Hazard Analysis. Techniques for. System Safety. Second Edition. Clifton A. Ericson, II Fredericksburg, Virginia. Wiley

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1 Hazard Analysis Techniques for System Safety Second Edition Clifton A. Ericson, II Fredericksburg, Virginia Wiley

2 Contents PREFACE ACKNOWLEDGMENTS xxi xxiii 1. System Safety and Hazard Analysis Introduction / The Need for Hazard Analysis / System Safety Background / System Safety Overview / System Safety Process / System Safety Standards / System Safety Principles / Key Terms / Summary / 9 2. Systems System Concept / System Attributes / System Types / System Life Cycle / System Development / System Development Process / System Hierarchy / System Views / 18 v

3 Vi CONTENTS 2.9 System Development Artifacts / Systems Complexity and Safety / System Requirements / System Laws / Summary / Hazards, Mishap, and Risk 3.1 Introduction / Hazard, Mishap, and Risk Definitions / Accident (Mishap) Theory / The Hazard-Mishap Relationship / Hazard Risk / The Components of a Hazard / Hazard Triangle / Hazard Actuation / Hazard Causal Factors / Hazard-Mishap Probability Example / Recognizing Hazards / Hazard Description / Hazard Theory Summary / Hazard Analysis Features 4.1 Introduction / Types Versus Technique / Description of Hazard Analysis Types / Conceptual Design Hazard Analysis Type / Preliminary Design Hazard Analysis Type / Detailed Design Hazard Analysis Type / System Design Hazard Analysis Type / Operations Design Hazard Analysis Type / Human Health Design Hazard Analysis Type (HD-HAT) / Requirements Design Hazard Analysis Type (RD-HAT) / The Timing of Hazard Analysis Types / The Interrelationship of Hazard Analysis Types / Hazard Analysis Techniques / Hazard Analysis Technique Attributes / Primary and Secondary Techniques / Inductive and Deductive Techniques / Qualitative and Quantitative Techniques / Summary / 67

4 5. Hazard Recognition and Management 5.1 Introduction / Hazard Analysis Tasks / Plan the Hazard Analysis / Understand the System Design / Acquire Hazard Analysis Tools / Identify Hazards / Validate Hazards / Assess Risk / Mitigate Risk / Verify Mitigation / Accept Risk / Track Hazards / Hazard Recognition / Hazard Recognition Introduction / Hazard Recognition: System Perspectives / Hazard Recognition: Failure Perspectives / Key Hazard Recognition Factors / Hazard Recognition Basics / Hazard Recognition Sources / Describing the Identified Hazard / Hazard Types by General Circumstances / Hazard Types by Analysis Category / Modelling Hazard Space / System Mishap Model / System Mishap Model Examples / Summary / Functional Hazard Analysis 6.1 FHA Introduction / FHA Background / FHA History / FHA Theory / FHA Methodology / FHA Worksheets / FHA Example 1: Aircraft Flight Functions / FHA Example 2: Aircraft Landing Gear Software / FHA Example 3: Ace Missile System / FHA Advantages and Disadvantages / Common FHA Mistakes to Avoid / FHA Summary / 108

5 Viii CONTENTS 7. Preliminary Hazard List Analysis 7.1 PHL Introduction / PHL Background / PHL History / PHL Theory / PHL Methodology / PHL Worksheet / Hazard Checklists / PHL Guidelines / PHL Example: Ace Missile System / PHL Advantages and Disadvantages / Common PHL Mistakes to Avoid / PHL Summary / Preliminary Hazard Analysis 8.1 PHA Introduction / PHA Background / PHA History / PHA Theory / PHA Methodology / PHA Worksheet / PHA Guidelines / PHA Example: Ace Missile System / PHA Advantages and Disadvantages / Common PHA Mistakes to Avoid / PHA Summary / Subsystem Hazard Analysis 9.1 SSHA Introduction / SSHA Background / SSHA History / SSHA Theory / SSHA Methodology / SSHA Worksheet / SSHA Guidelines / SSHA Example: Ace Missile System / SSHA Advantages and Disadvantages / Common SSHA Mistakes to Avoid / SSHA Summary / 162

6 10. System Hazard Analysis 10.1 SHA Introduction / SHA Background / SHA History / SHA Theory / SHA Methodology / SHA Worksheet / SHA Guidelines / SHA Example / SHA Advantages and Disadvantages / Common SHA Mistakes to Avoid / SHA Summary / Operating and Support Hazard Analysis 11.1 O&SHA Introduction / O&SHA Background / O&SHA History / O&SHA Definitions / Operation / Procedure / Task / O&SHA Theory / O&SHA Methodology / O&SHA Worksheet / O&SHA Hazard Checklists / O&SHA Support Tools / O&SHA Guidelines / O&SHA Examples / Example 1 / O&SHA Example 2 / O&SHA Advantages and Disadvantages / Common O&SHA Mistakes to Avoid / Summary / Health Hazard Analysis 12.1 HHA Introduction / HHA Background / HHA History / HHA Theory / 200

7 X CONTENTS 12.5 HHA Methodology / HHA Worksheet / Human Health Hazard Checklist / HHA Example / HHA Advantages and Disadvantages / Common HHA Mistakes to Avoid / Summary / Requirements Hazard Analysis 13.1 RHA Introduction / RHA Background / RHA History / RHA Theory / RHA Methodology / RHA Worksheets / RHA Example / RHA Advantages and Disadvantages / Common RHA Mistakes to Avoid / Summary / Environmental Hazard Analysis (EHA) 14.1 EHA Introduction / EHA Background / EHA History / EHA Theory / EHA Methodology / EHA Worksheet / Example Checklists / EHA Example / EHA Advantages and Disadvantages / Common EHA Mistakes to Avoid / Summary / References / National Environmental Policy Act / Environmental Protection Agency / Fault Tree Analysis 15.1 FTA Introduction / FTA Background / FTA History / FTA Theory / FTA Methodology / 244

8 FT Building Blocks / FT Definitions / FT Construction: Basics / FT Construction: Advanced / FT Construction Rules / Functional Block Diagrams / FT Cut Sets / MOCUS Algorithm / Bottom-Up Algorithm / FT Mathematics / Probability of Success / Probability of Failure / Boolean Rules for FTA / AND Gate Probability Expansion / OR Gate Probability Expansion / FT Probability Expansion / Inclusion-Exclusion Approximation / Probability / Importance Measures / Cut Set Importance / Fussell-Vesely Importance / Risk Reduction Worth / Risk Achievement Worth / Birnbaum's Importance Measure / FT Example 1 / FT Example 2 / FT Example 3 / Phase-and Time-Dependent FTA / Dynamic FTA / FTA Advantages and Disadvantages / Common FTA Mistakes to Avoid / Summary / Failure Mode and Effects Analysis 16.1 FMEA Introduction / FMEA Background / FMEA History / FMEA Definitions / FMEA Theory / FMEA Structural and Functional Models / FMEA Product and Process FMEA / 283

9 Xli CONTENTS FMEA Functional Failure Modes / FMEA Hardware Failure Modes / FMEA Software Failure Modes / Quantitative Data Sources / Methodology / FMEA Worksheet / FMEA Example 1: Hardware Product FMEA / FMEA Example 3: Functional FMEA / FMEA Level of Detail / FMEA Advantages and Disadvantages / Common FMEA Mistakes to Avoid / FMEA Summary / Hazard and Operability (HAZOP) Analysis 17.1 Introduction / HAZOP Analysis Background / HAZOP History / HAZOP Theory / HAZOP Methodology / Design Representations / System Parameters / Guide Words / Deviation from Design Intent / HAZOP Worksheet / HAZOP Example 1/ HAZOP Example 2 / HAZOP Advantages and Disadvantages / Common HAZOP Analysis Mistakes to Avoid / HAZOP Summary / Event Tree Analysis (ETA) 18.1 ETA Introduction / ETA Background / ETA History / ETA Definitions / ETA Theory / ETA Methodology / ETA Worksheet / ETA Example 1 / ETA Example 2 / ETA Example 3 / 324

10 18.11 ETA Example 4 / ETA Advantages and Disadvantages / Common ETA Mistakes to Avoid / Summary / Cause Consequence Analysis 19.1 Introduction / CCA Background / CCA History / CCA Definitions / CCA Theory / CCA Methodology / CCD Symbols / CCA Worksheet / CCA Example 1: Three-Component Parallel System / CCA Example 2: Gas Pipeline System / Reducing Repeated Events / CCA Advantages and Disadvantages / Common CCA Mistakes to Avoid / Summary / Common Cause Failure Analysis 20.1 Introduction / CCFA Background / CCFA History / CCFA Definitions / Independent Event / Dependent Event / Independence (in Design) / Dependence (in Design) / Common Cause Failure / Common Mode Failure / Cascading Failure / Mutually Exclusive Events / CCF Root Cause / CCF Coupling Factor / Common Cause Component Group / CCFA Theory / CCFA Methodology / CCFA Process Step 2: Initial System Fault Tree Model / 347

11 XlV CONTENTS CCFA Process Step 3: Common Cause Screening / CCFA Process Step 4: Detailed CCF Analysis / CCF Defense Mechanisms / CCFA Example / CCFA Models / CCFA Advantages and Disadvantages / Common CCFA Mistakes to Avoid / Summary / Software Hazard Analysis 21.1 SwHA Introduction / SwHA Background / SwHA History / SwHA Theory / SwHA Methodology / SwHA Worksheet / Software Criticality Level / SwHA Example / Software Fault Tree Analysis / SwHA Advantages and Disadvantages / SwHA Mistakes to Avoid / SwHA Summary / Process Hazard Analysis 22.1 PHA Introduction / PHA Background / PHA History / Processing Mishaps / Process Safety Management / PHA Theory / PHA Methodology / PHA Worksheet / Supporting Notes / PHA Advantages and Disadvantages / Common PHA Mistakes to Avoid / Summary / Test Hazard Analysis 23.1 THA Introduction / THA Background / 390

12 23.3 THA History / THA Theory / THA Methodology / THA Worksheet / THA Considerations / Verification / Validation / Testing in the System Development Life Cycle / Types of Testing / Standard Development Test Types / Performance Tests / Software Performance Tests / Special Safety-Related Testing / THA Safety Goals / THA Advantages and Disadvantages / Common THA Mistakes to Avoid / Summary / Fault Hazard Analysis 24.1 FHA Introduction / FHA Background / FHA History / FHA Theory / FHA Methodology / FHA Worksheet / FHA Example / FHA Advantages and Disadvantages / Common FHA Mistakes to Avoid / Summary / Sneak Circuit Analysis 25.1 SCA Introduction / SCA Background / SCA History / SCA Definitions / SCA Theory / SCA Methodology / Step 1: Acquire Data / Step 2: Code Data / Step 3: Process Data / Step 4: Produce Network Trees / 422

13 XW CONTENTS Step 5: Identify Topographs / Step 6: Perform Analysis / Step 7: Generate SCA Report / Example 1: Sneak Path / Example 2: Sneak Label / Example 3: Sneak Indicator / Example Sneak Clues / Software Sneak Circuit Analysis / SCA Advantages and Disadvantages / Common SCA Mistakes to Avoid / Summary / Markov Analysis MA Introduction / MA Background / MA History / MA Definitions / MA Theory / MA Methodology / State Transition Diagram Construction / State Equation Construction / MA Examples / Markov Chain / Markov Model oftwo-component Series System with No Repair / Markov Model of Two-Component Parallel System with No Repair / Markov Model of Two-Component Parallel System with Component Repair / Markov Model of Two-Component Parallel System with Component/System Repair / Markov Model of Two-Component Parallel System with Sequencing / MA and FTA Comparisons / MA Advantages and Disadvantages / Common MA Mistakes to Avoid / Summary / Petri Net Analysis PNA Introduction / PNA Background / PNA History / 447

14 27.4 PNA Definitions / PNA Theory / PNA Methodology / PNA Example / PNA Advantages and Disadvantages / Common PNA Mistakes to Avoid / Summary / Barrier Analysis 28.1 BA Introduction / BA Background / BA History / BA Definitions / Energy Source / Energy Path / Energy Barrier / BA Theory / BA Methodology / Example Checklist of Energy Sources for BA / BA Considerations / BA Worksheet / BA Example / BA Advantages and Disadvantages / Common Barrier Analysis Mistakes to Avoid / Summary / Bent Pin Analysis 29.1 BPA Introduction / BPA Background / BPA History / BPA Theory / BPA Methodology / BPA Worksheet / BPA Example / BPA Advantages and Disadvantages / Common BPA Mistakes to Avoid / Summary / Management Oversight Risk Tree Analysis 30.1 Introduction To MORT Analysis / MORT Background / 483

15 xviii CONTENTS 30.3 MORT History / MORT Theory / MORT Methodology / MORT Analysis Worksheet / MORT Advantages and Disadvantages / Common MORT Analysis Mistakes to Avoid / MORT Summary / Job Hazard Analysis 31.1 JHA Introduction / JHA Background / JHA History / JHA Theory / JHA Methodology / JHA Worksheet / Example Hazard Checklist / JHA Tool / JHA Example / JHA Advantages and Disadvantages / Common JHA Mistakes to Avoid / Summary / Threat Hazard Analysis 32.1 THA Introduction / THA Background / THA History / THA Theory / THA Methodology / Cradle-to-Grave Sequences / Threat Scenarios / Characterization of Environments / Threats / THA Worksheet / THA Example / THA Advantages and Disadvantages / Common THA Mistakes to Avoid / Summary / System of Systems Hazard Analysis 33.1 SoSHA Introduction / SoSHA Background / 521

16 33.3 SoSHA History / SoS Theory / SoS Safety and Hazards / SoSHA Tools / SMM / SoS Component System Matrix / SoSHA Methodology / SoSHA Example / SoSHA Worksheet / SoSHA Guidelines / SoSHA Advantages and Disadvantages / Common SoSHA Mistakes to Avoid / Summary / Summary 34.1 Tenets of Hazard Analysis / Description of Tenets / Hazards and Mishaps are Not Chance Events; Hazards Lead to Mishaps If Left Unchecked / Hazards are Created During System Design and Exist with the Design / Hazards are Comprised of Three Components: HA, IMs, and TTO / Many Hazards Cannot be Eliminated due to the Hazard Sources that are Required by the System / Hazards Present Risk; Risk is the Metric for Measuring the Criticality or Danger Level of a Hazard / Hazards can be Modified via Design Methods, which in Turn can Reduce Risk / Hazard Analysis is the Key to Preventing Mishaps; Hazard Identification and Mitigation Reduce Mishap Risk / The System Mishap Model is an Effective Hazard Analysis Tool / Hazard Analysis and Hazard Descriptions can Easily Become Abused, Confused, and/or Misused / Utilizing More than One Hazard Analysis Technique is Recommended / Hazard Mitigation is not Hazard Elimination / Hazard Risk is the Same as Mishap Risk / 546

17 XX CONTENTS There are Both Primary and Secondary Hazard Analysis Techniques / There are Pseudo-Hazards and Real Hazards / FINIS / 547 Appendix A List of Acronyms 549 Appendix B Glossary 552 Appendix C Hazard Checklists 567 Appendix D References 609 Index 613

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