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The Safety Critical Systems Handbook : A Straightforward Guide to Functional Safety: IEC 61508 (2010 Edition), IEC 61511 (2015 Edition) and Related Guidance PDF

332 Pages·2016·5.8 MB·English
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The Safety Critical Systems Handbook This page intentionally left blank The Safety Critical Systems Handbook A Straightforward Guide To Functional Safety: IEC 61508 (2010 Edition), IEC 61511 (2016 Edition) & Related Guidance Including Machinery and other industrial sectors FOURTH EDITION Dr David J Smith Kenneth GL Simpson AMSTERDAM • BOSTON • HEIDELBERG • LONDON • NEW YORK • OXFORD PARIS • SAN DIEGO • SAN FRANCISCO • SINGAPORE • SYDNEY • TOKYO Butterworth-Heinemann is an imprint of Elsevier Butterworth-Heinemann is an imprint of Elsevier The Boulevard, Langford Lane, Kidlington, Oxford OX5 1GB, United Kingdom 50 Hampshire Street, 5th Floor, Cambridge, MA 02139, United States Copyright Ó 2016 Dr David J Smith and Kenneth G L Simpson. Published by Elsevier Ltd. All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage and retrieval system, without permission in writing from the publisher. Details on how to seek permission, further information about the Publisher’s permissions policies and our arrangements with organizations such as the Copyright Clearance Center and the Copyright Licensing Agency, can be found at our website: www.elsevier.com/permissions. This book and the individual contributions contained in it are protected under copyright by the Publisher (other than as may be noted herein). Notices Knowledge and best practice in this field are constantly changing. As new research and experience broaden our understanding, changes in research methods, professional practices, or medical treatment may become necessary. Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using any information, methods, compounds, or experiments described herein. In using such information or methods they should be mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility. To the fullest extent of the law, neither the Publisher nor the authors, contributors, or editors, assume any liability for any injury and/or damage to persons or property as a matter of products liability, negligence or otherwise, or from any use or operation of any methods, products, instructions, or ideas contained in the material herein. Library of Congress Cataloging-in-Publication Data A catalog record for this book is available from the Library of Congress British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library ISBN: 978-0-12-805121-4 For information on all Butterworth-Heinemann publications visit our website at https://www.elsevier.com/ Publisher: Joe Hayton Acquisition Editor: Fiona Geraghty Editorial Project Manager: Maria Convey Production Project Manager: Jason Mitchell Designer: Matthew Limbert Typeset by TNQ Books and Journals Contents A Quick Overview ............................................................................................ xv The 2010 Version of IEC 61508...................................................................... xvii The 2016 Version of IEC 61511....................................................................... xix Acknowledgments ............................................................................................ xxi PART A: THE CONCEPT OF SAFETY INTEGRITY........................................... 1 Chapter 1 The Meaning and Context of Safety Integrity Targets ........................... 3 1.1 Risk and the Need for Safety Targets.......................................................................... 3 1.2 Quantitative and Qualitative Safety Target ................................................................. 6 1.3 The Life-Cycle Approach ............................................................................................ 9 Section 7.1 of Part 1.....................................................................................................9 1.4 Steps in the Assessment Process ............................................................................... 13 Step 1. Establish Functional Safety Capability (i.e., Management)..........................13 Step 2. Establish a Risk Target ..................................................................................13 Step 3. Identify the Safety Related Function(s).........................................................13 Step 4. Establish SILs for the Safety-Related Elements ...........................................13 Step 5. Quantitative Assessment of the Safety-Related System ...............................14 Step 6. Qualitative Assessment Against the Target SILs ..........................................14 Step 7. Establish ALARP...........................................................................................14 1.5 Costs ........................................................................................................................... 15 1.5.1 Costs of Applying the Standard ...................................................................... 15 1.5.2 Savings from Implementing the Standard....................................................... 15 1.5.3 Penalty Costs from Not Implementing the Standard ...................................... 15 1.6 The Seven Parts of IEC 61508 .................................................................................. 16 1.7 HAZOP (Hazard and Operability Study) .................................................................. 19 1.7.1 Objectives of a HAZOP................................................................................... 20 1.7.2 HAZOP Study Team........................................................................................ 20 1.7.3 Typical Information Used in the HAZOP....................................................... 21 1.7.4 Typical HAZOP Worksheet Headings ............................................................ 22 1.7.5 Risk Ranking ................................................................................................... 23 1.7.6 Quantifying Risk.............................................................................................. 23 v vi Contents Chapter 2 Meeting IEC 61508 Part 1.............................................................. 25 2.1 Establishing Integrity Targets .................................................................................... 25 2.1.1 The Quantitative Approach ............................................................................. 25 2.1.2 Layer of Protection Analysis........................................................................... 34 2.1.3 The Risk Graph Approach............................................................................... 36 2.1.4 Safety Functions .............................................................................................. 38 2.1.5 “Not Safety-Related”....................................................................................... 39 2.1.6 SIL 4 ................................................................................................................ 39 2.1.7 Environment and Loss of Production.............................................................. 40 2.1.8 Malevolence and Misuse ................................................................................. 40 2.2 “As Low as Reasonably Practicable” ........................................................................ 40 2.3 Functional Safety Management and Competence..................................................... 44 2.3.1 Functional Safety Capability Assessment ....................................................... 44 2.3.2 Competency ..................................................................................................... 44 2.3.3 Independence of the Assessment..................................................................... 48 2.3.4 Hierarchy of Documents.................................................................................. 48 2.3.5 Conformance Demonstration Template........................................................... 49 IEC 61508 Part 1......................................................................................................... 49 2.4 Societal Risk .............................................................................................................. 50 2.4.1 Assess the Number of Potential Fatalities ...................................................... 50 2.4.2 It Is Now Necessary to Address the Maximum Tolerable Risk ..................... 50 2.4.3 The Propagation to Fatality ............................................................................. 51 2.4.4 Scenarios with Both Societal and Individual Implications............................. 52 2.5 Example Involving Both Individual and Societal Risk............................................. 52 2.5.1 Individual Risk Argument ............................................................................... 52 2.5.2 Societal Risk Argument................................................................................... 53 2.5.3 Conclusion ....................................................................................................... 55 Chapter 3 Meeting IEC 61508 Part 2.............................................................. 57 3.1 Organizing and Managing the Life Cycle................................................................. 57 Sections 7.1 of the Standard: Table ‘1’......................................................................57 3.2 Requirements Involving the Specification................................................................. 59 Section 7.2 of the Standard: Table B1 (avoidance) ...................................................59 3.3 Requirements for Design and Development.............................................................. 60 Section 7.4 of the Standard: Table B2 (avoidance) ...................................................60 3.3.1 Features of the Design..................................................................................... 60 Sections 7.4.1e7.4.11 excluding 7.4.4 and 7.4.5 ......................................................60 3.3.2 Architectures (i.e., SFF) .................................................................................. 63 Section 7.4.4 Tables ‘2’ and ‘3’ .................................................................................63 3.3.3 Random Hardware Failures ............................................................................. 66 Section 7.4.5 ...............................................................................................................66 3.4 Integration and Test (Referred to as Verification)..................................................... 66 Section 7.5 and 7.9 of the Standard Table B3 (avoidance) .......................................66 Contents vii 3.5 Operations and Maintenance ..................................................................................... 67 Section 7.6 Table B4 (avoidance) ..............................................................................67 3.6 Validation (Meaning Overall Acceptance Test and the Close Out of Actions) ....... 67 Section 7.3 and 7.7: Table B5 ....................................................................................67 3.7 Safety Manuals........................................................................................................... 68 Section 7.4.9.3e7 and App D ....................................................................................68 3.8 Modifications.............................................................................................................. 68 Section 7.8 ..................................................................................................................68 3.9 Acquired Subsystems................................................................................................. 68 3.10 “Proven in Use” (Referred to as Route 2s in the Standard)...................................... 69 3.11 ASICs and CPU Chips............................................................................................... 70 (a) Digital ASICs and User Programmable ICs.........................................................70 Section 7.4.6.7 and Annex F of the Standard ............................................................70 (b) Digital ICs with On-Chip Redundancy (up to SIL 3) .........................................70 Annex E of the Standard ............................................................................................70 3.12 Conformance Demonstration Template ..................................................................... 71 IEC 61508 Part 2 .......................................................................................................... 71 Chapter 4 Meeting IEC 61508 Part 3.............................................................. 79 4.1 Organizing and Managing the Software Engineering............................................... 79 4.1.1 Section 7.1 and Annex G of the Standard Table “1” ..................................... 79 4.2 Requirements Involving the Specification................................................................. 83 4.2.1 Section 7.2 of the Standard: Table A1............................................................ 83 4.3 Requirements for Design and Development.............................................................. 83 4.3.1 Features of the Design and Architecture......................................................... 83 4.3.2 Detailed Design and Coding ........................................................................... 84 4.3.3 Programming Language and Support Tools.................................................... 84 4.4 Integration and Test (Referred to as Verification)..................................................... 85 4.4.1 Software Module Testing and Integration....................................................... 85 4.4.2 Overall Integration Testing.............................................................................. 85 4.5 Validation (Meaning Overall Acceptance Test and Close Out of Actions).............. 86 Paragraphs 7.3, 7.7, 7.9, Table A7 .............................................................................86 4.6 Safety Manuals........................................................................................................... 86 (Annex D) ...................................................................................................................86 4.7 Modifications.............................................................................................................. 87 Paragraph 7.6, 7.8, Table A8 and B9.........................................................................87 4.8 Alternative Techniques and Procedures..................................................................... 87 4.9 Data-Driven Systems ................................................................................................. 88 4.9.1 Limited Variability Configuration, Limited Application Configurability ...... 88 4.9.2 Limited Variability Configuration, Full Application Configurability............. 88 4.9.3 Limited Variability Programming, Limited Application Configurability....... 89 4.9.4 Limited Variability Programming, Full Application Configurability............. 89 viii Contents 4.10 Some Technical Comments ....................................................................................... 89 4.10.1 Static Analysis............................................................................................... 89 4.10.2 Use of “Formal” Methods............................................................................. 90 4.10.3 PLCs (Programmable Logic Controllers) and their Languages................... 90 4.10.4 Software Reuse.............................................................................................. 91 4.10.5 Software Metrics ........................................................................................... 92 4.11 Conformance Demonstration Template ..................................................................... 92 IEC 61508 Part 3........................................................................................................... 92 Chapter 5 Reliability Modeling Techniques ...................................................... 101 5.1 Failure Rate and Unavailability ............................................................................... 101 5.2 Creating a Reliability Model ................................................................................... 101 5.2.1 Block Diagram Analysis................................................................................ 102 5.2.2 Common Cause Failure (CCF)...................................................................... 110 5.2.3 Fault Tree Analysis........................................................................................ 115 5.3 Taking Account of Auto Test .................................................................................. 116 5.4 Human Factors ......................................................................................................... 119 5.4.1 Addressing Human Factors ........................................................................... 119 5.4.2 Human Error Rates ........................................................................................ 121 5.4.3 A Rigorous Approach.................................................................................... 123 Chapter 6 Failure Rate and Mode Data.......................................................... 125 6.1 Data Accuracy.......................................................................................................... 125 6.2 Sources of Data ........................................................................................................ 127 6.2.1 Electronic Failure Rates ................................................................................ 128 6.2.2 Other General Data Collections .................................................................... 128 6.2.3 Some Older Sources ...................................................................................... 129 6.2.4 Manufacturer’s Data ...................................................................................... 130 6.2.5 Anecdotal Data .............................................................................................. 130 6.3 Data Ranges and Confidence Levels ....................................................................... 130 6.4 Conclusions .............................................................................................................. 132 Chapter 7 Demonstrating and Certifying Conformance ..................................... 135 7.1 Demonstrating Conformance ................................................................................... 135 7.2 The Current Framework for Certification................................................................ 135 7.3 Self-Certification (Including Some Independent Assessment) ............................... 137 7.3.1 Showing Functional Safety Capability (FSM) as Part of the Quality Management System .................................................................. 137 7.3.2 Application of IEC 61508 to Projects/Products............................................ 137 7.3.3 Rigor of Assessment...................................................................................... 138 7.3.4 Independence ................................................................................................. 138 Contents ix 7.4 Preparing for Assessment ........................................................................................ 138 7.5 Summary .................................................................................................................. 140 PART B: SPECIFIC INDUSTRY SECTORS .................................................... 143 Chapter 8 Second Tier DocumentsdProcess, Oil and Gas Industries ................. 145 8.1 IEC International Standard 61511: Functional SafetydSafety Instrumented Systems for the Process Industry Sector (Second Edition to be Published in 2016) .......................................................................................... 145 8.1.1 Organizing and Managing the Life Cycle..................................................... 147 8.1.2 Requirements Involving the Specification .................................................... 148 8.1.3 Requirements for Design and Development ................................................. 149 8.1.4 Integration and Test (Referred to as Verification) ........................................ 152 8.1.5 Validation (Meaning Overall Acceptance Test and Close Out of Actions) .............................................................................................. 152 8.1.6 Modifications ................................................................................................. 152 8.1.7 Installation and Commissioning.................................................................... 153 8.1.8 Operations and Maintenance ......................................................................... 153 8.1.9 Conformance Demonstration Template......................................................... 153 8.1.10 Prior Use ........................................................................................................ 162 8.2 Institution of Gas Engineers and Managers IGEM/SR/15: Programmable Equipment in Safety-Related Applicationsd5th Edition 2010.............................. 165 8.3 Guide to the Application of IEC 61511 to Safety Instrumented Systems in the UK Process Industries ................................................................................... 165 8.4 ANSI/ISA-84.00.01 (2004)dFunctional Safety, Instrumented Systems for the Process Sector .............................................................................................. 166 8.5 Recommended Guidelines for the Application of IEC 61508 and IEC 61511 in the Petroleum Activities on the Norwegian Continental Shelf OLF-070dRev 2, 2004.................................................................................. 166 8.6 Energy Institute: Guidance on Safety Integrity Level (SIL) Determination, Expected to be Published 2016 ............................................................................... 168 Chapter 9 Machinery Sector .......................................................................... 169 9.1 EN ISO 12100:2010................................................................................................. 169 9.2 EN ISO 13849.......................................................................................................... 171 The Assessment ........................................................................................................174 9.2.1 Systematic Failures........................................................................................ 175 9.3 BS EN 62061 ........................................................................................................... 176 9.3.1 Targets............................................................................................................ 176 9.3.2 Design ............................................................................................................ 177 9.3.3 Template Assessment Checklist for BS EN 62061 ...................................... 178 9.4 BS EN ISO 13850: 2015 Safety of MachinerydEmergency StopdPrinciples for Design .................................................................................... 186

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