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Guidance on meeting expectations ofEI Process safety management framework

Element 9: Process and operational statusmonitoring, and handover

This document is issued with a single user licence to the EI registered subscriber: [email protected]: This document is subject to a li cence agreement issued by the Energy Institute, London, UK. It may only be used in accordance wi th the licence terms and conditions. It m ust not beforwarded to, or stored, or accessed by, any unauthorised user. Enquiries: e:[email protected] t: +44 (0)207 467 7100



GUIDANCE ON MEETING EXPECTATIONS OFEI PROCESS SAFETY MANAGEMENT FRAMEWORK ELEMENT 9:

PROCESS AND OPERATIONAL STATUS MONITORING, AND HANDOVER

1st edition

May 2014

Published byENERGY INSTITUTE, LONDON

The Energy Institute is a professional membership body incorporated by Royal Charter 2003

Registered charity number 1097899




The Energy Institute (EI) is the chartered professional membership body for the energy industry, supporting over 19 000 individualsworking in or studying energy and 250 energy companies worldwide. The EI provides learning and networking opportunities to supportprofessional development, as well as professional recognition and technical and scientic knowledge resources on energy in all its formsand applications.

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It also offers its own Chartered Energy Engineer, Chartered Petroleum Engineer and Chartered Energy Manager titles.

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This publication has been produced as a result of work carried out within the Technical Team of the EI, funded by the EI’s Technical Partners.The EI’s Technical Work Programme provides industry with cost-effective, value-adding knowledge on key current and future issuesaffecting those operating in the energy sector, both in the UK and internationally.

For further information, please visit http://www.energyinst.org

The EI gratefully acknowledges the nancial contributions towards the scientic and technical programmefrom the following companies

BG Group Premier OilBP Exploration Operating Co Ltd RWE npowerBP Oil UK Ltd Saudi AramcoCentrica Scottish PowerChevron SGSConocoPhillips Ltd Shell UK Oil Products LimitedDana Petroleum Shell U.K. Exploration and Production LtdDONG Energy SSEEDF Energy StatkraftENI StatoilE. ON UK Talisman Sinopec Energy UK LtdExxonMobil International Ltd Total E&P UK LimitedInternational Power Total UK LimitedKuwait Petroleum International Ltd TullowMaersk Oil North Sea UK Limited ValeroMurco Petroleum Ltd VattenfallNexen VitolPhillips 66 World Fuel Services

However, it should be noted that the above organisations have not all been directly involved in the development of this publication, nordo they necessarily endorse its content.

Copyright © 2014 by the Energy Institute, London.The Energy Institute is a professional membership body incorporated by Royal Charter 2003.Registered charity number 1097899, EnglandAll rights reserved

No part of this book may be reproduced by any means, or transmitted or translated intoa machine language without the written permission of the publisher.

ISBN 978 0 85293 681 8

Published by the Energy Institute

The information contained in this publication is provided for general information purposes only. Whilst the Energy Institute and thecontributors have applied reasonable care in developing this publication, no representations or warranties, express or implied, are madeby the Energy Institute or any of the contributors concerning the applicability, suitability, accuracy or completeness of the informationcontained herein and the Energy Institute and the contributors accept no responsibility whatsoever for the use of this information. Neitherthe Energy Institute nor any of the contributors shall be liable in any way for any liability, loss, cost or damage incurred as a result of thereceipt or use of the information contained herein.

Electronic access to EI and IP publications is available via our website, www.energypublishing.org .Documents can be purchased online as downloadable pdfs or on an annual subscription for single users and companies.For more information, contact the EI Publications Team.e: [email protected]




GUIDANCE ON MEETING EXPECTATIONS OF EI PROCESS SAFETY MANAGEMENT FRAMEWORK ELEMENT 9:PROCESS AND OPERATIONAL STATUS MONITORING, AND HANDOVER

3

CONTENTSPage

Publications in this series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 1.1 Process and operational status monitoring, and handover . . . . . . . . . . . . . . . . . . . . . 7 1.2 Expectations for element 9: Process and operation status monitoring, and handover 7 2 Arrangements for meeting expectations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 2.1 Descriptions of actions for each step in the logical ow diagram . . . . . . . . . . . . . . . 11

3 Suggested compliance checks and performance measures . . . . . . . . . . . . . . . . . . . . 253.1 Performance measure 1: Element compliance and implementation status

(EIPSS rating) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263.2 Performance measure 2: Denition and implementation of process and

operational status monitoring requirements - progress against schedule . . . . . . . . . 273.3 Performance measure 3: Denition and implementation of handover

arrangements - progress against schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283.4 Performance measure 4: Overdue process and operational status monitoring

arrangements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293.5 Performance measure 5: Review and update of handover arrangements overdue . . 303.6 Performance measure 6: Excursions outside SOE . . . . . . . . . . . . . . . . . . . . . . . . . . . 313.7 Performance measure 7: Observed non-compliance with process and operational

status monitoring and handover arrangements . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323.8 Performance measure 8: Overdue eld observations . . . . . . . . . . . . . . . . . . . . . . . . 333.9 Performance measure 9: Incident root causes which are failures of element 9 . . . . . 34

AnnexesAnnex A References and bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 A.1 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 A.2 Further resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Annex B Glossary of acronyms and abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

Annex C Mapping of process steps to EI PSM framework expectations. . . . . . . . . . . . 37

Annex D Example report template: management and supervisory eld observation. . 38





4

PUBLICATIONS IN THIS SERIES

Guidance on meeting expectations of EI Process safety management framework − Element 1: Leadership, commitment and responsibility − Element 2: Identication and compliance with legislation and industry standards − Element 3: Employee selection, placement and competency, and health assurance − Element 4: Workforce involvement − Element 5: Communication with stakeholders − Element 6: Hazard identication and risk assessment − Element 7: Documentation, records and knowledge management − Element 8: Operating manuals and procedures − Element 9: Process and operational status monitoring, and handover − Element 10: Management of operational interfaces − Element 11: Standards and practices − Element 12: Management of change and project management − Element 13: Operational readiness and process start-up − Element 14: Emergency preparedness − Element 15: Inspection and maintenance − Element 16: Management of safety critical devices − Element 17: Work control, permit to work and task risk management − Element 18: Contractor and supplier, selection and management − Element 19: Incident reporting and investigation − Element 20: Audit, assurance, management review and intervention





5

FOREWORD

Process safety management (PSM) is vital to ensuring safe and continued operations in major accidenthazard (MAH) organisations. However, PSM is a multifaceted process, and a number of high proleincidents since 2005 have suggested that without a holistic understanding of the various factorsrequired for effective PSM it can be difcult and inefcient to ensure, and measure, performance.

In 2010 the Energy Institute (EI) published High level framework for process safety management (PSMframework ), which aimed to dene what PSM should involve. Divided into four focus areas (processsafety leadership, risk identication and assessment, risk management, and review and improvement),and sub-divided into 20 'elements', it sets out a framework of activities MAH organisations shouldundertake to ensure PSM. Each element lists a number of high level activities organisations shouldmeet (expectations).

EIGuidance on meeting expectations of EI Process safety management framework is a series of 20publications (guidelines) that build on the PSM framework . Commissioned by the EI Process SafetyCommittee (PSC) each guideline captures and presents current industry good practices and guidanceon how organisations can meet the expectations set out in each element of the PSM framework .Each guideline includes:

− a logical ow diagram of activities (steps) the organisation should undertake tomanage that element;

− descriptions of those steps; − example performance measures (PMs) to measure the extent to which key steps have

been undertaken; − a list of further resources to help undertake key steps; − a table mapping the steps against the expectations in the PSM framework , and

− annexes of useful information.

Readers implementing the guidance in this publication should be aware of the PSM framework andthe other publications in this series, particularly if they are a manager with oversight of the widerimplementation of PSM.

The information contained in this publication is provided for general information purposes only.Whilst the EI and the contributors have applied reasonable care in developing this publication, norepresentations or warranties, express or implied, are made by the EI or any of the contributorsconcerning the applicability, suitability, accuracy or completeness of the information contained hereinand the EI and the contributors accept no responsibility whatsoever for the use of this information.Neither the Energy Institute nor any of the contributors shall be liable in any way for any liability, loss,cost or damage incurred as a result of the receipt or use of the information contained herein.

Suggested revisions are invited and should be submitted through the Technical Department, EnergyInstitute, 61 New Cavendish Street, London, W1G 7AR. e: [email protected]





6

ACKNOWLEDGEMENTS

EIGuidance on meeting expectations of EI Process safety management framework was commissionedby the EI Process Safety Committee (PSC) and prepared by Martin Ball (Bossiney Consulting). Duringthis project, PSC members included:

Martin Ball Bossiney ConsultingDavid Bleakley ConocoPhillipsJohn Brazendale Health and Safety ExecutiveJohn Briggs Kuwait Petroleum InternationalGus Carroll CentricaJonathan Carter MarshJames Coull TotalPeter Davidson UKPIAGraeme Ellis ABBDr David Firth Chilworth GroupPeter Gedge (Chair) BPJohn Henderson CB&I Lummus (BCECA)Bob Kilford EDF EnergyKing Lee (Vice-Chair) Lloyd’s RegisterKeith Lewis Total E&P UK LtdPaul McCulloch E.ONSreeRaj Nair ChevronPeter O’Toole Tullow OilJohn Pond ConsultantDr Niall Ramsden Resource Protection International

Andrew Robertson NexenToby St.Leger ConocoPhillipsDr Mark Scanlon (Secretary) Energy InstituteDon Smith Eni UK

The following additional individuals are acknowledged for commenting on the drafts for consultationof this series of publications:

Lee Allford European Process Safety CentreJohn Armstrong E.ONMike Beanland ABBAmanda Cockton Health and Safety ExecutivePeter Davidson UKPIAEdwin Ebiegbe ConsultantAllen Ormond ABB

Technical editing was carried out by Stuart King (EI) and assisted by Sam Daoudi (EI).

Afliations are correct at the time of contribution.





7

1 INTRODUCTION

1.1 PROCESS AND OPERATIONAL STATUS MONITORING, AND HANDOVER

This guideline sets out good practice in establishing the necessary process and operationalstatus monitoring to ensure that key aspects of the organisation’s operations are appropriatelymonitored on a day-to-day or continuous basis. It also sets out good practice for establishingappropriate handover arrangements between shift crews and work groups.

Comprehensive process and operational status monitoring and effective handoverbetween work groups are essential to assure the continued integrity of the organisation’soperations. Management should ensure that the process and operational status monitoring,and handover requirements, are dened, understood and carried out.

1.2 EXPECTATIONS FOR ELEMENT 9: PROCESS AND OPERATIONAL STATUSMONITORING, AND HANDOVER

Element 9 of EI High level framework for process safety management (PSM framework)describes eight expectations – arrangements and processes that organisations should (to anappropriate degree) have in place in order to ensure they are managing this aspect of processsafety management (PSM) appropriately:'Overview: Comprehensive process and operational status monitoring and effective

handover between work groups is essential to assure the continued integrityof the organisation’s operations.

Management must ensure that the process and operational status monitoring,and handover requirements are dened, understood and carried out.

9.1 Safe operating limits (SOLs) are dened for all assets, commensurate withrisk.

9.2 There are procedures to ensure that SOLs are regularly reviewed and kept upto date as living systems.

9.3 Operating parameters are systematically monitored vs. SOLs.

9.4 Excursions beyond safe operating envelope (SOEs) are identied and followedup.

9.5 Arrangement for SOLs and their signicance are understood and monitoringrequirements are followed; understanding of arrangements and compliancewith them is regularly tested.

9.6 Handover arrangements are dened, understood and implementedcommensurate with risk, covering handovers such as:

− operational and maintenance shift handover; − successive work groups, and − job positions (one to another).





8

9.7 Arrangements for process and operational status monitoring, and handoverare understood and followed; understanding of arrangements and compliancewith them is regularly tested.

9.8 Compliance and performance trends are reviewed by specied levels ofmanagement.’

This guideline provides a process, along with guidance, to help organisations meet theseexpectations. It also suggests a number of compliance checks and performance measures(PMs) to measure the extent to which key activities involved in meeting these expectationshave been or are being undertaken.





9

2 ARRANGEMENTS FOR MEETING EXPECTATIONS

Figure 1 provides a logical ow diagram for the activities that should be in place to meetthe expectations in element 9, to manage process and operational status monitoring, andhandover. It covers activities (steps) which should be undertaken by the organisation, acrossthree phases: set-up (preparations to manage the element); operate (management of theelement); and monitor, review and intervene (monitoring and reviewing the managementof the element, and making appropriate interventions if the element is not being managedeffectively).

The ow diagram provides an example of the logical arrangement of necessaryactivities. The reader should take cues from the arrangement and relationships betweensteps when determining the appropriate ow design for their own organisation. The owdiagram also shows interfaces with other elements, where this element may be dependentupon activities that are addressed by other elements - e.g. step 2 relies on there being aneffective competence management system in place, as described in Guidance on meetingexpectations of EI Process safety management framework Element 3: Employee selection,

placement and competency, and health assurance .At specic points in the ow diagram process, PMs are suggested. These PMs are

predominantly leading indicators designed to enable the measurement of the outputs fromthe element and the level of operational compliance with the expectations. Suggested PMsare described further in section 3.

2.1 provides guidance on the actions involved for each step, the deliverables thatshould result from those actions, and the frequency at which the step should be undertaken.It also provides more detailed guidance notes.

These steps have been mapped against element 9 expectations in Annex C. Notethat some expectations are fullled through several steps, and some steps help full several

expectations; however, all steps should be undertaken. As such, Annex C is for referencepurposes only, to demonstrate that the arrangements outlined in this guideline enable theorganisation to work towards fullling the requirements set out in element 9 of the PSMframework .





10

05

Review current process andoperational status monitoring

against requirements

06Plan and scheduledevelopment and

implementation of requiredprocess and operational status

monitoring arrangements

07

Develop and implementrequired process and

operational statusmonitoring arrangements

11

Plan and scheduledevelopment and

implementation of requiredhandover arrangements

14Review and

approve

16

Implement required processand operational status

monitoring

17

Implement requiredhandover arrangements

Yes

No

Set-up

Monitor, review and intervene

08

Define generic handoverrequirements for process safety

critical roles and positions

03

Develop generic processand operational status

monitoring requirements

01

Identify and appointresponsible persons; define

delegated authorities fordecision making

02

Ensure competence ofappointed responsible

persons

09Identify process safetycritical roles requiring

defined handoverarrangements

04Identify processes, assets and

work equipment requiringprocess and operational

status monitoring

Operate

10

Review current handoverarrangements againstdefined requirements

13Identify required

communication, training andcompetency assurance

Changes to:legislation;industrystandards

15

Implement requiredtraining, communication

and competency assurance

12

Develop and implementrequired handover

arrangements

No

Changes to:legislation;industrystandards

Findings from:

investigations;observations;audits

Changes to:processesassetsoperations;organisation

18Define review

and updaterequirements

19

Initiate periodic review andupdate

Element3

32

4 5

9

20

Performance measurementand compliance checking

21

Performance andcompliance trend analysis

22

Annual review of effectivenessand sustainability of element

arrangements

23

Management review andcontrol meetings

1

7

8

Performancemeasures

6 9

Findings from:investigations;observations;audits

Changes to:processesassetsoperations;activities;organisation

Findings from:investigations;

observations;audits

Changes to:processesassetsoperations;organisation

Figure 1 Logical ow diagram





11

2.1 DESCRIPTIONS OF ACTIONS FOR EACH STEP IN THE LOGICAL FLOW DIAGRAM

Step Actions Deliverables Frequency01 Identify and appoint

responsible persons;dene delegatedauthorities fordecision making

Identify and appointpersons who willhave dened rolesand responsibilitiesfor each aspect ofthe arrangements

for leadership,commitment andresponsibility.

Dened roles andresponsibilities.

Agreed list of responsiblepersons who will:

− act as element owner,and

− carry out each aspect ofthe arrangements forthe element.

Dened delegatedauthorities for decisionmaking.Agreed list of delegatedauthorities for eachidentied responsibleperson/position.

Duringimplementation;then as required.

Guidance notes:

The senior accountable person, typically a director, business unit (BU) leader or sitemanager, should ensure that accountabilities and responsibilities are assigned for eachstep in the process. Typically this can be achieved by appointing an element ownerwho will work with line managers to agree and assign these accountabilities andresponsibilities.

Typically, the element owner should be a senior line manager.During the implementation phase the element owner should coordinate theimplementation of the element across the organisation, BU or site on behalf of thesenior accountable person, working with other senior line managers to ensure that theimplementation is appropriately planned and resourced and that any issues are resolved.

The element owner should also ensure that delegated authorities for decision makingwithin the element are dened and approved.

Following implementation, during the operational phase the element owner shouldwork with the other senior line managers to ensure that the element continuesto operate as intended. In effect, the element owner should act as a coach to themanagement team, building their understanding and condence in the use of the

element.02 Ensure competence

of appointedresponsible persons

Dene requiredhealth, safety andenvironment (HS&E)and process safetyattributes andexample behaviours

Training material.

Competency assessment.

Training schedule.

Competent persons.

Duringimplementation;then as required.





12

Step Actions Deliverables Frequency02

cont....

for each level and

integrate into theorganisation’scompetencyframework (seeGuidance on meetingexpectations ofEI Process safetyframework Element

3: Employee selection, placement,competency andhealth assurance ).

Guidance notes:

The element owner should ensure that the required competencies are dened andagreed for all persons with assigned roles and responsibilities within the elementand that each of these people is trained and coached appropriately to develop theserequired competencies.

They should also ensure that training and development programmes and routinepersonnel performance appraisals take into account these required competencies. Thisshould be accomplished by means of Guidance on meeting expectations of EI Process

safety framework Element 3: Employee selection, placement, competency and healthassurance .

03 Develop generic

process andoperationalstatus monitoringrequirements

Develop genericprocess andoperationalstatus monitoringrequirements, i.e.:

− SOE; − completion of

routine checks;

− equipment outof service andreturned to service;

− feedstock andproduct routings,and

− on-going workactivities.

Reference generic list

of typical informationwhich should be includedin status monitoringarrangements.

During

implementation;then updated asrequired. (Reviewannually.)





13

Step Actions Deliverables FrequencyGuidance notes:

It is helpful to set clear standards for what type of process and operational statusmonitoring needs to be carried out in order to support safe operation of theorganisation. During the implementation phase the element owner should ensure thatthese are clearly dened.

As a rst stage, the categories of processes and operations that exist within theorganisation should be identied. These may include different types of process plant,assets and work equipment, different types of operational and maintenance activitiesand activities involving specic hazardous materials. Once these categories have beendened, the generic requirements should be dened for the information that needs tobe monitored and recorded for each category, together with the required frequency ofmonitoring and recording.

Important examples of operational status monitoring are performance of SOLs of majoraccident control parameters and safety-critical activities.The generic requirements should be reviewed and approved by personnel with thedelegated authority to do so.

On an on-going basis, the need to update the arrangements may be initiated bychanges to legislation and industry standards. These should be identifed through useof Guidance on meeting expectations of EI Process safety management frameworkElement 2: Identication and compliance with legislation and industry standards .

04 Identify processes,assets and workequipmentrequiring process oroperational statusmonitoring

Also identify ownersfor each identiedprocess, asset andwork equipment.

Approved list ofprocesses, assets andwork equipment requiringprocess or operationalstatus monitoring.

Identied owner for eachidentied process, assetand work equipment,with responsibilityfor establishing andmaintaining processand operational statusmonitoring.

Duringimplementation;then updated asrequired. (Reviewannually.)

05 Review currentprocess andoperational statusarrangementsagainstrequirements

For each identiedprocess, asset and workequipment:

− current process andoperational statusmonitoring.

− additional processstatus and operationalrequirements.






14


During the implementation phase the element owner should ensure that each part ofthe organisation makes a comprehensive review to identify the processes, assets andwork equipment that require process and operational status monitoring.

At this stage process owners should be assigned for the status monitoring arrangementsfor each identied process, asset and work equipment. The owners should takeresponsibility for ensuring that the necessary gap assessments are carried out and thatthe required status monitoring is implemented.

The required process and operational status monitoring should be identied for eachprocess, asset and work equipment identied in step 4 and compared with thoseavailable, in order to identify any gaps.

The gaps in available-against-required process and operational status monitoring

arrangements should be prioritised in order to identify the order in which they need tobe developed.

In making decisions about the requirements and priority for the development of therequired monitoring arrangements, the level of risk associated with not having therequired monitoring should be considered.

On an on-going basis, the need to update the arrangements may be initiated by anumber of factors such as:- Findings from:

- incident investigations;- observations, and- audits.

- Changes to:

- processes;- assets;- operations, and- organisation.

06 Plan and scheduledevelopment andimplementation ofrequired processand operationalstatus monitoringarrangements

Approved plan andschedule for developmentand implementationof required processand operational statusmonitoring arrangements:

− what needs to be done; − assigned resource;

− when it will be done,and − assigned responsibility

for delivery.






15


The element owner should ensure that a plan and schedule are in place for thedevelopment of the required monitoring arrangements. The plan and schedule shouldidentify:1. what will be done;2. when it will be done;3. the resource assigned to the work, and4. responsibility for delivery of each item.

The schedule should be reviewed with the line managers of the personnel who willbe required to participate in the development and reviewed and approved by a linemanager with the authority to do so.

The schedule provides a basis for monitoring progress; accountable managers should

compare actual against the scheduled progress and make appropriate interventions tocorrect any deviations.

07 Develop andimplementrequired processand operationalstatus monitoringarrangements

Required process andoperational statusmonitoring arrangementsimplemented in full andin line with the agreedschedule.

As required by theschedule.

Guidance notes:

The development of the required process and operational status monitoringarrangements should be carried out in line with the agreed schedule.

It should be ensured that the reasons for each aspect of the monitoring arrangementsand the potential implications of a failure to monitor effectively are dened andunderstood.

A key component of the monitoring arrangements should be the monitoring of theSOE to prevent process parameters exceeding the SOE and to record any excursionsbeyond the SOE. These should have been identied by the hazard identication activitiesas described in Guidance on meeting expectations of EI Process safety managementframework Element 6: Hazard identication and risk assessment .

The development of the required monitoring arrangements should involve personnelwith appropriate technical and operational competence (and experience).





17

Step Actions Deliverables Frequency09 Identify process

safety-criticalroles requiringdened handoverarrangements

Approved list of process

safety-critical roles andpositions requiring denedhandover arrangements.

During


10 Review currenthandoverarrangementsagainst denedrequirements

For each identied processsafety-critical role orposition review:

− current handoverarrangements, and

− additionalrequirements to beincluded in handover

arrangements.


Guidance notes:

During the implementation phase the element owner should ensure that each partof the organisation makes a comprehensive review to identify the required handoverarrangements.

At this stage it should be ensured that process owners are assigned for each identiedhandover arrangement. The owners should take responsibility for ensuring thatthe necessary gap assessments are carried out and that the required handovers areimplemented. The owner should also take responsibility for ensuring that the annualreviews are carried out in line with requirements.

The available handovers should be identied and compared with the requirements

dened in Step 8, in order to identify any gaps.The gaps in available-against-required handover arrangements should be prioritised inorder to identify the order in which they need to be developed and implemented.

In making decisions about the requirements and priority for the development andimplementation of the required handover arrangements, the level of risk associated withnot having the required handover should be considered.

On an on-going basis, the need to update the arrangements may be initiated by anumber of factors such as:- Findings from:

- incident investigations;- observations, and

- audits.- Changes to:- processes;- assets;- operations;- activities, and- organisation.





18

Step Actions Deliverables Frequency11 Plan and schedule

development andimplementation ofrequired handoverarrangements

Approved plan and

schedule for developmentand implementationof required handovermonitoring arrangementscovering:

− what needs to be done; − assigned resource; − when it will be done,

and − assigned responsibility

for delivery.

During


Guidance notes:

The element owner should ensure that a plan and schedule are in place for thedevelopment of the required monitoring arrangements. The plan and schedule shouldidentify:1. What will be done;2. When it will be done;3. The resource assigned to the work, and4. Responsibility for delivery of each item.

The schedule should be reviewed with the line managers of the personnel who willbe required to participate in the development, and reviewed and approved by a linemanager with the authority to do so.

The schedule provides a basis for monitoring progress: accountable managers shouldcompare actual against scheduled progress and make appropriate interventions tocorrect any deviations.

12 Develop andimplementrequired handoverarrangements

Required handoverarrangements in full andin line with the agreedschedule.


Guidance notes:

The development of the required handover arrangements should be carried out in linewith the agreed schedule.

It should be ensured that the reasons for each aspect of the handover arrangementsand the potential implications of a failure to carry them out effectively are understood.These should have been identied by the hazard identication activities as describedin Guidance on meeting expectations of EI Process safety management frameworkElement 6: Hazard identication and risk assessment .

The development of the required handover arrangements should involve personnel withappropriate operational competence (and experience).





19

Step Actions Deliverables Frequency13 Identify required

communication,training andcompetencyassurance

Required communication,

training and competencyassurance to ensure thatnecessary personnel areappropriately aware andcompetent.

As required by the

schedule.

Guidance notes:

In parallel with the development of the monitoring and handover arrangements,consideration should be given to those who needs to be aware of them, and who willneed to make use of them. Additionally, consideration should be given to requiredlevel of competency of the personnel who will use them and how this competency willbe assured. These needs should be taken into account and provide the basis for thedevelopment of communication plans. Identied competency and training needs shouldbe incorporated into development and training plans.14 Review and approve

Review and approve: − Completed process

and operationalstatus monitoringarrangements.

− Completedhandoverarrangements.

− Communication

plans. − Training andcompetencyassurance plans.

Review and approvalshould be by personswith the delegatedauthority to do so.

Approved: − Completed process

and operationalstatus monitoringarrangements.

− Completed handoverarrangements.

− Communication plans.− Training and

competency assuranceplans.


Guidance notes:

Completed monitoring and handover arrangements, together with the associatedcommunication and training plans should be reviewed and approved by an appropriateline manager with the authority to do so.

The reviewing and approving line manager should consider the quality of the completedmonitoring and handover arrangements, i.e. are they thorough and are they clear andeasily understandable (do they comply with the requirements dened in steps 3 and8)? The line managers may need to take specialist advice to enable them to make this

judgement.

The reviewing and approving line manager should also consider the suitability andfeasibility of the identied communication and training plans, questioning whether theycan be implemented and whether the assigned line manager accepts the responsibilityto ensure that they are implemented.





20

Step Actions Deliverables Frequency15 Implement required

communication,training andcompetencyassurance

Required communication,

training and competencyassurance planned andimplemented, in full andto schedule.

As required by the

schedule.

16 Implement requiredprocess andoperational statusmonitoring

Process and operationalstatus monitoring carriedout in full and in line withrequirements.

Compliance withrequirements veried byresponsible line managers.


17 Implementrequired handoverarrangements

Handover carried outin full and in line withrequirements.

Compliance withrequirements veried byresponsible line managers.


Guidance notes:

The identied communication, training and competency assurance plans shouldbe implemented in line with the required schedule. It is likely that any requireddevelopment, training and competency assurance would be implemented by means ofGuidance on meeting expectation of EI Process safety framework Element 3: Employee

selection, placement, competency and health assurance .The line manager accountable for the implementation of the required communicationand training should continue to monitor and review the compliance with, andeffectiveness of, the communication and training.

Following approval of the completed monitoring and handover arrangements, theyshould be implemented in full and in line with the agreed schedule. The assigned ownerof each of the monitoring and handover arrangements should take responsibility forensuring that they are implemented and that they continue to be carried out in line withthe dened requirements.

18 Dene reviewand update

requirementsDene therequirementsfor reviewingand updatingstatus monitoringand handoverarrangements.

Approved review andupdate frequency for

process and operationalstatus monitoring andhandover arrangements.

Duringimplementation;

then updated asrequired. (Reviewannually.)





21


The element owner should ensure that standards are set for how the resultingmonitoring and handover requirements will be recorded. These standards shouldaddress how and where they will be recorded, who will be responsible for owning andmaintaining them, how will they be backed-up to avoid loss in the event of a disasterand how any version control and update will be managed.

The element owner should also ensure that requirements for regular review and updateof the monitoring and handover arrangements are established. The required frequencyfor review and update should be set to be proportionate to the identied level of riskassociated with each of the monitoring and handover arrangements; those with higherrisks should be reviewed on a more frequent basis.

19 Initiate periodicreview and update

Initiate periodicreview of processand operationalstatus monitoringand handoverarrangements,and update thearrangements ifnecessary.

List of process andoperational statusmonitoring and handoverarrangements withidentied due dates forrequired review andupdate.


Guidance notes:

Arrangements for process and operational status monitoring and handover should bereviewed on a regular basis, as dened in Step 18, to identify whether there is any needfor them to be updated. This need may arise as a result of a number of factors whichmay include:- Findings from investigations.- Changes to:

- processes;- assets;- operations;- activities, and- organisation.

Status monitoring and handover arrangements should have been updated during theimplementation of these changes. However, these should be periodically checked toensure that nothing has been missed and ensure that the monitoring and handoverarrangements are appropriate and up to date.





22

Step Actions Deliverables Frequency20 Performance

measurement andcompliance checking

Establish andimplement PMs.

Establish regularmanagementand supervisorycompliance checks.(See Annex D for anexample managementand supervisory eldobservation form.)

Dened PMs.

PMs generated in line withthe schedule.

Compliance checkingprogramme.

Completed compliancechecks.

Identied necessaryinterventions.

As required by the

schedule.

Guidance notes:

A systematic set of PMs should be dened in order to enable each BU or site to monitorand conrm compliance with the element and to draw attention to any areas of non-compliance.

In order to maintain effective control the element owner should ensure thataccountability for performance against each PM is clearly identied and that theaccountable person understands the interventions that need to be made to correctdeviations in performance against the PM.

The element owner should ensure that PMs are reviewed by an appropriate level ofmanagement on a routine scheduled basis.

The suggested PMs are dened in section 3.

21 Performance andcompliance trendanalysis

PMs and ndingsfrom compliancechecks are analysed toidentify any emergingunderlying trends.

A report on trendsidentied, for review:

− at appropriatemanagement meetings;

− by the BU executive,and

− by the companyexecutive.

Monthly.

Guidance notes:

This guideline denes suggested PMs which may allow the BU or local site to monitor

compliance with the element. This is an important aspect of management control butit does not provide the whole picture. It should be ensured that ndings, compliancechecking and performance monitoring are reviewed and analysed in order to identifyany underlying trends. The trends which should be monitored and analysed should beadapted according to performance and the issues being managed during any particulartime period. However, the key issue is to ensure that resource is assigned to carry outthis monitoring and analysis and that this trend analysis is carried out on a routine basisand presented for review at appropriate management meetings.





23

Step Actions Deliverables Frequency22 Annual review

of effectivenessand sustainabilityof elementarrangements

Review of thearrangements tocheck that theyare functioning asintended and are stillt for purpose.

A report identifying:

− issues requiringresolution, and − opportunities

to enhance thearrangements.

Annually.

Guidance notes:

The element owner should initiate an annual review of the element in order to checkthat it is still functioning as intended and that it is still t for purpose, identifying anyissues requiring resolution or any opportunities to enhance the implementation of theelement.

The element owner should ensure that appropriate employees and employees’representatives are involved in developing input to this review.

23 Managementreview and controlmeetings

Review meetings withthe appropriate levelsof management.

Systematic review ofdened PM sets.

Review emergingissues identied by theanalysis of trends.

Manage issuesand opportunitiesidentied by annualreview of the process.

Identify appropriateinterventions.

PMs and trend analysisreviewed:

− at appropriatemanagement meetings;

− by local linemanagement;

− by the BU executive,and

− by the companyexecutive.

Appropriate interventionsto correct deviations fromrequired performance.

Initiation of appropriateactions to address ndingsfrom the annual review.

Monthly.





24


The element owner should ensure that the review of the PMs is incorporated intoappropriate management control meetings. It is likely that it will be necessary toincorporate the PMs into meetings at a number of different levels. For example, theymay need to be incorporated into executive meetings and into senior managementteam meetings. Understandably, the scope of the PM should be matched to the area ofthe business which is being reviewed at each meeting.

The management control meetings should focus on deviations from the requiredperformance, identifying necessary interventions to correct performance.

The PMs and the output from these management control meetings may provide input toappropriate health and safety committees.





25

3 SUGGESTED COMPLIANCE CHECKS AND PERFORMANCEMEASURES

This guideline provides a set of suggested implementation PMs and operational PMs.The suggested implementation PMs can be used during the implementation phase to

measure and monitor the backlog (clear up) tasks that are required. The operational PMs canbe used to measure compliance with the element as part of business as usual.

In order to be condent that control measures are being implemented appropriately,it should be ensured that there are regular routine management and supervisory eldobservations carried out by line management and supervision. Some of the suggestedoperational PMs are derived from the results of these observations.

The required frequency of measurement and checking may vary according to thelevel of demonstrated performance; if the performance of a parameter is demonstrated tobe under control, then the measurement and checking interval may be extended. However,if the performance of the parameter is shown to be unacceptable the interval should bereduced. It should be ensured that there is a frequency of measurement and checking whichassures an appropriate level of control.

Table 1 Performance measures for element 9

No. Type Performance measure1 Compliance and

implementationElement compliance and implementation status (EIPSSrating)

2 Implementation Denition and implementation of process and operationalstatus monitoring requirements – progress againstschedule

3 Implementation Denition and implementation of handover arrangements– progress against schedule

4 Operational Overdue process and operational status monitoringarrangements

5 Operational Review and update of handover arrangements overdue6 Operational Excursions outside SOE7 Operational Observed non-compliance with process and operational

status monitoring and handover arrangements8 Operational Overdue eld observations

9 Outcome Incident root causes which are failures of element 9





26

3.1 PERFORMANCE MEASURE 1: ELEMENT COMPLIANCE AND IMPLEMENTATIONSTATUS (EIPSS RATING)

This PM enables management to monitor the implementation and compliance of the elementof the EI PSM Framework . It makes use of the EI Process Safety Survey (EIPSS) to enable thebusiness to carry out a systematic self-assessment of their compliance with the expectationsof element 9.

The EIPSS can be used for a baseline assessment of compliance, which can thenbe updated as those responsible close each of the individual identied gaps. In this wayit provides management with an easily developed continuously updated assessment ofimplementation and compliance.

The line manager accountable for implementation should make a correctiveintervention if the actual progress falls below plan. It is likely the required interventions wouldbe either to adjust priorities to create space to allow this work to be done, to make additionalresource available, or to reset the schedule to reect what can be achieved realistically withthe assigned resource.

Table 2 Element compliance and implementation status (EIPSS rating) – PM overview

Type Required data RepresentationCompliance andimplementation

By month: − current element 9, target

EIPSS overall rating; − current element 9, EIPSS

overall rating; − current element 9, EIPSS

documented arrangementsrating, and

− current element 9, EIPSSimplementation rating.

Line and bar graph: − target overall element

rating (line); − overall element rating (bar); − documented arrangements

rating (line), and − implementation rating

(line).

Figure 2 Suggested presentation of PM 1: Element compliance and implementationstatus

Overall status Implementation Documented arrangements Target overall status





27

3.2 PERFORMANCE MEASURE 2: DEFINITION AND IMPLEMENTATION OF PROCESSAND OPERATIONAL STATUS MONITORING REQUIREMENTS – PROGRESS AGAINSTSCHEDULE

This PM enables management to monitor implementation progress, tracking the identiednumber of process and operational status monitoring requirements, the schedule for theirdevelopment and implementation and progress against schedule.

The line manager accountable for implementation should make a correctiveintervention if the actual progress falls below plan. It is likely the required interventions wouldbe either to adjust priorities to create space to allow this work to be done, to make additionalresource available, or to reset the schedule to reect what can be achieved realistically withthe assigned resource.

Table 3 Denition and implementation of process and operational status monitoringrequirements – progress against schedule – PM overview

Type Required data RepresentationImplementation By month:

− identied number of processand operational statusmonitoring requirements.

− scheduled number of processand operational statusmonitoring requirementsto be developed andimplemented.

− actual number of process andoperational status monitoringrequirements developed andimplemented.

Line bar: − identied number (bar); − number scheduled (line),

and − number implemented

(bar).

Figure 3 Suggested presentation of PM 2: Process and operational status monitoringdevelopment and implementation status

0

50

100

150

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

N u m

b e r

RequiredStatus Monitoring

In Place Scheduled ProgressRequired statusmonitoring

In place Scheduled progress





28

3.3 PERFORMANCE MEASURE 3: DEFINITION AND IMPLEMENTATION OF HANDOVERARRANGEMENTS – PROGRESS AGAINST SCHEDULE

This PM enables management to monitor implementation progress, tracking the identiednumber of required handover arrangements, the schedule for their development andimplementation and progress against schedule.

The line manager accountable for implementation should make a correctiveintervention if the actual progress falls below plan. It is likely the required interventions wouldbe either to adjust priorities to create space to allow this work to be done, to make additionalresource available or to reset the schedule to reect what can be achieved realistically withthe assigned resource.

Table 4 Denition and implementation of handover arrangements – progressagainst schedule – PM overview

Type Required data RepresentationImplementation By month:

− identied number ofrequired handoverarrangements.

− scheduled number ofhandover arrangementsto be developed andimplemented.

− actual number ofhandover arrangementsdeveloped andimplemented.

Line bar: − identied number (bar); − number scheduled (line),

and − number implemented

(bar).

Figure 4 Suggested presentation of PM 3: Handover arrangements developmentand implementation status

0

20

40

60

80

100

120


N u m

b e r

RequiredHandover Arrangements

In Place Scheduled ProgressRequired handoverarrangements

In place Scheduled progress





29

3.4 PERFORMANCE MEASURE 4: OVERDUE PROCESS AND OPERATIONAL STATUSMONITORING ARRANGEMENTS

This PM enables management to monitor the number of process and operational statusmonitoring arrangements that are overdue for review and update, tracking the number thatare overdue by less than three months and the number that are overdue by more than threemonths.

The graphical representation of this PM is likely to be supplemented by a listing ofthe overdue process and operational status monitoring arrangements, together with theresponsible line manager in each case.

The accountable line manager should make an intervention if there are any processand operational status monitoring arrangements which are overdue for review and update. Itis likely the required intervention would be either to adjust priorities to create space to allowthis work to be done, to make additional resource available, or to reset the schedule to reectwhat can be achieved realistically with the assigned resource.

Table 5 Overdue process and operational status monitoring arrangements – PMoverview

Type Required data RepresentationOperational By month:

− number of process andoperational status monitoringarrangements overdue forreview and update by morethan three months.

− number of process andoperational status monitoringarrangements overdue forreview and update by lessthan three months.

Stacked bar: − number of process

and operationalstatus monitoringarrangements overduefor review and updateby more than threemonths, and

− number of processand operationalstatus monitoringarrangements overduefor review and updateby less than threemonths.

Figure 5 Suggested presentation of PM 4: Process and operational status monitoringarrangements – overdue for review

0

1

2

34

5

6

7


N o O v e r

d u e

< 3 Months > 3 Months< 3 months > 3 months

N o

. o v e r d

u e





30

3.5 PERFORMANCE MEASURE 5: REVIEW AND UPDATE OF HANDOVERARRANGEMENTS OVERDUE

This PM enables management to monitor the number of handover arrangements that areoverdue for review and update, tracking the number that are overdue by less than threemonths and the number that are overdue by more than three months.

The graphical representation of this PM is likely to be supplemented by a listing of theoverdue handover arrangements, together with the responsible line manager in each case.

The accountable line manager should make an intervention if there are any handoverarrangements which are overdue for review and update. It is likely the required interventionwould be either to adjust priorities to create space to allow this work to be done, to makeadditional resource available, or to reset the schedule to reect what can be achievedrealistically with the assigned resource.

Table 6 Review and update of handover arrangements overdue – PM overview

Type Required data RepresentationOperational Handover arrangements that

are overdue for review andupdate:

− number overdue for reviewby less than three months,and

− number overdue for reviewby more than three months.

Stacked bar: − number overdue for

review by less thanthree months, and

− number overdue forreview by more thanthree months.

Figure 6 Suggested presentation of PM 5: Handover arrangements – overdue forreview

0

1

2

3

4

5

6

7


N o O v e r d u e

< 3 Months > 3 Months< 3 months > 3 months

N o

. o v e r d u e





31

3.6 PERFORMANCE MEASURE 6: EXCURSIONS OUTSIDE SOE

This PM enables management to monitor whether the processes and assets are routinelybeing operated within the dened SOE, tracking the number of excursions outside the SOE.It is likely that this PM would be supported by a list showing the most frequently occurringexcursions.

The accountable line manager should ensure that each of these excursions isinvestigated as an incident as per Guidance on meeting expectations of EI Process safetymanagement framework Element 19: Incident reporting and investigation and thatrecommendations have been identied to address the identied root causes. They shouldmake an intervention if there is a prolonged increasing trend in the number of excursions. Itis likely that the intervention would be to initiate a more fundamental analysis identifying themost frequent excursions, the most frequent root causes, and to initiate work programmesto address these issues.

Table 7 Excursions outside SOE – PM overview


− the number of excursionsoutside SOE.

Bar graph

Figure 7 Suggested presentation of PM 6: Excursions outside SOE

0

10

20

30

40

50

60

70


N o o

f E x c u r s i o n s

N o

. o

f e x c u r s i o n s





32

3.7 PERFORMANCE MEASURE 7: OBSERVED NON-COMPLIANCE WITH PROCESS ANDOPERATIONAL STATUS MONITORING AND HANDOVER ARRANGEMENTS

This PM enables management to monitor the number of observed non-compliances withrequired process and operational status monitoring and handover arrangements, trackingthe number of observed major non-compliances and the number of observed minor non-compliances.

The graphical representation of this PM is likely to be supplemented by a listing of theobserved major non-compliances together with the responsible line manager in each case.

The accountable line manager should make an intervention if there is a prolongedincreasing trend in the number of non-compliances. It is likely that the intervention wouldbe to question what additional support or resources would be required to correct the trend.

Table 8 Observed non–compliance with process and operational status monitoringand handover arrangements – PM overview


− number of observed majornon-compliances, and

− number of observed minornon-compliances.

Stacked bar: − major non-compliances,

and − minor non-compliances.

Figure 8 Suggested presentation of PM 7: Observed non-compliance with processand operational status monitoring and handover arrangements

0

2

4

6

8


N o o

f n o n - c o

m p l i a n c e s

Minor non-compliance Major non-compliance

N o

. o

f n o n - c o

m p

l i a n

c e s





34

3.9 PERFORMANCE MEASURE 9: INCIDENT ROOT CAUSES WHICH ARE FAILURES OFELEMENT 9

This PM enables management to monitor the trend of the number of times a failure ofsome aspect of element 9 is identied as a root cause of an incident ( Guidance on meetingexpectations of EI Process safety management framework Element 19: Incident reporting andinvestigation provides guidance on how root causes should be aligned to failures of EI PSMframework elements). This information should assist line managers to understand whethertheir arrangements for meeting the expectations of element 9 are achieving the requiredoutcome.

A constant or increasing number of root causes associated with a failure of thiselement would indicate that there is a need to review the effectiveness of the arrangementsand their implementation.

Table 10 Incident root causes which are failures of element 9 – PM overview

Type Required data RepresentationOutcome(lagging indicator)

By month: − number of incident root causes

which are failures of element 9,categorised as root causes of:

- very serious incidents;- serious incidents, and- incidents.

Stacked bar:− very serious incidents;

− serious incidents, and − incidents.

Figure 10 Suggested presentation of PM 9: Incident root causes which are failuresof element 9

0

2

4

6

8

10

12

14


N o .

o f I n c

i d e n

t s

Incidents Serious incidents Very serious incidents





35

ANNEX AREFERENCES AND BIBLIOGRAPHY

A.1 REFERENCES

EI,High level framework for process safety management ,http://www.energyinst.org/psm-framework

A.2 FURTHER RESOURCES

This section contains a non-exhaustive list of further resources to help organisationsimplement element 9. Resources include pertinent guidance publications, codes of practice,standards, and practical tools.

Description StepBSI BS ISO 13372 , Condition monitoring and diagnostics of

machines. Vocabulary03, 04, 05

BSI BS ISO 13374 , Condition monitoring and diagnostics ofmachines. Data processing, communication and presentation(parts 1-3)

03, 04, 05

BSI BS ISO 13381-1 , Condition monitoring and diagnostics ofmachines. Prognostics - General guidelines

03, 04, 05

BSI BS ISO/IEC 25064:2013 , Systems and software engineering.Software product quality requirements and evaluation(SQuaRE)

03, 04, 05

EEMUA EEMUA 187, Analyser systems - A guide to maintenancemanagement

03, 04, 05

EI Human factors brieng note no. 10: Communicationhttp://www.energyinst.org/hfbriengnotes

08, 11

HSE Effective shift handover – A literature reviewhttp://www.hse.gov.uk/research/otopdf/1996/oto96003.pdf

08, 11

HSE Improving communication at shift handover http://www.hse.gov.uk/humanfactors/topics/shifthandover.pdf

08, 11

HSE Safe communication at shift handover: Setting andimplementing standardshttp://www.hse.gov.uk/humanfactors/topics/standards.pdf

08, 11

HSE HSG254, Developing process safety indicators: A step-by-step guide for the chemical and major hazardindustrieshttp://books.hse.gov.uk/hse/public/saleproduct.

jsf?catalogueCode=9780717661800

21, 22

IEEE 1332–1998, IEEE standard reliability program for thedevelopment and production of electronic systems andequipment

03, 04, 05

ISO ISO 17359:2011, Condition monitoring and diagnostics ofmachines - General guidelines

03, 04, 05





36

ANNEX BGLOSSARY OF ACRONYMS AND ABBREVIATIONS

BU business unitEIPSS Energy Institute Process Safety SurveyHS&E health, safety and environmentHSE Health and Safety ExecutiveMAH major accident hazardPM performance measurePSC Process Safety CommitteePSM process safety managementSOE safe operating envelopeSOL safe operating limit





37

T a b l e C

. 1 M a p p

i n g o f p r o c e s s s t e p s

t o E I P S M f r a m e w o r k e x p e c t a

t i o n s

E x p e c t a

t i o n

S t e p n u m

b e r

0 1

0 2

0 3

0 4

0 5

0 6

0 7 0 8

0 9

1 0

1 1

1 2 1 3

1 4

1 5

1 6

1 7

1 8

1 9

2 0

2 1

2 2

2 3

9 . 1

S O L s a r e

d e n e

d f o r a l l a s s e t s , c o m m e n s u r a

t e w

i t h

r i s k .

9 . 2

T h e r e a r e p r o c e

d u r e s

t o e n s u r e

t h a t

S O L s a r e

r e g u

l a r l y r e v i e w e d a n

d k e p t u p

t o d a t e a s

l i v i n g

s y s t e m s .

9 . 3

O p e r a t i n g p a r a m e t e r s a r e s y s t e m a t i c a l l y m o n

i t o r e

d

v s . S O L s .

9 . 4

E x c u r s i o n s

b e y o n

d S O E a r e

i d e n t i e d a n

d f o l l o w e d

u p .

9 . 5

A r r a n g e m e n

t s f o r

S O L s a n

d t h e i r s i g n

i c a n c e a r e

u n

d e r s t o o

d a n

d m o n

i t o r i n g r e q u

i r e m e n

t s a r e

f o l l o w e d ,

u n

d e r s t a n

d i n g o

f t h e a r r a n g e m e n

t s a n

d

c o m p

l i a n c e w

i t h t h e m

i s r e g u l a r l y

t e s t e d .

9 . 6

H a n

d o v e r a r r a n g e m e n

t a r e

d e n e

d ,

u n

d e r s t o o

d

a n d i m p

l e m e n

t e d c o m m e n s u r a

t e w

i t h r i s k , c o v e r i n g

h a n

d o v e r s s u c h a s :

−

O p e r a

t i o n a l a n

d m a

i n t e n a n c e s h

i f t h a n

d o v e r ;

−

S u c c e s s i v e w o r k g r o u p s , a n

d

−

J o b p o s i t i o n s

( o n e

t o a n o t h e r ) .

9 . 7

A r r a n g e m e n

t s f o r p r o c e s s

& o p e r a t i o n a l s t a

t u s

m o n

i t o r i n g ,

& h a n

d o v e r a r e u n

d e r s t o o

d a n

d

f o l l o w e d ; u n

d e r s t a n

d i n g o

f a r r a n g e m e n

t s a n

d

c o m p

l i a n c e w

i t h t h e m

i s r e g u l a r l y

t e s t e d .

9 . 8

C o m p

l i a n c e a n

d p e r f o r m a n c e t r e n

d s a r e r e v i e w e d

b y s p e c i e d

l e v e l s o

f m a n a g e m e n

t .

ANNEX CMAPPING OF PROCESS STEPS TO EI PSM FRAMEWORK

EXPECTATIONS





38

ANNEX DEXAMPLE REPORT TEMPLATE: MANAGEMENT AND

SUPERVISORY FIELD OBSERVATION

Management and supervisory eld observation reportLocation: Date:Work group leader: Observer:

Rating Comments1 2 3 4 n/a

Are the process and operationalstatus monitoring arrangements

suitable and sufcient?Are the process and operationalstatus monitoring arrangementsavailable and in date?Are personnel aware of theprocess and operational statusmonitoring arrangements?Is there evidence that theprocess and operational statusmonitoring is carried out in full?Are handover arrangementssuitable and sufcient?Are the handover arrangementsavailable and in date?Are personnel aware of thehandover arrangements?Is there evidence that personnelcomply with the handoverarrangements?Is there evidence that theprocess and operational statusmonitoring requirements andthe handover arrangementsare updated on the basis ofexperience and feedback?1 = Major deciency identied3 = Meets expectations

2 = Minor deciency identied4 = Exceeds expectations

Note: Organisations should dene what will be considered as major and minor deciencies;the use of a risk matrix may assist with this.




This publication has been produced as a result ofwork carried out within the Technical Team of theEnergy Institute (EI), funded by the EI’s TechnicalPartners and other stakeholders. The EI’s TechnicalWork Programme provides industry with costeffective, value adding knowledge on key currentand future issues affecting those operating in theenergy sector, both in the UK and beyond.Energy Institute

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