Vous êtes sur la page 1sur 91

Planning for Plant Startup

Adapted from CII Documents RR 121-11 & IR 121-2 “Planning for Startup”

Contents

0.1 Introduction
0.2 Barriers to Successful Startup Planning
0.3 Responsibility and Accountability for Planning
0.4 The Startup Planning Model
0.5 Summary of Startup Planning Activities
0.6: Quality Gates
0.7: Startup Planning Tools Provided

1.0 Phase 1: Requirements Definition and Technology Transfer


1-A: Ensure Senior Management Commitment to Integrated Startup Planning & Needed Resources

2.0 Phase 2: Conceptual Development and Feasibility


2-A: Seek a Realistic Forecast of Startup Duration
2-B: Estimate Startup Costs
2-C: Recognize the Impact of Startup on Project Economics

3.0 Phase 3: Front-End Engineering


3-A: Establish Startup Objectives
3-B: Develop the Startup Execution Plan
Tool 3-B-1: Schedule Drivers and Phase Transitions
Tool 3-B-2: Sample Table of Contents for the Startup Execution Plan
Tool 3-B-3: Checklist of Startup Quality Gates
3-C: Make Startup Team Assignments
3-D: Identify Startup Systems
3-E: Guidelines for Defining Startup Systems
3-F: Acquire Operations & Maintenance Input
3-G P&ID Checklist of Information Elements
3-H: Assess Startup Risks
3-I Startup Risk Assessment Checklist
3-J: Analyze Startup Incentives
3-K: Identify Startup Procurement Requirements
3-L: Refine Startup Budget & Schedule
3-M Checklist of Typical Startup Activities
3-N: Update the Startup Execution Plan

4.0 Phase 4: Detailed Design


4-A: Address Startup Issues in Team-Building Sessions
4-B: Assess & Communicate Startup Effects from Changes
4-C: Plan for Supplier Field Support of Startup
4-D: Include Startup in the Project CPM Schedule
4-E: Plan for Startup QA/QC
4-F: Common Needs for Pre-Shipment Testing
4-G: Refine the Startup Team Organization Plan and Responsibility Assignments
4-H: Acquire Additional O&M Input
4-I: Indicate Startup System Numbers on Engineering Deliverables
4-J: Refine Startup Risk Assessment
4-K: Plan Operator/Maintenance Training
4-L Operator Manual - Table of Contents (Example)

Page 1 of 1
4-M: Develop Startup Spare Parts Plan
4-N: Example of Table of Contents of a Spare Parts Plan
4-O: Develop System Turnover Plan
Tool 4-O-1 System Turnover Plan – Table of Contents (Example)
Tool 4-O-2 Examples of Turnover Criteria Checklists and Certifications
4-P: Develop and Communicate Startup Procedures and Process Safety Management
4-Q: Refine Startup Budget and Schedule
4-R: Update the Startup Execution Plan

5.0 Phase 5: Procurement


5-A: Qualify Suppliers for Startup Services
5-B: Refine the Startup Spare Parts Plan and Expedite
5-C: Implement the Procurement QA/QC Plan

6.0 Phase 6: Construction


6-A: Implement the Field QA/QC Plan
6-B: Finalize the Startup Risk Assessment
6-C: Transition to Startup Systems-Based Execution

7.0 Phase 7: Checkout and Commissioning


7-A: Finalize the Operations & Maintenance Organization and Management Systems
7-B: Checkout Systems
7-C: Commission Systems

8.0 Phase 8: Initial Operations


8-A: Introduce Feedstocks
8-B: Conduct Performance Testing
8-C: Finalize Documentation

Appendix A: Activities of a Plant Start Up Model


Appendix B: Challenges To Implementing Startup Planning
Appendix C: Glossary of Terms

Page 2 of 2
0.1 Introduction

Startup is the transitional phase between construction and commercial operations. The startup phase
is defined as “the progressive initiation of systems within a facility, where a system is any assemblage
of structural, mechanical, electrical and instrumentation components providing a function or service.
This activity can be as simple as opening a new highway or as complex as beginning generation of
electrical power at a nuclear power plant.”

Contrary to popular belief, planning for Startup is not a low priority item until the plant is nearing
completion and eyes turn to the final stages before operation. Planning for Startup begins early in the
engineering phase of the project.

Industrial plant startups are generally conducted in stages, reflective of the industrial processes and
sub-processes involved. While the specific stages and sequencing will vary depending on the project,
the general sequence is as follows:

1. Mechanical Completion of Construction


2. Checkout Systems
3. Commission systems
4. Introduce Feedstock
5. Conduct Performance Testing
6. Begin Production or Commercial Operations

Planning for startup is difficult due to the extensive coordination and input needed early in the project.
A successful startup requires not only than many disciplines work together, but also that these
disciplines view the project from a systems perspective. Converting from a discipline-based
construction paradigm to the systems paradigm is not easy. Furthermore, since the early phases of
the project have the greatest impact on project success, it is critical that startup planning occur early
in the project cycle.

A successful startup is generally considered essential to overall project success for the following
reasons:

• Startup costs are significant. Startup costs typically average approximately 5.5% of
construction costs.
• Startup delays can be very expensive. A delayed startup may cost between 4% and 8% of the
fixed capital cost per month of delay.
• Startup is risk-intensive. Startup often reveals problems overlooked in planning, design, and/or
construction. Risks range from contractual risks due to delays in product delivery to human
health and environmental risks.
• Aspects of startup are keenly memorable. The startup phase is typically the last phase where
both the construction manager and constructor are involved. Therefore, a successful startup
will leave a lasting positive impression with the owner and conversely, an unsuccessful startup
will remain a difficult memory for many years.

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:

Page 3 of 3
• Product quality
• Product quantity
• Schedule performance
• Safety performance
• Environmental compliance
• Operations team performance
• Impact to ongoing operations
• Level of stress experienced by startup team

To assist companies wishing to implement the Planning for Startup Model the following key
recommendations are offered:

1. Invest the effort to develop a realistic forecast of the startup duration. Failure to do so during the
early stages of the project jeopardizes the accuracy of the estimate and affects the overall
accuracy of the project's commercial operations date.
2. Develop a consistent cost control plan for estimating and tracking startup costs. At an industry
average of 5.5% of construction cost, startup costs represent a significant portion of a project's
budget.
3. Assign a full-time Startup Manger as early as possibly but no later than the Detail Design phase of
the project.
4. Identify startup systems no later than the Front-End Engineering phase of the project.
5. For projects with new process technologies, begin operator and training programs as early as
possible.
.
0.2 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 are listed in Appendix B. They 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.

The frequency and timing of challenges follow specific patterns throughout the project life cycle. The
first class of challenges is the denial of potential problems. The project team must realize that every
project will have some difficulties. Believing “it can’t happen to us” will only set unrealistic exceptions
that will likely lead to increased pressure and disappointments.

Planning contingencies for uncertainties early in the project will help decrease tension due to “passing
the buck” when unexpected problems arise. The project team should accept and use risk
assessments to fully interpret potential challenges.

Page 4 of 4
Lack of preparation is closely related to denial of potential problems. If the team continues to deny the
potential problems, they will suffer from lack of preparation for contingencies. However, even if the
team accepts the uncertainties, they must follow-through and make preparations. Lack of preparation
is divided into two challenges, unavailability of personnel and lack of other resources/information.
Unavailability of personnel and tardiness are fairly constant challenges through the entire project. The
Planning for Startup Model addresses these issues by providing a step-by-step reference detailing the
responsibilities of all key personnel. By referencing the Model, the Startup team can overcome these
challenges through identifying and scheduling Startup resources. The Model also provides information
on reducing procurement difficulties by selecting reliable suppliers.

Ineffective communication and schedule pressures are significant challenges throughout the project.
Unfortunately, poor communication can ruin a Startup even when the Startup team provides adequate
planning and resources. The Team must establish clear and effective lines of communication
throughout the Startup organization. This communication system should promote teamwork and also
stress the overall project goals. Once everyone understands the team’s goals, they can evaluate their
actions’ effects on achieving those goals. This helps build ownership in one’s work and provides
motivation to insure effective coordination in the Startup organization.

Schedule pressure and late activities are two similar challenges that permeate through the entire
project. As much as the Startup team wants to believe in the schedule, it is inevitable that most
projects will not follow the schedule from start to finish. The key is to minimize the panic that can
result from getting off schedule. The Startup team must remain committed to the Startup Execution
Plan and not look for shortcuts to get the project back on schedule. Incomplete or poorly completed
activities will only result in more problems later in the Startup.

The final Startup challenge is the lack of follow-through. Often projects will successfully complete the
initial planning only to spin out of control during the execution phases. There are several reasons for
this, but a common one is shifting key project personnel to other projects. Unfortunately, shifting
people from a successful, ongoing project to another stuttering project may only cause more distress.
While these challenges may seem overwhelming, examining the challenges and their causes is the
key for the project team to complete the project successfully.

0.3 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 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.

Page 5 of 5
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.

A powerful aspect of the Startup Planning Model is the identification of individuals responsible for
planning. By organizing this information into a RACI matrix, it can serve to eliminate confusion by
clearly defining roles and responsibilities and can be useful to project managers in making Startup
team assignments.

As expected, the Startup Manager is responsible for the largest number of activities (28) over the life
of the project. Other personnel with a high number of responsible activities include the
Manufacturing/Operations Representative (14 activities) and the Contractor Project Manager (13
activities).

Summary of Activities by Responsible Individual

Business Unit Manager


1-A Ensure Senior Management Commitment to Integrated Startup Planning and Needed
Resources
3-A Establish Startup Objectives

Owner Project Manager


3-A Establish Startup Objectives
3-C Make Startup Team Assignments
3-G Analyze Startup Incentives

Plant Manager
3-A Establish Startup Objectives

Manufacturing / Operations Representative


2-C Recognize the Impact of Startup on Project Economics
3-B Develop the Startup Execution Plant
3-C Make Startup Team Assignments
3-E Acquire Operations & Maintenance Input
3-F Assess Startup Risks
4-G Acquire Additional O&M Input
4-J Plan Operator/Maintenance Training
6-A Update the Startup Execution Plan & Release for Construction
6-F Finalize the Startup Risk Assessment
7-A Finalize the Operations & Maintenance Organizations and Management Systems
7-C Commission Systems
8-A Introduce Feedstocks
8-B Conduct Performance Testing
8-C Finalize Documentation

Maintenance Rep.
4-J Plan Operator/Maintenance Training

Contractor Project Manager


2-A Seek a Realistic Forecast of Startup Duration
2-C Recognize the Impact of Startup on Project Economics
3-D Identify Startup Systems

Page 6 of 6
3-G Analyze Startup Budget & Schedule
3-H Identify Startup Procurement Requirements
4-A Address Startup Issues in Team-Building Sessions
4-B Assess & Communicate Startup Effects from Changes
4-F Refine the Startup Team Organization Plan and responsibility Assignments
4-G Acquire Additional O&M Input
4-J Plan Operator/Maintenance Training
4-N Refine Startup Budget and Schedule
6-B Conduct Construction-Startup Team Building
6-G Transition to Startup Systems-Based Execution
8-C Finalize Documentation

Construction Manager
6-B Conduct Construction-Startup Team Building
6-G Transition to Startup Systems-Based Execution
7-B Check-Out Systems

Startup Manager
2-A Seek a Realistic Forecast of Startup Duration
2-B Estimate Startup Costs
2-C Recognize the Impact of Startup on Project Economics
3-B Develop the Startup Execution Plant
3-C Make Startup Team Assignments
3-D Identify Startup Systems
3-E Acquire Operations & Maintenance Input
3-F Assess Startup Risks
3-H Identify Startup Procurement Requirements
3-I Refine Startup Budget & Schedule
3-J Update Startup Execution Plan
4-A Address Startup Issues in Team-Building Sessions
4-C Plan for Supplier Field Support of Startup
4-G Acquire Additional O&M Input
4-I Refine Startup Risk Assessment
4-K Develop Startup Spare Parts Plan
4-M Develop and Communicate Startup Procedures and Process Safety Management
4-O Update the Startup Execution Plan
6-A Update the Startup Execution Plan & Release for Construction
6-D Conduct Operator/Maintenance Training
6-F Finalize the Startup Risk Assessment
6-G Transition to Startup Systems-Based Execution
7-A Finalize the Operations & Maintenance Organizations and Management Systems
7-B Check-Out Systems
7-C Commission Systems
8-A Introduce Feedstocks
8-B Conduct Performance Testing
8-C Finalize Documentation

QA/QC Manager
5-C Implement the Procurement QA/QC Plan
6-E Finalize the Startup Risk Assessment

Procurement Manager
3-H Identify Startup Procurement Requirements

Page 7 of 7
4-K Develop Startup Spare Parts Plan
5-A Qualify Suppliers for Startup Services
5-B Refine the Startup Spare Parts Plant and Expedite
8-C Finalize Documentation

Project Teams
3-B Develop the Startup Execution Plan
3-D Identify Startup Systems
4-E Plan for Startup QA/QC
4-H Indicate Startup System Numbers on Engineering Deliverables
7-B Check-Out Systems

Planner/Scheduler
2-A Seek a Realistic Forecast of Startup Duration
2-B Estimate Startup Costs
3-I Refine Startup Budget & Schedule
4-D Include Startup in the Project CPM Schedule
4-N Refine Startup Budget and Schedule
4-L Develop Systems Turnover Plan
6-C Refine Startup Integrated CPM

Estimator
2-B Estimate Startup Costs
3-I Refine Startup Budget & Schedule
4-N Refine Startup Budget and Schedule Supplier
8-B Conduct Performance Testing

0.4 Summary of Startup Planning Activities


A total of 45 planning activities have been identified as part of a best practice model for Startup. The
distribution of these activities by project phase is presented below. This distribution supports the
concept that planning for Startup is a process that must occur throughout the project and must begin
early.

Phase 1: Requirement Definition & Technology Transfer


Activity 1-A Ensure Senior Management Commitment to Integrated Startup Planning

Phase 2: Conceptual Development & Feasibility


2-A Seek a Realistic Forecast of Startup Duration
2-B Estimate Startup Costs
2-C Recognize the Impact of Startup on Project Economics

Phase 3: Front End Engineering


3-A Establish Startup Objectives
3-B Develop the Startup Execution Plan
3-C Make Startup Team Assignments
3-D Identify Startup Systems
3-E Acquire Operations & Maintenance Input
3-F Assess Startup Risks
3-G Identify Startup Procurement Requirements
3-H Refine Startup Budget & Schedule
3-I Refine Startup Budget & Schedule
3-J Update Startup Execution Plan

Phase 4: Detailed Design


4-A Address Startup Issues in Team Building

Page 8 of 8
4-B Assess & Communicate Startup Effects from Changes
4-C Plan for Supplier Field Support of Startup
4-D Include Startup in Project CPM Schedule
4-E Plan for Startup QA/QC
4-F Refine Startup Team Organization & Responsibility Assignments
4-G Acquire Additional Operations & Maintenance Input
4-H Indicate Startup System Numbers on Engineering Deliverables
4-I Refine Startup Risk Assessment
4-J Plan Operator/Maintenance Training
4-K Develop Startup Spare Parts Plan
4-L Develop System Turnover Plan
4-M Develop & Communicate Startup Procedures & PSM
4-N Refine Startup Budget & Schedule
4-O Update Startup Execution Plan

Phase 5: Procurement
5-A Qualify Suppliers for Startup Services
5-B Refine Startup Spare Parts Plan &Expedite
5-C Implement Procurement QA/QC Plan

Phase 6: Construction
6-A Update Startup Execution Plan & Issue for Construction
6-B Conduct Construction Startup Team Building
6-C Refine Startup Integrated CPM Schedule
6-D Conduct Operator /Maintenance Training
6-E Implement Field QA/QC Plan
6-F Finalize Startup Risk Assessment
6-G Transition to Startup System Based Execution

Phase 7: Checkout & Commissioning


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

Phase 8: Initial Operations


8-A Introduce Feed Stock
8-B Conduct Performance Testing
8-C Finalize Documentation

The Front End Engineering and Detailed Design phases contain the most activities and are thus the
key phases to effective planning for Startup. The Construction phase is another key phase since this
is the phase where much of the planning conducted in the Front End Engineering and Detailed Design
phases is actually executed. Flow charts essential for the understanding of the interelation of these
activities are shown in Appendix 1.

0.5 The Startup Planning Model


Startup is a critical phase in the plant life cycle and must be given adequate attention. A Startup
Planning Model is available 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.

Page 9 of 9
Table 1: Startup Planning Model Phases and Activities

The 45 planning activities are complemented with 18 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.

0.5: Quality Gates


Quality gates are a unique mechanism provided to manage and control the project by assuring
thorough activity execution. At each quality gate, management should stop and formally assess the
planning status. If necessary, the project team should be given a chance to “catch-up” on any pending
items or incompletely planned activities. Furthermore, this review can also examine the alignment of
the project with the stated business and technical objectives. Critical quality gate activities include:

Phase/ Activity:
Conceptual Development and Feasibility
Activity 2-C Recognize the Impact of Startup on Project Economics

Front End Engineering


3-J Update the Startup Execution Plan

Detailed Design
4-O Update the Startup Execution Plan

Construction
6-A Finalize the Startup Execution Plan

Checkout & Commissioning


7-A Finalize the Operations & Maintenance Organization and Management Systems

Checkout & Commissioning


7-B Check-Out Systems

Checkout & Commissioning


7-C Commission Systems

Page 10 of 10
Initial Operations
8-C Finalize Documentation

0.7 Start-up Planning Tools Provided


The following 18 Startup planning tools are provided to assist in the successful completion of the 45
planning activities:

1-A Ensure Senior Management Commitment to Integrated Startup Planning & Needed Resources
1-A-2 The SuPERTOOL: Startup Planning Evaluation Rating Tool

2-C Recognize the Impact of Startup on Project Economics


2-C Startup Financial Risk Assessment Checklist

3-B Develop the Startup Execution Plan


3-B-1: Schedule Drivers and Phase Transitions
3-B-2 Sample Table of Contents for the Startup Execution Plan
3-B-3 Checklist of Startup Quality Gates

3-C Make Startup Team Assignments


3-C-1 Sample Organization Chart
3-C-2 Sample RACI Chart

3-D Identify Startup Systems


3-D Guidelines for Defining Startup Systems

3-E Acquire Operations & Maintenance Input


3-E P&ID Checklist of Information Elements

3-F Assess Startup Risks


3-F Startup Risk Assessment Checklist

3-H Identify Startup Procurement Requirements


3-H Common Startup Needs Supported by Suppliers

3-I Refine Startup Budget & Schedule


3-I Checklist of Typical Startup Activities

4-B Assess & Communicate Startup Effects from Changes


4-B Checklist of Change Impacts on Startup

4-E Plan for Startup QA/QC


4-E Common Needs for Pre-Shipment Testing

4-J Plan Operator/Maintenance Training


4-J Operator Manual - Table of Contents (Example)

4-K Develop Startup Spare Parts Plan


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

4-L Develop System Turnover Plan


4-L-1 System Turnover Plan - Table of Contents (Example)
4-L-2 Examples of Turnover Criteria Checklists and Certifications

Page 11 of 11
Phase 1, Requirement Definition and Technology Transfer, contains tools that are based on actual
Startup data to demonstrate the effectiveness of Startup planning on overall project success. The
tools’ purpose is to encourage the project leadership to conduct intensive and meaningful Startup
planning.

Phase 2 is the Conceptual Development and Feasibility phase of the project and these tools support
the initial project-wide Startup issues such as realistically incorporating Startup into the project
schedule and budget.

Phase 3, Front End Engineering, contains more tools than any project phase. These tools revise the
traditional project team to include Startup personnel issues. Some key tools address issues such as
the Startup Execution Plan, Startup Quality Gates, Startup Personnel assignments, and Startup
resources.

Detailed Design or Phase 4 is another critical planning phase. The tools in Phase 4 are all examples
and checklists for Startup activities to complete prior to beginning construction. This includes Change
Order control, Quality Control, Material Control, Safety Planning, and Completion Checklists.

Phase 7, Checkout & Commissioning, occurs late in the project life cycle. The actual Startup
execution occurs during this phase. As a result, there is only one Startup Planning Tool, the Checkout
and commissioning Checklist.

The Startup planning tools supplement the Model in five different ways. These five tool types are as
follows:

• Motivational & Metrics: These tools illustrate the need and possible results of Startup planning.
These tools accomplish this by presenting the Startup data collected from actual Startups.
• Risk Management: These tools are examples of elements that the Startup team should consider
when planning for Startup to reduce the risk associated with the uncertainties in Startup.
• Planning & Procedural: These tools demonstrate items that the Startup team must complete prior
to completing the project.
• Organizational & Training: These tools supplement the transition from construction personnel to
the operations personnel by outlining the operator training program.
• Materials & Suppliers: These tools address supply and spare parts issues that may affect the
success of Startup.

The Startup Execution Plan should be a part of the overall Project Execution Plan and should provide
the framework for detailed planning to insure a successful Startup. The Startup team develops the
conceptual Startup Execution Plan at the beginning of Phase 3 (Activity 3-B). The Startup team must
refine the Startup Execution Plan in each phase through to the beginning of Construction in Phase
6. The Planning Model further stresses this updating process by assigning these activities as Quality
Gates. This ensures that the project will not continue to the next phase until the outcome of the
current phase is incorporated into the Startup Execution Plan.

Page 12 of 12
1.0 Phase 1: Requirements Definition and Technology Transfer

1-A: Ensure Senior Management Commitment to Integrated Startup Planning & 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

Page 13 of 13
Tool 1-A-2 The SuPERTOOL: Startup Planning Evaluation Rating Tool

Page 14 of 14
Page 15 of 15
2.0 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.

Page 16 of 16
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, and 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:
Needed: startup cost estimate sheet (Available from CII IR 121-2)
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

Page 17 of 17
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, and


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

I. Challenges to Successful Implementation:


• Such “reality checks” are usually politically sensitive and difficult to accept.

Page 18 of 18
Page 19 of 19
3.0 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:
Needed: 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

Page 20 of 20
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, and 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. 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 & Phase Transitions, 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

Page 21 of 21
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 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.

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

Page 22 of 22
2 Scope of Startup & Major Startup Systems

3 Startup Objectives

4 Startup Organization
Startup Team
O&M Resources

5 Startup Planning Activities

6 Startup Budget & Schedule

7 Startup Safety Program and Procedures

8 Startup Risk Management

9 Procurement Issues
Spare Parts and Consumables
Special Startup Utilities & Supplies
Special Tools

10 Appendices
CII Startup Planning Model (Available from CII IR 121-2)
Startup Procedures
Startup Training Manuals
Other Startup Documentation

Phase 3: Front-End Engineering

Tool 3-B-3: Checklist of Startup Quality Gates

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.

2-C Recognize the Impact of Startup on Project Economics


3-J Update the Startup Execution Plan
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

Startup Quality Gate 2C:

Page 23 of 23
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.
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.

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 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.

Page 24 of 24
Startup Quality Gate 7A:
This is a critical startup quality gate because it should give assurance to management that a
knowledgeable 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.

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.

Page 25 of 25
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, and 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

Page 26 of 26
Phase 3: Front-End Engineering

Page 27 of 27
Page 28 of 28
Phase 3: Front-End Engineering

Page 29 of 29
Page 30 of 30
Page 31 of 31
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, and 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

Page 32 of 32
Phase 3: Front-End Engineering

3-E: Guidelines for Defining Startup Systems

A system is a composite assembly of piping, vessels, equipment, and instruments that 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
Feed stock storage
Process sewers
Potable water
Product storage/handling
Compressor
Cooling water
Reaction systems
Filtration
Boiler water
Fractionation systems
Nitrogen
Steam
HVAC
Lube and oil system
Condensate
Safety showers
Fuel gas

Page 33 of 33
Phase 3: Front-End Engineering

3-F: 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:
Needed: P&ID flowchart,
Provided: 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

Page 34 of 34
Phase 3: Front-End Engineering

3-G P&ID Checklist of Information Elements

Page 35 of 35
Page 36 of 36
Phase 3: Front-End Engineering

3-H: 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, and 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:
Needed: startup risk checklist (Available from CII IR 121-2)
Needed: pilot plant data, listing of startup risk management strategies and contingency plans

I. Challenges to Successful Implementation:

Page 37 of 37
• 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 risks; it 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.

Page 38 of 38
Phase 3: Front-End Engineering

3-I Startup Risk Assessment Checklist

A. Organizational Experience 7 simulation capability & effort


8 other:
Owner/Contractor Startup Manager:
exper. & avail. D. Hazardous Materials/Processes
1 owner mfg/operations: exper. & 1 hazardous chemicals
avail. 2 explosive reactions
2 owner maintenance: exper. & 3 inherent safety hazards
avail. 4 likelihood of spills, emissions
3 owner project mgmt: exper. & 5 plant preparedness
avail. 6 community preparedness
4 owner process engr: exper. & 7 RMP/PSM system adequacy &
avail. confidence
5 owner engineering: exper. & avail. 8 health risk monitoring
6 owner procurement: exper. & avail. 9 separation between processes
7 owner startup: exper. & avail. 10 emergency response plan
8 contractor project mgmt: exper. & 11 other:
avail.
9 contractor engineering: exper. & E. Quality of Startup Planning
avail. 1 application of quality gates
10 contractor procurement: exper. & 2 quality of Startup Execution Plan
avail. 3 availability of startup spares
11 contractor construction: exper. & 4 training challenges and needs
avail. 5 other:
12 contractor startup: exper. & avail.
13 major supplier history F. Project Schedule
14 packaged unit supplier history 1 realistic schedule durations
15 other: 2 long lead procurement
3 past performance of contractor
B. Process Technology 4 permitting delays
1 degree of definition 5 environmental compliance delays
2 previous in-house exper. & avail. 6 effect of incentives
3 pilot plant exper. & avail. 7 labor prob./coll. bargaining
4 complexity agreemt.
5 anticipated product quality 8 other:
6 system redundancies: equipment
7 off-spec product handling G. Existing Plant/Site
8 other: 1 adequacy of utilities
2 interfaces with existing systems
C. Automation/Control Technology 3 accessibility/congestion
1 degree of definition 4 adequate clearances
2 previous in-house exper. & avail. 5 impact to ongoing operations
3 proven process autom’n supplier 6 possibility of extreme operating
package conditions
4 complexity/size 7 possibility of extreme weather
5 system redundancies: controls 8 other:
6 process autom’n supplr. training &
support

Page 39 of 39
Phase 3: Front-End Engineering

3-J: 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 compatible 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

Page 40 of 40
Phase 3: Front-End Engineering

3-K: 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, and 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

Page 41 of 41
Phase 3: Front-End Engineering

Page 42 of 42
Phase 3: Front-End Engineering

3-L: 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, and 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

Page 43 of 43
Phase 3: Front-End Engineering

3-M Checklist of Typical Startup Activities

Page 44 of 44
Page 45 of 45
Page 46 of 46
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

Page 47 of 47
Phase 3: Front-End Engineering

3-N: 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, and Project Team
Inform: Business Unit Manager, Plant Manager, and 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

Page 48 of 48
4.0 Phase 4: Detailed Design

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:
None

I. Challenges to Successful Implementation:


• Resistance to formal team-building by some project participants

Page 49 of 49
Phase 4: Detailed Design

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, and 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 Change Impacts 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

Page 50 of 50
Phase 4: Detailed Design

Page 51 of 51
Phase 4: Detailed Design

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

Page 52 of 52
Phase 4: Detailed Design

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 man loading 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

Page 53 of 53
Phase 4: Detailed Design

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, and 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

Page 54 of 54
Phase 4: Detailed Design

4-F: 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

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

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
• Understanding of how device is to be uncrated
• Confirmation of commissioning activities and intended startup date
• Nonconformances noted in writing
• Deficiencies follow-up

Page 55 of 55
Phase 4: Detailed Design

4-G: 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 (See tools above)

I. Challenges to Successful Implementation:


• Common paradigm that this activity can be accomplished later

Page 56 of 56
Phase 4: Detailed Design

4-H: 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, and


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 Step 3-B

Needed:
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)

Page 57 of 57
Phase 4: Detailed Design

4-I: 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:
Needed: Example of Startup System Coding System (Available from CII IR 120-2)

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

Page 58 of 58
Phase 4: Detailed Design

4-J: 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, and 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 (see Tool 3-F)
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

Page 59 of 59
Phase 4: Detailed Design

4-K: 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,


and 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
• Late completion of control system configuration

Page 60 of 60
Phase 4: Detailed Design

4-L Operator Manual - Table of Contents (Example)

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

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 Rampup
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
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

Page 61 of 61
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
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

Page 62 of 62
Phase 4: Detailed Design

4-M: 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, and
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
• Spare parts are often treated as a low priority and are poorly managed

Page 63 of 63
Phase 4: Detailed Design

4-N: 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

Page 64 of 64
Phase 4: Detailed Design

4-O: 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 multi-system 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, and 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

Page 65 of 65
Phase 4: Detailed Design

Tool 4-O-1 System Turnover Plan – Table of Contents (Example)

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
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

Page 66 of 66
Phase 4: Detailed Design

Tool 4-O-2 Examples of Turnover Criteria Checklists and Certifications

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
10. Complex loop description — if applicable
11. Motor schematic — if applicable
12. Loop acceptance form/checklist
13. Instrument installation detail
Phase 4: Detailed Design

Page 67 of 67
Phase 4: Detailed Design

4-P: 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, and 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

Page 68 of 68
Phase 4: Detailed Design

4-Q: 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, and Estimator


Accountability: Owner Project Manager
Consult: Manufacturing Operations Representative, Startup Manager, and 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 Steps 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

Page 69 of 69
Phase 4: Detailed Design

4-R: 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, and 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

Page 70 of 70
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.

Page 71 of 71
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., and 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 expediting
pressure.

Page 72 of 72
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, nonconformance
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.

Page 73 of 73
Phase 6: Construction

6-A: 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, and 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.

Page 74 of 74
Phase 6: Construction

6-B: 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, and 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.

Page 75 of 75
Phase 6: Construction

6-C: 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.

Page 76 of 76
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 and troubleshooting procedures.

H. Tools Needed/Provided:
Needed: startup manuals, operations manual, maintenance manual, and as-built drawings

I. Challenges to Successful Implementation:


• Old paradigm: “Let’s get on with startup” without the appropriate organization and
management systems in place.

Page 77 of 77
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, and Project Team


Accountability: Contractor Project Manager
Consult: Owner Project Manager
Inform: Plant Manager, Manufacturing Operations Representative, and 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,
Needed: Checkout/commissioning checklist (Available in CII IR 121-2)

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.

Page 78 of 78
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, and 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, and qualification protocols
Needed: Checkout/commissioning checklist (Available in CII IR 121-2)

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
are on-site, claiming these to be warranty-related work.
• Activities concurrent with construction can pose problems.

Page 79 of 79
Phase 8: Initial Operations

8-A: Introduce Feedstocks

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, and 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, and 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

Page 80 of 80
Phase 8: Initial Operations

8-B: Conduct Performance Testing

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;
- Feedstock 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.

Page 81 of 81
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, and 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 that 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:
Needed: Startup success metrics.
Needed: Startup matrix/checklist

I. Challenges to Successful Implementation:


• Project personnel are dispersed and not available to help with documentation.
• Operations personnel not aware of total project might bias report
• Planning and circumstances of execution.
• Incorrect information on record drawings

Page 82 of 82
Appendix A: Activities of The Startup Planning Model

Page 83 of 83
Page 84 of 84
Page 85 of 85
Page 86 of 86
APPENDIX B: Challenges To Implementing Startup Planning

An analysis of the Startup Planning Model activity profiles revealed the challenges likely to be
encountered during implementation of each activity.

Phase 1: Requirement Definition & Technology Transfer


1-A Limited resources
1-A Current paradigms on planning for Startup

Phase 2: Conceptual Development & Feasibility


2-A Startup durations often underestimated
2-B Uncertain basis information
2-B Little credible historical data
2-B Difficult to track Startup costs
2-B Paradigms rarely presented
2-C Reality checks difficult to accept

Phase 3: Front End Engineering


3-A Lack of understanding of Startup objectives
3-A Misalignment of Startup objectives
3-B Resource/expertise constraints
3-C Personnel needed not available
3-C Defining team roles too late in the project
3-C Failure in recognizing needed resources
3-D Incomplete or poorly defined project
3-D Lack of knowledge of plant operations plan
3-D Lack of available owner O&M personnel
3-D Incomplete or unfrozen P&IDs
3-D Late selection of owner furnished equipment
3-E Lack of adequate/available plant staffing
3-E Little training and few tools
3-F Senior management uncomfortable with risk
3-F Risk involves difficult notions of probability
3-F No in-house expertise to assess risk
3-F Desire to remain optimistic, move forward
3-F Little or no tracking of lessons learned
3-G Lack of clear, measurable objectives
3-G Poorly planned incentive systems
3-G Change in key personnel midway
3-H Little or no feedback on procurement matters
3-H Non-approved subcontractors
3-H Inability to pre-qualify suppliers
3-I Lack of info to develop estimates & schedules
3-I Activity given low priority
3-J Current paradigm is low priority
3-J Resource/expertise constraints

Phase 4: Detailed Design


4-A Paradigm -- teambuilding wastes time
4-B Change management systems not implemented
4-B Changes not communicated effectively
4-B Difficult to anticipate change consequences
4-B Reluctant to change previous plans
4-C Failure to identify supplier field support needs
4-C Failure of procurement to seek input

Page 87 of 87
4-C Expertise of supplier engineers
4-D Prepare Startup CPM w/o adequate input
4-D CPM schedule that is not kept current
4-D CPM schedule prepared too late for benefits
4-D Startup schedule not integrated with project
4-D CPM schedule is too detailed
4-E Waiting to test on-site, rather than in shop
4-E Lack of awareness of supplier capabilities
4-E Inability of suppliers to conduct pre-shipment testing
4-E No schedule contingency for testing failures
4-E Unwillingness of owners to witness tests
4-F Paradigm--activity can be accomplished later
4-G O&M organizations are underrepresented
4-G Late input from O&M
4-G Conflicts between engineering & operations
4-G Little or no training
4-G Engineering deliverables neglected
4-H Sizable effort, project-wide implementation
4-H New approach to business
4-H Likely target for engineering cost cutting
4-I Little or no training in risk analysis
4-I senior management uncomfortable with risk
4-I Risk involves difficult notions of probability
4-I No in-house expertise to assess risk
4-I Desire to remain optimistic, move forward
4-I Little or no tracking of lessons learned
4-J Availability of operators for training
4-J Late planning for training
4-J Collective bargaining restrictions
4-J Late completion of control system configuration
4-K Inability of suppliers to define needs early
4-K Supplier personnel not available to consult
4-K Spare parts treated as low priority
4-L Lack of owner resources to implement
4-L Incomplete, poorly defined acceptance criteria
4-L Inconsistent approaches to turnover
4-L Lack of awareness of importance of plan
4-L Overemphasis on physical completion
4-L Sign-off procedures that are not understood
4-M Unavailability of qualified personnel
4-M Lack of field personnel with experience
4-M Inadequate or late supplier support of activity
4-M Starting step too late in project
4-M Inadequate attention to safety issues
4-N Failure to truly update previous schedules
4-N Level of detail in schedule is inadequate
4-N Schedules developed without input
4-O Neglect of plan updates
4-O Failure to recognize need for periodic updates

Phase 5: Procurement
5-A Not taking time to evaluate suppliers
5-A Low bid contracts
5-B Not having time in identifying spare parts
5-B Changes do not receive same degree of attention
5-B Spare parts neglected

Page 88 of 88
5-B Expediters chasing more critical items
5-C Lack of well-defined technical data
5-C Lack of well-defined testing, acceptance plan
5-C Influence of low initial cost
5-C Delayed procurement schedule

Phase 6: Construction
6-A Updating of plans under-valued, neglected
6-A Team building is a continuous process
6-A Contracts should support team building
6-A Team building requires " time outs"
6-A High concurrent time demand
6-C Not getting information in a timely fashion
6-C CPM schedules that are not kept current
6-C Underestimates of durations
6-D Lack of understanding proficiency level
6-D Training requirements underestimated
6-D Staffing constraints for training
6-D Restrictive collective bargaining
6-E Lack of qualified QA/QC field representatives
6-E Lack of follow-through with QA/QC procedures
6-E Non-conformance issues not quickly addressed
6-E Delays forcing accelerated installation
6-E Owner expectations not communicated
6-F Limited availability of manufacturing personnel
6-F Assumption that Startup team can f ix it all
6-F Procrastination in addressing risks
6-G Two management systems must interface
6-G Ineffective micro-level activity planning
6-G Site-based planning resources unavailable

Phase 7: Checkout & Commissioning


7-A Old paradigm " let' s get on with Startup"
7-B Time requirements for checkout underestimated
7-B Activity a panic point due to poor planning
7-B Lack of recognition that checkout saves time
7-B Construction not completing systems
7-B Contract ors demobilizing, can' t support project
7-B Checkout plan not given priority
7-C Time requirements often underestimated
7-C Activity a panic point due to poor planning
7-C Owner personnel won' t accept responsibilities
7-C Operations uncomfortable with commissioning

Phase 8: Initial Operations


8-A Procedures not followed
8-A Continuity compromised
8-B Lack of proper planning of test runs
8-B Not reviewing test plan and get ting buy-in
8-C Personnel have been dispersed, unavailable
8-C Report biased by operations personnel
8-C Incorrect information on drawings

Page 89 of 89
Appendix C- 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.

AFO Approved for owner review.

AFP Approved for preliminary review.

AFS Approved for Startup and operations .

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 whichcontrol 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.

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.

Page 90 of 90
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.

Quality Gate A management strategy that promotes periodic assessment of the quality of planning
activities to date.

RACI Chart A matrix of activities vs. organizational positions; for the purpose of assigning activity
responsibility, accountability, those to consult, and those to inform.

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.

Page 91 of 91