GUIDELINES FOR

ASSET INTEGRITY MANAGEMENT

 GUIDELINES FOR
ASSET INTEGRITY MANAGEMENT

CENTER FOR CHEMICAL PROCESS SAFETY

of the
AMERICAN INSTITUTE OF CHEMICAL ENGINEERS
New York, NY
Copyright © 2017 by the American Institute of Chemical Engineers, Inc. All rights reserved.

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10 9 8 7 6 5 4 3 2 1
It is sincerely hoped that the information presented in this document will lead to an even more
impressive safety record for the process industries; however, neither the American Institute of Chemical
Engineers (AIChE), its consultants, the AIChE’s Center for Chemical Process Safety (CCPS) Technical
Steering Committee, the Asset Integrity Management Subcommittee members, their employers, their
employers’ officers and directors, nor Unwin Company and its employees, officers and directors warrant
or represent, expressly or by implication, the correctness or accuracy of the content of the information
presented in these Guidelines. As between (1) the AIChE, its consultants, the CCPS Technical Steering
Committee and Subcommittee members, their employers, their employers’ officers and directors, and
Unwin Company and its employees, officers and directors, and (2) the user of this document, the user
accepts any legal liability or responsibility whatsoever for the consequence of its use or misuse.

It is the commitment of CCPS to develop publications with the intent of driving continual improvement
in process safety. To this end, this publication may, at its release, characterize an aspirational level of
performance representing a state beyond recognized and generally accepted good engineering practice
(RAGAGEP). It should be noted that RAGAGEP is not a static concept and will change based on
continuously evolving industry information. As industry practices advance with time, generally
accepted practices may reach and potentially surpass the practices described in this publication. Users
are responsible to make their own determinations whether this CCPS publication is RAGAGEP.
CONTENTS

List of Figures xi
List of Tables xiii
Preface xvii
Acknowledgments xix
Files on the Web xxi
1 Introduction 1
1.1 Background and Scope 1
1.2 What is Asset Integrity Management? 2
1.3 What Assets are Included? 5
1.4 AIM Life Cycle 7
1.5 Relationship to Other Programs 7
1.6 Relationship to RAGAGEP 8
1.7 Structure of this Document 12
Chapter 1 References 15
2 Management Responsibility 17
2.1 Leadership Roles and Responsibilities 17
2.2 Technical Assurance Responsibilities 25
Chapter 2 References 29
3 AIM Life Cycle 31
3.1 Overview 31
3.2 Research Through Process Development 33
3.3 Process Design 35
3.4 Engineering, Procurement and Construction 39
3.5 Commissioning 40
3.6 Operation and Maintenance 42
3.7 Decommissioning 44
3.8 RAGAGEP Selection and Application at Each Stage 45
Chapter 3 References 47
Appendix 3A. Design Review Suggestions 49
4 Failure Modes and Mechanisms 53
4.1 Introduction 53
4.2 Equipment Functions and Functional Failure 54
4.3 Failure Modes 57
4.4 Damage Mechanisms 61
4.5 Failure Effects 64

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4.6 Risk 65
4.7 Analysis 66
4.8 ITPM Task Assignments 69
4.9 Operational Issues 69
4.10 Other Related Activities 70
Chapter 4 References 70
Appendix 4A. Risk Concepts Related to AIM 73
5 Asset Selection and Criticality Determination 77
5.1 Program Objectives and Philosophy 77
5.2 Asset Selection Criteria and Principles 79
5.3 Level of Detail 84
5.4 Asset Criticality Determination 86
5.5 Documentation 96
5.6 Roles and Responsibilities 97
Chapter 5 References 99
Appendix 5A. Sample Guidelines for Selecting Assets for an AIM
Program 100
6 Inspection, Testing and Preventive Maintenance 105
6.1 ITPM Task Planning 107
6.2 ITPM Task Execution and Monitoring 128
6.3 ITPM Program Roles and Responsibilities 137
Chapter 6 References 141
Appendix 6A. Common Predictive Maintenance and Nondestructive
Testing (NDT) Techniques for Mechanical Equipment 142
7 Established Approaches for Developing Test and
Inspection Plans 171
7.1 Code/Standard Approaches 171
7.2 Regulatory Authority Approaches 172
7.3 Company-Specific Approaches 172
7.4 Risk-Based Inspection (RBI) 173
7.5 Failure Modes, Effects and Criticality Analysis Approaches 176
7.6 Safety Instrumented Systems 179
Chapter 7 References 184
8 AIM Training and Performance Assurance 187
8.1 Skills and Knowledge Assessment 189
8.2 Training For New and Current Workers 191
8.3 Verification and Documentation of Performance Assurance 193
8.4 Certifications 194
8.5 Ongoing and Refresher Training 195
8.6 Training for Maintenance Technicians and Operators
Performing Maintenance Tasks 197
8.7 Training for Technical Personnel 200
CONTENTS ix

8.8 Contractor Issues 202

8.9 Roles and Responsibilities 203
Chapter 8 References 206
Appendix 8A. Sample Training Survey 207
Appendix 8B. Sample Training Guide 208
9 Asset Integrity Procedures 211
9.1 Types of Procedures Supporting the AIM Program 213
9.2 Identification of Needs 216
9.3 Procedure Development Process 220
9.4 Format and Content 223
9.5 Other Sources of AIM Procedures 226
9.6 Implementing and Maintaining AIM Procedures 227
9.7 AIM Procedure Program Roles and Responsibilities 229
Chapter 9 References 229
Appendix 9A. Example AIM Procedure 232
10 Quality Management 239
10.1 Design 241
10.2 Procurement 243
10.3 Fabrication 244
10.4 Receiving 246
10.5 Storage and Retrieval 247
10.6 Construction and Installation 248
10.7 In-service Repairs, Alterations and Rerating 250
10.8 Temporary Installations and Temporary Repairs 252
10.9 Decommissioning / Re-use 254
10.10 Used Assets 255
10.11 Spare Parts 256
10.12 Contractor-Supplied Assets and Materials 256
10.13 QA Program Roles and Responsibilities 257
Chapter 10 References 257
Appendix 10A. Sample Vendor QA Plan 260
Appendix 10B. Positive Material Identification 262
Appendix 10C. Sample Service Contractor QA Plan 266
11 Equipment Deficiency Management 269
11.1 Equipment Deficiency Management Process 270
11.2 Acceptance Criteria 270
11.3 Equipment Deficiency Identification 274
11.4 Responding to Equipment Deficiencies 275
11.5 Equipment Deficiency Communication 278
11.6 Tracking of Temporary Repairs 279
11.7 Deficiency Management Roles and Responsibilities 279
Chapter 11 References 280
x GUIDELINES FOR ASSET INTEGRITY MANAGEMENT

12 Equipment-Specific Integrity Management 287

12.1 Vessels, Tanks and Piping 289
12.2 Relief and Vent Systems 294
12.3 Instrumentation and Controls 297
12.4 Rotating Equipment 300
12.5 Fired Equipment 303
12.6 Electrical Systems 304
12.7 Fire Protection and Suppression Systems 305
12.8 Ventilation and Purge Systems 306
12.9 Protective Systems 307
12.10 Passive Mitigation Systems 309
12.11 Solids-Handling Systems 310
12.12 Refrigeration Systems 311
12.13 Utilities 311
12.14 Safety Equipment 311
Chapter 12 References 314
Appendix 12A. Asset Integrity Activities by Equipment Type 317
13 AIM Program Implementation 383
13.1 Budgeting and Resources 383
13.2 Use of Data Management Systems 396
13.3 AIM Benefits and Return on Investment 400
Chapter 13 References 402
Appendix 13A. AIM Program Design Activity Worksheets 403
14 Metrics, Audits and Continuous Improvement:
Learning from Experience 409
14.1 Performance Measurement and Monitoring 411
14.2 AIM Program and Implementation Audits 420
14.3 Continuous Improvement 427
Chapter 14 References 429
Appendix 14A. AIM-Related Regulatory Citations 430
15 Other Asset Management Tools 437
15.1 Introduction to Common Risk-based Analytical Techniques
Used in AIM Programs 437
15.2 Incorporating Risk into AIM Decisions 443
15.3 Reliability-Centered Maintenance 445
15.4 Protection Layer Analysis Techniques 448
15.5 Asset Failure and Root Cause Analyses 451
Chapter 15 References 457

Acronyms and Abbreviations 459

Glossary 463
Index 469
LIST OF FIGURES

FIGURE
1-1 Summary of AIM activities throughout a facility life cycle 8
2-1 Definition of the integrity operating window (IOW) 26
3-1 Life cycle stages cross-referenced to Chapter 3 sections 32
5-1 Risk-based determination of safety-critical equipment 95
6-1 ITPM task selection process 108
6-2 Contribution of early, constant and wear-out failures to observed
failure rate 116
6-3 Example ITPM task selection decision tree 119
7-1 Management of risk using RBI 174
7-2 RBI program flowchart 177
7-3 SIS development and implementation steps showing test and
inspection interfaces 182
8-1 Training flowchart 188
9-1 AIM procedure hierarchy 216
9-2 Basic procedure development process 220
9-3 Procedure-writing checklist 220
11-1 Technical evaluation condition selection 271
14-1 AIM program continuous improvement model 410
14-2 Example AIM process map with suggested performance measures 418
15-1 Example risk matrix with ALARP region 444
15-2 Example RCM decision tree 447
15-3 Sample LOPA worksheet 450
15-4 Sample failure analysis process 453
15-5 Sample fault tree 455
15-6 Sample causal factor chart 456

xi
LIST OF TABLES

TABLE
1-1 Example AIM Interfaces with Other Facility Programs 9
1-2 Relationships between AIM Activities and Risk-Based Process
Safety Elements 10
1-3 Chapters Addressing Management Systems for AIM Activities 13
2-1 Example AIM Roles and Responsibilities Matrix 22
3-1 Typical Design Code Applications 36
3-2 Issues Relevant to Use of RAGAGEP at Different Life Cycle Stages 46
4-1 Example Process Equipment Failure Modes 58
4-2 Example Failure Modes for Some Other Asset Types 59
4-3 Example Damage Mechanisms 63
4-4 Example FMEA 68
5-1 Suggested Major Incident Definition 90
5-2 Some Typical Safety-Critical Equipment for Exploration and
Production Facilities 98
5-3 Example Roles and Responsibilities Matrix for Asset Selection and
Criticality Determination 98
6-1 Definition of ITPM Terms 105
6-2 Typical Asset File Information for Selected Asset Types 111
6-3 Factors Affecting ITPM Tasks for Relief Devices, Instrumentation
and Rotating Equipment 121
6-4 Example ITPM Plan in Tabular Format 123
6-5 Example Roles and Responsibilities Matrix for the ITPM Task
Planning Phase 138
6-6 Example Roles and Responsibilities Matrix for the ITPM Task
Execution and Monitoring Phase 139
7-1 Sample FMEA Worksheet 180
8-1 Training Approach Considerations 192
8-2 General Electrician Training Matrix Format Example 194
8-3 Widely Accepted AIM Certifications 196
8-4 Training Categories and Example Requirements 200
8-5 Example Asset Engineer Potential Training Requirements 201
8-6 Example Roles and Responsibilities Matrix for the AIM Training
Program 204
9-1 Example AIM Procedures 215

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9-2 Example Qualitative Risk Ranking Results for Procedure

Determination 219
9-3 Example Roles and Responsibilities Matrix for the AIM Procedure
Program 230
10-1 Definition of Quality-Related Terms for Asset Integrity Management 242
10-2 Typical Design Code Applications 242
10-3 Repair, Alteration and Rerating 247
10-4 Sample of Codes and Standards Having QA Requirements
Applicable to Repair, Alteration and Rerating 251
10-5 Example Roles and Responsibilities Matrix for the QA Program
(Existing Facility) 258
11-1 Acceptance Criteria Resources 272
11-2 Examples of Acceptance Criteria for Common Asset Types 273
11-3 Example Roles and Responsibilities Matrix for Equipment
Deficiency Resolution 281
12-1 Codes/Standards/Practices for Pressure Vessels 290
12-2 Codes/Standards/Practices for Atmospheric/Low-Pressure Storage
Tanks 291
12-3 Codes/Standards/Practices for Process Piping 292
12-4 Codes/Standards/Practices for Pressure-Relieving Devices 295
12-5 Codes/Standards/Practices for Instrumentation and Controls 299
12-6 Codes/Standards/Practices for Pumps 301
12-7 Codes/Standards/Practices for Compressors 302
12-8 Codes/Standards/Practices for Turbines 302
12-9 Codes/Standards/Practices for Fans and Gearboxes 303
12-10 Codes/Standards/Practices for Fired Heaters and Furnaces 304
12-11 Commonly Used NFPA Codes for Fire Protection Systems 306
12-12 Codes/Standards/Practices for Refrigeration Equipment 306
12-13 Standards and Regulations for Selected Safety Equipment 313
12A-1 Asset Integrity Activities for Pressure Vessels 318
12A-2 Asset Integrity Activities for Storage Tanks 322
12A-3 Asset Integrity Activities for Piping Systems 326
12A-4 Asset Integrity Activities for Pressure Relief Valves 330
12A-5 Asset Integrity Activities for Rupture Disks 334
12A-6 Asset Integrity Activities for Conservation Vents and Other
Low Pressure/Vacuum Relief Devices 338
12A-7 Asset Integrity Activities for Flame/Detonation Arresters 342
12A-8 Asset Integrity Activities for Emergency Vents 346
12A-9 Asset Integrity Activities for Vent Headers 350
12A-10 Asset Integrity Activities for Thermal Oxidizers 354
LIST OF TABLES xv

12A-11 Asset Integrity Activities for Flare Systems 358

12A-12 Asset Integrity Activities for Explosion Vents 362
12A-13 Asset Integrity Activities for Safety Instrumented Systems and
Emergency Shutdowns 366
12A-14 Asset Integrity Activities for Pumps 370
12A-15 Asset Integrity Activities for Fired Heaters, Furnaces and Boilers 374
12A-16 Asset Integrity Activities for Switchgear 378
13-1 Summary of Resources Required for AIM Program Development
Activities 385
13-2 Typical Initial Implementation Tasks by Activity 388
13-3 Examples of Ongoing QA Activities 395
14-1 AIM Program Leading-Indicator Metrics 413
14-2 AIM Audit Approach 422
14-3 AIM-Related Regulatory Citations 430
15-1 Summary of Analytical Techniques 439
15-2 Sample RCM FMEA Worksheet 446
15-3 IEC 61511 Safety Integrity Levels 450
PREFACE

The American Institute of Chemical Engineers (AIChE) has been closely involved
with process safety and loss prevention issues in the chemical and allied industries
for nearly 50 years. Through its strong ties with process designers, constructors,
operators, safety professionals and members of academia, AIChE has enhanced
communications and fostered continuous improvement of the industry’s high safety
standards. AIChE publications and symposia have become information resources
for those devoted to process safety and environmental protection.
AIChE created the Center for Chemical Process Safety (CCPS) in 1985 after
the chemical disasters in Mexico City, Mexico and Bhopal, India. The CCPS is
chartered to develop and disseminate technical information for use in the prevention
of major chemical incidents. The Center is supported by more than 150 sponsor
companies that provide the necessary funding and professional guidance to its
technical committees. The major product of CCPS activities has been a series of
guidelines to assist those implementing various elements of a process safety and
risk management system. This book is part of that series.
Ensuring the initial and ongoing integrity of process equipment, including
instrumentation and safety systems, has become known as asset integrity
management or AIM. Asset Integrity and Reliability is a fundamental component of
successful, risk-based process safety programs. However, facilities continue to be
challenged to develop and maintain successful AIM programs. CCPS’ Technical
Steering Committee commissioned these guidelines, as an update and expansion of
the previous CCPS document Guidelines for Mechanical Integrity Systems, to
continue assisting facilities in meeting this challenge. The change in terms from
mechanical integrity to asset integrity reflects international usage, consistent with
the elements in CCPS’ more recent Guidelines for Risk Based Process Safety*, and
a recognition that a much broader set of assets needs to be properly designed,
installed and maintained at process facilities than those requiring “mechanical”
integrity.
In addition, the term equipment is often associated with an individual piece of
equipment such as a pump, compressor or vessel. The term asset better reflects
how equipment and its associated instrumentation, utilities and connections
function together as a system and the integrity of which must be maintained
holistically as a system.
______________________
*American Institute of Chemical Engineers, Guidelines for Risk Based Process Safety, Center for
Chemical Process Safety, New York, NY, 2007. References in this book are at the end of each chapter.

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xviii GUIDELINES FOR ASSET INTEGRITY MANAGEMENT

This document contains approaches and resources for designing, developing,

implementing and improving AIM programs. Even the best AIM programs cannot
guarantee that incidents will not occur. However, an effective AIM program,
integrated with other elements of process safety management, can significantly
reduce risks associated with operations involving hazardous materials and energies.
This document only addresses asset integrity for fixed facilities in the process
industries. Transportation aspects including pipeline integrity are not covered,
although many of the same principles apply.
ACKNOWLEDGMENTS

The Chemical Center for Process Safety (CCPS) thanks all of the members of the
Asset Integrity Management (AIM) Subcommittee for providing technical guidance
in the preparation of this book. CCPS also expresses its appreciation to the
members of the Technical Steering Committee for their advice and support.
The chairman of the AIM Subcommittee was Eric Freiburger of Praxair.
Mike Broadribb of Baker Risk was co-chair. The CCPS staff consultant was
John F. Murphy. The AIM Subcommittee had the following contributing members:

Andrew Basler, Mallinckrodt Matt Hedlund, Eastman Chemical

Kevin Blackwell, Honeywell Tom Sandbrook, Chemours
Russ Davis, Mistras Group John Traynor, Evonik
Jonas Duarte, Chemtura Chris Urbanowich, Petrobras

Unwin Company (Columbus, Ohio) prepared this document under contract

with CCPS. Robert W. Johnson was the lead contract author, with input from
Steven W. Rudy.
Acknowledgement is also given to Robert W. Ormsby, who was the CCPS
staff consultant at the beginning of this project; to Tom Folk, who prepared the
detailed outline for the AIM Subcommittee; and to ABSG Consulting Inc., which
prepared CCPS’ precursor to this publication, Guidelines for Mechanical Integrity
Systems.
CCPS gratefully acknowledges the comments submitted by the following peer
reviewers, whose insights and suggestions helped ensure a balanced perspective. It
should be noted that the peer review was based on a final draft of this document
and, as such, the peer reviewers did not provide comments on the final published
manuscript.
Robert A. Bartlett, Pareto Engineering & Management Consulting
James M. Broadribb, Wood Group
Robert A. Bartlett, Pareto Engineering & Management Consulting
Hugh Hemphill, Chevron
Mark Jackson, FM Global
Adrian Sepeda, Process Safety & Risk Management
Razzack Syed, Praxair Inc.
David Thaman, PPG
Terry A. Waldrop, AIG

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FILES ON THE WEB

The following files are available to purchasers of Guidelines for Asset Integrity
Management. They are accessible from the AIChE/CCPS website at
http://www.aiche.org/sites/default/files/book-downloads/AIMsupplements.pdf
using the password AIM2017. Users of this information are responsible for
determining the suitability of these resources to their particular AIM program.

Chapter 8 (AIM Training) Resources

• Sample skills/knowledge list for an electrician

• Sample skills/knowledge list for a mechanic

Chapter 12 (Equipment-Specific) Resources

• Instrumentation and controls:
− Process control systems
− Critical alarms and interlocks
− Chemical monitors and detection systems
− Conductivity, pH, and other process analyzers
− Burner management systems
• Rotating equipment:
− Reciprocating compressors
− Centrifugal compressors, including specific protection systems
(e.g., pressure cutouts)
− Process fans and blowers
− Agitators and mixers
− Electric motors
− Gas turbines
− Steam turbines
− Gearboxes
• Electrical systems:
− Transformers
− Motor controls
− Uninterruptible power supplies (UPSs)
− Emergency generators
− Lightning protection
− Grounding systems

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Chapter 15 (AIM Tool) Resources

• Presentation papers related to analysis approaches:

− Risk-Based Approach to Mechanical Integrity Success on Implementation
− An Insurer’s View of Risk-Based Inspection
− RCM Makes Sense for PSM-Covered Facilities
− Lessons Learned from a Reliability-Centered Maintenance Analysis

• Resources for performing equipment failure analyses:

− Additional detailed information on the analysis steps
− An equipment failure analysis checklist

• Resources for performing root cause analyses:

− SOURCE™ Investigator’s Toolkit
− Root cause map
− Causal factor chart and fault tree templates

• AIM program audit resources

• Presentation paper — Improving Mechanical Integrity in Chemical and

Hydrocarbon Processing Facilities - An Insurer’s Viewpoint