STANDARDS & RISK ANALYSIS - PDF Free Download

STANDARDS & RISK ANALYSIS Asansör Istanbul 2015

Today s presentation 1) Historical background 2) Information regarding the risk assessment 3) example concerning EN81-77 4) Questions? Please leave all questions for the end of the presentation

Background Since the beginning, in the safety topic, the EU proceeded to develop legislative and regulatory activity in order to, among the other: 1) adopt measures to harmonize the legislation of the Member States and ensure equal minimum levels of safety of products placed on the market 2) prevent obstacles to the research and development on products through rigid and not flexible provisions

EU Directives Also for this reason, since the end of 80 of the last century, the European directives are not based on rigid requirements but rather indicate the essential health and safety requirements (EHSRs) that products must meet in order to be placed on the market Why? Which was the situation before?

Example in the lift topic In the directive n. 84/529/EEC modified from Directive 90/486/EEC (superseeded by 95/16/EC) there was a direct reference to 2 standards: EN 81-1 and EN 81-2

Council Directive 90/486/EEC of 17 September 1990 in Annex I: (a) section 1 is replaced by the following: 1. The appliances.. must comply with the following standards adopted by the European Committee for Standardization (CEN): - EN 81-1 (edition: December 1985). Safety rules for the construction and installation of lifts and service lifts. Part 1: Electric lifts. - EN 81-2 (edition: November 1987). Safety rules for the construction and installation of lifts and service lifts. Part 2: Hydraulic lifts.

As direct consequence For example If the machine room is expected, is necessary (compulsory) to provide it If the access doors of the machine room shall have a minimum height of 2,00 m, is compulsory to provide this minimum dimension If in the machine room shall be provided at least a clear height of 2,1 m at working areas, is compulsory to provide 2,1 m clear height at working areas

Considerations Which is the ratio of the problems faced and the solutions proposed by the standards? It is necessary to introduce the concepts of risk, hazard and risk assessment The method described is deduced from the method EN ISO 14798:2013

Risk and hazard First of all, risk and hazard are the same? For example, considering a knife, is correct to say: be careful, the knife is hazardous! pay attention, the knife is risky! or one the previous sentences is not completely correct?

Risk and hazard All of us know that risk and hazard haven t the same meaning, sense Hazard = potential source of harm Risk = combination of the probability of occurrence of harm and the severity of that harm

The knife is hazardous We can say without any doubt that the knife is an hazard because it is a potential source of harm Is it sure that it will bring an harm? If we had a knife here, on the table, it would be almost certain that at the end of my speech the knife is remained in that position and has not caused any harm to anyone

The knife What would happen if here, instead of us, there were children of 3-5 years, with no adult to supervise them? It would be more probable that the knife will cause an harm

Probability and severity For this reason, in terms of safety, it is very important to identify the hazards present in the situation we are analyzing, but it is extremely necessary to introduce something else: probability and severity (level of potential harm)

Probability and severity The risk is function of the probability and severity Probability Severity Risk

Let s go back to the knife on the table What can we do in the situation of a knife on the table, with children of 3-5 years, with no adult to supervise them? Let s do a a risk analysis

Risk analysis Identify the hazard (or hazardous situation): the knife with the tip and with the sharp blade What is the cause of the possible harm? Children of 3-5 years playing in the room with no adult to supervise them What is the effect? A child of 3-5 year, playing with the knife, cause an harm to himself or to a friend of him

Risk analysis We can summarize what we have done, till now, in this table Hazard (Hazardous Situation) A knife with the tip and with the sharp blade on the table (cause) Children of 3-5 years playing in the room with no adult to supervise them Harmful event (effect) A child of 3-5 year, playing with the knife, cause an harm to himself or to a friend of him Now, let s have new questions: Which kind of harm? Which kind of probability?

Estimation of risk elements Hazard (Hazardous Situation) Harmful event (cause) (effect) S (severity) A knife with the Children of 3-5 A child of 3-5 tip and with the sharp blade on the table years playing in the room with no adult to supervise them year, playing with the knife, cause an harm to himself or to a friend of him Estimation of risk elements High, Medium, Low? P (probability) High, Medium, Low?

Severity The level of severity of harm that can occur in a scenario should be estimated by considering possible effects on human life (persons), property, the environment, or other factors as appropriate as being one of the following: level 1 high level 2 medium level 3 low level 4 negligible Note that, when estimating the level of harm, should be taken into account the nature of what is affected, in terms of 1) persons 2) property 3) environment and 4) other factors as appropriate

Levels of severity Level of severity Description 1 High Death, system loss, or severe environmental damage 2 Medium Severe injury, severe occupational illness, or major system or environmental damage 3 Low Minor injury, minor occupational illness, or minor system or damage 4 Negligible Does not result in injury, occupational illness, or system or environmental damage

Probability The probability of occurrence of harm can be estimated by taking into account the factors Probability of occurrence of a scenario Frequency and duration of exposure to hazard Possibilities of affecting, avoiding or limiting harm

Probability For this risk assessment methodology, the level of probability of occurrence of harm should be estimated as one of the following: a) level A highly probable b) level B probable c) level C occasional d) level D remote e) level E improbable f) level F highly improbable

Levels of probabilities Level of probability A Highly probable B Probable C Occasional D Remote E Improbable F Highly improbable Description Likely to occur frequently in the life cycle Likely to occur several times in the life cycle Likely to occur at least once in the life cycle Unlikely but may possibly occur in the life cycle Very unlikely to occur in the life cycle Probability cannot be distinguished from zero

Level of severity 1 High Description Death, system loss, Estimation of risk elements or severe environmental damage 2 Medium Severe injury, severe occupational illness, or major system or environmental damage 3 Low 4 Negligible Minor injury, minor occupational illness, or minor system or damage Does not result in injury, occupational illness, or system or environmental damage Hazard (Hazardous Situation) A knife with the tip and with the sharp blade on the table Harmful event Estimation of risk elements (cause) (effect) S P Children of 3-5 years playing in the room with no adult to supervise them Level of probability A Highly probable B Probable C Occasional D Remote A child of 3-5 year, playing with the knife, cause Description an harm to himself or to a friend of him Likely to occur frequently in the life cycle Likely to occur several times in the life cycle Likely to occur at least once in the life cycle Unlikely but may possibly occur in the life cycle (severity) (probability) 1 B Do you think acceptable? E Improbable Very unlikely to occur in the life cycle Paolo Tattoli F Highly improbable Probability cannot Istanbul be distinguished Mar 2015 from zero

Risk estimation and evaluation Level of severity Level of probability 1 High 2 Medium 3 Low 4 Negligible A Highly probable 1A 2A 3A 4A B Probable 1B 2B 3B 4B C Occasional 1C 2C 3C 4C D Remote 1D 2D 3D 4D E Improbable 1E 2E 3E 4E F Highly improbable 1F 2F 3F 4F Risk group Risk levels Measure to be taken I 1A, 1B, 1C, 1D, 2A, 2B, 2C, 3A, 3B Protective measures required to reduce the risks II 1E, 2D, 2E, 3C, 3D, 4A, 4B Review is required to determine whether any further protective measure is appropriate, taking into account the practicability of the solution and societal values (a) III 1F, 2F, 3E, 3F, 4C, 4D, 4E, 4F No action required (a) Society will not tolerate some specific risks. Further measures can make use, service, etc., of the lift impractical or impossible

The first question of the Preventors If the risk is not acceptable, we have to introduce something to reduce the risk to an acceptable level But, first of all, which is the first question that the Preventors should do? The first question shall be: is possible to eliminate the hazard? the answer to this question, probably in 99% of cases, is no, but we have to make it

Reduction of the risk If is not possible to eliminate the hazard, is necessary to reduce it to a safety level We have to introduce protective measures From EN ISO 14798 Protective measures: means used to reduce risk NOTE: Protective measures include risk reduction by inherently safe design, protective devices, personal protective equipment, information for use and installation and training

Protective measures Hazard (Hazardous Situation) A knife with the tip and with the sharp blade on the table Estimation of risk Harmful event elements (cause) (effect) S P Children of 3-5 years playing in the room with no adult to supervise them A child of 3-5 year, playing with the knife, cause an harm to himself or to a friend of him (severity) (probability) 1 B Protective measures (risk reduction measure) Put the knife into the drawer What does it change?

Protective measures If we put the knife into the drawer we change something at the probability level but not at the severity level = because the knife is ever the same and if a child will find it in the drawer the consequence will be exactly the same (death)

Death, system loss, Protective or severe environmental measures damage 2 Hazard (Hazardous Situation) Level of severity 1 High Medium 3 Low 4 Negligible Description Severe injury, severe occupational illness, or major system or environmental damage Minor injury, minor occupational illness, Estimation of risk Harmful event After protective or minor system or damage elements Protective measures measures Does not result in injury, occupational illness, (cause) or system or environmental (effect) damage S P S P (risk reduction measure) A knife with the tip and with the sharp blade on the table Children of 3-5 years playing in A child of 3-5 year, playing the room with the with no knife, adult to cause an supervise harm to Level them of probability himself or A Highly probable to a friend of him B Probable 1 B Description Likely to occur frequently in the life cycle Likely to occur several times in the life cycle Put the knife into the drawer 1 C C Occasional D Remote E Improbable Likely to occur at least once in the life cycle Unlikely but may possibly occur in the life cycle Very unlikely to occur in the life cycle Paolo Tattoli F Highly improbable Probability cannot Istanbul be distinguished Mar 2015 from zero

Protective measures and Residual risk Hazard (Hazardous Situation) Harmful event Estimation of risk elements Protective measures (risk reduction measure) After protective measures (cause) (effect) S P S P Residual risk A knife with the tip and with the sharp blade on the table Children of 3-5 years playing in the room with no adult to supervise them A child of 3-5 year, playing with the knife, cause an harm to himself or to a friend of him Level of probability 1 B Put the knife into the drawer Level of severity 1 High 2 Medium 3 Low 4 Negligible A Highly probable 1A 2A 3A 4A B Probable 1B 2B 3B 4B C Occasional 1C 2C 3C 4C D Remote 1D 2D 3D 4D E Improbable 1E 2E 3E 4E Paolo Tattoli F Highly improbable Istanbul 1F Mar 2015 2F 3F 4F 1 C The child open the drawer and find the knife Is it acceptable?

Protective measures and Residual risk If the risk is not acceptable, then we have to repeat the process and introduce new protective measures Society does not tolerate some specific risks. Further measures can make use, service, etc., impractical or impossible EN81-20 provides that Example in the lift topic... in the machine room shall be provided at least a clear height of 2,10 m at working areas

Example Hazard (Hazardous Situation) Harmful event Estimation of risk elements Protective measures (risk reduction measure) After protective measures (cause) (effect) S P S P Residual risk Approach of a person to a fixed part Level of severity 1 High Competent person has to go into the machine room for inspecting the lift Description Death, system loss, or severe environmental Level damage of probability The head of the competent person collides on the ceiling of the machine room Description 2 A 2 Medium Severe injury, severe occupational A Highly illness, probable or major system or environmental damage Likely to occur frequently in the life cycle B Probable Likely to occur several times in the life cycle 3 Minor injury, minor occupational illness, Level of severity LowLevel of probability C Occasional Likely to occur at least once in the life cycle or minor system or damage 1 High 2 Medium 3 Low 4 Negligible D Remote Unlikely but may possibly occur in the life cycle A Highly 4 probable Does not result in injury, occupational 1A illness, 2A 3A 4A Negligible B Probable or system or environmental E damage Improbable 1B 2B Very unlikely to occur in the life cycle 3B 4B C Occasional F Highly improbable 1C 2C Probability cannot be distinguished from zero 3C 4C The machine room shall be provided at least a clear height of 2,10 m at working areas 2 E D Remote Paolo Tattoli 1D 2D 3D 4D Istanbul Mar 2015 E Improbable 1E 2E 3E 4E F Highly improbable 1F 2F 3F 4F If the competent person is higher then 2,10 m collides with the ceiling of the m.r. Ergonomic human measures, experience, other standards

Example This sentence will be part of the standard Hazard (Hazardous Situation) Harmful event Estimation of risk elements Protective measures (risk reduction measure) After protective measures (cause) (effect) S P S P Residual risk Approach of a moving element to a fixed part Competent person has to go into the machine room for inspecting the lift and the clear height of the working areas are too small The head of the competent person collides on the ceiling of the machine room 2 A The machine room shall be provided at least a clear height of 2,10 m at working areas 2 E If the competent person is higher then 2,10 m collides with the ceiling of the m.r. Paolo Tattoli

Standards development The process to prepare the content of the standard can be summarized: The CEN experts work and develop a risk assessment for all the hazards and hazardous situations correlated with the situation or product under studying

If the standard is compulsory, as direct consequence all the provisions of the standard are compulsory For example The access doors of the machine room shall have a minimum width of 0,60 m and a minimum height of 2,00 m The machine room shall be provided at least a clear height of 2,10 m at working areas

ESR are compulsory, not the standards If the standards are compulsory, so is very difficult to permit research and development on products The only way to avoid this block of the system is that the legislator provides as NOT compulsory the outcomes of the risk assessment (so the standards are not compulsory) and to identify and provide the basic, essential health and requirements of safety (EHSRs) that must be taken into account when designing and installing a lift (but this applies to all products to be placed on the market in EU) and consider these EHSRs as compulsory

DIRECTIVE 2014/33/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 26 February 2014 on the harmonisation of the laws of the Member States relating to lifts and safety components for lifts OBLIGATIONS OF ECONOMIC OPERATORS Article 7 Obligations of installers 1. When placing a lift on the market, installers shall ensure that it has been designed, manufactured, installed and tested in accordance with the essential health and safety requirements set out in Annex I

ANNEX I ESSENTIAL HEALTH AND SAFETY REQUIREMENTS Example 1.2. Carrier The carrier of each lift must be a car. This car must be designed and constructed to offer the space and strength corresponding to the maximum number of persons and the rated load of the lift set by the installer. Where the lift is intended for the transport of persons, and where its dimensions permit, the car must be designed and constructed in such a way that its structural features do not obstruct or impede access and use by disabled persons and so as to allow any appropriate adjustments intended to facilitate its use by them. Is not specified how to do a car/carrier but are described the requirements to consider safe a carrier

ANNEX I ESSENTIAL HEALTH AND SAFETY REQUIREMENTS Example 1.5. Machinery 1.5.1. All passenger lifts must have their own individual lift machinery. This requirement does not apply to lifts in which the counterweights are replaced by a second 1.5.2. The installer must ensure that the lift machinery and the associated devices of a lift are not accessible except for maintenance and in emergencies. Is not specified that the machine room is compulsory but are described the requirements for the safety of the machinery

The harmonized standards are the summary of the risk assessment developed from European experts coming from all the national standardization bodies (UNI in Italy, AFNOR in France, AENOR in Spain, ) to meet one or more EHSRs of the directive represent the minimum safety level to be adopted to fulfill the ESR are so called when, approved by CEN, are published from a NSB and on the OJ of the EU Let s look to an example

Subject Title EN 81-77 Safety rules for the construction and installation of lifts Particular applications for passenger and goods passenger lifts Part 77: Lifts subject to seismic conditions Scope This European Standard specifies the special provisions and safety rules for passenger and goods passenger lifts where these lifts are installed in buildings complying with EN 1998 (Eurocode8). [Note: Complying means new buildings or old buildings seismic-retrofitted]

Risks to consider In areas subject to earthquake, means shall be provided to minimize the risk to users, when inside the LCU and authorized persons, of the foreseeable effects of earthquakes on the lift equipment. NOTE: The effects on the safety of users and authorized persons need to be considered at all stages: during the earthquake (as much as possible), during rescue from a stalled LCU, and when the lift is returned to normal operation. This assumes that there is no major building failure. At the beginning of our discussion

Risk assessment WT5 carried out (developed) a specific risk assessment taking into account 1) information coming from researches on the argument (damages on lifts, frequency, other important parameters, etc.) 2) existing documents (A17 std, Japanese guide, New Zealand std, etc.) already available 3) experience and professionalism of experts Severity level\ 1 2 3 4 P L r e o v b e a l b i l. A B C D E F Risk estimation and evaluation table

The aim of the standard is to: avoid loss of life and reduce the extent of injury avoid people trapped in the lift avoid equipment damage avoid environmental problems reduce the number of lifts out of service Main points, issues taken into consideration since the beginning of our work

Example of seismic damages Entrance (landing doors) Traction Machine Movement Control Panel Falling Car derailing to have an idea about the problems (HAZARDS) connected with seismic conditions and the solution proposed (good practice) Counterweight or balancing weight derailing Counterweight or balancing weight block fall Rope (traveling cable) entwinement Governor rope breaking Landing switch breakage (well deformation)

Preparing and updating the Risk assessment permitted us to prepare the standard contents Case No. Hazard (Hazardous Situation) (cause) Harmful event (effect) Estimation of risk elements Protective measures (risk reduction measure) After protective measures S P S P Residual risk 9 Persons in the car during earthquake and car is running at nominal speed and car above the position of the counterweight Weight block of the counterweight come out from the counterweight frame Block fall down in the pit and/or the pit is situated above a space accessible to persons The friction is lost 1 C The counterweight must be designed in such a way that the movement of the weight block outside the frame is totally prevented 1 F Comment: In this case we have mechanical damage of the equipment and damage of the user. The block could damage the governor tension sheave and let the safety gear not able to work. This with the leaving of the friction could be very dangerous. The car could fall down except if the safety gear works (see case number 10) Risk estimation and evaluation table Severity level\ 1 2 3 4 P L r e o v b e a l b i l. A B C D E F

Example of damage Car, counterweight, balancing weight move out from guide rails 1 2 P. 1 e 2 from: Terremoto in Umbria, gli effetti sugli ascensori; Elevatori, March-April 1998

Example of damage Car, counterweight, balancing weight move out from guide rails 2 11 P. 1, 2, 3: electric lifts installed in L Aquila 3

Guide rail system The guide rail stiffness must be increased The guide rails, their joints and attachments shall comply with requirements of EN 81-1 and EN 81-2 and they shall also withstand the loads and forces generated by the design acceleration (ad)

Retaining devices For some defined lift categories as protection measure for car and counterweight (or balancing weight) shall be provided retaining devices able to hold the frame on its guide rails

Example of damage Machinery and main equipment in the machinery space overturns and/or is displaced as a result of seismic forces 1 2 P.1, 2: electric lift installed in L Aquila

Example of damage Machinery and main equipments in the machine room overturns and/or is displaced as a result of seismic forces 1 2 P. 1 from: Terremoto in Umbria, gli effetti sugli ascensori; Elevatori, Marzo-Aprile 1998 P. 2: : electric lift installed in L Aquila

Machinery Machinery, pulleys, and other devices i.e. overhead beams and supports, rope attachments, overspeed governor, tension pulley, compensation ropes tension devices, shall be anchored to prevent overturning and displacement as a result of the forces imposed on them including forces generated by the design acceleration (ad)

Example of damage Hydraulic machine overturns and hoses are displaced as a result of seismic forces 2 1 P. 1 e 2: hydraulic lift installed in L Aquila

Machinery Hydraulic machine shall be designed and anchored to prevent overturning and hoses shall be anchored to prevent displacement as a result of the forces imposed on them including forces generated by the design acceleration (ad) Hydraulic lifts shall preferably use flexible pipe work but where the use of rigid pipe is essential it shall use flexible pipe at the end of each rigid length

Example of damage Weight blocks of the counterweight or balancing weight coming out from the frame 1 2 P. 1 from: Aesismic Design Guideline For Elevators in Japan; Japan Elevator Assosiacion, 25 Apr. 2008 P. 2 from: From the Wenchuan Seism: Statistics & Analysis of Elevator Dameges in Xi an; Elevator World, November 2008

If the counterweight or the balancing weight incorporates filler weights, necessary measures shall be taken to prevent their movement outside the frame

Principles for a correct safety integration eliminate or reduce risks as far as possible take the necessary protective measures in relation to risks that cannot be eliminated, inform users of the residual risks due to any shortcomings of the protective measures adopted, indicate whether any particular training is required and specify any need to provide personal protective equipment try and try again

Conclusion Harmonised standards provide technical specifications that enable machinery manufacturers to comply with the EHSRs Since harmonised standards are developed and adopted on the basis of a consensus between the interested parties, their specifications provide a good indication of the state of the art at the time they are adopted The evolution of the state of the art is reflected in later amendments or revisions of harmonised standards

Some warnings cooncerning risk assessment Be more then one But not too many Not all at once Let decant, deposit Try and try again Paolo Tattoli Valutazione dei rischi 62

Thanks you for your attention Any questions? p.tattoli@libero.it