Conduct of Operations and Operational Discipline: For Improving Process Safety in Industry
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This book details management practices which help ensure rigor in executing process safety programs in order to prevent major accidents.
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Conduct of Operations and Operational Discipline - CCPS (Center for Chemical Process Safety)
Chapter 1
WHAT IS COO/OD AND HOW CAN I TELL IF I NEED IT?
1.1 INTRODUCTION
This book describes the concepts of conduct of operations (COO) and operational discipline (OD), the attributes of effective COO/OD systems, and the steps an organization might take to implement or improve its COO/OD systems. This chapter should be read by everyone using this book to familiarize themselves with the principles of COO/OD. It will explain the basic COO/OD concepts and help you decide whether your current COO/OD system activities need improvement. It will also define important terms used throughout the book and the relationship between COO/OD and other management systems.
In general, COO encompasses the ongoing management systems¹ that are developed to encourage performance of all tasks in a consistent, appropriate manner. OD is the deliberate and structured execution of the COO and other organizational management systems by personnel throughout the organization. Formal definitions of COO and OD can be found in Section 1.4.
COO addresses management systems. OD addresses the execution of the COO and other management systems.
1.2 PURPOSE OF THIS BOOK
This Concept book is intended to explain the key attributes of COO/OD and to provide specific guidance on how an organization can implement effective systems.
The purpose of this book is to help organizations design and implement COO and OD systems. This book provides ideas and methods on how to (1) design and implement COO and OD systems, (2) correct deficient COO and OD systems, or (3) improve existing COO and OD systems.
1.3 FOCUS AND INTENDED AUDIENCE
The primary focus of this book is on improving process safety management within the process and allied industries. However, the concepts and activities described in this book should be applicable to a broad spectrum of facilities in many industries.
Its intended audience is everyone—from upper management to front-line workers — who will be involved in designing, implementing, maintaining, and improving COO/OD systems. Section 1.5 discusses how the intended audience might use this book.
PSM USAGE
The terms process safety management and
PSM," as used throughout this book, refer to the systems used to manage process safety within an organization. They do NOT refer to a specific regulation (such as 29 CFR 1910.119 in the United States).
Implementing an effective COO/OD system inevitably produces positive changes in an organization’s culture; however, changing the overall culture of an organization is a broader topic than the COO/OD systems addressed herein. Likewise, the broad application of COO/OD principles will likely produce occupational safety, environmental, reliability, quality, and many other benefits. However, this book focuses on the process safety aspects of COO/OD. The examples used throughout the book and the work activities described emphasize process safety issues.
PROCESS SAFETY FOCUS
This book focuses on improving process safety performance, which may also bring occupational safety benefits.
BP Texas City — An Example of COO/OD Failings
On March 23, 2005, an explosion occurred in the Isomerization Unit (ISOM) at the BP refinery in Texas City, Texas, during a startup after a turnaround (Ref. 1.1). The incident resulted in 15 fatalities, more than 170 people injured, and major damage to the ISOM and adjacent process units.
The vapor cloud explosion occurred after liquid hydrocarbons were ejected from the stack of the blowdown drum serving the ISOM raffinate splitter column, which had been overfilled.
COO/OD-related issues associated with this incident include the following:
An operational check of the independent high level alarm in the raffinate splitter tower was not performed prior to startup, even though it was required by procedures.
The operators did not respond to the high level alarm in the splitter (it was on throughout the incident).
The level indication available to the operators was useless during most of the startup because they deliberately maintained the level above the indicated range of the level instruments.
When the Day Shift Supervisor arrived at about 7:15 a.m., no job safety review or walkthrough of the procedures to be used that day was performed as required by procedures.
The board operator printed off the wrong startup procedure (although this was not a significant factor because he never referred to it).
The splitter bottoms were heated at 75°F per hour despite the procedural limit of 50°F per hour.
The Day Shift Supervisor left the plant during the startup about 3 1/2 hours prior to the explosion. No replacement was provided during this period.
The operating procedures were certified as current, although they did not include changes to relief valve settings made prior to the most recent recertification.
Outside operators did not report significant deviations of operating parameters (such as rising pressure on the splitter bottoms pumps) to the control room.
Deficiencies first identified in 2003 and 2004 still existed in training programs for ISOM operators.
Other notable examples of incidents with significant COO/OD issues include the following:
Three Mile Island nuclear plant incident, March 28, 1979 (Ref. 1.2)
Union Carbide methyl isocyanate release, Bhopal, India, December 3, 1984 (Ref. 1.3)
Chernobyl nuclear plant explosion, April 26, 1986 (Ref. 1.4)
Piper Alpha oil production platform fire, July 6, 1988 (Ref. 1.5)
Exxon Valdez oil tanker spill on Bligh Reef near Valdez, Alaska, March 24, 1989 (Ref. 1.6)
Sinking of the Petrobras P-36 oil production platform in the Roncador Field, May 15, 2001 (Ref. 1.7)
In all of these incidents, the information needed to safely operate the facility was present in the procedures and practices of the facility or known by facility personnel. Yet, in every case, well-intentioned, well-trained workers committed grievous errors. Why didn’t the facility personnel perform the work appropriately? One contributor to these incidents was a lack of an effective COO/OD system.
Consider an acid leak that developed unnoticed as a result of poor housekeeping. This book will focus on the process hazards associated with the acid leak, not on the company’s culture of using only a proven technology requiring acid instead of an inherently safer, but unproven, acid-free alternative. If the worker was injured as a result of not wearing the proper personal protective equipment (PPE) at the time of the acid leak, this book will focus on the consequences of not being able to isolate the release quickly, not on the injury resulting from the operator being splashed with acid. But, as noted above, preventing the acid leak and routinely wearing the proper PPE would not only have process safety benefits, but also occupational safety benefits.
NEW ELEMENT OF RISK-BASED PROCESS SAFETY
In its 2007 Guidelines for Risk Based Process Safety (Ref. 1.8), the Center for Chemical Process Safety (CCPS) identified COO as an essential element of a comprehensive risk-based process safety (RBPS) management system. Incorporation of COO into the RBPS guidelines was based on a long history of formalized operations concepts at many companies. For this book, the element was split into COO and OD (see Chapter 2 for a more detailed history of COO/OD systems). The RBPS guidelines identified twenty RBPS elements and organized them into four pillars of process safety. The COO/OD element is included in the Managing Risk pillar. Chapter 17 of the RBPS guidelines outlines the key principles and essential features of the COO/OD element, and it lists more than fifty possible work activities related to the element (with associated implementation options), examples of ways to improve the effectiveness of the element, metrics, and management review activities related to the element.
The COO/OD system applies to all personnel in the organization, including direct-hire employees, contractors, third-party personnel, and part-time employees. All personnel must be included in a successful COO/OD system.
A fully implemented COO/OD system touches every level of an organization, from the boardroom to the shop floor. For example, the manner in which a Vice-President of Operations handles weekly management meetings and addresses specific process safety topics falls within the COO/OD system. Table 1.1 lists some examples of how the COO/OD system applies to management personnel.
TABLE 1.1 Examples of Management Operational Discipline Resulting from a COO System
Thus, this book is initially directed toward an organization’s leadership team. The team must decide that the long-term benefits of COO/OD, described in Chapter 2, are worth the initial and ongoing investment. The book then describes COO/OD systems in detail, which enables upper management to estimate the costs and benefits of such systems so that they can make an informed decision on how to proceed. The book also helps management understand that it must make a visible ongoing commitment if the system is to succeed.
Once the organization decides to implement COO/OD, overall responsibility for implementation and maintenance of this system rests with the facility manager², although its concepts can also be applied at the corporate level. This book will help facility managers identify systems that they should implement as part of a comprehensive COO/OD system. The bulk of the book is intended for those managers and specialists who will be developing, implementing, and maintaining the COO/OD system. This book describes typical features of a COO/OD system so that the responsible parties can perform a gap analysis of their existing systems and then improve their systems or use the model programs as a starting point for developing their own (see Chapter 7). This book will help site operations leaders and area managers define the framework of controls necessary to ensure that tasks for which they are responsible are performed reliably.
Once the COO systems are developed, management must engage the front-line supervisors and foremen to help implement and maintain them. The implementation of the COO systems is the OD portion of the process. In Chapter 3, this book offers advice on ways to overcome the initial resistance to any change in the historic ways of doing business. In Chapter 7 it also suggests ways to reward workers for ongoing commitment to maintaining high levels of operational discipline.
COO/OD applies to critical work activities of management, employees, and contractors in all departments, not just those of the operations department. It applies every time a worker performs a task throughout the life of a facility or an organization, because it is an ongoing commitment to reliable operations. For example, quality control tests must be performed accurately and reported promptly so that the process can be kept under control.
This book is of value to anyone who will be involved in COO/OD activities because it explains what the organization hopes to achieve and why their participation and support is crucial to overall success. Individuals in the organization will recognize the need for setting up specific processes and procedures and then strictly following them.
Management and executives will understand that their behavior and personal discipline set the standards for the entire organization.
Technical personnel will understand why it is important to design equipment so that it is easier to operate and maintain.
The facility manager and the facility management team must lead by example for the system to achieve success.
Operators will understand why it is crucial that field readings be checked against panel readings.
Maintenance workers will understand the importance of reliably performing tasks such as routine testing and housekeeping.
The human resources group will understand their role in fitness-for-duty, progressive discipline, salary, bonus, and retention decisions.
Support groups, such as information technology, will understand why their support of operations and maintenance is critical to their success.
The goal is for everyone to understand how reliable execution of their tasks is essential for the success of the organization.
1.4 DEFINITIONS
This section includes key definitions used throughout this book. A complete listing of definitions can be found in the Glossary.³
CONDUCT OF OPERATIONS DEFINITION
The embodiment of an organization’s values and principles in management systems that are developed, implemented, and maintained to (1) structure operational tasks in a manner consistent with the organization’s risk tolerance, (2) ensure that every task is performed deliberately and correctly, and (3) minimize variations in performance.
COO is the management systems aspect of COO/OD.
COO sets up organizational methods and systems that will be used to influence individual behavior and improve process safety.
COO activities result in specifying how tasks (operational, maintenance, engineering, etc.) should be performed.
A good COO system visibly demonstrates the organization’s commitment to process safety.
OPERATIONAL DISCIPLINE DEFINITION
The performance of all tasks correctly every time.
OD is the execution of the COO system by individuals within the organization.
OD refers to the day-to-day activities carried out by all personnel.
Individuals demonstrate their commitment to process safety through OD.
Good OD results in performing the task the right way every time.
Individuals recognize unanticipated situations, keep (or put) the process in a safe configuration, and seek involvement of wider expertise to ensure personal and process safety.
Table 1.2 provides examples of COO and OD issues that apply to a variety of situations.
TABLE 1.2 Examples of COO and OD Issues for Various Situations
PROCESS SAFETY CULTURE DEFINITION
The common set of values, behaviors, and norms at all levels in a facility or in the wider organization that affect process safety.
It is possible to have a good culture for occupational safety but a less successful culture for process safety, particularly if the latter aspect does not receive focused attention.
Different groups within an organization can have different process safety cultures.
Process safety culture can often be observed in the behaviors that personnel exhibit when they believe that no one is watching them. Process safety culture can also be described as the way we do things around here
in relation to process safety activities.
Process safety culture is influenced by (1) organizational factors and (2) factors that are internal to the individual. COO focuses on the first factor while OD focuses on the second. Arguably, culture can also be affected by factors outside the organization (e.g., regulations, economic conditions, social mores), but a strong COO/OD system maintains the culture within the organization despite outside influences.
According to Merriam-Webster’s dictionary (Ref. 1.9), the term discipline
can have the following meanings:
1. punishment
2. a field of study
3. training that corrects, molds, or perfects the mental faculties or moral character
4. (a) control gained by enforcing order, (b) orderly or prescribed conduct or pattern of behavior, (c) self control
5. a rule or system of rules governing conduct or activity
Process safety risk-related OD focuses on definitions 4(b) and 5: orderly conduct and behavior and system governing conduct. Certainly one of the goals of an OD system is to establish order using a prescribed pattern of behavior. It does this through a system of rules that govern the performance of tasks in the facility and hold personnel accountable for their behavior. Trusting people to do their jobs, holding them accountable for their failings, and rewarding them for their behaviors are key aspects of a COO/OD system.
The word discipline
as used in OD does NOT refer to punishment.
However, no set of rules or procedures can anticipate every possible situation and circumstance. Therefore, OD does not require or encourage blind compliance with any set of rules or procedures. OD encourages thoughtful compliance
(Ref. 1.8).
Personnel are expected to follow the rules and procedures. However, personnel are also expected to think about what will happen if the established rules and procedures are applied to the current situation. If they believe the risks of implementing the rules and procedures are unacceptable, they are expected to stop and seek advice from other knowledgeable people. It may be possible to change the situation so that it is safe to proceed. Otherwise, they should work through the organization’s process to change the rules or procedure prior to executing the modified procedures. Rules and procedures should not be changed in an uncontrolled manner. However, if an emergency requires an immediate response, then knowledgeable personnel should be trusted and empowered to enact modified procedures as a last resort to protect safety, based on their training and experience.
An example of the thoughtful compliance
approach in emergency situations is the U.S. Nuclear Regulatory Commission’s (NRC’s) rules for nuclear power plant operators. Licensed plant operators are required to follow all of the conditions of their operating license and technical specifications (operating limits). However, the NRC also has a rule [10 CFR 50.54(x) (Ref. 1.10)] that states:
A licensee may take reasonable action that departs from a license condition or a technical specification in an emergency when this action is immediately needed to protect the public health and safety and no action consistent with license conditions and technical specifications that can provide adequate or equivalent protection is immediately