aveva business paper - shift handover a4 0812 layout 1 · aveva business paper - shift handover a4...

Shift HandoverThe importance of continuity

An AVEVA Business Paper

AVEVA Solutions Limited

Published August 2012

Shift Handover - an AVEVA Business Paper

Summary

1. Introduction

2. What is shift handover?

3. The nature of the problem

4. The extent of the problem

5. The regulatory environment

6. Limitations of current shift handover systems

7. The wish list

8. Fulfilling the wish

9. Conclusion

10. References and recommended reading

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Contents

Summary

Shift handover has been shown to be a common source of revenueloss and safety incidents in plant operation. Both economic andregulatory pressures demand substantial improvement in the shifthandover process.

This paper examines the nature of the existing problems, and thelimitations of commonly-used manual and electronic handover logs.It goes on to identify necessary and desirable features of aneffective solution, and outlines how AVEVA NET informationmanagement technology may be deployed and used to providethese. It also explains how AVEVA NET, far from simply offering astand-alone solution to this specific problem, actually provides anenterprise-wide platform for exploiting the business value in all of aplant’s information assets.

1. Introduction

Every engineer knows that discontinuities are invariably a source ofweakness, whether in physical structures or in continuousprocesses. This is particularly true in the case of shift handover but,whereas physical discontinuities may be easy to identify andremove, discontinuities in working procedures can be far moredifficult.

It has long been recognised in the plant industries that thediscontinuities of shift handover are among the most common andpotentially serious sources of problems. These can range from minorimpacts on operational efficiency to the most serious safetyincidents; all incur corresponding levels of economic cost.

The root of the issue is the transfer of information from outgoing toincoming shift teams. This paper looks into the problems arisingand describes how the latest information management technologycan be used to overcome them. Reference will be made to AVEVA NETas the leading exemplar of such technology.


‘It has long been recognisedin the plant industries that thediscontinuities of shifthandover are among the mostcommon and potentiallyserious sources of problems...’

Shift handover occurs when one team of operators goes off duty andan incoming team takes ownership of the plant for the followingshift. Before taking over ownership, the incoming shift must bemade fully aware of the plant’s status, including any incidents. Thenecessary transfer of information is performed both by a review ofthe shift handover log and by face-to-face meetings between theOperations Supervisor(s) and Operator(s) of the respective shifts.

Typical topics discussed include:

z safety, maintenance and technical problemsz work outstanding (i.e. a review of permits)z environmental mattersz plant conditionsz production and qualityz personnel issuesz external eventsz actions taken and routine duties performed during the shift.

Plant information most relevant to the shift handover processincludes:

z Permit to Work status (this is one of the most important items)z alarm defeat logsz Emergency Shutdown Device (ESD) defeat logsz controller mode statusz P&IDsz 3D models (if available)z sample logs (for example, lab results)z Defective Equipment logz Night Order bookz unit and factory standing instructions/ordersz Work Order logz shutdown job foldersz operating instructionsz material handling guides z production, operations, and safety incident logs.


2. What is shift handover?

‘Before taking over ownership, the incoming shift must be made fullyaware of the plant’s status, including any incidents. The necessarytransfer of information is performed both by a review of the shifthandover log and by face-to-face meetings between the OperationsSupervisor(s) and Operator(s) of the respective shifts...’

3. The nature of the problem

Evidently, the potential quantity of information can be enormous,certainly greater than can be easily assimilated during a verbalexchange. Per year, a shift team typically handles in excess of 48incidents per unit and up to 1,000 for a large (multiple-unit)facility. Simply keeping track of these incidents and ensuring thatOperations are aware of the details can be challenging. Equallyserious, the incoming shift may not have actually operated theplant for some time – perhaps as long as two to three weeks,depending on shift rotas.

In practice, therefore, an incomingshift is likely to be taking over thefacility with inadequate knowledge ofthe prevailing conditions. Worse, thisdeterioration of plant knowledgegrows with each successive handover;it is quite common for evenpotentially serious incidents to havebeen forgotten within a few months.The economic cost of such corporateamnesia is illustrated by one OwnerOperator, who reported savings of $18million per annum across fourfacilities after implementing a shifthandover system that provided easyaccess to information about previousincidents.

Poor shift handover is known to cause operating problems, such asplant upsets, unplanned shutdowns and product rework. Even wheresafety is not compromised, these can result in considerable capacity(i.e. revenue) loss, as shown in the figures below from theAbnormal Situation Management Consortium (see References 6 and7 at the end of this article).


Fig 2. The economic impact of plant incidents (source: ASM Consortium research)

Fig 1. Sources of abnormal events (source: ASM Consortium research)

Process20%

People40%

Equipment40%

InvariablyPreventable

MostlyPreventable

OftenPreventable

People:z Fail to detect problems

in reams of dataz Are required to make

hasty interventionsz May be unable to make

consistent responsesz May be unable to

communicate well

Unexpected events cost 3-8% capacity.That is >$10b annual lost production.

4. The extent of the problem

But it’s not just about money; safety suffers as well. The lack ofeffective communication in shift handover is a recognised safetyissue in the industry; it has been cited as a contributing factor innumerous major incidents, including Sellafield Beach, Piper Alpha,Sutherland and Texas City. The subsequent enquiries haveconsistently identified many common factors, including:

z All incidents involved planned maintenance work (emphasising the importance of Permit to Work control).

z Planned maintenance work continuing over a shift change (e.g. Piper Alpha, Texas City).

z Operator support logs not being designed to capture keyinformation reliably and unambiguously.

z A lack of procedures for conducting an effective shift handover.z Inaccurate and unreliable carry-forward of written information

from shift to shift.

Shift handover is regarded by both the industry and its regulatorsas being of particular concern during abnormal plant conditionssuch as start-up, shutdown, abnormal operations and maintenancework. One oil industry company found that, while start-up, shifthandover and shutdown accounted for less than 5% of the time,these critical ‘take-off and landing’ periods accounted for 40% ofplant incidents.1

5. The regulatory environment

Regulators who have defined requirements for, and who may audit,shift handover systems include:

z Occupational Safety and Health Administration (OSHA)z Bureau of Ocean Energy Management, Regulation and

Enforcement (BOEMRE)z Bureau of Safety and Environmental Enforcement (BSEE)z Pipeline and Hazardous Material Safety Administration (PHMSA)z Environmental Protection Agency (EPA)z Health and Safety Executive (HSE)z European Commission – (part of SEVESO II regulations)z Nuclear Regulatory Committee (NRC)z Certification and insurance bodies.

Both the USA and the EU currently have similar requirements,established through their respective safety regulationnormalisation initiatives.

As a result of the Texas City incident, and as part of its NationalEmphasis Program (NEP), OSHA circulated to refineries andchemical plants a detailed questionnaire which included itemsrelating to shift handover management. The questions included: ‘Isthere an operating procedure for covered processes which coverscommunications and other activities involving shift change(s)?’ and‘Are shift change procedures implemented as required by theoperating procedures?’ (see Reference 4).

In summary, it is clear that, not only does shift handover incurunnecessary operating costs, the safety issues arising have put itsquarely in the forefront of regulatory attention. In every hazardousprocess plant, operators have no choice but to address the matter.The good news is that technology is now available to supportoperators in this task, and this technology is further proven todeliver measurable returns on investment.


‘In every hazardous process plant,operators have no choice but toaddress the matter. The good newsis that technology is now availableto support operators in this task,and this technology is furtherproven to deliver measurablereturns on investment...’

1 Sherman J. Glass, President of ExxonMobil Refining & Supply, at the NPRA 2009 National Safety Conference.

6. Limitations of current shift handover systems

It might be assumed that the solution lies in simply improvingcurrent handover procedures but, as already noted, the volume andcomplexity of the information involved is typically such as to renderany ‘manual’ system ineffective. And without automation oneremains vulnerable to the inevitable human failings. Typicalcommunication failings in the shift handover process that the HSE(References 2 and 5) and others report include:

z shift log entries being incomplete, badly worded or simply wrong z failure to communicate at allz messages sent too latez messages sent to the wrong personz inappropriate message media, for example sending a note or

memo when a conversation would be more effective, or vice-versaz messages sent but not receivedz messages sent in time but received too latez messages not understood.

These echo similar findings from a recent piece of AVEVA-sponsoredsafety research, The Health & Safety Information Gap, conducted bythe Robert Gordon University (see Reference 9). This found thatover 30% of respondents had never been trained to accessinformation needed to operate safely, while over 40% reporteddifficulties in knowing how to search for relevant safetyinformation, and around 25% listed specific problems such as:

z systems failuresz inadequate proceduresz missing dataz overly complex systemsz restricted access.

Some shift handover logs are no more than simple notebooks thatthe operators complete during their shift. These have obvious andserious limitations, such as illegible handwriting, the difficulty ofsearching through a mass of entries across numerous books to finda particular entry, and the inability to identify or correlate commonor recurring issues.

More advanced shift handover systems use electronic log books,which overcome the illegibility problem and can provide limitedsearch capabilities. However, these are generally stand-aloneapplications which, since they are not networked, do not enableinformation to be shared, or used as a corporate resource. Searchprovisions are often simple text-matching functions that cannotaccess the latent intelligence in the accumulated information,inhibiting the ability to identify related problems or recurringissues.

A further limitation of these types of handover logs is their inabilityto attach related information such as prevailing alarm/trip status orprocess conditions (real-time data), lab results and so on, or tonotify incoming shifts of any current standing orders orinstructions. (Examples of these include fire mains under repair orout of action, roads or entry points closed, or areas that arehazardous due to gas leaks or construction work.)

But perhaps the most restrictive limitation of conventionalelectronic handover logs is their inability to access all availableinformation and to exploit its full value. This is because theiraccessible information assets are limited and not cross-referencedso, for example, Permits to Work are not cross-referenced with plantstatus. Similarly, there is no inherent way of knowing if a shift logentry or incident recurs across multiple assets in an organisation, soidentifying these relies largely on luck and individuals’ memories.This echoes the point mentioned earlier about corporate amnesia. Amajor North Sea Owner Operator claimed that corporate memorylasts no more than three months so, even if an issue isreported/recorded and discussed, it is quickly forgotten and theincident is destined to be repeated (see Reference 8).


7. The wish list

All the foregoing limitations can be overcome by the use of AVEVANET information management technology. Supported by suitableworkflows, it can substantially eliminate the deficiencies of currenthandover management systems, and deliver significant economicbenefits in operational efficiency and risk reduction.

Suppose we could create the ideal shift handover solution; whatfeatures should it offer? Surely, at least the following:

z Minimum direct data entry, through such features as configurablelist boxes and check boxes with preconfigured site-specificinformation.

z The ability to configure the log with site-specific and enterprise-specific fields.

z Automatic population of standard fields and associated reports(for example, relevant information from the operator's reportshould automatically populate the shift supervisor's and theproduction manager's reports.

z Easy access to all the information needed for a thorough shifthandover.

z Logs should be accessible by multiple users, according topermission levels.

z On-line, context-sensitive help.z Control of who can see and edit log entries.z Audit trail on log entries.z The ability to export information to common applications such as

Excel and Word.z Easy and rapid means of finding data.z The ability to access data from other data sources; for example,

engineering and design applications, process instrumentation(including real-time information), maintenance, inspection andlab systems, and so on.

z The ability to email specific logs and their associated entries todesignated stakeholders.

z The ability to integrate logs with historical data.z Scheduled and on-demand printing of readily configurable

reports.

All these functions are readily provided using AVEVA NET. Buteffective shift handover is only one purpose to which AVEVA NET’scomprehensive functions can be put. It is, in fact, an enablingtechnology for exploiting all of a plant's information assets (the'digital plant') in innovative ways for continual improvement acrossall aspects of plant operations.


8. Fulfilling the wish

AVEVA NET is a proven, off-the-shelf solution that can be rapidlydeployed and configured to provide all these basic functions in amanner which meets an enterprise’s specific needs and workingpractices. But it also provides many other important capabilities:

z Highlighting assets that have been subject to a shift handoverentry by simply selecting an asset (by tag/equipment number)and looking at these in the Content Explorer. This enables, forexample, Maintenance to quickly identify potential problems withan asset and to see its associated shift log entries. Maintenancecan thus quickly determine the severity of the problem, whetherit is a recurring problem, or needs further investigation or othercorrective action. Such information is essential for preventativeor predictive maintenance. Equally valuably, the incoming shiftcan also see these affected assets and access the appropriaterecords to be fully informed of their status. This addresses oneknown root cause of safety incidents: an incoming shift not beingaware of asset status (a contributing cause of the Piper Alphaincident).

z Allowing shift logs across an organisation to be accessedcentrally to capture common issues and incidents. This helps tobuild a knowledge base for plant operations, to capture lessonslearnt from individual facility incidents, and to spot trends acrossall of an enterprise’s assets.

z Automating data entry to prevent human error and to free upvaluable operations resources. For example, some events such ascritical alarms, trips or excursions beyond set-points can belogged automatically.

z Identifying assets that are undergoing maintenance and notavailable for operations (for example, stand-by equipment that isout of commission).

z Identifying assets that are part of an active Management OfChange (MOC) request, or have been changed in a prior shift.

z Linking shift entries, so as to automatically alert the incidentmanagement system to initiate a review or audit.

z Identifying assets that have been isolated, including alarms ortrips that have been bypassed.


Fig 3. AVEVA NET technology aggregates and validates every type of plant information to support all plant operations processes


z Linking Permits to Work with their associated operating assets,allowing Operations to identify those assets which are subject toa permit and have been isolated.

z Flagging incidents associated with an asset.z Capturing lessons learnt by allowing Operations to quickly

identify assets that have been the subject of previous shiftreports, including any operating instructions/considerations thatthey should be aware of.

z Linking operating procedures and instructions with theirassociated assets.

z Linking assets to applicable instructions and checklists, such asthose associated with Safe Job Analysis (SJA).

9. Conclusion

An effective shift handover solution is no longer a luxury but anessential tool for continued safe and efficient plant operations.Regulatory authorities are increasingly (and justifiably) demandingsubstantial improvements in this critical area, but these cannot beachieved without the adoption of effective informationmanagement technology.

AVEVA NET technology can provide such a solution, using its out-of-the-box capabilities configured to suit the specific needs of theenterprise. These capabilities do far more than simply addressingcommon safety risks and operational inefficiencies. By enabling thefull exploitation of plant information assets they can bringsubstantial and measurable additional business value. Thistechnology puts powerful information handling tools in the handsof plant operations staff and business management, and provides aplatform for both effective compliance reporting and continualbusiness improvement.

Technology is no longer a limitation or cost burden with a modernweb-based application such as AVEVA NET. For ease of adoption anduse, it can readily be configured to fit a company’s workingpractices, culture and organisation. And while its initial adoptioncan be justified against critical issues such as shift handover, itspower and ease of use encourage far wider use. It is, in fact, abusiness enabler, not just a solution to one specific problem.

Companies that have adopted AVEVA NET have frequently foundunexpected ways to apply it to business processes beyond theoriginal engineering functions, invariably because its users applytheir knowledge and creativity to its use. So, while it does notimpose unnecessary business change, it can facilitate constructivechange and improvement within an organisation.

Fig 4. An example of an integrated Shift Handover log created using AVEVA NET

‘An effective shift handover solutionis no longer a luxury but anessential tool for continued safeand efficient plant operations...’

The futureRecognising the importance of efficient shift handover inmaintaining the safety and performance of our customers’operations, AVEVA has commissioned independent researchby the Mary Kay O’Connor Process Safety Center (Reference10) into current shift handover practices. This will focus onthe nature and extent of problems encountered and howimprovements can be most effectively achieved. We lookforward to sharing the findings with you in due course.


10. References and recommended reading

1. Lees’ Loss Prevention in the Process Industries, Frank P. Lees, 3rd Edition, Elsevier.

2. Offshore Technology Report – OTO 96 00, Health and Safety Executive (HSE).

3. Guidelines for Safe Process Operations and Maintenance Centre for Chemical Process Safety (CCPS).

4. Supplement B, 2008, Annual Self Evaluation Report, Occupational Safety & Health Administration, Voluntary Protection Programs,www.osha.gov/dcsp/vpp.

5. HSE Human Factors Briefing Note No. 8 – Safety-Critical Communications, www.hse.gov.uk/humanfactors/topics/08communications.pdf.

6. Research findings from the Abnormal Situation Management Organisation, www.asmconsortium.net.

7. Ian Nimmo, President, User Centered Design Services, Inc., www.mycontrolroom.com/site (also with the Abnormal SituationManagement Consortium, above).

8. LIFETRACK - Enhancing Team Knowledge and Corporate Memory in Petrochemical Operations Through Sharing Lessons Learnt, Dr TonyHolden and Paul Wilhemmij, Cambridge University, available in Safety-critical Systems, The Convergence of High Tech and HumanFactors – Proceedings of the Fourth Safety-Critical Systems Symposium, ISBN: 978354076009.

9. The Health & Safety Information Gap – an AVEVA Point of View paper, available from www.aveva.com/publications.

10. The Mary K O’Connor Process Safety Center (Texas A&M University/MKOCPSC - http://process-safety.tamu.edu/).

AVEVA believes the information in this publication is correct as of its publication date. As part of continued product development, such information is subject to change without prior notice and is related to thecurrent software release. AVEVA is not responsible for any inadvertent errors. All product names mentioned are the trademarks of their respective holders.

Copyright 2012 AVEVA Solutions Limited and its subsidiaries. All rights reserved. BP/SHAND/12

AVEVA Group plcHigh CrossMadingley RoadCambridgeCB3 0HBUK

Tel +44 (0)1223 556655Fax +44 (0)1223 556666

www.aveva.com

Headquartered in Cambridge, England, AVEVA Group plc and its operatingsubsidiaries currently employ staff worldwide in Australia, Austria, Brazil,Canada, Chile, China, Columbia, Denmark, Finland, France, Germany, Hong Kong,Hungary, India, Italy, Japan, Malaysia, Mexico, Norway, Poland, Russia, SaudiArabia, Singapore, Spain, Sweden, South Korea, United Arab Emirates, UnitedKingdom and the United States of America. AVEVA also has representatives inadditional countries around the world.

For more details on AVEVA Worldwide Offices, visit www.aveva.com/offices

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