Standardizing Functional Safety Assessments for Off-The-Shelf Instrumentation and Controls
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University of Tennessee, Knoxville TRACE: Tennessee Research and Creative Exchange Masters Theses Graduate School 5-2016 STANDARDIZING FUNCTIONAL SAFETY ASSESSMENTS FOR OFF-THE-SHELF INSTRUMENTATION AND CONTROLS Andrew Michael Nack University of Tennessee - Knoxville, [email protected] Follow this and additional works at: https://trace.tennessee.edu/utk_gradthes Part of the Other Computer Engineering Commons, and the Systems Engineering Commons Recommended Citation Nack, Andrew Michael, "STANDARDIZING FUNCTIONAL SAFETY ASSESSMENTS FOR OFF-THE-SHELF INSTRUMENTATION AND CONTROLS. " Master's Thesis, University of Tennessee, 2016. https://trace.tennessee.edu/utk_gradthes/3793 This Thesis is brought to you for free and open access by the Graduate School at TRACE: Tennessee Research and Creative Exchange. It has been accepted for inclusion in Masters Theses by an authorized administrator of TRACE: Tennessee Research and Creative Exchange. For more information, please contact [email protected]. To the Graduate Council: I am submitting herewith a thesis written by Andrew Michael Nack entitled "STANDARDIZING FUNCTIONAL SAFETY ASSESSMENTS FOR OFF-THE-SHELF INSTRUMENTATION AND CONTROLS." I have examined the final electronic copy of this thesis for form and content and recommend that it be accepted in partial fulfillment of the equirr ements for the degree of Master of Science, with a major in Computer Engineering. Gregory D. Peterson, Major Professor We have read this thesis and recommend its acceptance: Qing C. Cao, Mingzhou Jin Accepted for the Council: Carolyn R. Hodges Vice Provost and Dean of the Graduate School (Original signatures are on file with official studentecor r ds.) STANDARDIZING FUNCTIONAL SAFETY ASSESSMENTS FOR OFF-THE-SHELF INSTRUMENTATION AND CONTROLS A Thesis Presented for the Master of Science Degree The University of Tennessee, Knoxville Andrew Michael Nack May 2016 Copyright © 2016 by Andrew Michael Nack All rights reserved. ii ACKNOWLEDGEMENTS Thank you to my wife Leslie, my kids Jerrett, Mikie, Elijah, and Anna Bowden, my advisor Dr. Gregory Peterson, my committee members Dr. Charles Cao, and Dr. Mingzhou Jin, my unofficial committee member Dr. Richard Wood, my friend Dr. M. Nance Ericson, my new friend Gary Johnson, my previous and current bosses Matthew Bowman, and Milton Concepcion, and my employer ATC Nuclear. I received critical support from all these people and entities, and I would not have been able to be successful without them. iii ABSTRACT It is typical for digital instrumentation and controls, used to manage significant risk, to undergo substantial amounts of scrutiny. The equipment must be proven to have the necessary level of design integrity. The details of the scrutiny vary based on the particular industry, but the ultimate goal is to provide sufficient evidence that the equipment will operate successfully when performing their required functions. To be able to stand up to the scrutiny and more importantly, successfully perform the required safety functions, the equipment must be designed to defend against random hardware failures and also to prevent systematic faults. These design activities must also have been documented in a manner that sufficiently proves their adequacy. The variability in the requirements of the different industries makes this task difficult for instrumentation and controls equipment manufacturers. To assist the manufacturers in dealing with these differences, a standardization of requirements is needed to facilitate clear communication of expectations. The IEC 61508 set of standards exists to fulfill this role, but it is not yet universally embraced. After that occurs, various industries, from nuclear power generation to oil & gas production, will benefit from the existence of a wider range of equipment that has been designed to perform in these critical roles and that also includes the evidence necessary to prove its integrity. The manufacturers will then be able to enjoy the benefit of having a larger customer base interested in their products. The use of IEC 61508 will also help industries avoid significant amounts of uncertainty when selecting commercial off-the-shelf equipment. It is currently understood that it cannot be assumed that a typical commercial manufacturer’s equipment designs and associated design activities will be adequate to allow for success in these high risk applications. In contrast, a manufacturer that seeks to comply with IEC 61508 and seeks to achieve certification by an independent third party can be assumed to be better suited for meeting the needs of these demanding situations. Use of these manufacturers help to avoid substantial uncertainty and risk. iv TABLE OF CONTENTS Chapter One Introduction and General Information ................................... 1 Chapter Two Literature Review .................................................................. 5 Chapter Three Multi-Industry Survey ......................................................... 9 Process Industries .................................................................................. 9 IEC 61508 ......................................................................................... 10 ISA 84.00.01(IEC 61511 Mod) .......................................................... 12 Commercial Nuclear Power Generation ............................................... 15 General ............................................................................................. 15 International Standards Structure ..................................................... 16 United States of America .................................................................. 20 France ............................................................................................... 24 United Kingdom ................................................................................ 25 United States Department of Defense .................................................. 27 MIL-STD-882E Standard Practice of System Safety ......................... 28 Joint Software Systems Safety Engineering Handbook .................... 29 General Observations ....................................................................... 32 Chapter Four Compare and Contrast Methodologies ............................... 33 Classification of Systems and Components .......................................... 33 Probabilistic vs Deterministic ............................................................ 33 Level of Rigor .................................................................................... 35 Defending Against Random Failures .................................................... 37 Hardware .......................................................................................... 37 Software ............................................................................................ 40 Preventing Systematic Faults ............................................................... 40 Lifecycle Processes and Designing Techniques ............................... 41 Built-in Safety Features ..................................................................... 41 Design Analysis and Verification & Validation ................................... 46 Hazard Analysis ................................................................................ 46 Common Cause Failure Prevention .................................................. 48 Environmental Qualification .............................................................. 50 Suitability Evaluation of “Off-the-Shelf” Equipment ............................... 51 Synthesis of Observations .................................................................... 52 Chapter Five Standardization of Component Functional Safety ............... 55 Moore Industries STZ Transmitter ........................................................ 55 Fisher Controls DVC6200 SIS Digital Valve Controller ......................... 62 Additional Notes in Support of Standardization .................................... 63 Chapter Six Conclusion ............................................................................ 65 Comparison of Industries ...................................................................... 65 Suitability Evaluations of Off-the-Shelf Equipment. .............................. 66 Future Work .......................................................................................... 66 List of References .................................................................................... 67 Vita ........................................................................................................... 73 v LIST OF TABLES Table 2.1. Most Similar Works 6 Table 2.2. Documents Regarding Classification 7 Table 2.3. Documents Regarding Random Failures 7 Table 2.4. Documents Regarding Systematic Faults 8 Table 2.5. Documents Regarding Suitability Evaluations of COTS 8 Table 4.1. Comparison of System and Component Levels 54 Table 5.1. Evaluation of MII STZ Transmitter 56 Table 5.2. Evaluation of Fisher Controls DVC6200 Valve Controller 58 vi LIST OF FIGURES Figure 3.1. SIL Standardization .......................................................................... 14 Figure 3.2. IEC Standards Hierarchy .................................................................. 17 Figure 3.3. IEEE NPEC Standards [56] .............................................................. 22 Figure 4.1. A Comparison of Different Classification Systems ............................ 34 Figure 4.2. Software Criticality Matrix ................................................................