Preliminary Hazard

Identification

Session 3
 Overview
Preliminary Hazard Identification
purpose of PHI
identifying sources of hazards
problems with PHI (and some clues for good PHI)
structured techniques
Energy Trace and Barrier Analysis

PHI exercise

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 What is a Hazard?
physical condition that threatens the safety of
personnel or the platform

a potentially unsafe condition resulting from failures,

malfunctions, external events, errors, or a combination
thereof ARP 4761

a situation that could occur during the lifetime of a

product, system or plant that has the potential for human
injury, damage to property, damage to the environment (or
economic loss) BS 4778

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 Purpose of PHI
PHI is looking for top (platform) level situations which
expose people or environment to potential harm, through
what system is System
Concept
what it does
Hazard
where it is Identification

Review
how it is used Initial
Hazard
List

Preliminary
Analysis (Risk
For (sub-)system suppliers Assessments etc)

need to confirm earlier analyses

consider effects of decisions at this level
e.g. choice of technology

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 PHI Hazard Sources
Hazards are identified at PHI by a number of means
Experience PHI phase is usually a collation / filtering exercise on
data from:
previous projects (review hazard logs)
similar systems / technologies (domain knowledge)
accidents / incidents (lessons learned)
perhaps variations for new technologies (unstable aircraft?)
Checklists
comprehensive or short prompt lists
NB usually prompt with causes which must be interpreted
Brainstorming
expert knowledge, creative thinking
structured techniques
e.g. Energy Trace & Barrier Analysis

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 PHI Simple Checklist 1
Hazardous materials
Explosives Fuels
Propellants

Corrosives Asphyxiants

Toxic substances

Environment
Weather Vibration Noise
Lightning Temperature

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 PHI Simple Checklist 2
Energy sources

Mechanical energy
Kinetic
Potential

Pressure Heat

RF radiation

Electrical

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 PHI Simple Checklist 3
Human interactions / processes
(Prompts to consider exposure, and ways humans
can place system in hazardous state)
Assembly
Operation
Maintenance
Disposal
Testing
Training
Life support / Safety equipment

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 Example Car Hazards
Preliminary Hazard List for car might include hazards
derived from
Components and materials
Fuel flammable
Brake linings asbestos
Brake fluid toxic, corrosive, flammable
Energy sources
Movement
Hot engine / exhaust / radiator
H.T. Electrical system
Human interactions
Driving (control)
Servicing

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Problems with Hazard Identification 1
Is car brakes overheat a hazard?
real hazards are loss of braking, fire

Dont confuse causes with hazards

beware that checklists prompt with causes as well as hazards

Do ensure you think big situation identified merely a

specific instance of a more generic hazard?
but balanced against need for sensible action / tracking
e.g. Loss of controllability is hazardous but need to break
down into smaller, systems-related hazards for manageability:
Braking Steering
loss of all braking loss of steering control
uncommanded braking over- or under-steer
...

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 What is a Hazard revisited
There is a causal chain from causes to accidents
Hazards may be defined at any level :
Root Causes

Hazards

Accidents

BUT essential to select right level:

Hazards are properties (states) of entire system
Too low (common fault) too many hazards
not system properties
expensive (impossible) to track
may lead to over-engineering
Too high (rare fault) hard to ensure complete management

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 What is a Hazard some clues
A hazard is a situation which,
unless mitigated can develop into
an accident through a sequence
of normal events and actions
A hazard is a situation which, if
uncontrolled, would present an
unacceptable risk of an accident
Hazards occur at interfaces
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last decision point
accident not inevitable
though it may be very probable
no further abnormal events
required to cause accident
is the risk associated with a
situation something a
reasonable man would worry
about?
is this the boundary of my
control over situation?
may need to treat as hazard
even if it does not meet other
criteria
Problems with Hazard Identification 2
Lack of review
Hazards from quarrying operations
H001 Incorrect handling of explosives
H002 Child trespass
H003 Leakage of harmful substances
H004 Placing explosives when not authorised
H005 Lack of security around quarry
H006 Flying debris from explosions
H007 Adult trespass
... ...

keep identified hazards at similar level

sorting list can help understanding, especially giving confidence in
completeness

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Energy Trace and Barrier Analysis 1
Definition of accident given previously:
unintended event or sequence of events leading to harm
death, injury, environmental or material damage
defines accident in terms of its effects

Alternative definition of an accident:

the unintended or uncontrolled transfer or release of
energy
defines accident in terms of its process
e.g. a trip-and-fall accident potential energy (person standing
upright) converted into kinetic energy

Family of similar techniques which use identification of

energies in system (and intended containment) for HI
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Energy Trace and Barrier Analysis 2
All energy sources in a system are considered as potential
hazard sources
Actual hazards arise when
Energy can directly affect a vulnerable target
or
Conversion of energy from one form to another can affect a target
or
Barriers fail
A barrier is any mechanism which is meant to
contain energy
control the transfer or flow of energy
protect vulnerable targets
Checklists help to prompt methodical investigation

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 ETBA Procedure
Define system
Checklist

Identify
Select energy Document effects on
type and repeat targets

Checklist
Where does it Consider
enter system? barrier
Define problems
planned Identify
Where will it vulnerable
do work? barriers to
control Consider targets
flows energy
How will it converter
exit system? problems
Checklist

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 Sample Energy Checklist
(1) Electrical
AC or DC current flows
Stored electrical energy / discharges
Electromagnetic emissions
Induced voltages / currents
Control voltages / currents
(2) Mass / gravity / height
Trips and falls
Falling / dropped objects
Suspended objects
(3)Rotational kinetic
Rotating machinery / gears / wheels / shafts
...

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ETBA Example Barriers
Energies
Objects at height Safety cage

High-pressure Armoured
hydraulics hoses

Batteries (stored Insulation

electrical energy)

Vehicle Audible and

movement visual warnings

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 ETBA Example 2 - Hazards
From list of energies and barriers in previous slide,
hazards we might consider include:
Crates or pallets falling on staff
Release of contents of crates after fall / breakage
High-pressure hydraulic escape
Electrocution / electric shock
Crushing / trapping by moving parts of forklift
Failure of forklift warning devices
and there are many more, if analysis is thorough

Note that review (and sorting) of identified hazards is still necessary

- the list above is inconsistent in level, and not in meaningful order

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