The HAZOP Leader's Handbook: How to Plan and Conduct Successful HAZOP Studies

By Philip Eames

The HAZOP Leader’s Handbook is designed specifically to help HAZOP leaders plan and execute successful HAZOP studies, based on the author’s many years of experience of participating in, observing and facilitating HAZOP studies, as well as observing, training, mentoring and assessing HAZOP leaders.

The book assumes that the reader understands the methodology and has experienced HAZOP meetings and does not seek to explain the methodology itself. Rather, it focuses on the application of the methodology and the responsibilities and skills of the HAZOP leader in the preparation, execution and reporting of the study. Although the principal subject is HAZOP, much of the content equally applies to other facilitated hazard identification techniques such as Hazard Identification (HAZID) or Failure Modes Effects and Criticality Analysis (FMECA).

The prime purpose of this book is to provide guidance specific to HAZOP leaders to help them to maximise the effectiveness of their HAZOP studies, thereby getting the most benefit from the methodology, promoting consistency and rigour in its application and sustaining its well-earned reputation.

• Includes HAZOP leader’s responsibilities and competence requirements and how to plan, prepare and manage a HAZOP study from its conception through to delivery of the final report
• Describes current best practice in the application of the HAZOP technique
• Explains the role of the HAZOP leader as a facilitator of study meetings using examples of facilitation techniques
• Discusses ways in which the leader can maximize the effectiveness of HAZOP technique in identifying and analyzing process hazards

• Language: English
• Publisher: Elsevier Science
• Release date: Apr 14, 2022
• ISBN: 9780323986373

Philip Eames

Philip Eames was first trained as a HAZOP Leader in 1986 and has practiced in this role from time to time throughout his career, but especially intensely over the last 12 years as a process safety consultant. Phil has led HAZOP studies in a wide variety of organisations spanning most sectors of the process industries. He is accredited as a HAZOP Leader with several large multinational companies. He has led smaller stand-alone studies working alone with a Recorder and small team and participated in very large HAZOP programmes working with multiple leaders and Recorders contracted from different organisations. As a process safety consultant, Phil has designed and delivered training, mentoring and assessment for HAZOP Leaders for a number of organisations. He designed and has delivered IChemE’s successful HAZOP Leadership and Management course, re-launched in 2017.

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Front Cover for The HAZOP Leader’s Handbook - How to Plan and Conduct Successful HAZOP Studies - 1st edition - by Phil Eames

The HAZOP Leader’s Handbook

How to Plan and Conduct Successful HAZOP Studies

Phil Eames

Table of Contents

Cover image

Title page

Copyright

Dedication

Preface

Acknowledgements

Chapter 1. Introduction

Abstract

1.1 Reputation and reality

1.2 Why this book?

References

Chapter 2. More than just a chair!

Abstract

2.1 The HAZOP leader’s responsibilities

2.2 Are you ready for the challenges?

2.3 Qualifications, experience and skills

2.4 Developing and demonstrating your competence

2.5 Make sure you are independent!

2.6 Still want to be a HAZOP leader?

References

Chapter 3. Fail to prepare, prepare to fail

Abstract

3.1 Is it HAZOP that you need?

3.2 Can you plan for success?

3.3 Terms of reference

3.4 The HAZOP team

3.5 Node selection

3.6 Deviations from design intent

3.7 How much time do you need?

3.8 Preparation you can start immediately

3.9 Preparations nearer the study

3.10 Summary: critical success factors

References

Chapter 4. Apply best practice

Abstract

4.1 Constructing scenarios: the ‘golden rules’

4.2 A summary of scenario development

4.3 Tools for stimulating creativity

4.4 Some technical challenges

4.5 Policy challenges

References

Chapter 5. Facilitate!

Abstract

5.1 The role of facilitator

5.2 Group dynamics

5.3 Team development

5.4 Individual communication styles

5.5 Facilitation skills

5.6 Consensus and disagreement

5.7 Dysfunctional behaviour

5.8 Crisis? What crisis?

References

Chapter 6. Focus on effectiveness

Abstract

6.1 What do we mean by effectiveness?

6.2 Maintaining effectiveness: avoiding or overcoming common problems

6.3 Stopping the study

6.4 Assessing effectiveness

References

Chapter 7. Develop your product

Abstract

7.1 What should go in the report?

7.2 Presenting the key findings

7.3 Analysing recommendations

7.4 Should opinions relating to quality be included?

7.5 Building up the report: before, during and after

Chapter 8. How to be a better HAZOP leader

Abstract

Appendices

Appendix 1 HAZOP practitioner assessment protocol

Appendix 2 HAZOP preparation guide

Appendix 3 Typical structured what if? or SWIFT checklist

Appendix 4 Terms of Reference

Appendix 5 Process safety information

Appendix 6 Node selection guidance

Appendix 7 HAZOP deviations

Appendix 8 P&ID management protocol

Appendix 9 HAZOP event checklist

Appendix 10 Modes of loss and potential causes

Appendix 11 Process flow failure modes—The List

Appendix 12 Consequence pathways

Appendix 13 Ground rules

Appendix 14 Group dynamics

Appendix references

Appendix 15 Facilitation styles and group maturity

Appendix references

Appendix 16 Communication styles in facilitated sessions

Appendix 17 Managing dysfunctional behaviour

Appendix 18 HAZOP progress tracker

Appendix 19 HAZOP progress report

Appendix 20 Quality assurance checklist

Appendix 21 Effectiveness assessment questionnaire

Appendix 22 Final report contents

List of abbreviations

Index

Copyright

Elsevier

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This book and the individual contributions contained in it are protected under copyright by the Publisher (other than as may be noted herein).

Notices

Knowledge and best practice in this field are constantly changing. As new research and experience broaden our understanding, changes in research methods, professional practices, or medical treatment may become necessary.

Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using any information, methods, compounds, or experiments described herein. In using such information or methods they should be mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility.

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Dedication

To Amanda

For her patience and support throughout the writing of this book.

Preface

In 2016 I was fortunate to be commissioned by Matt Stalker at the Institution of Chemical Engineers to redesign and subsequently deliver the Institution’s HAZOP Leadership & Management training course, which was re-launched successfully in 2017.

Over many years as a Hazard and Operability (HAZOP) leader, I had experienced a wide range of practices in respect of how the methodology was applied, matched by a wide variation in leadership styles. But more recently, since 2010, I had had the privilege of working within a number of organisations that were making great efforts to apply the methodology to a high standard and insisting on carefully selecting their HAZOP leaders, not just according to their experience but for their ability as facilitators and their preparedness to apply the highest standards.

In my research prior to redesigning the course, I concluded that the practices I had experienced and deployed within these organisations were far more rigorous and advanced than what I found in the literature, and this was confirmed by discussions with other like-minded HAZOP leaders. That was the genesis of this book. I wanted to impart my experiences to the widest possible audience and bring the literature up-to-date with current best practices, as far as I understand it.

During the redesign process, in October 2016, the US Chemical Safety Board (CSB) released its final report (https://www.csb.gov/williams-olefins-plant-explosion-and-fire-/) into a 2013 explosion at an olefins plant in Geismar, Louisiana in which 2 men died and 167 others were injured. Among a number of process safety management failures was the failure of three PHA (HAZOP) studies over a period of 12 years to address the hazard of an off-line reboiler being heated while isolated from its thermal relief valve (blocked in), which included at least one study in which the hazard was identified but the HAZOP recommendation to address it was not written in a way that would have helped to increase the likelihood of it being acted upon.

Reading the report on this incident galvanised me in my efforts to highlight the importance of applying the HAZOP methodology thoroughly and the responsibility of the HAZOP leader for making sure that happens. That is what this book is about.

Acknowledgements

I would like to thank Matt Stalker at the Institution of Chemical Engineers for the opportunity to redesign and deliver the Institution’s HAZOP Leadership & Management training course, which was the genesis of this book, and Tracey Donaldson, also at the Institution of Chemical Engineers, for encouraging me to approach Elsevier to publish it.

Chapter 1

Introduction

Abstract

Hazard & Operability (HAZOP) Study is a technique widely used across all the sectors of the process industries and is assumed to be very effective in identifying process hazards. However, there is evidence from the investigation of major incidents that there is no room for complacency. The effectiveness of the technique is heavily dependent on the skills and experience of the facilitator of the study, the HAZOP leader. The modern HAZOP leader has three important obligations: first, to preserve the integrity of the methodology by resisting the increasing pressure to cut down on study time; second, to promote the application of current best practice – which in the view of many practitioners and organisations has moved ahead of that described in the literature; third, to increase the emphasis of facilitation skills as a core competence for HAZOP leaders.

Keywords

Hazard & Operability Study; HAZOP; effectiveness; leader; reputation; facilitator; competence

1.1 Reputation and reality

Since its introduction in the UK chemical industry in the late 1960s the use of Hazard & Operability (HAZOP) Study has expanded across all sectors of the process industries and all parts of the world, so that today it is the pre-eminent hazard identification tool used in process hazards analysis. Very few reputable organisations would undertake the development of a new process facility today without undertaking a HAZOP study during the detailed design phase of the project; many organisations have applied HAZOP retrospectively to their processes and, indeed, revalidate or repeat studies on a regular basis throughout the life of their facilities. The technique has established an impressive reputation as an effective methodology for the identification of process hazards. But what is the reality? How effective is it? The answer is that we don’t really know, because the effectiveness of a HAZOP – the extent to which it identifies and describes all the hazards – is difficult, if not impossible, to measure. But what we do know is that there is evidence to suggest that we may have become complacent about how effective it is. Fig. 1.1, in which the overarching term process hazards analysis includes HAZOP, is based on an analysis of the causes of the 100 largest ever process industry loss events [1].

Figure 1.1 Process hazards analysis failure featured in 59% of major loss events [1].

It shows that in more than half of the largest loss events in the short history of the process industries there were weaknesses in the management systems designed to identify process hazards. Having seen such weaknesses at close hand throughout my career in operations and process safety, I would suggest that there is no room for complacency.

Because HAZOP is a facilitated group exercise to identify process hazards in a creative way, it is self-evident that the effectiveness of the application of the methodology is heavily dependent on the facilitator of the study: you, the HAZOP leader.

This book is designed specifically to help HAZOP leaders plan and execute successful HAZOP studies, based on many years of experience of participating in, observing and facilitating HAZOP studies, as well as observing, training, mentoring and assessing HAZOP leaders.

The book assumes that the reader has an understanding of the methodology and has experienced HAZOP meetings; it does not seek to explain the methodology itself, which is straightforward and explained in the (relatively small) HAZOP literature [2–4]. Rather, it focuses on the application of the methodology and the responsibilities and skills of the HAZOP leader in the preparation, execution and reporting of the study. Although the principal subject is HAZOP, much of the content equally applies to other facilitated hazard identification techniques such as Hazard Identification (HAZID) or Failure Modes Effects and Criticality Analysis (FMECA).

1.2 Why this book?

Imagine it’s the morning of the first meeting of a new HAZOP that you are to lead. You have arrived on the site that belongs to an organisation with which you are not familiar and, although you have had several discussions with the sponsor of the study, you have not been able to meet any of your team members in advance. You are nervous as usual, but excited. You know you have prepared as well as you could and you are looking forward to the challenge of leading and motivating a new team and guiding them through, what you hope, will be a thorough and effective study. You are happy with the meeting room and you have checked out the projector. This has calmed the nerves a bit, but you know how important the team is to the success of the study, so you are hoping that they’ll arrive enthusiastic and well-prepared. You want to make a good impression right from the start.

Ten minutes before the agreed starting time for the meeting, the first team member arrives. Your relief is palpable; maybe we’ll make an efficient, on-time start! As you approach the newly arrived team member you watch her disinterestedly sit down and take out her phone. You approach and, with a short cough to get her attention, introduce yourself as energetically as possible as the HAZOP leader. She smiles politely and greets you with her name, but then her attention starts to move back towards her phone. To try and prevent this you start a conversation.

‘Have you done much HAZOP work before’?

‘Yeah, we have to do them for all the projects we do, so I’ve had to come to meetings from time to time’.

‘How have you found the experience’?

‘Pretty boring really, but I suppose it’s necessary. How long is this one meant to take? I’ve got some important work going on right now an another project’.

‘I’ve estimated that we should be able to do it in about 10 days of meetings’.

‘Oh, really? (slight sigh of disappointment)…10 days, as much as that’?

‘Yes, we need to make sure we do as good a job as possible’.

‘You sound like you enjoy it. You do a lot of this then’?

‘Yes, I spend about half of my time on HAZOP facilitation. I do enjoy it’.

‘Wow, I don’t know how you can do it…’

Here we go again…it looks like this study is going to be another challenge in terms of motivating the team to achieve an effective outcome. It’s a challenge that HAZOP leaders face on a regular basis.

Over many years’ experience in a wide variety of organisations I know that HAZOP leaders have experienced this type of reaction on many occasions. It concerns me because it suggests a lot of people consider HAZOP to be boring: a necessary evil that we have to undergo from time to time to meet the requirements of the process safety management system or get to the next stage of the project. Worse, it could be indicative of lack of value for the technique. It is exemplified by the saying widely attributed to the late process safety guru Trevor Kletz [5]: ‘No one jumps out of bed on a Monday morning shouting Hooray, I’ve got a HAZOP today!’. Given that HAZOP is intended to be an inclusive and creative process to understand – in depth – how the process works and, of course, how we can lose control leading to hazardous or unproductive situations, this sort of view undermines the reputation of HAZOP and the threatens the effectiveness of the methodology; overcoming it presents an enormous challenge to HAZOP leaders, who do jump out of bed regularly on a Monday morning, perhaps not shouting but at least thinking, ‘HAZOP today, I’m up for it!’

So the prime purpose of this book is to provide guidance specific to HAZOP leaders to help you to maximise the effectiveness of your HAZOP studies, get the most benefit from the methodology, promote consistency and rigour in its application, sustain its well-earned reputation and, hopefully, enhance your own, of course.

There are three other reasons why I think this book is necessary: first, to preserve the integrity of the methodology by resisting the increasing pressure to cut down on study time; second, to promote the application of current best practice – which in the view of many practitioners and organisations has moved ahead of that described in the HAZOP literature [2–4]; third, to increase the emphasis of facilitation skills as a core competence for HAZOP leaders. Let me explain each of these in turn.

First, the integrity of the methodology. When I first experienced HAZOP in the 1980s, in the pre–computer era of course, meetings were recorded entirely by hand, usually in pencil on A3 sheets of paper. Not only was this slow and laborious, but team members were not able to see how the discussions were being recorded. So meetings were mostly held on mornings only, to enable the afternoon to be spent by the leader and recorder editing and typing up the record sheets. These would then be copied and reviewed by the team at the beginning of the next morning’s session. Not very efficient, but then we didn’t have an alternative. And it never seemed to be a problem; there always seemed to be enough time to progress through the study at a measured pace without delaying the project schedules or disrupting team members, the project manager or site management. Over the years we’ve overcome the issue of recording on paper, and it’s hard to imagine a HAZOP study being done today without it being recorded using software and projected ‘live’ to the team. However, during this time other pressures have been mounting, chiefly the relentless drive for lower costs and improved efficiency across the process industries. So today, in my experience, it is very rare that a HAZOP is undertaken without time and resource constraints, which are an ever-present threat to the rigour and effectiveness of the study. The focus of much effort in a lot of organisations has been on executing studies faster and more efficiently, and terms such as ‘Coarse HAZOP’, and ‘Preliminary HAZOP’ [6] are now regularly used to describe what are, in a lot of cases, superficial studies carried out on incomplete designs. The emphasis seems to me to be more on efficiency than thoroughness or effectiveness; in my view the prevalence of this type of exercise threatens to undermine the power of the methodology and devalues the term HAZOP; if the term HAZOP has to be used to describe them, then perhaps they should just be called ‘bad HAZOP’. This book aims to preserve the integrity of the traditional methodology by unashamedly focusing on its effectiveness.

Second, the promotion of best practice. In recent years, as part of the drive to improve process safety management, a number of organisations have significantly increased their focus on HAZOP, in particular the rigour with which the methodology is applied. Examples of this are in requirements for more comprehensive process safety information to support the study, evidence of the competence of the HAZOP leader and team, the style and detailed recording of scenarios and the structuring of recommendations for further risk reduction. In my view, this has taken the application of the methodology beyond that described in the current literature (at least the most commonly used texts [2–4]). This book aims to share some of these developments in practice and – hopefully – prompt the HAZOP community to develop and share further improvements in future.

And finally, a HAZOP leader is much more than just the chair of a meeting; the HAZOP leader is a project manager and a facilitator. Although some organisations bring in HAZOP leaders with the sole task of chairing the meetings (not a role I have enjoyed, personally), in my experience this is not the best way to achieve an effective study. Far better that the HAZOP leader is involved from the conception of the study (the identification of the need for it) right through to the delivery of the HAZOP report and even – although this is much less prevalent these days with the frequent use of contracted HAZOP leaders – to the completion of the recommendations arising from the study. In this way, the role of the HAZOP leader is much like a project manager, steering the study from conception through a preparation phase, an execution phase (the HAZOP meetings) and then a reporting phase. And even within the execution phase, the HAZOP leader is much more than a meeting ‘chair’, because this term implies that the leader is simply guiding the meeting participants through an agenda. Of course, HAZOP isn’t like that. It’s about the application of a structured methodology, but in an imaginative and creative way, and so the HAZOP leader in this role is a facilitator; someone who not only understands how to apply the methodology but can inspire and motivate a team to work creatively to achieve an effective study that is not tedious or boring. No mean feat!

This book will take you on a journey through the HAZOP process. It starts with the understanding of the enormous challenge that we are taking on as HAZOP leaders in Chapter 2. Then, if that doesn’t put you off, it moves on to the planning of the study in Chapter 3. Execution of the study is covered in two parts: the technical application of the methodology in Chapter 4 followed by the role of the HAZOP leader as a facilitator in Chapter 5. In Chapter 6 we discuss the effectiveness of the technique and how we might be able to assess it and improve it. Chapter 7 completes the process in the form of the development of the final report. The book concludes with a summary of ways in which you can improve your performance as a HAZOP leader.

References

1. R. Jarvis, A. Goddard, An Analysis of Common Causes of Major Losses in the Onshore Oil, Gas and Petrochemical Industries, Loss Prevention Bulletin 255, Institution of Chemical Engineers, 2017.

2. Crawley F, Tyler B. HAZOP Guide to Best Practice third ed. Elsevier 2015.

3. Crawley F, Tyler B. Hazard Identification Methods European Process Safety Centre 2003.

4. Kletz T. HAZOP and HAZAN fourth ed. Rugby: Institution of Chemical Engineers; 1999.

5. Coutts P. The Chemical Engineer Issue 920 Institution of Chemical Engineers 2018;58.

6. R. Wittkower, B. Singh, A. Botto, M. Hull, P. Jukes, 21st International Offshore and Polar Engineering Conference, Maui, Hawaii, USA, 2011.

Chapter 2

More than just a chair!

Abstract

The role of the Hazard & Operability (HAZOP) leader is much more than just being the chair of a series of meetings, and the responsibilities of a HAZOP leader are much wider than just ensuring that a study is delivered. The leader has to also consider compliance with the organisation’s requirements, the effectiveness of the study, the application of the methodology in accordance with recognised good practice and the experience of the team members. The leader will often face challenges in relation to time and resource constraints, the completeness of the design, the quality of process safety information, the group dynamics of the team, the expectations of the customer and the assessment of effectiveness. The HAZOP leader needs to develop their skills and competence to be able to demonstrate them.

Keywords

Responsibilities; experience; skills; competence; challenges; constraints; expectations; independence

After more than 50 years of Hazard & Operability (HAZOP) practice some organisations are still using the term ‘HAZOP chair’. I suppose we can be thankful that they’ve stopped using this outmoded term in its gendered format, but when I see a request or advertisement for a HAZOP chair the alarm bells start ringing because there is much, much more to be being a HAZOP leader than chairing the meetings. Indeed, the role of the HAZOP leader in the meetings – as we’ll explore in this chapter – is much more than just chairing them!

So the use of the term ‘chair’ may indicate that the organisation does not fully appreciate the role of the HAZOP leader in the HAZOP meetings. However, it may be even worse than that: it may indicate that the organisation does not fully appreciate the important role of the HAZOP leader throughout the process of conceiving, planning, executing and reporting the study. This involvement of the HAZOP leader throughout the lifecycle of the study is a major theme of this book and one of the critical success factors for achieving a successful outcome from the study. So if you see an advertisement for a HAZOP chair, don’t jump in without first having a serious discussion of your project manager’s or client’s expectations.

Before we examine the process and the role of the HAZOP leader in more detail, let’s take a look at the responsibilities of a HAZOP leader. Because