Session No. 543
Process Safety Management Best Practices,
Lessons Learned and Enforcement Trend
Jonathan Zimmerman, CSP, CHMM
Corporate Director EHS
Sugar Creek Packing Co.
Washington Courthouse, Ohio
Bryan Haywood, M.S.
Founder and President
Safteng.net
Milford, Ohio
Introduction
Chemical safety and process safety continue to garner significant media attention around the
United States as chemical and process safety events continue to occur. OSHA’s Process Safety
Management (PSM) standard and EPA’s Risk Management Program (RMP) standard provide a
framework for preventing unwanted release of highly hazardous chemicals. It is also important to
note that these are performance standards, meaning that regulated processes are told what the goal
(unwanted release) is, not how to meet it. OSHA began a PSM National Emphasis Program
(NEP) for Petroleum Refineries in June of 2007 and later implemented an additional PSM
National Emphasis Program for Chemical Facilities in November of 2011. Enforcement data
shows key trends and areas where both EPA and OSHA focus their efforts. This paper will
review the key enforcement trends for PSM and RMP regulated processes, discuss how other
OSHA regulations are pulled into the PSM NEP inspections, and provide some best practices for
ensuring process safety is a way of life.
OSHA and EPA PSM and RMP Enforcement Trends
Most Cited OSHA PSM Elements
May 26, 1992 – February 26, 2014
(Includes specific PSM standards cited ≥ 100 times by both Federal and State-Plan)
Cited Element
1910.119(X)(X)(X)(X)
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Description
Frequency
Written MI procedures
Perform an initial process hazard analysis
Written procedures to manage changes
Document that equipment complies with RAGAGEPs
1231
913
848
719
c1
f1
j5
g1i
e5
N
f3
j4i
g3
Written plan of action regarding employee participation
Develop and implement written operating procedures
Correct deficiencies in equipment that are outside acceptable limits
Trained in an overview of the process and in the operating procedures
Establish a system to promptly address the PHA team's findings and
recommendations
Emergency planning and response (.38 and .120)
Annual certification of Operating Procedures
Inspections and tests shall be performed on process equipment
Training documentation (means used to verify)
673
671
620
598
588
527
511
480
442
o1
Certify that they have evaluated compliance with the provisions of this section
at least every three years
416
f1i
d3iB
Steps for each operating phase
Piping and instrument diagrams (P&ID's)
397
376
f4
Develop and implement safe work practices to provide for the control of
hazards during operations (LOTO, PRCS, LB, Controlled Access)
366
d3i
j4iv
d
j4iii
j4ii
g2
j3
h2i
e3v
c2
o4
e3i
f1iD
e6
d2i
d3iD
f1ii
e3vi
e3iii
m1
h2v
Information pertaining to the equipment in the process
Document each inspection and test that has been performed on process
equipment
Complete a compilation of written process safety information before conducting
any process hazard analysis
Frequency of inspections and tests of process equipment shall be consistent
with applicable manufacturers' recommendations and RAGAGEPs
Inspection and testing procedures shall follow RAGAGEPs
Refresher training
Training for process maintenance activities
Obtain and evaluate information regarding the contract employer's safety
performance and programs
Facility siting
Consult with employees and their representatives on the conduct and
development of process hazards analyses and on the development of the
other elements of process safety management
Promptly determine and document an appropriate response to each of the
findings of the compliance audit, and document that deficiencies have been
corrected
PHA shall address the hazards of the process
Emergency shutdown including the conditions under which emergency
shutdown is required, and the assignment of shutdown responsibility to
qualified operators to ensure that emergency shutdown is executed in a safe
and timely manner
At least every five (5) years after the completion of the initial process hazard
analysis, the process hazard analysis shall be updated and revalidated
Information concerning the technology of the process
Relief system design and design basis
Operating limits
Human factors
Engineering and administrative controls applicable to the hazards and their
interrelationships such as appropriate application of detection methodologies
to provide early warning of releases
Investigate each incident which resulted in, or could reasonably have resulted
in a catastrophic release
Periodically evaluate the performance of contract employers in fulfilling their
obligations
i1
Perform a PSSR for new facilities and for modified facilities when the
modification is significant enough to require a change in the PSI
l4
If a change covered by this paragraph results in a change in the PSI, the PSI
shall be updated accordingly
e3iv
PHA shall address the consequences of failure of engineering and
administrative controls
360
319
296
294
266
256
255
248
234
228
226
224
220
196
187
185
182
180
153
151
146
143
140
135
h2iv
Develop and implement safe work practices to control the entrance, presence
and exit of contract employers and contract employees in covered process
areas
133
f1iiiB
Precautions necessary to prevent exposure, including engineering controls,
administrative controls, and PPE
131
l3
Operators, maintenance, and contract employees whose job tasks will be
affected by a change shall be informed of, and trained in, the change prior to
start-up of the process or affected part of the process
127
h2ii
Inform contractors of the known potential fire, explosion, or toxic release
hazards related to the contractor's work and the process
120
d2iE
Evaluation of the consequences of deviations, including those affecting the
safety and health of employees
119
f1ib
d2iD
l5
f1iv
m5
h2iii
TOTAL
Normal operations
Safe upper and lower limits for such items as temperatures, pressures, flows
or compositions
117
115
Change results in a change in the operating procedures or practices required
by paragraph (f) of this section, such procedures or practices shall be updated
accordingly
114
Safety systems and their functions
Establish a system to promptly address and resolve the incident report findings
Explain to contract employers the applicable provisions of the emergency
114
110
106
17,006
Note: the 17,006 PSM citations represent 85% of all OSHA PSM citations (20,100)
Table 1. Citations Sorted by Frequency
Cited PSM Standard
1910.119(X)(X)(X)(X)
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c2
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d2iE
d3i
d3iB
d3iD
d3ii
e1
e3i
e3iii
e3iv
e3v
e3vi
e5
Description
Frequency
Written plan of action regarding employee participation
Consult with employees and their representatives on the conduct and
development of process hazards analyses and on the development of the other
elements of process safety management
673
Complete a compilation of written process safety information before conducting
any process hazard analysis
Information concerning the technology of the process
Safe upper and lower limits for such items as temperatures, pressures, flows or
compositions
Evaluation of the consequences of deviations, including those affecting the safety
and health of employees
Information pertaining to the equipment in the process
Piping and instrument diagrams (P&ID's)
Relief system design and design basis
Document that equipment complies with RAGAGEPs
Perform an initial process hazard analysis
PHA shall address the hazards of the process
Engineering and administrative controls applicable to the hazards and their
interrelationships such as appropriate application of detection methodologies to
provide early warning of releases
PHA shall address the consequences of failure of engineering and administrative
controls
Facility siting
Human factors
Establish a system to promptly address the PHA team's findings and
recommendations
228
296
187
115
119
360
376
185
719
913
224
153
135
234
180
588
e6
At least every five (5) years after the completion of the initial process hazard
analysis, the process hazard analysis shall be updated and revalidated
196
f1
f1i
Develop and implement written operating procedures
Steps for each operating phase
671
397
f1ib
Normal operations
Emergency shutdown including the conditions under which emergency shutdown
is required, and the assignment of shutdown responsibility to qualified operators
to ensure that emergency shutdown is executed in a safe and timely manner
Operating limits
Precautions necessary to prevent exposure, including engineering controls,
administrative controls, and PPE
Safety systems and their functions
Annual certification of Operating Procedures
Develop and implement safe work practices to provide for the control of hazards
during operations (LOTO, PRCS, LB, Controlled Access)
117
g1i
Trained in an overview of the process and in the operating procedures
598
g2
g3
Refresher training
Training documentation (means used to verify)
256
442
h2i
Obtain and evaluate information regarding the contract employer's safety
performance and programs
248
f1iD
f1ii
f1iiiB
f1iv
f3
f4
h2ii
h2iii
Inform contractors of the known potential fire, explosion, or toxic release hazards
related to the contractor's work and the process
Explain to contract employers the applicable provisions of the emergency action
plan
220
182
131
114
511
366
120
106
h2iv
Develop and implement safe work practices to control the entrance, presence and
exit of contract employers and contract employees in covered process areas
133
h2v
Periodically evaluate the performance of contract employers in fulfilling their
obligations
146
i1
Perform a PSSR for new facilities and for modified facilities when the modification
is significant enough to require a change in the PSI
143
j2
j3
j4i
Written MI procedures
Training for process maintenance activities
Inspections and tests shall be performed on process equipment
1231
255
480
j4ii
Inspection and testing procedures shall follow RAGAGEPs
266
j4iii
Frequency of inspections and tests of process equipment shall be consistent with
applicable manufacturers' recommendations and RAGAGEPs
294
j4iv
Document each inspection and test that has been performed on process
equipment
319
j5
l1
l3
l4
l5
m1
m5
N
Correct deficiencies in equipment that are outside acceptable limits
Written procedures to manage changes
Operators, maintenance, and contract employees whose job tasks will be affected
by a change shall be informed of, and trained in, the change prior to start-up of
the process or affected part of the process
If a change covered by this paragraph results in a change in the PSI, the PSI
shall be updated accordingly
Change results in a change in the operating procedures or practices required by
paragraph (f) of this section, such procedures or practices shall be updated
accordingly
Investigate each incident which resulted in, or could reasonably have resulted in a
catastrophic release
Establish a system to promptly address and resolve the incident report findings
and recommendations
Emergency planning and response (.38 and .120)
620
848
127
140
114
151
110
527
o1
Certify that they have evaluated compliance with the provisions of this section at
least every three years
416
o4
Promptly determine and document an appropriate response to each of the
findings of the compliance audit, and document that deficiencies have been
corrected
226
Table 2. Citations Sorted by PSM Element
PSM Inspection History Summary
(May 26, 1992 to February 26, 2014) 1
Total Number of PSM Inspections 2 …………………………………………….…3,721
Total Number of Violations………………………………………………………..20,100
Total Initial Penalty………………………………………………………......$93 Million
Total Number of CHEM NEP Inspection (Opened Nov. 2011 to 2/26/14)….………890
Total Number of Refinery NEP Inspections (opened as of 4/4/2013)……..…………74
Data Source: OSHA Office of Statistics
EPA’s General Duty Clause
Section 112(r)(1) of the Clean Air Act states the following:
It shall be the objective of the regulations and programs authorized under this subsection to
prevent the accidental release and to minimize the consequences of any such release of any
substance listed or any other extremely hazardous substance. The owners and operators of
stationary sources producing, processing, handling or storing such substances have a general duty
to identify hazards which may result from such releases using appropriate hazard assessment
techniques, to design and maintain a safe facility taking such steps as are necessary to prevent
releases, and to minimize the consequences of accidental releases which do occur.
Many facilities put too much attention and effort into getting below or staying below the
regulated thresholds thinking that they can avoid PSM and RMP regulation all together. But as
the above general duty clause makes clear having a fully implemented process safety
management program easily complies with the general duty requirements. Multiple facilities in
the past 6 months have received RMP general duty citations. Facilities storing 9,000 pounds of
ammonia and 4,675 gallons of flammable liquids both below regulatory thresholds have had
common citations containing this type of language:
•
•
•
•
•
1
2
Failed to provide protections consistent with applicable industry codes and standards
No hazard analysis performed using industry recognized hazard assessment techniques
Failure to meet Recognized and Generally Accepted Good Engineering Practice
(RAGAGEP)
Inadequate signs and labels
Lack of Documentation
Includes Federal and State-Plan states
Defined as an inspection that included at least 1 PSM violation
Importance of the Three-year Compliance Audit
Both OSHA and EPA require every covered process to conduct a compliance audit at a minimum
of every three years. Regulated entities can look at these audits as a necessary evil or as another
check box to mark off, worrying more about minimizing the findings and painting a rosy picture.
The other view of compliance audits looks at them as valuable efforts to test the process safety
system with an opportunity to fix the identified issues and be better prepared for the next OSHA
or EPA inspection. The latter perspective may mean bringing in someone with a true process
safety background from outside your particular industry.
An analysis of OSHA PSM inspections shows a litany of other OSHA regulations being
cited and looked at as part of the inspection process. These additional regulations are intertwined
with the process safety system and it’s elements. Adding an analysis of these additional
regulations as part of the compliance audit can differentiate a Great audit from a “so-so” audit.
These include:
1. Fixed Industrial Stairs: Anytime a worker has to travel to an upper or lower area at least once
per shift “stairs” must be provided. Example would be locating equipment for daily rounds
on the roof.
2. Personal Protective Equipment (PPE): In flammable processes the certified PPE Hazard
Assessment should be identifying Flame Retardant Clothing (FRC) as a necessary piece of
PPE.
3. Respiratory Protection: In all aspects of chemical process safety (operations, maintenance,
and emergency response) respiratory protection plays a large role in protecting workers.
4. Design and construction requirements for exit routes and maintenance, safeguards, and
operational features for exit routes. This includes evacuation maps, exit signs, emergency
lighting, and alarm systems. These requirements apply not only to indoor operations, but to
outdoor operations with catwalks and multiple levels.
5. PSM actually requires covered processes to have an emergency action plan that includes
these six items:
• Escape procedures and emergency escape routes
• Procedures for employees who remain to operate critical plant operations
• Procedures to account for all employees upon emergency evacuation
• Rescue and medical duties
• How fires and other emergencies are reported
• Name or job title of person to contact with questions
6. For facilities with an established and organized emergency response team compliance with
the Hazardous Waste Operations and Emergency Response (HAZWOPER) standard must be
verified.
7. Permit-required confined space compliance is required by 29 CFR 1910.119(f)(4) and must
be verified. If actual confined space operations are taking place during the audit they should
be evaluated. At a minimum, closed permits from the past year should be audited.
8. As with PRCS, control of hazardous energy is spelled out as a safe work practice in 29 CFR
1910.119(f)(4). Training records, annual periodic inspections, machine specific procedures,
and contractor lockout should all be evaluated.
9. Compressed air receivers, air compressors, boilers, and other utility/facility equipment. Are
these systems part of the covered process or does the process safety depend on these utilities?
If the answer is yes this equipment should be included in the three-year audit.
10. Powered industrial trucks and their use around covered process equipment must be reviewed
and verified. Specific examples may be powered industrial trucks used in refrigerated
warehouses where pipes and equipment can be impacted, scissor lift usage around equipment
and pipes, or use of trucks in hazardous locations.
Occupational Safety and Health Management Systems
Every management system requires a cycle of Plan, Do, Check, Act (PDCA) as the late Dr. W.
Edward Deming made popular and safety and health management systems are no different.
According to various documents published on OSHA’s website a typical occupational safety and
health management system has six core elements:
•
•
•
•
•
•
Management Leadership
Worker Participation
Hazard Identification and Assessment
Hazard Prevention and Control
Education and training
Program Evaluation and improvement
A PSM and RMP program contains these six elements, creating a PDCA loop. Table 3 matches
these six elements to the RMP or PSM element.
Safety Management System Element
PSM/RMP Element
Management Leadership
Management Commitment required under
RMP - 40 CFR 68.1
Worker Participation
Employee Participation
Hazard Identification and Assessment
Process Hazard Analysis
Hazard Prevention and Control
Process Safety Information, Operating
Procedures, Contractor Safety, Pre-Start-Up
Safety Review, Management of Change,
Mechanical Integrity, Standard Operating
Procedures, Hot Work, Emergency Planning
and Response, and Incident Investigation
Education and Training
Training
Program Evaluation and Improvement
Compliance Audits
Table 3. Management System Element Comparison
Taking all of these management system elements into consideration along with the PDCA
cycle and the crossover of the various OSHA regulations into the PSM standard a best practice
for any regulated process would be to incorporate all safety policies and procedures into the
established PSM system. Implementation of this best practice ensures that all safety documents
and processes are controlled through the management of change process. One management
system keeps all safety documentation organized, and in one place making any type of audit flow
smoothly and efficiently.
Conclusion
Compliance with OSHA’s PSM and EPA’s RMP regulations is an important consideration for
any facility that utilizes a highly hazardous chemical. Citations, penalties, and inspections are
increasing in frequency and this fact conveys the importance of conducting thorough internal
PSM/RMP audits that cover often overlooked OSHA requirements in addition to the required
elements of a PSM/RMP program. Utilizing a PSM/RMP program as a safety management
system can be a best practice any covered process can implement.
Bibliography
United States Environmental Protection Agency (EPA). 2014. Enforcement and Compliance
History Online.
United States Occupational Safety and Health Administration (OSHA). 2014. Office of Statistics.
________. 2014. Injury and Illness Prevention Programs.