Preliminary Hazard Analysis (PHA)

This paper is part of the Book Chapter 2 subjected to copyright. This paper is fully described
in the book “Safety Science: Methods to Prevent Incidents and Worker Health Damage at the
Workplace (Chapter 2). Author: Dr. Eduardo Calixto)

1 – Qualitative RISK concepts

By definition, the risk is the combination of an event of hazard and its consequence. In order
to analyze and evaluate the risk, the qualitative and quantitative approach can be performed. In
fact, when risk is assessed and evaluated based on qualitative methods, such assessment is
performed qualitatively based on specialist opinion regarding a risk matrix with the frequency
and consequence criterion established.

There are different configurations of risk matrix and such configuration must reflect the law
and companies risk policy. In fact, before make up an appropriated risk matrix is necessary to
define clearly the frequency or probability category as well as severity. There is a very hard
discussion between risk specialists about which is best applied in risk matrix: frequency or
probability, but in reality, most of the time it is easier for the specialist who take part in risk
analysis to predict frequency than probability about the causes of accidents. The figure 1 shows
an example of risk matrix with four severity categories and six frequency categories. Again,
the risk matrix configuration must fit well to companies and their process and even in some
cases is necessary to use different risk matrix for different process in the same company.

Figure 1 – Risk Matrix

Source: Calixto, 2011.

2 – Risk Analysis Methods

In order to assess hazards and quantify their risk it is required to use appropriate methods which
support the risk management process efficiently. Such methods are known as Risk Analysis
and can be qualitative and quantitative. The Qualitative Risk analysis methods are supported
by specialist opinion to define hazard, cause, consequences, detections, protections and propose
recommendation. Mostly, to assess risk qualitatively using a risk matrix as mentioned before.
The Quantitative Risk analysis methods may also define hazard, initiate event or top events by
specialist opinion, but calculate mathematically their probability or frequency as well as
consequences.

In fact, it depends upon the objective of the risk analysis that different methods can be applied.
From simple tasks or usual activity, for example, where the most important thing is to identify
hazards and implement the proposed recommendation to avoid accidents, the qualitative
approach can be applied. Contrarily, when it is assessed that the process or activity with a
probable accident with high severe consequence more complex methods are applied.

The Risk Analysis specialist can support and define which methods are more appropriate, but
even specialists prefer one technique more than another and can influence such decision. In
general terms, the risk analysis methods can be applied in different asset phases with different
objectives as show table 1.

In order to describe each risk analysis method features the follow section will discuss each of
them with examples.

Table 1: Risk Analysis Methods Application

3 - The preliminary Risk Analysis

The PHA analysis come from the military industry application as a reveal technique applied to
check missile system launch. In that case, 4 of 72 missiles intercontinental atlas were destroyed
with high cost.

Nowadays, the PHA is applied in many industries in operational activities or project

conceptions. Thus, no matter of the application, the main objective is to support decision in
order to avoid accident and eliminate unsafe conditions.

The PHA analysis can also have a specific focus on environmental or safety. Such method is a
good tool application in terms of risk analysis in operational areas, but in case of a project that
complexity increases because the complexities of process with different hazard and in addition
must be taken into account in such analysis safety, environment, company image and accident
cost.

In general terms the PHA steps are:

• 1 (Step – Collect information about the system.

• 2Step – Define risk analysis team.

• 3Step – Define risk matrix when is applicable.

• 4Step – Define scope (system, subsystem and process).

• 5Step – Proceed PHA.

In the first step is necessary to collect all information about System that will be assessed that
means technological as well as accident and incident historical information.

On the second step, once there’s a great idea about system, it is necessary to define a PHA team
to take into account all specialist knowledge to carry out a PHA. Mostly such specialists are
professional from safety, operational, maintenance, instrumentation, environment as well as
the engineer responsible for equipment and process Plant (or project).

The third step, before start up of a PHA, it is necessary to define which risk matrix will be
applied to a PHA. That is a very important task and if attention is not paid in such detail the
PHA can be rejected by companies or even by authorities when for example the PHA for an
environmental license. When a PHA is carried out to get an environmental license it is very
important to compare the risk matrix that is intended to be used with that is defined by
Environment Agencies.

The fourth step is necessary to define the analysis scope and in some cases is clear which
system and subsystem will be assessed in other cases not. For example, when a modification is
carried out and there are new hazards or processes, probably such hazard effect can be local or
not. Thus, it is very important to assess the impact on modification of the whole process in
order to define the scope of analysis regarding all system and subsystem affected.

The fifth step in the PHA is proceeding and is necessary to pay attention to frameworks issues
like the room and electronic devices necessary in the PHA as well as to plan the required time
to carry on analysis regarding all professionals’ time availability. In many cases it is hard to
maintain professional from operations and maintenance for a long period of time (over two
weeks). In fact, all effort must be done because change professional on a long PHA, no matter
how qualified they are, is hard because different point of view and initial assumption must be
discussed again and again.

The PHA can be applied to software or usual office tool (word or excel) and the file
configuration must have at minimum: Hazard, cause, consequence, probability (frequency),
severity, risk, the detection and recommendation.

Hazard means unsafe condition, product, process or equipment condition which can cause any
health damage to an employee. In many cases a hard discussion about what is a hazard happens
among safety professional. Actually, there is always a sequence of cause and consequence, but
to be clear the last consequence level must be described and be clear to classify severity. By
this way, the hazard will be the event before consequence and all causes are events between
hazards and consequences like external events, equipment and human failure or process
deviation. For instance, in the chemical and Oil and gas industry toxic product leakage can lead
to different consequences like jet fire, toxic cloud, cloud explosion and fireball. Each one of
such consequence has different severity.

The other important point that creates hard discussion are safeguards and layers of protection.
Layer of protection are devices that can avoid accidents or even mitigate their effect
independently of human intervention. In many cases, human intervention is also considered a
layer of protection, but not in terms of alarms or instruments.

In some cases after recommendation risk is assessed again in order to show how much is
expected to be mitigated by recommendation implementation. An example of Platform PHA is
shown in table 2 below.

The partial PHA above highlights possible hazards on a Platform Load Subsystem as well as
all causes, consequences, detection and safeguards, risks and recommendations. In this case,
risk was assessed based on figure 2-3 and for each consequence, there is a severity category
which results in different risk classification. It's also possible to have one frequency category
for each specific cause and in this case there will be several risks assessed. The last column
shows the number of accident hypotheses or in other words accident scenarios. Such accident
hypothesis is used to simulate consequence and define a vulnerable area.
 Table 2: Preliminar Risk Analysis (Platform). Source: Calixto, 2007

The additional example of preliminary hazard analysis is applied on metallurgy Industry and
assess hazards in a palletizing process as described in table 2-4. In this example, the PHA
focuses on environmental aspects that means a process or product that interacts with the
environment and can modify it characteristics. In this case, an emission gas from pelletizing
process is the significant environmental aspect in such process. Thus the preliminary hazard
analysis template comprises hazard, cause, effect, frequency, severity, and recommendation.
The risk classification is based on the risk matrix on figure 1. In this case, the hazard is the
environmental aspect "huge pellets particulate emission" and different from previous case has
a delayed effect on employees and population health. In order to mitigate such risk
(catastrophic) three actions are proposed that the first and third are preventive and the second
one is reactive. In many cases this preliminary Risk analysis is also called Aspect and Impact
analysis when environmental hazards are being assessed. When safety is being assessed, such
analysis can also be called as hazard and damage analysis and both activities and tasks in
operational phase and is an excellent tool to support Occupational Risk Assessment.
 Preliminary Risk Analysis
System: Pelletizing Draw: D21.11.001.3

Hazard Cause Effect F S R Recommendation

1 - Install automatic system

to shut down the pelletizing
process whenever
Electrostatic precipitator
Total failure shut down. (Action:
on Engineering Management)
E III NT
electrostatic
precipitator

2 - Establish procedures to
control emission in case of
Bad air quality
electrostatic precipitator
with effect on
failure.
employees and
Huge pellets
population
particulate emission (Action: Operational
health in
Management)
medium and
long time

Partial failure 3 - Establish preventive

on maintenance, predictive
C III NT
electrostatic maintenance and inspection
precipitator plan to maintain
electrostatic precipitator
with high availability.

(Action: Maintenance
Management)

Table 3 – Preliminary Risk Analysis (pelletizing process)

Mostly, when assessing processes in a project or operational phase, it’s necessary to qualify
hazard risk in order to have priority to implement recommendations. In such cases, whenever
such recommendations are implemented it is possible to assess risk again in order to know how
much risk was mitigated. Depending upon the nature of activity or process when a PHA is
carried out risk assessment based on risk matrix is not necessary because all recommendations
must be followed up to have a safety activity. That happens in the Construction industry
because the hazard in each activity must be controlled that means risk minimized and whenever
is possible eliminated. An example of Preliminary Hazard Analysis is a roof repair which
comprises several activities as shown in table 4.
 Preliminary Hazard Analysis
Activity: Roof Repair Draw: C01.111.002.5

Task Hazard Cause Effect Recommendation

1 – Isolate the area where

material is being taken out.
(Action: Operator)
The material Death or
1 – Remove roof
Material falls moved not serious
down correctly from employee
2 – Use Individual
the roof health damage
equipment protection
(helmet, boots and gloves)

(Action: Operator)

Material falls
down Not
appropriated 3 – Follow procedure to
removed from remove material from the
the roof roof. (Action: Operator).

Death or
Not using safety
2 – Install temporary serious
protections on 4 – Use Individual
roof employee
equipment protection
health damage
Scaffolding. (helmet, boots, gloves and
Employees
belt to hang on
fall from the
scaffolding).
roof
Scaffolding not
built up
correctly.

1 – Isolate the area where

Death or
Not the material is being taken
Material fall serious
appropriated out. (Action: Operator)
down employee
removed
health damage

1 – Isolate the area where

Death or
Scaffolding not the material is being taken
3 – Build up new Scaffolding serious
builds up out. (Action: Operator)
roof fall down employee
correctly.
health damage

Construction 5 – Follow procedure to

Waste Not following waste, remove construction waste
material of procedure to environmental to adequate place. (Action:
construction remove waste impact on the Operator)
from the local area
 construction
area

4 – Use Individual
Medium or equipment protection
Not use
Burning when serious (helmet, boots, gloves and
appropriated
performing damage to belt to hang on
equipment
welding work employees' scaffolding).
protection
health

Table 4: Preliminar Hazard Analysis (roof repair)

4 - Conclusion

These three examples show the main PHA features that are simple and applicable in all
enterprise phases. The Preliminary Hazard Analysis has advantages:

- Easy to be applied in different industries.

- Can be applied in different enterprise phases. That means once applied in project phase such
- PHA’s can be updated on long enterprise phases.

- Clear to understand and define a rank, of which are the most critical process, activities or task
in term of risk which support to priories the recommendation.

The Preliminary Disadvantages are:

- As qualitative analysis the risk can be underestimated, and recommendation or mitigation

actions may not be implemented.

- Depends on specialist experience and historical data that means if specialists do not realize
one specific hazard such hazard will not be assessed.

- Does not explain in details the equipment and process failures and because of that do not
define specific action in such situation.

The advantages and disadvantages must take into account when such PHA is carried on and in
some cases, additional qualitative analysis must be carried on with the equipment or process
focus.