EI - 2010 - High Level Framework PSM

High level framework for
process safety management
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HIGH LEVEL FRAMEWORK FOR PROCESS SAFETY MANAGEMENT
1st edition
December 2010
Published by
ENERGY INSTITUTE, LONDON
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CONTENTS
Page
Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vi
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Development approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Scope and application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
2 Outline of EI High level framework for process safety management . . . . . . . . . . . . . 4

2.1 PSM focus areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2.1.1 Process safety leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2.1.2 Risk identification and assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2.1.3 Risk management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.1.4 Review and improvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.2 PSM elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.2.1 Process safety leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.2.2 Risk identification and assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.2.3 Risk management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.2.4 Review and Improvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
2.3 PSM expectations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Annexes:
Annex A Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
A.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
A.2 Glossary of abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Annex B References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
iii
"Controlling risks within major hazard enterprises requires a robust process safety management
system, driven forward by high standards of leadership and supported by effective feedback
mechanisms to show the status of critical control measures. The value of this guidance produced
by the Energy Institute is that it sets out a clear framework on which to develop and implement a
process safety mangement system and from which effective 'on the ground' control measures can be
derived and maintained. Lessons from recent major incidents both in the UK and internationally show
in very stark terms the costs of getting process safety management wrong and I would encourage
you to apply those lessons to your own organisation by the adoption and maintenance of a robust
process safety management system."
Gordon Macdonald
Director - Hazardous Installations Directorate
Health and Safety Executive
iv
FOREWORD
Process safety management (PSM) is a major issue for the energy industry, with many organisations
looking to adopt a more holistic and systematic approach to assuring the integrity of their
operations.
The Energy Institute (EI) Process Safety Committee (PSC) identified a benefit in promoting a
common high-level framework for PSM across the energy industry sectors. EI High level framework
for process safety management ('PSM framework') provides a simple and systematic approach
suitable for organisations large and small across the energy industry sectors, defining the key things
organisations need to get right in order to assure the integrity of their operations incorporating
technical, maintenance, operational, and human and organisational factors.
EI PSM framework provides a consistent approach that should help organisations seeking efficient
development and implementation approaches to achieve effective PSM. It is intended to be applicable
to both large and small organisations in the worldwide energy industry sectors from upstream
production through to power distribution, as well as kindred industries like chemicals; however the
depth of application should vary in order to be applicable to the scope and complexity of their
operations.
EI PSM framework is not intended to replace existing process safety or health, safety and environmental
management systems (HS&EMSs). It sets out what should be covered by an existing management
system (MS) and as such provides a benchmark for good practice. In cases where an organisation does
not have a process safety management system (PSMS), EI PSM framework provides a design basis for
its development. It is also intended to provide a common basis for benchmarking of PSMSs.
EI PSM framework consists of three levels:
Focus areas These set out the key high level components of EI PSM framework.
Elements Within each of the focus areas are a number of elements which set out the key
aspects of the operation that organisations need to get right in order to assure their
integrity.
Expectations Within each of the elements the expectations define what organisations need to get
right in order to meet the intent of each element.
Whilst there are other MSs that cover process safety, a key benefit of EI PSM framework is that
it has been developed by the energy industry for use by energy industry sectors, capturing and
incorporating learnings from people with practical experience of developing and implementing PSM
as part of an integrated MS. It also benefited from extensive stakeholder input and consultation
during its development.
For further information regarding the EI's PSM activities, see www.energyinst.org/psm-framework.
The information contained in this publication is provided for general information purposes only.
Whilst the Energy Institute and the contributors have applied reasonable care in developing this
publication, no representations or warranties, express or implied, are made by the Energy Institute
or any of the contributors concerning the applicability, suitability, accuracy or completeness of the
information contained herein and the Energy Institute 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, Energy
Institute, 61 New Cavendish Street, London, W1G 7AR, e: technical@energyinst.org
ACKNOWLEDGEMENTS
EI High level framework for process safety management was commissioned by the Energy Institute
(EI) Process Safety Committee (PSC) and developed by a sub-group comprising:
Martin Ball Bossiney Consulting

John Pond Consultant
Dr Mark Scanlon Energy Institute
The Institute wishes to record its appreciation to those that participated in one or more stakeholder
workshops:
Mike Beanland ABB

Peter Gedge BP
Marc McBride Centrica
Kim Davies Chevron
Andy Hendron ConocoPhillips
Peter Jefferies ConocoPhillips
Toby St Leger ConocoPhillips
Richard Tinkler ConocoPhillips
Robin Turney Consultant (Institute of Chemical Engineers)
David Athersmith Consultant
Bob Kilford EDF Energy
Paul McCulloch E.ON
Dave Tobin E.ON
Nigel Walker E.ON
Richard Wood E.ON
Stuart Sealey GB Oils
Lee Allford European Process Safety Centre
Dr Brian Fullam Health and Safety Executive
Dr Mohan Karmarkar Jacobs Engineering
King Lee Lloyd's Register
Jonathan Carter Marsh
Ian Gent Murphy Oil
Kenny Crighton Nexen UK
Mark Yates Petrofac
Ed Terry Sauf Consulting
Dean Henderson Total
Mark Jolliffe Total
Peter Davidson UKPIA
The following are acknowledged for commenting on the draft for consultation of this publication:
Peter Gedge BP
John Henderson CB&I Lummus
Chris Venn Chevron
Dr David Firth Chilworth Group
David Bleakley ConocoPhillips
David Athersmith Consultant
vi
Paul McCulloch E.ON

Dr Mike Nicholas Environment Agency
Lee Allford European Process Safety Centre
John Wilkinson Health and Safety Executive
Dr Mohan Karmarkar Jacobs Engineering
Steve Regulski Nexen UK
James Coull Total
In addition, members of EI PSC are acknowledged for providing technical direction in this project,
in particular in a special meeting to discuss and review the technical comments on the draft for
consultation of this publication:
Graeme Ellis ABB

Martin Ball Bossiney Consulting
Peter Gedge BP
John Henderson CB&I Lummus
Chris Venn Chevron
Dr David Firth Chilworth Group
David Bleakley ConocoPhillips
Toby St.Leger ConocoPhillips
John Pond Consultant
Martin Carter E.ON
Dr Mark Scanlon Energy Institute
Don Smith Eni UK
John Brazendale Health and Safety Executive
King Lee Lloyd's Register
Dr Niall Ramsden Resource Protection International
James Coull Total
Affiliations refer to the time of participation.
Dr Mark Scanlon (EI) managed the project.
vii
1 INTRODUCTION
The Energy Institute (EI) Process Safety Committee (PSC) identified a benefit in promoting
a common high-level framework for process safety management (PSM) across the energy
industry sectors.
Process safety is a blend of engineering and management skills focused on preventing
catastrophic accidents and near hits, particularly, structural collapse, explosions, fires and
damaging releases associated with a loss of containment of energy or dangerous substances
such as chemicals and petroleum products. These engineering and management skills
exceed those required for managing workplace safety as it impacts people, property and the
environment.
PSM is a major issue for the industry, with many organisations looking to adopt a
more holistic and systematic approach to assuring the integrity of their operations. Center for
Chemical Process Safety (CCPS) Guidelines for risk based process safety (RBPS) provides such
a high-level framework: this and other models are being adopted by some organisations (e.g.
PAS 55 and ISO 9001). In addition, PSM may be influenced by legislative requirements (e.g. in
the UK The Offshore Installations (Safety Case) Regulations (OSCR) and The Control of Major
Accident Hazards (COMAH) Regulations).
Whereas many of the larger organisations have been working on these approaches
for a number of years, with significant dedicated resources and varying degrees of success,
others and many of the smaller organisations are looking for consistent guidance as they look
to achieve efficient development and implementation approaches to achieve effective PSM.
One of the first questions asked by many senior executive teams is: how are other people in
similar industries addressing this issue?
The objective of EI High level framework for process safety management (EI PSM
framework) is to provide a simple and systematic approach for organisations large and small
across the energy industry, defining the key things organisations need to get right in order
to assure the integrity of their operations incorporating technical, maintenance, operational,
and human and organisational factors.
EI PSM framework should be applicable to both large and small organisations;
however, the depth of application will vary in order to be applicable to the scope and
complexity of their operations.
1.1 Development approach
EI High level framework for process safety management has been developed by the energy
industry for use by energy industry sectors, capturing and incorporating learnings from people
with practical experience of developing and implementing PSM as part of an integrated
management system (MS).
Two facilitated workshop sessions were held to develop EI PSM framework: an initial
session to explore the need for a framework and what a high-level framework for process
safety management for energy industry sectors in the UK (and EU) should look like. A second
workshop was held to develop EI PSM framework following review of the output of the first
workshop by the PSC and the sanctioning of the framework development as part of the EI's
Technical Work Programme.
The workshop participants were process safety specialists from the various energy
industry sectors who have either implemented a process safety model (whether CCPS RBPS
or another) and had some experience to report, or who were at a lower level of maturity such
that they are considering implementing a process safety model.

There were some 20 participants in each of the workshops. Delegates were by
invitation only and were drawn from:
−− EI PSC members (or colleagues).
−− EI Technical Partner companies via other EI committees.
−− EI Technical company members and selected EI member companies.
−− Various stakeholders (e.g. IChemE Safety and Loss Prevention Subject Group,
European Process Safety Centre (EPSC), British Chemical Engineering Contractors
Association (BCECA), Association of Electricity Producers (AEP), Health and Safety
Executive (HSE), etc).
The first workshop participants supported the need for a PSM framework and identified the
following objectives for it:
−− provide a vision for PSM;
−− define a model for and raise profile of PSM within an organisation;
−− define what needs to be in place to maintain a licence to operate;
−− help to define roles, responsibilities and accountabilities for PSM;
−− easy to understand how to achieve suitable PSM, and
−− provide guidance on how to assure high level of PSM.
A report of this workshop was published as EI Technical workshop proceedings: Initial report
– Framework for high-level process safety management, March 2010.
The second workshop reviewed a draft 'strawman' PSM framework that was
developed ahead of the workshop by a PSC sub-group. The updated draft PSM framework
generated during the second workshop was reviewed by stakeholders in a consultation
exercise, further updated to incorporate pertinent feedback, and approved by the PSC with
this publication (EI PSM framework) as its deliverable.
1.2 Scope and application
EI PSM framework is intended to be applicable worldwide, to all sectors of the energy industry
such as petroleum, power, and kindred industries like chemicals. It is designed to address
process safety hazards and to be equally suitable for major processing, production and
operational facilities through to smaller operations, which may not incorporate processing,
such as private power distribution networks, smaller storage facilities and filling stations.
EI PSM framework is not designed to replace existing process safety or health, safety
and environmental management systems (HS&EMSs). It sets out what should be covered
by an existing MS and as such provides a benchmark for good practice. In cases where an
organisation does not have a process safety management system (PSMS) EI PSM framework
provides a design basis for its development. It is also intended to provide a common basis for
the benchmarking of PSMSs.
Where an organisation has a PSMS or an integrated MS incorporating HS&E and PSM
they should carry out a gap assessment versus the expectations of each element in order to
identify any aspects of the system that need to be enhanced.
The gap assessment should be carried out by element with assigned resources, with
appropriate current understanding of the specific subject area being covered. It may be
advantageous to appoint an overall coordinator to assure consistency and delivery of the
overall assessment.
The initial assessment should look at each expectation and for each one identify:
−− how this is achieved;
−− who is responsible for doing it;
−− who is accountable for ensuring that this is done;
−− any gaps or deficiencies versus the expectations, and
−− what needs to be done to address or close the gap.
When the initial assessment has been completed, the significance of the gaps should be
determined and a prioritised plan should be developed to address the identified issues. In
some cases there may be a significant programme of work required to upgrade the MS to meet
the EI PSM framework expectations. In these cases it should be recognised that this upgrade
work may go on over many months or even years; if this is the case, it may be appropriate to
assign a project manager to apply appropriate project management approaches to see the
work through to completion.
EI PSM framework also provides a basis for periodic audit to assure compliance. The
gap assessment and audit should always be carried out on the basis of evidence rather than
opinion to confirm compliance, in all cases asking to be shown evidence that something is
being carried out in the way that has been described.
2 OUTLINE OF EI HIGH LEVEL FRAMEWORK FOR PROCESS

SAFETY MANAGEMENT
The challenge for the process industry is often clearly set out in three statements by chief
executives as: ensure we don't hurt anyone; ensure we don't harm the environment; and
achieve a certain level of return on capital employed (ROCE).
Typically organisations are very clear about what they need to do to deliver ROCE
– maximise income and optimise operating expenditure – typically they are clear about the
things they need to get right to ensure that these outcomes are as they require. However,
with the safety and environmental targets, quite often things are not so clearly understood.
Generally there are good lagging indicators, telling organisations how many incidents or
injuries they have had; however, very rarely are there comprehensive leading indicators
systematically measuring the factors that determine how likely things are to go wrong and
consequently how likely they are to have an incident or injury in the future. All too often
when asked how they will achieve their safety and environmental targets and how they will
know whether those things are being done, the answers are inconsistent.
EI PSM framework sets out clearly what needs to be done to assure the integrity of
the operation and helps to define what measures should be in place to know whether those
things are being done.
It consists of three levels:
Focus areas These set out the key high level components of the PSM
framework.
Elements Within each of the focus areas are a number of elements which set
out the key aspects of the operation that organisations need to get
right in order to assure their integrity.
Expectations Within each of the elements the expectations define what
organisations need to get right in order to meet the intent of each
element.
2.1 PSM Focus areas
There are four focus areas defining the key high level components of EI PSM framework, as
described in 2.1.1‑2.1.4.
2.1.1 Process safety leadership
This focus area sets out how organisations should define and communicate the level of
performance they are prepared to accept and how they should ensure that they put in place
the necessary resources to achieve the required level of performance.
2.1.2 Risk identification and assessment
This focus area sets out how organisations should identify and assess the risks that they need
to manage in order to assure the integrity of their operations, how they identify the necessary
control measures and how they should record and maintain the process safety knowledge
developed from these risk identification and assessment activities.
2.1.3 Risk management
This focus area sets out how organisations should implement and manage the control
measures that have been identified during their risk identification and assessment activities.
2.1.4 Review and improvement
This focus area sets out how organisations should measure and review their compliance with
the EI PSM framework expectations and how they should ensure that they learn from these
measurements and the findings from investigations.
2.2 PSM elements
Within each of the focus areas are a number of elements, 20 in total, which set out the key
aspects of operations that organisations need to get right in order to assure the integrity of the
operations. Each element contains a number of expectations which set out a more detailed
definition of what they need to get right in order to meet the intent of each element.
2.2.1 Process safety leadership
There are five elements within the process safety leadership focus area that set out how
organisations should define and communicate the level of performance they are prepared to
accept and how they should ensure that they put in place the necessary resources to achieve
the required level of performance:
1. Leadership commitment and responsibility.
2. Identification and compliance with legislation and industry standards.
3. Employee selection, placement and competency, and health assurance.
4. Workforce involvement.
5. Communication with stakeholders.
2.2.2 Risk identification and assessment
There are two elements within the risk identification and assessment focus area that set out
what organisations should ensure is done to identify and assess the risks that they need to
manage in order to assure the integrity of their operations, how they should identify the
necessary control measures and how they should record and maintain the process safety
knowledge developed from these risk identification and assessment activities:
6. Hazard identification and risk assessment.
7. Documentation, records and knowledge management.
2.2.3 Risk management
There are 11 elements within the risk management focus area that set out the key areas of
risk and how organisations should implement and manage the control measures that have
been identified during their risk identification and assessment activities:
8. Operating manuals and procedures.
9. Process and operational status monitoring, and handover.
10. Management of operational interfaces.
11. Standards and practices.

12. Management of change and project management.
13. Operational readiness and process start-up.
14. Emergency preparedness.
15. Inspection and maintenance.
16. Management of safety critical devices.
17. Work control, permit to work and task risk management.
18. Contractor and supplier, selection and management.
2.2.4 Review and improvement
There are two elements within the review and improvement focus area that set out how
organisations should measure and review their compliance with the expectations of EI PSM
framework and how they should ensure that they learn from these measurements and the
findings from investigations:
19. Incident reporting and investigation.
20. Audit, assurance, management review and intervention.
2.3 PSM expectations
There follow the expectations for each element. Each commences with an overview and
contains a number of expectations which set out a more detailed definition of what
organisations need to get right in order to meet the intent of each element.
ELEMENT 1 LEADERSHIP, COMMITMENT AND RESPONSIBILITY
Overview Assurance of the integrity of an organisation's operations requires visible

leadership commitment and accountability at all levels of the organisation.
Management must establish HS&E and process safety policy, provide
perspective, set HS&E and process safety performance targets and provide
the structure and resources to achieve them.
1.1 A documented HS&E and process safety policy is in place and signed by the
chief executive officer (CEO) or the appropriate unit managing director (MD).
These are living systems which are regularly reviewed and updated to reflect
the needs of the organisation.
1.2 HS&E and process safety governance and support arrangements are defined
and implemented at all levels from the board through to the workforce.
1.3 An HS&E and process safety risk MS is in place which meets applicable
legislation, the EI PSM framework expectations and other requirements to
which the organisation subscribes with regard to its HS&E and process safety
activities.
1.4 Management establishes the scope, priority and pace for the HS&E and
process safety risk MS implementation, considering the complexity and risks
involved with their operations and products.
1.5 Roles, responsibilities, authorities and accountabilities for the management

of HS&E and process safety are known and exercised.
1.6 Sufficient competent resources are in place to cover the defined HS&E and
process safety roles and responsibilities, in order to reduce the likelihood of
overloaded or stressed staff having a detrimental effect which could lead to
an incident.
1.7 Clear HS&E and process safety objectives, performance targets and action
plans are established and performance is regularly evaluated against these.
1.8 Required HS&E and process safety leadership attributes are defined, developed
and integrated into the required competencies for leaders.
1.9 Directors and managers visibly demonstrate personal commitment and

accountability for HS&E and process safety, leading by example and upholding
core values and standards of the organisation.
1.10 Directors and managers promote an open and trusting environment and
understand how their behaviours impact others.
1.11 Directors and managers maintain an understanding of what is happening in

the workplace in order to identify and address key HS&E and process safety
issues and improvement opportunities.
1.12 Directors and managers recognise and reward positive HS&E and process
safety behaviours and performance and intervene to correct deviations from
required performance at all levels in the organisation.
1.13 Managers responsible for organisations operated by others communicate

PSM principles to the operator and encourage the adoption of the EI PSM
framework.
1.14 Arrangements for leadership, commitment and responsibility are understood

and followed; understanding of arrangements and compliance with them is
regularly tested.
1.15 Compliance and performance trends are reviewed by specified levels of

management.
ELEMENT 2 IDENTIFICATION AND COMPLIANCE WITH LEGISLATION AND INDUSTRY

STANDARDS
Overview Compliance with legislation is a fundamental requirement for organisations.

Management must ensure that the requirements of applicable legislation are
identified, understood and complied with.
2.1 Requirements of current and forthcoming, applicable legislation, regulations,

licences, permits, codes, standards, practices and other governmental
requirements are identified, documented and kept current.
2.2 The operating requirements arising from legislation and industry standards
are defined, documented and communicated to those affected.
2.3 Compliance with legislation and industry standards is systematically verified.
2.4 Arrangements for identification and compliance with legislation and industry
standards are understood and followed; understanding of arrangements and
compliance with them is regularly tested.

management.
Element 3 Employee selection, placement and competency, and health

assurance
Overview Control of operations depends upon having competent people in position.

Management must ensure that existing and new personnel have the required
competencies and are fit for work.
3.1 The required HS&E and process safety competencies and fitness for work and
health monitoring requirements are defined for all roles in the organisation.
These competencies address EI PSM framework expectations.
3.2 A process is in place for screening, selection and placement of employees

which confirms their compliance with the specified requirements for the
role.
3.3 Individual and collective experience and knowledge are maintained and are
carefully considered when personnel changes are made.
3.4 Roles and responsibilities are realistically designed to take account of human
capabilities and limitations and other key human and organisational factors.
3.5 Appropriate induction is carried out for personnel taking up a new or revised
position.
3.6 A staffing development and succession plan is in place for all positions with
PSM responsibility.
3.7 The organisational structure, and continuity of PSM critical positions, is

reviewed annually to ensure that it is adequate to meet the EI PSM framework
expectations.
3.8 Employee competency and fitness for work are regularly assessed against
requirements of their assigned role and responsibilities.
3.9 Employee training and development needs are identified through a systematic
process.
3.10 Systematic and effective training and development programmes ensure that
each person is competent to understand and accept and deliver against the
defined HS&E and process safety responsibilities for their role.
3.11 Training and development programmes are a combination of formal courses,

coaching and practical work.
3.12 Training and development programmes are formally reviewed to assess

their effectiveness and identify issues which need to be addressed and
improvement opportunities.
3.13 Arrangements for employee selection, placement and competency, and health
assurance are understood and followed; understanding of arrangements and
compliance with them is regularly tested.

management.
10
Element 4 Workforce involvement
Overview Achieving the high levels of HS&E and process safety performance requires
the commitment of the whole workforce.
Management must align, involve and empower the whole workforce, in the
identification and management of HS&E and process safety hazards.
4.1 Directors and managers promote an open and trusting environment and
understand how their behaviours impact others.
4.2 Employees and contractors are actively engaged in the improvement of HS&E
and process safety performance and have an understanding of process safety
hazards, their identification and management/control.
4.3 Directors and managers engage employees and contractors in two-way

communication regarding HS&E and process safety policies, objectives,
performance targets, action plans and sharing of lessons learned from inside
and outside the organisation.
4.4 Systematic HS&E and process safety promotion and engagement

programmes are in place to continually increase awareness of employees and
contractors with regard to HS&E and process safety issues, and contribute
to the promotion of a culture of openness, transparency, belief, motivation,
individual responsibility, participation and commitment.
4.5 Arrangements for workforce involvement are understood and followed;

understanding of arrangements and compliance with them is regularly
tested.

management.
11
Element 5 Communication with stakeholders
Overview Establishing and maintaining stakeholders' confidence is a key factor in

maintaining an organisation's licence to operate.
Management must identify key stakeholder groups and develop and maintain
a good working relationship with them, understanding and addressing their
issues and concerns.
5.1 A defined communications system supports the organisation to identify,

develop and maintain a good working relationship with the statutory and
non-statutory stakeholders about its activities, including emergency response
communications.
5.2 Organisations ensure and demonstrate that the consultation process with
statutory and non-statutory stakeholders is appropriate and proportionate,
and follows a defined process.
5.3 Appropriate HS&E and process safety information is published in the public
domain to demonstrate the organisation's commitment to continually
improving its performance.
5.4 Effectiveness of programmes for communication with stakeholders is regularly

reviewed by specified levels of management.
5.5 Arrangements for communication with stakeholders are understood and

followed; understanding of arrangements and compliance with them is
regularly tested.

management.
12
Element 6 Hazard identification and risk assessment
Overview A fundamental requirement of any HS&E and process safety management

system is the identification and assessment of risk.
Management must ensure that a comprehensive risk assessment process
systematically identifies, assesses and appropriately manages the risks arising
from the organisation's operations.
6.1 A structured process is applied to identify the hazards and ensure that the
risks arising from the organisation's assets and operations are systematically
assessed.
6.2 Risk control measures are identified and implemented, using the hierarchy of
control, to manage the identified risks to a tolerable level.
6.3 The tolerable level of risk is defined for all risks (to human health & safety,
environmental impact, property and financial loss) and is consistently
understood and applied throughout the organisation.
6.4 Risk assessments are conducted for:

−− ongoing operations;
−− hazardous materials;
−− new projects;
−− products and services, and
−− all changes.
6.5 Risk assessments consider risk to:

−− health and safety of employees, contractors and members of the
public;
−− process safety;
−− environment;
−− reputation;
−− asset integrity;
−− business interruption;
−− security;
−− third party assets, and
−− customers.
6.6 Risk assessments consider human and organisational factors.
6.7 Risk assessments are carried out by competent personnel with appropriate
independence.
6.8 Risk assessments take into account learnings from incidents from both inside
and outside the organisation.
6.9 Completed risk assessments are reviewed, approved and accepted by specific
levels of management appropriate to the magnitude of the risk and any
decisions are clearly documented.
6.10 All stakeholders are kept informed about the risk assessment process and
results.
13
6.11 The status of risk control measures is reviewed at regular intervals by

specified levels of management to ensure risk assessment recommendations
are resolved in a timely manner.
6.12 The implementation of mitigation recommendations for the top HS&E and
process safety risks is reviewed regularly by specified levels of management.
6.13 Risk assessments are updated as changes occur and reviewed and updated
at a defined appropriate frequency.
6.14 Arrangements for hazard identification and risk assessment are understood
regularly tested.

management.
14
Element 7 Documentation, records and knowledge management
Overview Accurate records and information are essential to identify, assess and manage
HS&E and process safety risk.
Management must ensure that the information required to support safe
operation is identified, available and up to date.
7.1 There are procedures to define, develop and maintain the required
documentation and records necessary to support robust operation and
maintenance of facilities.
7.2 Documentation and records are readily available to those who need to use
them.
7.3 Documentation and records including those kept electronically are

appropriately safeguarded.
7.4 There are procedures to ensure that documentation and records are regularly
reviewed and kept up to date as living systems.
7.5 A retention policy is defined for all documentation and records.
7.6 The required documentation and records include those generated to meet
the requirements of all other EI PSM framework expectations, such as:
−− process design considerations and basis for safe operation;
−− drawings;
−− asset register;
−− equipment records (inspection, testing, maintenance and
modification);
−− equipment specification data;
−− workplace inspection records;
−− work logs;
−− training and competency records;
−− incident investigation reports;
−− occupational health records;
−− operating procedures;
−− environmental authorisations;
−− planning consents;
−− relevant legislation;
−− risk assessments;
−− standards and practices;
−− hazards of materials involved in operations, and
−− product data sheets.
7.7 Arrangements for documentation, records and knowledge management are

understood and followed; understanding of arrangements and compliance
with them is regularly tested.

management.
15
Element 8 Operating manuals and procedures
Overview Operation of facilities within established parameters and according to

legislation is an essential aspect of HS&E and process safety.
Management must ensure that the operating manuals and procedures
required to support operations are identified, available, accurate, up to date,
understood and used.
8.1 Approved operating manuals and procedures are identified, available,

accurate, up-to-date, understood and used, and are commensurate with the
operational risk, and include human factors considerations.
8.2 Operating manuals are designed to maximise usability and minimise the
likelihood of error and non-compliance.
8.3 Operating manuals and procedures should provide:

−− a clear safe operating envelope (SOE);
−− the steps required to prevent an excursion outside the SOE, and
−− clear instructions on actions to be taken if an excursion outside the
SOE occurs.
8.4 Operating manuals and procedures are regularly reviewed and updated;
these reviews involve supervisors and personnel who are required to use
them.
8.5 Arrangements for operating manuals and procedures are understood and
regularly tested.

management.
16
Element 9 Process and operational status monitoring, and handover
Overview Comprehensive process and operational status monitoring and effective

handover between work groups is essential to assure the continued integrity
of the organisation's operations.
Management must ensure that the process and operational status monitoring,
and handover requirements are defined, understood and carried out.
9.1 SOLs are defined for all assets, commensurate with risk.
9.2 There are procedures to ensure that SOLs are regularly reviewed and kept up
to date as living systems.
9.3 Operating parameters are systematically monitored vs. SOLs.
9.4 Excursions beyond SOE are identified and followed up.
9.5 Arrangement for SOLs and their significance are understood and monitoring
requirements are followed; understanding of arrangements and compliance
9.6 Handover arrangements are defined, understood and implemented

commensurate with risk, covering handovers such as:
−− operational and maintenance shift handover;
−− successive work groups, and
−− job positions (one to another).
9.7 Arrangements for process and operational status monitoring, and handover
are understood and followed; understanding of arrangements and compliance

management.
17
Element 10 Management of operational interfaces
Overview Operational interfaces with third parties, who provide or receive services,
utilities, or products may impact the organisation’s operations.
Management must ensure that operational interfaces with third parties are
identified, assessed and appropriately managed.
10.1 Operational interfaces with third parties are identified, documented and risk
assessed.
10.2 Management arrangements are established proportionate to the risk

associated with failure of the operational interface.
10.3 Arrangements for management of operational interfaces are understood

regularly tested.

management.
18
Element 11 Standards and practices
Overview HS&E and process safety performance is enhanced by using robust standards
and safe working practices.
Management must ensure that the required standards and safe working
practices, to support project, maintenance and operational activities, are
identified, developed and consistently applied.
11.1 Design, inspection and maintenance standards are defined, which bring
together legislative requirements, industry standards and the organisation's
good practices into a clear set of guidelines to be used when developing
projects, inspection and maintenance plans.
11.2 Safe working practices are defined, which bring together legislative
requirements, industry and the organisation's good practices into a clear
set of guidelines to be used when developing construction, inspection and
maintenance plans and method statements, and for operational activities.
11.3 Standards and practices:

−− meet or exceed applicable legislative requirements;
−− embody responsible requirements where legislation does not exist,
and
−− address other important considerations including human factors.
11.4 Approved standards and practices are reviewed, to take into account
changes to legislation, industry standards, industry and the organisation's
good practices and findings from incidents, and are regularly reviewed and
kept up to date as living systems.
11.5 Approved standards and practices are readily available to those who need
them, including contractors.
11.6 Authority to approve standards and practices is formally assigned to specific

named competent individuals.
11.7 Deviation from design standards is permitted only after assessment, review
and approval by specific named competent individuals and after the rationale
for the decision is documented.
11.8 Procedures are in place to routinely monitor to ensure that facilities

and materials received meet design standards and that construction is in
accordance with applicable design standards and safe working practices.
11.9 When a new or updated standard or practice is issued, the requirements for
retrospective application are defined.
11.10 Arrangements for standards and practices are understood and followed;
tested.

management.
19
Element 12 Management of change and project management
Overview The introduction of any form of change into an organisation, if not

appropriately managed, can significantly increase the levels of HS&E and
process safety risk.
Management must ensure that risks arising from any form of change are
systematically identified, assessed and managed.
12.1 A process is in place which systematically identifies, assesses and manages

the risks arising from both temporary and permanent changes.
12.2 The processes for managing change address:

−− authority for approval of changes;
−− compliance with legislation and approved standards;
−− acquisition of needed permits;
−− documentation, including reason and technical basis for change;
−− communication of risks associated with the change, and
−− mitigation measures, such as: time limitation; training.
12.3 Management of change addresses changes to:

−− assets or equipment;
−− operations or operating procedures;
−− products, materials or substances;
−− organisation or personnel;
−− software or control systems;
−− designs or specifications;
−− standards or practices, and
−− inspection, maintenance or testing programmes.
12.4 Management of change considers impacts to:

−− health and safety (including process safety);
−− environment;
−− reputation;
−− security;
−− third party assets, and
−− business interruption.
12.5 Management of change considers human and organisational factors.
12.6 Temporary changes do not exceed initial authorisation for scope or time
without review and approval.
12.7 Changes are approved by specified named competent individuals

commensurate with the risk associated with the proposed change.
12.8 Pertinent records covering all changes are maintained.
12.9 Project management procedures are documented, well understood, readily

available to those who need to use them (including contractors) and executed
by qualified personnel.
20
12.10 Key stages in the project development lifecycle are reviewed and approved
by specified level of management with due consideration of PSM practices.
12.11 Criteria are established and procedures are in place for conducting and
documenting risk assessments at specific project stages to confirm the
integrity of new assets and existing assets which have been substantially
modified.
12.12 HS&E and process safety impacts of new business development on the local
community are assessed and communicated to relevant authorities and
integrated into the business case.
12.13 The design and construction of new or modified facilities use approved
standards and practices that:
−− meet or exceed applicable regulatory requirements;
−− embody responsible requirements where legislation does not exist,
and
−− encompass robust PSM practices.
12.14 A pre-commissioning review is performed and documented to confirm that:

−− construction is in accordance with specifications;
−− EI PSM framework measures are in place;
−− risk management recommendations have been addressed and
required actions taken;
−− regulatory and permit requirements are met;
−− emergency, operations and maintenance procedures are in place and
adequate;
−− required training of personnel and communication related to PSM
aspects has been accomplished, and
−− necessary project documentation (safety file) is readily available to
those who need to use it.
12.15 Procedures are in place to identify and manage the HS&E and process safety
risks arising from the mothballing and decommissioning or disposal of assets
including dismantling, demolition and site remediation.
12.16 Arrangements for management of change and project management are


management.
21
Element 13 Operational readiness and process start-up
Overview The commissioning and start-up of new, modified or existing plant and
equipment is a high risk operation.
Management must ensure that there is a systematic process to verify that plant
and equipment is in a safe condition, and that personnel are appropriately
prepared, before start-up or return to normal operation.
13.1 There is a systematic process for checking operational readiness and the
integrity of systems before they are brought into service.
13.2 The checking process addresses:

−− new or modified plant and equipment;
−− return from maintenance, and
−− restart following system or full plant trip or planned shutdown.
13.3 There are defined criteria for operational readiness reviews and they are
regularly reviewed and updated.
13.4 The criteria cover:

−− hardware;
−− control system and software;
−− human and organisational factors;
−− operating procedures, and
−− documentation.
13.5 System checks are carried out and documented by competent personnel.
13.6 There are defined criteria for categorising and handling identified issues and
outstanding work items.
13.7 Completed system checks are reviewed, approved and accepted by specific
levels of management appropriate to the magnitude of the risk.
13.8 Commissioning and start-up procedures have defined stages, hold/check

points and progression criteria and review authorities.
13.9 Arrangements for operational readiness and process start-up are understood
regularly tested.

management.
22
Element 14 Emergency preparedness
Overview The consequences of an incident can be significantly reduced if the organisation

is appropriately prepared to handle potential emergency situations.
Management must ensure that, in the event of an incident, the organisation
is appropriately prepared for all necessary actions which may be required for
the protection of: the public; the organisation's and contractors’ personnel;
the environment; plant and equipment, and the organisation's reputation.
14.1 Required emergency procedures are identified commensurate with identified

credible emergency scenarios.
14.2 Effective emergency plans, including and involving external emergency

services and general public, are in place.
14.3 Emergency response plans (ERPs) are documented, accessible and clearly
communicated. The plans based on assessed HS&E and process safety risks
cover:
−− response organisation structure;
−− defined roles and responsibilities;
−− internal and external communication procedures;
−− procedures for accessing and mobilising personnel and equipment;
−− procedures for interfacing with other organisations and external
emergency response organisations;
−− public relations, and
−− recovery and remediation.
14.4 There are arrangements to ensure that specified levels of management

regularly review ERPs, using findings from drills and incidents to identify and
address issues and opportunities for improvement, so that they are kept up
14.5 Equipment and facilities needed for emergency response are defined and
readily available and maintained.
14.6 Adequate numbers of competent personnel are available to fulfil the defined
roles in the emergency plans.
14.7 Mutual aid schemes involving relevant third parties and external emergency
services are established and agreed as appropriate.
14.8 A regular programme of drills involving internal and external resources is used
to exercise, develop and improve capabilities for a range of emergencies.
14.9 Arrangements for emergency preparedness are understood and followed;

tested.

management.
23
Element 15 Inspection and maintenance
Overview Maintaining the integrity of plant and equipment is an essential requirement

for HS&E and process safety.
Management must ensure that the necessary inspection and maintenance
requirements are identified and carried out to reduce the likelihood of a
significant incident as a result of failure of plant or equipment.
15.1 Assets are uniquely identified on an asset register which provides up-to-
date asset lists and equipment records, including location and equipment
specification data. The asset register provides a basis for inspection and
maintenance planning.
15.2 The asset inspection and maintenance programmes are risk based and
address and integrate long term asset integrity, HS&E and process safety
compliance assurance.
15.3 There are procedures to ensure that asset inspection and maintenance
programmes are reviewed regularly commensurate with risk, using findings
from the programmes, industry experience and incidents to identify and
15.4 Feasible plans and schedules are developed for execution of asset inspection
and maintenance programmes.
15.5 Adequate numbers of competent personnel are available to carry out the
inspection and maintenance programmes.
15.6 There are procedures to ensure that findings and recommendations from the
asset inspection and maintenance programmes are appropriately prioritised
and followed up.
15.7 Inspection and maintenance programmes are approved by specific named

competent individuals.
15.8 Deviations from approved inspection and maintenance programmes are

approved by specified named competent individuals commensurate with the
risk.
15.9 Arrangements for inspection and maintenance programmes are understood

regularly tested.

management.
24
Element 16 Management of safety critical devices
Overview An essential requirement for HS&E and process safety is that safety critical
equipment and devices (SCDs) are in service and operating correctly.
Management must ensure that safety critical equipment and devices
are identified and appropriately managed, so that they are in service and
functioning correctly.
16.1 SCDs are uniquely identified on an asset register which provides up-to-
date asset lists and equipment records, including location and equipment
specification data. The asset register provides a basis for the planning of SCD
testing, inspection and maintenance.
16.2 SCD testing, inspection and maintenance programmes are in place. There
are defined standards and the programmes are proportionate to the risk
associated with failure of the SCDs.
16.3 There are procedures to ensure that SCD testing, inspection and maintenance
programmes are reviewed regularly commensurate with risk, using findings
from the programme, industry experience and incidents to identify and
16.4 Feasible plans and schedules are developed for execution of testing, inspection
and maintenance programmes.
testing, inspection and maintenance programmes.
16.6 There are procedures to ensure that findings and recommendations from
the SCD testing, inspection and maintenance programmes are appropriately
prioritised and followed up.
16.7 There are procedures to ensure that temporary disarming or deactivation

of critical alarm, control, shutdown, security and emergency response
equipment is managed and recorded.
16.8 SCD testing, inspection and maintenance programmes are approved by

specified named competent individuals.
16.9 Disarming, deactivation or by-passing of SCDs is reviewed and approved by

specified named competent individuals commensurate with the risk.
16.10 Arrangements for management of SCDs are understood and followed;

tested.

management.
25
Element 17 Work control, permit-to-work and task risk management
Overview The execution of maintenance and project work activities, if not appropriately
managed, can significantly increase the levels of HS&E and process safety
risk.
Management must ensure that effective work control, permit to work and
task risk management arrangements are in place, and followed, to control
the risks arising from work activities.
17.1 Appropriate work control and permit-to-work arrangements, proportionate

to the risk, are employed to assure the safety of personnel, plant, process
and the integrity of the asset during work activities.
17.2 Key stages in the work control arrangements are reviewed and approved by
specified levels of management.
17.3 Permit-to-work systems, proportionate to the risk, are employed to ensure

both the safety of personnel and the integrity of the asset during maintenance
or project work activities.
17.4 There are procedures that ensure that HS&E and process safety risks arising
from work tasks are systematically identified and assessed, before work starts
and as circumstances change and where new risks arise during execution of
work.
17.5 Risk control measures are identified and implemented to manage the
identified risks to a tolerable level.
17.6 Task risk assessments consider risk to:

−− health and safety of employees, contractors and members of the
public;
−− process safety;
−− environment;
−− reputation, and
17.7 Completed task risk assessments are reviewed and approved by specified
named competent individuals appropriate to the magnitude of the risk and
any decisions are clearly documented.
17.8 All of the workgroup are made aware of task risk assessments and required
control measures, process and results.
17.9 Adequate numbers of competent personnel are available to carry out

the required work control, permit-to-work and task risk management
arrangements.
17.10 Arrangements for work control, permit-to-work and task risk management are

management.
26
Element 18 Contractor and supplier, selection and management
Overview Third parties doing work on the organisation's behalf may impact its
operations and its reputation.
Management must ensure that third parties perform in a manner that is
consistent and compatible with the organisation's HS&E and process safety
requirements.
18.1 There is a process to ensure that third party services are evaluated and
selected against criteria that include an assessment of capabilities to perform
work in a robust manner and meet the organisation's HS&E and process
safety performance expectations.
18.2 HS&E and process safety performance evaluation criteria are defined for third
parties. Contractor and supplier compliance with legislation is a minimum
requirement. The evaluation criteria are aligned to the EI PSM framework
expectations.
18.3 All contractors are inducted and appropriately informed/trained on relevant

organisation procedures and practices, and the specific hazards associated
with any work they undertake. Impacted organisation personnel are briefed
on and understand the risks arising from the contractors' activities and the
necessary support or control measures. Specific focus is given to emergency
procedures.
18.4 Effective organisational, communication and control arrangements are in

place between organisation personnel and contractor personnel to manage
the risks effectively.
18.5 Third party performance (in particular against required performance criteria)
is routinely monitored and assessed, feedback is provided, and non-
conformities are corrected.
required contractor and supplier, selection and management arrangements.
18.7 Arrangements for contractor and supplier, selection and management are

management.
27
Element 19 Incident reporting and investigation
Overview An essential aspect of HS&E and process safety performance improvement

is learning from incidents and ‘near hits’ and taking appropriate action to
prevent their recurrence.
Management must ensure that incidents and ‘near hits’ are consistently
reported and investigated and that identified actions and learnings are
implemented on a timely basis.
19.1 A system is in place for incident reporting, investigation, follow-up and

capturing lessons learned from incidents and near hits including:
−− injury to people;
−− work causal ill health;
−− environment incidents;
−− damage to assets;
−− loss of process containment;
−− energy release;
−− demands on SCDs, and
19.2 The reporting of incidents and near hits by all personnel including contractors
and suppliers is obligatory.
19.3 Incidents and near hits are classified and investigated on the basis of actual
and potential outcome.
19.4 Incidents and near hits are investigated on a timely basis.
19.5 Investigations identify root causes, including human and organisational

factors, and recommendations to address them are identified.
19.6 Effective arrangements are in place to ensure that incidents or near hits
are appropriately investigated when they involve contractor or supplier
personnel.
19.7 There are processes in place to learn from relevant incidents and near hits,
and good practices in other organisations and sectors.
required investigation arrangements.
19.9 Completed investigations are reviewed and approved by specific levels of

management appropriate to the classification of the incident.
19.10 Where appropriate and recognising legal and security constraints all
stakeholders are kept informed about the findings and recommendations
from investigations.
19.11 Recommendations are tracked to completion.
19.12 Senior management periodically reviews the effectiveness of corrective and

preventative actions.
28
19.13 Arrangements for incident reporting and investigation are understood and
regularly tested.
19.14 Compliance, HS&E and process safety incident statistics and performance
trends are reviewed by specified levels of management.
29
Element 20 Audit, assurance, management review and intervention
Overview Regular review and audit of compliance with the EI PSM framework is vital
to ensure that HS&E and process safety performance continues to meet the
defined targets.
Management must ensure that there is both routine review and independent
audit of compliance with EI PSM framework expectations.
20.1 EI PSM framework performance measures are established to monitor the

degree to which the EI PSM framework expectations are being complied
with.
20.2 The organisation's operations are routinely monitored, incorporating the PSM
performance measures, and reviewed, by specified levels of management, at
predetermined frequencies.
20.3 The EI PSM framework expectations are reviewed annually and updated
as necessary to ensure that they continue to meet the needs of the
organisation.
20.4 Audit criteria are defined to provide a consistent basis for audit and a
consistent basis for development of the audit opinion.
20.5 A routine internal (2nd party) audit programme is in place with audits carried
out by personnel from the organisation. The audit assesses compliance with
the EI PSM framework expectations and the effectiveness of the management
review arrangements.
20.6 A routine external (3rd party) audit programme is in place with audits
carried out by personnel independent of the organisation. The external audit
assesses and provides an independent opinion on compliance with the EI
PSM framework expectations and the effectiveness of the management
review arrangements.
20.7 Assessments are conducted by trained, competent multidisciplinary teams,

including HS&E and process safety professionals and personnel with
operational and technical expertise.
20.8 The frequency and scope of the assessments will reflect the complexity of
the operation, the level of risk and previous EI PSM framework compliance
history.
20.9 Audit opinion and findings from the EI PSM framework audits are reviewed
with specified levels of management.
20.10 The effectiveness of the EI PSM framework audit arrangements is periodically

reviewed and the findings are used to make improvements.
20.11 Necessary interventions to correct identified issues, non compliances and

deviations in performance, beyond defined tolerance levels, are identified,
appropriately prioritised, scheduled and tracked to completion.
30
20.12 Arrangements for audit, assurance, management review and intervention are

management.
31
ANNEX A
GLOSSARY
A.1 INTRODUCTION
For the purpose of this publication the interpretations in A.2 apply irrespective of the meaning
they may have in other connections.
A.2 GLOSSARY OF ABBREVIATIONS
AEP Association of Electricity Producers

BCECA British Chemical Engineering Contractors Association
CCPS Center for Chemical Process Safety
CEO chief executive officer
COMAH The Control of Major Accident Hazards [Regulations]
CSR corporate social responsibility
EI Energy Institute
EPSC European Process Safety Centre
ERP emergency response plan
EU European Union
HASAWA Health and Safety at Work etc Act
HSE Health and Safety Executive
HS&E health, safety and environment
HS&EMS health, safety and environmental management system
IChemE Institution of Chemical Engineers
ISRS International Safety Rating System
JV joint venture
MD managing director
MS management system
OHSAS Occupational Health and Safety Management System
OSCR The Offshore Installations (Safety Case) Regulations
PSC Process Safety Committee
PSM process safety management
[EI] PSM framework [EI] High level framework for process safety management
PSMS process safety management system
[CCPS] RBPS [CCPS] Guidelines for risk based process safety
ROCE return on capital employed
SCD safety critical equipment and device
SOE safe operating envelope
SOL safe operating limit
UK United Kingdom
32
ANNEX B
REFERENCES
Center for Chemical Process Safety (CCPS) www.aiche.org/ccps
Guidelines for risk based process safety (RBPS) (April 2007).
British Standards Institution (BSI) www.bsi-global.com
PAS 55 Asset management (2008).

OHSAS 18001 Occupational health and safety management systems. Requirements (July 2007).
Energy Institute (EI) www.energyinst.org
Technical workshop proceedings: Initial report – Framework for high-level process safety
management (March 2010).
International Organization for Standardization (ISO) www.iso.ch
ISO 9001 Quality management systems - Requirements (2008).
Office of Public Sector Information (OPSI) www.opsi.gov.uk
Health and Safety at Work etc Act 1974 (HASAWA).

The Control of Major Accident Hazard Regulations 1999 (SI 1999/743) (as amended)
(COMAH).
The Offshore Installations (Safety Case) Regulations 2005 (SI 2005/3117) (OSCR).
Det Norske Veritas (DNV) www.dnv.com
International safety rating system (ISRS).
33
Energy Institute This publication has been produced as a result of
61 New Cavendish Street work carried out within the Technical Team of the
London W1G 7AR, UK Energy Institute (EI), funded by the EI’s Technical
Partners. The EI’s Technical Work Programme
t: +44 (0) 20 7467 7100 provides industry with cost effective, value adding
f: +44 (0) 20 7255 1472 knowledge on key current and future issues
e: pubs@energyinst.org affecting those operating in the energy sector,
www.energyinst.org both in the UK and beyond.
ISBN 978 0 85293 584 2
Registered Charity Number 1097899
Energy Institute
Process safety survey (EIPSS)
Benchmark your company against
EI High level framework for process safety management
The EI Process safety survey (EIPSS) enables your organisation to:

1. Understand its vulnerability to having a major incident.
2. Identify the location and scale of any gaps in your organisation’s arrangements for HS&E and process safety management.
3. Demonstrate compliance to stakeholders.
4. Highlight areas of good performance.
5. Identify areas where improvement is required.
The EIPSS is a web-based tool to assist senior executives and

managers in high hazard industries to understand how well
risks are being identified and managed within the organisation,
which if not appropriately managed could result in a major
incident. The EIPSS will help identify risks which may threaten
people, environment, reputations, financial performance and
the future of your organisation.
Why do you need the EIPSS?

Recent incidents have demonstrated that, in addition to the
immediate human, environmental and financial costs, there
have been:
• Escalating effects upon the reputations of companies,
their senior executives and the industry as a whole.
• Increased scrutiny by the regulators and governments.
• Impacts upon the share prices of the involved companies,
causing investors to question the security of their
investments in the high hazard industries.
Maintaining the future integrity of your

business
The challenge for any organisation is to be able to confidently answer the question ‘how likely are we to have a process safety
incident?’ Consistent self-assessment using the EIPSS against the expectations defined in the EI High level framework for process
safety management (PSM framework) will enable your organisation to answer this, by determining whether you have good HS&E
and process safety management practices in place.
EIPSS key features

Real time information Anonymity assurance
Online self-assessment and real-time benchmarking facility Anonymity of the data relating to individual participants.
based on the elements and expectations of the EI PSM
Benchmarking across multiple sites
framework.
Companies with multiple sites can request reports to provide
Self-assessment internal benchmarking across their operating locations.
EIPSS assesses defined arrangements and the effectiveness of
Applicable to any major hazard installations:
their implementation. It provides an opportunity to assess the
status of individual elements and expectations. • Oil and gas installations (both upstream and downstream).
• Chemical manufacturing and storage plants
Compliance benchmarking • Power generation plants.
Results of self-assessments provide the basis for benchmarking • Energy distribution networks.
of the level of compliance across the survey participants. • LNG, LPG and CCS installations.
Join the EIPSS

You can join the EIPSS as an individual operating site, or as a company.
For further information visit www.energyinst.org/process-safety-survey, or to join the EIPSS please contact Stuart King
t: +44 (0)20 7467 7163 or e: sking@energyinst.org.
www.energyinst.org /process-safety-survey

EI - 2010 - High Level Framework PSM

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EI - 2010 - High Level Framework PSM

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What is the Energy Institute and what are its roles and responsibilities?

What is the Energy Institute and what are its roles and responsibilities?

What is the purpose of the EI Process Safety Survey (EIPSS)?

What is the purpose of the EI Process Safety Survey (EIPSS)?

High level framework for

process safety management

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

BG Group Maersk Oil North Sea UK Limited

Copyright © 2010 by the Energy Institute, London.

ISBN 978 0 85293 584 2

Published by the Energy Institute

Electronic access to EI and IP publications is available via our website, www.energyinstpubs.org.uk.

2 Outline of EI High level framework for process safety management . . . . . . . . . . . . . 4

EI PSM framework consists of three levels:

Martin Ball Bossiney Consulting

Mike Beanland ABB

Paul McCulloch E.ON

Graeme Ellis ABB

Affiliations refer to the time of participation.

Dr Mark Scanlon (EI) managed the project.

1.1 Development approach

that they are considering implementing a process safety model.

1.2 Scope and application

2 OUTLINE OF EI HIGH LEVEL FRAMEWORK FOR PROCESS

2.1 PSM Focus areas

2.1.1 Process safety leadership

2.1.2 Risk identification and assessment

2.1.3 Risk management

2.1.4 Review and improvement

2.2 PSM elements

2.2.1 Process safety leadership

2.2.2 Risk identification and assessment

2.2.3 Risk management

11. Standards and practices.

2.2.4 Review and improvement

2.3 PSM expectations

ELEMENT 1 LEADERSHIP, COMMITMENT AND RESPONSIBILITY

Overview Assurance of the integrity of an organisation's operations requires visible

1.5 Roles, responsibilities, authorities and accountabilities for the management

1.9 Directors and managers visibly demonstrate personal commitment and

1.11 Directors and managers maintain an understanding of what is happening in

1.13 Managers responsible for organisations operated by others communicate

1.14 Arrangements for leadership, commitment and responsibility are understood

1.15 Compliance and performance trends are reviewed by specified levels of

ELEMENT 2 IDENTIFICATION AND COMPLIANCE WITH LEGISLATION AND INDUSTRY

Overview Compliance with legislation is a fundamental requirement for organisations.

2.1 Requirements of current and forthcoming, applicable legislation, regulations,

2.3 Compliance with legislation and industry standards is systematically verified.

2.5 Compliance and performance trends are reviewed by specified levels of

Element 3 Employee selection, placement and competency, and health

Overview Control of operations depends upon having competent people in position.

3.2 A process is in place for screening, selection and placement of employees

3.7 The organisational structure, and continuity of PSM critical positions, is

3.11 Training and development programmes are a combination of formal courses,

3.12 Training and development programmes are formally reviewed to assess

3.14 Compliance and performance trends are reviewed by specified levels of

Element 4 Workforce involvement

4.3 Directors and managers engage employees and contractors in two-way

4.4 Systematic HS&E and process safety promotion and engagement