Assessment Report of the

Functional Safety Management according to IEC 61511

Revision No.:

1.0

Date:

2005-02-15

Report Number:

701-022/2004A

Project:

Assessment of Functional Safety Management according

to IEC 61511

Customer:

Emerson Process Management

EMEA
Belgistr. 23
6341 Baar
Switzerland

Order Number:

20658351

Assessment
Authority:

RWTV Systems GmbH

Safety Approval Services
Langemarkstr. 20
45141 Essen
Germany

Responsible:

Author:
_____________________________
(Josef Neumann)
Reviewer:
_____________________________
(Gerhard Rieger)

This document is only valid in its entirety and separation of any part is not allowed.

1 Management Summary
The document reviews and the interview have shown that the overall functional safety
procedures, defined in the overall process documentation, complies with the applicable
sections of the IEC 61511:2003 under the condition that the overall procedures are
implemented correctly in the project specific documentations and carried out completely by
the responsible project teams. The defined procedures in the process documentation are
consistent, complete and clearly presented.

The review of Functional Safety Management according to IEC 61511:2003 performed by

RWTV, Safety Approval Service, has shown that Emerson Process Management SIS
related processes and procedures are sufficient to conform with the Functional Safety
Management aspects of IEC 61511:2003.

As stated in IEC 61511:2003 the performance of a hazard and risk analysis is an end user
requirement and as such is specifically excluded from Emerson Process Management scope
of supply.

No major shortcomings were detected during the assessment.

If changes to the overall functional safety procedures are performed than RWTV Systems
GmbH Safety Approval Service - must be informed.

File :Assessment Report Emerson Process V1_0.doc

Report No.: 701-022/2004A Rev.: 1.0
Date: 2005-02-15
Safety Approval Service SAS
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RWTV Systems GmbH

Hbnerstr. 3
D-86150 Augsburg

Content

Page

Management Summary .................................................................................. 2

Subject of the assessment ............................................................................ 4

Assessment Requirements ........................................................................... 5

Definitions....................................................................................................... 5

Requirements of the overall procedures for functional safety................... 6

Documentation ............................................................................................... 7

Assessment of the overall procedures for process documentation.......... 8

7.1 Review of the overall process descriptions .................................................................. 8

7.2 Review of functional safety management requirements according to IEC 61511........ 9

File :Assessment Report Emerson Process V1_0.doc

Report No.: 701-022/2004A Rev.: 1.0
Date: 2005-02-15
Safety Approval Service SAS
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RWTV Systems GmbH

Hbnerstr. 3
D-86150 Augsburg

2 Subject of the assessment

The basis of this assessment is the standard IEC 61511. This international standard
addresses the application of safety instrumented systems for the Process Industries.

This international standard has two concepts which are fundamental to its application; safety
lifecycle and safety integrity levels. The safety lifecycle forms the central framework which
links together most of the concepts in this international standard.

The safety instrumented system includes sensors, logic solvers and final elements. The
safety instrumented system logic solvers include Electrical, Electronic and Programmable
Electronic (PE) technology and are related to the framework of the International
Electrotechnical Commission Publication 61508.

The company Emerson Process Management intends therefore to certify the management
process activities for the development and configuration of safety related SIS Systems in the
process industry. To show compliance with the standard Emerson Process Management
involved RWTV to perform the independent assessment of the Functional Safety
Management and to issue certificates for various application areas.

An effective assessment in order to meet all requirements for a complete certification

requires the following test segments to be successfully completed:
Functional Safety Management including:

Overall procedures for the process documentation

Project specific documentation

This report covers the fist part of the certification process including the Functional Safety
Management and the overall procedures for the process documentation.

File :Assessment Report Emerson Process V1_0.doc

Report No.: 701-022/2004A Rev.: 1.0
Date: 2005-02-15
Safety Approval Service SAS
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RWTV Systems GmbH

Hbnerstr. 3
D-86150 Augsburg

3 Assessment Requirements
Because of the application area of the Functional Safety Management, the following
standards are relevant:
Functional Safety

IEC 61511-1: 2003

Functional Safety: Safety Instrumented Systems for the Process

Industry Sector
Part 1: General framework, system and hardware requirements

Quality-Management
Laboratoryhandbook SAS,
Version 1.0,
EN 17025

Laboratory-handbook of the lab (RWTV)

General criteria for Laboratories

4 Definitions
SIS
CDV
SIL
HDD
SMP
ORT
SMS
SRS
SVP

Safety Instrumented System

Conceptual Design Procedure
Safety Intigrity Level
Hardware Detailed Design
Safety
Organisation Roles & Tasks
Safety Management System
Safety Requirement Specification
Safety Verification Plan

File :Assessment Report Emerson Process V1_0.doc

Report No.: 701-022/2004A Rev.: 1.0
Date: 2005-02-15
Safety Approval Service SAS
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RWTV Systems GmbH

Hbnerstr. 3
D-86150 Augsburg

5 Requirements of the overall procedures for functional safety

In order to fulfil the requirements of IEC 61511 the overall definitions of procedures are
considered by the assessment of the process documentation.

In most situations, safety is best achieved by an inherently safe process design whenever
practicable, combined, if necessary, with a number of protective systems which rely on
different technologies (chemical, mechanical, hydraulic, pneumatic, electrical, electronic,
programmable electronic, etc.) which address any residual identified risk. Any safety strategy
should consider each individual safety instrumented system in the context of the other
protective systems. To facilitate this approach, the IEC 61511:

requires that a hazard and risk assessment is carried out to identify the overall safety
requirements;

requires that an allocation of the safety requirements to the safety instrumented

system(s) is carried out;

works within a framework which is applicable to all instrumented methods of achieving

functional safety;

details the use of certain activities, such as safety management, which may be
applicable to all methods of achieving functional safety.

File :Assessment Report Emerson Process V1_0.doc

Report No.: 701-022/2004A Rev.: 1.0
Date: 2005-02-15
Safety Approval Service SAS
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RWTV Systems GmbH

Hbnerstr. 3
D-86150 Augsburg

6 Documentation
[M1]
[M2]
[M3]
[M4]
[M5]
[M6]
[M7]
[M8]
[M9]
[M10]
[M11]
[M12]
[M13]
[M14]
[M15]
[M16]
[M17]
[M18]
[M19]
[M20]
[M21]
[M22]
[M23]
[M24]
[M25]
[M26]
[M27]
[M28]
[M29]
[M30]
[M31]
[M32]
[M33]
[M34]

SIS-CDV-001
SIS-CDV-001: SIS Conceptual Design Procedure, Rev.A1
SIS-CDVSIS-CDV-001Att7.2: SIS Engineering Tool - Conceptual Design, Rev.A1
SIS-CDV-004
SIS-CDV-004: SIS Equipment Selection Procedure & Template, Rev.A1
SIS-CDV-005
SIS-CDV-005: SIS Conceptual Design Verification Checklist, Rev.A1
SIS-SIL-001
SIS-SIL-001: SIF Conceptual Design & SIL Calculation Procedure, Rev.A1
SIS-SIL-002
SIS-SIL-002: SIF Conceptual Design & SIL Calculation Checklist, Rev.A1
SIS-HDD-001
SIS-HDD-001: SIS Hardware Detail Design Procedure & Checklist, Rev.A1
SIS-DDD-002
SIS-DDD-002: SIS Acceptance Test Plan (SAT) Procedure and Template, Rev.A1
SIS-DDD-003
SIS-DDD-003: Site Integration Test Plan (SIT) Procedure and Template, Rev.A1
SIS-FDD-001
SIS-FDD-001: SIS Field Equipment Installation Verification Procedure & Checklist,
Rev.A1
SIS-FDD-002
SIS-FDD-002: SIS Field Equipment Commissioning Procedure & Check List, Rev.A1
SIS-HDD-002
SIS-HDD-002: SIS Hardware Installation Procedure & Checklist, Rev.A1
SIS-SMP-001
SIS-SMP-001: SIS Modification Procedure (Pre-delivery) - DeltaV SIS, Rev.A
SIS-SMP-002
SIS-SMP-002: SIS Modification Procedure (Post-delivery) - DeltaV SIS, Rev.A1
SIS-SMP-003
SIS-SMP-003: SIS Modification Procedure (Checklist) - DeltaV SIS, Rev.A1
SIS-SDD-001
SIS-SDD-001: SIS Software Detail Design Procedure & Checklist, Rev.A1
SIS-ORT-001
SIS-ORT-001: SIS Organisation Roles & Tasks, Rev.A1
SIS-ORT-002
SIS-ORT-002: SIS Organisation Roles & Training, Rev.A1
SIS-SMS-001
SIS-SMS-001: Safety Management System, Rev.A1
SIS-SMS-002
SIS-SMS-002: SIS Contractor Selection Procedure, Rev.A1
SIS-SMS-003
SIS-SMS-003: SIS Third Party Equipment Selection Criteria, Rev.A1
SIS-SMS-004
SIS-SMS-004: SIS Approved Tools Selection Criteria, Rev.A1
SIS-SMS-005
SIS-SMS-005: Safety Log, Rev.A1
SIS-SRS-001
SIS-SRS-001: SRS Review Procedure, Rev.A1
SIS-SRS-003
SIS-SRS-003: SRS Production Procedure, Rev.A
SIS-DDV-003
SIS-DDV-003: Safety Instrumented System Hardware and Software Test Procedure
and Checklist, Rev.A1
SIS-Test Safety Instrumented System Testing Strategy
(Discussion Document), Rev.A
SIS-FDD-004
SIS-FDD-004: SIS Validation Acceptance Procedure & Check List, Rev.A1
SIS-HDD-003
SIS-HDD-003: SIS Hardware Inspection and Test Procedure & Checklist, Rev.A1
SIS-SDD-002
SIS-SDD-002: Project Typical Implementation and Testing Procedure, Rev.A1
SIS-SDD-003
SIS-SDD-003: Software Implementation And Testing Procedure Template & Checklist,
Rev.A1
SIS-SVP-001
SIS-SVP-001: Safety Verification Plan Procedure, Rev.A2
SIS-SVP-002
SIS-SVP-002: Safety Verification Plan Template, Rev.A1
SIS-SVP-003
SIS-SVP-003: SIS Check and Review Procedure, Rev.A1

File :Assessment Report Emerson Process V1_0.doc

Report No.: 701-022/2004A Rev.: 1.0
Date: 2005-02-15
Safety Approval Service SAS
Page 7 of 9

RWTV Systems GmbH

Hbnerstr. 3
D-86150 Augsburg

7 Assessment of the overall procedures for process documentation

7.1 Review of the overall process descriptions
The documents listed in clause 4 have been discussed and reviewed to verify compliance to
the overall requirements for functional safety documentation according to IEC 61511.
Based on the set of requirements RWTV, Safety Approval Service, has evaluated whether
the implemented procedures to cover the functional safety aspects are sufficient to meet the
requirements.

The document reviews also includes an interview based conference held on December 10th,
2004 where the overall procedures and functional safety aspects were discussed with
Emerson Process Management.
Together with the customer the following specific aspects were discussed and were reviewed
in the overall process documentation:

Organisation roles and tasks

Hazard and risk assessment

Safety requirements specification

Safety instrumented system design

Safety integrity level verification

SIS software design

SIS software verification

SIS factory acceptance test

SIS installation and commissioning

SIS validation

SIS modification

As stated in IEC 61511:2003 the performance of a hazard and risk analysis is an end user
requirement and as such is specifically excluded from Emerson Process Management scope
of supply.

File :Assessment Report Emerson Process V1_0.doc

Report No.: 701-022/2004A Rev.: 1.0
Date: 2005-02-15
Safety Approval Service SAS
Page 8 of 9

RWTV Systems GmbH

Hbnerstr. 3
D-86150 Augsburg

7.2 Review of functional safety management requirements according to IEC 61511

For the detailed analysis of procedural arguments and evidence relating to functional safety
management, Emerson Process Management employed the exida SafetyCase DB tool to
show compliance with the standard. The SafetyCaseDB tool has a pre-inserted database
interpreted from the mandatory requirements of IEC 61511. The list of requirements in the
database was previously reviewed by RWTV for deviation in sections and completeness
with respect to IEC 61511.
Using the tool Emerson Process Management has given arguments according each listed
requirement for how a specific requirement is covered, and which documents are involved as
backup evidence. The arguments and related documents have been reviewed by RWTV.

File :Assessment Report Emerson Process V1_0.doc

Report No.: 701-022/2004A Rev.: 1.0
Date: 2005-02-15
Safety Approval Service SAS
Page 9 of 9

RWTV Systems GmbH

Hbnerstr. 3
D-86150 Augsburg