5 9CCPS

P2SAC Spring 2023 Conference
May 9, 2023
Handbook for Process Safety

in Laboratories and Pilot Plants:
A Risk-based Approach
Dr. Bruce K. Vaughen

CCPS
Acknowledgments
Handbook Committee Co-Chairs

Kathy Anderson, Vertellus (retired)
Monica R. Stiglich, 3M (retired)
Core Handbook Team Members

Bruce D. Bullough, Corden Pharma Colorado (at Pfizer at time of publication)
Jeffrey J. Foisel, Dow Corning (at Dow Chemical Company at time of publication)
Jerry L. Jones, AIChE CCPS Consultant
Richard P. Palluzi, ExxonMobil (retired)
1
Acknowledgments
15 Additional Committee Members
16 Peer Reviewers
CCPS Staff Contributors for Final Manuscript Preparation

Jennifer Bitz, Lead Process Safety Engineer, Project Manager
Bruce K. Vaughen, Lead Process Safety Subject Matter Expert
Some Ingredients in our Alphabet Soup
LAPP – Laboratory and Pilot Plants

MOC – Management of Change
PHA – Process Hazards Analysis
PSM – Process Safety Management (Systems)
RBPS – CCPS Risk Based Process Safety
2
Outline
• Who: Handbook Audience
• Why: Laboratory and Pilot Plant (LAPP) Incidents
• What: Handbook Scope
• Where: Starting Point
• When: Leaks and Spills
• How: Management Systems
• Summary
Handbook Audience
• Any Laboratory and Pilot Plant (LAPP) staff working with or managing
hazardous materials and energies
o Chemical processing facility laboratories
o Product Research and Development (R&D) laboratories
o University, government, or other industry laboratories
3
Handbook Audience, continued
• LAPP engineering and scientific professionals

• LAPP technical support staff
• LAPP managers
Managing a laboratory or pilot plant requires

diligent attention to how changes in experiments
and in experimental set-ups can (and do) change the risk.
LAPP Process Safety – Reducing the Risk
Requires a Commitment to Process Safety

o Process Safety Culture
o Operational Discipline
Requires Leadership Support to Implement Process Safety Systems
o Researchers and Principal Investigators (PIs)
o University faculty overseeing research or educational labs
o Engineers scaling-up processes for pilot plants
10
4
Outline
• Summary
11
Laboratory and Pilot Plant Incidents
Laboratory Explosion and Fire Damage
12
5
Laboratory Fire and Water Damage - 1
13
Laboratory Fire and Water Damage - 2
14
6
Hood after the Runaway Reaction Explosion
Equipment: Glass distillation

column and condenser
15
Site after the Runaway Reaction Explosion
Equipment: 650-gallon reactor

with 3-inch thick walls
16
7
Outline
• Summary
17
Handbook Scope
Scope: To help LAPPs prevent the loss of control of hazardous materials and
energies focusing on these broad hazard categories:
1) Chemical – hazardous materials
2) Physical – hazardous energies (temperatures,
pressures, etc.)
18
8
Handbook Scope
Scope includes how LAPP staff manage the material’s chemical

hazards and the process’ physical hazards:
1) Chemical transformations (reactions)
2) Changes in physical state, concentration, or form
3) Physical mixing, separation, and purification
19
Handbook Framework
• Committing to Process Safety
• Understanding Hazards and Risks
• Managing Risk: Engineered and Administrative Controls
• Managing Risk: Management Systems
• Learning from Experience
Process Safety
Appendices in Laboratories
and Pilot Plants
• Case Reports
• Examples and Tools
• Control Banding Strategies
• Glass Equipment Design
20
9
Outline
• Summary
21
Where to Start in the LAPP

Key Success Factor: Establish a standardized Risk Matrix
Risk = Likelihood x Consequence
Risk Tolerance
Unacceptable
Tolerable
Acceptable
22
10
Step 2 Step 3 Step 6

Step 1
1) Identify Hazards
2) Analyze Hazards and Assess Risks
Step 4 Step 5
3) Analyze Risks and Make Risked-based Decisions
23

Step 1
4) Is the Risk Tolerable?

5) Implement Risk Controls
Step 4 Step 5
6) Monitor Risk Controls; Learn from Experience
24
11
Step 7
Step 1
7) Risk communications to
internal and external stakeholders Step 4 Step 5
25
Step 1) Understand Hazards
Toxic gases
26
12
Fires
27
Explosions:
28
13
Reactivity:
Exothermic reactions
Runaway reactions
Determine:
Temperature of No Return
29
Step 2) Understand Risks
Identify Scenarios: The Swiss Cheese Model
Scenario
30
14
Step 2) Understand Risks
The Bow Tie
Scenario Incident
Incident
31
Step 3) Manage Risks
Management Systems
Discussed
o Process Safety Culture
o Operational Discipline
o Hazards and Risks
Next
o Incidents
32
15
Outline
• Summary
33
Leaks and Spills in the LAPP
Leaks are a Loss of Containment
Leaks become a Near Miss
34
16
Unchecked Leaks may lead to Spills
Spills become an Incident
35
Incident Investigations
identify Root Causes
36
17
Root Causes are used to help

prevent a future incident
37
Outline
• Summary
38
18
Management Systems
Managing risk includes

o Procedures
o Equipment condition (new, used, modified)
o Safeguards (Protective Layers)
 Preventive (before loss of containment)
 Mitigative (after loss of containment)
 Emergency response
39
Management Systems
Managing risk includes

o Management of Change (MOC)
 Ingredients and ingredient concentrations
 Temperatures and pressures
 Experimental equipment and set-up
o Training
o Incident Investigations
40
19
Management Systems
o Management of Change (MOC)

 Ingredients and ingredient concentrations
 Temperatures and pressures
 Experimental equipment and set-up
Recall:
Managing a laboratory or pilot plant requires

diligent attention to how changes in experiments
and in experimental set-ups can (and do) change the risk.
41
Management Systems
Risk Based Process Safety (RBPS)
Commit to Process Safety
Understand Hazards and Risk
Manage Risk
20 Elements
Learn from Experience
4 Pillars I II III IV
42
20
Management Systems
Management of Change
Incident Investigation
Understand Hazards and Risk

Manage Risk
I II III IV
43
Management Systems
Step 7
Step 1
Step 4 Step 5
44
21
Outline
• Summary
45
Summary
• Laboratory and Pilot Plant incidents can
result in serious injuries, fatalities, and
significant property damage
• Scope includes how LAPP staff can
manage the material’s chemical hazards
and the process’ physical hazards
• Handbook focuses on how hazardous
chemicals and energies can be managed
safely
46
22
Summary
• The starting point is hazards

identification
• The last step is to monitor and
control the risks
47
Summary
• Investigating leaks and understanding their root causes will
help prevent spills
48
23
49
50
Summary
Questions?
1
Process Safety Culture

2
Compliance with Standards
Thank you for your attention

3
Process Safety Competency
Pillar I
4
Workforce Involvement
of hazardous materials and energies
Commit to Process Safety

5
Stakeholder Outreach
6
Process Knowledge Management
Hazard
Pillar II
7
and Risk
Hazard Identification and Risk Analysis
Understand
Risk Based Process Safety (RBPS)
8
Operating Procedures
9
Safe Wok Practices

10
Asset Integrity and Reliability

11
Contractor Management
12
Training and Performance Assurance

Pillar III
Manage Risk
13
14
Operational Readiness
15
Conduct of Operations
• Management systems help prevent the loss of containment
16
Emergency Management
17
18
Measurement and Metrics

Pillar IV
19
Auditing
20
Management Review and Continuous Improvement
24

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P2SAC Spring 2023 Conference

Handbook for Process Safety

Dr. Bruce K. Vaughen

Handbook Committee Co-Chairs

Core Handbook Team Members

15 Additional Committee Members

CCPS Staff Contributors for Final Manuscript Preparation

Some Ingredients in our Alphabet Soup

LAPP – Laboratory and Pilot Plants

• LAPP engineering and scientific professionals

Managing a laboratory or pilot plant requires

LAPP Process Safety – Reducing the Risk

Requires a Commitment to Process Safety

Laboratory and Pilot Plant Incidents

Laboratory Explosion and Fire Damage

Laboratory and Pilot Plant Incidents

Laboratory Fire and Water Damage - 2

Hood after the Runaway Reaction Explosion

Equipment: Glass distillation

Laboratory and Pilot Plant Incidents

Site after the Runaway Reaction Explosion

Equipment: 650-gallon reactor

Scope includes how LAPP staff manage the material’s chemical

Where to Start in the LAPP

Risk = Likelihood x Consequence

Step 2 Step 3 Step 6

Where to Start in the LAPP

Step 2 Step 3 Step 6

4) Is the Risk Tolerable?

Step 1) Understand Hazards

Step 1) Understand Hazards

Step 2) Understand Risks

Identify Scenarios: The Swiss Cheese Model

The Bow Tie

Step 3) Manage Risks

Leaks and Spills in the LAPP

Leaks are a Loss of Containment

Leaks become a Near Miss

Unchecked Leaks may lead to Spills

Spills become an Incident

Leaks and Spills in the LAPP

Root Causes are used to help

Managing risk includes

Managing risk includes

o Management of Change (MOC)

Managing a laboratory or pilot plant requires

Risk Based Process Safety (RBPS)

Commit to Process Safety

Understand Hazards and Risk

Understand Hazards and Risk

Learn from Experience

• The starting point is hazards

Process Safety Culture

Compliance with Standards

Thank you for your attention

Process Safety Competency

Commit to Process Safety

Process Knowledge Management

Safe Wok Practices

Asset Integrity and Reliability

Training and Performance Assurance

Measurement and Metrics

Management Review and Continuous Improvement