1、Pipeline Safety Management SystemsANSI/API RECOMMENDED PRACTICE 1173 FIRST EDITION, JULY 2015Special NotesAPI publications necessarily address problems of a general nature. With respect to particular circumstances, local, state, and federal laws and regulations should be reviewed.Neither API nor any
2、 of APIs employees, subcontractors, consultants, committees, or other assignees make any warranty or representation, either express or implied, with respect to the accuracy, completeness, or usefulness of the information contained herein, or assume any liability or responsibility for any use, or the
3、 results of such use, of any information or process disclosed in this publication. Neither API nor any of APIs employees, subcontractors, consultants, or other assignees represent that use of this publication would not infringe upon privately owned rights.API publications may be used by anyone desir
4、ing to do so. Every effort has been made by the Institute to assure the accuracy and reliability of the data contained in them; however, the Institute makes no representation, warranty, or guarantee in connection with this publication and hereby expressly disclaims any liability or responsibility fo
5、r loss or damage resulting from its use or for the violation of any authorities having jurisdiction with which this publication may conflict.API publications are published to facilitate the broad availability of proven, sound engineering and operating practices. These publications are not intended t
6、o obviate the need for applying sound engineering judgment regarding when and where these publications should be utilized. The formulation and publication of API publications is not intended in any way to inhibit anyone from using any other practices.Any manufacturer marking equipment or materials i
7、n conformance with the marking requirements of an API standard is solely responsible for complying with all the applicable requirements of that standard. API does not represent, warrant, or guarantee that such products do in fact conform to the applicable API standard.Classified areas may vary depen
8、ding on the location, conditions, equipment, and substances involved in any given situation. Users of this Recommended Practice should consult with the appropriate authorities having jurisdiction.API is not undertaking to meet the duties of employers, manufacturers, or suppliers to warn and properly
9、 train and equip their employees, and others exposed, concerning health and safety risks and precautions, nor undertaking their obligations to comply with authorities having jurisdiction.Information concerning safety and health risks and proper precautions with respect to particular materials and co
10、nditions should be obtained from the employer, the manufacturer or supplier of that material, or the material safety data sheet.All rights reserved. No part of this work may be reproduced, translated, stored in a retrieval system, or transmitted by any means, electronic, mechanical, photocopying, re
11、cording, or otherwise, without prior written permission from the publisher. Contact the Publisher, API Publishing Services, 1220 L Street, NW, Washington, DC 20005.Copyright 2015 American Petroleum InstituteForewordNothing contained in any API publication is to be construed as granting any right, by
12、 implication or otherwise, for the manufacture, sale, or use of any method, apparatus, or product covered by letters patent. Neither should anything contained in the publication be construed as insuring anyone against liability for infringement of letters patent.Shall: As used in a standard, “shall”
13、 denotes a minimum requirement in order to conform to the specification.Should: As used in a standard, “should” denotes a recommendation or that which is advised but not required in order to conform to the specification.This document was produced under API standardization procedures that ensure appr
14、opriate notification and participation in the developmental process and is designated as an API standard. Questions concerning the interpretation of the content of this publication or comments and questions concerning the procedures under which this publication was developed should be directed in wr
15、iting to the Director of Standards, American Petroleum Institute, 1220 L Street, NW, Washington, DC 20005. Requests for permission to reproduce or translate all or any part of the material published herein should also be addressed to the director.Generally, API standards are reviewed and revised, re
16、affirmed, or withdrawn at least every five years. A one-time extension of up to two years may be added to this review cycle. Status of the publication can be ascertained from the API Standards Department, telephone (202) 682-8000. A catalog of API publications and materials is published annually by
17、API, 1220 L Street, NW, Washington, DC 20005.Suggested revisions are invited and should be submitted to the Standards Department, API, 1220 L Street, NW, Washington, DC 20005, standardsapi.org.iiiContentsPageIntroduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
18、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii1 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Normative References. . . . . . . . . .
19、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Terms, Definitions, Acronyms, and Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.1 Terms and Definitions. . . . . . . .
20、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.2 Acronyms and Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64 Essential Pipeline
21、 Safety Management System (PSMS) Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 Leadership and Management Commitment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65.1 General . . . . . . . . . . . . . . . . . . . . .
22、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65.2 Goals and Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65.3 Planning .
23、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75.4 Responsibilities of Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
24、 . . . . . . . . 75.5 Responsibility, Accountability, and Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85.6 Making Communication, Risk Reduction, and Continuous Improvement Routine . . . . . . . . . . . . . . . . . . 96 Stakeholder Engag
25、ement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
26、 . . . . . 96.2 Internal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96.3 External. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
27、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 Risk Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
28、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107.2 Data Gathering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107.3 Risk Identification and Assessm
29、ent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117.4 Risk Prevention and Mitigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117.5 Periodic Analyses . .
30、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117.6 Risk Management Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
31、Operational Controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128.1 Operating Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
32、. . . . . . . . . . 128.2 System Integrity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128.3 Management of Change (MOC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
33、 . . . . . . . . . . . . . . . . . . . . 138.4 Use of Contractors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 Incident Investigation, Evaluation, and Lessons Learned . . . . . . . . . . . . . . . . .
34、. . . . . . . . . . . . . . . . . . . . . 149.1 Investigation of Incidents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149.2 Follow-up and Communication of Lessons Learned . . . . . . . . . . . . . . . . . . . . .
35、. . . . . . . . . . . . . . . . . . . . . 159.3 Learning from Past Events. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159.4 Learning from External Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
36、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1510 Safety Assurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1510.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
37、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1510.2 Audit and Evaluation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1510.3 Reporting and Feedback System .
38、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1710.4 Performance Measurement and Analysis of Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1711 Management Review and Continuous Improv
39、ement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1811.1 Management Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1811.2 Continuous Improvement. . . . . . . . .
40、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1911.3 Top Management Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19vContentsPage12 Emergency P
41、reparedness and Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1913 Competence, Awareness, and Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1914 Documentation and Rec
42、ord Keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2014.1 Control of Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2014.2 Control
43、of Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2014.3 Pipeline Safety Management System Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2014.4 Pr
44、ocedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2015 Executing a Pipeline Safety Management System Strengthens Safety Culture . . . . . . . . . . . . . . . . . . . . 2115.1 General . . .
45、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2115.2 Contribution of Leadership and Management Commitment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2115.3 Contri
46、bution of Stakeholder Engagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2115.4 Contribution of Risk Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2115.5 Cont
47、ribution of Operational Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2215.6 Contribution of Incident Investigation, Evaluations, and Lessons Learned . . . . . . . . . . . . . . . . . . . . . . . 2215.7 Contribution of Safety A
48、ssurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2215.8 Contribution of Management Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2215.9 Contribution of E
49、mergency Preparedness and Response. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2215.10 Contribution of Competency, Awareness, and Training. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2315.11 Contribution of Documentation and Record Keeping. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24Figure1 PlanDoCheckAct (PDCA)
