qualified personnel?
2D Protective systems
Does the facility have up-to-date and available data regarding:
2D2 pressure relief and venting systems;
15
Element 3. Capital Project Review and Design Procedures
3F Project management procedures and controls
3F1 Are there controls in place to ensure that fabrication and installation of equipment corresponds to
design intentions and specifications?
3F2 Is a pre-startup safety review completed before new or modified facilities are put into service?
Does the pre-startup safety review:
3F3 confirm that construction meets the design specifications;
5F Temporary changes
5F1 Does the facility subject temporary changes to conditions similar to those that apply to permanent
changes?
6B Materials of construction
6B1 Have systems been established, where appropriate, to supplement industry standards such as
piping and pressure vessel codes?
6B2 Is there a system to identify critical items that may need special tracking to verify materials used
are as specified?
16
6F13 Is a pre-start-up safety review conducted before starting up replacement equipment or
recommissioning mothballed equipment?
6F14 Are baseline conditions established for equipment and piping?
12E1 Is the information contained in incident reports, equipment failures and maintenance records
properly catalogued and analyzed for opportunities for continuous improvement in Process
Safety?
17
Leadership Protocol
Element 1. Accountability; Objectives and Goals
1a How are Process Safety goals and objectives established throughout the company?
1b Are PSM goals and objectives visible to and understood by all workers?
1c Are there company objectives that demonstrate the priority of Process Safety compared to other
business objectives like production and cost?
1d Is accountability for Process Safety clearly identified in roles, responsibilities, and position
descriptions?
1e Are there appropriate resources available to meet the Process Safety goals and objectives?
1f Are there examples of management commitment to Process Safety at all levels of the
organization, e.g., directives that state inadvertent loss of process containment situations must be
eliminated?
1A Continuity of operations
1A1 Is there a policy that makes it clear when operations personnel have the authority to shut down a
facility if they believe it is unsafe to operate?
1A2 Are there guidelines or procedures to determine when the facility should be shut down or output
reduced for planned or unplanned maintenance or modifications?
1A3 How is the need for spare and redundant equipment identified at the design stages of a project so
the facility can reduce the need for a complete shutdown?
1A4 How does the company decide when to segregate parts of a facility so that small sections of the
facility can be shut down without shutting down the complete operation?
1A5 Is there a process in place to decide when there is a need to install multiple lines rather than
relying on a single stream operation?
1B Continuity of systems
1B1 Are resource allocations driven by the process hazards rather than by the economic viability of the
process?
1B2 Is there a process to allocate adequate resourcing of supporting job functions or units for each
phase of the life cycle of the process?
1C Continuity of organization
1C1 Are PSM responsibilities clearly defined as part of position or job descriptions?
1C2 During changes in organizational structure is there a process in place to assure that PSM
responsibilities are maintained?
1C3 Is accountability for PSM flexible enough to accommodate organizational changes while ensuring
that Process Safety tasks are properly assigned and performed throughout the change?
1D Quality process
1D1 Do workers understand the scope of issues involved in PSM?
1D2 Does the facility maintain monitoring programs to track the status of Process Safety?
1D3 Are there established goals, targets and key performance indicators (KPI) for measuring Process
Safety performance?
1D4 Is there guidance in place to address deviation from this performance?
1D5 Is there a quality assurance system for all aspects of work that includes checking, verification,
validation, documentation and configuration management, as appropriate?
1E Control of exceptions
1E2 Is there a process in place to assign accountability for construction, commissioning and
decommissioning of facilities?
18
1E7 Is there a process in place to deal with situations that are outside the defined elements of existing
management systems?
1F Alternative methods
1F1 How are accountability and responsibility assigned when practices and procedures are
implemented in compliance with performance standards, which identify only desired results
without identifying the methods to be used?
1F2 Where more than one method is available for a given task, e.g. for process hazard reviews, what is
the established process ensuring that the method selected is effective in completing the task?
1G Management accessibility
1G1 Is management available to assist in the decision-making process?
1G2 Is leadership available to resolve conflicting views among safety, engineering, maintenance,
production and business managers?
1G3 Is there a process in place for conflict resolution on issues that include Process Safety?
1H Communications
1H1 Does senior management communicate their understanding of Process Safety accountability for
their unit and individuals within it?
1H2 Are overlapping responsibilities between individuals/units clearly defined and communicated to
ensure that no gaps exist?
1I Company expectations
1I1 How does the Board of Directors and the Executive Management Team communicate their
expectations regarded Process Safety performance?
1I2 Are the Process Safety goals consistent with other aspects of the organizational vision or master
plan?
1I3 Are broad Process Safety goals established by management?
1I4 Is there a process in place to measure Process Safety performance and take any action that may be
required?
1I5 Do Process Safety goals address the long-term aims of the company as well as detailed short-term
targets?
1I6 Are adequate resources available within or outside the company to achieve Process Safety goals?
1I7 Have key leading and lagging indicators been established to measure Process Safety performance
(e.g. Process Safety-related incidents should be included as a lagging metric)?
1I8 Has the organization been benchmarked against others to ensure the best practices are being
used?
19
2G Company memory (management of information)
2G1 Is there a process to document knowledge and information gained from plant experience that is
likely to be important for the future safety of the facility?
2G2 Is the knowledge and information sufficiently catalogued and detailed so that it is not overlooked
or forgotten as personnel or the organization change?
3B Hazard reviews
3B1 Are hazard reviews completed to ensure risks associated with hazardous material and energy have
been identified and the risks are acceptable?
3B2 Are adequate capital and other resources made available to minimize exposure to workers, the
public and the environment to the effects of hazardous materials and energy associated with the
process?
3B3 Is the scale of the review dependent upon the hazards of the proposed process and the stage of the
project?
3B4 Are more intensive review techniques required as additional information becomes available as the
design proceeds?
3C Siting
Does the siting of a proposed expansion or new plant consider:
3C1 buffer zones between the plant and the public;
3C5 the effects of transporting hazardous material feedstocks or products through local
communities; and
20
4A4 Does the facility have access to practitioners that are trained in application of the Dow Fire and
Explosion Index and the Dow Chemical Exposure Index to assess the degree of hazard?
4C Reduction of risk
4C1 Does the facility have a process to reduce those risks that are deemed unacceptable?
4F Encouraging client and supplier companies to adopt similar risk management practices
4F1 Does the facility have a process to encourage client and supplier companies to adopt risk
management practices that will minimize the risks of incidents at upstream and downstream
facilities and while materials are being transported between sites?
5B Change of facility
Does the Management of Facility Change system:
5B3 address smaller changes and minor changes, e.g. a cross connection or instrumentation change;
5B5 require approval by qualified personnel; and
5B6 address contingencies for "emergency" changes?
21
5C Organizational changes
5C1 Does the company have a process in place to assess and deal with risks associated with changes to
the organization and the organizational structure?
Does the Management of Organizational Change system:
5C2 address the transition period as well as the way the new organization is to work;
5C3 address change in reporting relationships even where no staff losses occur;
5C4 address the need for transfer and retention of knowledge and skills due to departure of
staff, and especially elimination of organizational units (e.g. through downsizing);
5C5 ensure accountability and safe control of operations continues despite the loss of key
knowledge and skills; and
5C6 ensure the workload consequent to any staff reductions does not result in unacceptable short-
or long-term increases in risk?
5D Variance procedures
5D1 Is there a process in place to ensure that exceptions to procedures are managed promptly and the
situation remains under control?
5D2 Do variance procedures require review and approval by qualified personnel?
5D3 Does the system ensure that all involved understand the basis for the approval and the new limits
established for the variance?
5D4 Are variance procedures easy to use?
5E Permanent changes
5E1 Does the facility subject permanent changes to the steps of planning, organizing, implementation
and control in conjunction with other plant programs such as the systems for work order, purchase
order, Capital Project Review and Design, etc.?
5E2 Is risk management a part of the systems for dealing with permanent changes?
5F Temporary changes
5F1 Does the facility subject temporary changes to conditions similar to those that apply to permanent
changes?
Does the Management of Temporary Change process require:
5F2 the time limit for the change to be clearly defined;
5F3 a review and approval if an extension of the time limit is required; and
5F4 a plan to ensure that all equipment, etc. is returned safely to normal conditions at the end of
the change?
22
8B Design of operating and maintenance procedures
8B1 Does the facility have a standard process or procedure for developing the job procedures,
including job descriptions and job safety analysis?
8B2 Does the facility use operating and maintenance procedures as the basis for developing training
programs?
8F Instructor program
8F1 Does the training program identify specific criteria for instructor selection?
8F2 Does the training program identify specific instructor training to ensure that instructors have
sufficient teaching/communications skills as well as the necessary technical knowledge?
8G Records management
8G1 Does the facility maintain a record of training received by each person in each task?
8G2 Do training records include the name of the trainer, the date of the training and the results of the
competency verification?
8G3 Are training documents used to track training received and to schedule retraining?
9B Major incidents
Does the incident investigation process include:
9B1 a clear definition of what is meant by major incident;
9B2 investigation of every actual or potential process-related incident;
9B3 procedures for doing an investigation;
23
9B4 prompt investigation by a competent person having the knowledge, skill and experience
to effectively lead and/or conduct the investigation and at least one person knowledgeable
in the process where the incident occurred; and
9B5 a report to management following the investigation stating:
9B6 o incident date;
9B7 o incident description;
9B8 o factors which contributed to the incident, and
9B9 o recommendations to prevent recurrence?
9B10 Are people involved in investigations required to receive training, with emphasis on root cause
analysis?
24
12D Research, development, documentation and implementation
12D1 Do research and development programs include Process Safety inputs from departments such as
safety, environment, operations, engineering, and maintenance?
12D2 Is data supplied from all research projects documented, available to all who need to know, and
communicated to plant operations to assure that new knowledge is incorporated into the
enhancement of Process Safety?
25
Maintenance Audit Protocol
Element 1. Accountability; Objectives and Goals
1b Are PSM goals and objectives visible to and understood by all workers?
1c Are there company objectives that demonstrate the priority of Process Safety compared to other
business objectives like production and cost?
1d Is accountability for Process Safety clearly identified in roles, responsibilities, and position
descriptions?
1e Are there appropriate resources available to meet the Process Safety goals and objectives?
1f Are there examples of management commitment to Process Safety at all levels of the
organization, e.g., directives that state inadvertent loss of process containment situations must be
eliminated?
1A Continuity of operations
1A1 Is there a policy that makes it clear when operations personnel have the authority to shut down a
facility if they believe it is unsafe to operate?
1A2 Are there guidelines or procedures to determine when the facility should be shut down or output
reduced for planned or unplanned maintenance or modifications?
1A3 How is the need for spare and redundant equipment identified at the design stages of a project so
the facility can reduce the need for a complete shutdown?
1B Continuity of systems
1B1 Are resource allocations driven by the process hazards rather than by the economic viability of the
process?
1C Continuity of organization
1C1 Are PSM responsibilities clearly defined as part of position or job descriptions?
1D Quality process
1D1 Do workers understand the scope of issues involved in PSM?
1D2 Does the facility maintain monitoring programs to track the status of Process Safety?
1D3 Are there established goals, targets and key performance indicators (KPI) for measuring Process
Safety performance?
1D4 Is there guidance in place to address deviation from this performance?
1D5 Is there a quality assurance system for all aspects of work that includes checking, verification,
validation, documentation and configuration management, as appropriate?
1E Control of exceptions
1E4 Is there a process in place to allow exceptions in maintenance practices and procedures to be
managed with appropriate controls by assigning accountability to qualified personnel?
1G Management accessibility
1G1 Is management available to assist in the decision-making process?
1G2 Is leadership available to resolve conflicting views among safety, engineering, maintenance,
production and business managers?
1G3 Is there a process in place for conflict resolution on issues that include Process Safety?
26
1H Communications
1H1 Does senior management communicate their understanding of Process Safety accountability for
their unit and individuals within it?
1H2 Are overlapping responsibilities between individuals/units clearly defined and communicated to
ensure that no gaps exist?
1I Company expectations
1I1 How does the Board of Directors and the Executive Management Team communicate their
expectations regarded Process Safety performance?
1I2 Are the Process Safety goals consistent with other aspects of the organizational vision or master
plan?
1I3 Are broad Process Safety goals established by management?
1I4 Is there a process in place to measure Process Safety performance and take any action that may be
required?
1I5 Do Process Safety goals address the long-term aims of the company as well as detailed short-term
targets?
1I6 Are adequate resources available within or outside the company to achieve Process Safety goals?
1I7 Have key leading and lagging indicators been established to measure Process Safety performance
(e.g. Process Safety-related incidents should be included as a lagging metric)?
1I8 Has the organization been benchmarked against others to ensure the best practices are being
used?
2D Protective systems
Does the facility have up-to-date and available data regarding:
2D1 critical interlocks (systems which either prevent or mitigate incidents);
2D2 pressure relief and venting systems;
2D4 Fire and gas detection and protection equipment;
2D5 emergency isolation valves; and
2D6 effluent treatment systems?
27
2F Process risk management decisions
2F1 Is there a process to facilitate risk management decisions on an ongoing basis?
5B Change of facility
Does the Management of Facility Change system:
5B1 define facility changes that are not replacement in kind;
5B3 address smaller changes and minor changes, e.g. a cross connection or instrumentation change;
5B4 require an assessment of hazards and risks associated with the change;
5F Temporary changes
5F1 Does the facility subject temporary changes to conditions similar to those that apply to permanent
changes?
Does the Management of Temporary Change process require:
5F2 the time limit for the change to be clearly defined;
5F3 a review and approval if an extension of the time limit is required; and
5F4 a plan to ensure that all equipment, etc. is returned safely to normal conditions at the end of
the change?
6A Reliability engineering
6A1 Has equipment critical for Process Safety been identified?
28
6A2 Are predictive maintenance schedules established for monitoring, inspection and performance
testing of equipment critical to Process Safety to enable cost effective correction of problems
before they develop to a critical stage?
6B Materials of construction
6B1 Have systems been established, where appropriate, to supplement industry standards such as
piping and pressure vessel codes?
6B2 Is there a system to identify critical items that may need special tracking to verify materials used
are as specified?
6D Installation procedures
6D1 Are critical steps in the installation of equipment identified during the planning phase?
6D2 Is field inspection used to verify that installation corresponds to design?
6E Preventative maintenance
Is there a preventative maintenance (PM) program in place that includes:
6E1 a method of identifying critical equipment;
6E2 a method to establish PM frequencies for critical equipment;
6E3 a mechanism to ensure that PM is completed at the required frequency; and
6E4 a record of the previous items?
6G Maintenance procedures
6G1 Does the facility have safe work practices for proper control of maintenance, construction and
related activities that apply to both workers and contractors?
29
As a minimum, do the safe work practices cover:
6G2 permits to work and their application (hot work, confined space entry, lock out/tag out,
excavation, master tag, etc.);
6G3 opening of process lines and equipment;
Is there a system in place to:
6G5 ensure maintenance procedures are in place and readily accessible to workers;
6G6 regularly verify that procedures are current and accurate; and
6G7 update procedures to incorporate changes in maintenance practice?
30
12b Does the company utilize the knowledge it gains through incident reports, maintenance records,
case histories, and trend analysis of upset conditions to provide basic information and changes
that can help prevent catastrophic events?
Does the company maintain a Process Safety resource system that contains:
12c material relevant to the design technology and operation of the process;
12e plant equipment design data;
31
Operations Audit Protocol
Element 1. Accountability; Objectives and Goals
1b Are PSM goals and objectives visible to and understood by all workers?
1c Are there company objectives that demonstrate the priority of Process Safety compared to other
business objectives like production and cost?
1d Is accountability for Process Safety clearly identified in roles, responsibilities, and position
descriptions?
1e Are there appropriate resources available to meet the Process Safety goals and objectives?
1f Are there examples of management commitment to Process Safety at all levels of the
organization, e.g., directives that state inadvertent loss of process containment situations must be
eliminated?
1A Continuity of operations
1A1 Is there a policy that makes it clear when operations personnel have the authority to shut down a
facility if they believe it is unsafe to operate?
1A2 Are there guidelines or procedures to determine when the facility should be shut down or output
reduced for planned or unplanned maintenance or modifications?
1A3 How is the need for spare and redundant equipment identified at the design stages of a project so
the facility can reduce the need for a complete shutdown?
1A4 How does the company decide when to segregate parts of a facility so that small sections of the
facility can be shut down without shutting down the complete operation?
1A5 Is there a process in place to decide when there is a need to install multiple lines rather than
relying on a single stream operation?
1B Continuity of systems
1B1 Are resource allocations driven by the process hazards rather than by the economic viability of the
process?
1C Continuity of organization
1C1 Are PSM responsibilities clearly defined as part of position or job descriptions?
1D Quality process
1D1 Do workers understand the scope of issues involved in PSM?
1D2 Does the facility maintain monitoring programs to track the status of Process Safety?
1D3 Are there established goals, targets and key performance indicators (KPI) for measuring Process
Safety performance?
1D5 Is there a quality assurance system for all aspects of work that includes checking, verification,
validation, documentation and configuration management, as appropriate?
1E Control of exceptions
1E2 Is there a process in place to assign accountability for construction, commissioning and
decommissioning of facilities?
1E3 Is there a process in place to allow exceptions in operating procedures to be managed with
appropriate controls by assigning accountability to qualified personnel?
1E6 Is there a process in place to allow exceptions in qualifications of operating personnel to be
managed with appropriate controls by assigning accountability to qualified personnel?
1E8 Has the facility identified the minimum operating staff requirements to deal with all foreseeable
operating modes, including operational upsets during holidays, and are appropriate controls in
place to deal with situations where this minimum operating requirement is not in place?
32
1F Alternative methods
1F2 Where more than one method is available for a given task, e.g. for process hazard reviews, what is
the established process ensuring that the method selected is effective in completing the task?
1G Management accessibility
1G1 Is management available to assist in the decision-making process?
1G2 Is leadership available to resolve conflicting views among safety, engineering, maintenance,
production and business managers?
1G3 Is there a process in place for conflict resolution on issues that include Process Safety?
1H Communications
1H1 Does senior management communicate their understanding of Process Safety accountability for
their unit and individuals within it?
1H2 Are overlapping responsibilities between individuals/units clearly defined and communicated to
ensure that no gaps exist?
1I Company expectations
1I1 How does the Board of Directors and the Executive Management Team communicate their
expectations regarded Process Safety performance?
1I2 Are the Process Safety goals consistent with other aspects of the organizational vision or master
plan?
1I3 Are broad Process Safety goals established by management?
1I4 Is there a process in place to measure Process Safety performance and take any action that may be
required?
1I5 Do Process Safety goals address the long-term aims of the company as well as detailed short-term
targets?
1I6 Are adequate resources available within or outside the company to achieve Process Safety goals?
1I7 Have key leading and lagging indicators been established to measure Process Safety performance
(e.g. Process Safety-related incidents should be included as a lagging metric)?
1I8 Has the organization been benchmarked against others to ensure the best practices are being
used?
33
2B5 specifications on the maximum intended inventory; and
2D Protective systems
Does the facility have up-to-date and available data regarding:
2D1 critical interlocks (systems which either prevent or mitigate incidents);
2D2 pressure relief and venting systems;
2D3 data regarding relief system design and design basis;
2D4 Fire and gas detection and protection equipment;
2D5 emergency isolation valves; and
2D6 effluent treatment systems?
34
Element 4. Process Risk Management
4A Hazard identification
4A1 Does the facility have a practice in place to identify hazards associated with operation and
maintenance of the facility?
5D Variance procedures
5D1 Is there a process in place to ensure that exceptions to procedures are managed promptly and the
situation remains under control?
5D2 Do variance procedures require review and approval by qualified personnel?
5D3 Does the system ensure that all involved understand the basis for the approval and the new limits
established for the variance?
5D4 Are variance procedures easy to use?
5F Temporary changes
Does the Management of Temporary Change process require:
5F2 the time limit for the change to be clearly defined;
5F3 a review and approval if an extension of the time limit is required; and
5F4 a plan to ensure that all equipment, etc. is returned safely to normal conditions at the end of
the change?
6G Maintenance procedures
6G1 Does the facility have safe work practices for proper control of maintenance, construction and
related activities that apply to both workers and contractors?
As a minimum, do the safe work practices cover:
6G2 permits to work and their application (hot work, confined space entry, lock out/tag out,
excavation, master tag, etc.);
6G3 opening of process lines and equipment;
35
6G4 control of access to the facility by maintenance, contractor, laboratory and other personnel?
36
Purchasing Audit Protocol
Element 1. Accountability; Objectives and Goals
1b Are PSM goals and objectives visible to and understood by all workers?
1d Is accountability for Process Safety clearly identified in roles, responsibilities, and position
descriptions?
1e Are there appropriate resources available to meet the Process Safety goals and objectives?
1A Continuity of operations
1A3 How is the need for spare and redundant equipment identified at the design stages of a project so
the facility can reduce the need for a complete shutdown?
1C Continuity of organization
1C1 Are PSM responsibilities clearly defined as part of position or job descriptions?
1D Quality process
1D1 Do workers understand the scope of issues involved in PSM?
1E Control of exceptions
1E2 Is there a process in place to assign accountability for construction, commissioning and
decommissioning of facilities?
1E5 Is there a process in place to allow exceptions in purchasing practices and procedures to be
managed with appropriate controls by assigning accountability to qualified personnel?
1G Management accessibility
1G1 Is management available to assist in the decision-making process?
1G3 Is there a process in place for conflict resolution on issues that include Process Safety?
1H Communications
1H1 Does senior management communicate their understanding of Process Safety accountability for
their unit and individuals within it?
1I Company expectations
1I1 How does the Board of Directors and the Executive Management Team communicate their
expectations regarded Process Safety performance?
1I2 Are the Process Safety goals consistent with other aspects of the organizational vision or master
plan?
1I3 Are broad Process Safety goals established by management?
1I4 Is there a process in place to measure Process Safety performance and take any action that may be
required?
1I5 Do Process Safety goals address the long-term aims of the company as well as detailed short-term
targets?
1I6 Are adequate resources available within or outside the company to achieve Process Safety goals?
1I7 Have key leading and lagging indicators been established to measure Process Safety performance
(e.g. Process Safety-related incidents should be included as a lagging metric)?
1I8 Has the organization been benchmarked against others to ensure the best practices are being
used?
37
Element 2. Process Knowledge and Documentation
2a Is information necessary for the safe design, operation and maintenance of the facility written,
reliable, current and easily accessible by people who need to use it?
2b Where does the facility store the documentation to support Process Safety knowledge?
4F Encouraging client and supplier companies to adopt similar risk management practices
4F1 Does the facility have a process to encourage client and supplier companies to adopt risk
management practices that will minimize the risks of incidents at upstream and downstream
facilities and while materials are being transported between sites?
38
6C Fabrication and inspection procedures
Does the quality assurance program include a material control system that ensures installed
equipment:
6C1 meets the requirements of the design specification;
6C2 is traceable to its manufacturer;
6C3 has met all required testing, with test results available on site; and
6C4 is labeled to be clearly identifiable to the people doing the installation?
6E Preventative maintenance
Is there a preventative maintenance (PM) program in place that includes:
6E1 a method of identifying critical equipment;
6E2 a method to establish PM frequencies for critical equipment;
8F Instructor program
8F1 Does the training program identify specific criteria for instructor selection?
8F2 Does the training program identify specific instructor training to ensure that instructors have
sufficient teaching/communications skills as well as the necessary technical knowledge?
39
12F4 technology-specific references, and
12F5 journals and proceedings of conferences to provide topical interest?
40
Safety Audit Protocol
Element 1. Accountability; Objectives and Goals
1C Continuity of organization
1C1 Are PSM responsibilities clearly defined as part of position or job descriptions?
1E Control of exceptions
1E2 Is there a process in place to assign accountability for construction, commissioning and
decommissioning of facilities?
1G Management accessibility
1G3 Is there a process in place for conflict resolution on issues that include Process Safety?
1I Company expectations
1I3 Are broad Process Safety goals established by management?
1I4 Is there a process in place to measure Process Safety performance and take any action that may be
required?
2D Protective systems
Does the facility have up-to-date and available data regarding:
2D1 critical interlocks (systems which either prevent or mitigate incidents);
2D2 pressure relief and venting systems;
2D4 Fire and gas detection and protection equipment;
2D5 emergency isolation valves; and
41
2F Process risk management decisions
2F1 Is there a process to facilitate risk management decisions on an ongoing basis?
2F2 Are risk management decisions documented, showing the decisions made and the basis on which
they were made?
3B Hazard reviews
3B1 Are hazard reviews completed to ensure risks associated with hazardous material and energy have
been identified and the risks are acceptable?
3B2 Are adequate capital and other resources made available to minimize exposure to workers, the
public and the environment to the effects of hazardous materials and energy associated with the
process?
3B3 Is the scale of the review dependent upon the hazards of the proposed process and the stage of the
project?
3B4 Are more intensive review techniques required as additional information becomes available as the
design proceeds?
42
4B Risk analysis of operations
4B1 Does the facility have a process to estimate the risks once hazards have been identified?
4B2 Does the facility estimate risk based on the combination of potential consequences and the
likelihood of occurrence, using qualitative and/or quantitative methods such as fault tree, event
tree or risk indices?
4B3 Does the facility evaluate the total risk by comparison to criteria for acceptability?
4C Reduction of risk
4C1 Does the facility have a process to reduce those risks that are deemed unacceptable?
4C2 Does the range of risk reduction methodologies employed by the facility include
protective equipment, improved training and procedures as well as Inherently Safe Design
principles, such as inventory reduction, alternative processes and alternative materials?
43
4F Encouraging client and supplier companies to adopt similar risk management practices
4F1 Does the facility have a process to encourage client and supplier companies to adopt risk
management practices that will minimize the risks of incidents at upstream and downstream
facilities and while materials are being transported between sites?
5B Change of facility
Does the Management of Facility Change system:
5B4 require an assessment of hazards and risks associated with the change;
5B6 Address contingencies for emergency changes?
9B Major incidents
Does the incident investigation process include:
9B1 a clear definition of what is meant by major incident;
9B2 investigation of every actual or potential process-related incident;
44
9B3 procedures for doing an investigation;
9B4 prompt investigation by a competent person having the knowledge, skill and experience
to effectively lead and/or conduct the investigation and at least one person knowledgeable
in the process where the incident occurred; and
9B5 a report to management following the investigation stating:
9B6 o incident date;
9B7 o incident description;
9B8 o factors which contributed to the incident, and
9B9 o recommendations to prevent recurrence?
9B10 Are people involved in investigations required to receive training, with emphasis on root cause
analysis?
9E Communication
9E1 Are key results of investigations shared, as appropriate, with other parts of the plant, and within
the organization, the chemical industry and other industries where the lessons learned could
usefully be applied?
9G Near-miss reporting
9G1 Are near-misses and abnormalities recorded, investigated and analyzed as part of the incident
investigation process?
45
10B Internal standards
Is there a process in place to monitor and respond to changes in internal standards, including:
10B2 reporting procedures (incident reporting, equipment data, etc.);
10B3 behaviour in plant areas (smoking, driving, etc.);
46
Training Audit Protocol
Element 1. Accountability; Objectives and Goals Contacts
1b Are PSM goals and objectives visible to and understood by all workers?
1A Continuity of operations
1A1 Is there a policy that makes it clear when operations personnel have the authority to shut down a
facility if they believe it is unsafe to operate?
1A2 Are there guidelines or procedures to determine when the facility should be shut down or output
reduced for planned or unplanned maintenance or modifications?
1F Alternative methods
1F1 How are accountability and responsibility assigned when practices and procedures are
implemented in compliance with performance standards, which identify only desired results
without identifying the methods to be used?
1F2 Where more than one method is available for a given task, e.g. for process hazard reviews, what is
the established process ensuring that the method selected is effective in completing the task?
2D Protective systems
Does the facility have up-to-date and available data regarding:
2D1 critical interlocks (systems which either prevent or mitigate incidents);
2D2 pressure relief and venting systems;
2D3 data regarding relief system design and design basis;
2D4 Fire and gas detection and protection equipment;
2D5 emergency isolation valves; and
2D6 effluent treatment systems?
47
2E Normal and upset conditions (operating procedures)
2E1 Are operating procedures in place and readily accessible to workers who work with the process?
2E2 Is there a system for regularly verifying that procedures are accurate and current?
2E3 Is there a system for updating procedures to ensure they reflect current operating practice
including changes of process chemistry, technology, equipment, facilities or organization?
Do operating procedures address steps for each operating phase, including:
2E4 initial start-up of a new facility;
2E5 normal and temporary operations;
2E6 emergency shutdown, including identification of conditions which require shutdown;
2E7 normal shutdown; and
2E8 start-up following an emergency or normal shutdown?
2E9 Do operating procedures address steps required to correct or avoid a deviation from operating
limits?
2E10 Do operating procedures address safety systems and their functions?
3B Hazard reviews
3B1 Are hazard reviews completed to ensure risks associated with hazardous material and energy have
been identified and the risks are acceptable?
48
4D20 Are regular drills carried out to test the effectiveness of the emergency response plan?
49
8D Selection and development of training programs
8D1 Does the facility require that workers and contractors be trained to understand and use site safety
systems?
In particular, are the following items covered:
8D2 general safety rules;
8D3 permit to work procedures;
8D4 use of personal protective equipment;
8D5 emergency procedures;
8D6 specific hazards of the area in which they will be working; and
8D7 specific hazards of the materials which they may encounter?
8D8 Is a competency test administered to workers and contractors to ensure that the information given
has been understood?
8F Instructor program
8F1 Does the training program identify specific criteria for instructor selection?
8F2 Does the training program identify specific instructor training to ensure that instructors have
sufficient teaching/communications skills as well as the necessary technical knowledge?
8G Records management
8G1 Does the facility maintain a record of training received by each person in each task?
8G2 Do training records include the name of the trainer, the date of the training and the results of the
competency verification?
8G3 Are training documents used to track training received and to schedule retraining?
50
Element: 12. Enhancement of Process Safety Knowledge
12a Does the company encourage continuous improvement that builds on the experiences and
knowledge within the company and incorporates the technological advances that are constantly
emerging throughout the industry?
12b Does the company utilize the knowledge it gains through incident reports, maintenance records,
case histories, and trend analysis of upset conditions to provide basic information and changes
that can help prevent catastrophic events?
51