1

Introduction

This chapter introduces the need for process equipment failure rate data, defines the scope
and organization of this book and the data it contains, and explains how to the use the
book.

1.1 Background
The Chemical Process Industry (CPI) uses various quantitative and qualitative techniques
to assess the reliability and risk of process equipment, process systems, and chemical
manufacturing operations. These techniques identify the interactions of equipment, systems, and persons that have potentially undesirable consequences. In the case of reliability
analyses, the undesirable consequences (e.g., plant shutdown, excessive downtime, or
production of off-specification product) are those incidents which reduce system profitability through loss of production and increased maintenance costs. In the case of risk
analyses, the primary concerns are human injuries, environmental impacts, and system
damage caused by occurrence of fires, explosions, toxic material releases, and related
hazards. Quantification of risk in terms of the severity of the consequences and the
likelihood of occurrence provides the manager of the system with an important decisionmaking tool. By using the results of a quantitative risk analysis, we are better able to
answer such questions as, "Which of several candidate systems poses the least risk?" "Are
risk reduction modifications necessary?" and "What modifications would be most effective in reducing risk?"
In performing such a risk analysis, the risk analyst first uses hazard identification
techniques such as those presented in Guidelines for Hazard Evaluation Procedures
(henceforth, HEP Guidelines) such as Failure Modes and Effects Analysis (FMEA) or
Hazard and Operability Studies (HAZOP) to identify the incidents or combinations of
incidents that must occur to create a given consequence. The analyst may also use
techniques such as fault tree analysis or event tree analysis to further define the particular
process or equipment failures that will result in the incidents of concern. Using procedures
contained in Guidelines for Chemical Process Quantitative Risk Analysis (henceforth,
CPQRA Guidelines), the severity of the consequences is then evaluated by considering
the environment in which the incident occurs and, if necessary, applying techniques such
as dispersion, blast, or heat radiation modeling. To evaluate the likelihood of occurrence
of the incident, the analyst must know how frequently the contributory failure incidents
are likely to occur. Consequently, failure rate data for the equipment involved in the
incidents is essential to the risk analysis.

1.2 Guidelines Purpose, Scope, and Organization

7.2.7 Purpose
The primary purpose of this book is to provide the engineer and risk analyst with failure
rate data needed to perform a CPQRA. Consequently, the book contains easily accessible
data in the CCPS Generic Failure Rate Data Base, information on several available
generic data resources, and procedures to develop failure rate data using information from
the plant and process being studied. Another purpose is to present an approach that
coordinates the collection of raw plant data, their conversion into plant-specific failure
data, and their storage using a CPI-oriented taxonomy. This approach will allow future
data generated by chemical process facilities to be added to the CCPS Generic Failure
Rate Data Base. The book provides specifications for the transfer of data. It is hoped this
approach and standardization will stimulate the chemical processing industry to generate
and transfer failure rate data to CCPS for industry use. It is also expected that this book
and the CCPS Taxonomy will be revised and updated when sufficient new data become
available. Finally, this Guidelines is written to help engineers and analysts develop an
understanding of the derivation, usefulness, and limitation of failure rate data so they can
form better judgments about the use of data.
7.2.2 Scope
The data presented in this book are characterized as equipment failures per 106 operating
hours for time-related failure rates and failures per 103 demands for demand-related
failure rates. These rates are given for some common CPI equipment. Equipment used
solely to transport chemicals is not covered in this book. The cause of equipment failures,
the means to improve reliability and the "most" reliable equipment are not addressed.
Other types of failure rate data, such as predicted values or estimated values using expert
opinion or the Delphi technique, are addressed in the CPQRA Guidelines. Sources of
common cause/mode failure data are not addressed. Human error rates, though necessary
for CPQRAs, and human performance in CPI facilities will be addressed in a forthcoming
Guidelines. Figure 1.1 illustrates the scope of this book in relation to the CPQRA Guidelines. In preparing this book, the CCPS Subcommittee tried to review all published
sources of available generic equipment reliability and failure rate data, including reliability studies, published research works, reliability data banks, or government reports
that contained information gathered from chemical process, nuclear, offshore oil, and
fossil fuel industries around the world. An industry survey was conducted to solicit
unpublished data.
7.2.3 Organization
The sections of this book and their contents are:
Chapter 1Introduction: Discusses the need for process equipment failure rate data,
describes the purpose, scope and organization of this book, and explains how to the use
it.
Chapter 2Origin, Use, and Limitations of Failure Rate Data: Explains the meaning of generic and plant-specific data, the difference between time-related and demand-

related failures, issues of confidence and tolerance, what is captured as an equipment

failure, the failure model used and the role of the taxonomy.
Chapter 3CCPS Taxonomy: Explains the CCPS taxonomy. Discusses the rationale
and process for its development and the factors considered in its construction.
Chapter 4Data Bases, Sources, and Studies: Summarizes and characterizes several
generic data resources available to risk analysts and process engineers in the CPI. It
includes a discussion of the resource search and selection process and the presentation
format for the information on resources.
Chapter 5CCPS Generic Failure Rate Data Base: Contains tables of generic
process equipment reliability data that are structured by the CCPS Taxonomy. The data
are extracted from data resources in Chapter 4. The chapter includes a discussion of the
selection, treatment, and presentation of the data in the Tables.
Chapter 6Collection and Conversion of Plant-Specific Data: Describes the type of
data required and their treatment to develop a plant-specific data set suitable for use or
aggregation with other data.
Chapter 7Failure Rate Data Transfer: Provides a form to facilitate the transfer of
plant-specific data to the CCPS Data Base or to combine it with other generic data.
Chapter 8Supplemental References: A collection of references that describe data
collection, analysis, and application techniques but, in general, do not contain reliability data.
Appendix ACCPS Taxonomy: The full CCPS Taxonomy for process equipment
failure rate data.
Appendix BEquipment Index: Allows the user to determine the taxonomy location
for equipment types familiar to the CPI.
Appendix CMatrix of Data Elements in Each Data Resource: Presents the user
with a more detailed summary of the data elements available from each data resource in
Chapter 4.
Appendix DUnreviewed Data Bases, Data Sources, and Studies: Provides a list of
data resources that were uncovered too late for review.

1.3 Use of This Guidelines

It is recommended as a first step that the user of the book review the entire volume to
become familiar with the various aspects of equipment failure rates that are presented.
This can provide a better understanding of the derivation, value, and limitations of generic
data. Beyond this, the volume is structured to assist the reader in one or more of three
basic tasks. These tasks are:
locating generic data for use in a CPQRA;
finding potential data resources for additional data or more information; and
developing a system for collecting and recording in-plant reliability data.
To find generic data in this book for use in a CPQRA, the reader should first locate
the taxonomy number for the equipment under study by referring to Appendix B, Equipment Index. This index shows the taxonomy number for various types of commonly used
equipment. Knowing the taxonomy number, the reader can consult the Index of Filled
Data Cells (Table 5.2) to determine if the data exist in Chapter 5. Alternatively, the user

RECORDS FROM ONE PLANT

INDUSTRYGENERIC
DATA
GENERIC
DATA SOURCE
SELECTION

FLOW, PIPING, AND

INSTRUMENTATION
DRAWINGS

OPERATINGAND
MAINTENANCE
PROCEDURES

SELECTED
GENERIC
DATA
SOURCES

PLANT
RECORDS

EQUIPMENTLISTS

OPERATIM
LOGS,
REPORTS

RAW DATA
COLLECTION
AND
REVIEW

RELEVANT
DATA
RAW DATA
CLASSIFICATION
AND SORTING

SORTED
DATA

DATA
REQUIREMENTS

IRRELEVANT
RECORDS

RECORDS
FROM
OTHER
PLANTS

PERMANENT TRACEABLE
RAW DATA & PROCESS FILES

GUIDELINES FOR PROCESS

EQUIPMENT RELIABILITY DATA
Figure 1.1. Process equipment reliability data: data sources, dataflow, and data use.

CCPSGENERIC
DATABASE

GENERIC RELIABILITY DATA

CCPS
TAXONOMY

GENERIC
DATA
EXTRACTION
INTEGRATIONAND
AGGREGATION OF
PLANT-SPECIFIC
AND GENERIC
DATA

CCPS
GENERIC
DATABASE
PROTOCOL

RAW DATA
ANALYSIS
AND
REDUCTION

REDUCED
DATA

ANALYSIS
Component
Populations
Demand Counts
Exposure Times
Failure Counts
REDUCTION
Failure Model and
Parameters

FAILURE RATE
AND
PROBABILITY
CALCULATIONS

CCPS
DATA SHEETS

DATA CLASS-

IIFICATION AND

SORTING

COMPUTER
ACCESSIBLE
DATABASE
(Future)

PLANT-SPECIFIC
DATA

PLANTSPECIFIC
RELIABILITY DATA
Time Related Failure Rates
Demand Related Failure Rates
Error Bounds

EXPERT
OPINION
ANALYSIS
DATABASE
INTEGRATION
AND
AGGREGATION
OF DATA

GENERIC
DATA

PREDICTED
DATA

GUIDELINES FOR CHEMICAL PROCESS

QUANTITATIVE RISK ANALYSIS

CPQRA

COMPANY,
COMMUNITY,
REGULATORYAND
OTHER SPECIAL
REPORTS

may look in the Chapter 5 Data Tables once the taxonomy number has been located.
Readers who require additional sources of data should refer to the indexes at the beginning
of each resource section in Chapter 4 (Sections 4.3, 4.4, 4.5, 4.6, 4.7, or 4.8). These
indexes help the reader identify the most useful resources in terms of the type and extent
of data presented. Appendix C is also useful, as it provides additional detail about these
data resources.
When plant-specific data are required, Chapter 6 discusses how to collect and treat
the data so that the resulting failure rates can be used in a CPQRA or be combined with the
data in the CCPS Generic Failure Rate Data Base. Chapter 7 provides a form that can be
used to transfer these data to CCPS's Generic Failure Rate Data Base.