SIST EN 61882:2016
(Main)Hazard and operability studies (HAZOP studies) - Application guide (IEC 61882:2016)
Hazard and operability studies (HAZOP studies) - Application guide (IEC 61882:2016)
This International Standard provides a guide for HAZOP studies of systems using guide
words. It gives guidance on application of the technique and on the HAZOP study procedure,
including definition, preparation, examination sessions and resulting documentation and
follow-up.
Documentation examples, as well as a broad set of examples encompassing various
applications, illustrating HAZOP studies are also provided.
HAZOP-Verfahren (HAZOP-Studien) - Anwendungsleitfaden
Études de danger et d'exploitabilité (études HAZOP) - Guide d'application
L'IEC 61882:2016 constitue un guide pour les études HAZOP de systèmes qui utilisent des mots-guides. Elle donne des lignes directrices relatives à l'application de la technique et à la procédure de l'étude HAZOP, y compris la définition, la préparation, les sessions d'examen ainsi que les documents et le suivi qui en résultent. Elle fournit également des exemples de documentation ainsi qu'un grand choix d'exemples concernant diverses applications qui présentent les études HAZOP. Cette deuxième édition annule et remplace la première édition parue en 2001. Cette édition constitue une révision technique. Cette édition inclut les modifications techniques majeures suivantes par rapport à l'édition précédente:
- terminologie clarifiée, et alignement sur les termes et définitions de l'ISO 31000:2009 et du Guide ISO 73:2009;
- ajout d'une étude de cas améliorée d'un HAZOP de procédure.
Mots clés: HAZOP, risques et les problèmes d'exploitabilité
Analiza obratovanja in nevarnosti (analiza HAZOP) - Navodilo za uporabo (IEC 61882:2016)
Ta mednarodni standard podaja navodila, urejena po vodilnih besedah, za analize obratovanja in nevarnosti (analize HAZOP). Navaja smernice glede uporabe tehnike in postopka analize HAZOP, vključno z definicijo, pripravo, preučevanjem ter objavljeno dokumentacijo in naknadno korespondenco.
Navedeni so tudi primeri dokumentacije s širokim naborom primerov različnih načinov uporabe analize HAZOP.
General Information
Standards Content (Sample)
SLOVENSKI STANDARD
SIST EN 61882:2016
01-september-2016
Analiza obratovanja in nevarnosti (analiza HAZOP) - Navodilo za uporabo (IEC
61882:2016)
Hazard and operability studies (HAZOP studies) - Application guide (IEC 61882:2016)
Ta slovenski standard je istoveten z: EN 61882:2016
ICS:
03.100.50 Proizvodnja. Vodenje Production. Production
proizvodnje management
SIST EN 61882:2016 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST EN 61882:2016
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SIST EN 61882:2016
EUROPEAN STANDARD EN 61882
NORME EUROPÉENNE
EUROPÄISCHE NORM
June 2016
ICS 03.100.50; 03.120.01; 13.020.30
English Version
Hazard and operability studies (HAZOP studies) - Application
guide
(IEC 61882:2016)
Études de danger et d'exploitabilité (études HAZOP) - HAZOP-Verfahren (HAZOP-Studien) -
Guide d'application Anwendungsleitfaden
(IEC 61882:2016) (IEC 61882:2016)
This European Standard was approved by CENELEC on 2016-04-14. CENELEC members are bound to comply with the CEN/CENELEC
Internal Regulations which stipulate the conditions for giving this European Standard the status of a national standard without any alteration.
Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the CEN-CENELEC
Management Centre or to any CENELEC member.
This European Standard exists in three official versions (English, French, German). A version in any other language made by translation
under the responsibility of a CENELEC member into its own language and notified to the CEN-CENELEC Management Centre has the
same status as the official versions.
CENELEC members are the national electrotechnical committees of Austria, Belgium, Bulgaria, Croatia, Cyprus, the Czech Republic,
Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia,
Lithuania, Luxembourg, Malta, the Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland,
Turkey and the United Kingdom.
European Committee for Electrotechnical Standardization
Comité Européen de Normalisation Electrotechnique
Europäisches Komitee für Elektrotechnische Normung
CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels
© 2016 CENELEC All rights of exploitation in any form and by any means reserved worldwide for CENELEC Members.
Ref. No. EN 61882:2016 E
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EN 61882:2016
European foreword
The text of document 56/1653/FDIS, future edition 2 of IEC 61882, prepared by
IEC/TC 56 "Dependability" was submitted to the IEC-CENELEC parallel vote and approved by
CENELEC as EN 61882:2016.
The following dates are fixed:
(dop) 2017-01-14
• latest date by which the document has to be
implemented at national level by
publication of an identical national
standard or by endorsement
• latest date by which the national (dow) 2019-04-14
standards conflicting with the
document have to be withdrawn
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CENELEC [and/or CEN] shall not be held responsible for identifying any or all such
patent rights.
Endorsement notice
The text of the International Standard IEC 61882:2016 was approved by CENELEC as a European
Standard without any modification.
In the official version, for Bibliography, the following notes have to be added for the standards indicated:
IEC 60812:2006 NOTE Harmonized as EN 60812:2006 (not modified).
IEC 61025:2006 NOTE Harmonized as EN 61025:2007 (not modified).
IEC 61160:2005 NOTE Harmonized as EN 61160:2005 (not modified).
IEC 61511-3:2003 NOTE Harmonized as EN 61511-3:2004 (not modified).
IEC 62502:2010 NOTE Harmonized as EN 62502:2010 (not modified).
IEC/ISO 31010:2009 NOTE Harmonized as EN 31010:2010 (not modified).
2
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SIST EN 61882:2016
EN 61882:2016
Annex ZA
(normative)
Normative references to international publications
with their corresponding European publications
The following documents, in whole or in part, are normatively referenced in this document and are
indispensable for its application. For dated references, only the edition cited applies. For undated
references, the latest edition of the referenced document (including any amendments) applies.
NOTE 1 When an International Publication has been modified by common modifications, indicated by (mod), the relevant
EN/HD applies.
NOTE 2 Up-to-date information on the latest versions of the European Standards listed in this annex is available here:
www.cenelec.eu
Publication Year Title EN/HD Year
IEC 60050-192 - International electrotechnical vocabulary - - -
Part 192: Dependability
3
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SIST EN 61882:2016
IEC 61882
®
Edition 2.0 2016-03
INTERNATIONAL
STANDARD
NORME
INTERNATIONALE
Hazard and operability studies (HAZOP studies) – Application guide
Études de danger et d'exploitabilité (études HAZOP) – Guide d'application
INTERNATIONAL
ELECTROTECHNICAL
COMMISSION
COMMISSION
ELECTROTECHNIQUE
INTERNATIONALE
ICS 03.100.50; 03.120.01; 13.020.30 ISBN 978-2-8322-3208-8
Warning! Make sure that you obtained this publication from an authorized distributor.
Attention! Veuillez vous assurer que vous avez obtenu cette publication via un distributeur agréé.
® Registered trademark of the International Electrotechnical Commission
Marque déposée de la Commission Electrotechnique Internationale
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SIST EN 61882:2016
– 2 – IEC 61882:2016 © IEC 2016
CONTENTS
FOREWORD. 4
INTRODUCTION . 6
1 Scope . 7
2 Normative references . 7
3 Terms, definitions and abbreviations . 7
3.1 Terms and definitions . 7
3.2 Abbreviations . 9
4 Key features of HAZOP . 10
4.1 General . 10
4.2 Principles of examination. 11
4.3 Design representation . 12
4.3.1 General . 12
4.3.2 Design requirements and design intent . 13
5 Applications of HAZOP . 13
5.1 General . 13
5.2 Relation to other analysis tools . 14
5.3 HAZOP study limitations . 14
5.4 Risk identification studies during different system life cycle stages . 15
5.4.1 Concept stage . 15
5.4.2 Development stage . 15
5.4.3 Realization stage . 15
5.4.4 Utilization stage . 15
5.4.5 Enhancement stage . 16
5.4.6 Retirement stage. 16
6 The HAZOP study procedure . 16
6.1 General . 16
6.2 Definitions . 17
6.2.1 Initiate the study . 17
6.2.2 Define scope and objectives . 17
6.2.3 Define roles and responsibilities . 18
6.3 Preparation . 19
6.3.1 Plan the study . 19
6.3.2 Collect data and documentation . 20
6.3.3 Establish guide words and deviations . 20
6.4 Examination . 21
6.4.1 Structure the examination . 21
6.4.2 Perform the examination . 22
6.5 Documentation and follow up . 24
6.5.1 General . 24
6.5.2 Establish method of recording . 25
6.5.3 Output of the study. 25
6.5.4 Record information . 25
6.5.5 Sign off the documentation . 26
6.5.6 Follow-up and responsibilities . 26
Annex A (informative) Methods of recording . 27
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A.1 Recording options . 27
A.2 HAZOP worksheet . 27
A.3 Marked-up representation . 28
A.4 HAZOP study report . 28
Annex B (informative) Examples of HAZOP studies . 29
B.1 General . 29
B.2 Introductory example . 29
B.3 Procedures . 34
B.4 Automatic train protection system . 37
B.4.1 General . 37
B.4.2 Application . 37
B.5 Example involving emergency planning . 40
B.6 Piezo valve control system . 44
B.7 HAZOP of a train stabling yard horn procedure . 48
Bibliography . 59
Figure 1 – The HAZOP study procedure . 17
Figure 2 – Flow chart of the HAZOP examination procedure – Property first sequence . 23
Figure 3 – Flow chart of the HAZOP examination procedure – Guide word first
sequence . 24
Figure B.1 – Simple flow sheet . 30
Figure B.2 – Train-carried ATP equipment . 37
Figure B.3 – Piezo valve control system . 44
Table 1 – Example of basic guide words and their generic meanings . 11
Table 2 – Example of guide words relating to clock time and order or sequence . 12
Table 3 – Examples of deviations and their associated guide words . 21
Table B.1 – Properties of the system under examination . 30
Table B.2 – Example HAZOP worksheet for introductory example . 31
Table B.3 – Example HAZOP worksheet for procedures example . 35
Table B.4 – Example HAZOP worksheet for automatic train protection system . 38
Table B.5 – Example HAZOP worksheet for emergency planning . 41
Table B.6 – System design intent . 45
Table B.7 – Example HAZOP worksheet for piezo valve control system. 46
Table B.8 – Operational breakdown matrix for train stabling yard horn procedure . 50
Table B.9 – Example HAZOP worksheet for train stabling yard horn procedure . 53
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INTERNATIONAL ELECTROTECHNICAL COMMISSION
____________
HAZARD AND OPERABILITY STUDIES (HAZOP STUDIES) –
APPLICATION GUIDE
FOREWORD
1) The International Electrotechnical Commission (IEC) is a worldwide organization for standardization comprising
all national electrotechnical committees (IEC National Committees). The object of IEC is to promote
international co-operation on all questions concerning standardization in the electrical and electronic fields. To
this end and in addition to other activities, IEC publishes International Standards, Technical Specifications,
Technical Reports, Publicly Available Specifications (PAS) and Guides (hereafter referred to as “IEC
Publication(s)”). Their preparation is entrusted to technical committees; any IEC National Committee interested
in the subject dealt with may participate in this preparatory work. International, governmental and non-
governmental organizations liaising with the IEC also participate in this preparation. IEC collaborates closely
with the International Organization for Standardization (ISO) in accordance with conditions determined by
agreement between the two organizations.
2) The formal decisions or agreements of IEC on technical matters express, as nearly as possible, an international
consensus of opinion on the relevant subjects since each technical committee has representation from all
interested IEC National Committees.
3) IEC Publications have the form of recommendations for international use and are accepted by IEC National
Committees in that sense. While all reasonable efforts are made to ensure that the technical content of IEC
Publications is accurate, IEC cannot be held responsible for the way in which they are used or for any
misinterpretation by any end user.
4) In order to promote international uniformity, IEC National Committees undertake to apply IEC Publications
transparently to the maximum extent possible in their national and regional publications. Any divergence
between any IEC Publication and the corresponding national or regional publication shall be clearly indicated in
the latter.
5) IEC itself does not provide any attestation of conformity. Independent certification bodies provide conformity
assessment services and, in some areas, access to IEC marks of conformity. IEC is not responsible for any
services carried out by independent certification bodies.
6) All users should ensure that they have the latest edition of this publication.
7) No liability shall attach to IEC or its directors, employees, servants or agents including individual experts and
members of its technical committees and IEC National Committees for any personal injury, property damage or
other damage of any nature whatsoever, whether direct or indirect, or for costs (including legal fees) and
expenses arising out of the publication, use of, or reliance upon, this IEC Publication or any other IEC
Publications.
8) Attention is drawn to the Normative references cited in this publication. Use of the referenced publications is
indispensable for the correct application of this publication.
9) Attention is drawn to the possibility that some of the elements of this IEC Publication may be the subject of
patent rights. IEC shall not be held responsible for identifying any or all such patent rights.
International Standard IEC 61882 has been prepared by IEC technical committee 56:
Dependability.
This second edition cancels and replaces the first edition published in 2001. This edition
constitutes a technical revision.
This edition includes the following significant technical changes with respect to the previous
edition:
a) clarification of terminology as well as alignment with terms and definitions within
ISO 31000:2009 and ISO Guide 73:2009;
b) addition of an improved case study of a procedural HAZOP.
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IEC 61882:2016 © IEC 2016 – 5 –
The text of this standard is based on the following documents:
FDIS Report on voting
56/1653/FDIS 56/1666/RVD
Full information on the voting for the approval of this standard can be found in the report on
voting indicated in the above table.
This publication has been drafted in accordance with the ISO/IEC Directives, Part 2.
The committee has decided that the contents of this publication will remain unchanged until
the stability date indicated on the IEC website under "http://webstore.iec.ch" in the data
related to the specific publication. At this date, the publication will be
• reconfirmed,
• withdrawn,
• replaced by a revised edition, or
• amended.
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INTRODUCTION
This standard describes the principles for and approach to guide word-driven risk
identification. Historically this approach to risk identification has been called a hazard and
operability study or HAZOP study for short. This is a structured and systematic technique for
examining a defined system, with the objectives of:
• identifying risks associated with the operation and maintenance of the system. The
hazards or other risk sources involved can include both those essentially relevant only to
the immediate area of the system and those with a much wider sphere of influence, for
example some environmental hazards;
• identifying potential operability problems with the system and in particular identifying
causes of operational disturbances and production deviations likely to lead to non-
conforming products.
An important benefit of HAZOP studies is that the resulting knowledge, obtained by identifying
risks and operability problems in a structured and systematic manner, is of great assistance in
determining appropriate remedial measures.
A characteristic feature of a HAZOP study is the examination session during which a multi-
disciplinary team under the guidance of a study leader systematically examines all relevant
parts of a design or system. It identifies deviations from the system design intent utilizing a
set of guide words. The technique aims to stimulate the imagination of participants in a
systematic way to identify risks and operability problems. A HAZOP study should be seen as
an enhancement to sound design using experience-based approaches such as codes of
practice rather than a substitute for such approaches.
Historically, HAZOP and similar studies were described as hazard identification as their
primary purpose is to test in a systematic way whether hazards are present and, if so,
understand both how they could result in adverse consequences and how such consequences
could be avoided through process redesign. ISO 31000:2009 defines risk as the effect of
uncertainty on objectives, with a note that an effect is a deviation from the expected.
Therefore HAZOP studies, which consider deviations from the expected, their causes and
their effect on objectives in the context of process design, are now correctly characterized as
powerful risk identification tools.
There are many different tools and techniques available for the identification of risks, ranging
from checklists, failure modes and effects analysis (FMEA) to HAZOP. Some techniques, such
as checklists and what-if/analysis, can be used early in the system life cycle when little
information is available, or in later phases if a less detailed analysis is needed. HAZOP
studies require more detail regarding the systems under consideration, but produce more
comprehensive information on risks and weaknesses in the system design.
The term HAZOP is sometimes associated, in a generic sense, with some other hazard
identification techniques (e.g. checklist HAZOP, HAZOP 1 or 2, knowledge-based HAZOP).
The use of the term with such techniques is considered to be inappropriate and is specifically
excluded from this document.
Before commencing a HAZOP study, it should be confirmed that it is the most appropriate
technique (either individually or in combination with other techniques) for the task in hand. In
making this judgment, consideration should be given to the purpose of the study, the possible
severity of any consequences, the appropriate level of detail, the availability of relevant data
and resources and the needs of decision-makers.
This standard has been developed to provide guidance across many industries and types of
system. There are more specific standards and guides within some industries, notably the
process industries where the technique originated, which establish preferred methods of
application for these industries. For details see the bibliography at the end of this standard.
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IEC 61882:2016 © IEC 2016 – 7 –
HAZARD AND OPERABILITY STUDIES (HAZOP STUDIES) –
APPLICATION GUIDE
1 Scope
This International Standard provides a guide for HAZOP studies of systems using guide
words. It gives guidance on application of the technique and on the HAZOP study procedure,
including definition, preparation, examination sessions and resulting documentation and
follow-up.
Documentation examples, as well as a broad set of examples encompassing various
applications, illustrating HAZOP studies are also provided.
2 Normative references
The following documents, in whole or in part, are normatively referenced in this document and
are indispensable for its application. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any
amendments) applies.
IEC 60050-192, International electrotechnical vocabulary – Part 192: Dependability (available
at http://www.electropedia.org)
3 Terms, definitions and abbreviations
3.1 Terms and definitions
For the purposes of this document, the terms and definitions given in IEC 60050-192 and the
following apply.
NOTE Within this clause, the terms defined are in italic type.
3.1.1
characteristic
qualitative or quantitative property
EXAMPLE Pressure, temperature, voltage.
3.1.2
consequence
outcome of an event affecting objectives
Note 1 to entry: An event can lead to a range of consequences.
Note 2 to entry: A consequence can be certain or uncertain and can have positive or negative effects on
objectives.
Note 3 to entry: Consequences can be expressed qualitatively or quantitatively.
Note 4 to entry: Initial consequences can escalate through knock-on effects.
[SOURCE: ISO Guide 73:2009, 3.6.1.3]
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3.1.3
control
measure that is modifying risk (3.1.12)
Note 1 to entry: Controls include any process, policy, device, practice, or other actions which modify risk.
Note 2 to entry: Controls may not always exert the intended or assumed modifying effect.
[SOURCE: ISO Guide 73:2009, 3.8.1.1]
3.1.4
design intent
designer’s desired, or specified range of behaviour for properties which ensure that the item
fulfills its requirements
3.1.5
property
constituent of a part which serves to identify the part’s essential features
Note 1 to entry: The choice of properties can depend upon the particular application, but properties can include
features such as the material involved, the activity being carried out, the equipment employed, etc. Material should
be considered in a general sense and includes data, software, etc.
3.1.6
guide word
word or phrase which expresses and defines a specific type of deviation from a property’s
design intent
3.1.7
harm
physical injury or damage to the health of people or damage to assets or the environment
3.1.8
hazard
source of potential harm (3.1.7)
Note 1 to entry: Hazard can be a risk source (3.1.14).
[SOURCE: ISO Guide 73:2009, 3.5.1.4]
3.1.9
level of risk
magnitude of a risk (3.1.12) or combination of risks, expressed in terms of the combination of
consequences (3.1.2) and their likelihood
[SOURCE: ISO Guide 73:2009, 3.6.1.8]
3.1.10
manager
person with responsibility for a project, activity or organization.
3.1.11
part
section of the system which is the subject of immediate study
Note 1 to entry: A part can be physical (e.g. hardware) or logical (e.g. step in an operational sequence).
3.1.12
risk
effect of uncertainty on objectives
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Note 1 to entry: An effect is a deviation from the expected – positive and/or negative.
Note 2 to entry: Objectives can have different aspects (such as financial, health and safety, and environmental
goals) and can apply at different levels (such as strategic, organization-wide, project, product and process).
Note 3 to entry: Risk is often characterized by reference to potential events and consequences (3.1.2) or a
combination of these.
Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including
changes in circumstances) and the associated likelihood of occurrence.
Note 5 to entry: Uncertainty is the state, even partial, or deficiency of information related to, understanding or
knowledge of an event, its consequence, or likelihood.
[SOURCE: ISO Guide 73:2009, 1.1]
3.1.13
risk identification
process of finding, recognizing and describing risks (3.1.12)
Note 1 to entry: Risk identification involves the identification of risk sources (3.1.14), events, their causes and
their potential consequences (3.1.2).
Note 2 to entry: Risk identification can involve historical data, theoretical analysis, informed and expert opinions,
and stakeholder's needs.
[SOURCE: ISO Guide 73:2009, 3.5.1]
3.1.14
risk source
element which alone or in combination has the intrinsic potential to give rise to risk (3.1.12)
Note 1 to entry: A risk source can be tangible or intangible.
[SOURCE: ISO Guide 73:2009, 3.5.1.2]
3.1.15
risk treatment
process to modify risk (3.1.12)
Note 1 to entry: Risk treatment can involve:
– avoiding the risk by deciding not to start or continue with the activity that gives rise to the risk;
– taking or increasing risk in order to pursue an opportunity;
– removing the risk source (3.1.
...
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