Construction

Industry
Institute

includes

Startup
Planning
Model

• Requirements Definition &

Planning for Startup Technology Transfer

• Conceptual Development &

Feasibility

• Front-End Engineering

• Detailed Design

• Procurement

• Construction

• Checkout & Commissioning

• Initial Operations

Implementation
Resource

121-2
Planning for Startup

Prepared by

Construction Industry Institute

Planning for Startup Research Team

Implementation Resource 121-2

April 1998

Reviewed by CII 23Jun04

© 1998 Construction Industry Institute™.

The University of Texas at Austin.

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modification for educational use.

Printed in the United States of America.

Contents

Chapter Page

Introduction ........................................................................................................... 1

Phase 1: Requirements Definition and Technology Transfer ................................. 15

Phase 2: Conceptual Development and Feasibility ............................................... 21

Phase 3: Front-End Engineering ........................................................................... 31

Phase 4: Detailed Design ...................................................................................... 81

Phase 5: Procurement ......................................................................................... 121

Phase 6: Construction ........................................................................................ 125

Phase 7: Checkout and Commissioning .............................................................. 133

Phase 8: Initial Operations ................................................................................. 143

Implementation Case Study ................................................................................ 147

Appendix A: Glossary of Terms ......................................................................... 153

Appendix B: References ................................................................................................ 157

Introduction

The importance of startup planning is evident given the challenging

characteristics of today’s industrial business environment:

• pressures to increase profits by reducing costs

• reduction in owner project staff and increases in outsourcing of

services

• demand for shorter project cycle times

• lack of planning capabilities and supportive tools.

These business challenges demand increases in organizational efficiency

and management effectiveness. As a result, planning and training tools are
in high demand.

Definition of Startup

Plant startup is defined as the transitional phase between plant

construction completion and commercial operations, including all of the
activities that bridge these two phases. Critical steps within the startup
phase include system turnover, check-out of systems, commissioning of
systems, introduction of feedstocks, and performance testing.

Project Success, Startup Success, and Planning for Startup

Project management and the perception of project success must be

aligned with a new paradigm: mechanical completion is not the project
objective; successful commercial operations is. Successful commercial
operation requires a successful startup. The message is evident — if you
want a successful project, you must plan for a successful startup.

Further analysis of startups indicates that there is a reasonably strong

correlation between startup success and extent of startup planning. The
message is again clear: effective startup planning requires that the right
issues be addressed by the right people at the right time.

1
Introduction

The Startup Planning Model

Startup is a critical phase in the plant life-cycle and must be given

adequate attention. The purpose of the Startup Planning Model (pages 5–8)
is to help industry plan startups in a more thorough, effective, and efficient
manner. The model is not intended to be a project management primer;
rather, the activities in the Startup Planning Model should be supplemented
with effective, basic project management practices.

The Planning for Startup Model is a sequence of 45 planning activities

organized according to eight typical project phases (see Table 1.1). The
model is presented in a flow chart that illustrates the interrelationships
between the startup planning activities. Each planning activity is detailed
in a one-page activity profile that presents nine fields of descriptive
information.

Table 1.1. Startup Planning Model Phases and Activities

No. of Startup
Project Phase Planning Activities

Requirements Definition and Technology Transfer 1

Conceptual Development and Feasibility 3
Front-End Engineering 10
Detailed Design 15
Procurement 3
Construction 7
Checkout & Commissioning 3
Initial Operations 3

The 45 planning activities are complemented with 26 tools, each

appropriately itemized on the activity profiles under the heading “Tools
Needed/Provided.” These tools are intended to facilitate the implementation
of the particular startup planning activity.

2
 Phase 1 - Requirements Definition & Technology Transfer

Ensure Sr. Management Commitment

Business Plan Technology Transfer Package
[1-A]

Phase 2 - Conceptual Development & Feasibility

Seek Realistic
Startup Duration
Forecast
[2-A]
Recognize
Estimate
Impact of Startup
Startup Cost
on Economics
[2-B]
Q [2-C]

Phase 3 - Front-End Engineering

Establish
Startup Objectives
[3-A]
Make Startup Refine Startup
Team Assignments Budget & Schedule
[3-C] [3-I]

Develop Startup Acquire Operations Assess Analyze Startup Update Startup

Execution Plan & Maintenance Input Startup Risk Incentives Execution Plan
[3-B] [3-E] [3-F] [3-G] Q [3-J]

Identify Startup
Identify
Procurement
Startup Systems
Requirements To Phase 4
[3-D]
[3-H]

Introduction
Q = Quality Gate
3
 Introduction
4

Update Startup Execution Plan

Q [3-J]

Phase 4 - Detailed Design

Address Assess & Communicate Plan for Include Startup in Plan for
Startup Issues in Startup Effects Supplier Field Support Project CPM Schedule Startup QA/QC
Team-Building Sessions from Changes of Startup [4-D] [4-E]
[4-A] [4-B] [4-C]

Refine Startup Team Acquire Additional Indicate Startup System Refine Startup
Organization & Operations & Numbers on Engineering Risk Assessment
Responsibility Maintenance Input Deliverables [4-I]
Assignments [4-G] [4-H]
[4-F]

Plan Develop Startup Develop System Develop &

Operator/Maintenance Spare Parts Plan Turnover Plan Communicate Startup
Training [4-K] [4-L] Procedures & PSM
[4-J] [4-M]

Refine Startup
Budget & Schedule
[4-N]

Update Startup Execution Plan

Q [4-O]

Q = Quality Gate To Phase 5

 Update Startup Execution Plan
Q [4-O]

Phase 5 - Procurement

Qualify Suppliers Refine Startup Spare Implement Procurement

for Startup Services Parts Plan & Expedite QA/QC Plan
[5-A] [5-B] [5-C]

Phase 6 - Construction

Update Startup Execution Plan Finalize Startup

& Issue for Construction Risk Assessment
Q [6-A] [6-F]

To Phase 7
Refine Conduct Implement Field Conduct Construction
Startup Integrated Operator/Maintenance QA/QC Plan Startup Team Building
CPM Schedule Training [6-E] [6-B]
[6-C] [6-D]

Transition to
Startup System Based
Execution
[6-G]

Q = Quality Gate
To Phase 7

Introduction
5
 Introduction
6

Update Startup Execution Plan Transition to

& Issue for Construction Startup System Based Execution
Q [6-A] [6-G]

Phase 7 - Checkout & Commissioning

Finalize
Operations/Maintenance Checkout Systems Commission Systems
Organization & [7-B] [7-C]
Q Q
Management System
Q [7-A]

Phase 8 - Initial Operations

Introduce Feed Stock Conduct Finalize

[8-A] Performance Testing Documentation
[8-B] [8-C]

Q = Quality Gate
 Introduction

Startup Planning Priorities

Properly and thoroughly implemented, all 45 startup activities contained

in the Startup Planning Model will significantly increase the predictability
of startup success. However, some of the planning activities are more
important than others. The Startup Planning Model includes eight activities
that are particularly important. These are designated as “Quality Gates”
or checkpoints for assessing the thoroughness of startup planning. These
Quality Gates include the following activities:

Table 1.2. Startup Planning Quality Gates

Title

Recognize the impact of startup on project economics

Update the Startup Execution Plan
Finalize the Operations & Maintenance organization and management
systems
Check-out systems
Commission systems
Finalize documentation

The Startup Planning Model should be viewed as a flexible collection

of best practices to be customized to suit the needs of the user. Users will
want to customize the model to reflect unique organizational structures
and terminology and to integrate with other project approaches and
procedures.

Responsibility and Accountability for Planning

Startup success requires a team approach with active planning

participation of all project stakeholders. Accordingly, the Planning for
Startup Model is targeted to a wide variety of audiences. Messages are

7
Introduction

targeted to manufacturing business unit management, plant operations

and maintenance management, owner project management, and contractor
project management:

Common Messages for All Audiences:

• Project success is highly sensitive to the level of startup success.

• Startup success is driven by the degree or extent of planning for

startup.

• Startup success requires a commitment to startup planning by all

three management entities: business unit, plant operations, and
owner project management.

Manufacturing Business Unit Management:

• The manager of the business unit must take the lead in defining
startup objectives.

Plant Operations & Maintenance Management:

• Plant operations and maintenance personnel are responsible for

many important startup planning activities in front-end engineering
and detailed design phases.

Owner Project Management:

• The owner’s project manager is the overseer of the startup planning

process and is fundamentally accountable for startup planning
and success.

8
 Introduction

Barriers to Successful Startup Planning

Startup planning is not easy and has many barriers. Overall, 140
barriers to the 45 activities have been identified. These barriers can be
grouped by common themes:

• Ineffective communication

• Schedule pressures

• Lack of personnel, information, or other resources

• Denial of potential problems

• Planning efforts being applied too late

Challenges (or barriers) to startup planning activities in the early

phases of projects are dominated by denial of potential problems and lack
of information or other resources. Challenges (or barriers) to startup
planning activities during detailed design are dominated by communication
problems. Everyone involved in startup planning should be aware of the
challenges and barriers to effective planning, and those who are either
accountable or responsible for the planning activities should make special
efforts to confront these challenges to minimize their impact to the project.
All challenges must be treated in a deliberate and focused manner, or the
impacts can be substantial.

Overview of Tools

The Startup Planning Model is supported with a total of 26 tools. As

shown in Table 1.3, many of the 26 tools support startup planning
activities in either the front-end engineering or detailed design phases,
which are critical opportunities for startup planning.

9
Introduction

Table 1.3. Startup Planning Tools by Phase

Project Phase No. of Tools

1: Requirements Definition & Technology Transfer 2

2: Conceptual Development & Feasibility 3
3: Front-End Engineering 12
4: Detailed Design 8
5: Procurement 0
6: Construction 0
7: Checkout & Commissioning 1
8: Initial Operations 0

While all 26 tools (listed in Table 1.4) are important and can facilitate
startup planning in some beneficial way, arguably, two tools standout as
most important and can be used to substantially improve the quality of
startup planning. These two tools are the SuPER tool (Tool 1-A-2) for
evaluating the degree of startup planning, and the Startup Execution Plan
(Tool 3-B-2), a mechanism for integrating all startup planning
developments.

The SuPER Tool

Effective startup planning requires a thorough, well-planned, and

monitored approach. In order to accomplish this, the Startup Planning
Evaluation Rating (SuPER) Tool was developed to enable the tracking and
monitoring of startup planning efforts. The concept is simple. At any point
in the project execution process, startup planners should collectively
assess the current level of startup planning and compare that level with the
targeted planning level (also provided in Tool 1-A-2). In this way,
managers can easily assess the level of startup planning and identify
planning deficiencies.

10
 Introduction

Table 1.4. Startup Planning Tools

Tool # Tool Name

1-A-1 Plot of Startup Planning vs. Startup Success
1-A-2 Startup Planning Assessment Tool
2-A Integration of Startup Planning into Conceptual Project
Schedule
2-B Example of Startup Cost Estimating Sheet
2-C Financial Risk Assessment Checklist
3-A Checklist of Typical Startup Objectives
3-B-1 Transition from Construction to Operations
3-B-2 Sample Table of Contents for the Startup Execution Plan
3-B-3 Checklist of Startup Quality Gates
3-C-1 Sample Organization Chart
3-C-2 Sample RACI Chart
3-D Guidelines for Defining Startup Systems
3-E-1 P&ID Flowchart
3-E-2 P&ID Checklist of Information Elements
3-F Startup Risk Checklist
3-H Common Startup Needs Supported by Suppliers
3-I Checklist of Typical Startup Activities
4-B Checklist of Change Impacts on Startup
4-E Common Needs for Pre-Shipment Testing
4-H Example of Startup System Coding System
4-J-1 Example of Table of Contents of an Operator Training
Plan
4-J-2 Example of Table of Contents of an Operator Manual
4-K Example of Table of Contents of a Spare Parts Plan
4-L-1 Example of System Turnover Plan Table of Contents
4-L-2 Examples of Turnover Criteria Checklists and
Certifications
7-B Checkout and Commissioning Checklist

11
Introduction

The numerical rating scheme can serve as a useful and informative

incentive for further startup planning. These weightings incorporated into
the SuPER tool are based on an analysis of actual project startups and the
respective degrees of planning found in both successful and unsuccessful
startups. In addition, the SuPER tool has been demonstrated on an actual
industry project and found to be very useful in monitoring the overall
startup planning process.

How do SuPER scores correlate to startup success indices? To conduct

this analysis, final SuPER scores for 20 actual startups were estimated and
analyzed with associated startup success indices. The regression analysis
indicates a strong relationship between planning and startup success and
serves to further validate the startup planning model, and in particular, the
SuPER tool.

Startup Execution Plan

A Startup Execution Plan should be developed and treated on every

project as the document with which to integrate all startup planning
activities. Beyond the guidance contained in activity profile 3-B, the
development of the Startup Execution Plan is facilitated with three tools
contained in the startup planning model:

Tool 3-B-1: Schedule Drivers and Phase Transitions: a reminder that

planning must recognize the work packaging paradigms
unique to the various project phases and the associated
transitions between each.

Tool 3-B-2: Sample Table of Contents for the Startup Execution Plan:
guidance on the types of information that should be
addressed in the execution plan.

Tool 3-B-3: Checklist of Startup Quality Gates: guidance on the

Quality Gate concept and how to exploit it for the benefit
of startup planning.

12
 Introduction

Similarities with Constructability

The Planning for Startup Model bears a close resemblance to CII’s

Constructability best practices in several ways:

• Up-front planning is required for optimal down-stream execution.

• Planning must be viewed as a front-end investment with a

corresponding down-stream payoff.

• Planning is an integrative activity, requiring the pulling together of

the knowledge, skills, and talents of many project participants.

13
 Phase 1: Requirements Definition and Technology Transfer

1-A: Ensure Senior Management Commitment to

Integrated Startup Planning and Needed Resources

A. Phase: Requirements Definition and Technology Transfer

B. Key Concepts: Business unit management and key project leaders must be equally
committed to the development of a startup plan as a key element of an integrated
overall Project Execution Plan. Operations management must be convinced to
provide startup resources throughout the project planning process.

C. Deliverables: A document that clearly identifies project goals, major risks, and key
responsibilities. Key startup expertise should be identified, especially experienced
operations personnel, to interface early-on and throughout critical project phases.

D. Motive/Rationale: Adequate support and early input from operations is crucial to

startup success, along with mutual understanding of project-specific startup needs
and risks.

E. Responsibility: Business Unit Manager or delegate

Accountability: Business Unit Manager or delegate
Consult: Owner Project Manager, Plant Manager
Inform: Planner/scheduler

F. Quality Gate/Sequencing Constraints: This is not a quality gate. However, senior

plant management commitment to startup must exist before effective startup planning
can occur.

G. Basic Steps: Understand the project business plan and the technology transfer aspect;
identify all key owner manufacturing representatives; understand the criticality of the
project schedule; and understand the order-of-magnitude of planning efforts required
for a successful startup.

H. Tools Needed/Provided:

Provided: graphical plot of project success vs. startup success; SuPER tool for periodic
evaluation of startup planning efforts

Needed: tools for assessing and ensuring management commitment to needed startup
resources

I. Challenges to Successful Implementation:

• Limited manufacturing resources available at this phase
• Current paradigms on planning and manning for startup

15
 Tool

Phase 1: Requirements Definition and Technology Transfer

16

Tool 1-A-1. Project Success vs. Startup Success (n=23)

1.0

0.9 y = 0.55x +0.29

Project Success Index

R2 = 0.56
0.8

0.7

0.6

0.5

0.4

0.3
0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0

Startup Success Index

 Tool 1-A-2: The SuPERTOOL: Startup Planning Evaluation Rating vers. 3.0 (Sheet 1 of 2)
Project:
Evaluator: Date:
No Minimal With With Minor Thoroughly
Act. No. Planning Activity Execution Effort Deficiencies Deficiencies Executed Score
1-A Ensure senior management commitment to SU planning 0 1 3 4 5 _____
2-A Seek a realistic forecast of startup duration 0 1 1 3 4 _____
2-B Estimate startup costs 0 0 1 1 1 _____
2-C Recognize the impact of startup on project economics 0 1 3 4 5 _____

Definition, Concept, & Feasibility Phase Total 0 3 8 12 15 _____

Phase 1: Requirements Definition and Technology Transfer

3-A Establish startup objectives 0 1 2 4 5 _____
3-B Develop the Startup Execution Plan 0 1 3 4 5 _____
3-C Make the startup team assignments 0 0 1 2 3 _____
3-D Identify startup systems 0 1 3 4 5 _____
3-E Acquire Operations & Maintenance input 0 1 1 3 4 _____
3-F Assess startup risks 0 1 1 2 2 _____
3-G Analyze startup incentives 0 0 1 1 1 _____
3-H Identify startup procurement requirements 0 1 1 2 2 _____
3-I 4-N Refine/update the startup budget & schedule 0 0 1 1 1 _____
3-J 4-O 6-A Update the Startup Execution Plan 0 1 3 4 5 _____

Front End Engineering Phase Total 0 7 17 27 33 _____

Total This Sheet: _____
17

Tool
 Tool

Phase 1: Requirements Definition and Technology Transfer

Tool 1-A-2: The SuPERTOOL: Startup Planning Evaluation Rating vers. 3.0 (Sheet 2 of 2)
18

Project:
Evaluator: Date:
No Minimal With With Minor Thoroughly
Act. No. Planning Activity Execution Effort Deficiencies Deficiencies Executed Score
4-A Address startup issues in team building sessions 0 0 1 1 1 _____
4-B Assess & communicate startup effects from changes 0 0 1 1 1 _____
4-C Plan for supplier field support of startup 0 0 1 1 2 _____
4-D Include startup in the project CPM schedule 0 1 2 3 4 _____
4-E Plan for startup QA/QC 0 0 1 1 1 _____
4-F Refine startup team organiz’n & respons’b’ty assignm’ts 0 1 1 3 4 _____
4-G Acquire additional O&M input 0 1 1 2 3 _____
4-H Indicate startup system numbers on engr. deliverables 0 1 1 2 3 _____
4-I 6-F Refine/update startup risk assessment 0 1 1 1 2 _____
4-J Plan operator/maintenance training 0 1 2 3 4 _____
4-K Develop startup spare parts plan 0 0 1 1 1 _____
4-L Develop system turnover plan 0 1 1 3 4 _____
4-M Develop & communicate startup procedures & PSM 0 1 1 3 4 _____
5-A Qualify suppliers for startup services 0 0 1 1 1 _____
5-B Refine/update startup spare parts plan & expedite 0 0 1 1 1 _____
5-C Implement procurement QA/QC plan 0 0 1 1 1 _____
Detailed Design & Procurement Phase Total 0 8 18 28 37 _____
6-B Conduct Construction-Startup team building 0 0 1 1 1 _____
6-C Refine/update startup integrated CPM schedule 0 1 2 3 4 _____
6-D Conduct operator/maintenance training 0 1 1 3 4 _____
6-E Implement field QA/QC plan 0 0 1 1 1 _____
6-G Transition to startup systems-based execution 0 1 2 4 5 _____
Construction Phase Total 0 3 7 12 15 _____
Maximum Total: All Phases 0 21 50 79 100 _____
Total This Sheet: _____
Total Sheet 1: _____
GRAND TOTAL:
 Tool 1-A-2. SuPER Score Target Profile
Thorough Planning 100

90

80

70

60
SuPER
50
Score

Phase 1: Requirements Definition and Technology Transfer

40

30

20

10
No Planning 0
Definition, Front-End Detailed Construction Checkout,
Concept & Engineering Design Commissioning,
Feasibility & Initial
Operations
Project Phases
19

Tool
 Phase 2: Conceptual Development and Feasibility

2-A: Seek a Realistic Forecast of Startup Duration

A. Phase: Concept Development and Feasibility

B. Key Concepts: An appropriate duration for startup activities must be included in the
project plan at this point.
C. Deliverables: Integrated project milestone schedule showing startup duration.
D. Motive/Rationale: Since startup duration forecasts are usually treated as commitments,
they should be carefully established and adequately reflected in the overall project
schedule.
E. Responsibility: Construction Project Manager, Startup Manager, Planner/Scheduler
Accountability: Owner Project Manager
Consult: Manufacturing Operations Representative, Construction Manager
Inform: Plant Manager
F. Quality Gate/Sequencing Constraints: Not a quality gate
G. Basic Steps:
1. In estimating the startup duration, consider the following:
• Business and marketing plan; technology transfer package.
• Historical basis (have similar projects been completed that can provide insight to
startup durations for this project?).
• Type of process (is the process batch, continuous, other).
• Size and complexity of unit to be started.
• Number of startup systems and number of pieces of equipment.
• Availability of check-out and startup personnel.
• Extent of effort in qualification and validation activities.
• Seasonal impacts, including special curing/drying requirements.
• Risk assessment.
• Pretreatment (i.e., catalyst).
• Environmental constraints during startup (how long not in compliance?).
2. After taking these issues into consideration, the planner should determine whether
or not to include any contingency in the estimated duration.
H. Tools Needed/Provided:
Needed: corporate database of historical durations
I. Challenges to Successful Implementation:
• Startup durations are often under-estimated, and occasionally overlooked altogether.

21
Phase 2: Conceptual Development and Feasibility

2-B: Estimate Startup Costs

A. Phase: Concept Development and Feasibility

B. Key Concepts: Seek to recognize all startup expenses that will be incurred.
C. Deliverables: Order of magnitude cost estimate for startup activities
D. Motive/Rationale: This step will help ensure that overall project budgets contain an
adequate allowance for startup prior to appropriation approval. This estimate can
also serve as input to analyzing startup impact on overall project economics.
E. Responsibility: Startup Manager, Planner/Scheduler, Estimator
Accountability: Owner Project Manager
Consult: Manufacturing Operations Representative
Inform: Plant Manager
F. Quality Gate/Sequencing Constraints: Not a quality gate
G. Basic Steps:
1. Ensure that the best possible basis documentation is used.
2. Consider or include the following in the startup cost estimate:
• A well-defined basis for beginning and ending points, such that meaningful cost
estimates can be included for startup operations.
• Pre-startup costs for startup planning and training.
• Factors such as work-hours, raw material, and auxiliary material.
• Agreed-upon endpoint for raw material charges (usually when quality and salable
product is being made).
• An agreed-upon endpoint for work-hour charges.
• Capitalization vs. expensing of startup costs (policies vary).
• Manner of charging for punch list items and minor plant modifications (e.g., charged
to either construction or startup).
• Adequate contingency for unknowns.
3. Ensure compatibility between startup cost estimate and planned duration.
H. Tools Needed/Provided:
Provided: example of startup cost estimate sheet
Needed: historical database of startup costs by project type and size
I. Challenges to Successful Implementation:
• Uncertain basis information (e.g., PFDs and P&IDs)
• Little credible historical data
• Variable accounting practices for tracking these costs
• Present paradigm: this activity is rarely done this early, if at all

22
 Phase 2: Conceptual Development and Feasibility

2-C: Recognize the Impact of Startup on Project Economics

A. Phase: Concept Development and Feasibility

B. Key Concepts: Company senior management must recognize that startup can have a
major impact on project duration, overall project costs, and overall project economics.
C. Deliverables: Detailed statement pertaining to an estimate of potential financial risk
associated with a delayed or unsuccessful startup.
D. Motive/Rationale: Early on-line plant operation generates revenue sooner, reduces
interest expense, and reduces startup expense. Overly optimistic estimates of project
payback can cloud a realistic sense of financial risk.
E. Responsibility: Manufacturing Operations Representative, Contractor Project
Manager, Startup Manager
Accountability: Owner Project Manager
Consult: Planner/Scheduler, Estimator
Inform: Plant Manager
F. Quality Gate/Sequencing Constraints: This activity should be treated as a quality gate.
G. Basic Steps:
1. The startup team must be proficient with the chosen technology in order to
successfully deal with the emerging problems associated with starting up new
technology.
2. Project venture objectives must be clearly understood for optimal project and
startup planning so that venture economics can be realized.
3. Conduct an economic analysis of startup costs versus early/on-time/late product
delivery. In conducting sensitivity analyses of “what-if” scenarios, take the
following questions into consideration: Is the product in short supply? How much
product can be sold in the first year? What are the lost profits for each day the plant
is not on-stream with salable product? What is the capital versus profit trade-off?
Should extra capital be expended to ensure on-time product with adequate
quality? Has the project team focused on optimizing engineering, construction,
and startup in a global sense vs. suboptimization?
4. This evaluation must be repeated during each of the pre-startup phases.

H. Tools Needed/Provided:
Provided: financial risk assessment checklist
Needed: video: “Trip to Abilene”
I. Challenges to Successful Implementation:
• Such “reality checks” are usually politically sensitive and difficult to accept.

23
 Tool

Phase 2: Conceptual Development and Feasibility

24

Tool 2-A: Integration of Startup Planning into Conceptual Project Schedule

1 Req. Def.
& Tech. Trans.
Startup Planning
Commitment

2 Concept. Devp.
& Feasibility
Startup Planning
Realistic Scope

3 Front End
Engineering
Startup Planning
Objective
Exec. Plan
ID Systems

4 Detailed Design
Startup Planning & Implementation
Detailed Plans

5 Procurement
Startup Planning & Implementation
Supplier Integration

6 Construction
Startup Planning & Implementation
Transitions to Systems

7 Ck Out & Comm’g

Startup Implementation
Verification Testing
 Tool 2-B: Example of Startup Cost Breakdown Structure (page 1 of 4)

Implementation
Planning effort

Material Cost

Contract Cost
(Work -ours)

(Work -urs)

Services
Item #

effort
Item
Requirements Definition & Technology Transfer
1 Engineering efforts
Phase Subtotal

Conceptual Development & Feasibility

2 Engineering efforts
3 Manufacturing/Operations efforts

Phase 2: Conceptual Development and Feasibility

4 Maintenance efforts
5 Outside services: labs, consultants, certifications
Phase Subtotal

Front-End Engineering
6 Engineering efforts
7 Manufacturing/Operations efforts
8 Maintenance efforts
9 Outside services: labs, consultants, certifications
Phase Subtotal
25

Tool
 Tool

Phase 2: Conceptual Development and Feasibility

26

Tool 2-B: Example of Startup Cost Breakdown Structure (page 2 of 4)

Implementation
Planning effort

(Work-Hours)
(Work-Hours)

Material Cost

Contract Cost
Services
Item #

effort
Detailed Design Item
11 Manufacturing/Operations efforts
12 Maintenance efforts
13 Outside services: labs, consultants, certifications
14 Training program development
Phase Subtotal

Procurement
15 Engineering efforts
16 Construction efforts
17 Manufacturing/Operations efforts
18 Maintenance efforts
19 Outside services: suppiers, labs, consultants, certifications
20 Training program development
21 Materials & equipment expense
22 Utilities
23 Feedstock, catalyst, raw material, product handling
Phase Subtotal
 Tool 2-B: Example of Startup Cost Breakdown Structure (page 3 of 4)

Implementation
Planning effort

(Work-Hours)
(Work-Hours)

Material Cost

Contract Cost
Services
Item #

effort
Construction Item
24 Engineering efforts
25 Construction efforts
26 Manufacturing/Operations efforts
27 Maintenance efforts
28 Outside services: suppiers, labs, consultants, certifications
29 Training program development and implementation

Phase 2: Conceptual Development and Feasibility

30 Materials & equipment expense
31 Utilities
Phase Subtotal

Check-out & Commissioning

32 Engineering efforts
33 Construction efforts
34 Manufacturing/Operations efforts
35 Maintenance efforts
36 Outside services: suppiers, labs, consultants, certifications
37 Training program
27

Tool
 Tool

Phase 2: Conceptual Development and Feasibility

28

Tool 2-B: Example of Startup Cost Breakdown Structure (page 4 of 4)

Implementation
Planning effort

(Work-Hours)
(Work-Hours)

Material Cost

Contract Cost
Services
Item #

effort
Item
Check-out & Commissioning (continued)
38 Material & equipment expense
39 Utilities
40 Feedstock, catalyst, raw material, product handling
Phase Subtotal

Initial Operations
41 Engineering efforts
42 Construction efforts
43 Manufacturing/Operations efforts
44 Maintenance efforts
45 Outside services: suppiers, labs, consultants, certifications
46 Material & equipment expense
47 Utilities
48 Feedstock, catalyst, raw material, product handling
Phase Subtotal
 Tool 2-C: Startup Financial Risk Assessment Checklist (page 1 of 2)
Risk Assessment Not
# Risk Issues Low Med. High Uncertain Applicable Comments
A Organizational Experience
Owner/Contractor Startup Mgr.
Owner/Contractor Startup Team
Owner/Licensor Pilot Plant Team
Key Supplier(s)
Other:

B Process Technology
Degree of Definition
New or Proven
Complexity
Pilot Plant Experience
Automation & Controls Experience
Equipment/System Redundancies

Phase 2: Conceptual Development and Feasibility

Other:

C Market for Product

Market Window
Demand Level
Break-Even Production Level
Sales Price Elasticity (Competion)
Market Form Acceptance
Market Share (Loss or Gain)
Magnitude of Profit Loss if Late
Other:

Note: This checklist is not all-inclusive, but is intended primarily to stimulate discussion.
29

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 Tool

Phase 2: Conceptual Development and Feasibility

30

Tool 2-C: Startup Financial Risk Assessment Checklist (page 2 of 2)

Risk Assessment Not
# Risk Issues Low Med. High Uncertain Applicable Comments
D Schedule Issues
Level of Project Scope Definition
Realistic Milestone Dates
Status of Long Lead Procurement
Permitting Delay Impacts
Effect of Incentives
Level of Liquidated Damages
Labor Probs./Coll. Bargaing Agreemt
Other:
E Funding Issues
Realistic Budget
Realistic Contingency & Eff. Mgmt.
Expected Labor Productivity
Other:
F Existing Plant/Site
Adequacy of Utilities
Accessibility/Congestion
Impact to Ongoing Operations
Other:
G Miscellaneous
Handling of Hazardous Material
Off-Spec Product Disposal
Quality of Startup Planning
Inherent Safety Hazards
Other:

Note: This checklist is not all-inclusive, but is intended primarily to stimulate discussion.
 Phase 3: Front-End Engineering

3-A: Establish Startup Objectives

A. Phase: Front-End Engineering

B. Key Concepts: Startup success requires that startup objectives be thoroughly defined
and communicated. Alignment of startup objectives between business unit, plant
operations, and project management must be sought and periodically monitored.
C. Deliverables: Listing of specific and measurable startup objectives
D. Motive/Rationale: In order to achieve startup success, it must be defined specifically
for each project.
E. Responsibility: Business Unit Manager, Owner Project Manager, Plant Manager
Accountability: Business Unit Manager
Consult: Contractor Project Manager
Inform: Manufacturing Operations Representative, Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate.
G. Basic Steps:
1. Assign the role of Startup Manager.
2. Assemble key personnel responsible for formulating startup objectives.
3. Propose, discuss, and evaluate startup objectives.
4. Thoroughly define startup objectives and establish associated priorities.
5. Document and communicate startup objectives throughout the project team.
H. Tools Needed/Provided:
Provided: listing of typical startup objectives.
I. Challenges to Successful Implementation:
• Lack of understanding of startup objectives and their importance on the part of the
business unit.
• Misalignment of startup objectives between project management and business unit
personnel.

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Phase 3: Front-End Engineering

3-B: Develop the Startup Execution Plan

A. Phase: Front-End Engineering

B. Key Concepts: The Startup Execution Plan must be a part of the overall Project
Execution Plan. It should be formally and thoroughly developed.
C. Deliverables: A first issue of the Startup Execution Plan that addresses all important
aspects of startup.
D. Motive/Rationale: The Startup Execution Plan provides a framework for systematic
integrated planning necessary to ensure successful implementation.
E. Responsibility: Manufacturing Operations Representative, Startup Manufacturing
Operations Representative, Project Team
Accountability: Owner Project Manager
Consult: Contractor Project Manager, Planner/Scheduler
Inform: Plant Manager
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but should
occur early in Front-End Engineering.
G. Basic Steps:
1. Gather key contributors to the Startup Execution Plan and discuss contents and
drafting responsibilities. The Startup Plan should include a detailed listing of all
startup objectives (see activity 3-A). The Startup Plan should establish the criteria
for the following: startup philosophy; commitment to startup quality gates;
identification of startup systems on engineering documents; identification of
needed resources for startup execution and operations; startup responsibilities
(including those of suppliers and operators); conceptual schedule, addressing
processes, areas, utilities, etc.; operator training needs; startup raw material needs;
identification of startup risks; plans for check-out/commissioning and initial
operations. Considerations in developing the startup philosophy include product
priorities, schedule phases and sequencing, production ramp-up curve, and
integration with shutdowns, along with other schedule “drivers.”
2. Draft the respective parts or components of the plan.
3. Gather as a team, review all component drafts and refine.
4. Issue the Plan, and begin to identify needs for refinement.
H. Tools Needed/Provided:
Provided: discussion on sequence drivers, sample Table of Contents for the Startup
Execution Plan, checklist of Startup Quality Gates
I. Challenges to Successful Implementation:
• Resource/expertise constraints at this point in the project life

32
 Phase 3: Front-End Engineering

3-C: Make Startup Team Assignments

A. Phase: Front-End Engineering

B. Key Concepts: Identify all the key roles and responsibilities needed in executing a
successful startup. Recognize the need for these critical resources.
C. Deliverables: Organization chart and RACI chart addressing startup resources. (A
RACI chart is a matrix that assigns responsibility, accountability, those to consult,
and those to inform on an activity-by-activity basis.)
D. Motive/Rationale: To provide the needed resources to carry out startup activities; and
to encourage early participation in startup planning by operations, contractor, and
supplier organizations.
E. Responsibility: Owner Project Manager, Manufacturing Operations Representative,
Startup Manager
Accountability: Owner Project Manager
Consult: Plant Manager, Contractor Project Manager
Inform: Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This is not a quality gate. However, the startup
organization chart should be developed near the end of the Front-End Engineering
effort.
G. Basic Steps:
1. Consult the Startup Execution Plan, refining the draft organization chart. The
organization chart must be compatible with the RACI table.
2. Put names on the organization chart, considering areas requiring special expertise.
Consider having the Safety Manager and the QA/QC Manager report to both the
Construction Manager and the Startup Manager.
3. Communicate the assignments.
4. Review responsibilities with all assignees; get feedback; resolve responsibility
questions.
5. Identify contractor and supplier startup responsibilities.
H. Tools Needed/Provided:
Provided: sample organization chart, sample RACI chart, definitions of titles and
roles
I. Challenges to Successful Implementation:
• Availability of needed personnel to accomplish this
• Defining team roles and responsibilities too late in the project
• Failure in recognizing needed resources

33
Phase 3: Front-End Engineering

3-D: Identify Startup Systems

A. Phase: Front-End Engineering

B. Key Concepts: Breakdown the entire project into major startup systems in order to
facilitate construction and startup planning and control. A detailed breakdown into
subsystems will occur later in the detailed design phase.
C. Deliverables: Listing of startup systems
D. Motive/Rationale: To identify systems for scoping, planning, and sequencing startup
activities.
E. Responsibility: Contractor Project Manager, Startup Manager, Project Team
Accountability: Owner Project Manager
Consult: Manufacturing Operations Representative
Inform:
F. Quality Gate/Sequencing Constraints: This is not a quality gate. However, all startup
systems should be identified by the completion of Front-End Engineering.
G. Basic Steps:
1. Consult the Startup Execution Plan and use it as a basis for this activity.
2. Recognize all contracting strategy limitations of the project.
3. Use P&IDs to breakdown the plant into startup systems. Get early input from
operations, process design, controls, construction, and maintenance.
4. Indicate startup system boundaries on the P&IDs.
5. Conduct cross-checks: will operations and control systems support the startup
logic? Will the construction sequence support the startup logic? Will environmental
testing criteria support the startup logic? Will available owner staffing support the
startup logic?
6. Establish the listing of startup systems.
H. Tools Needed/Provided:
Provided: sample listing of startup systems
I. Challenges to Successful Implementation:
• Incomplete or poorly defined project definition
• Lack of knowledge of the plant operations plan
• Lack of available owner operations and maintenance personnel
• Incomplete or unfrozen P&IDs
• Late selection of owner furnished equipment

34
 Phase 3: Front-End Engineering

3-E: Acquire Operations & Maintenance Input

A. Phase: Front-End Engineering

B. Key Concepts: A complete front-end package must include input from Operations and
Maintenance. Much of this input will either directly or indirectly facilitate startup.
Buy-in by O&M personnel is critical to project success.
C. Deliverables: O&M comments on PFDs, P&IDs, plot plans, equipment lists; discussion
and documentation of O&M needs from Engineering and Procurement.
D. Motive/Rationale: Effective O&M input during front-end engineering is required for
startup success.
E. Responsibility: Manufacturing Operations Representative, Startup Manager
Accountability: Owner Project Manager
Consult: Plant Manager, Contractor Project Manager
Inform: Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but key
documents for detailed design (i.e., P&IDs, plot plans, equipment lists, and equipment
layouts) should not be issued without adequate input.
G. Basic Steps:
1. Conduct O&M input meetings, addressing the following issues:
• Specific maintenance requirements: preferred suppliers, spares, access needed,
and supplier data requirements.
• Specific operation requirements: process control, operator preferences, and
access requirements.
• Specific checkout requirements: safety, acceptance criteria, staffing, interlocks,
hazards, communication, and lockouts.
• Specific startup requirements: system sequence, timing, utilities needed, safety
procedures, and environmental requirements.
Output from the meetings will be in the form of a list of critical issues that will be
followed-up on to ensure incorporation into the front end package.
2. Plan for continuing involvement of O&M in startup planning.
H. Tools Needed/Provided:
Provided: P&ID flowchart, P&ID checklist of information elements
Needed: Operator ergonomic checklist, checklist of accessibility needs, checklist of
maintenance equipment & facilities needs
I. Challenges to Successful Implementation:
• Lack of adequate/available plant staffing
• Little training and few tools to help in reviews
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Phase 3: Front-End Engineering

3-F: Assess Startup Risks

A. Phase: Front-End Engineering

B. Key Concepts: Startup risks must be assessed early-on in order to minimize their
impact. Documented startup lessons learned can be very helpful in this effort.
C. Deliverables: A listing of potential risks to successful startup and associated estimates
of impact.
D. Motive/Rationale: Overlooked risks can severely impact startup schedule, cost
performance, and other measures of success. Early detection efforts are needed in
order to reduce or contain these loss potentials.
E. Responsibility: Manufacturing Operations Representative, Startup Manager
Accountability: Owner Project Manager
Consult: Contractor Project Manager, Planner/Scheduler, Process Licensor
Inform: Plant Manager
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but should
occur before approval of appropriation request.
G. Basic Steps:
1. Consult the Startup Execution Plan.
2. Review startup lessons learned to date.
3. Identify risks associated with the process technology.
4. Identify risks associated with the controls automation.
5. Address degrees of redundancy and planned levels of maintenance.
6. Identify risks associated with environmental concerns.
H. Tools Needed/Provided:
Provided: startup risk checklist
Needed: pilot plant data, listing of startup risk management strategies and contingency
plans
I. Challenges to Successful Implementation:
• Senior management is often uncomfortable with documented risks.
• Concept of risk involves difficult notions of probability.
• Often there is no in-house expertise to assess risk; must therefore be purchased as
a service and is thus easily dismissed as a non-essential “luxury.”
• Desire to remain optimistic and to “move forward.”
• Little or no tracking of startup lessons learned.

36
 Phase 3: Front-End Engineering

3-G: Analyze Startup Incentives

A. Phase: Front-End Engineering

B. Key Concepts: Consider incentives as a way to improve startup performance.
C. Deliverables: A recommendation to senior management on whether or not to
implement an incentive system for startup.
D. Motive/Rationale: Incentive systems can increase the likelihood of overall startup
success by motivating project personnel to even greater performance.
E. Responsibility: Owner Project Manager, Contractor Project Manager
Accountability: Owner Project Manager
Consult: Startup Manager
Inform: Manufacturing Operations Representative, Planner/Scheduler
F. Quality Gate/Sequencing Constraints: Not a quality gate, but should be done prior
to budget approval.
G. Basic Steps:
1. Consult the Startup Execution Plan as the basis. Assess any special justification for
an incentive system, such as critical schedule or environmental performance.
2. Propose more than one approach for analysis.
3. Evaluate proposed incentive systems, thoroughly analyzing both advantages and
disadvantages. Anticipate all side-effects, including those on suppliers, contractors,
and operators.
4. The keys to successful startup incentive systems include the following:
- well-defined performance metrics
- focus on overall team performance, not just that of the contractor
- ensure that startup incentives are consistent and compatibile with any overall
project incentive systems; avoid competing or conflicting incentive systems
- don’t key incentives to mechanical completion
5. Thoroughly plan and document the incentive system. Ensure that goals are clear
and measurable. Ensure that benefits are meaningful.
H. Tools Needed/Provided: none
I. Challenges to Successful Implementation:
• Lack of clear, measurable performance objectives
• Plans that accomplishing one set of objectives at the expense of others
• Change in key personnel or modifications to incentive plans mid-way through the
project

37
Phase 3: Front-End Engineering

3-H: Identify Startup Procurement Requirements

A. Phase: Front-End Engineering

B. Key Concepts: Ensure that startup needs are incorporated into project procurement
plans.
C. Deliverables: A procurement plan that includes startup needs.
D. Motive/Rationale: Ensure that suppliers support startup needs and objectives.
E. Responsibility: Contractor Project Manager, Startup Manager, Procurement Manager
Accountability: Owner Project Manager
Consult: Plant Manager
Inform: Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This is not a single quality gate, but must be
done prior to issuance of inquiries and the narrowing down of bidder lists.
G. Basic Steps:
1. Prepare a list of startup items than need to be procured and integrate startup
procurement with overall procurement activities.
2. Establish procurement responsibilities (owner, engineer, etc.).
3. Identify long-lead items (to ensure timely deliveries and thereby avoid schedule
impacts on startup dates). Establish if early release of funds will be required.
4. Identify preferred material items (from Operations and Maintenance).
5. Address startup aspects of bidder qualification, such as pre-shipment testing and
qualification capabilities, needs for startup support, training, expediting, etc.
6. Identify preferred suppliers and contractors. Visit and prequalify new product
suppliers.
7. Address the issues of modularization and preassembly, processing of supplier data,
spare parts, and the scope and responsibility for pre-shipment testing.
H. Tools Needed/Provided:
Provided: listing of common startup needs supported by suppliers
Needed: database of performance record of previous suppliers
I. Challenges to Successful Implementation:
• Little or no feedback on startup procurement matters
• Non-approved subcontractors
• Inability to prequalify suppliers in the public sector

38
 Phase 3: Front-End Engineering

3-I: Refine Startup Budget & Schedule

A. Phase: Front-End Engineering

B. Key Concepts: Utilizing the most recent information, update both the startup budget
and schedule and reflect these developments in the Appropriation Request.
C. Deliverables: Updated startup budget and schedule
D. Motive/Rationale: Planning tools should be kept current, in this case, in order to
provide the best possible forecasts for the Appropriation Request.
E. Responsibility: Startup Manager, Planner/Scheduler, Estimator
Accountability: Contractor Project Manager
Consult: Owner Project Manager, Manufacturing Operations Representative
Inform:
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but must be
a high priority.
G. Basic Steps:
1. Use the Startup Execution Plan and previous startup planning steps in the Front-
End Engineering phase as the basis for review and refinements.
2. Ensure that all major startup activities and cost factors are identified (such as work
hours, raw materials, spare parts, etc.), and consider associated costs such as travel
and subsistence.
3. Estimate the cost of training operators.
4. Conduct final budget and schedule reviews with appropriate personnel and issue
revised documents.
H. Tools Needed/Provided:
Provided: checklist of typical startup activities
I. Challenges to Successful Implementation:
• Lack of sufficient resources and information to develop credible estimates and
schedules
• Current paradigms in which this activity is given low priority

39
Phase 3: Front-End Engineering

3-J: Update the Startup Execution Plan

A. Phase: Front-End Engineering

B. Key Concepts: The Startup Execution Plan should be updated as new project
information becomes known. As stated previously, this should be a part of the overall
Project Execution Plan and should be formally and thoroughly developed. It should
be formally issued as part of the Front-End Engineering Package.
C. Deliverables: A revised, updated Startup Execution Plan that addresses all important
aspects of startup. This should be included as part of the Front-End Engineering
Package.
D. Motive/Rationale: The Startup Execution Plan provides a framework for systematic
integrated planning necessary to ensure successful implementation.
E. Responsibility: Startup Manager
Accountability: Contractor Project Manager
Consult: Owner Project Manager, Manufacturing Operations Representative, Process
Licensor, Project Team
Inform: Business Unit Manager, Plant Manager, Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This update should be treated as a quality gate,
occurring as a final step in Front End Engineering.
G. Basic Steps:
1. Build upon and expand the previously developed Startup Execution Plan (activity
3-B). Incorporate the most recent startup budget and schedule (activity 3-I),
startup procurement requirements (activity 3-H), startup incentive systems (activity
3-G), assessment of startup risks (activity 3-F), listing of startup systems (activity
3-D), startup team assignments (activity 3-C), and any other salient information.
2. Reevaluate the use and effectiveness of startup quality gates.
3. Draft any new parts or components of the plan, such as the plans for check-out/
commissioning and initial operations, and procedures for problem identification
and resolution during check-out/commissioning.
4. Gather as a team, review all component drafts and refine.
5. Re-issue the Plan as a base document for the detailed design phase.
H. Tools Needed/Provided:
Provided: see activity 3-B
I. Challenges to Successful Implementation:
• Resource/expertise constraints at this point in the project life

40
 Phase 3: Front-End Engineering

Tool 3-A: Listing of Typical Startup Objectives (page 1 of 8)

1. Product Quality: Product quality meets or exceeds quality
goals as established at authorization.

2. Product Quantity: Production quantity rate is at or above

that established at project authorization.

3. Schedule Performance: Startup duration is at or below that

duration planned for at authorization.

4. Safety Performance: No reportable injuries or incidents during

startup (consistent with overall project
objectives).

5. Environmental Performance: All environmental targets are met. There

are no reportable releases or spills during
startup.

6. Operations Team Performance: Operations team is thoroughly prepared

for all challenges it may encounter prior

Tool
to commercial operations.

7. Impact to On-Going Operations: Minimal impact to on-going operations;

no unplanned impacts to on-going
operations.

8. Level of Effort Required by the Startup Team: Actual startup work hours and resources
are at or below planned level of effort.

41
 Phase 3: Front-End Engineering

Tool 3-A: Listing of Typical Startup Objectives (page 2 of 8)

Beyond defining startup objectives, measuring and tracking startup success from project to
project can increase the likelihood of future startup success by motivating teams to ever-
improving levels of performance.

As shown above, research indicates that a successful startup requires successful performance
in eight different areas:
• Product quality
• Product quantity
• Schedule performance
• Safety performance
• Environmental compliance
• Operations team performance
• Impact to ongoing operations
• Level of stress experienced by startup team

With the use of criteria performance scores and criteria importance weightings, these eight
Tool

criteria can be integrated into a single startup success index score. Such a score allows for ready
comparisons between startups, company-wide benchmarking, and even industry-wide
benchmarking.

A criterion performance score is a quantitative measure of how a particular startup performs

relative to an established target associated with one of the eight criteria. For example, as shown
in Table 3-A.2, with respect to the impact of a startup to on-going operations, five levels of
relative performance or satisfaction have been established. Similarly, as shown in Table 3-A.3,
five levels of relative satisfaction have been established for each of the eight startup success
criteria.

A criteria importance weighting is a quantitative measure of how important a particular

success criterion is relative to all other seven criteria. Each criterion can be assigned one of five
levels of relative importance:
• Most important
• Above average importance
• Average importance
• Below average importance
• Least important

42
 Phase 3: Front-End Engineering

Tool 3-A: Listing of Typical Startup Objectives (page 3 of 8)

Table 3-A.2: Performance Scores Associated with Criterion

“Impact to Ongoing Operations”

Level of Satisfaction Impact to Ongoing Operations Criteria Performance

Score
Extremely satisfied No impact to ongoing operations 5
Very satisfied Minimal impact to ongoing operations 4
Satisfied No unanticipated impacts to on-going operations 3
Dissatisfied Ongoing operations were impacted 2
Very dissatisfied Ongoing operations were significantly impacted 1

By weighting the least important criteria with a value of one, criteria of below average
importance with a value of two, etc., normalized criterion importance weightings can be derived
by determing the relative contribution of each criteria to the sum total of importance weightings
for all eight criteria. This is best illustrated with an example, as presented in Table 3-A.4.

Tool
In this way, importance weightings can be determined for each startup success criterion and
these will be consistent on a relative basis (e.g., the same weight-ings for all criteria will result
if all are assigned the same level of importance).

Fig. 3-A.1 graphically depicts the average importance weightings for the eight criteria based
on 23 actual startups analyzed. The weightings of all eight criteria fall into a relatively tight
range: between 0.10 and 0.14. Thus, at least for the startups analyzed, on average, all eight
criteria are nearly equally meaningful to startup success.

Now, given the availability of both criteria performance scores and criteria importance
weightings, a single startup success index score can be computed by simply multiplying one by
the other and summing up for all eight criteria. (Criteria performance scores should be divided
by 5 in order to achieve a 0 to 1 scale.)

43
 Tool

Phase 3: Front-End Engineering

44

Tool 3-A: Listing of Typical Startup Objectives (page 4 of 8)

Table 3-A.3. Startup Success Criteria Performance and Scores

Satisfaction Level (Score)

Success Criterion
❑ Extremely ❑ Very Satisfied ❑ Satisfied ❑ Dissatisfied ❑ Very
Satisfied (5) (4) (3) (2) Dissatisfied (1)
Product Quality Product quality Product quality goals Product quality goals Product quality met Product quality was
Performance consistently were consistently met. were met with specification most of met only with
exceeded project expected amounts of the time but the significant process
goals. off-spec material. amount of off-spec and construction
material was higher rework.
than expected.

Product Quantity Production rates Production rates met Production rates Plant did not meet Production rates were
consistently project goals. were marginally less production rates set at significantly lower
Performance
exceeded project than planned but project authorization. than planned and
goals. customers were not required significant
affected. construction rework.

Schedule The startup duration The startup duration The startup duration The startup duration The startup duration
was significantly less was as planned. was as planned but exceeded plan and far exceeded the
Performance
than estimated. The meeting the schedule meeting the schedule original plan.
process was on-line required extra levels required heroic efforts
sooner than of labor and/or on the part of the
expected. materials. startup team.
 Tool 3-A: Listing of Typical Startup Objectives (page 5 of 8)

Table 3-A.3. Startup Success Criteria Performance and Scores

Satisfaction Level (Score)

Success Criterion
❑ Extremely ❑ Very Satisfied ❑ Satisfied ❑ Dissatisfied ❑ Very
Satisfied (5) (4) (3) (2) Dissatisfied (1)
Safety The startup had no The startup had no The startup had no The startup had one or The startup had one
Performance reportable injuries reportable incidents reportable incidents more reportable or more lost-time
and no incidents and only a minor and a typical number incidents or a higher incidents.
requiring any type of number of incidents of minor first aid number of minor and
medical attention. requiring medical type incidents. preventable medical
attention. incidents.

Environmental Were there any Were there any

reportable releases reportable releases or
Performance or spills during spills during startup?
startup? ❑ Yes
❑ No
Operations Team was Operations Team was
Operations Team Operations Team Operations Team Operations Team was
was thoroughly more than adequately was prepared for not prepared for plant not prepared for
Performance prepared for plant prepared for plant plant operations. operations and plant operations and

Phase 3: Front-End Engineering

operations operations challenges. required additional, required a significant
challenges. unplanned, training. amount of additional
unplanned training
which resulted in
delays.
45

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 Tool

Phase 3: Front-End Engineering

46

Tool 3-A: Listing of Typical Startup Objectives (page 6 of 8)

Table 3-A.3. Startup Success Criteria Performance and Scores

Satisfaction Level (Score)

Success Criterion
❑ Extremely ❑ Very Satisfied ❑ Satisfied ❑ Dissatisfied ❑ Very
Satisfied (5) (4) (3) (2) Dissatisfied (1)
Impact on There was no impact There was minimal There were no Ongoing operations Ongoing operations
Ongoing on ongoing impact on ongoing unanticipated were impacted. were significantly
operations. operations. impacts on on-going impacted.
Operations operations.

Level of Effort Startup work-hours Startup work-hours Startup work-hours Startup work-hours Startup work-hours
were well below were on budget. Level were on budget. were slightly above were significantly
Required by the
budget. Level of of stress was less than Level of stress was budget. The level of over budget. The
Startup Team stress was much less anticipated. typical. stress was greater than level of stress was
than anticipated. anticipated. significantly greater
than anticipated.
 Phase 3: Front-End Engineering

Tool 3-A: Listing of Typical Startup Objectives (page 7 of 8)

Table 3-A-4. Example Computation of Criteria Importance Weightings

Success Criterion Assigned Importance % Contribution Importance

Importance Score to Total Score Weighting
Product Quality Above average 4 12.5 0.125
Product Quantity Above average 4 12.5 0.125
Schedule Above average 4 12.5 0.125
Performance
Safety Performance Most important 5 15.6 0.156
Environmental Most important 5 15.6 0.156
Performance
Operations Team Average 3 9.4 0.094
Performance
Impact to Above average 4 12.5 0.125
Operations
Level of Effort Average 3 9.4 0.094
Total 32 100 1.000

Tool
Those who want to simplify the process can use industry average criteria importance
weightings with the following computation:

Startup Success Index =

0.14 * [ Safety performance score/ 5] +

0.14 * [Product Quality performance score/ 5] +

0.13 * [Schedule performance score/ 5] +

0.13 * [Environmental performance score/ 5] +

0.12 * [Product Quantity performance score/ 5] +

0.12 * [Effort performance score/ 5] +

0.12 * [Operations Team performance score/ 5] +

0.10 * [ Impact performance score/ 5]

47
 Phase 3: Front-End Engineering

Tool 3-A: Listing of Typical Startup Objectives (page 8 of 8)

Figure 3-A.1. Average Startup Success Criteria Importance Weightings (n=23)

Safety

Product Quality

Schedule

Environmental

Product Quantity

Level of Effort

Operations Team
Tool

Impact on Operations

0.000 0.020 0.040 0.060 0.080 0.10 0 0.12 0 0.14 0 0.16 0

Weight Factor, Fraction of Total Contribution

48
 Phase 3: Front-End Engineering

Tool 3-B-1: Schedule Drivers and Phase Transitions

Early in the project and periodically thereafter, the project manager should do a “reality
check” to ensure that the project schedule effectively meets the demands of the project. In doing
so, project managers need to recognize that, at a very fundamental level, the project schedule
is driven by different factors during the various phases of the project:
• Conceptual design, process engineering, and basic engineering activities are driven by
the systems to be included in the plant. Chemical, mechanical, and process control
designs are examples of such systems-driven project elements.
• Detailed design is driven by site geographical area. The plot plan is divided into areas
and the design of foundations, structures, piping, electrical, and instrumentation
proceeds around the different areas of the site.
• When it comes time to requisition equipment and material, the driving force changes
from area to the procurement train, in which like items are grouped, regardless of their
system or area, so that they can be readily and efficiently handled in the requisitioning,
bidding, ordering, manufacturing, expediting, inspection, delivery, and materials
management activities.
• The driving force during the initial construction efforts reverts to the area, which is

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supported with area-based drawings. As construction nears completion, work must be
completed and tested on a systems basis.
• The startup activities of check-out, commissioning, and initial operations continue to be
executed on a systems basis.

The graphic below illustrates these driving forces and the various transitions that must be
effectively planned and managed. It is important that planners have a clear understanding of
these driving forces in order to develop the most effective schedules.

Sequence-Driver
Phase System Area Procurement
Train

Basic Engineering •
Detailed Design • •
Procurement •
Construction • •
Startup •

49
 Phase 3: Front-End Engineering

Tool 3-B-2: Sample Table of Contents for the Startup Execution Plan

1 Introduction: Startup Execution Plan

Purpose: Importance of Early Planning

Keeping the Document Current

Integration with other Project Plans

Shared Authorship of This Document

2 Scope of Startup & Major Startup Systems

3 Startup Objectives

4 Startup Organization

Startup Team

O&M Resources

5 Startup Planning Activities

Tool

6 Startup Schedule

7 Startup Budget

8 Startup Risk Management

9 Procurement Issues

10 Appendices

CII Startup Planning Model

Startup Procedures

Startup Training Manuals

Other Startup Documentation

50
 Phase 3: Front-End Engineering

Tool 3-B-3: Checklist of Startup Quality Gates (page 1 of 4)

Startup quality gates should be implemented together with the project quality gates,
although there are exceptions. Only critical issues pertaining to startup will be delineated here.

All previous basic steps in the corresponding activity profiles should have been completed
in order to clear a quality gate. Business unit and project management must set up a formal
procedure and mechanism to assure compliance. The quality gate represents the completion of
the particular activity. Quality gate activities can be added or deleted as company preferences
dictate.

Phase Activity Title Approved Date

By

2-C Recognize the Impact of Startup on Project Economics

3-J Update the Startup Execution Plan

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4-O Update the Startup Execution Plan

6-A Update the Startup Execution Plan and Release for

Construction

7-A Finalize the Operations & Maintenance Organization

and Management Systems

7-B Check Out Systems

7-C Commission Systems

8-C Finalize Documentation

51
 Phase 3: Front-End Engineering

Tool 3-B-3: Checklist of Startup Quality Gates (page 2 of 4)

Startup Quality Gate 2C:

At this point all basic steps called for in Phase 1 (Requirements Definitions and Technology
Transfer) and Phase 2 (Concept Development and Feasibility) should have been completed.

Critical checkpoints are:

1. Consistent understanding across project team and business unit management of technical
transfer package, project and startup scope, objectives, and schedule.
2. Clear understanding of startup impact on venture economics and time to market.

Startup Quality Gate 3J:

At this quality gate, all startup activities to be accomplished during Phase 3 (Front-End
Engineering) are subject for review. This is the most important quality gate because as the
project enters the detailed design phase, changes become increasingly more expensive and
detrimental to schedule adherence.
Tool

Critical checkpoints are:

1. A startup manager has been appointed.
2. Startup objectives have been defined.
3. Startup systems have been identified for transfer to the engineering contractor.
4. A HAZOPS/Safety review has been completed and startup risks have been identified.
5. Startup organizations and RACI assignments have been made.
6. A realistic startup budget and schedule has been approved by operations management.
7. Integrate all planning documents into the Startup Execution Plan.

52
 Phase 3: Front-End Engineering

Tool 3-B-3: Checklist of Startup Quality Gates (page 3 of 4)

Startup Quality Gate 4O:

All startup activities during Phase 4 (Detailed Design) need to be reviewed. Documented
proof of the following critical items is required:
1. Startup team has been formed and team building is taking place around startup issues.
2. Supplier pre-shipment testing requirements and field support have been delineated and
submitted to procurement.
3. Startup execution plan is reflected in project CPM.
4. Operator training plan is in place.
5. System turnover plan is in place.
6. Startup system numbers are indicated on engineering deliverables.

Startup Quality Gate 6A:

This startup quality gate may not coincide with the overall project quality gate because it

Tool
focuses on procurement requirements and startup team building and training. The major
interface with construction is the field QA/QC program. This startup quality gate review should
take place early in the construction phase.

The following critical activities must be going on or must have been completed:
1. The supplier technical performance criteria and QA/QC requirements are going out with
each bid package.
2. Construction/startup team building has been implemented.
3. O/M (operations & maintenance) training is being implemented.
4. Field QA/QC plan has been implemented based on startup systems.
5. Startup risk assessment has been finalized and is understood by startup leadership team.
6. For pharmaceutical plants all validation protocols have been completed.
7. System completion forecasting is correctly reflected on appropriated schedules.

53
 Phase 3: Front-End Engineering

Tool 3-B-3: Checklist of Startup Quality Gates (page 4 of 4)

Startup Quality Gate 7A:

This is a critical startup quality gate because it should give assurance to management that
a knowledgable startup team has been assembled and trained and is ready to commission the
plant according to a detailed startup plan.

The following critical actions should have been completed:

1. All named startup positions have been filled with qualified personnel.
2. All management procedures are in place.
3. “As designed” HAZOPS/Safety review has been completed.

Startup Quality Gate 7B:

At this point management must have assurance that all checkouts have been completed and
are thoroughly documented with appropriate sign-offs. In the pharmaceutical industry these are
called IQs (installation qualifications) and must be documented according to regulation.
Tool

Startup Quality Gate 7C:

At this step the plant (system by system) must have been verified to be capable of safe
operation. Rigorous documentation is needed for regulatory compliance and safety. For
pharmaceutical plants, OQs (operational qualifications) and PQs (process qualifications) for
the building and OQs for the process should have been completed and documented according
to regulations. The owner formally must take custody and control of the plant prior to
introduction of feed stock. PQs must be conducted with actual production according to
regulation in order to obtain product release.

54
 Tool 3-C-1: Sample Organizational Chart (page 1 of 2)

Owner’s
Business Unit Project Manager
Manager
Contractor
Plant Manager Project Manager

Startup Construction Manufact. Rep./ Planner/ Project Team Procurement

Manager* Manager Ops. Rep. Scheduler All Disciplines Manager

SU QA/QC QA/QC Maintenance

Manager Manager Rep.

SU Safety Const. Safety

Coordinator Coordinator

Training Rep.

Supplier Rep.

Phase 3: Front-End Engineering

*The Startup Manager is an integral member of the Project Team and utilizes all members of the Project Team in planning for startup.
This is a generic chart meant to emphasize the role of the Startup Manager. Obviously, such charts can vary by project and organization.
55

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 Tool

Phase 3: Front-End Engineering

56

Tool 3-C-1: Sample Organizational Chart (page 2 of 2)

Definitions of Titles and Roles
Job Title Role
Business Unit Manager Individual who ensures owner’s business needs for the plant are meet.
Ownerís Project Manager Individual who coordinates owner participation in all project phases, including startup.
Plant Manager Individual who insures startup meets plant’s future operating needs.
Manufacturing Representative Individual responsible for providing the operating and maintenance personnel to assist in
startup activities. Also Operating Unit Representative on the project team throughout the
project. May also serve as Startup Manager.
Maintenance Representative Individual responsible for maintenance related issues.
Contractor Project Manager Individual who is the Project team leader in contractor’s organization.
Construction Manager Individual who manages the bidding, award, and construction phases of a project.
Startup Manager Individual responsible for planning and implementing startup.
QA/QC Manager Individual responsible for the details of QA/QC and their attainment.
Procurement Manager Individual Responsible for acquiring the necessary items for the project, including spare
parts, for the best quality at the lowest cost; also checks supplier qualifications.
Planner/Scheduler Individual who plans and schedules project activities.
Estimator Individual who forecasts project costs, including startup costs.
Safety Coordinator Individual who represents both construction and operating safety interests.
Supplier Representative Definition Still Needed
Training Representative Individual responsible for scope, program, and documentation of O&M training.
 Tool 3-C-2: Sample RACI Chart (page 1 of 3)
Owner Project

Manufacturing/Operations Rep.

Project Team: All Disciplines

Contractor Project Manager
Owner Project Manager
Business Unit Manager

Construction Manager

Procurement Manager
Maintenance Rep.

Planner/Scheduler
QA/QC Manager
Startup Manager
Plant Manager

Supplier Rep.
Estimator
Num. Activity Title
1-A Ensure Sr. Mgmt. Commitment R/A C C I

2-A Seek Forecast of SU Duration A I C R C R R

2-B Estimate SU Costs A I C R R R
2-C SU Impact on Proj. Economics A I R R R C C

3-A Establish SU Objectives R/A R R I C I

3-B Develop SU Execution Plan A I R C R R C
3-C Make SU Team Assignments R/A C R C R I

Phase 3: Front-End Engineering

3-D Identify SU Systems A C R R R
3-E Acquire O&M Input A C R C R I
3-F Assess SU Risks A I R C R C
3-G Analyze SU Incentives R/A I R C I
3-H SU Procurement Requirements A C R R R I
3-I Refine SU Budget & Schedule C C A R R R
57

3-J Update SU Execution Plan I C I C A R C I

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 Tool

Phase 3: Front-End Engineering

Tool 3-C-2: Sample RACI Chart (page 2 of 3)
58

Owner Project

Manufacturing/Operations Rep.

Project Team: All Disciplines

Contractor Project Manager
Owner Project Manager
Business Unit Manager

Construction Manager

Procurement Manager
Maintenance Rep.

Planner/Scheduler
QA/QC Manager
Startup Manager
Plant Manager

Supplier Rep.
Estimator
Num. Activity Title
4-A SU Issues in Team-Building A R R C
4-B Assess SU Effects from Changes A C R C C
4-C Supplier Field Support of SU I A R C C
4-D Include SU in CPM Schedule I C A C R
4-E Plan for Startup QA/QC I A C C C R
4-F Refine Team Org. Plan & Resp. A C R C
4-G Additional O&M Input A R R R I
4-H SU Sys. Numbers on Eng. Deliv. I A C R
4-I Refine SU Risk Assessment I C A R C C
4-J Plan & Start Operator Training A R R R C I
4-K Develop SU Spare Parts Plan I C C A C R R
4-L Develop System Turnover Plan I I A C R
4-M SU Procedures, Process Safety I C A R I
4-N Refine SU Budget and Schedule A C R C C R R
4-O Update SU Execution Plan I I C A R C I

5-A Qualify Suppliers for SU Serv. A C R I

5-B Refine SU Spare Parts & Expedite I C C A C R
5-C Implement Procurement QA/QC A C R I I
 Tool 3-C-2: Sample RACI Chart (page 3 of 3)
Owner Project

Manufacturing/Operations Rep.

Project Team: All Disciplines

Contractor Project Manager
Owner Project Manager
Business Unit Manager

Construction Manager

Procurement Manager
Maintenance Rep.

Planner/Scheduler
QA/QC Manager
Startup Manager
Plant Manager

Supplier Rep.
Estimator
Num. Activity Title
6-A Finalize SU Execution Plan I C R I A C R C C
6-B Conduct Const.-SU Team Building A I C R R C I
6-C Refine SU Integrated CPM C C A C C R
6-D Continue Operator Training I I C C A R
6-E Implement Field QA/QC Plan I C A C C R I
6-F Finalize SU Risk Assessment C C I R A C R C C
6-G Transition to Systems-Based Ex. A C R R R I

7-A Finalize the O&M Org. and Mgmt. I R/A C R

7-B Check-out Systems C I I A R R R I
7-C Commission Systems C R C A/R C I

Phase 3: Front-End Engineering

8-A Introduce Feedstocks I I R/A C R
8-B Conduct Performance Testing I I R C A R R
8-C Finalize Documentation I A I R C R C R R
TOTALS
R - Responsibility 2 3 1 14 1 14 3 27 2 5 5 7 3 1
59

A - Accountability 2 19 0 1 0 21 0 0 0 0 0 0 0 0
C - Consult 1 8 4 18 8 5 7 15 1 2 5 8 3 2
I - Inform 5 13 13 5 1 0 0 0 0 1 1 16 0 1

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 Phase 3: Front-End Engineering

Tool 3-D: Guidelines for Defining Startup Systems

A system is a composite assembly of piping, vessels, equipment, and instruments which can
be defined as having a singular purpose. Systems need to be identified in order to facilitate the
precommissioning, commissioning, and initial startup of the facility. Systems are commissioned
in a specific sequence, as required, by the process and unit operations.

It is suggested that operations personnel, under the direction of the Project Engineer, use
“Approved for Design” P&IDs to identify systems and the sequence in which they will be
commissioned. Systems are defined and can be shown on P&IDs and assigned a unique system
number. When defining systems, attention should be given to the ability to isolate the system
from other parts of the process so that interdependence of the systems is minimized.

Basic systems may include the following:

Raw water Cooling water Steam

Feed stock storage Reaction systems HVAC

Tool

Process sewers Filtration Lube and oil system

Potable water Boiler water Condensate

Product storage/handling Fractionation systems Safety showers

Compressor Nitrogen Fuel gas

This information is from CII Education Module EM-7, Construction Planning for Startup,
1993.

60
 Tool 3-E-1: Integrated Flowchart for P&ID Development Process (page 1 of 2)

Legend
O D D = P&ID Development = P&ID Information
Prepare Scope Receive Owner Develop AFO Stage Input
S Interm.
of Work AFP P&ID to Draft AFD
Supplier = P&ID Development = P&ID-Related
Input Milestone Activity
O D X
Process = P&ID Development O = Owner S = Supplier
Flow Develop P&ID Develop Draft O D = Designer C = Constructor
O/D Activity &
Diagram Schedule Reqt. AFM P&ID D
O S Multi-Disc. Reponsible Team O/D = Owner/Designer
Modify AFM Hazard/Safety Input
O Prelim. D to Draft AFO Revw • Piping/
• Control O
O Supplier O Mech.
Concept Collect Prelim. Conduct C
Input • Elect/ Issue AFD
• Interlock P&ID Input Owner Review
D D Receive Owner
Owner Instrum. P&ID for
Req’ts Collect AFC P&ID
Proj. Issue Draft • Struct. Detailed Design D
• Std. Dwgs. O Hazard/Safety
D Team AFO for • Geotech.
& Symbols Comments
Collect Prelim. Input Owner Review D Detailed Disc.
Issue AFM P&ID
• Piping/Mech.
D
P&ID Internally Receive AFD
• Eqpt. List O • Equipment Engrg. D • Elect. & Modify AFC
• Piping Spec. Multi-Discip. O for Detailed
• Piping & Ducts Check- Instrum. to AFS
• Vendor Review Modify Draft Design
• Instrument. lists Conduct • Struct.
Packages • Owner AFD to Satisfy • Geotech.
C
• Elec. Req’ts (Optional) Owner Review
• Eng’g Stds. D O Hazard/Safety D * Field
• Special Req’ts • Dgn Team
- Piping Review Changes
• Eqpt. & Mech. D Expert, Review Owner Modify AFD
- HVAC Supports D Draft to D O/D
- Elect. • Prelim. Safety or
P&ID
& Environ. P&ID Collect Owner O/D Match Detailed Material Pre-Startup
- Instrum. Check- Design Results
O • Construct. Revw Comments Pre-Detailed Quantity Revw
- Insul’n lists
Issue Draft • Plant Op/Main Check- Design Review Takeoff
- Fire Prot.
P&ID Internal • Research lists • Plant Op/Main O/D D
D
Review • Construct. Pre-Construct. S Modify P&IDs
Modify Draft Final
D Review to Incorporate
AFO to Supplier
O Comments
Collect Multi- Incorporate D Input
Collect Internal Discipline Owner D
Modify Draft D
Comments Comments Comments Complete
AFD to AFD Issue AFS
AFC P&ID
to Owner
O D

Phase 3: Front-End Engineering

D D D
Modify Draft Modify Draft O
AFM to Match Reissue AFO Issue AFD
to Match Issue AFC Approval of
Comments for Approval to Owner
Comments to Owner AFS P&ID

O D O O O O
Approval for Approval of Approval of Approval of Approval of Start
AFP P&ID AFM P&ID AFO P&ID AFD P&ID AFC P&ID Operation

Approval for Approval for Approval for Approval for Approval for Approval for
Preliminary Multi-Discipline Owner Detailed Design Construction Startup &
Review Stage Review Stage Review Stage Stage Stage Operation Stage
61

AFP AFM AFO AFD AFC AFS

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 Phase 3: Front-End Engineering

Tool 3-E-1: P&ID Flowchart (page 2 of 2)

The flowchart on page 1 of this tool is presented as a startup planning tool supportive of
planning activity 3-E: Acquire Operations & Maintenance Input. As discussed in activity profile
3-E, this activity is very important to startup planning. Use of the flow chart, along with the
checklist provided in tool 3-E-2, can significantly increase the efficiency and thoroughness of
input and reviews by operations and maintenance personnel.

The P&ID flowchart is taken from work from a previous CII research team and two of its
publications (CII Research Summary 47-1, Piping: Improving P&IDs, Supplier Data, and
Packaged Units; and Implementation Resource 47-2, Tools for Enhancing the Piping Engineering
Process). Use these documents for additional background on the development and detailed use
of the flowchart.

The three-letter acronyms associated with each milestone on the P&ID flowchart are
derived from the milestones themselves (e.g., AFD: Approved for Detailed Design). These
abbreviations are also listed in the glossary of this document.
Tool

62
 Tool 3-E-2: P&ID Checklist of Information Elements (page 1 of 6)

P&ID Development Technical Review P&ID Dwg. No.: CADD File No.:
Checklist Acceptance Status (Circle One): Yes, No If No, Total No. of Deviations: ___
P&ID Title: Originator: Auditor: Check Date:
Project Name: P&ID Type (Circle One): Process, Utility, Auxiliary Rev. Date:
P&ID Development Stage (Circle One) P&ID Technical Information Elements Acceptance Status:
(1) (2) (3) (4) (5) (6) Yes/ No. of
AFP AFM AFO AFD AFC AFS No Deviations:___
• : Recommended time to freeze an element A. Equipment
• 1. Symbol representing each type of item on the equipment list
• 2. Equipment names are shown and match the equipment list
• 3. Equipment numbers are shown and match the equipment list
• 4. Drivers as required
• 5. Installed spares

Phase 3: Front-End Engineering

• 6. Major internals including trays, packing, and demister pads
• 7. Specialty flanges
• 8. Arrangement of heat exchanger shells
63

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 Tool

Phase 3: Front-End Engineering

64

Tool 3-E-2: P&ID Checklist of Information Elements (page 2 of 6)

P&ID Development Technical Review P&ID Dwg. No.: CADD File No.:
Checklist Acceptance Status (Circle One): Yes, No If No, Total No. of Deviations: ___
P&ID Title: Originator: Auditor: Check Date:
Project Name: P&ID Type (Circle One): Process, Utility, Auxiliary Rev. Date:
P&ID Development Stage (Circle One) P&ID Technical Information Elements Acceptance Status:
(1) (2) (3) (4) (5) (6) Yes/ No. of
AFP AFM AFO AFD AFC AFS No Deviations:___
• : Recommended time to freeze an element A. Equipment (continued)
• 9. Number of sections/elements for equipment such as air cooled
exchangers, cooling towers, etc.
• 10. Number and relative location of flow connections external to
the equipment, such as lube oil, seal flush, side draws, cooling
water for inter-coolers and lube oil coolers, bypass, drains, etc.
• 11. Vendor package designations
• 12. Vendor details as required
• 13. Pump seal flush schematics
• 14. Bearing lube systems
 Tool 3-E-2: P&ID Checklist of Information Elements (page 3 of 6)

P&ID Development Technical Review P&ID Dwg. No.: CADD File No.:
Checklist Acceptance Status (Circle One): Yes, No If No, Total No. of Deviations: ___
P&ID Title: Originator: Auditor: Check Date:
Project Name: P&ID Type (Circle One): Process, Utility, Auxiliary Rev. Date:
P&ID Development Stage (Circle One) P&ID Technical Information Elements Acceptance Status:
(1) (2) (3) (4) (5) (6) Yes/ No. of
AFP AFM AFO AFD AFC AFS No Deviations:___
• : Recommended time to freeze an element B. Pipe Lines
• 1. Line sizes
• 2. Line specification
• 3. Line numbers
• 4. Tie-in designations
• 5. Paint specification

• : Recommended time to freeze an element C. Valves

Phase 3: Front-End Engineering

• 1. Valve tags
• 2. Valve type
• 3. Valve size
65

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Phase 3: Front-End Engineering

66

Tool 3-E-2: P&ID Checklist of Information Elements (page 4 of 6)

P&ID Development Technical Review P&ID Dwg. No.: CADD File No.:
Checklist Acceptance Status (Circle One): Yes, No If No, Total No. of Deviations: ___
P&ID Title: Originator: Auditor: Check Date:
Project Name: P&ID Type (Circle One): Process, Utility, Auxiliary Rev. Date:
P&ID Development Stage (Circle One) P&ID Technical Information Elements Acceptance Status:
(1) (2) (3) (4) (5) (6) Yes/ No. of
AFP AFM AFO AFD AFC AFS No Deviations:___
• : Recommended time to freeze an element D. Instrumentation
• 1. Primary control function
• 2. Panel, local, PLC or DCS designations
• 3. Alarm and shutdown requirement
• 4. Instrumentation and control hardware
• 5. Instrument numbers
• 6. Failure positions, where applicable
• 7. Bridles/manifolds
• 8. Control valve bypasses designated
• 9. Instrument isolation valve locations
 Tool 3-E-2: P&ID Checklist of Information Elements (page 5 of 6)

P&ID Development Technical Review P&ID Dwg. No.: CADD File No.:
Checklist Acceptance Status (Circle One): Yes, No If No, Total No. of Deviations: ___
P&ID Title: Originator: Auditor: Check Date:
Project Name: P&ID Type (Circle One): Process, Utility, Auxiliary Rev. Date:
P&ID Development Stage (Circle One) P&ID Technical Information Elements Acceptance Status:
(1) (2) (3) (4) (5) (6) Yes/ No. of
AFP AFM AFO AFD AFC AFS No Deviations:___
• : Recommended time to freeze an element E. Safety Systems
• 1. Pressure controlled vents and safety relief valves; rupture discs
• 2. Discharge designation of relief devices, e.g., atmosphere, high
pressure flare header, etc.
• 3. Back flow preventors, flame arrestors, safety showers
• 4. Emergency interlocks

• : Recommended time to freeze an element F. Insulation and Tracing

• 1. Insulation type and thickness
• 2. Jacketing
• 3. Tracing type

Phase 3: Front-End Engineering

• : Recommended time to freeze an element G. Specialty Items
• 1. Hoses
• 2. Steam traps
• 3. Line blinds, etc.
67

• 4. Sample systems

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 Tool

Phase 3: Front-End Engineering

68

Tool 3-E-2: P&ID Checklist of Information Elements (page 6 of 6)

P&ID Development Technical Review P&ID Dwg. No.: CADD File No.:
Checklist Acceptance Status (Circle One): Yes, No If No, Total No. of Deviations: ___
P&ID Title: Originator: Auditor: Check Date:
Project Name: P&ID Type (Circle One): Process, Utility, Auxiliary Rev. Date:
P&ID Development Stage (Circle One) P&ID Technical Information Elements Acceptance Status:
(1) (2) (3) (4) (5) (6) Yes/ No. of
AFP AFM AFO AFD AFC AFS No Deviations:___
• : Recommended time to freeze an element H. Special Notations
• 1. Discharge designations for drains and vents, e.g., open drain,
closed drain, process drain, storm drain, atmosphere, etc.
• 2. Miscellaneous notes, such as normally open / closed, car seal
open/closed, free drainage line, low point drain, high point vent,
drop out spool piece, minimum distance, construction strainers
• 3. Seal leg requirements
• 4. Critical elevations, e.g. vessel elevation relative to pump centerline
• 5. Discipline design details as required

• : Recommended time to freeze an element I. Interlocks

• 1. Sufficient detail of the interlock logic
• 2. Abbreviated description and reference to other document.
 Tool 3-F: Startup Risk Assessment Checklist (page 1 of 3)
Risk Assessment Not
# Risk Issues Low Med. High Uncertain Applicable Comments
A Organizational Experience
Owner/Contractor Startup Manager
1 owner mfg/operations: exper. & avail.
2 owner maintenance: exper. & avail.
3 owner project mgmt: exper. & avail.
4 owner process engr: exper. & avail.
5 owner engineering: exper. & avail.
6 owner procurement: exper. & avail.
7 owner startup: exper. & avail.
8 contractor project mgmt: exper. & avail.
9 contractor engineering: exper. & avail.
10 contractor procurement: exper. & avail.
11 contractor construction: exper. & avail.
12 contractor startup: exper. & avail.
13 major supplier history
14 packaged unit supplier history
15 other:

B Process Technology
1 degree of definition

Phase 3: Front-End Engineering

2 previous in-house exper. & avail.
3 pilot plant exper. & avail.
4 complexity
5 anticipated product quality
6 system redundancies: equipment
7 off-spec product handling
8 other:
69

Note: This checklist is not all-inclusive, but is intended primarily to stimulate discussion.

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 Tool

Phase 3: Front-End Engineering

70

Tool 3-F: Startup Risk Assessment Checklist (page 2 of 3)

Risk Assessment Not
# Risk Issues Low Med. High Uncertain Applicable Comments
C Automation/Control Technology
1 degree of definition
2 previous in-house exper. & avail.
3 proven process autom’n supplier package
4 complexity/size
5 system redundancies: controls
6 process autom’n supplr traing & support
7 simulation capability & effort
8 other:

D Hazardous Materials/Processes
1 hazardous chemicals
2 explosive reactions
3 inherent safety hazards
4 likelihood of spills, emmisions
5 plant preparedness
6 community preparedness
7 RMP/PSM system adequacy & confidence
8 health risk monitoring
9 separation between processes
10 emergency response plan
11 other:

Note: This checklist is not all-inclusive, but is intended primarily to stimulate discussion.
 Tool 3-F: Startup Risk Assessment Checklist (page 3 of 3)
Risk Assessment Not
# Risk Issues Low Med. High Uncertain Applicable Comments
E Quality of Startup Planning
1 application of quality gates
2 quality of Startup Execution Plan
3 availability of startup spares
4 training challenges and needs
5 other:

F Project Schedule
1 realistic schedule durations
2 long lead procurement
3 past performance of contractor
4 permitting delays
5 environmental compliance delays
6 effect of incentives
7 labor prob./coll. bargaining agreemt
8 other:

G Existing Plant/Site
1 adequacy of utilities
2 interfaces with existing systems

Phase 3: Front-End Engineering

3 accessibility/congestion
4 adequate clearances
5 impact to ongoing operations
6 possibility of extreme operatg conditions
7 possibility of extreme weather
8 other:
71

Note: This checklist is not all-inclusive, but is intended primarily to stimulate discussion.

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 Tool

Phase 3: Front-End Engineering

Tool 3-H: Common Startup Needs Supported by Suppliers
72

Supplier #1 Supplier #2 Supplier #3 Supplier #4

A Equipment & Material Selection Concerns Related to Startup
1 Previous owner operations experience with equipment & supplier
2 Corporate standardization; supplier alliances
3 Need for specialized resources during startup
4 Anticipated demand on utilities during startup
5 Other:

B Supplier Pre-Qualification Concerns Related to Startup

1 Degree of commitment to Design for Startup philosophy
2 Degree of commitment to team approach
3 Ability to meet schedule; past performance history
4 Ability to comply with all operational safety & environmental
requirements
5 Familiarity with process technology & raw materials
6 Process simulation capabilities/participation
7 Training support
8 Startup service support
9 QA/QC standards, capabilities, & practices
10 Extent of contingency plans & procedures
11 Other:

C Purchasing Order Concerns Related to Startup

1 Extent of supplier in-house checkout & testing
2 Allowable variation in quality of raw materials
3 Scope of work of specialized resources
4 Startup schedule requirements
5 Certification of sub-suppliers
6 Timelines of welder qualifications documentation for startup
7 Timelines of HHM forms on valves documentation for startup
8 Other:

Note: This checklist is not all-inclusive, but is intended primarily to stimulate discussion.
 Tool 3-I: Checklist of Typical Startup Activities (page 1 of 7)
Description A B C D E
1.0 Towers, Drums, and Heat Exchangers
1.1 Cure and dry out cement linings
1.2 Install all tower and drum internals
1.3 Clean out all vessels and open manholes and other openings for final inspection by Owner’s startup crew.
1.4 Inspect towers and drums after final cleaning
1.5 Head up vessels after inspections, etc., when such activities must be completed:
1.5.1 Prior to startup
1.5.2 After startup
1.6 Perform cold hydrostatic or pneumatic test as directed by Owner.

2.0 Chemicals, Catalysts, and Desiccants

2.1 Load all chemicals, catalyst baskets, catalysts, desiccants, and inert balls, when such activities must be
completed:
2.1.1 Prior to startup
2.1.2 After startup

3.0 Pumps
3.1 Set and align pumps and driver for cold operation. Furnish record of alignment.

Phase 3: Front-End Engineering

3.2 Uncouple pumps from drivers and check driver for proper rotation.
3.3 Run-in for a period as recommended by the manufacturer, uncoupled (subject to manufacturer’s approval), and
check bearings for overheating.

Responsibility Codes:
Mechanical Completion: A = Subcontractor Responsibility, B = Subcontractor/Owner Responsibility
73

Startup Operations by Owner: C = Subcontractor Responsibility, D = Subcontractor/Owner Responsibility, E = Not Applicable

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 Tool

Phase 3: Front-End Engineering

74

Tool 3-I: Checklist of Typical Startup Activities (page 2 of 7)

Description A B C D E
3.4 Remove all rust preventatives, oil, grease, etc. used to preserve the equipment during construction.
3.5 Install proper lubrications after review with the Owner. Lubricants to be supplied by the Owner.
3.6 Install temporary packing (if permanent packing is not suitable for flushing).
3.7 Make final check of cold alignment after flushing.
3.8 Make piping correction prior to run-ins (as required to obtain proper alignment and couple pumps).
3.9 Check and run-in all the pumps; maintain them after turnover. and do any required doweling of the pumps and
drivers.
3.10 Make final hot alignment check.

4.0 Turbine Drivers

4.1 Set and cold align all turbines and associated piping.
4.2 Remove all rust preventatives, oils, grease, etc. used to preserve the equipment during construction (prior to
startup) and install proper lubricants (furnished by Owner).
4.3 Install all permanent packing and accessories after flushing and immediately prior to run-in.
4.4 Check and run-in turbines; check governor and trips.
4.5 Maintain turbines, governor, and trips after turnover.
4.6 Make final hot alignment check.

Responsibility Codes:
Mechanical Completion: A = Subcontractor Responsibility, B = Subcontractor/Owner Responsibility
Startup Operations by Owner: C = Subcontractor Responsibility, D = Subcontractor/Owner Responsibility, E = Not Applicable
 Tool 3-I: Checklist of Typical Startup Activities (page 3 of 7)
Description A B C D E
5.0 Compressors, Expanders, and Generators
5.1 Install all equipment and make piping corrections (as required to obtain proper alignment). Assist Owner as
required to obtain proper alignment.
5.2 Maintain the equipment up to the time the unit or section is turned over to the Owner.
5.3 Turn over compressor, suction piping, interstage piping, lube and seal oil piping, in clean condition (free of mill
scale, weld spatter, and all loose and foreign material).
5.4 Install necessary lubricants (furnished by Owner).
5.5 Check and run-in the compressors on air; maintain them after turnover; and do any required doweling of the
compressors and drivers.
5.6 Make hot alignment of compressors.
5.7 Correct any piping alignment or deficiency which may be necessary after the run-in of the compressors.
5.8 Make comprehensive vibration check of rotating elements and ancillary equipment.

6.0 Fired Heaters

6.1 Perform a cold hydrostatic test on completed heater coils. Empty water as completely as possible after test.
6.2 Prepare heater dry-out procedure (including manufacturer’s recommendations).

Phase 3: Front-End Engineering

6.3 Dry out heater according to approved procedure.

Responsibility Codes:
Mechanical Completion: A = Subcontractor Responsibility, B = Subcontractor/Owner Responsibility
Startup Operations by Owner: C = Subcontractor Responsibility, D = Subcontractor/Owner Responsibility, E = Not Applicable
75

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76

Tool 3-I: Checklist of Typical Startup Activities (page 4 of 7)

Description A B C D E
7.0 Miscellaneous Mechanical Equipment
7.1 Install all miscellaneous mechanical equipment (such as loading arms, loading racks, mixers, filters, agitators,
scales, cranes, fans, sealing equipment, rotating disc columns, skid-mounted packages, etc.).
7.2 Check out, lubricate, and adjust all equipment (lubricants furnished by Owner).
7.3 Observe all tests and run-in of equipment.
7.4 Calibrate all solids weighing and measuring devices in their field-installed operating positions. Furnished record
of all calibration data. Show that equipment meets the specified tolerance of accuracy over full range of
operating conditions.
7.5 Witness field calibration tests of solids weighing and measuring devices.

8.0 Safety Equipment

8.1 Commission all fire protection equipment and facilities an d carry out necessary tests.
8.2 Install safety valves or dummy spools during construction.
8.3 Schedule safety valves testing in sequence, sufficiently in advance of startup, to permit orderly installation.
8.4 Transport all safety valves prior to and Owner’s test facilities.
8.5 Test, set, and tag safety valves prior to final installation.
8.6 Install all safety valves.
8.7 Paint all car-sealed valves in color designated by Owner.
8.8 Install car seals on block valves (where required).

Responsibility Codes:
Mechanical Completion: A = Subcontractor Responsibility, B = Subcontractor/Owner Responsibility
Startup Operations by Owner: C = Subcontractor Responsibility, D = Subcontractor/Owner Responsibility, E = Not Applicable
 Tool 3-I: Checklist of Typical Startup Activities (page 5 of 7)

Description A B C D E
9.0 Piping
9.1 Hydrostatically or pneumatically test and clean all piping as required by drawings, specifications, and good
practices.
9.2 Provided and install all strainers (both temporary and permanent), figure-eight blanks, temporary blanks, and
spool piece called for on drawings and specifications.
9.3 Re-pack and grease valves (where necessary).
9.4 Supply supervised labor and necessary tools to break flanges, drop out control vales and spool pieces, and install
temporary blanks and piping connection for final flushing of piping and equipment.
9.5 Provide suitable temporary hose connections, blind, and dummy spools (as required) for flushing.
9.6 Supply personnel and supervision (as required) for final flushing.
9.7 Clean temporary strainers (if necessary) during the flushing operations.
9.8 Remove the strainers from the piping when no longer required.
9.9 Supply supervised labor for the hot bolting of piping and equipment during the initial plant startup.
9.10 Provide adequate marking to identify steam or heat tracing take-off valves.
9.11 Supply and install line identification tags and signs. Stencil lines fro identification.

10.0 Tightness Tests

Phase 3: Front-End Engineering

10.1 Tightness test all equipment-handling process liquid and gases.
10.2 Repair all leaks during tightness tests.

Responsibility Codes:
Mechanical Completion: A = Subcontractor Responsibility, B = Subcontractor/Owner Responsibility
Startup Operations by Owner: C = Subcontractor Responsibility, D = Subcontractor/Owner Responsibility, E = Not Applicable
77

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78

Tool 3-I: Checklist of Typical Startup Activities (page 6 of 7)

Description A B C D E
11.0 Electrical
11.1 Remove all rust preventatives, oil, grease, etc. used to preserve equipment during construction.
11.2 Install necessary lubricants (furnished by Owner).
11.3 Check condition of grease in grease-lubricated motor and generator bearings.
11.4 Energize substations and circuits (as mutually agreed by Contractor and Owner) after completion of field tests
of wiring and electrical equipment, in accordance with recognized standards and codes. Such tests are to
include measuring of liquid insulation dielectric strengths and equipment dielectric absorption ratios,
insulation resistance, grounding resistance, and testing and adjusting of relays.
11.5 Owner shall issue permits to Contractor for carrying out checks on electrical equipment after electrical
facilities are energized.
11.6 Calibrate and set relays on all circuit breakers. Set time delays. Check protection systems for all equipment.
11.7 Check operability of emergency and instrument power systems (as mutually agreed).
11.8 Assume all responsibility for electrical facilities which are energized.

12.0 Instrumentation
12.1 Perform required pressure tests on instrument take-off piping and air piping and tubing.
12.2 Check continuity and identification of transmission and control systems for each instrument to ensure proper
hook-up. This applies to both pneumatic and electrical systems.

Responsibility Codes:
Mechanical Completion: A = Subcontractor Responsibility, B = Subcontractor/Owner Responsibility
Startup Operations by Owner: C = Subcontractor Responsibility, D = Subcontractor/Owner Responsibility, E = Not Applicable
 Tool 3-I: Checklist of Typical Startup Activities (page 7 of 7)
Description A B C D E
12.3 Calibrate all instruments (except temperature and pressure gauges) and synchronize transmitter and receiver
readings for each instrument.
12.4 Calibrate temperature and pressure gauges.
12.5 Install all pressure and temperature gauges.
12.6 Re-install all control valves after line flushing and check each valve for proper operation (i.e. travel, action with
air failure, etc.).
12.7 Install all orifice plates after flushing and/or air blowing.
12.8 Provide and install sealing fluids (where required).

13.0 General
13.1 Make inspection of plant to check conformity to flow diagrams and construction drawings.
13.2 Inspection required by governmental agencies and/or insurance companies.
13.3 Inspection of plant tie-in points to existing plant according to schedule provided by Contractor .
13.4 Arrange for visits of suppliers’ field service engineers:
13.4.1 Prior to startup
13.4.2 After startup
13.5 Removal of temporary facilities (to a mutually agreed upon degree).
13.6 Clean up of plant areas (to a mutually agreed upon degree).

Phase 3: Front-End Engineering

13.7 Cleaning of sumps and basins.
13.8 Insulation and painting completed (to a mutually agreed upon degree).

Responsibility Codes:
Mechanical Completion: A = Subcontractor Responsibility, B = Subcontractor/Owner Responsibility
Startup Operations by Owner: C = Subcontractor Responsibility, D = Subcontractor/Owner Responsibility, E = Not Applicable
79

Tool
 Phase 4: Front-End Engineering

4-A: Address Startup Issues in Team-Building Sessions

A. Phase: Detailed Design

B. Key Concepts: Team-building meetings offer an excellent opportunity for addressing
startup issues and acquiring EPC contractor input and buy-in to the startup plan.
C. Deliverables: Team-building meetings should produce action items lists focused on
startup issues.
D. Motive/Rationale: To get early input and buy-in or commitment to the Startup
Execution Plan from all project participants.
E. Responsibility: Contractor Project Manager, Startup Manager
Accountability: Owner Project Manager
Consult: Planner/scheduler
Inform:
F. Quality Gate/Sequencing Constraints: This activity does not need to be treated as a
quality gate, but the first team-building meeting should be held within the first month
of detailed design.
G. Basic Steps:
1. Involve a trained facilitator in formal team building.
2. As a part of the design kickoff meeting, review the Startup Execution Plan and get
input and buy-in.
3. Periodically conduct team-building meetings, focusing on startup issues; involve
participants from engineering, construction, operations, and maintenance.
H. Tools Needed/Provided:
I. Challenges to Successful Implementation:
• Resistance to formal team-building by some project participants

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Phase 4: Front-End Engineering

4-B: Assess & Communicate Startup Effects from Changes

A. Phase: Detailed Design

B. Key Concepts: Impacts on startup from changes must be recognized early. Existing
change management systems should be enhanced to include consideration and
communication of change effects on startup. The startup manager should be actively
involved in the assessment of changes.
C. Deliverables: Additional procedures that supplement existing change management
systems; these additional procedures address the evaluation of changes and the
communication of these anticipated effects from changes.
D. Motive/Rationale: Late changes are a major threat to startup success and the true,
costly effects of changes on startup are too often underestimated or not recognized
altogether.
E. Responsibility: Contractor Project Manager
Accountability: Owner Project Manager
Consult: Manufacturing Operations Rep., Startup Manager, Planner/Scheduler
Inform:
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but should
occur when the change management system is formalized.
G. Basic Steps:
1. Understand and commit to the requirements of the existing change management
system (thoroughly establish one if none exists!).
2. Add assessment of startup impacts to the change evaluation system, and whenever
appropriate, involve startup expertise in the change management team.
3. Recognize that changes can cause delays, cost increases, unforeseen safety and
health risks, loss of momentum, demotivated workers, and loss of organization
and planning.
4. In implementing the change management policy and procedures, ensure that
changes are effectively communicated to startup planners on a timely basis.
H. Tools Needed/Provided:
Provided: checklist of impacts of changes on startup
I. Challenges to Successful Implementation:
• Change management systems themselves are often not formally or rigorously
implemented
• Changes are often not communicated effectively or on a timely basis
• It is difficult to anticipate the consequences of a future change
• Reluctance to change previous plans in the light of new information

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 Phase 4: Front-End Engineering

4-C: Plan for Supplier Field Support of Startup

A. Phase: Detailed Design

B. Key Concepts: Needs for field support from suppliers should be
identified as completely as possible and reflected in procurement plans
and schedules to support equipment delivery, checkout, and startup.
C. Deliverables: Listing of needs for supplier support of startup and a
plan for acquisition of these needs. This plan should be added to the
Startup Execution Plan.
D. Motive/Rationale: Startup needs for supplier field support can be
critical and should be addressed early.
E. Responsibility: Startup Manager
Accountability: Contractor Project Manager
Consult: Procurement Manager, Supplier
Inform: Owner Project Manager
F. Quality Gate/Sequencing Constraints: This activity is not a quality
gate, but must occur prior to development of procurement RFQs.
G. Basic Steps:
1. Use a historical listing of supplier support needs as a point of
departure; review these listings in meetings and get further input.
2. Discuss options for acquiring supplier supports.
3. Formulate definitive plans for acquiring such supports. Address
budget, schedule, procurement scope, and purchase order/
contractual aspects, and include these in a formal written plan.
Consider collective bargaining agreement effects.
4. Update the Startup Execution Plan with this information.
H. Tools Needed/Provided:
Provided: see Tool 3-H
Needed: detailed corporate listings of needs for supplier field supports
for startup
I. Challenges to Successful Implementation:
• Failure to identify needs for supplier field supports
• Failure of procurement department to seek input from others
regarding needs for such support
• Qualifications/expertise of supplier engineers in providing needed
support

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Phase 4: Front-End Engineering

4-D: Include Startup in the Project CPM Schedule

A. Phase: Detailed Design

B. Key Concepts: Startup activities by system must be included in the integrated project
CPM schedule. This schedule should address the transition from area- and discipline-
oriented construction to system-oriented startup.
C. Deliverables: An integrated project schedule that includes startup activities and is
resource-loaded.
D. Motive/Rationale: Early integration of startup and construction activities.
E. Responsibility: Planner/Scheduler
Accountability: Contractor Project Manager
Consult: Manufacturing Operations Representative, Startup Manager
Inform: Owner Project Manager
F. Quality Gate/Sequencing Constraints: A CPM schedule that includes Startup activities
must be developed prior to 30 percent completion of detailed design.
G. Basic Steps:
1. Use the latest project schedule and Startup Execution Plan as the point of departure
for this development.
2. Incorporate startup activities into the CPM.
3. Get input from all project stakeholders.
4. Apply standard CPM scheduling procedures and tools.
5. Analyze the CPM in terms of manloading and float time, and refine the schedule.
H. Tools Needed/Provided:
Needed: commercial schedule management software package
I. Challenges to Successful Implementation:
• Preparation of startup CPM without adequate input
• CPM schedule that is not kept current
• CPM schedule that is prepared too late for positive benefits in design and
procurement
• Startup schedule not fully integrated with the master project schedule
• CPM schedule that is too detailed to be usable or to be updated efficiently

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 Phase 4: Front-End Engineering

4-E: Plan for Startup QA/QC

A. Phase: Detailed Design

B. Key Concepts: Identify as completely as possible QA/QC activities critical to startup,
including requirements for pre-shipment testing.
C. Deliverables: QA/QC plan (part of the Startup Execution Plan) that places emphasis
on issues critical to startup, such as scope of pre-shipment testing.
D. Motive/Rationale: An effective QA/QC plan will minimize checkout-related problems
in the field (which often impact startup). This is particularly important when new
technologies or complex systems are involved.
E. Responsibility: Project Team
Accountability: Contractor Project Manager
Consult: Startup Manager, QA/QC Manager, Procurement Manager
Inform: Owner Project Manager
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but must be
done well in advance of issuance of purchase orders, which should not be placed
without suppliers acknowledging pre-shipment testing requirements.
G. Basic Steps:
1. Use the equipment list, integrated project schedule, and Startup Execution Plan as
the informational basis for this activity.
2. Identify and thoroughly scope needs for QA/QC critical for successful startup
(such as x-ray requirements) and needs for pre-shipment testing. Integrate these
needs with those QA/QC needs associated with procurement and field construction.
3. Ensure that requisitioning engineers understand the importance of this activity and
the procedures involved.
4. Draft a plan that addresses all aspects of QA/QC for startup and organize needs
on a systems basis. Add this plan to the Startup Execution Plan.
H. Tools Needed/Provided:
Provided: listing of common needs for pre-shipment testing
Needed: QA/QC plan, pre-shipment testing procedures and specifications
I. Challenges to Successful Implementation:
• Waiting to test on-site, rather than in the shop
• Lack of awareness of supplier capabilities for pre-shipment testing
• Inability of suppliers to conduct pre-shipment tests
• No schedule contingency for pre-shipment testing failures
• Unwillingness of owners to witness pre-shipment tests

85
Phase 4: Front-End Engineering

4-F: Refine the Startup Team Organization Plan

and Responsibility Assignments

A. Phase: Detailed Design

B. Key Concepts: Update the startup team organization structure and responsibility
assignments, reflecting current information.
C. Deliverables: Updated startup organization chart and RACI chart.
D. Motive/Rationale: Keep plans current.
E. Responsibility: Contractor Project Manager
Accountability: Owner Project Manager
Consult: Manufacturing Operations Representative, Startup Manager
Inform:
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate.
G. Basic Steps:
1. Use the updated Startup Execution Plan as the basis for this activity. This should
include the deliverables from previous startup planning activities in Detailed
Design (i.e., CPM schedule, plan for O&M review, plan for supplier field support,
and the QA/QC/preshipment testing plan).
2. Update the startup organization chart and RACI chart to reflect current information.
Fill in all voids in responsibility assignments. Show all contractor and supplier
roles.
3. Add the updated charts to the Startup Execution Plan.
H. Tools Needed/Provided:
Provided: sample organization chart, sample RACI chart
I. Challenges to Successful Implementation:
• Common paradigm that this activity can be accomplished later

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 Phase 4: Front-End Engineering

4-G: Acquire Additional O&M Input

A. Phase: Detailed Design

B. Key Concepts: Operations and maintenance review of engineering deliverables
(including models, physical or computer-based) is critical to startup success and must
therefore be planned.
C. Deliverables: Detailed plan for getting comments from one or more review meetings
involving key individuals from operations and maintenance.
D. Motive/Rationale: Operations and maintenance input is critical for high-quality
engineering deliverables and startup success.
E. Responsibility: Manufacturing Operations Representative, Contractor Project
Manager, Startup Manager
Accountability: Owner Project Manager
Consult:
Inform: Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This planning activity should occur upon
initiation of detailed design.
G. Basic Steps:
1. Build upon the input acquired in Step 3-E. Identify issues for O&M proactive input
and review. Integrate startup input and reviews with operability, maintainability,
and constructability input and reviews.
2. Identify key O&M individuals to involve in the discussions and reviews.
3. Schedule O&M discussions/reviews on a milestone basis.
4. Communicate the plan/model review schedules to all appropriate parties.
5. Ensure that discussions and reviews are effectively conducted.
H. Tools Needed/Provided:
Provided: see Tools 3-E-1 and 3-E-2
I. Challenges to Successful Implementation:
• Historically operations and maintenance organizations are underrepresented in
reviews, often due to unavailability of personnel
• Late (and thus costly) input from operations and maintenance
• Conflicts between engineering and operations can cause problems
• Little or no training on how to conduct or participate in effective reviews
• Engineering deliverables that are neglected by O&M reviewers (e.g., lube plans)

87
Phase 4: Front-End Engineering

4-H: Indicate Startup System Numbers

on Engineering Deliverables

A. Phase: Detailed Design

B. Key Concepts: Identify and communicate startup systems on all key engineering
deliverables in order to facilitate planning and control.
C. Deliverables: Two types of deliverables: 1) Engineering deliverables that show startup
system codes and 2) a summary index of all engineering deliverables sorted by startup
system numbers.
D. Motive/Rationale: Early identification and effective communication of startup systems
on engineering deliverables is critical to startup planning, control, and overall success.
This step will increase awareness of startup activities and related needs for information,
progress, etc.
E. Responsibility: Project Team
Accountability: Contractor Project Manager
Consult: Startup Manager
Inform: Owner Project Manager
F. Quality Gate/Sequencing Constraints: This activity should not be treated as a quality
gate but should be completed prior to issuance of deliverables.
G. Basic Steps:
1. Use the Startup Execution Plan as the informational basis for this activity.
2. Fully develop a breakdown structure of all startup systems/subsystems.
3. Establish an easy-to-understand coding system for system identities.
4. Show startup system codes on engineering deliverables, such as P&IDs, piping
isometrics, equipment lists, instrument indexes, loop diagrams, line schedules, and
selected procurement documents (e.g., purchase orders).
5. Conduct checks to assure accuracy in startup code designations.
6. Prepare an index showing all engr. deliverables by startup system code.
7. Issue indexes to appropriate personnel and update the Execution Plan.
8. Update system identifiers and summary indexes as needed.
H. Tools Needed/Provided:
Provided: example of startup system coding system
I. Challenges to Successful Implementation:
• This step requires a sizable effort and project-wide implementation
• For many, this is essentially a new approach to business
• A likely target for engineering cost cutting

88
 Phase 4: Front-End Engineering

4-I: Refine Startup Risk Assessment

A. Phase: Detailed Design

B. Key Concepts: The identification and assessment of startup risks should be updated
and refined in the detailed design phase.
C. Deliverables: An updated listing of potential risks to successful startup with associated
estimates of impact and optional control strategies.
D. Motive/Rationale: Overlooked risks can severely impact startup success. Early
detection and containment efforts are needed in order to reduce loss potentials.
E. Responsibility: Startup Manager
Accountability: Contractor Project Manager
Consult: Manufacturing Operations Representative, Planner/Scheduler, Estimator
Inform: Owner Project Manager
F. Quality Gate/Sequencing Constraints: This activity should not be treated as a quality
gate, but should occur before completion of Detailed Design.
G. Basic Steps:
1. Use the updated Startup Execution Plan as the basis for this activity and revisit
documented startup lessons-learned.
2. Conduct a formal risk analysis. Reassess risks associated with the process
technology, controls automation, redundancy, and environmental concerns. Involve
a trained risk analysis facilitator as needed. Employ both checklists and formal risk
analysis methods as appropriate (e.g., Monte Carlo analysis, event trees, scenario
analysis, fault trees, etc.).
3. Propose and evaluate risk control strategies for implementation. Define contingency
actions, complete with responsibility assignments.
4. Issue a report and include in an updated Startup Execution Plan.
H. Tools Needed/Provided:
Provided: detailed startup risk checklist
Needed: pilot plant data, training in risk analysis methods, listing of startup risk
management strategies and contingency plans
I. Challenges to Successful Implementation:
• Little or no training in risk analysis among project managers
• Senior management is often uncomfortable with documented risks
• Concept of risk involves difficult notions of probability
• Often there is no in-house expertise to assess risk and outside assistance is
dismissed as a nonessential “luxury”
• Strong desire to remain optimistic about the project and to “move forward”
• Little or no tracking of startup lessons learned
89
Phase 4: Front-End Engineering

4-J: Plan Operator/Maintenance Training

A. Phase: Detailed Design

B. Key Concepts: Develop a formal training plan that will provide operations/ maintenance
with the skills required to meet objectives.
C. Deliverables: Formal, written Operator/Maintenance Training Plan
D. Motive/Rationale: A training plan is needed early in order to schedule training
activities and to adequately prepare training materials and training systems.
E. Responsibility: Manufacturing Operations Representative, Maintenance
Representative, Contractor Project Manager
Accountability: Owner Project Manager
Consult: Startup Manager
Inform: Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but the
Training Plan should be initiated by the midpoint of detailed design. Needs for input
on operator process control screens may constrain the schedule.
G. Basic Steps:
1. Start with a skill needs assessment of both operations and maintenance.
2. Prepare the inventory of available skills and compare this with the needs assessment.
Define training program needs.
3. Review existing operating manuals, training manuals, and supplier manuals. Draft
a training manual, taking into account the operator staffing plan, experience level
of trainees, newness of process technology, time available for training, use of
models and simulation, number of DCS screens, PSM requirements, and other
regulatory issues. Thoroughly address how operators will be certified or qualified.
Where appropriate, integrate the needs for operator training with those for
maintenance training.
4. Develop other training support materials, such as models and mock-ups.
5. Prepare a detailed schedule of all preparation and training activities.
6. Conduct reviews of the training manual and schedule and make refinements.
7. Issue the Operator Training Plan and confirm the training cost estimate.
H. Tools Needed/Provided:
Provided: example Table of Contents for Training Plan and Operator Manual
Needed: instruction manuals from equipment/instrument suppliers
I. Challenges to Successful Implementation:
• Availability of operators to assist in planning for training
• Late planning for training
• Restrictions from collective bargaining agreements
90
• Late completion of control system configuration
 Phase 4: Front-End Engineering

4-K: Develop Startup Spare Parts Plan

A. Phase: Detailed Design

B. Key Concepts: Spare parts and consumables needed in startup should be identified
early in order to facilitate engineering and procurement.
C. Deliverables: Formal plan that addresses startup spare parts and consumables.
D. Motive/Rationale: Early development of such a plan will help facilitate efficient
engineering, procurement, and materials management activities.
E. Responsibility: Startup Manager, Procurement Manager
Accountability: Contractor Project Manager
Consult: Manufacturing Operations Representative, Maintenance
Representative, Construction Manager
Inform: Owner Project Manager
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but should
be completed well before the completion of detailed design.
G. Basic Steps:
1. Define spare parts scoping, purchasing, and field materials mgmt. responsibilities
and procedures. Seek oper./maint. input and assess related risks.
2. Address schedule aspects of spare parts planning and procurement.
3. Research previous projects with similar processes/equipment to determine typical
parts requirements and high-failure parts; seek supplier input.
4. Identify all consumables required, such as filters, screens, packing, lubricants,
gaskets, fuses, etc.
5. Identify storage procedures, particularly those for keeping spares separate from
owner furnished equipment.
6. Define procedure/responsibilities for replacing lost, stolen, or broken parts and
expediting late orders. Address accounting aspects of spare parts procurement and
management.
7. Draft a comprehensive Spare Parts Plan for review and issuance. Add this
document to the Startup Execution Plan.
H. Tools Needed/Provided:
Provided: example of Table of Contents of a Spare Parts Plan
Needed: listings of spare parts usually provided by suppliers, plant-based spare parts
inventory management system
I. Challenges to Successful Implementation:
• Inability of suppliers to define needs for spare parts early on
• Supplier commissioning personnel unavailable for early consultations
• Low priority of spare parts issues among suppliers
91
• Spare parts are often treated as a low priority and are poorly managed
Phase 4: Front-End Engineering

4-L: Develop System Turnover Plan

A. Phase: Detailed Design

B. Key Concepts: A plan is needed that addresses activities, roles, responsibilities, and
procedures for system completion, punchlist, checkout, and commissioning.
C. Deliverables: A System Turnover Plan that addresses the smooth, incremental transfer
of jurisdictional control from construction to operations on a system or multisystem
basis.
D. Motive/Rationale: This plan will provide structure for a smooth hand-off from
construction to checkout and commissioning.
E. Responsibility: Planner/Scheduler
Accountability: Contractor Project Manager
Consult: Startup Manager
Inform: Owner Project Manager, Manufacturing Operations Representative
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but should
occur in the later stages of detailed design.
G. Basic Steps:
1. Use the Startup Execution Plan, project contracting strategy, existing turnover
tools as the informational bases for this activity.
2. Develop a comprehensive System Turnover Plan that addresses physical completion
requirements, operational control and safety, turnover procedures, sample turnover
criteria checklists and certifications, turnover RACI matrix, turnover milestone
schedule (consistent with CPM), procedure for dealing with late changes, and
punchlist procedures.
3. Conduct reviews of the plan and make needed refinements.
4. Where appropriate, include the plan (or portions thereof) in purchasing and bid
documents.
H. Tools Needed/Provided:
Provided: example of System Turnover Plan Table of Contents, examples of turnover
criteria checklists, example of turnover RACI matrix
I. Challenges to Successful Implementation:
• Lack of owner resources to implement
• Incomplete or poorly defined acceptance criteria
• Inconsistent approaches to turnover among owners and business units
• Lack of awareness among engineers of the importance of the turnover plan
• Overemphasis of physical completion rather than startup
• Sign-off procedures that are not understood

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4-M: Develop and Communicate Startup Procedures

and Process Safety Management

A. Phase: Detailed Design

B. Key Concepts: Startup procedures must be thoroughly developed during the Detailed
Design phase in order to support detailed planning.
C. Deliverables: Clear, well-organized manual of startup procedures that addresses all
aspects of checkout, testing, and commissioning.
D. Motive/Rationale: To enhance startup effectiveness, task descriptions and procedures
must be developed and effectively communicated to personnel.
E. Responsibility: Startup Manager
Accountability: Contractor Project Manager
Consult: Manufacturing Operations Representative, Safety Manager
Inform: Owner Project Manager, Planner/Scheduler, Training Manager
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, and cannot
begin until P&IDs, supplier technical data, and logic diagrams are available, but the
first draft of these procedures should be completed early enough to allow for thorough
reviews, detailed planning, and operator training.
G. Basic Steps:
1. Use the Startup Execution Plan as the informational basis for this activity. Other
key information documents for this activity include PFDs, P&IDs, logic diagrams,
supplier technical data, Process Safety Management procedures (29CFR 1910),
and previous startup procedures.
2. Review and discuss plant operational dynamics, including all foreseen operating
conditions. Review and refine project safety procedures. Complete the Process
Hazards Analysis and develop procedures that address associated concerns.
3. Draft detailed startup procedures for review, refinement, and issuance.
H. Tools Needed/Provided:
Needed: company startup procedures; Process Safety Management checklist
I. Challenges to Successful Implementation:
• Unavailability of qualified personnel at this stage for this activity
• Lack of field personnel with experience in Process Safety Management
• Inadequate or late supplier support of this activity
• Starting this step too late in the project
• Inadequate attention to safety issues as systems are turned over to operations

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Phase 4: Front-End Engineering

4-N: Refine Startup Budget and Schedule

A. Phase: Detailed Design

B. Key Concepts: Utilizing the most recent information, update both the startup budget
and schedule and reflect these developments in the overall project budget and
schedule. In particular, startup priorities and sequences should be updated and “fine
tuned” based upon current, detailed project information.
C. Deliverables: Updated startup budget and schedule that are fully integrated with the
overall project budget and schedule.
D. Motive/Rationale: Planning tools must be kept current to be effective.
E. Responsibility: Contractor Project Manager, Planner/Scheduler, Estimator
Accountability: Owner Project Manager
Consult: Manufacturing Operations Representative, Startup Manager, Project Team
Inform:
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate.
G. Basic Steps: Since the hands-on effort for this activity may have changed, careful
coordination between all involved parties is needed. The project schedule must now
emphasize both construction and startup need dates so that design and procurement
packages can be released in the proper and timely sequence.
1. Use the updated Startup Execution Plan and schedules as the informational bases
for this activity. Assess overall project and schedule status.
2. Review schedule priorities and strategies to ensure clarity and buy-in from all
parties. Review shutdown plans (if any).
3. Identify all changes and developments since the last schedule revision. Review the
startup risk assessment and operator training plan.
4. Adjust startup sequence logic and add detail to the schedule as needed.
5. Ensure that all major schedule activities and cost factors are included in these
documents, including those pertaining to the training of operators.
6. Conduct final budget and schedule reviews with appropriate personnel.
7. Issue updated startup budget and schedule.
H. Tools Needed/Provided:
Provided: see Tools 2-A, 2-B, 3-I, 4-B, 4-H, 4-J-1, and 4-J-2.
I. Challenges to Successful Implementation:
• Failure to truly update previously developed schedules
• Level of detail in schedule is often inadequate
• Detailed schedules are too often developed by schedulers in isolation with
minimal input from others

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 Phase 4: Front-End Engineering

4-O: Update the Startup Execution Plan

A. Phase: Detailed Design

B. Key Concepts: The Startup Execution Plan should be updated as new project
information becomes known. As stated previously, this should be a part of the overall
Project Execution Plan and should be formally and thoroughly developed. It should
be formally issued as part of the Detailed Design Package.
C. Deliverables: A revised, updated Startup Execution Plan that addresses all important
aspects of startup. This should be included as part of the Detailed Design Package.
D. Motive/Rationale: The Startup Execution Plan provides a framework for systematic
integrated planning necessary to ensure successful implementation.
E. Responsibility: Startup Manager
Accountability: Contractor Project Manager
Consult: Manufacturing Operations Representative, Project Team
Inform: Business Unit Manager, Owner Project Manager, Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This update should be treated as a quality gate,
occurring as a final step in Detailed Design.
G. Basic Steps:
1. Expand upon the previously developed Startup Execution Plan (activity 3-J).
Incorporate the most recent startup schedule (activities 4-B and 4-K), startup
budget (activity 4-K), supplier support plan (activity 4-D), preshipment testing
plan (activity 4-E), startup organization plan (activity 4-F), startup system index
(activity 4-G), operator training plan and progress to date (activity 4-H), startup
spare parts plan (activity 4-I), refined assessment of startup risks (activity 4-J),
startup procedures (activity 4-M), system turnover plan (activity 4-N), and any
other salient information.
2. Draft any new parts or components of the plan. Add detail to both the plan for
checkout/commissioning and the plan for initial operations.
3. Gather as a team, review all component drafts and refine.
4. Reissue the Plan as a base document for the Procurement and Construction phases.
H. Tools Needed/Provided:
Provided: see all previous activities
I. Challenges to Successful Implementation:
• Neglect of plan updates (in general)
• Failure to recognize the need for periodic plan updates

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Phase 4: Front-End Engineering

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Tool 4-B: Checklist of Change Impacts on Startup

Change Impact Comments/
# Change Evaluation Criteria None Low Med. High Uncertain Action
A Schedule Delays
B Authorization Reqmts/Cost
C Safety and Health Risks
D Technical Basis for Change
E Environmental Compliance
F Product Quality
G Operability
H Maintainability
I Changes in Operating Procedures
J Operations/Maint. Training
K Mechanical/Control Integrity
L Loss of Project Momentum & Efficiency
M Project Team Demotivation & Tension
N Management Concerns
O Organization and Planning
 Phase 4: Front-End Engineering

Tool 4-E: Common Needs for Pre-Shipment Testing

This outline is a guide for defining owner preshipment testing requirements.

Specific items to be considered:

1. Definition of owner’s requirement in RFQ and subsequent purchase order:
• Inspection levels and coordination
• Basis for testing
• Duration of testing
• Sample methods
• Calculation methods for determining true levels of variation and quality
• Prerequisites for release from supplier’s facility
• Evaluation of in-plant inspections
• In-house vs. contract inspection services
• Witness and hold points
• Test notification procedure

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2. Demonstrated Performance at Rated Capacity (if feasible)
• Safety requirements addressed
• Quality
• Quantity
• Process stability
• Documentation complete

3. When Demonstrated Performance not possible in supplier’s facility:

• Limited operation as conditions may permit possible operation of subsystems

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 Phase 4: Front-End Engineering

4. Parameters to be checked in addition to performance testing:

• Software package with complete documentation
• Training, operation and maintenance manuals
• Appropriate use of materials, coatings, and finishes
• Limits of supply appropriate in terms of services (water, oil, gas, power, etc.)
• Safety devices installed (guards, disconnects, fuses, safety valves, rupture disks,
emergency stop switches, emergency cut-off valves)
• Special startup tools/apparatus supplied
• Documentation of lubrication and alignment status of the equipment
• Maintenance functionality demonstrated (access to equipment and components,
interference issues for operation, etc.)

5. Verification that overall dimensions and mounting surfaces are consistent with approval
drawings such that items can be brought into the building and set as intended.
6. Verification of outstanding provisions of order:
• Release for shipment procedure understood
• Confirmation of shipping date and method
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• Understanding of how device is to be uncrated

• Confirmation of commissioning activities and intended startup date
• Nonconformances noted in writing
• Deficiencies follow-up

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 Phase 4: Front-End Engineering

Tool 4-H: Startup System Coding System: Example 1 (page 1 of 15)

Outside Battery Limits Process Systems

System Number System Definition Scheduled Completion Date
100 Cooling Water & Chem. Treatment
101 UA/IA Generation
102 OSBL Cooling Water Lines
103 OSBL UA/IA Lines
104 DI & Potable Water Lines
105/106 HP/LP Nitrogen Lines
107 Steam & Condensate Lines
109 Methanol Tanks
110 Orthoxylene Tanks
111 Orthoxylene Wash Tanks
112 Railcar Unloading Area
113 Butadiene Storage Area
114 Waste Treatment Area
115 Flare System

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Outside Battery Limits Process Systems
System Number System Definition Scheduled Completion Date
201 Misc. Structural Supports
202/203 Misc. Concrete & Paving
204 Lighting
209 Grounding

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 Phase 4: Front-End Engineering

Tool 4-H: Startup System Coding System: Example 1 (page 2 of 15)

Inside Battery Limits Process Systems
System Number System Definition Scheduled Completion Date
123 Process Sewers
124 Utility & Instrument Air Headers
125 DMN Storage & Vent Scrubber
126 Acetic Acid Storage
127 Liquid Catalyst Storage
128 50% Catalyst Storage
129 Dilute Caustic Storage
130 HBr Storage
131 Sodium Formate Storage
132 Process Air Compressor
133 High Pressure Glycerine Seals
134 Recycle Solvent
135 Feed Mix
136 BR-301 & Overhead
137 BR-303 & Overhead
138 Digestor
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139 BR-401/BR-402 Pressure Crystallizers

140 BR-303 Vacuum Crystallizers
141 Crystallizer
142 Product Dryer & Conveying
143 Dryer Gas Circulation
144 Mother Liquor
145 Solvent Recovery/Evaporator
146 Solvent Dehydration
147 Dehydrated Solvent
148 CATOX
149 Offgas Dryer
150 Recycle Solids
151 Closed Recycle System
152 Hot Oil Distribution
153 Cooling Water Distribution
154 DI Water Distribution
155 Fire Water Distribution
156 Safety Showers
157 Steam & Condensate
160 Nitrogen & Inert Gas
162 Natural Gas
163 Miscellaneous Inter-Unit Piping

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 Phase 4: Front-End Engineering

Tool 4-H: Startup System Coding System: Example 1 (page 3 of 15)

Inside Battery Limits Generic Systems

System Number System Definition Scheduled Completion Date
200 *Radiographic Inspection Reports
211 Misc. Structural & Painting
212/213 Misc. Concrete/Paving & Acid Brick
214 Lighting
217 13.8 KV Power
218 Cable Tray
219 *Post-Weld Heat Treatment
220 Grounding
221 *General Tightness Testing

NOTE: Generic Systems marked with asterisk (*) are common to both the ISBL and OSBL Areas.

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 Phase 4: Front-End Engineering

Tool 4-H: Startup System Coding System: Example 1 (page 4 of 15)

The plant’s operating systems have been separated into discrete systems for Commissioning
and startup. These systems have been marked on P&IDs and sequentially ordered for
construction completion and commissioning. Generic systems such as foundations and structural
have not been included in this list. The Utility Systems should be completed first and
commissioned in the order they are listed. The Support Systems should be completed next and
the order can be revised according to field conditions, except that the Flare System should be
first and the Fuel gas system last in that group. The Operating Systems are last and listed in flow
path order for vapor and liquid systems, however, all operating systems must be complete and
cold-commissioned before feed gas is introduced.

Suggested Order of Completion

Utility Systems – 500 series: Complete in sequential order

501 Storm Water Drains
502 Potable Water (City Water)
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503 Firewater
504 Electric Power
505 Instrument Air/Plant Air/Starting Air
506 DCS and Control Room
507 Cooling Water System
508 Boiler Feed Water Treatment & Supply
509 Steam System
510 Condensate System

Support Systems – 600 series: Complete 601 first and 609 last, others as available
601 Flare System & Atmospheric Vents
602 Process Hydrocarbon Drains
603 Glycol System
604 Amine System
605 Amine Drains
606 Refrigeration System
607 Hot Oil System
608 Fuel Gas System
609 Methanol System

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 Phase 4: Front-End Engineering

Tool 4-H: Startup System Coding System: Example 1 (page 5 of 15)

Main Operating Systems – 700 series: All Systems to be complete before startup
701 Feed Bypass to Produce
702 De-ethanizer Feed
703 De-ethanizer
704 Ethane Treatment & Export
705 Depropanizer
706 Debutanizer
707 De-isobutanizer
708 Storage, Rerun & Export
709 Analyzers & Meters

Instructions for commissioning and startup are normally provided by equipment manufactures
for each piece of tag number equipment. The manufacturer’s instructions should be studied and
followed carefully before the initial run-in of the equipment otherwise their warranties may be

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void. Some of the equipment will be commissioned with the manufactures representative
assisting the operating crew.

The guidelines contained herein are intended to supplement the manufacturers instruction
and the owners safety and operating practices.

Suggested Startup Outline

A. Utilities and Service Systems – 500 Series

Critical Utilities required for Commissioning and Startup

501. Storm Water Drains: Required to keep the plant area dry for construction and
to handle the post-hydrotest flush water. Pump-out pump can be of a
temporary nature until the permanent pumps and power supply and installed
and commissioned. The permanent pumps should be commissioned and
placed in automatic mode as soon as possible. A temporary discharge header
should be installed if the permanent piping is not available.

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 Phase 4: Front-End Engineering

Tool 4-H: Startup System Coding System: Example 1 (page 6 of 15)

502. Potable Water: Required for plant safety and for hydrotesting and flushing of
lines and vessels. Supply will be from a local utility (city water).
503. Firewater: Required for plant safety. The existing plant has a firewater system
which may be sufficient for construction purposes, however, extension of the
firewater system should be completed early to prevent construction interference.
504. Electric Power: Required for pump and compressor run-in, for controls and
permanent lighting.
505. Instrument Air, Plant Air, and Starting Air: Required during commissioning
for blowout of lines and tightness testing of systems as well as control valve
operation. Starting air is required to commission the refrigeration compressors
and drivers.
506. DCS System and Control Room: Required for operator training. Required for
loop checks and commissioning field instrumentation. Required to safely
operate motors and equipment during run-in and commissioning procedures.
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Also required for a communications center during the critical startup operations.

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 Phase 4: Front-End Engineering

Tool 4-H: Startup System Coding System: Example 1 (page 7 of 15)

507. Cooling Water System: The Cooling Water System is a modification of an
existing system which consists of a cooling tower, cooling water supply pumps
and header, heat exchangers and cooling water return header. Flushing of the
system is accomplished by first cleaning the cooling tower basin and filling it
with clean water. Open the cooling water supply header end cap and flush the
header thoroughly. Reinstall the header cap and break the flanges at each
exchanger to flush them thoroughly from the supply header. Make up the
flanges with permanent gaskets and flush through the exchangers into the
cooling water return header. This will flush debris into the cooling tower basin
unless the flush can be redirected. Check and clean the basin as needed to
ensure that the cooling water supply does not reintroduce dirt into the system.
After cleaning, the cooling water chemical treatment can be reinstituted.
508. Boiler Feedwater Treatment and Supply: This system consists of a water
softening package, a storage tanks, pumps, de-aerator and a chemical addition

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package. After thoroughly cleaning the BFW storage tank, the tank and system
should be flushed with city water and drained. The softening and chemical
treatment systems should be loaded with the proper resins and chemicals.

Follow the Supplier’s Recommended Procedures Carefully.

Begin to make treated water and thoroughly rinse the storage tank, de-aerator and piping
system. Circulate the water through as much of the system as possible and take water samples
to adjust the chemical recipe to the supplier’s specifications.

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 Phase 4: Front-End Engineering

Tool 4-H: Startup System Coding System: Example 1 (page 8 of 15)

509. Steam System: Steam is produced in a steam generator which is heated by hot
oil. This unit should be thoroughly flushed on the water side and treated water
should be circulated though it while waiting for the hot oil system to be
commissioned. Temporary piping may be required. When hot oil is available,
the steam header should be blown down by heating up the line with steam,
pressuring it and rapidly depressuring it to remove weld spatter, rust, etc.
Repeat this procedure at least three times, allowing the header to cool down
each time. After the header is clean, break each branch line and blow it down
in a similar manner. A blowdown line is provided to manually purge the
accumulated scale/sludge from the steam generator.
510 Condensate System: The condensate system returns the condensed steam to
the condensate pot and eventually to the de-aerator, where it is heated and
pumped back to the steam generator. The condensate piping should be
thoroughly flushed and rinsed to remove any debris. After starting to generate
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steam, the condensate should be wasted to drain until samples prove that the
system is clean.

B. Hydrocarbon Support Systems – 600 Series

601. Flare and Vents Systems: This system includes all of the PSVs and their relief
lines. Spillback relief valves and piping are also included, but some of them
may be internal to the equipment or included in packaged equipment. Each
relief valve is tested and set before installation. There is never any reason to
change these settings for commissioning or startup.

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 Phase 4: Front-End Engineering

Tool 4-H: Startup System Coding System: Example 1 (page 9 of 15)

Checkout each connecting line and work the punchlists with the highest
priority. Ensure that the system is complete and the venting of hydrocarbons
will not cause a hazardous situation. Flush out the flare knockout drum and
commission the flare condensate pumps while flowing to a temporary drain.
Check the flare package and run dry-run trials on the flare igniter. Prepare the
system for operation and maintain readiness to operate. Bleed nitrogen into
the flare header extremities through the fuel gas purges. Check the oxygen
content of the flare header gas to ensure a low oxygen content before
activating the normal fuel as purge. Do not pressurize any operating system
without first addressing the relief system.
602. Process Hydrocarbon Drains: The process hydrocarbon drains are an existing
atmospheric drain that flows by gravity to an API separator. This system is
included in the support systems because of safety reasons. The existing drains
may have residual hydrocarbons which must be flushed out during shutdown.

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After construction is complete, the drains should be flushed again to remove
debris. The API separator should be checked for debris also.
603. Glycol System: Check and flush out this package system thoroughly. Rinse the
system with condensate and blow with instrument air. Flow dry air through
the system until dry. When ready, prepare the system for operation and fill
with glycol to operating levels. Circulate glycol through the system and filters
using temporary connections as required. Heat the glycol with hot oil and vent
off the moisture through the glycol regenerator overhead line. Remove any
temporary connection before start-up on feed.

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Tool 4-H: Startup System Coding System: Example 1 (page 10 of 15)

604. Amine System: The amine system is a package unit which utilizes diglycolamine
to remove carbon dioxide from the ethane. The supplier of the package will
have specific instructions regarding system cleaning and preparing for operation.
Follow them carefully and avoid shortcuts in the cleaning and rinsing procedures.
Most of the startup problems encountered with amine systems come from
failing to clean and rinse the systems properly.
605. Amine Drains: The amine drains collect amine from various manual drains and
flow by gravity to the amine sump where it is stored and eventually returned
to the amine regenerator in the amine package. For this reason, the amine drain
system must be thoroughly cleaned similar to the amine system, otherwise any
oil or other foreign material will cause serious problems in the amine system.
606. Refrigeration System: The refrigeration skids should arrive at the jobsite in a
sealed condition with a nitrogen blanket to prevent infiltration of moisture.
This pressurized purge should be maintained at all times. Thoroughly clean the
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installed piping by first flushing after hydrotest, then blowing down with dry
instrument air and finally by flowing hot nitrogen until no moisture is present.
Make up the skid connections and continue the nitrogen purge until ready to
operate. When ready, introduce the propane refrigerant and sweep the piping
out to the flare. Continue the sweep purge until the nitrogen is removed.
Pressure up the system and initiate operation according to the manufactures
recommendations. Vent inert collect in the refrigerant accumulator to flare.

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 Phase 4: Front-End Engineering

Tool 4-H: Startup System Coding System: Example 1 (page 11 of 15)

607. Hot Oil System: Flush piping thoroughly and drain. Flow dry air through the
system to remove moisture. Check the pumps and seal systems carefully.
Inspect the heater and heater controls to ensure that the system is in proper
condition to start. Leak test the closed piping, vessel and heater system to
ensure that there will be no leakage problem at startup. Check the heater burner
system and firing controls thoroughly. Review the heater operating manual for
any recommended refractory dry out requirements and plan for these during
the initial firing. Charge the system with the heat transfer medium and circulate
until ready to operate, first heating the heat medium only enough to evaporate
any moisture. After the system is dry, the temperature can be increased in order
to make steam, as required.
608. Fuel Gas System: The fuel gas system is an extension of the existing Paradis fuel
gas system. Depending on the shutdown condition of the existing system, it may
be necessary to flush, purge and commission the entire system. This decision

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should be made with full knowledge of the existing conditions and the required
safety precautions which must be taken.

Flush the fuel gas piping thoroughly and drain. Pressure with instrument air
and leak check. Blow down low point drains to eliminate as much water as
possible. Confirm that the flare system is ready to operate and that hot work
has been reduced to a controllable minimum.

Prior to operation, hold safety meetings with the construction forces and
operations personnel to inform everyone on site of necessary changes in work
procedures and increased safety awareness. With agreement of all on-site
parties as to the construction, startup and operational procedures to ensure
plant and personnel safety, the fuel gas system can now be charged.

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Tool 4-H: Startup System Coding System: Example 1 (page 12 of 15)

Pressure up the fuel gas system with nitrogen to 100 psig three times and
blowdown through the flare. This will reduce the oxygen level in the system
to a safe level. Bring in fuel gas through the existing system and purge out to
flare. Pressure and depressure the system into the flare until the gas will
support a good quality flame. It is now time to establish the flare ignition pilots
and the hot oil heater pilots and main burners.
• Note that all work in proximity of the fuel gas and flare lines will require
a “Hot Work” permit.

• All users not ready for fuel gas should be blinded with vents downstream.

C. Main Process Systems – 700 Series

All of the main process systems must be completed and turned over to Operations before feed
can be introduced into the process. By this time, all systems have been hydrotested, flushed,
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flanges made up, leak tested, and blown down. All in-line instruments must be installed and
thoroughly tested and verified that the control room readouts are correct. These commissioning
procedures may proceed through the main process systems on a system by system basis. At the
end of the commissioning process, the entire plant should be leak tested and purged with
nitrogen. By this time, the exception lists should be down to a few inconsequential items which
can be safely completed while the plant is operating.

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Tool 4-H: Startup System Coding System: Example 1 (page 13 of 15)

It is not necessary to complete the main process systems in the order listed below. All of them
need to be completed and purged with nitrogen before feed gas is introduced. The order below
follows the process flow for the vapor and liquid products and has no other significance. If, for
some reason, it is more efficient to complete a later system ahead of another, then that should
be considered as long as the completion of the entire plant is enhanced.

701. Feed Bypass to Product Line

702. De-ethanizer Feed
703. De-ethanizer
704. Ethane Treatment and Export
705. Depropanizer
706. Debutanizer
707. De-isobutanizer
708. Storage, Rerun and Export (not yet defined)

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709. Analyzers and Meters

After all systems are complete, it is appropriate to hold another series of safety meetings with
all site personnel before bringing in the feed.

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Tool 4-H: Startup System Coding System: Example 1 (page 14 of 15)

D. Brief Description of Plant Startup
1. Feed Introduction: Verify one last time that the plant is ready to operate and
that it is under a nitrogen blanket. Verify that all utility and support systems
are operating or are ready to operate when required. Make one final check of
the ESD shutdown system to verify that the plant can be safely shutdown in an
emergency. Line up the valving and bring feed into the feed surge drum. Bring
the drum up to operating pressure and vent off the nitrogen to flare. When a
normal level has been established, prepare the valving to flow feed into the de-
ethanizer. Start a feed pump on recirculation and slowly introduce feed into the
de-ethanizer. Bring the pressure up to operating levels and allow the tower to
stabilize. Begin venting inerts mixed with ethane to the flare from the de-
ethanizer reflux drum. When the flame at the flare indicates that the nitrogen
level has reduced, start the refrigeration system and condense the C2+ in the de-
ethanizer overhead.
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Build a liquid level in the de-ethanizer reflux drum and start a reflux pump to
flow liquid back to the de-ethanizer. Continue operating in this mode until
normal liquid levels are achieved in the de-ethanizer system. Adjust the
pressure controls to flow C2 vapor to the amine and glycol systems and on to
the ethane surge drum. Vent off any nitrogen to flare and continue flowing
ethane until a normal liquid level has been achieved. Take samples of the liquid
before operating the ethane product pumps. When pipeline quality has been
achieved, the pumps can be started and ethane can flow to the pipeline.

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Tool 4-H: Startup System Coding System: Example 1 (page 15 of 15)

2. Depropanizer Startup: When the de-ethanizer sump reaches a normal level,
start the hot oil flow to the de-ethanizer reboiler. This will increase the flow
out of the sump and promote a more normal operation. When the reboiler level
increases, open the flow control valve and allow liquid to flow to the
depropanizer. Continue flowing liquid and bring the depropanizer up to
normal operating pressure. Adjust the feed rate to the de-ethanizer, as
required, to maintain a steady progression toward normal operation of the
depropanizer. Vent inerts from the depropanizer reflux accumulator to the
flare. As with the de-ethanizer, proceed with the operation until normal levels
are established in all associated vessels. Start the reflux pumps, the hot oil to
the reboiler and when ready, begin liquid flow to the debutanizer.
3. Debutanizer and De-isobutanizer Startup: The procedure for these two units
is similar to the depropanizer and should present little problem after the hands-
on experience with the de-ethanizer and depropanizer has been gained. Once

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the gasoline product is made in quantity, it can be circulated back to the front
end of the process and heat integration can be achieved.
4. Initial Operation: The plant is now in the initial operations phase. Confirm
that all utility systems and support systems are operating and ready to continue
feed introduction. Confirm that at least one pump or compressor of each
system is operating or on spillback. Take special precautions to ensure that the
liquid inventory in each of the towers is within normal range. Make process
control moves slowly and maintain pressures in their normal ranges. It will
take some time to achieve steady operating temperatures because of the many
process moves and the front-end heat integration.
Confirm the plant performance by taking an orderly series of gas and liquid
samples for analysis and reporting the constituents. Make adjustments to the
process to bring the product analysis into range as required.

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Tool 4-J-1: Example of Operator Training Plan

Section I — Module Objectives and Outline
List of each specific objective to be attained with the module.
Outline of what is to be covered in the training manual.
Comments and Examples
When the training is complete, the trainee should be able to accomplish each objective.
Outline includes suggested time intervals and reference designations.
Section II — Reference Material
Information to be learned and used as a referenced for training.
This material may be copied as a part of the module, or it may be a reference to a book
designating the chapter and pages to be used.
Comments and Examples
Basic Skills Modules — Generally, reference material will be published training texts.
Plant Operations — Reference material for those modules will be custom developed
operating manuals.
Specific Equipment Maintenance Training — Specific data from the appropriate supplier
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manuals will be used.

Section III — Workbook
Questions which the student must answer while referring to the reference material (see above).
An answer sheet is provided for the instructor.
Comments and Examples
Questions are generally fill-in-the-blank or, in some cases, short answer paragraphs. The
workbook is designed to reinforce lectures. It is a training, not a validation, device.

Section IV — Knowledge Assessment Test

Questions the student must answer without reference to any material, i.e., a closed-book test.
An answer sheet is provided for the instructor.
Comments and Examples
The test validates that the trainee has mastered the subject theory. Multiple choice along
with true/false questions are used.

Section V — Qualification Checklist

Checklist to be completed by the trainee’s supervisor, validating that the student has satisfactorily
achieved the necessary practical ability.
Comments and Examples
The qualification checklist validates that the trainee can satisfactorily apply the theory on
the job.

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 Phase 4: Front-End Engineering

Tool 4-J-2: Operator Manual Table of Contents (page 1 of 2)

1. Introduction
1.1. Process Requirements
1.1.1. Regulations
1.2. Unit Operations
1.2.1. Process Boundaries

2. Chemical Safety Information

2.1. Health Hazards
2.2. Safety Requirements/Personnel Protective Equipment
2.3. Industrial Hygiene
2.4. First Aid
2.5. MSDS/Technical Information

3. Process Information
3.1. Process Description
3.2. Flow Diagrams
3.3. Process Chemistry

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4. Equipment Information
4.1. P&IDs and Drawing Lists
4.2. Equipment Lists and Specifications
4.3. Instrumentation
4.4. Piping

5. Operating Procedures
5.1. Unit Operations
5.1.1. Commissioning
5.1.2. Initial Startup
5.1.3. Unit Ramup
5.1.4. Normal Operations
5.1.5. Emergency Shutdown
5.1.5.1. Process Shutdown
5.1.5.2. Power Outage
5.1.5.3. Loss of Containment
5.1.5.4. Loss of Signal
5.1.5.5. Fire
5.1.6. Interim Startup
5.1.7. Normal Shutdown

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 Phase 4: Front-End Engineering

Tool 4-J-2: Operator Manual Table of Contents (page 2 of 2)

5. Operating Procedures (continued)
5.2. Critical Parameters and Operating Limits
5.3. Communications
5.3.1. Process Unit
5.3.2. Facility

6. Equipment Integrity
6.1. Equipment Listing and Spare Parts
6.2. Equipment Inspections and Testing
6.3. Maintenance Work Procedures
6.4. Non-Routine Work Procedures
6.5. Quality Control
6.6. Maintenance Training

7. Contractor Procedures
7.1. Evaluation and Approval of Contractors
7.2. Communications and Training
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7.3. Control Requirements

8. Emergency Preparedness
8.1. Process Description
8.2. Safety and Health Considerations
8.3. Leak Detection
8.4. Emergency Response
8.5. Evacuation Detailed
8.6. Incident Command
8.7. Emergency Call Out Procedures

9. Compliance Audits
9.1. Audit Responsibility
9.2. Audit Method
9.3. Audit Team
9.4. Documentation and Follow-up

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 Phase 4: Front-End Engineering

Tool 4-K: Example of Table of Contents of a Spare Parts Plan

1.0 Objectives of the Spare Parts Plan
2.0 Requisitioning Procedures
2.1 Criteria for Spare Parts Recommendation
2.2 Supplier Recommendation Requirements
2.3 Requisitioning Engineer’s Recommendation
2.4 Other Engineer Recommendations
2.5 List Consolidation
2.6 List Approval
2.7 Procurement Recommendation

3.0 Spare Parts Recommendations

3.1 Construction & Checkout Spare Parts
3.2 Commissioning & Initial Operations Spare Parts
3.3 Two-Year Operations Spare Parts
3.4 Insurance Spare Parts

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 Phase 4: Front-End Engineering

Tool 4-L-1: Turnover Package Inventory

1.0 Process and Utility Systems
1.1 Piping QC reports and completed post-hydrotest punchlist
1.2 Completed mechanical equipment checklists
1.3 Completed weld records
1.4 Instrument loop acceptance forms and loop folders
1.5 Completed motor checklists
1.6 Completed punchlists for system
1.7 As built red-line drawings, P&IDs, motor schematics, instrument
loop diagrams
1.8 Completed system commissioning checklists and punchlists

2.0 Electrical Systems

2.1 Switch gear test reports
2.2 High voltage feeder test reports
2.3 Transformer test reports
2.4 Redlined electrical drawings
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2.5 Completed electrical system punchlist

3.0 Civil
3.1 Soils reports and Proctor analysis sheets
3.2 Soils compaction test report log, soils density test reports
3.3 Concrete test reports
3.4 Completed QC checklists
3.5 Completed punchlists

4.0 Distributed Control System

4.1 DCS supplier acceptance of installation for system warranty
4.2 Redline drawings of system architecture
4.3 Control system configuration electronic backup
4.4 Relined power and grounding drawings
4.5 Completed system punchlists

5.0 Buildings
5.1 Building inspector’s acceptance certificate
5.2 Completed punchlists
5.3 Reline as built drawings

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 Phase 4: Front-End Engineering

Tool 4-L-2: Loop Folder Contents

Instrument loop folders need to be prepared to complete instrument loop checkout during
construction and to insure that instrument maintenance information is available for the
ongoing maintenance of the plant. The following list of documents will be included in the loop
folders.

Loop Folder Inventory

1. Instrument loop drawing
2. Instrument data sheet
3. Supplier’s control valve data sheet
4. Instrument bench calibration records
5. Supplier’s orifice calculation sheets
6. Software configuration sheet — if applicable
7. Equation sheet — if applicable
8. Safety shutdown logic — if applicable
9. Complex loop drawing — if applicable

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10. Complex loop description — if applicable
11. Motor schematic — if applicable
12. Loop acceptance form/checklist
13. Instrument installation detail

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 Phase 5: Procurement

5-A: Qualify Suppliers for Startup Services

A. Phase: Procurement
B. Key Concepts: Suppliers must be selected based on the ability to provide quality
products, deliver the products as scheduled, and support start-up activities.
C. Deliverables: A list of qualified suppliers prepared to support startup
D. Motive/Rationale: Effective suppliers and quality products will reduce field startup
problems. On-site suppliers will be able to address and remedy problems or questions
that arise during startup.
E. Responsibility: Procurement Manager
Accountability: Contractor Project Manager
Consult: Startup Manager
Inform: Planner/Scheduler, Expeditors
F. Quality Gate/Sequencing Constraints: This is not a quality gate, but must be
accomplished prior to issuance of purchase orders.
G. Basic Steps:
1. This activity should build upon the previous activities pertaining to startup
supplier support and QA/QC.
2. Visits to proposed suppliers will uncover past track records, current shop and
engineering work loads and backlogs, and capability to supply the specific items.
Critical sub-suppliers should be evaluated similarly to primary suppliers.
3. Consider the ability of suppliers to: perform partial or full pre-shipment testing
prior to delivery of equipment; stock and provide critical spare parts; train
personnel in full operation of the equipment in the field; provide complete
operating and maintenance manuals; and work effectively with sub-suppliers.
4. List all key supplier selection criteria, such as special fabrication requirements,
shipping mode capabilities, and compatibility with existing equipment.
5. Avoid negotiating a supplier into promising unachievable shipment dates. If
necessary, make sure that the project team and the supplier clearly understand
what the supplier will do differently to accomplish any early shipments and what
the project’s responsibilities are to assist the supplier in meeting these dates.
6. Consider substantial milestone payments as incentives to meet critical needs.
7. Ensure that suppliers include adequate installation and operating instructions
packed with each instrument.
H. Tools Needed/Provided: none
I. Challenges to Successful Implementation:
• Not taking the time to properly evaluate suppliers, which includes site visits.
• Low-cost bidding without thorough prequalification.

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Phase 5: Procurement

5-B: Refine the Startup Spare Parts Plan and Expedite

A. Phase: Procurement
B. Key Concepts: The previously prepared startup spare parts plan should be updated
based on current information. In addition, many spare parts will require expediting
to ensure timely deliveries that support commissioning, checkout, and startup of the
project.
C. Deliverables: A spare parts procurement plan that addresses consumables, high-risk
components, and needs for expediting.
D. Motive/Rationale: Startup risks and costs will be reduced by ensuring that necessary
spare parts are available to support commissioning, checkout, and startup of the
project.
E. Responsibility: Procurement Manager
Accountability: Contractor Project Manager
Consult: Manufacturing Operations Rep., Maintenance Rep., Startup Manager
Inform: Owner Project Manager
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but the plan
must be refined prior to the issuance of purchase orders.
G. Basic Steps:
1. Ensure that all spare parts have been ordered. Check purchase orders and spare
part summaries to determine what has actually been purchased. Review the scope
of equipment items to determine if parts may have been overlooked.
2. Work with suppliers, specialists, operations, and maintenance to identify additional
high-risk component requirements.
3. Organize an expediting report that includes individual purchase order item
numbers for tracking spare parts placed with major equipment items.
4. Ensure expediters understand the importance of expediting spare parts.
5. Prepare and issue a status report that addresses spare parts.
6. Conduct routine spare parts status meetings with the appropriate personnel.
H. Tools Needed/Provided:
Needed: a comprehensive expediting plan; expediting procedures that address spare
parts
I. Challenges to Successful Implementation:
• Not having time or experience in identifying spare parts requirements.
• Changes do not receive the same degree of attention as the base design receives.
• Spare parts are often overlooked when major equipment is shipped.
• Expediters neglect spare parts as they are perceived to be non-critical.
• Suppliers often treat spare parts as a nuisance and will not follow through without
122 expediting pressure.
 Phase 5: Procurement

5-C: Implement the Procurement QA/QC Plan

A. Phase: Procurement
B. Key Concepts: Implementation of the QA/QC plan developed in 4-E (Plan for Startup
QA/QC) during this phase will insure awareness and conformance to QA/QC
standards and will subsequently lead to a more successful facility startup.
C. Deliverables: Execution of QA/QC activities during procurement with the ultimate
achievement of having the correct materials on-site.
D. Motive/Rationale: Implementation of the final QA/QC plan at the procurement and
pre-shipment stage of the project will insure that the QA/QC requirements are
incorporated into procurement activities, thereby leading to a more successful startup.
E. Responsibility: QA/QC Manager
Accountability: Contractor Project Manager
Consult: Startup Manager
Inform: Procurement Manager, Suppliers
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate.
G. Basic Steps:
1. Activity 4-E is the point of departure for this step. QA/QC requirements must be
included within each bid solicitation package so suppliers will know the requirements
prior to execution of a contract or purchase order.
2. Suppliers’ QA/QC procedures should be coordinated with those of the project to
identify any inconsistencies.
3. Sub-suppliers must conform to the same QA/QC requirements that suppliers do.
H. Tools Needed/Provided:
Needed: QA/QC sign off procedures, testing and inspection procedures, non-
conformance corrective plan, acceptance procedures, packaging and shipping
procedures
I. Challenges to Successful Implementation:
• Lack of well-defined technical performance criteria.
• Lack of a well-defined testing and acceptance plan.
• Allowing low initial cost to influence procurement strategies.
• Delay in procurement schedule subsequently resulting in a less than desired focus
on QA/QC requirements prior to shipment.

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 Phase 6: Construction

6-A: Update the Startup Execution Plan & Release

for Construction

A. Phase: Construction
B. Key Concepts: Final modification and review of the Startup Execution Plan should
occur prior to full implementation in order to ensure startup success.
C. Deliverables: Final Startup Execution Plan, which identifies all resources, strategies,
and contingencies pertaining to the introduction of feedstocks, performance testing,
and documentation preparation. This plan should also highlight areas where definition
may be lacking and activities where resources are particularly critical to success. It
should also address outstanding punchlist items.
D. Motive/Rationale: To insure that all salient project developments that have occurred
to date are adequately addressed in the Startup Execution Plan. Without proper
planning, the risks and costs of failure beyond this point are high.
E. Responsibility: Manufacturing Operations Representative, Startup Manager
Accountability: Contractor Project Manager
Consult: Owner Project Manager, Construction Manager, Planner/Scheduler, Suppliers
Inform: Business Unit Manager, Maintenance Representative
F. Quality Gate/Sequencing Constraints: This should be treated as a quality gate,
occurring prior to the transition from discipline-based management to systems-based
management.
G. Basic Steps:
1. Review all significant project developments since the last update of the Startup
Execution Plan (Activity 4-O), particularly developments pertaining to suppliers,
spare parts, QA/QC, expediting, and construction plans and progress.
2. Expand and update the Startup Execution Plan as appropriate or needed.
3. Finalize the checkout/commissioning plan, the plan for initial operations, and the
plan for the introduction of feedstocks.
4. Finalize project-specific procedures and responsibilities for problem identification
and resolution during turnover, commissioning, and initial operations.
5. Review and discuss salient components of the revised plan with all appropriate
personnel. Revisit resource needs and allocations.
6. Make any necessary final modifications to the plan and issue as the Final Startup
Execution Plan.
H. Tools Needed/Provided:
I. Challenges to Successful Implementation:
• The updating of plans is often undervalued, and thus neglected.

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Phase 6: Construction

6-B: Conduct Construction-Startup Team Building

A. Phase: Construction
B. Key Concepts: The construction-startup transition can be greatly improved with
team-building activities.
C. Deliverables: An execution team that fully supports startup plans and systems-based
concept during construction.
D. Motive/Rationale: Construction commitment to a successful startup can result from
team-building activities.
E. Responsibility: Contractor Project Manager, Construction Manager
Accountability: Owner Project Manager
Consult: Maintenance Representative, Startup Manager, Team-Building Facilitator
Inform: Manufacturing Operations Representative, Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This is not a quality gate, but should be
initiated shortly after award of major construction contracts.
G. Basic Steps:
1. All key construction and startup personnel must be named and in place. Choose
supervisors who support the concept of teamwork.
2. Establish open communications through all levels.
3. Involve an outside facilitator.
4. Conduct team-building sessions off-site. Identify barriers to success. Seek buy-in
into the Startup Execution Plan, especially concerning the startup objectives.
5. Concentrate on resolving problems, not placing blame. Encourage all individuals
to take an active interest in making their counterparts successful.
H. Tools Needed/Provided:
I. Challenges to Successful Implementation:
• Team building is a continuous process.
• Contracts should support team building activities.
• Team building requires one or more “time outs,” however brief.
• High concurrent time demands on personnel.

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 Phase 6: Construction

6-C: Refine the Startup Integrated CPM

A. Phase: Construction
B. Key Concepts: As the project progresses through construction, modifications to the
schedule should reflect current construction progress.
C. Deliverables: Revised Detailed Project Schedule
D. Motive/Rationale: To provide the best possible integrated plan of project activity
based on current information.
E. Responsibility: Planner/Scheduler
Accountability: Contractor Project Manager
Consult: Owner Project Manager, Manufacturing Operations Representative, Startup
Manager, Project Team
Inform:
F. Quality Gate/Sequencing Constraints: This activity is not a Quality Gate.
G. Basic Steps:
1. Review in detail the startup responsibilities of all interface organizations and all
testing activities.
2. Review testing durations using defined system parameters. Ensure that adequate
time is allowed for checkout and commissioning. Incorporate schedule time
contingencies where justifiable.
3. Review resource loading of startup activities, supplier testing/startup support, and
contractor support for startup.
4. Evaluate any special skills required for the personnel involved in executing the
startup.
H. Tools Needed/Provided:
I. Challenges to Successful Implementation:
• Not getting information in a timely fashion
• CPM schedules that are not kept current
• Underestimates of durations

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Phase 6: Construction

6-D: Conduct Operator/Maintenance Training

A. Phase: Construction
B. Key Concepts: The training of operations and maintenance personnel should follow
the training plan in a timely manner.
C. Deliverables: Well-trained operators and maintenance personnel who are prepared
for all the challenges they may confront.
D. Motive/Rationale: Startup success is highly dependent upon operator and maintenance
proficiency, which is only achieved through experience and/or training. Effective
operating/maintenance skills can help in avoiding costly mistakes with respect to
safety performance, environmental performance, integrity of the equipment, efficiency
of operation, product quality, waste generation, and time required to achieve project
objectives.
E. Responsibility: Startup Manager, Training Manager
Accountability: Contractor Project Manager
Consult: Manufacturing Operations Representative, Maintenance Representative
Inform: Plant Manager
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but should
occur prior to the transition to systems-based execution.
G. Basic Steps:
1. Implement the previously developed training plan, including classroom, simulation,
and on-site activities.
2. Competency testing should be used to confirm that personnel have achieved the
minimum necessary skills prior to startup.
3. Retrain where individuals fail to demonstrate minimum proficiency as defined in
the qualification.
4. Utilize startup activities to reinforce the training (system identification, marking,
punch listing, and testing).
H. Tools Needed/Provided:
Needed: collective bargaining agreement (if applicable), training plan, startup
procedures, operations and maintenance manuals and databooks
I. Challenges to Successful Implementation:
• Lack of understanding of that minimum level of proficiency needed to operate and
maintain the process, particularly in projects involving a new technology.
• Capital constraints — training costs are often underestimated and under-funded.
• Staffing constraints; it is often difficult to find personnel with both the technical
skills and training development skills to deliver an effective program.
• Restrictive collective bargaining agreements

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 Phase 6: Construction

6-E: Implement the Field QA/QC Plan

A. Phase: Construction
B. Key Concepts: A successful startup is predicated on the implementation of a complete
and fully defined field QA/QC plan during the construction phase.
C. Deliverables: Documented construction per the specification with all deviations
identified and corrected.
D. Motive/Rationale: To insure a successful facility startup, a QA/QC plan must be
implemented at the outset of construction, installation, and testing phases in order to
minimize quality defects and maximize startup efficiency.
E. Responsibility: QA/QC Manager
Accountability: Contractor Project Manager
Consult: Manufacturing Operations Rep., Construction Manager, Startup Manager
Inform: Owner Project Manager, Project Team
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate.
G. Basic Steps:
1. Activity 4-E is the point of departure for this activity. The owner and contractor
must have agreed-upon, formal QA/QC procedures prior to the beginning of
construction. These should be organized on the basis of startup systems.
2. Detailed QA/QC requirements must be included within the scope of work for
prime contracts, purchase orders, and subcontracts.
3. Ensure that the prime contractor has a QA/QC representative on site full-time.
4. Ensure subcontractors and primary equipment suppliers have on-site QA/QC
representatives concurrent with execution of their work.
5. Field QA/QC corrective action plan should be complete with procedures.
6. Testing and acceptance sign-off documentation must be complete, communicated,
and ready for implementation.
H. Tools Needed/Provided:
Needed: QA/QC standards and regulations, QA/QC field guideline book, and owner-
approved testing and acceptance procedures
I. Challenges to Successful Implementation:
• Lack of qualified QA/QC field representatives.
• Lack of follow-through with QA/QC procedures.
• Non-conformance issues not quickly addressed.
• Delay in receipt of equipment thus forcing an accelerated installation process and
subsequently overlooking QA/QC issues.
• Owner expectations for witnessing tests are not communicated and result in
rework.
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Phase 6: Construction

6-F: Finalize the Startup Risk Assessment

A. Phase: Construction
B. Key Concepts: The risk assessment developed during detailed design must be
reviewed, updated, and communicated to the entire project team.
C. Deliverables: A final document delineating risk potential and critical risk abatement
procedures.
D. Motive/Rationale: This is the final opportunity to mitigate risk and to assure a safe
startup through planning.
E. Responsibility: Manufacturing Operations Representative, Startup Manager
Accountability: Contractor Project Manager
Consult: Business Unit Manager, Owner Project Manager, Construction Manager,
Planner/Scheduler, Estimator
Inform: Plant Manager
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate, but should
be done prior to commissioning.
G. Basic Steps:
1. This activity should build on previous activity 4-I. Any recently discovered risks
should be fully reviewed and strategies should be developed to minimize the risks.
In particular, review the following: construction progress and available resources;
changes; market issues; and QA/QC.
2. Known process risks, line flushing, passivation, system dry-out (where critical),
and system operation while other or connected systems are still under construction
must be considered.
3. Ensure closure of HAZOPS (and identification of all needs for changes).
4. Finalize plans for preventive or corrective action. Implement such action as
appropriate.
5. Update documentation.
H. Tools Needed/Provided:
Needed: pre-startup safety review procedures
I. Challenges to Successful Implementation:
• Limited availability of experienced process and manufacturing personnel.
• Assumption that the startup team “can fix it all.”
• Procrastination in addressing previously identified risks.

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 Phase 6: Construction

6-G: Transition to Startup Systems-Based Execution

A. Phase: Construction
B. Key Concepts: Transition from construction in a discipline/area mode to startup
systems-based completion.
C. Deliverables: All systems ready for commissioning.
D. Motive/Rationale: While construction is a discipline- or area-based activity,
commissioning and operations are systems-based. Therefore, it is necessary to
facilitate the switch from area-based installation to startup systems-based testing and
commissioning.
E. Responsibility: Contractor Project Mgr., Construction Mgr., Startup Mgr.
Accountability: Owner Project Manager
Consult: Manufacturing Operations Representative
Inform: Planner/scheduler
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate.
G. Basic Steps:
1. Use the Startup Execution Plan (Activity 4-O) and the System Turnover Plan
(Activity 4-N) as the points of departure for this activity. Review both the
construction scheduling requirements and startup sequencing requirements.
2. Assign system responsibilities to field construction craft supervision.
3. Look for opportunities to link construction testing requirements with startup
testing requirements.
4. Communicate individual system milestones and requirements to the various
construction disciplines and crews.
5. Maintain a well-kept construction punchlist that is effectively prioritized and
communicated to appropriate personnel.
6. Track construction percent completion on a systems basis (actual vs. planned).
Redirect construction forces as needed.
H. Tools Needed/Provided:
Needed: CPM-based schedule management tools available per company standards;
methods for tracking construction completion by system; forms for systems-based
punch lists.
I. Challenges to Successful Implementation:
• Construction contracts are usually awarded by discipline, not systems; thus, this
is a difficult step requiring both organizational and contractual interfaces
• Two management systems must interface
• Ineffective approaches to micro-level activity planning
• Site-based planning resources are often unavailable at this point in the project.
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 Phase 7: Checkout and Commissioning

7-A: Finalize the Operations & Maintenance Organization

and Management Systems

A. Phase: Checkout and Commissioning

B. Key Concepts: Ensure that the operations and maintenance organizations are in place
and ready for checkout, commissioning, and initial operations. In addition, ensure
that all support management systems are also in place and functional.
C. Deliverables: A fully staffed organization that is ready for checkout, commissioning,
and initial operations. All management systems that support these activities are in
place.
D. Motive/Rationale: To have resources and systems fully prepared for checkout,
commissioning, and initial operations.
E. Responsibility: Manufacturing Operations Representative, Startup Manager
Accountability: Manufacturing Operations Representative
Consult: Maintenance Representative, Human Resources Manager
Inform: Plant Manager
F. Quality Gate/Sequencing Constraints: This activity should be treated as a quality gate.
G. Basic Steps:
1. All named positions and/or roles or competencies pertaining to operations and
maintenance should be filled.
2. All management systems for ensuring proper procedures and documentation
should be in place and functional. These systems should address schedule
management, risk management, performance tracking, test documentation,
materials management, operations procedures, startup manuals, troubleshooting
procedures.
H. Tools Needed/Provided:
Needed: startup manuals, operations manual, maintenance manual, as-built drawings
Provided:
I. Challenges to Successful Implementation:
• Old paradigm: “Let’s get on with startup” without the appropriate organization
and management systems in place.

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Phase 7: Checkout and Commissioning

7-B: Checkout Systems

A. Phase: Checkout and Commissioning

B. Key Concepts: Checkout is an engineering/construction-led function to confirm that
systems are ready for commissioning. The activity is component- and subsystem-
driven.
C. Deliverables: Systems that are ready for commissioning
D. Motive/Rationale: Components and subsystems must undergo checkout as a system
prior to commissioning.
E. Responsibility: Construction Manager, Startup Manager, Project Team
Accountability: Contractor Project Manager
Consult: Owner Project Manager
Inform: Plant Manager, Manufacturing Operations Representative, Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This activity should be treated as a quality gate,
occurring prior to commissioning of systems (activity 7-C). In the pharmaceutical
sector, this is often referred to as the Installation Qualification (IQ) milestone.
G. Basic Steps:
1. Startup planning activity 4-M (Develop and Communicate Startup Procedures) is
the starting point for this step. Following a prepared checklist, witness and
document component and subsystem checkouts; including visual checks of
mechanical systems, hydro tests, electrical and instrumentation loop checks,
interlock checks, and valve stroke checks.
2. Completion of punchlists is a major activity.
3. Ensure safety procedures are in place to permit testing while construction work is
concluding on the facility.
4. Thoroughly document all checkouts with appropriate signoffs. Organize and
maintain documentation for easy retrieval.
H. Tools Needed/Provided:
Needed: computerized, comprehensive documentation system
Provided: Checkout/commissioning checklist
I. Challenges to Successful Implementation:
• Time requirements for checkout are often underestimated.
• This activity is often a panic point due to poor planning.
• Lack of early recognition that checkout will save time during startup.
• Construction not completing systems to allow for checkout as planned or needed.
• Contractors are demobilizing during this phase and may not be able to support the
project adequately to accomplish punchlist and problem list items.
• Checkout plan is not given priority.
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 Phase 7: Checkout and Commissioning

7-C: Commission Systems

A. Phase: Checkout and Commissioning

B. Key Concepts: Commissioning of systems is an operations-led activity in which utility
media (power, fluids, etc.) are introduced into systems for inspection and witnessing.
C. Deliverables: Systems that are commissioned and now ready for the introduction of
feedstocks and initial operations.
D. Motive/Rationale: This is a fundamental, required step to ensure that all critical
systems and components are operating as intended. This activity should also provide
a basis for correcting problems and/or resolving disputes.
E. Responsibility: Manufacturing Operations Representative, Startup Manager
Accountability: Startup Manager
Consult: Owner Project Mgr., Construction Mgr., Project Team, Process Licensor
Inform: Planner/Scheduler
F. Quality Gate/Sequencing Constraints: This activity should be treated as a quality gate,
occurring prior to the introduction of feedstocks. In the pharmaceutical sector, this
milestone is often referred to as the Operations Qualification (OQ) milestone.
G. Basic Steps:
1. Startup planning activity 4-M (Develop and Communicate Startup Procedures) is
the starting point for this activity.
2. Commission systems in the planned sequence and following planned procedures.
3. Upon completion, the project should be functionally complete, verified, and
capable of safe operation (all guards, safety interlocks, and process safety
provisions functional, etc.). Punchlist is completed to an acceptable level.
4. Thoroughly document all activities and appropriate sign-offs. Organize and
maintain documentation for easy retrieval.
5. Finalize, confirm, and communicate the plan for initial operations, which includes
the introduction of feedstocks and performance testing.
H. Tools Needed/Provided:
Needed: Startup manuals, operating/maintenance manuals, qualification protocols
Provided: Checkout/commissioning checklist
I. Challenges to Successful Implementation:
• Time requirements for commissioning are often underestimated.
• This activity is often a “panic point” due to poor planning.
• Owner personnel reluctant to accept responsibility for maintenance items while
the contractor is on-site, claiming these to be warranty-related work.
• Activities concurrent with construction can pose problems.

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 Tool

Phase 7: Checkout and Commissioning

136

Tool 7-B: Checkout and Commissioning Checklist (page 1 of 7)

System Number:_____
Act. # Activity Name Status Comments
Construction Completion
1 Complete Installation of Process Piping and Specialty Systems
2 Clean and Inspect Piping and Equipment
3 Inspect and Stroke Manual Valves
4 Receive, Inspect and Install Instruments
5 Complete Instrument Piping and Tubing
6 Verify Flushing Connections
7 Install Temporary Pipe for Flushing and Chemical Cleaning
8 Schedule Suppliers as Required for Assembly
9 Complete Mechanical Equipment Installation
10 Service, Adjust, Lubricate, and Maintain Equipment
11 Complete Wire and Cable Runs
12 Inspect Wiring, cable Runs, and Connections
13 Inspect MCC Thermal Overloads and Breakers vs. Service Requirements
14 Service and Fill Transformers
15 Inspect Switchgear and Mechanical Interlocks
16 Install and Service Batteries
17 Complete Data Sheets and Test Records
18 Prepare System Punchlists
19 Manage Clearance and Safety Tagging Program

Activity Status: U = Unscheduled, S = Scheduled, I = In Progress, C = Complete

 Tool 7-B: Checkout and Commissioning Checklist (page 2 of 7)
System Number:_____
Act. # Activity Name Status Comments
20 Install Insulation and Complete Painting as Required
21 Make As-Built Drawings
Construction Testing
22 Perform Nondestructive Testing
23 Perform Hydrostatic Tests
24 Perform Piping Leak Tests
25 Inspect/Clean Vessels, etc.
26 Release Piping Hangers and HX Expansion Bolts
27 Schedule Suppliers Required for Construction Testing
28 Megger Cables and Equipment
29 Perform Rotating Equipment Coupling Alignment
30 Remove all Shipping and Construction Blinds

Phase 7: Checkout and Commissioning

31 Inspect Completed Installation to Approved Design Documents
32 Interface with Commissioning Concerning Components/Systems Ready for Turnover
33 Complete Required Data Sheets and Test Records
34 Perform Hand Over Walkdown and Compile Exception List
35 Commence Scaffold Removal

Activity Status: U = Unscheduled, S = Scheduled, I = In Progress, C = Complete

137

Tool
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Phase 7: Checkout and Commissioning

138

Tool 7-B: Checkout and Commissioning Checklist (page 3 of 7)

System Number:_____
Act. # Activity Name Status Comments
Check-Out Phase
36 Inspect Vessels and Close Up
37 Install Temporary Commissioning Test Equipment as Required
38 Complete Preparations for Water Flushing, Air Blowing, Chemical Cleaning, and
Steam Blows
39 Perform Water Flushing, Air Blowing, Chemical Cleaning, and Steam Blows
40 Install All Orifice Plates
41 Calibrate and Test Instruments
42 Initially Energize and Test Control Loops
43 Stroke Control Valves/Dampers/etc.
44 Install Temporary Pipe for Flushing and Cleaning
45 Perform API Valve Tightness Test
46 Inspect Temporary Strainers and Differential Gauges
47 Test CTs, PTs, and Secondary Circuits
48 Load Catalysts, Column Packing and Close Out
49 Perform Equipment Oil Flushes
50 Schedule Suppliers for Functional Testing
51 Load Catalysts, Chemicals and Close Up
52 Provide Chemistry Consultation Services (Operations)
53 Load Initial Charges of Resin, Filter Media, Filter Cartridges, Chemicals, etc.

Activity Status: U = Unscheduled, S = Scheduled, I = In Progress, C = Complete

 Tool 7-B: Checkout and Commissioning Checklist (page 4 of 7)
System Number:_____
Act. # Activity Name Status Comments
54 All Support Utilities Available
55 Calibrate Meters, Relays and Instruments. Tests CTs, PTs and Secondary Circuits
56 Perform High Voltage Insulation Tests as Required
57 Test Power Transformers and Major Electrical Equipment
58 Initially Energize Major Power Supply Systems
59 Remove All Scaffolding and Combustible Materials
60 Additional Megger as Required
61 Bump Motors for Rotation
62 Run-In and Vibration Test Motors Uncoupled
63 Couple Rotating Equipment
64 Control Room & HVAC Checkout, Test and In-Service Test
65 Power up DCS
66 Prepare for Process System Air Pressure Tests

Phase 7: Checkout and Commissioning

67 Set MOV Torque Switches and Adjust Limit Switches
68 Electrically Operate MOVs
69 Remove and Set Safety Relief Devices
70 Verify Routine Maintenance on Equipment & Systems
71 Complete the Data Sheets and Test Records
72 Manage the Work Clearance and Safety Togging Program
73 Insulation and Painting Complete (Construction)
139

Activity Status: U = Unscheduled, S = Scheduled, I = In Progress, C = Complete

Tool
 Tool

Phase 7: Checkout and Commissioning

140

Tool 7-B: Checkout and Commissioning Checklist (page 5 of 7)

System Number:_____
Act. # Activity Name Status Comments
74 Identify Design Problems to Responsible Engineering Organization for Resolution
75 Fine-Tune Hydrocarbon Process Units Individually
76 Adjust Pipe Hangers to Hot Settings
Initial Operations Phase
77 Set All Process Blinds as per Blind List
78 Line Up Systems for Operation
79 Operate and Monitor Permanent Plant Equipment and Systems
80 Operate Instruments and Controls as Systems
81 Verify Digital and Analog Control Circuits and Interlocks
82 Functional Verification of all EDS and EDP Systems
83 Vessel Entry and Hot Work Permit In Use
84 Check and Set Boiler Safety Valves
85 Schedule Suppliers for Initial Equipment Operation
86 Nitrogen Purge of the Flare and Fuel Gas Systems
87 Conduct Steam Boiler Functional Tests
88 Perform Vacuum Leak Tests as Required
89 Remove Temporary Piping and Equipment as Required
90 Confirm Boiler Cleanliness and Inspect Refractory
91 Perform Steam Line Blows

Activity Status: U = Unscheduled, S = Scheduled, I = In Progress, C = Complete

 Tool 7-B: Checkout and Commissioning Checklist (page 6 of 7)
System Number:_____
Act. # Activity Name Status Comments
92 Run-In and Vibration Test Rotating Equipment
93 Perform Process Air Pressure Tests
94 Nitrogen Purge Process Systems
95 Perform Final HVAC Testing
96 Supply Chemicals, Fluids and Spare Parts as Required
97 Complete the Data Sheets and Test Records
98 Preactivate Catalyst
99 Boiler/Fired Heater Refractory Dry and Boilout
101 Inspect Boiler/Fired Heater Refractory
Operations Phase
102 Gas in and Pressure Up to the Facility Working Pressure
103 Unit Line Out
104 Feedstock In

Phase 7: Checkout and Commissioning

105 Fine-Tune Process Variables
106 Lab Test All Samples
107 Cold Oil Circulation
108 Product Routed to Off-Spec Storage
109 Hot Oil Circulation
110 Product to Storage

Activity Status: U = Unscheduled, S = Scheduled, I = In Progress, C = Complete

141

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Phase 7: Checkout and Commissioning

142

Tool 7-B: Checkout and Commissioning Checklist (page 7 of 7)

System Number:_____
Act. # Activity Name Status Comments
111 Re-torque Bolting as Required
112 Perform Transient Tests
113 Set Up for Performance Testing
114 Establish Normal Operations
115 Complete Thermal Expansion Surveys
116 Complete the Data Sheets and Test Records
117 Complete Insulation, Painting, etc. (Construction)
118 Feed Rate to Design Conditions

Activity Status: U = Unscheduled, S = Scheduled, I = In Progress, C = Complete

 Phase 8: Initial Operations

8-A: Introduce Feedstocks

A. Phase: Initial Operations

B. Key Concepts: The introduction of feedstock for processing into the final product is
a fundamental step in startup.
C. Deliverables: A systematic introduction of feedstocks into the new facility at the
prescribed temperatures, pressures, and flow rates so that the plant can operate at
design conditions.
D. Motive/Rationale: Produce product in a safe and efficient manner.
E. Responsibility: Manufacturing Operations Representative, Startup Manager
Accountability: Manufacturing Operations Representative
Consult: Maintenance Representative, Process Licensor
Inform: Business Unit Manager, Plant Manager
F. Quality Gate/Sequencing Constraints: This activity is not a quality gate.
G. Basic Steps:
1. Feedstocks should not be introduced into the new facility until fully reviewed for
completion and all process safety management requirements have been satisfied.
Steps in planning for the introduction of feedstocks should include the following:
- manufacturing personnel are fully aware of operating work rules, expected
operational parameters, and safety aspects of feedstocks, intermediate product,
and final product;
- implement risk management plans and all environmental safeguards;
- quantity and quality of feedstock are adequate;
- feedstocks are properly identified and stored;
- intermediate storage, off-spec product storage, and final product storage are
ready to receive products; and
- pre-introduction punchlist work is completed.
2. Execute the plan; introduce feedstocks in the proper sequence; make adjustments
as needed; and get appropriate sign-offs by manufacturing representatives.
H. Tools Needed/Provided:
Needed: material safety data sheets; completed PSM documentation; equipment
catalogs; supplier data; operating manuals; spare parts list; procedures with
specific steps identified and in sign-off format.
I. Challenges to Successful Implementation:
• Procedures not followed due to desire to get facility on line quickly.
• Continuity during startup compromised due to manufacturing shift personnel not
communicating effectively during shift change.

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 8-B: Conduct Performance Testing

A. Phase: Initial Operations

B. Key Concepts: Performance tests are required by most contracts and startup is usually
not complete until the project demonstrates robust, capable, and stable operation.
C. Deliverables: Performance test documentation and final certificate of acceptance.
D. Motive/Rationale: To verify expected performance unit-wide.
E. Responsibility: Manufacturing Operations Representative, Startup Manager, Suppliers
Accountability: Contractor Project Manager
Consult: Maintenance Representative, Process Licensor
Inform: Owner Project Manager, Plant Manager
F. Quality Gate/Sequencing Constraints: This is not a quality gate. However, ultimately,
the project must be completed with all parties having signed-off that the facilities are
complete and systems are operating as specified. This activity should occur shortly
after the introduction of feedstocks.
G. Basic Steps:
1. Review the test procedure and needs for data with all appropriate parties. Make
final assurances of understanding and agreement regarding test acceptance criteria.
2. Complete the pre-performance checklist and get sign-off prior to performance
testing.
3. Perform a preliminary test run to determine if system needs adjustments or fine-
tuning.
4. Perform tests over a range of operational parameters and check for product quality
at each test point. Conduct statistical process control steps as appropriate. Analyze
any variances and associated causes. If required, test that system responsiveness is
sufficient to meet any guarantees.
5. All test results should be documented and appropriately distributed.
6. Review test documentation and get buy-in on test results.
H. Tools Needed/Provided:
Tools Needed: plan for initial operations (see activity 8-A), special test equipment, lab
support
I. Challenges to Successful Implementation:
• Lack of proper planning of test runs due to haste in completing project and getting
it on-line.
• Not reviewing the test plan and getting buy-in with all parties participating in the
test

144
 Phase 8: Initial Operations

8-C: Finalize Documentation

A. Phase: Initial Operations

B. Key Concepts: Close-out startup activities and support the overall project close-out
by documenting facility performance and all lessons learned acquired in achieving the
successful startup.
C. Deliverables: An audit report after commercial operation has been achieved;
documentation of “lessons learned”; and all project record drawings and technical
information.
D. Motive/Rationale: To build confidence, publicize best practices, avoid past mistakes,
and reinforce the continuous improvement mentality. Such documentation can also
provide operations personnel with the technical data required to troubleshoot
problems.
E. Responsibility: Manufacturing Operations Representative, Contractor Project
Manager, Startup Manager, Procurement Manager
Accountability: Owner Project Manager
Consult: Maintenance Representative, Construction Manager
Inform: Business Unit Manager, Plant Manager
F. Quality Gate/Sequencing Constraints: This is a quality gate, and sufficient time
should be allowed for a fair overall performance assessment.
G. Basic Steps:
1. Consider a computerized system for ease of retrieving information.
2. Define “Best Practices” implemented on this project and those which are
recommended for future projects.
3. Delineate organizational, administrative, and technical problems which have or
potentially could have impeded the project and recommend improvements.
4. Lessons learned should address specific issues, delineate successful corrective
actions, and be of value in improving quality, cost, or schedule performance.
5. Ensure record drawings, specifications, and warranty information are complete.
6. Arrange a project documentation turnover meeting with all parties.
H. Tools Needed/Provided:
Provided: Startup success metrics.
Needed: Startup matrix/checklist
I. Challenges to Successful Implementation:
• Project personnel are dispersed and not available to help with documentation.
• Report might be biased by operations personnel not aware of total project
planning and circumstances of execution.
• Incorrect information on record drawings.
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Implementation Case Study

The Planning for Startup Model and tools were tested and evaluated
on a full-scale demonstration project. The model was applied by the
project team in planning and executing the startup. This chapter summarizes
both the experience in implementing the model and the success of the
startup.

General Project Description

The scope of the project included both an increase in production

capacity and scheduled equipment maintenance for an existing facility.
The key driver in planning the startup was the need to complete the project
before inventories were depleted. A summary of the project characteristics
is presented in Table 3.1.

Table 3.1. Characteristics of the Demonstration Project

Industry Type Chemical Manufacturing

Location Southeast U.S.
Project Objective Capacity upgrade and scheduled equipment
maintenance at an existing facility.
Process Technology Mature
Total Installed Cost $12 million
Engineering Contract Cost-plus
Construction Responsibility Resident Contractor
Project Start & Duration Feb. 1996; 16 months (from Project
Authorization to Commercial Operations)

The model was made available to the project manager late in the
project at the beginning of detail design (Phase 4 in the Startup Planning
Model). The project team followed the flow chart presented in Chapter 2
and recorded their experiences, including the ease of activity implementation
and the relative importance of the various planning activities. At the end
of the project, the project and startup managers evaluated both overall
project and startup success.

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Implementation Case Study

Figure 3.1 illustrates the project team and its relationship with the
Planning for Startup Model. The startup manager was an operations
engineer assigned to the project team, had the primary responsibility to for
startup planning, and was the primary contact between the operations,
maintenance and construction groups. This was the first assignment for
the startup manager.

Plant
Manager

Project Operations
Project Startup Group
Manager
Manager Manager

Maintenance
Group

Contractor

Startup Planning Model

Figure 3.1. Startup Planning Organization Chart

The project manager associated with the owner’s engineering group,

scheduled and guided the startup manager through the various Startup
Planning Model activities, and assisted in obtaining adequate resources
from other groups. The resident contractor at the facility had an established
working relationship with the plant and other owner organizations.

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 Implementation Case Study

Startup Planning Activities

All plan activities in the model were judged by the project and startup
managers to be relevant and were addressed during the project. The model
proved to be an effective training and communication tool. It provided a
common vocabulary that facilitated communication within the project
team, was particularly useful in developing the Startup Execution Plan,
and provided a systematic approach to developing the documentation
necessary for executing the startup.

The model was implemented late, at the beginning of detail design.

Thus, some earlier planning activities received less than the desired
amount of attention. Ultimately, though, all model activities were addressed
at varying levels of implementation.

The most challenging aspect of the planning effort was estimating the
level of product inventory and market demand. These data were not
known until approximately 30 days prior to the actual shutdown date, and
thus delayed final completion of the Startup Execution Plan. However,
since a draft of startup activities and schedule were already in-hand,
subsequent schedule adjustments were much easier than what they would
have been had it been necessary to wait for final inventory estimates.

The startup and project managers had somewhat different views on

the significance and difficulty of implementing the startup planning
activities. Table 3.2 presents a list of startup planning activities considered
as “Very Significant” by either the project or startup manager along with
their respective opinions on how easy each activity was to implement.

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Implementation Case Study

Table 3.2. “Very Significant” Startup Planning Activities and Ease of Implementation

Relative Ease of
Activity Comments
Implementation*
Easy Moderate Difficult
3A Est. SU Objectives S
3B Dev. Startup Execution Plan P S The overall objectives, sequencing,
and priorities did not change over
the course of the project which was
key to startup success.
3C. Make Startup Team S If possible, make formal team
Assignments assignments with RACI chart.
Resource limitation prevented it for
this project.
3D. Identify Startup Systems P S System identification required
additional engineering effort.
3H. Identify Startup Procurement P S Supplier support was thoroughly
Requirements planned.
4A. Address Startup Issues in Team P
Bldg.
4C. Plan for Supplier Support S
4D. Include Startup in CPM P Resource loading not included at
Schedule this stage.
4F. Refine Startup Team S
Organization
4I. Refine Startup Risk Assess. S

4J. Plan O&M Train. P S Planning done early but engineering

package for operators lagged.

4L. Develop System Turnover Plan P S Difficult to get agreement between

constructor and maintenance groups
on checkout responsibilities.
4M. Dev. & Communicate Startup S P
Proceed. & PSM
5A. Qualify Suppliers S
5C. Implement QA/QC Plan P The term QA/QC Plan needs further
definition.

* Note: S - Startup Manager

P - Project Manager

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 Implementation Case Study

Table 3.2. “Very Significant” Startup Planning Activities and Ease of Implementation

Relative Ease of
Activity Comments
Implementation*
Easy Moderate Difficult
6A. Finalize Startup Execution Plan S P Operators had difficulty using the
tool product. Thoroughly review the
work product from the planning
tool with operators.
6B. Conduct Construct. Startup P
Team Bldg.
6C. Refine Startup in CPM S
Schedule
6D. Conduct O&M Training S P
6E. Implement QA/QC Plan P
6F. Finalize Startup Risk Assess. P
6G. Transition to Startup System S P
Based Execution
7B. Checkout Systems S P
7C. Commission Systems S
8A. Introduce Feedstock S
8B. Conduct Performance Testing S

* Note: S - Startup Manager

P - Project Manager

Startup Success and Lessons-Learned

The startup was successful with a computed Startup Success Index for the project of 0.81
(on a 1.00 scale, where 1.00 is most successful). The primary factor affecting the success was
the achievement of the production capacity goals. An equipment failure delayed the startup
schedule by one week, but product deliveries were not affected. Table 3.3 summarizes the levels
of satisfaction and relative importance for the criteria for startup success.

With respect to implementation lessons learned, early buy-in to the model is critical to its
effective use. To facilitate acceptance, implementers should consider an early Startup Planning
Model training session with all members of the project team. The team should customize model
nomenclature to be consistent with the company’s organization and work processes in order to
increase understanding and acceptance.

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Implementation Case Study

Table 3.3. Startup Success of the Demonstration Project

Relative Weight or
Startup Success Criterion Level of Satisfaction
Importance to Outcome
Product Quality Very Satisfied Product quality goals were Above Average
Performance consistently met. Importance
Product Quantity Very Satisfied Production rates met project Most Important
Performance goals.
Schedule Performance Satisfied The startup duration was as Above Average
planned but meeting the Importance
schedule required extra
levels of labor.
Safety Performance Extremely The startup had no Above Average
Satisfied reportable incidents and Importance
only a minor number of
incidents requiring some
type of medical attention.
Environmental Extremely There were no reportable Above Average
Performance Satisfied releases or spills during Importance
startup.
Operations Team Very Satisfied Operations Team was more Average Importance
Performance than adequately prepared for
plant operations challenges
Impact on On-going Satisfied There were no unanticipated Above Average
Operations impacts on on-going Importance
operations.
Level of Effort Required Satisfied startup work hours were on Above Average
by the Start Up Team budget. Level of stress was Importance
typical.

152
Appendix A
Glossary of Startup Terms

AFC Approved for construction (see P&ID tools 3-E-1 and 3-E-2).

AFD Approved for detailed design (see P&ID tools 3-E-1 and 3-E-2).

AFM Approved for multi-discipline review (see P&ID tools 3-E-1 and 3-
E-2).

AFO Approved for owner review (see P&ID tools 3-E-1 and 3-E-2).

AFP Approved for preliminary review (see P&ID tools 3-E-1 and 3-E-2).

AFS Approved for Startup and operations (see P&ID tools 3-E-1 and 3-
E-2).

Appropriation Request A request to upper management for the approval

of capital funds for the purchase and construction of a new operating
facility.

Area-Based Schedule A schedule for accomplishment of work in which

control is exercised by geographic area within the site.

Checkout Component-level testing of systems. Sometimes referred to as

“precommissioning,” “cold commissioning,” “construction
completion,” or “pre-op.”

Commercial Operation A milestone reached after completion of all

Startup activities when feedstocks are processed into saleable products.

Commissioning The integrated testing of plant systems prior to the

introduction of feedstocks.

DCS Distributed Control System.

EPC Engineering/Procurement/Construction

Execution Plan A plan that in detail describes how a project will be

progressed.

Feedstock Raw materials processed into final product.

153
Appendix A: Glossary of Startup Terms

Front-End Engineering Engineering performed early in a project that is

used to properly assess both the commercial and technical viability of
a project. This effort generally results in ± 25% cost estimate.

HAZOP Hazards and Operability Study. Method used to evaluate

potential hazards associated with the operation and maintenance of
equipment and systems.

Initial Operations The point in time when feedstocks are introduced and
first product is made.

Integrated Project Schedule A schedule that fully integrates all aspects of

the project schedule, from beginning to end.

Lockout Procedure A safety procedure involving physical locking devices

applied to electrical and mechanical systems to prevent inadvertent
energization/pressurization of systems while work is being performed.

Performance Test A test required to determine if operating performance

parameters detailed in the project contract are met. Tests must be
satisfied prior to final project closure.

Piping and Instrument Diagrams (P&ID) Schematic diagrams which

show the process relationships of major equipment, piping, and
instrumentation.

Precommissioning See “Checkout”.

PSM Process Safety Management.

Punchlist A list of action items developed near the end of a project that
must be completed prior to the constructor turning over a project to
the owner. Critical punchlist items must be completed before the unit
may be started. Non-critical punchlist items can be completed post-
Startup.

154
 Appendix A: Glossary of Startup Terms

Quality Gate A management strategy that promotes periodic assessment

of the quality of planning activities to date. See activity profile 3-B and
tool 3-B-3.

RACI Chart A matrix of activities vs. organizational positions; for the

purpose of assigning activity responsibility, accountability, those to
consult, and those to inform. See tool 3-C-2.

Startup The transitional phase between construction and commercial

operations; major steps include planning, turnover, checkout,
commissioning, and initial operations.

System Any assemblage of structural, mechanical, electrical, and

instrumentation components providing a complete function or service.

Test Package A collection of documents that support a testing activity

(e.g., P&IDs, isometrics, test data sheets, blind list, instrumentation
data, loop sheets, etc.).

Turnover The jurisdictional transfer of control over specified components/

systems from one organization to another for the purposes of care,
custody, and control.

155
Appendix B
References

Gibson, Bradley Thomas, Planning for Startup of Industrial

Facilities, Thesis, The University of Texas at Austin, 1996.

Graebe, Garrick Bullock, Tools for Planning Industrial Facility

Startup, Thesis, The University of Texas at Austin, 1997.

O’Connor, James T., McLeod, John S., and Graebe, Garrick B.,
“Planning for the Startup of Industrial Facilities,” Research
Report to the Construction Industry Institute, The University of
Texas at Austin (in press).

Planning Construction Activity to Support the Startup Process,

Construction Industry Institute, Publication 6-9, Austin, TX,
Feb. 1990.

Planning for Startup: Overview of Research, Construction Industry

Institute Publication, RS121-1, Austin, TX (in press).

157
Planning for Startup Research Team

David W. Aaroe, James N. Gray Co.

LeRoy C. Davis, II, Union Carbide Corporation

Gerhard J. Frohlich, Skanska USA

Robert Germinder, Jr., Black & Veatch Pritchard, Inc.

Ken Moke, Mobil Oil Corporation

* James T. O’Connor, The University of Texas at Austin

Lee C. Putnam, Bechtel Corporation

John M. Sakamoto, Eichleay Engineers Inc. of California

J. Donald Unruh, Fort James Corporation

Craig E. Veteto, Solutia, Inc.

* Principal author

Editor: Rusty Haggard