Behnaz Motamed

Senior Process Engineer

August 2020
 Section 1: An Introduction to
Control, Monitoring and Shutdown of the Process Plant

Section 2: How to Prepare

Cause & Effect Diagram for Process Plant

Section 3: Sample Cause & Effect Diagram

(C&E for a Draining System)

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Control, monitoring and shutdown systems are designed at
the earliest phase of the project by basic or licensor
designer.

As the process moves through project life cycle, the

systems may be developed.

Definitions presented here, may differ from one project to

another as they are defined by Clients and standards in
each project; anyway, the concept represented here is the
same.

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There are some systems for control, monitoring and
shutdown of the plan. They will be related to each other
through suitable communication. This collection will be
composed of major sub-systems. In general systems can
be classified as:

o Control System
o Safety System

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Another classification is:
o Process/distributed control system (PCS/DCS)
o Emergency shutdown, depressurization and ultimate safety
systems(ESD/EDP/USS)
o Fire & gas detection and alarm system (F&G)
o Package units, and PLC based package units (CMS, BMS, MMS,...)
o Other systems

Sometimes Process Control System (DCS) and Emergency

Shutdown System (ESD), are integrated as Integrated Control
and Safety System) (ICSS).

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Package units, and PLC based package units (CMS, BMS, MMS,...) is
divided into three types:
 Stand-alone package, controlled by own control system
(Local Control Panel (LPC) and has no interface (or very
limited) with DCS, ESD and F&G systems
 Package remotely controlled by the DCS and ESD/F&G
systems
 Packaged unit fully controlled by the package control
cabinet (UCP) located remotely in the Instrument Technical
Room (ITR). The package UCP is connected to the PCS/DCS,
ESD and F&G systems, for monitoring, control functions and
shutdowns
The ESD activation of packages shall be implemented in the
Plant ESD system.

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 o Control System
o Safety System

The normal control & monitoring system is done via a Distributed

Control System (DCS). This system controls the process to produce
a good quality product (on-spec product) and keeps all process
variables within its safety limit. This system is including:

o Process control loops

o Process interlocks
o Process monitoring
o Alarms
o Switches and push buttons
o Packages connected to DCS (BMS, MMS, …)

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 o Control System
o Safety System

Process safety system of a plant is designed to protect personnel,

equipment and environment in case of abnormal, unsafe or
emergency conditions. These actions are done via an Emergency
Shutdown Systems (ESD).
This system is including:

o Emergency shutdown and depressurization system (ESD/EDP)

o Fire & gas detection and alarm system (F&G)
o Package UCP connected to ESD/EDP/F&G (BMS, MMS, …)

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The process safety system shall be independent of and in addition to
the process control devices used in normal process operation. It
means protection measures have different functions from control
algorithms.

Process safety systems documentation

The design of the safety system shall be documented, including but
not limited to:
o Specifications and philosophies
o Cause and effect matrix (ESD/EDP matrix, interlock
matrix/description)
o Alarms and trips set-point list
o Diagrams (such as ESD hierarchy diagram, safeguard diagram,
logic diagram)
o Study report (such as SIL study, depressurizing study)

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When safety system of a process plant is designed, it is required to
evaluate this system.
Cause & Effect (C&E) analysis is one of the basic documents for the
safety analysis of a process plant.

What is C&E diagram?

“Cause and Effect” is presented as a form of matrix and it is used to
describe interlocks and shutdowns.

Although process interlocks are usually defined in

process/distributed control system (PCS/DCS), in some projects, they
are also presented in C&E diagram.

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Cause and effect lists
o Process upsets (manual and automatic) in rows - what are
referred as “Causes”.
o Process responses (equipment/ instrument in safe state) in
columns - what are referred as “Effects”.

What is the purpose of C&E diagram?

Cause and effect document is prepared to be translated to program
language by control system engineer and implemented in SLD
(Shutdown Logic Diagram) as logic. This logic will always monitor the
plant during operation and works to maintain the required safety
function.

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Categories of C&E diagram
There are two categories of Cause and Effect Diagram:
o Process C&E Diagram
o Fire and Gas C&E Diagram

When is C&E diagram prepared?

Cause and effect diagram/matrix is prepared during conceptual
and basic design stage. During HAZOP studies and detail
engineering, tripping factors and their effects will be reviewed and
relevant safeguards will be added on C&E matrix and P&ID.

Which department prepares C&E diagram?

Some companies categorize C&E as a part of process documents
and some companies consider C&E an instrument deliverable.
The specialist who prepares the C&E document should have
good knowledge of process as well as control and shutdown
philosophies.

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Cause and effect is presented as a form of matrix. The causes
are listed in left section while the effects are listed on top
section; both are described in form of tag number with their
descriptions (other additional information such as P&ID may be
added).
Row-column intersection is marked as cause-effect.

o Cause: Process upsets (manual and automatic) / tripping

factors / functions relevant to switches that activate the
ESD / Interlock
o Effect: Process responses such as units /equipment
/instruments that will be shut down, stopped/started, or
closed/opened after ESD / Interlock activation

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Items should be considered and specified in C&E diagram

1- ESD / Interlock:
Identify ESDs and interlocks on P&IDs, enter the tag numbers

2- Causes:
Identify the causes (process upsets/switches) that energize
ESD/Interlock, based on section/ unit / plant process description
in conjunction with P&IDs, and then specify the tag numbers and
descriptions

3- Effects:
Identify the process responses as effects, and then specify the
tag numbers and descriptions

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Items should be considered and specified in C&E diagram
(Continued)

4- P&ID drawing numbers:

It is common to specify P&ID numbers for each cause and effect

5- Reset:
The reset switches located in control room and the field shall be
provided.

After all process conditions return to normal operation and ready

for re-start, the operator will provide reset permissive from
control room, the manual reset from field can be possible.
After trips, return to normal operation shall not be made
possible, unless the safety systems are manually reset from DCS.

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Items should be considered and specified in C&E diagram
(Continued)

6- SIL rating (if applicable):

SIL (Safety Integrity Level) for all causes should be mentioned if
there is SIL study for the project.

7- Time delay (if applicable):

If there is any effect with time delay, it should be specified in
C&E.

8- Voting:
If there is any voting logic, it should be specified in C&E. A note
should indicate the type of voting logic:
1oo2 (1 out of 2)
2oo2 (2 out of 2)
2oo3 (2 out of 3)

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Items should be considered and specified in C&E diagram
(Continued)

9- Action:
Row-column intersection should be marked as cause-effect
action.
The marked intersection is usually an abbreviation that shows
the action of unit/ equipment / instrument response. This table
lists “Actions”:

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Items should be considered and specified in C&E diagram
(Continued)

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Behnaz Motamed, C&E Diagram, Rev. 00, August 2020 23
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Interlock Description

Item PID No. Function /Cause/Action Description

I-063-1 DIPI-0099 Service V-400-108 (Wet Closed Drain Drum)
Function Emptying Wet Closed Drain Drum to Burn Pit
Cause of Activation LAH-0123 measured by LT-0123
Action Start P-400-104 to empty the Wet Closed Drain Drum

I-063-2 DIPI-0099 Service V-400-108 (Wet Closed Drain Drum)

Function Stop Emptying Wet Closed Drain Drum
Cause of Activation LAL-0123 measured by LT-0123
Action Stop P-400-104

I-064-1 DIPI-0099 Service V-400-108 (Wet Closed Drain Drum)

Function Start heating the Wet Closed Drain Drum
Cause of Activation TAL-0124 measured by TT-0124
Action Start H-400-104 to warm up the Wet Closed Drain Drum

I-064-2 DIPI-0099 Service V-400-108 (Wet Closed Drain Drum)

Function Stop heating the Wet Closed Drain Drum
Cause of Activation TAH-0124 measured by TT-0124
Action Stop H-400-104 to avoid overheating the Wet Closed Drain Drum

Behnaz Motamed, C&E Diagram, Rev. 00, August 2020 25

Please do not hesitate to contact me, if you have any
question/comment.

This file is available on my LinkedIn profile:

linkedin.com/in/behnaz-motamed

Behnaz Motamed
Senior Process Engineer
August 2020

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