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134 Lees Process Safety Essentials

8.4. CONTROL SYSTEM DESIGN interactions, (10) high sensitivity, (11) high penalties,
(12) parameter changes, (13) constraint changes.
8.4.1 Control System Design The sequential control characteristics of a process
The operation of the plant according to specified condi- include: (1) plant start-up, (2) plant shut-down, (3) batch
tions is an important aspect of loss prevention. This is operation, (4) equipment changeover, (5) product quality
very largely a matter of keeping the system under control changes, (6) product throughput changes, (7) equipment
and preventing deviations. The control system, which availability changes, (8) mechanical handling operations.
includes both the process instrumentation and the process Some other process characteristics which may be
operator, therefore has a crucial role to play. significant include requirements for: (1) monitoring,
Traditionally, control systems have tended to grow by a (2) feedforward control, (3) optimization, (4) scheduling,
process of accretion as further functions are added. One (5) process investigation, (6) plant commissioning.
of the thrusts of current work is to move toward a more
systematic design approach in which there is a more for-
mal statement of the control objectives, hierarchy, sys- 8.4.3 Control System Characteristics
tems, and subsystems. Once the objectives have been
defined, the functions of the systems and subsystems can The characteristics of process control systems have
be specified. passed through three broad phases: (1) manual control,
It is convenient to distinguish several broad categories (2) analogue control, and (3) computer control (covering
of function that the control system has to perform: these all forms of programmable electronic system). However,
are (1) information collection, (2) normal control, and such a classification can be misleading because it does
(3) fault administration. A control system is usually also not bring out the importance of measuring instrumenta-
an information collection system. In addition to that tion and displays, because neither analogue nor computer
required for immediate control of the process, other infor- control is homogeneous stage, and because it says very
mation is collected and transmitted. Much of this is used little about the quality of control engineering and reliabil-
in the longer term control of the process. Another cate- ity engineering and the human factors involved.
gory which is somewhat distinct from normal control is The sophistication of the measuring instrumentation
the administration of fault conditions which represent dis- greatly affects the nature of the control system even at the
turbances more severe than the control loops can handle. manual control stage. This covers instruments for measur-
ing the whole range of chemical and physical properties.
The displays provided can also vary widely.
The stage of analogue control implies the use of
8.4.2 Process Characteristics
simple analogue controllers but may also involve the
The control system required depends very much on the use of other special purpose equipment. Most of this
process characteristics (Edwards and Lees, 1973). equipment serves to facilitate one of the following
Important characteristics include those relating to the functions: (1) measurement, (2) information reduction,
disturbances and the feedback and sequential features. and (3) sequential control.
A review of the process characteristics under these head- Another crucial distinction is in the provision of pro-
ings assists in understanding the nature of the control tective or trip systems. In some cases, the safety shut-
problem in a particular process and of the control system down function is assigned primarily to automatic systems;
required to handle it. in others it is left to the operator. Similarly, computer
Processes are subject to disturbances due to unavoid- control is not a homogeneous stage of development. In
able fluctuations and management decisions. The distur- some early systems, the function of the computer was
bances include:(1) raw materials quality and availability, limited to the execution of Direct Digital Control (DDC).
(2) services quality and availability, (3) product quality The real control of the plant was then carried out by the
and throughput, (4) plant equipment availability, (5) envi- operator with the computer as a rather powerful tool at
ronmental conditions, and due to (6) links with other his disposal. In other systems, the computer had a com-
plants, (7) drifting and decaying factors, (8) process mate- plex supervisory program which took most of the control
rials behavior, (9) plant equipment malfunction, (10) con- decisions and altered the control loop set points, leaving
trol system malfunction. the operator a largely monitoring function. The two types
Some process characteristics which tend to make feed- of system are very different.
back control more difficult include: (1) measurement pro- The quality of the theoretical control engineering is
blems, (2) instability, (3) very short time constants, (4) another factor which distinguishes a system and largely
very long time constants, (5) recycle, (6) non-linearity, determines its effectiveness in coping with problems such
(7) inherent limit cycles, (8) dead time, (9) strong as throughput changes, dead time, and loop interactions.
Chapter | 8 Process Design 135

Equally important is reliability engineering. Unless vs dedicated system problem is the choice between a
good reliability is achieved nominally automated func- computer-based and a hardwired trip system.
tions will be degraded so that they have to be done manu-
ally or not at all. Control loops on manual setting are the
typical result.
8.4.5 Control of Batch Processes
The control of batch processes involves a considerable
technology over and above that required for the control of
8.4.4 Instrument System Design continuous processes. Batch processes constitute a large
proportion of those in the process industries. Many batch
The design of process instrument systems, like most kinds
plants are multi-purpose and can make multiple products.
of design, is largely based on previous practice. The con-
Their outstanding characteristic is their flexibility. They
trol panel instrumentation and the control systems on par-
differ from continuous plants in that: the operations are
ticular operations tend to become fairly standardized.
sequential rather than continuous; the environment in
Some points should be taken into account like:
which they operate is often subject to major variability;
1. Some design principles: There are some basic princi- and the intervention of the operator is to a much greater
ples which are important for control and instrument extent part of their normal operation rather than a
systems on hazardous processes. It is also necessary to response to abnormal conditions.
pay careful attention to the details of the individual
1. Models of batch processing: There are a number of
instruments used.
models which have been developed to represent batch
2. Instrument distribution: A feel for the distribution of
processing. Three described by Fisher (1990) are (a)
types of instrument on a process plant is given by
the recipe model, which centers on the recipe required
Tayler (1987).
to make a particular product, and its elements are the
3. Instrument accuracy: Most process plant instrumenta-
procedures, the formula, the equipment requirements,
tion is quite accurate provided they are working prop-
and the header; (b) the procedure model, which has
erly. Information on the expected error limits of
the form: Procedure-Operation-Phase-Control
commercially available instrumentation has been
step; (c) the unit model, which is equipment-oriented
given by Andrew and Williams (1980), who list limits
and has the form: Unit-Equipment module-Device/
for over 100 generic types of instrument.
loop-Element.
4. Instrument signal transmission: Pneumatic instrument
2. Representation of sequential operations: The control
signals are transmitted by tubing, but several means
of a batch process is a form of sequential control.
are available for the transmission of electrical signals.
Various methods are available for the specification of
5. Instrument utilities: Instrument systems require high
sequences. They include (1) flowcharts, (2) sequential
quality and high reliability utilities. As far as quality
function charts, and (3) structured plain language.
is concerned, pneumatic systems require instrument
3. Structure of batch processing: The overall structure of
air which is free of dirt and oil. Many electronic
batch processing is commonly represented as a
instrument systems can operate from an electrical feed
hierarchy.
which does not constitute an Uninterruptible Power
4. Batch control systems: Batch processing may be con-
Supply (UPS).
trolled by the process operator, a system of single con-
6. Valve leak-tightness: In many situations on process
trollers or a Programmable Logic Control (PLC)
plants, the leak-tightness of a valve is of some impor-
system, a distributed Control Logic System (DCL) or
tance. The leak-tightness of valves is discussed by
a Centralized Control System (CCS). The selection of
Hutchison (1976) in the ISA Handbook of Control
the system architecture and hardware is discussed by
Valves.
Sawyer (1993).
7. Hazardous area compatibility: The instrument system,
including the links to the control computers, should be
compatible with the hazardous area classification. 8.4.6 Control of Particular Units
Hazardous area classification involves first zoning the
The safe operation of process units is critically dependent
plant and then installing in each zone instrumentation
on their control systems. Two particularly important fea-
with a degree of safeguarding appropriate to that zone.
tures of control in process plant are (1) compressor con-
8. Multi-functional vs dedicated systems: An aspect of
trol and (2) chemical reactor control. These are now
basic design philosophy which occurs repeatedly in dif-
considered in turn.
ferent guises is the choice which has to be made
between a multi-functional and a dedicated system. A 1. Compressor control: Centrifugal and axial compres-
particular but common example of the multi-functional sors are subject to the phenomenon of surging.
136 Lees Process Safety Essentials

Surging occurs when flow through the compressor capabilities of the equipment. This involves various forms
falls to a critical value so that a momentary reversal of of model-based control, which is of such prominence in
flow occurs. This reversal of flow tends to lower the CIM that the two are sometimes treated as if they are
discharge pressure and normal flow resumes. The equivalent.
surge cycle is then repeated. Severe surging causes Plant data are corrupted by noise and errors of various
violent mechanical shock and noise and can result in kinds, and in order to obtain a consistent data set, it is
complete destruction of parts of the compressor such necessary to perform data reconciliation. Methods based
as the rotor blades. on estimation theory and other techniques are used to
2. Chemical reactor control: A continuous stirred tank achieve this. Complete and Rigorous Model-Based
reactor is generally stable under open-loop conditions, Reconciliation (CRMR) is therefore a feature of CIM.
but in some cases, a reactor may be unstable under One implication of CIM is that the plant is run under
open-loop but stable under closed-loop conditions. much tighter control, which should be beneficial to
Some polymerization reactors and some fluidized bed safety.
reactors may be open-loop unstable under certain con-
ditions. The reactor should be designed so that it is
open-loop stable unless there is good reason to the 8.4.8 Instrument Failure
contrary. One method of achieving this is to use jacket Process plants are dependent on complex control systems,
cooling with a large heat transfer area. Another is to and instrument failures may have serious effects. It is
cool by vaporization of the liquid in the reactor. This helpful to consider first the ways in which instruments
latter method gives a virtually isothermal reactor. are used. Measuring instruments are taken to include digi-
tal as well as analogue outputs. Control elements are nor-
mally control valves but can include power cylinders,
8.4.7 Computer Integrated Manufacturing motors, etc.
There is now a strong trend in the process industries to The important point is that some of these applications
integrate the business and plant control functions in a constitute a more severe test of the instrumentation than
total system of Computer Integrated Manufacturing others. The accuracy of a flowmeter may be sufficient for
(CIM). The aim of CIM is essentially to obtain a flexible flow control, but it may not be good enough for an input
and optimal response to changes in market demand, on to a mass balance model in a computer. The dynamic
the one hand, and to plant capabilities on the other. It has response of a thermocouple may be adequate for a panel
been common practice for many years for production display, but it may be quite unacceptable in a trip system.
plans to be formulated and production schedules to be This leads directly, of course, to the question of the
produced by computer and for these schedules to be definition of failure. It is sufficient here to emphasize that
passed down to the plant. In refineries, use of large sched- the reliability of an instrument depends on the definition
uling programs is widespread. In addition to flexibility, of failure and may vary depending on the application.
other benefits claimed are improved product quality,
higher throughputs, lower costs, and greater safety.
8.4.9 Trip Systems
A characteristic feature of CIM is that information
also flows the other way, that is, up from the plant to the It is increasingly the practice in situations where a hazard-
planning function. This provides the latter with a continu- ous condition may arise in the plant to provide some form
ous flow of up-to-date information on the capability of of automatic protective system. One of the principal types
the plant so that the schedule can be modified to produce of protective system is the trip system, which shuts down
the optimal solution. A CIM system may therefore carry the plant, or part of it, if a hazardous condition is
out not only the process control and quality control but detected. Another important type of protective system is
also scheduling, inventory control, customer order proces- the interlock system, which prevents the operator or the
sing, and accounting functions. automatic control system from following a hazardous
The architecture of a CIM system is generally hierar- sequence of control actions.
chical and distributed. Treatments of such architecture are The existence of a hazard which may require a protec-
given in Controlling Automated Manufacturing Systems tive system is usually revealed either during the design
(OGrady, 1986) and by Dempster et al. (1981). process, which includes, as routine, consideration of pro-
For such a system to be effective, it is necessary that tective features, or by hazard identification techniques
the data passing up from the plant be of high quality. The such as HAZOP studies. Some operator calculates Safety
system needs to have a full model of the plant, including Integrity Level (SIL) for having specification of trip sys-
the mass and energy balances and the states and tems. Oil and Gas UK has a guideline for it but it is not
Chapter | 8 Process Design 137

mandatory for all operators to follow it. Risk graphs and Some typical applications of interlocks are in such
Layer of Protection Analysis (LOPA) are also used for areas as: (1) electrical switchgear, (2) test cubicles,
specifying and designing of trip systems for offshore, but (3) machinery guards, (4) vehicle loading, (5) conveyor
it is complicated to use these methods as there are argu- systems, (6) machine start-up and shut-down, (7) valve
ments about the required of degree of independence. systems, (8) instrument systems, (9) fire protection sys-
The decision as to whether a trip system is necessary tems, (10) plant maintenance.
in a given case depends on the design philosophy. There An interlock is often used to prevent access as long as
are quite wide variations in practice on the use of trip sys- a piece of equipment is operating. Thus, electrical switch-
tems. There is no doubt, however, about the general trend, gear may be installed in a room where an interlock pre-
which is toward the provision of a more comprehensive vents the door opening until there is electrical isolation.
coverage by trip systems. The decision as to whether to Similarly, an interlock prevents access to a test cubicle
install a trip system can be put on a less subjective basis for operations involving high pressure or explosive mate-
by making a quantitative assessment of the hazard and of rials until safe conditions pertain. An interlock may be
the reliability of the operator in preventing it. used to stop access to a machine or entry into a vessel
Since a trip system is used to protect against a hazard- unless the associated machinery cannot move. In vehicle
ous condition, it is essential for the system itself to be loading, interlocks are used to prevent a tanker moving
dependable. The dependability of a trip system depends away while it is still connected to the discharge point.
on (1) capability and (2) reliability. Thus, it is necessary Pressure relief valves have interlocks to prevent all
both for the system to have the capability of carrying out the valves being shut off simultaneously. There may be
its function in terms of features such as accuracy, interlocks on other critical valve systems. Interlocks are
dynamic response, etc., and for it to be reliable in doing also a part of instrument systems. An interlock may be
so. The reliability of the trip system may be improved by used to prevent the disarming of a trip system unless cer-
the use of (1) redundancy and (2) diversity. tain conditions are met. Fire protection systems are pro-
Most trip systems consist of a single channel comprising vided with interlocks as a safeguard against leaving the
of a sensor, a switch, and a shut-off valve, but where the system disabled, particularly after testing or maintenance.
integrity required is higher than that which can be obtained Plant maintenance operations make much use of inter-
from a single channel, redundancy is generally used. locks to prevent valves being opened or machinery started
A trip system is normally dormant and comes to life up while work is in progress.
only when a demand occurs. An element of the trip sys- Some features of a good hardware interlock are that it
tem such as a sensor or a valve may experience failure, (1) controls operations positively, (2) is incapable of
and such a failure will lie unrevealed unless detected by defeat, (3) is simple, robust, and inexpensive, (4) is read-
proof testing or some other means. By contrast, equiva- ily and securely attachable to engineering devices, and
lent elements in a control system are exercised continu- (5) is regularly tested and maintained.
ously, and failure in such an element is liable to cause an
operational excursion of some kind.
It should be an aim of trip system design to convert
8.4.11 Programmable Logic Systems
unrevealed failures into revealed failures, and hence to As already indicated, increasing use is made in process
enhance reliability, by the judicious exploitation of control systems of PLCs. An account of the application of
benign integration. PLCs to functions such as pump change over, fire and gas
detection, and ESD has been given by Margetts (1986a,b).
He describes the planning of an operation such as pump
8.4.10 Interlock Systems change over using hierarchical task analysis, in which the
Interlocks are another important type of protective device. change over task is successively re-described until it has
They are used to control operations which must take place been broken down into executable elements, and the appli-
in a specified sequence and equipments which must have cation of the hazard and operability (HAZOP) method to
specified relations between their states. This definition of assess the adequacy of the resultant design.
an interlock differs from that often used in the American He also deals with the reliability of the PLC system.
literature, where the term interlock tends to be applied For the system which he considers, the MTBFs of the input
to both trip and interlock systems (as defined here). device, the control logic, and the output device are 100,000,
There are various kinds of interlocks. The original 10,000, and 50,000 h, respectively, giving an overall system
type is a mechanical device such as a padlock and chain MTBF of 7690 h. Use of as many as four control logic
on a hand valve. Another common type is the key inter- units in parallel would raise the system MTBF to 14,480 h,
lock. Increasing use is made of software interlocks based but this is not the complete answer. The method described
on process computers. by the author for the further enhancement of reliability is
138 Lees Process Safety Essentials

the exploitation of the ability of the PLC to test the input analogue-to-digital (A/D) converters and PES may
and output devices and also itself. reduce the safety integrity.
e. Software considerations: The software for use in
safety-related applications needs to be of high quality,
and PES 2 gives an account of some of the measures
8.4.12 Programmable Electronic Systems
which may be taken to achieve this.
Increasingly, the concept of computer control has become
subsumed in the broader one of the PES. The account
given here is confined to the safety aspects of PESs and
is based on the HSE PES Guide.
8.4.13 Emergency Shut-Down Systems
HSE PES Guide: An account of PESs and their safety In quite a large proportion of cases, the plant is provided
implications is given in Programmable Electronic not just with individual trips but with a complete auto-
Systems in Safety Related Applications (HSE, 1987) (the matic emergency shut-down (ESD) system. There is rela-
HSE PES Guide), of which Part 1 is an Introductory tively little written about ESD systems. The following is
Guide (PES 1) and Part 2 the General Technical an account and explanation of the steps that are taken in
Guidelines (PES 2). Whereas in a safety-related system the synthesis of an emergency shutdown system.
the use of conventional hardwired equipment is routine,
1. Conceptual design of ESD: The function of an ESD
the use of a PES in such an application has been rela-
system is to detect a condition or an event sufficiently
tively unknown territory. The approach taken, therefore,
hazardous or undesirable as to require shut-down and
has been to assess the level of integrity required in the
then to effect transition to a safe state. The potential
PES by reference to that obtained with a conventional
hazards are determined by a method of hazard identifi-
system based on good practice. This level of integrity is
cation such as HAZOP, Layer of Protection Analysis,
referred to as conventional safety integrity. PES 2 gives
Fault tree techniques. Estimates are then made of the
three system elements which should be taken into account
frequency and consequences of these hazards. The
in the design and analysis of safety-related systems:
hazards against which the ESD system is to protect
(1) configuration; (2) reliability; (3) overall quality.
are then defined.
Safety integrity criteria for the system should be specified
2. Initiation of ESD: The arrangements for initiation of
which cover all three of these system elements.
the ESD are critical. If these are defective, so that the
a. Configuration: The configuration of the system should system is not activated when it should be, all the rest
be such as to protect against failures, both random and of the design goes for nothing. There is a balance to
systematic. The former are associated particularly be struck between the functional and the operational
with hardware and the latter with software. reliability of the ESD system. It should act when a
b. Reliability: The governing principle for reliability of hazard arises, but should not cause unnecessary shut-
the hardware is that the overall failure rate in a dan- downs or other hazards.
gerous mode of failure, or, for a protection system, the 3. Action on ESD: There are a variety of actions which
probability of failure to operate on demand, should an ESD system may take. Three principal types are
meet the standard of conventional safety integrity. (a) flow shut-off, (b) energy reduction, (c) material
Essentially, the level of reliability should be governed transfer. Flow shut-off includes shut-off of feed and
by the conventional safety integrity principle. Where other flows. It often involves shut-down of machinery
the acceptable level of reliability is relatively low, the and may include isolation of units. Energy reduction
first method may suffice, but where a higher reliability covers shut-off of heat input and initiation of addi-
is required, the second and third methods will be tional cooling. Material transfer refers to pressure
appropriate. reduction, venting, and blow-down.
c. Overall quality: It is concerned essentially with high- 4. Detail design of ESD system: It is a fundamental prin-
quality procedures and engineering. These should ciple that protective systems be independent of the
cover the quality of the specification, design, construc- rest of the instrument and control system, and this
tion, testing, commissioning, operation, maintenance, applies equally to an ESD system. The design of the
and modification of the hardware and software. ESD system should follow the principles which apply
d. Design considerations: PES 2 describes a number of to trip systems generally. There should be a balance
design considerations which are particularly relevant between functional and operational reliability.
to the safety integrity of PESs. The replacement of a Dependent failures should be considered. The reliabil-
control chain in which the sensor sends a signal ity may be assessed using fault tree and other meth-
directly to the actuator by one which involves ods. The techniques of diversity and redundancy
Chapter | 8 Process Design 139

should be used as appropriate. Use may be made of BPCS Basic Process Control System
majority voting systems. ETT Energize-to-trip
5. Operation of ESD system: The status of the ESD sys- DTT De-energize-to-trip
tem should be clear at all times. There should be a UPS Uninterruptible Power Supply
separate display showing this status in the control cen- PLC Programmable Logic Control
ter. This display should give the status of any part of PFD Process Flow Diagram
the ESD system which is under test or maintenance PSAT Pre-start-up Acceptance Test
and of any part which is disarmed. Initiation of ESD SAT Site Acceptance Test
should activate audible and visual alarms in the con- API American Petroleum Institute
ASME American Society of Mechanical Engineers
trol center. There should be an indication of the source
BSI British Standards Institution
of the initiation, whether manual or instrument. ESD
HTHM Highly Toxic Hazardous Material
should also be signaled by an alarm which is part of DOT Department of Transportation
the general alarm system. NB Nominal Bore
6. Testing and maintenance of ESD system: The ESD NRV Non-Return Valve (Check Valve)
system should be subject to periodic proof testing, and EIV Emergency Isolation Valve
such testing should be governed by a formal system. PLC Programmable Logic Control
As far as is practical, the test should cover the com- DCL Distributed Control Logic
plete system from initiation to shut-down condition. CCS Centralized Control System
The need for proof testing and, more generally, for the CIM Computer Integrated Manufacturing
detection of unrevealed failure, should be taken into CRMR Complete and Rigorous Model-Based Reconciliation
SIL Safety Integrity Level
account in the design. The equipment should be
MTBF Mean Time Between Failures
designed for ease of testing. It should be segregated
PES Programmable Electronic System
and clearly identified. Techniques for detection of ESD Emergency Shut Down
instrument malfunction should be exploited. In voting EDP Emergency Depressurization
systems, the failure of a single channel should be
signaled.
7. Documentation of an ESD system: The ESD system REFERENCES
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details of recommended documentation. Andrew, W.G., Williams, H.B., 1980. Applied Instrumentation in the
8. ESD of a gas terminal: The design of systems for ESD Process Industries, vol. 2: Practical Guidelines. Gulf Publishing
and (Emergency Depressurization) EDP of a gas ter- Company, Houston, TX.
minal has been described by Valk and Sylvester-Evans Barrell, A., 1988. Inherent safetyonly by design? (editorial). Chem.
(1985). The design philosophy described is that the Eng. (London). 451, 3.
ESD system should operate only in an extreme emer- Broughton, J., 1993. Process Utility Systems. Institution of Chemical
gency, that the ESD and EDP systems are separate Engineers, Rugby.
Butterwick, B., 1976. User Guide for the Safe Operation of Centrifuges.
from the control, trip, and relief systems, and that the
Institution of Chemical Engineers, Rugby.
systems should be simple and reliable.
Campbell, I.E., Sherwood, E.M., 1967. High Temperature Materials and
Technology. Wiley, New York, NY.
ACRONYMS CCPS (Center for Chemical Process Safety), 1989. Guidelines for
Chemical Process Quantitative Risk Analysis. American Institute of
SLP Safety and Loss Prevention Chemical Engineers, New York, NY, ISBN 0-8169-0402-2, p. 585.
CCPS Center for Chemical Process Safety CCPS (Center for Chemical Process Safety), 1993. Guidelines for
P&ID Piping and Instrument Diagram Engineering Design for Process Safety. WileyAmerican Institute
MOC Management of Change of Chemical Engineers, New York, NY.
CAD Computer-Aided Design CCPS, 1996a. Inherently Safer Chemical Processes, A Life Cycle
VIP Value Improving Practice Approach, Gold Book. American Institute of Chemical Engineers,
IChemE Institution of Chemical Engineers New York, NY, ISBN 0-8169-0703-X.
AIChE American Institute of Chemical Engineers CCPS (Center for Chemical Process Safety), 1996b. Guidelines for
HAZOP Hazard and Operability (study) Evaluating Process Plant Buildings for External Explosions and Fires.
HSE Health and Safety Executive American Institute of Chemical Engineers, New York, NY, ISBN 0-
SIS Safety Instrumented System 8169-0646-7, p. 208.
LOPA Layers of Protection Analysis CCPS (Center for Chemical Process Safety), 2001. Layer of
PHA Process Hazards Analysis Protection Analysis. American Institute of Chemical Engineers,
IPL Independent Layer of Protection New York, NY.

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