HAZARD IDENTIFICATION CHECKLISTS

ROBERT T. HESSIAN JNR & JACK N. RUBIN
The following sample checklists have been developed to assist a hazards analyst in
identifying problems that may require further attention. The examples are general, and
therefore a paragraph stating the objective and describing the focus for the checklist is not
provided. The checklists should be modified to reflect specific objectives and facilities
prior to application in an actual facility.
CHECKLIST A—PLANT ORGANIZATION AND ADMINISTRATION

1. Organization
   a) Corporate organization chart detailing areas of responsibility for each division and the
   name and telephone number of the key person responsible.
   b) Divisional organization chart identifying supervisors, group assignments and functions,
   and the names of personnel in each group.
   c) Is a procedure in place to periodically update these charts and distribute to appropriate
   personnel?
   d) Specialty areas highlighted for quick reference (e.g., Fire Warden, Plant Safety
   Supervisor, Emergency Response Coordinator).
   e) Are adequate facilities available (e.g., offices, technical library, warehouses,
   laboratories)?
   f) Are personnel with technical expertise readily available?
   g) Are there any plans for expansion or modernization of the facility?
2. Administration
   a) Plant operators
3. Are plant procedures readily available?
4. Are emergency procedures available?
5. Are the operators periodically evaluated to check their competency?
6. Are operators periodically retrained?
7. Has the training program been formalized?
8. Are the operators periodically drilled on responses to random simulated emergency
   situations?
   b) Maintenance group
9. Are adequate facilities available (e.g., offices, records library, warehouses,
   maintenance equipment)?
10. Are vendor equipment manuals available for quick reference?
11. Have personnel been periodically retrained and educated on new techniques?
12. Are personnel supported by an engineering staff or contracted maintenance
    professionals?
13. Is a program in place for preventive and predictive maintenance?
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14. Are findings from maintenance activities cataloged and routed to the engineering
    staff for evaluation?
15. Are functions and responsibilities, especially safety and inspection interfaces, well
    defined?
    c) Emergency response group
16. How is the plant shut down in case of a fire emergency?
    a) Panic button to emergency shut-down (ESD) system.
    b) Individual motor-operated valves (MOVs).
    c) Fire alarm to ESD system.
    d) Manual valve operation.
17. Is an emergency response plan available and supported by management?
18. Are procedures in place for activation of the plan in place?
19. Emergency protocol: Is there a notification sequence, and is it prominently
    displayed on the operating floor and in the control room?
20. Is the plan evaluated and updated periodically?
21. Have local authorities been briefed and trained in the plan and its major features?
22. Is emergency support equipment in place and adequately maintained?
23. Are procedures for deactivation and recovery detailed in the plan?
    CHECKLIST B—GENERAL OPERATIONS
24. Inventory control
    a) Are dangerous or hazardous substances stored in remote locations?
    b) Is on-site inventory maintained at a minimum acceptable level?
    c) Are detectors and alarms provided for detection of leaks or spills?
    d) Is inventory maintained in a safe fashion (e.g., are drums stacked a maximum of
    two high) and hazardous substances segregated?
    e) Is storage area in compliance with local building codes (e.g., electrical utilities, fire
    protection)?
25. Production area
    a) Are dangerous or hazardous substances staged to the process in an acceptable
    manner?
    b) Is staging area protected from adjacent operations or traffic?
    c) Has process instrumentation been adequately maintained?
    d) Is local instrumentation readily accessible or visible to operators from local control
    panels?
    e) Are drain connections valved and capped?
    f) Are maintenance valves locked in the appropriate position for operation?
    g) Are local annunciators furnished to alert floor operators of problems?
26. Intermediaries and by-product discharges
    a) Are all hazardous intermediaries properly labeled?
    b) Are discharges monitored?
    c) Are safeguards in place to prevent improper discharges?
    d) Are vents routed to flares or scrubbers?
27. Final product handling
    a) Is product packaged for on-site use or for off-site use?
    b) Is product adequately protected from other operations?
    c) Is product adequately labeled?
28. Are alternate operating modes discussed and researched?
29. Are equipment qualifications reviewed with operators?
30. Are interim training sessions held when plant modifications are performed?
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31. Is a full-time training instructor assigned for process operators and maintenance
    personnel?
32. Is a training room available with various visual aid apparatus (e.g., overhead projector,
    video recorder/monitor, large drawings and charts, film projector)?
33. Is a training course curriculum available with printed handbooks, test sheets, and other
    learning aids?
34. Are process operators and maintenance personnel kept up to date when plant
    modifications or new equipment are introduced by retraining?
    CHECKLIST C—MAINTENANCE
35. Has a maintenance program been formalized?
    a) Are warehouse inventory control procedures in place?
    b) Is an automated or manual inventory procurement program in place?
    c) Can a surplus of hazardous materials be procured?
36. How are maintenance department activities coordinated with plant operating?
37. Are maintenance personnel available when required by operations?
38. Is equipment usually operated at its optimum design range? If not, what problems have
    been encountered?
39. Has degraded equipment forced operating requirements to be outside design
    parameters?
    a) Is the instrumentation and control system maintained adequately?
40. Is operation of instrumentation in the manual mode required because of
    a) Process stability problems?
    b) Inadequate maintenance?
41. Are analyses performed to determine the best approach:
    a) Repair/delay.
    b) Repair/replace.
42. Who determines repair or replacement?
43. What efforts are made to upgrade equipment?
44. How are feedback and new technology incorporated?
45. Are spare parts available in support of maintenance? Which spare parts are fabricated
    at facility? Are all spare parts original equipment by manufacturer? Is inventory
    inspected periodically?
46. Are spare parts and chemical stocks replaced after maintenance? How are stocking
    levels determined? Is a spare part inventory available?
47. What type of storage system exists? Are new materials inspected?
48. Are spare parts and chemical inventories interfaced with other plants?
49. Are replacement materials made in kind or is the state of the art considered? Is
    obsolescence considered?
50. Are spare parts available for maintenance during an unscheduled shutdown?
51. Are spares and materials classified by replacement cost, frequency, delivery, labor
    intensity, sources, or effect on production or safety?
52. What records are maintained?
    a) Time and personnel staffing records.
    b) Equipment and machinery maintenance logs.
    c) Record system (coding and inventory control).
    d) Lubrication schedules.
    e) Instrument and control calibration.
    f) Actual expenditures and schedules vs. budgets (performance).
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    g) Frequency of unscheduled shutdowns and causes.
    h) Are maintenance findings routed to the engineering staff for evaluations?
53. Technical manuals and prints.
    a) Are vendors’ manuals available and up to date?
    b) Are prints available and up to date?
    c) Are as-built drawings up to date?
    d) Are vendor recommendations followed?
54. Are written maintenance orders or work requests used and is there a written procedure
    defining the system?
55. Do work requests contain the following information?
    a) Clear description of malfunction or problem.
    b) Description of work.
    c) Tools required and special test equipment.
    d) Tagging requirements.
    e) Test required.
    f) Safety precautions.
    g) Drawings or procedures’ references.
    h) Identification of material needed and spare parts.
    i) Priority (who assigns it?).
    j) Estimated time to repair.
    k) Status of plant during repair.
    l) Personnel requirements.
    m) Means for documenting cost.
    n) Approval and authorization provisions.
56. Are sparkproof tools available? Who determines whether sparkproof tools are to be
    used?
57. Work schedules: Are the following used?
    a) Maintenance staff available for all shifts.
    b) Daily and weekly work schedules.
    c) Personnel assignments.
    d) Long-range planning schedules.
58. Are job planners used?
59. Are maintenance schedules coordinated with plant operation?
60. Who coordinates the turnaround?
61. What meetings, if any, are held during turnaround?
62. Is the sequence of maintenance work defined? If so, are the functions of each step in
    the procedure defined (e.g., job planner, coordinator)?
63. Is there a preventive maintenance program?
64. Turnaround planning.
    a) Is planning process a daily activity? How is backlog addressed?
    b) Are priorities established for modifications or repairs during an unscheduled plant
    shutdown?
    c) What is the constraint to reducing typical scheduled turnaround time?
    d) How is the interface of area activities with systems activities achieved?
65. Personnel.
    a) Morale.
66. Has impact of daily work on quality of life been stressed?
    b) Overtime practices
67. Which department shows the highest amount of overtime?
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    c) Use of subcontractors?
68. For routine maintenance.
69. For specialty services.
70. For plant turnaround.
71. Training.
    a) Training records.
    b) Apprentice training or similar program.
    c) Periodic review training.
    d) Vendor schools.
    e) On-the-job training.
    f) Personnel goals.
    g) Levels of qualification.
    h) Educational and training material available.
    i) Does management support the training effort?
72. Organizationally.
73. With budget and resources.
    The following checklist was developed to verify various activities performed during a
    modification.
    CHECKLIST D—INSPECTION
74. Replacement equipment procurement
    a) Are appropriate specifications prepared? Have data sheets been completed and
    verified?
75. Are references to consensus standards included?
    b) Have vendor shops been visited to verify qualifications?
76. Is a quality-assurance program in place?
77. Is a certification program available?
    c) Is a receipt inspection program in place?
78. Verification against procurement specifications required?
79. Equipment storage
    a) Have appropriate provisions and precautions been taken to protect equipment
    while it is in storage?
    b) Has shelf life of subcomponents been noted?
    c) Is equipment protected from other storage area activity?
80. Piping and vessels
    a) Is ultrasonic thickness testing of vessels and piping done on a regular basis (e.g.,
    during turnaround)?
    b) What other methods of inspection and nondestructive testing are used (e.g., dye
    penetrant, magnetic particle)?
    c) Does the maintenance department do this testing or are there special personnel for
    inspection and testing? Is new or modified piping tested, and how is this done?
    d) How often and in what manner is PSV testing performed?
    e) Are corrosion-prone areas of process piping and vessels inspected on a regular
    basis?
    f) If pipe metal failure or weld failure has occurred, was analysis done by outside
    laboratories?
    g) Is X-ray inspection apparatus available; can plant maintenance personnel interpret
    X-rays?
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81. Instrumentation
    a) Are trip circuits tested on a regular basis?
82. Are procedures prepared for this work?
83. Is there a sign-off list for these tests?
84. Are operators doing a functional test after each trip to verify system
    availability?
85. Are bypass switches provided for testing?
86. Are these bypass switches accessible for all personnel or are they locked in a
    cabinet, with special personnel responsible for keys?
    b) Are instruments zero checked or calibrated on a routine basis, or are they checked
    when reason for accuracy or doubt exists?
    c) Is an instrument technician available on a 24-hour-per-day basis?
87. Are instrument technicians on call (Is a roster of personnel available)?
88. Are instrument technicians’ skills upgraded on a routine basis through special
    training or other means?
89. Pumps and compressors
    a) Are records kept to trace frequency of failure of seals and other parts? Do records
    include exact description of spares used, mechanics who did job, and other job
    specifics?
    b) Are compressors or other large, nonspared machinery inspected on routine basis
    (such as during turnaround), or is maintenance based on problem observation?
90. Is large rotating machinery fitted with vibration-analysis equipment?
91. Is portable vibration equipment available for spot-checks?
92. Is vibration spot-checking done on a regular basis?
93. Was large rotating machinery voice-printed for vibration at initial plant
    startup?
    c) Is major overhaul performed by plant maintenance, or are vendors’ representatives
    called in?
94. Is this work done by an outside contractor or shop?
95. What is experience with outside shop work, if any?
    CHECKLIST E—SAFETY
96. Are procedures available and used when isolating equipment for maintenance?
97. Is Safety Department responsible for work order signature, or is this done by operations
    or maintenance personnel?
98. Are blind lists made for each isolation job, who keeps them, and who checks that all are
    installed or removed?
99. Is safety and life-saving equipment inspected on a regular basis, and who is responsible
    for this work?
100. Are operators and maintenance personnel instructed and trained in firefighting and
     first-aid procedures?
101. Are plant personnel trained to respond to major emergency situations?
102. What is the level of firefighting equipment or capability in the plant? Is outside backup
     available?
103. Is emergency medical treatment available at all times?
104. Is an automatic gas or vapor detection system installed showing location and alarm
     point in control room?
105. Is the fire water system tested on a regular basis?
106. Are steam or water curtains provided for critical equipment and areas?
107. Are automatic fire-extinguishing systems installed (Halon, CO, Foam, etc.)?
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108. Is the control room located and built to withstand certain fire and explosion hazards?
109. Are remotely operated emergency shutoff valves provided? If so, are these tested on a
     regular basis?
110. Are air packs provided; if so, what is their location and who tests and refills these?
     What are site rules regarding personnel with beards?
111. How are vessels checked before entering? What nitrogen safety procedures are used?
112. How are vessels freed of hydrocarbons and mercury before entering? How are they
     checked?
113. Is safety consciousness emphasized?
114. Are good safety records rewarded in any way?
115. Is a safety committee established in the Operations Department? In the Maintenance
     Department?
116. Are standard operating procedures reviewed for safety hazards? Who reviews them?
117. Is the Safety Department entitled to enforce housekeeping?
118. Which department is responsible for gate perimeter security?
119. Is all safety equipment checked on a regular basis for proper function? Who signs off?
120. Is safety shoe and eyeglass protection mandatory?
121. Are lines marked for contents (acid, caustic substances, etc.)? Are adequate safety
     showers and eyewash facilities provided?
122. Is a safety training course in effect? How often does it convene, who takes part, who
     teaches it? How many hours per month are spent in training?
123. Are operating and maintenance techniques updated when new equipment is introduced?
124. Are motors, switch panels, ignition panels, and solenoids adequate for the electrical
     area classification?
125. Is the integrity of electrical grounds maintained?
126. Are fire isolation considerations applied to curbs, drains, or sewer systems?
127. Are operating personnel instructed in purpose and functioning of mechanical safety
     devices (e.g., tank breathers, overspeed protective devices, float switches, trip
     systems)?
128. Are charts available identifying every chemical or compound being used in the plant,
     and are toxicity and first-aid measures described?
129. Are ignition sources (switchgear, smoking areas, workshops, etc.) close to the boundary
     of a hazardous area?

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