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This edition first published 2019
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It is sincerely hoped that the information presented in this document will lead to an even more impressive safety record for the entire industry; however, the American Institute of Chemical Engineers (AIChE), its consultants, the AIChE's Center for Chemical Process Safety (CCPS) Technical Steering Committee and the Process Safety Leadership Challenge Subcommittee members, their employers, their employer's officers and directors, and Scott Berger and Associates LLC and its subcontractors, do not warrant or represent, expressly or by implication, the correctness or accuracy of the content of the information presented in this book. As between (1) the AIChE, its consultants, the CCPS Technical Steering Committee and Subcommittee members, their employers, their employer's officers and directors, Scott Berger and Associates LLC and its subcontractors, and (2) the user of this document, the user accepts any legal liability or responsibility whatsoever for the consequence of its use or misuse.
The American Institute of Chemical Engineers (AIChE) has led efforts to improve process safety in the chemical, petroleum, and allied industries for more than six decades. Through strong ties with process designers, constructors, operators, maintenance professionals, safety professionals, and members of academia, AIChE has enhanced communications and fostered continual improvement of the industry's high process safety standards. AIChE publications and symposia have become the premier information resources for those devoted to process safety and environmental protection.
AIChE formed the Center for Chemical Process Safety (CCPS) in 1985 after the tragic incidents in late 1984 in Mexico City, Mexico, and Bhopal, India. CCPS is chartered to develop and disseminate technical and leadership guidance and expertise to help prevent fires, explosions, toxic releases, and major environmental impacts. CCPS is supported by more than 200 member-companies around the world. Members provide the necessary funding and professional expertise to its many committees. A major product of CCPS activities has been a series of guideline and concept-related publications to assist those implementing various elements of a process safety and risk management system. This concept book is part of that series.
The American Institute of Chemical Engineers (AIChE) and its Center for Chemical Process Safety (CCPS) thank the Process Safety Leadership Subcommittee members and their CCPS member companies for their generous efforts and technical contributions to this book. CCPS also thanks the members of the CCPS Technical Steering Committee for their advice and support.
CCPS Process Safety Leadership Subcommittee
The Chairs of the Process Safety Leadership Subcommittee were Bernard Gross, of Hess Corporation (retired) and John Wincek, originally of Croda, Inc. and currently of Dekra. The CCPS staff consultant was Dan Sliva. The Subcommittee members were:
CCPS thanks Scott Berger and Associates, LLC for preparing the manuscript. Scott Berger, President, served as project manager and co-author. Kenan Stevick, President, KPS, Inc., served as co-author. The Honorable Israel Dubin (retired) served as editor. Allison Berger provided research assistance for Chapter 1. Steve Eason, President, High Desert Safety, provided guidance on the outline. Cynthia Berger, member of the National Association of Science Writers, provided a final read-through to assure quality.
Peer Reviewers
Before publication, all CCPS books receive a thorough peer review. CCPS gratefully acknowledges the thoughtful comments and suggestions of the peer reviewers. Their work enhanced the accuracy and clarity of these guidelines.
Throughout this book, the abbreviation PSMS has been used to stand for Process Safety Management System. While this term is not yet in common usage, the authors felt that it was important to avoid the more common abbreviation PSM. Since PSM refers to a regulation of the USA, PSMS helps convey that this book applies globally and specifically addresses the leadership needed to drive and sustain the company's process safety performance and culture.
The subcommittee and the authors intended this book to use direct language, as is common to management-oriented books. Technically-oriented readers accustomed to sentence construction like, “It is recommended that leaders consider measures to…” may at first be surprised to read, “As a leader, you must….” However, you will soon agree that leadership in process safety requires clear communication, clear direction, and disciplined execution at all levels of the organization. Direct language helps accomplish that.
In the above example and throughout the book, the use of the word “must” does not convey in any way that this book represents a voluntary consensus standard. Like other CCPS books, this book represents best and emerging practices. In that context, “must” refers only to what leaders and companies need to do if they aspire to demonstrate best-in-class process safety leadership.
Any key terms used in this book are defined when they are introduced. This book follows the standard CCPS glossary, which can be found at:
http://www.aiche.org/ccps/resources/glossary
Why, you may ask, another book on leadership? The answer is clear and grounded in our current and historical situation. Around the globe, significant hazardous releases continue to occur daily, many with catastrophic potential. Nearly all look like previous incidents, what Tony Barrell described as “an awful sameness,” and all are preventable. As leaders, how can we accept this, when one of our primary roles is to manage risk, including the risk of process safety incidents.
Within a few years of its founding, CCPS recognized the importance of leadership in advancing process safety. In Guidelines for Technical Management of Chemical Process Safety (Ref. FM.1), the first book describing a Process Safety Management System (PSMS), CCPS wrote:
At every level, the critical ingredient in any management system is leadership. Leadership is what drives a management system. For chemical process safety management, leadership is essential to provide visibility, momentum, a sense of organizational commitment and direction, and ultimately reinforcement, through the distribution of rewards and punishments for variable levels of performance. Leadership is needed at every level – from the CEO to the first-line supervisor. In the absence of strong, effective, continuing leadership, the desired level of safety performance will not be achieved.
Over time, additional experience in the CCPS community found that the leadership role was even more critical. The 20 Process Safety Management System (PSMS) elements described in Guidelines for Risk Based Process Safety (Ref. FM.2) included 3 elements that leaders are specifically responsible for, namely, culture, conduct of operations, and management review.
Today, additional experience has proven that process safety is much more than a technical discipline with some management oversight. Instead, it is a way of professionally doing business that must be driven by leaders, from the very top of the organization to the very bottom. This book makes a compelling business case for process safety, and then lays out in detail the leadership skills and knowledge needed at all levels of the organization to drive consistent, reliable process safety performance.
Like many other CCPS publications, this book introduces previously unpublished experience, approaches, and thinking. It builds upon and links to CCPS's prior work as well as cited literature, the broad experience of the CCPS community, and the specific experience of the subcommittee members and the authors. We offer it to you as part of our commitment to continual improvement, leading to the elimination of process safety incidents.
Leaders, working together at all levels in the organization to professionally execute their PSMSs can make great things happen. This is our time to rise to the challenge to reduce process safety incidents by orders of magnitude. Our shareholders demand it, our employees deserve it, and our communities expect it!
Scott Berger and Kenan Stevick, May 21, 2018
In 1989, CCPS first identified “leadership support” as a fundamental requirement for process safety (Ref. FM.1). Experience gained by CCPS member companies and others over the past 30 years has certainly borne this out. Any company that has had sustained success in reducing process safety incidents has engaged all levels of leadership in process safety. Leaders set policy and risk criteria, ensure implementation of appropriate barriers, and establish management systems to manage the broad operational, technical, and support functions required to ensure proper maintenance of these barriers.
Since its first publication on the subject, CCPS has developed numerous support tools for leaders, including:
among others. However, until now, no comprehensive resource for leaders existed. This book provides leaders at all levels and functions with essential tools to help them fulfill their process safety responsibilities.
Many companies have made impressive progress in the technical and leadership aspects of process safety. Some companies may believe they have achieved excellence in process safety performance, and some of these may actually have done so. However, lessons learned from major incidents at companies thought to have strong process safety performance has shown that few have achieved the level of process safety excellence they believed – or needed.
Furthermore, at whatever level of excellence attained, even just maintaining that level requires continual effort. New technologies emerge. Products and processes change. Leaders and operating personnel move to new roles. Like equipment, process safety management system (PSMS) performance can degrade without maintenance. At the current pace of change, excellence can quickly degrade to mediocrity or worse.
Therefore, as a leader at any level of any company that handles or produces hazardous materials, you should use this book to continually evaluate and enhance process safety leadership across your organization – even if you believe your organization has already achieved excellence. As you read, consider the following questions:
These questions, and the answers you develop as you read this book, apply whether you are a Board Director, CEO, business leader, operations leader, or functional leader. They even apply if you are an individual contributor, operator, or craftsman. Your level in the organization cannot be too high or too low to demonstrate, and to develop, process safety leadership.
Chapter 1 of this book sets the stage by making the business case for process safety. While process safety is an ethical imperative – and that should be business case enough – the robust leadership required for process safety brings additional benefits to the top line, the bottom line, and shareholder value.
Chapter 2 explains the principles of process safety and the leadership skills required to make it work. Chapter 2 also addresses and corrects common misunderstandings about compliance and incident investigation and highlights economic downturns and resurgences as two areas requiring particularly diligent leadership.
Chapter 3 introduces key leadership attributes important for process safety, many of which apply to every other business function. The chapter introduces the concept of process safety culture and lays out a roadmap to develop or improve culture.
Chapter 4 discusses the common elements of process safety management systems (PSMSs). For each element, the chapter highlights roles for leaders at many levels. While reading this chapter, pay attention to roles other than your own. This will help you lead your team in their process safety leadership development, while also helping you develop the leadership skills you will need as you advance through the organization.
Chapter 5 considers the spectrum of process safety leadership responsibilities for a representative sampling of positions in a typical company. These positions include line roles from the CEO to the frontline operational personnel, as well as many supporting roles.
Chapter 6 describes a Responsible – Accountable – Communicated-to – Informed (RACI) exercise that you can do with your team to ensure assignment of all required leadership accountabilities and responsibilities, and establishment of the necessary support and communication channels. The chapter also presents an example RACI chart for a small organization.
Chapter 7 summarizes the concepts described in the book. Readers who wish to start with the 10,000-meter view before diving into the details may choose to start with this chapter. But if you start with Chapter 7, do not stop there. Process safety leadership is about getting the details right. So, you must dive into the details.
As you proceed through the chapters, you will see common themes repeated:
Many leaders will find it useful to have their entire team read this book together and meet periodically to discuss it. In such meetings you and your team can highlight organizational or personal development needs and create action plans and goals.
Whether you read this book with a group or alone, flag or dog-ear important pages and take many notes in the margins. Take advantage of the personal development and action planners provided in the downloadable materials presented with this book.
If your company has operated hazardous facilities for many years, you will likely find some items in the book that you already do well. Congratulations! But keep going, seeking useful nuggets that will help you improve your leadership impact for process safety even more. Ask your team to do the same.
Some readers may benefit by benchmarking or discussing this book in industry groups. These may include local commerce leagues, business or trade associations at the regional, national, or international level, and technical, engineering, and HSE societies. Experience from the CCPS community gained in the past 30+ years has shown that when you share your experience in process safety in an open forum, you gain many times the insight from the other participants. Even if your company is a CCPS member – which, if not, it should strongly consider – you will benefit from discussing process safety in other industry groups.
Thank you for reading this book. There is really no business priority that comes ahead of protecting workers, the operation, the community, and the environment. But if you can do this well, you will enjoy many additional benefits.
Any company producing or handling hazardous materials has the potential for a catastrophic fire, explosion, or toxic release if they do not control these hazards adequately. If you do not know your risk of a catastrophic incident, you likely have more gaps in process safety leadership than you believe.
Regardless of your industry, scale, or the complexity of your company, you need leadership and multi-disciplinary expertise focused on producing and handling hazardous materials safely. You will need to address process safety in design, equipment and raw material purchasing, hiring and training, construction, operation, and maintenance.
Everyone in your company, regardless of level or function, needs to understand their process safety responsibilities and how these responsibilities fit into the overall risk management process. As you read this book, resist the urge to hurry through portions not applicable to your role.
Icons provided throughout the book highlight different role responsibilities:
Due to the close linkage of leadership to culture, an additional icon highlights the core principles of process safety culture, as described by CCPS in the sister publication of this book (Ref. FM.4).
Process safety culture core principle 
We recommend that you read this book in its entirety first. This will help you understand the framework of process safety works and how leadership makes the roles mesh. Then go back and use the icons above to focus on your area of responsibility. Highlight or take note of the subchapters that you may need to improve in your area of responsibility or put in your personal development plan. You may find the two provided process safety leadership planner templates helpful: a process safety goal/action planner and a process safety personal development/review planner. Download them from:
www.aiche.org/ccps/publications/leadership.
Ideally, leadership teams and natural work teams will read this book together, meeting periodically to discuss key points and plan action items.
