Risk-Based Inspection

Risk-Based Inspection 

Downstream Segment 

API RECOMMENDED PRACTICE 580 

SECOND EDITION, NOVEMBER 2009 

基于风险的检验 - 下游段 

2014 年内部培训 

中国固有领土 : 钓鱼岛 

Facilitators: 

Charlie Chong/ Fion Zhang/

中国固有领土 : 钓鱼岛

基于风险的检验 - 下游段

查理 / 菲帆

API 580 

Charlie Chong/ Fion Zhang 

RBI 基于风险的检验 

风险评估和管理过程 . 这些风险 

主要通过设备检查管理 , 专注于 

加压设备因材料变质导致溶液 

流失 .

什么是基于风险检验 RBI? 

好的设备 → 使用环境导致损伤机理的启动 → 时间 ( 非时间敏感 - 情况 ) 导致 

损伤恶化 → 失效模式 → 故障情景 ( 一个或多个 ) 

前面三个能量化 ( 失效概率 ), 后面两个个也能量化 ( 故障结果 ) 

把失效概率与故障结果严峻性组合 → 风险 ( 风险 = 故障结果 x 失效概率 ) 

RBI 最终目标是什么 ? → 降低风险到可接受水平 

如何降低风险 ? → 缓解活动 

检验不能直接影响失效概率与故障结果 , 

如何在这里带来作用 ? 

检验能提供失效概率需要 

的正确数据 , 减少不确定性 , 

从而减少设备风险 !

Foreword

Foreword 诸言 

This recommended practice (RP) is intended to provide guidance on developing 

a risk-based inspection (RBI) program for fixed equipment and piping in the 

hydrocarbon and chemical process industries. It includes: 

— what is RBI, 什么是 .RBI. 

— what are the key elements of RBI, 什么是 RBI 关键要素 . 

— how to implement an RBI program, 如何实现 RBI. 

— how to sustain an RBI program. 如何维持 RBI. 

It is based on the knowledge and experience of engineers, inspectors, risk 

analysts, and other personnel in the hydrocarbon and chemical industry.

API 580 旨在补充 API 510, API 570, and API 653; 

宽容度来规划的检查策略 , 允许业主 / 用户增加或减少规范指定的检验频率和活动 

This RP is intended to supplement API 510, API 570, and API 653. These API 

inspection codes and standards allow an owner/user latitude to plan an 

inspection strategy and increase or decrease the code designated inspection 

frequencies and activities based on the results of an RBI assessment. The 

assessment must systematically evaluate both the probability of failure (POF) 

and the associated consequence of failure (COF). The POF assessment 

should be evaluated by considering all credible damage mechanisms. Refer to 

the appropriate code for other RBI assessment requirements. This RP is 

intended to serve as a guide for users in properly performing such an RBI 

assessment.

Contents 

1 Purpose 

1.1 General 

1.2 RBI Benefits and Limitations 

1.3 Using RBI as a Continuous Improvement Tool 

1.4 RBI as an Integrated Management Tool 

2 Scope 

2.1 Industry Scope 

2.2 Flexibility in Application 

2.3 Mechanical Integrity Focused 

2.4 Equipment Covered 

2.5 Equipment Not Covered 

2.6 Target Audience 

3 Normative References 

4 Terms, Definitions, Acronyms, and Abbreviations 

4.1 Terms and Definitions 

4.2 Acronyms and Abbreviations

5 Basic Risk Assessment Concepts 

5.1 What is Risk? 

5.2 Risk Management and Risk Reduction 

5.3 The Evolution of Inspection Intervals/Due Dates 

5.4 Overview of Risk Analysis 

5.5 Inspection Optimization 

5.6 Relative Risk vs Absolute Risk 

6 Introduction to Risk-Based Inspection 

6.1 Key Elements of an RBI Program 

6.2 Consequence and Probability for RBI 

6.3 Types of RBI Assessment 

6.4 Precision vs Accuracy 

6.5 Understanding How RBI Can Help to Manage Operating Risks 

6.6 Management of Risks 

6.7 Relationship Between RBI and Other Risk-Based and Safety Initiatives 

6.8 Relationship with Jurisdictional Requirements

7 Planning the RBI Assessment 

7.1 Getting Started 

7.2 Establishing Objectives and Goals of an RBI Assessment 

7.3 Initial Screening 

7.4 Establish Operating Boundaries 

7.5 Selecting a Type of RBI Assessment 

7.6 Estimating Resources and Time Required 

8 Data and Information Collection for RBI Assessment 

8.1 General 

8.2 RBI Data Needs 

8.3 Data Quality 

8.4 Codes and Standards—National and International 

8.5 Sources of Site Specific Data and Information 

9 Damage Mechanisms and Failure Modes 

9.1 Introduction 

9.2 Damage Mechanisms 

9.3 Failure Modes 

9.4 Accumulated Damage 

9.5 Tabulating Results

10 Assessing Probability of Failure 

10.1 Introduction to Probability Analysis 

10.2 Units of Measure in the POF Analysis 

10.3 Types of Probability Analysis 

10.4 Determination of POF 

11 Assessing Consequences of Failure 

11.1 Introduction to Consequence Analysis 

11.2 Types of Consequence Analysis 

11.3 Units of Measure in Consequence Analysis 

11.4 Volume of Fluid Released 

11.5 Consequence Effect Categories 

11.6 Determination of Consequence of Failure

12 Risk Determination, Assessment, and Management 

12.1 Purpose 

12.2 Determination of Risk 

12.3 Risk Management Decisions and Acceptable Levels of Risk 

12.4 Sensitivity Analysis 

12.5 Assumptions 

12.6 Risk Presentation 

12.7 Establishing Acceptable Risk Thresholds 

12.8 Risk Management

13 Risk Management with Inspection Activities 

13.1 Managing Risk by Reducing Uncertainty Through Inspection 

13.2 Identifying Risk Management Opportunities from RBI Results 

13.3 Establishing an Inspection Strategy Based on Risk Assessment 

13.4 Managing Risk with Inspection Activities 

13.5 Managing Inspection Costs with RBI 

13.6 Assessing Inspection Results and Determining Corrective Action 

13.7 Achieving Lowest Life Cycle Costs with RBI

14 Other Risk Mitigation Activities 

14.1 General 

14.2 Equipment Replacement and Repair 

14.3 Evaluating Flaws for Fitness-For-Service 

14.4 Equipment Modification, Redesign, and Rerating 

14.5 Emergency Isolation 

14.6 Emergency Depressurizing/Deinventorying 

14.7 Modify Process 

14.8 Establish Integrity Operating Windows 

14.9 Reduce Inventory 

14.10 Water Spray/Deluge 

14.11 Water Curtain 

14.12 Blast-resistant Construction 

14.13 Others

15 Reassessment and Updating RBI Assessments 

15.1 RBI Reassessments 

15.2 Why Conduct an RBI Reassessment? 

15.3 When to Conduct an RBI Reassessment 

16 Roles, Responsibilities, Training, and Qualifications 

16.1 Team Approach 

16.2 Team Members, Roles, and Responsibilities 

16.3 Training and Qualifications for RBI Application 

17 RBI Documentation and Recordkeeping 

17.1 General 

17.2 RBI Methodology 

17.3 RBI Personnel 

17.4 Time Frame 

17.5 Basis for the Assignment of Risk 

17.6 Assumptions Made to Assess Risk 

17.7 Risk Assessment Results 

17.8 Mitigation and Follow-up 

17.9 Applicable Codes, Standards, and Government Regulations

18 Summary of RBI Pitfalls 

18.1 General 

18.2 Planning 

18.3 Data and Information Collection 

18.4 Damage Mechanisms and Failure Modes 

18.5 Assessing POF 

18.6 Assessing Consequence of Failure 

18.7 Risk Determination, Assessment, and Management 

18.8 Risk Management with Inspection Activities 

18.9 Other Risk Management Activities 

18.10 Reassessment and Updating RBI Assessment 

18.11 Roles, Responsibilities, Training, and Qualifications for RBI Team 

Members 

18.12 RBI Documentation and Recordkeeping

Figures 

1 Management of Risk Using RBI. 

2 Risk Plot. 

3 Continuum of RBI Approaches. 

4 Risk-Based Inspection Planning Process. 

5 Determination of Consequence of Failure. 

6 Example of Calculating the Probability of a Specific Consequence. 

7 Example Risk Matrix Using Probability and Consequence Categories to 

Display Risk Rankings. 

8 Risk Plot when Using Quantitative or Numeric Risk Values. 

Tables 

1 Three Levels of POF. 

2 Six Levels of POF. 

3 Six Level Table. 

4 Three Level Safety, Health, and Environmental Consequence Categories. 

5 Six Level Safety, Health, and Environmental Consequence Categories.

Introduction 

API 580 

Charlie Chong/ Fion Zhang

Introduction 

This recommended practice (RP) provides 

information on using risk analysis to 

develop an effective inspection plan. 

The output of the inspection planning 

process conducted according to these 

guidelines should be an inspection plan 

for each equipment item analyzed that 

includes: 

a) inspection methods that should be used, 

b) extent of inspection (percent of total 

area to be examined or specific 

locations), 

c) inspection interval or next inspection 

date (timing), 

d) other risk mitigation activities, 

e) the residual level of risk after inspection 

and other mitigation actions have been 

implemented.

API 580 利用风险分析 , 以制定有效的检查计划 . 

检查计划过程的输出应该是一个对每个被 

分析设备的详细检验计划 , 其内容包括 

a) 检查方法 , 

b) 检查的范围 ( 总面积的百分比或位置 ), 

c) 检查间隔或下一个检验日期 ( 时间 ), 

d) 其他风险缓解活动 , 

e) 检查与其他已经实施减排措施后的风险残 

留量

RBI is synonymous 同义 with 

• risk-prioritized inspection, 

• risk-informed inspection and with 

• inspection planning using risk 

based methods.

1 Purpose 目的 .

Contents 

1 Purpose 

1.1 General 

1.2 RBI Benefits and Limitations 

1.3 Using RBI as a Continuous Improvement Tool 

1.4 RBI as an Integrated Management Tool

1.1 General 

The purpose of this document is to provide users with the basic elements for 

developing, implementing, and maintaining a risk-based inspection (RBI) 

program. It provides guidance to owners, operators, and designers of 

pressure-containing equipment for developing and implementing an 

inspection program. These guidelines include means for assessing an 

inspection program and its plan. The approach emphasizes safe and reliable 

operation through risk-prioritized inspection. A spectrum of complementary 

risk analysis approaches (qualitative through fully quantitative) can be 

considered as part of the inspection planning process. RBI guideline issues 

covered include an introduction to the concepts and principles of RBI for risk 

management; and individual sections that describe the steps in applying 

these principles within the framework of the RBI process include:

It provides guidance to (1) owners, (2) operators, and (3) designers of 

pressure-containing equipment for developing and implementing an inspection 

program. 

guidance to ≠ Inspector ≠ Process Specialist≠ Corrosion & Material 

Specialist.

Principles within the framework of the RBI process include: 框架内的原则 

a) understanding the design premise; 了解设计的前提 

b) planning the RBI assessment; 策划 RBI 评估 

c) data and information collection; 数据和信息收集 

d) identifying damage mechanisms and failure modes; 

确定损伤机理和失效模式 

e) assessing probability of failure (POF); 失效概率评估 

f) assessing consequences of failure (COF); 失效后果评估 

g) risk determination, assessment, and management; 风险确定 , 评估和管理 

h) risk management with inspection activities and process control; 

通过 , 检验活动和过程控制的风险管理 

i) other risk mitigation activities; 其他风险缓解活动 

j) reassessment and updating; 重新评估和更新 

k) roles, responsibilities, training, and qualifications; 

角色 , 职责 , 培训和资格 

l) documentation and recordkeeping. 文件和记录

RBI 过程预期成果 : The expected 

outcome from the application of the RBI 

process should be the linkage of risks 

with appropriate inspection, process 

control or other risk mitigation activities 

to manage the risks. 评估得到风险与下述 

的缓解方法来管理风险 

• appropriate inspection 适当的检查 , 

• process control 过程控制 or 

• other risk mitigation activities 其他风险缓解活动 .

(1) appropriate inspection 适当的检查 , (2) process control 

过程控制 or other risk mitigation activities 

其他风险缓解活动 .

The RBI process 能够产生的 is capable of generating: 

1. a ranking by relative risk of all equipment evaluated; 

所有设备的相对危险度评价的排名 

2. a detailed description of the inspection plan to be employed for each 

equipment item, including: 每个设备的详细检查计划 

• inspection method(s) that should be used [e.g. visual, ultrasonic (UT), 

radiography, wet florescent magnetic particle]; 合适的无损探伤方法 

• extent of application of the inspection method(s) (e.g. percent of total area 

examined or specific locations); 检验深度 ( 面积 / 位置 ) 

• timing of inspections/examinations (inspection intervals/due dates); 

间隔 / 时间 

• risk management achieved through implementation of the inspection plan; 

通过实施检查计划的实现管理风险

3. a description of any other risk mitigation activities 

[such as repairs, replacements or safety equipment upgrades, equipment 

redesign or maintenance, integrity operating windows (IOWs), and controls 

on operating conditions]; 

任何其他风险缓解活动 : 如修理 , 更换 , 安全设备的更新 , 重新设计 , 维修设备 , 过程 

控制与作业范围 IOW 维护 . 

4. the expected risk levels of all equipment after the inspection plan and other 

risk mitigation activities have been implemented; 

预期遗留风险水平的认识 

5. identification of risk drivers. 识别风险激发因素

任何其他风险缓解活动 : (1) 设备维修 / (2) 

更新 / (3) 安全设备提升或更换 , (4) 重新设 

计 , (5) 维护 , (6) 完整作业窗口 , (7) 作业过 

程控制 .

RBI 过程预期成果 

(1) 所有设备的相对 

危险度评价的排名







RBI 过程预期成果 (2) 

每个设备的详细检查 

计划 

API 580 



每个设备的详细检查计划

RBI 过程预期成果 (2) 每个设备的详细检查计划







RBI 过程预期成果 3) 

任何其他风险缓解活动 . 

任何其他风险缓解活动 : 如修理 , 

更换 , 安全设备的更新 , 重新设 

计 , 维修设备 , 过程控制与作业 

范围 IOW 维护 .


任何其他风险缓解活动 .












• (4) 遗留预期风险水平 

• (5) 识别风险激发因素

1.2 RBI Benefits and Limitations 优点和局限性 

The primary work products of the RBI assessment and management approach 

are plans that address ways to manage risks on an equipment level. These 

equipment plans highlight risks from a (1) safety/ (2) health/ (3) environment 

perspective and/or from an (4) economic standpoint. RBI plans should 

include cost-effective actions along with a projected risk mitigation. 

Implementation of these plans provides one of the following: 计划应包括成 

本效益的行为与预计风险缓解并用 

a) an overall reduction in risk for the facilities and equipment assessed, 

风险整体减少 

b) an acceptance/understanding of the current risk. 

能接受的 / 理解当前风险

RBI plans should include (A) cost-effective actions along with a (B) projected risk 

mitigation. 

a) an overall reduction in risk for the facilities and equipment assessed, 

风险整体减少 

b) an acceptance/understanding of the current risk. 


RBI Benefits and Limitations

RISK Factors 风险因素 ? 

These equipment plans highlight risks from a safety/health/environment 

perspective and/or from an economic standpoint. 安全 / 健康 / 环境的角度和 / 或从 

经济的角度来看

a) an acceptance/understanding of the current risk. 








The RBI plans also identify equipment that does not require inspection or some 

other form of mitigation because of the acceptable level of risk associated with 

the equipment’s current operation. In this way, inspection and maintenance 

activities can be focused and more cost effective. This often results in a 

significant reduction in the amount of inspection data that is collected. This 

focus on a smaller set of data should result in more accurate information. In 

some cases, in addition to risk reductions and process safety improvements, 

RBI plans may result in cost reductions. 

equipment that 

does not require 

inspection or 

some other form 

of mitigation 

inspection and 

maintenance 

activities can be 

focused

筛选出可接受风险水平的设备 , 这些设备可以不用检验或缓解活动 . 这样检验与维 

护活动能可以集中在关键的设备 . 信息的收集可以相应的减少 , 集中在一个较小的 

数据收集导致更准确的信息 , 排除不确定性 . 除了降低风险和过程安全改善计划可 

能会导致在降低成本

RBI is based on sound, proven risk assessment and management principles. 

Nonetheless, RBI will not compensate for: 

有效的 RBI 基于健全 , 成熟的风险评估和管理原则 , 以下为阻碍点 

c) inaccurate or missing information, 错误或遗漏的信息 

d) inadequate designs or faulty equipment installation, 设计不足或设备安装故障 

e) operating outside the acceptable IOW, 超出可接受操作窗口 

f) not effectively executing the plans, 不能有效地执行计划 

g) lack of qualified personnel or teamwork, 缺乏合格的人员或团队 

h) lack of sound engineering or operational judgment. 缺乏合理的工程或运作判断

inaccurate or missing information, 错误或遗漏的信息

inadequate designs or faulty equipment installation, 设计不足或设备安装故障

operating outside the acceptable IOWs, 超出可接受操作窗口

not effectively executing the plans, 不能有效地执行计划

lack of qualified 

personnel or 

teamwork, 缺乏合 

格的人员或团队

lack of sound engineering or operational judgment. 缺乏合理的工程或运作判断

1.3 Using RBI as a Continuous Improvement Tool 作为持续改进工具 

Utilization of RBI provides a vehicle for continuously improving the inspection of 

facilities and systematically reducing the risk associated with pressure boundary 

failures. As new data (such as inspection results and industry experiences with 

similar processes) becomes available or when changes occur (e.g. operating 

conditions), reassessment of the RBI program can be made that will provide a 

refreshed view of the risks. Risk management plans should then be adjusted 

appropriately. 

RBI offers the added advantage of identifying gaps or shortcomings in the 

effectiveness of commercially available inspection technologies and applications. 

In cases where technology cannot adequately and/or cost-effectively mitigate 

risks, other risk mitigation approaches can be implemented. RBI should serve to 

guide the direction of inspection technology development, and hopefully promote 

a faster and broader deployment of emerging inspection technologies as well as 

proven inspection technologies that may be available but are underutilized.

RBI should serve to guide the 

direction of inspection 

technology development, and 

hopefully promote a faster and 

broader deployment of emerging 

inspection technologies 

新检验技术的引导

RBI should serve to guide the direction of inspection technology development, 

and hopefully promote a faster and broader deployment of emerging 

inspection technologies as well as proven inspection technologies that may 

be available but are underutilized. 新检验技术的方向引导

proven inspection technologies that may be available but are underutilized 

充分的发挥现有的检验方法

1.4 RBI as an Integrated Management Tool 配合其他工具综合管理工具 

RBI is a risk assessment and management tool that addresses an area of risk 

management not completely addressed in other organizational risk 

management efforts such as process hazards analyses (PHA) 工艺危害分析 , 

IOWs 作业窗口完整性 or reliability centered maintenance (RCM) 可靠性为中 

心的维修 . Integration of these risk management efforts, including RBI, is key 

to the success of a risk management program. RBI produces inspection and 

maintenance plans for equipment that identify the actions that should be taken 

to provide reliable and safe operation. 

The RBI effort can provide input into an organization’s annual planning and 

budgeting that define the staffing and funds required to maintain equipment 

operation at acceptable levels of performance and risk. RBI needs to be 

integrated with a management system for defining and maintaining IOWs as 

well as a robust management of change (MOC) 健全的变革管理 process as a 

basis for managing and controlling damage mechanisms in fixed equipment.

综合管理工具 

配合其他工具综合管理工具例如 ; 

• process hazards analyses (PHA) 工艺危害分析 , 

• Integrity operating window (IOW) 作业窗口完整性 , 

• reliability centered maintenance (RCM) 可靠性为中心的维修 . 

在健全的 management of change (MOC) 变革作为在固定的设备管理和控制损 

害的机制奠定了基础。

2 Scope 范围

Contents 

2 Scope 


2.2 Flexibility in Application 


2.4 Equipment Covered 

2.5 Equipment Not Covered 

2.6 Target Audience


Although the risk management principles and concepts that RBI is built on are 

universally applicable, this RP is specifically targeted at the application of RBI 

in the hydrocarbon and chemical process industry. 

碳氢化合物 ( 石油 ) 和化工行业 

API 580 


this RP is 

specifically targeted at the application of RBI in the hydrocarbon and chemical 

process industry. 适用于化工与石油天然气行业 

API 580 


API 580 


this RP is 

specifically targeted at the 

application of RBI in the 

hydrocarbon and chemical 

process industry. 适用于化工 

与石油天然气行业

2.2 Flexibility in Application 灵活应用 

Because of the broad diversity in organizations’ size, culture, federal and/or 

local regulatory requirements, this RP offers users the flexibility to apply the 

RBI methodology within the context of existing corporate risk management 

practices and to accommodate unique local circumstances. 

The document is designed to provide a framework that clarifies the expected 

attributes of a quality risk assessment without imposing undue constraints on 

users. This RP is intended to promote consistency and quality in the 

identification, assessment, and management of risks pertaining to material 

deterioration, which could lead to loss of containment. 

Many types of RBI methods exist and are currently being applied throughout 

industry. This document is not intended to single out one specific approach as 

the recommended method for conducting an RBI effort. The document 

instead is intended to identify and clarify the essential elements of an RBI 

analysis and program. 

API 580 


此规范并不打算挑出一个特定的方法而是在众多方法里更加确定和澄清分析 

和方案基本要素 . 从而促进识别 , 评估和管理因材料退化可能导致设备溶液的流 

失相关风险的正确方法与一致性 . 

API 580 



The RBI process is focused on maintaining the mechanical integrity of 

pressure equipment items and minimizing the risk of loss of containment due 

to deterioration. RBI is not a substitute for a PHA or hazard and operability 

assessment (HAZOP). Typically, process hazards analyses PHA risk 

assessments focus on the process unit design and operating practices and 

their adequacy given the unit’s current or anticipated operating conditions. 

RBI complements the PHA by focusing on the mechanical integrity related 

damage mechanisms and risk management through inspection. 

RBI also is complementary to Reliability Centered Maintenance RCM 

programs in that both programs are focused on understanding failure modes, 

addressing the modes and therefore improving the reliability of equipment 

and process facilities. 

API 580 


RBI 补足 HAZOP/PHA/RCM 综合管 

理工具 , 其重点是维护承压设备的机 

械完整性最大限度地减少因变质遏制 

溶液流失的风险 

关键字眼 : 

• 机械完整性 

• 溶液流失 

API 580 


RBI 补足 HAZOP/PHA/RCM 作为综合管理 

工具 , 其重点是维护承压设备的机械完整性 

API 580 


承压设备的机械完整性 : 材料退化可能导致受压媒介流失 

API 580 


2.4 Equipment Covered 覆盖设备 

The following types of equipment and associated components/internals 

are covered by this document. 

a) Pressure Vessels- All pressure containing components. 

压力容器 - 所有承压部件 

b) Process Piping- Pipe and piping components. 

工艺管道 , 管道和管件 

c) Storage Tanks- Atmospheric and pressurized. 

大气 ( 常压 ) 和加压储罐 

d) Rotating Equipment- Pressure containing components. 

旋转设备承压部件 

e) Boilers and Heaters- Pressurized components. 

锅炉及加热器 , 加压组件 

f) Heat exchangers (shells, floating heads, channels, and bundles). 

热交换器 ( 筒体 , 浮动封头 , 格栅与管束 ) 

g) Pressure-relief devices. 

压力释放装置 . 

API 580

Pressure Vessels- All pressure containing 

components. 压力容器 - 所有承压部件 

API 580 


Process Piping- Pipe and piping 

components. 工艺管道 , 管道和管件 

API 580 


Process Piping- Pipe and piping 

components. 工艺管道 , 管道和管件 

API 580 


Storage Tanks- Atmospheric and 

pressurized. 储罐 , 大气 ( 常压 ) 和加压 

API 580 


Rotating Equipment- Pressure containing 

components. 旋转设备 - 承压部件 

API 580 


Boilers and Heaters - Pressurized components. 

锅炉及加热器 , 加压组件 

API 580 


Pressure-relief devices. 压力释放装置 

API 580 


2.5 Equipment Not Covered 不覆盖设备 

The following equipment is not covered by this document: 

a) instrument and control systems, 仪表和控制系统 

b) electrical systems, 电气系统 

c) structural systems, 结构 

d) machinery components (except pump and compressor casings). However, 

these systems and components may be covered by other types of RBI or risk 

assessment work processes such as RCM. 机械部件 ( 除泵和压缩机外壳 ) 

API 580 


不覆盖设备 ? 

API 580 


API 580 


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2.6 Target Audience 目标受众 

The primary audience for this RP is inspection and engineering personnel who 

are responsible for the mechanical integrity and operability of equipment 

covered by this RP. However, while an organization’s inspection/materials 

engineering group may champion the RBI initiative, RBI is not exclusively an 

inspection activity. RBI requires the involvement of various segments of the 

organization such as engineering, maintenance and operations. Implementation 

of the resulting RBI product (e.g. inspection plans, replacement/upgrading 

recommendations, other mitigation activities, etc.) may rest with more than one 

segment of the organization. RBI requires the commitment and cooperation of 

the total operating organization. 

In this context, while the primary audience may be inspection and materials 

engineering personnel, other stakeholders who are likely to be involved should 

be familiar with the concepts and principles embodied in the RBI methodology to 

the extent necessary for them to understand the risk assessment 

process and to be able to accept the results. 

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虽然主要观众为负责设备的机械完整性和可操作性 (1) 检验和 (2) 工程技术 ( 材料 ) 人 

员 . 其他可能参与的相关者都应熟悉风险风险检验概念和原则 . 

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other stakeholders who are likely to be involved 

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Contents 


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Societies/Organizations: 

1. ASME International, 3 Park Avenue, New York, New York 10016-5990, 

www.asme.org. 

2. American Institute of Chemical Engineers, Center for Chemical Process 

Safety, 3 Park Avenue, 19th Floor, New York, New York 10016, 

www.aiche.org/ccps. 

3. 3 U.S. Environmental Protection Agency, Ariel Rios Building, 1200 

Pennsylvania Avenue, Washington, DC 20460, www.epa.gov. 

4. 4 International Organization for Standardization, 1, ch. de la Voie-Creuse, 

Case postale 56, CH-1211, Geneva 20, Switzerland, www.iso.org. 

5. 5 U.S. Department of Labor, Occupational Safety and Health Administration, 

200 Constitution Avenue, NW, Washington, DC 20210, www.osha.gov. 

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• API Publication 510, Pressure Vessel Inspection Code: Inspection, Rating, 

Repair, and Alteration. 

• API Publication 570, Piping Inspection Code: Inspection, Repair, Alteration, 

and Rerating of In-service Piping Systems 

• API Recommended Practice 571, Damage Mechanisms Affecting Fixed 

Equipment in the Refining Industry 

• API Standard 579-1/ASME 1 FFS-1, Fitness-For-Service 

• API Recommended Practice 581, Risk-Based Inspection Technology 

• API Standard 653, Tank Inspection, Repair, Alteration, and Reconstruction 

• API Recommended Practice 752, Management of Hazards Associated 

With Location of Process Plant Buildings 

• API Recommended Practice 941, Steels for Hydrogen Service at Elevated 

Temperatures and Pressures in Petroleum Refineries and Petrochemical 

Plants 

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• AICHE 2, Dow’s Fire and Explosion Index Hazard Classification Guide, 1994 

• ASME PVRC Project 99-IP-01, A Comparison of Criteria For Acceptance of 

Risk, February 16, 2000 

• EPA 58 FR 54190 (40 CFR Part 68) 3, Risk Management Plan (RMP) 

Regulations 

• ISO Guide 73 4, Risk Management Vocabulary 

• OSHA 29 CFR 1910.119 5, Process Safety Management of Highly 

Hazardous Chemicals 

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4 Terms, definitions, 

acronyms and 

abbreviations 

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Contents 

4 Terms, Definitions, Acronyms, and Abbreviations 


4.2 Acronyms and Abbreviations 

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For purposes of this RP, the following terms, definitions, acronyms, and 

abbreviations shall apply. 

4.1.1 

absolute risk 

An ideal and accurate description and quantification of risk. 

准确的描述和量化风险 

4.1.2 

acceptable risk 

A level of risk that is acceptable to the owner-user. 

用户可以接受的风险水平 

4.1.3 

as low as reasonably practical ALARP 

A concept of minimization that postulates that attributes (such as risk) can 

only be reduced to a certain minimum under current technology and with 

reasonable cost. 

根据目前的技术和合理成本只能被减小到一定的最小的特性 ( 如风险 ) 

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1.2 RBI Benefits and Limitations 优点和局限性 

……… an acceptance/understanding of the current risk. 


ALARP 

http://www.hse.gov.uk/foi/int 

ernalops/hid_circs/permissi 

oning/spc_perm_37/ 

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4.1.4 

components 组成整件部分的组件 

Parts that make up a piece of equipment or equipment item. For example a 

pressure boundary may consist of components (pipe, elbows, nipples, 

heads, shells, nozzles, stiffening rings, skirts, supports, etc.) that are bolted 

or welded into assembles to make up equipment items. 

4.1.5 

Consequence 后果 

An outcome from an event. There may be one or more consequences from 

an event. Consequences may range from positive to negative. However, 

consequences are always negative for safety aspects. Consequences may 

be expressed qualitatively or quantitatively. 可以定性或定量来表达 

4.1.6 

corrosion specialist 防腐专家 

A person who is knowledgeable and experienced in the specific process 

chemistries, corrosion degradation mechanisms, materials selection, 

corrosion mitigation methods, corrosion monitoring techniques, and their 

impact on pressure equipment. 

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4.1.7 

cost-effective 经济有效 

An activity that is both effective in resolving an issue (e.g. some form of 

mitigation) and is a financially sound use of resources. 

4.1.8 

damage (or deterioration) mechanism 损坏机理 

A process that induces micro and/or macro material changes over time that 

are harmful to the material condition or mechanical properties. Damage 

mechanisms are usually incremental, cumulative, and, in some instances, 

unrecoverable. Common damage mechanisms include corrosion, stress 

corrosion cracking, creep, erosion, fatigue, fracture, and thermal aging. 

可能是微观和 / 或宏材料变动 

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4.1.9 

damage (or deterioration) mode 损坏模式 ( 状态 ) 

The physical manifestation of damage (e.g. wall thinning, pitting, cracking, 

rupture). 损伤机理带来的物理表现的损坏 

4.1.10 

damage tolerance 损伤容限 

The amount of deterioration that a component can withstand without failing. 

组件能承受损伤而不导致失效的容限 . 

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4.1.11 

design premise 设计的前提 

Assumptions made during the design (e.g. design life and corrosion 

allowance needed). 例如设计寿命和腐蚀裕量 

4.1.12 

deterioration 退化 

The reduction in the ability of a component to provide its intended purpose 

of containment of fluids. This can be caused by various damage 

mechanisms (e.g. thinning, cracking, mechanical). Damage or degradation 

may be used in place of deterioration. 

4.1.13 

equipment 设备 

An individual item that is part of a system. Examples include pressure 

vessels, relief devices, piping, boilers, and heaters. 

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4.1.14 

event 事件 

Occurrence of a particular set of circumstances. The event may be certain 

or uncertain. The event can be singular or multiple. The probability of an 

event occurring within a given period of time can be estimated. 

组特定的情况下发生的 ( 确定 / 不确定 , 单数或多个 ) 状况 . 给定的时间内发生的 

事件的概率可估算 

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4.1.15 

event tree 事件树 

An analytical tool that organizes and characterizes potential occurrences in 

a logical and graphical manner. The event tree begins with the 

identification of potential initiating events. Subsequent possible events 

(including activation of safety functions) resulting from the initiating events 

are then displayed as the second level of the event tree. This process is 

continued to develop pathways or scenarios from the initiating events to 

potential outcomes. 

4.1.16 

external event 外部事件 

Events resulting from forces of nature, acts of God, sabotage, or events 

such as neighboring fires or explosions, terrorism, neighboring hazardous 

material releases, electrical power failures, forces of nature, and intrusions 

of external transportation vehicles, such as aircraft, ships, trains, trucks, or 

automobiles. External events are usually beyond the direct or indirect 

control of persons employed at or by the facility. 

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intrusions of 

external 

transportation 

vehicles, such as 

aircraft, ships, 

trains, trucks, or 

automobiles.

intrusions of external transportation vehicles, such as aircraft, ships, trains, 

trucks, or automobiles. 

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4.1.17 

Facility 设施 ( 地点 ) 

Any location containing equipment and/or components to be addressed under 

this RP. 

4.1.18 

Failure 失效 ( 导致终止或不终止 )- 未发现 / 发现失效 

Termination of the ability of a system, structure, equipment or component to 

perform its required function of containment of fluid (i.e. loss of containment). 

(1) Failures may be unannounced and undetected at the instant of occurrence 

(unannounced failure). For example, a slow leak under insulation may not be 

detected until a pool of fluid forms on the ground or someone notices a drip or 

wisp of vapor. A small leak may not be noticed until the next inspection 

(unannounced failure), e.g. slow leakage from buried piping or small leak in a 

heat exchanger tube; or they may be (2)announced and detected by any 

number of methods at the instance of occurrence (announced failure), e.g. 

rupture of a pipe in a process plant or sudden decrease in pressure in the 

system. 

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4.1.18 

Failure ……………… 

1. Failures may be unannounced and undetected or they may be 

2. announced and detected by any number of methods at the instance of 

occurrence (announced failure) 

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4.1.19 

failure mode 失效模式 

The manner of failure. For RBI, the failure of concern is loss of containment of 

pressurized equipment items. Examples of failure modes are small hole, crack, 

and rupture. 此规范关注的失效是加压设备的溶液的流失 . 失效模式的例子有小孔 , 

裂纹 , 破裂 . 

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For RBI, the failure of concern is 

loss of containment of 

pressurized equipment items. 

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4.1.20 

Fitness-For-Service assessment 适用性评价 

A methodology whereby damage or flaws/imperfections contained within a 

component or equipment item are assessed in order to determine acceptability 

for continued service. 确定可接受的持续服务 

4.1.21 

Hazard 危害 

A physical condition or a release of a hazardous material that could result from 

component failure and result in human injury or death, loss or damage, or 

environmental degradation. Hazard is the source of harm. Components that 

are used to transport, store, or process a hazardous material can be a source 

of hazard. Human error and external events may also create a hazard. 

导致环境恶化或人身伤害隐患 ( 隐患是伤害之源 ) 

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4.1.22 

hazard and operability study HAZOP study 隐患和可操作性研究 

A HAZOP study is a form of failure modes and effects analysis (FMEA). 

HAZOP studies, which were originally developed for the process industry, use 

systematic techniques to identify hazards and operability issues throughout an 

entire facility. It is particularly useful in identifying unforeseen hazards designed 

into facilities due to lack of information, or introduced into existing facilities due 

to changes in process conditions or operating procedures. The basic objectives 

of the techniques are: 

1. to produce a full description of the facility or process, including the intended 

design conditions; 生产设施或过程 , 包括预期的设计条件的完整说明 ; 

2. to systematically review every part of the facility or process to discover how 

deviations from the intention of the design can occur; 系统地审查工厂或过 

程每一个部分 , 找出设计意图的偏差是如何发生 ; 

3. to decide whether these deviations can lead to hazards or operability 

issues; 决定这些偏差是否会导致危险或可操作性问题 

4. to assess effectiveness of safeguards. 评估保障的有效性 

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4.1.23 

Inspection 检查 

Activities performed to verify that materials, fabrication, erection, examinations, 

testing, repairs, etc., conform to applicable code, engineering, and/or owner’s 

written procedure requirements. It includes the planning, implementation, and 

evaluation of the results of inspection activities. The external, internal, or onstream 

assessment (or any combination of the three) of the condition of 

pressure equipment. 

4.1.24 

integrity operating window IOW 完整过程变量窗口 

Established limits for process variables that can affect the integrity of the 

equipment if the process operation deviates from the established limits for a 

predetermined amount of time. 

4.1.25 

Likelihood 可能性 

Probability. 

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4.1.26 

management of change MOC 变革管理 

A documented management system for review and approval of changes in 

process, equipment or piping systems prior to implementation of the change. 

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4.1.27 

Mitigation 缓解 

Limitation of any negative (1) consequence or reduction in (2) probability of a 

particular event. 

4.1.28 

Probability 可能性 

Extent to which an event is likely to occur within the time frame under 

consideration. The mathematical definition of probability is “a real number in the 

scale 0 to 1 attached to a random event.” Probability can be related to a longrun 

relative frequency of occurrence or to a degree of belief that an event will 

occur. For a high degree of belief, the probability is near one (1). Frequency 

rather than probability may be used in describing risk. Degrees of belief about 

probability can be chosen as classes or ranks like “rare/ unlikely/ moderate/ 

likely/ almost certain” or “incredible/ improbable/ remote/ occasional/ 

probable/frequent.” 事件可能在考虑的时间框架内发生的程度 

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4.1.29 

process unit 工艺设备 

A group of systems arranged in a 

specific fashion to produce a product 

or service. Examples of processes 

include power generation, acid 

production, fuel oil production, and 

ethylene production. 

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System within a Process unit

Reformer PFD 

Facility →Process units → Systems → Equipments 

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PHARMACEUTICALS PFD 

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Facility →Process units → Systems → Equipments 

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4.1.53 

System 系统 

A collection of equipment assembled for a 

specific function within a process unit. 

Examples of systems include service water 

system, distillation systems, and separation 

systems. 

Facility → Process units → Systems → 

Equipments 

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4.1.30 

qualitative risk analysis 定性风险分析 

An analysis that uses broad categorizations for probabilities and consequences 

of failure. Methods that use primarily engineering judgment and experience as 

the basis for the determination of probabilities and consequences of failure. The 

results of qualitative risk analyses are dependent on the background and 

expertise of the analysts and the objectives of the analysis. 

FMEA and HAZOP are examples of qualitative risk analysis techniques that 

become QRA (quantitative risk analysis) methods when consequence and 

failure probability values are estimated along with the respective descriptive 

input. 

定性风险分析的结果依赖于分析师的背景和专业知识和分析的目标 . 在 FMEA / 

HAZOP 分析时后果和失效概率值如被估计 , 这定性的风险分析技术可以作为 QRA 

分析的方法 . 

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Methods that use primarily engineering judgment and experience as the basis 

for the determination of probabilities and consequences of failure. 

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定性风险分析的结果依赖于分析师的背景和专业知识和分析的目标 . 在 FMEA / 

HAZOP 分析时后果和失效概率值如被估计 , 这定性的风险分析技术可以作为 

QRA( 定量 ) 分析的方法 .(?) 

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4.1.31 

quantitative risk analysis QRA 定量风险分析 

An analysis that quantifies the probabilities and consequences of the probable 

damage mechanisms and that: 

• identifies and delineates the combinations of events that, if they occur, may 

lead to a severe event or any other undesired consequence; 识别并描述事 

件的组 , 如果它们发生可能引发一个严重的事件或任何其它不期望的后果 

• estimates the probability of occurrence for each combination; 

估计每个组合发生的概率 

• estimates the consequences. 估计后果 

The events? 

The likelihoods of each event? 

The consequences of each event? 

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QRA generally: 方法 

• integrates information about facility design, operating practices, operating 

history, component reliability, human actions, the physical progression of 

incidents, and potential environmental and health effects; 

• uses logic and probabilistic models depicting combinations of events and 

the progression of incidents to provide both qualitative and quantitative 

insights into the level of risks; 

• analysis logic models consisting of event trees and fault trees to estimate 

the frequency of each incident sequence. 

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QRA-uses logic and 

probabilistic models depicting 

combinations of events and 

the progression of incidents to 

provide both qualitative and 

quantitative insights into the 

level of risks; analysis logic 

models consisting of event 

trees and fault trees to 

estimate the frequency of each 

incident sequence.

4.1.32 

Reassessment 重新估价 

The process of integrating inspection data or other changes into the risk 

analysis. 

4.1.33 

relative risk 相对风险 

The comparative risk of a facility, process unit, system, equipment item or 

component to other facilities, process units, systems, equipment items, or 

components, respectively. 

4.1.34 

residual risk 剩余风险 

The risk remaining after risk mitigation. 

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4.1.35 

Risk 风险 - 事件的概率及其后果 

Combination of the probability of an event and its consequence. In some 

situations, risk is a deviation from the expected. When probability and 

consequence are expressed numerically, risk is the product. 

4.1.36 

risk acceptance 风险接受 - 依风险准据而定 

A decision to accept a risk. Risk acceptance depends on risk criteria. 

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Risk 

风险 - 事件的概率及 

其后果

4.1.37 

risk analysis 风险分析 

Systematic use of information to identify sources and to estimate the risk. Risk 

analysis provides a basis for risk evaluation, risk mitigation and risk acceptance. 

Information can include historical data, theoretical analysis, informed opinions, 

and concerns of stakeholders. 利益相关者的关注 

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concerns of stakeholders? 

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Himba women 

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4.1.38 

risk assessment 风险评估 

Overall process of (1) risk analysis and (2) risk evaluation. 

4.1.39 

risk avoidance 风险规避 

Decision not to become involved in, or action to withdraw from a risk situation. 

The decision may be taken based on the result of risk evaluation. 

4.1.40 

risk-based inspection RBI 基于风险的检验 

A risk assessment and management process that is focused on loss of 

containment of pressurized equipment in processing facilities, due to material 

deterioration. These risks are managed primarily through equipment inspection. 

风险评估和管理过程 . 这些风险主要通过设备检查管理 

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4.1.41 

risk communication 风险沟通 

Exchange or sharing of information about risk between the decision maker 

and other stakeholders. The information may relate to the existence, nature, 

form, probability, severity, acceptability, mitigation, or other aspects of risk. 

决策者和其他利益相关者之间对风险信息的交换或共享 . 

4.1.42 

risk criteria 风险标准 

Terms of reference by which the significance of risk is assessed. Risk criteria 

may include associated cost and benefits, legal and statutory requirements, 

socio-economic and environmental aspects, concerns of stakeholders, 

priorities and other inputs to the assessment. 

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4.1.43 

risk driver 风险驱动 

An item affecting either the (1) probability, (2) consequence, or both such that 

it constitutes a significant portion of the risk. 

4.1.44 

risk estimation 风险评估 

Process used to assign values to the probability and consequence of a risk. 

Risk estimation may consider (1) cost, (2) benefits, (3) stakeholder concerns, 

and (4) other variables, as appropriate for risk evaluation. 

Other variables ? (Safety/health/environment/economic standpoints) 

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isk criteria 风险标准 

Terms of reference by which the significance of risk is assessed. Risk criteria 

may include; 

• associated cost and benefits, 相关的成本和收益 

• legal and statutory requirements, 法律和法定要求 

• socio-economic and 社会经济 

• environmental aspects, 环境方面 

• concerns of stakeholders, 利益相关者的关注 

• priorities and other inputs to the assessment. 优先事项和其他评估数据要求 . 

• Safety/health (?) 

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4.1.45 

risk evaluation 风险评估 

Process used to compare the estimated risk against given risk criteria to 

determine the significance of the risk. Risk evaluation may be used to assist 

in the acceptance or mitigation decision. 

4.1.46 

risk identification 风险识别 

Process to find, list, and characterize elements of risk. Elements may include: 

(1) source, (2) event, (3) consequence, (4) probability. Risk identification may 

also identify (5) stakeholder concerns. 

4.1.47 

risk management 风险管理 

Coordinated activities to direct and control an organization with regard to risk. 

Risk management typically includes risk assessment, risk mitigation, risk 

acceptance, and risk communication. 

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4.1.48 

risk mitigation 风险缓解 

Process of selection and implementation of measures to modify risk. The 

term risk mitigation is sometimes used for measures themselves. 

4.1.49 

risk reduction 降低风险 

Actions taken to lessen the probability, negative consequences, or both 

associated with a particular risk. 

4.1.50 

semi-quantitative analysis 半定量分析 

A semi-quantitative analysis includes aspects of both qualitative and 

quantitative analyses. 

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Source 源 

Thing or activity with a potential for consequence. Source in a safety context 

is a hazard. 潜在隐患的源头 

4.1.52 

Stakeholder 利益相关者 

Any individual, group or organization that may affect, be affected by, or 

perceive itself to be affected by the risk. 

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4.1.53 

System 系统 

A collection of equipment assembled for a specific function within a process 

unit. Examples of systems include service water system, distillation systems, 

and separation systems. 

Facility → Process units → Systems → Equipments 

4.1.54 

Turnaround 周转 ( 周期 ) 

A period of down time to perform inspection, maintenance, or modifications 

and prepare process equipment for the next operating cycle. 停机进行检查 , 维 

修或改装 , 并准备为下一个操作周期。 

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System within a Process unit – 3 phase separator

4.1.55 

toxic chemical 有毒化学品 

Any chemical that presents a physical or health hazard or an environmental 

hazard according to the appropriate material safety datasheet. These 

chemicals (when ingested, inhaled, or absorbed through the skin) can cause 

damage to living tissue, impairment of the central nervous system, severe 

illness, or in extreme cases, death. These chemicals may also result in 

adverse effects to the environment (measured as ecotoxicity and related to 

persistence and bioaccumulation potential). 

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4.1.56 

unmitigated risk 未缓和前风险 

The risk prior to mitigation activities. 

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4.2 Acronyms and Abbreviations 

ACC 

AIChE 

ALARP 

ANSI 

ASME 

ASNT 

ASTM 

BLEVE 

CCPS 

COF 

EPA 

FMEA 

HAZOP 

IOW 

ISO 

LOPA 

MOC 

MSD 

American Chemistry Council. 

American Institute of Chemical Engineers. 

as low as reasonably practical. 

American National Standards Institute. 

American Society of Mechanical Engineers. 

American Society of Nondestructive Testing. 

American Society of Testing and Materials. 

boiling liquid expanding vapor explosion. 

Center for Chemical Process Safety. 

consequence of failure. 

Environmental Protection Agency. 

failure modes and effects analysis. 

hazard and operability assessment. 

integrity operating window. 

International Organization for Standardization. 

layers of protection analysis. 

management of change. 

material selection diagrams. 

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NACE 

NDE 

NFPA 

OSHA 

PHA 

PMI 

POF 

PSM 

PTASCC 

PVRC 

QA/QC 

QRA 

RBI 

RCM 

RMP 

SIL 

TEMA 

TNO 

UT 

National Association of Corrosion Engineers. 

nondestructive examination. 

National Fire Protection Association. 

Occupational Safety and Health Administration. 

process hazards analysis. 

positive material identification. 

probability of failure. 

process safety management. 

polythionic acid stress corrosion cracking. 

Pressure Vessel Research Council. 

quality assurance/quality control. 

quantitative risk assessment. 

risk-based inspection. 

reliability centered maintenance. 

risk management plan. 

safety integrity level. 

Tubular Exchangers Manufacturers Association. 

The Netherlands Organization for Applied Scientific Research. 

ultrasonic testing. 

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Sub-Contents 


5.1 What is Risk? 

5.2 Risk Management and Risk Reduction 


5.4 Overview of Risk Analysis 

5.5 Inspection Optimization 

5.6 Relative Risk vs Absolute Risk 

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5.1 What is Risk? 什么是风险 

Risk is something that we as individuals live with on a day-to-day basis. 

Knowingly or unknowingly, people are constantly making decisions based on 

risk. Simple decisions such as driving to work or walking across a busy street 

involve risk. More important decisions such as buying a house, investing money, 

and getting married all imply an acceptance of risk. Life is not risk-free and 

even the most cautious, risk-adverse individuals inherently take risks. Some 

people take more risks than others (knowingly or unknowingly), e.g. sky divers, 

mountain climbers, coal miners, and people who drive while intoxicated. 

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For example, in driving a car, people accept the probability that they could be 

killed or seriously injured. The reason this risk is accepted is that people consider 

the probability of being killed or seriously injured to be sufficiently low as to make 

the risk acceptable. Influencing the decision are the type of car, the safety features 

installed, traffic volume and speed, and other factors such as the availability, risks 

and affordability of other alternatives (e.g. mass transit).

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Risk is the combination of the probability of some event occurring during a time 

period of interest and the consequences, (generally negative) associated with 

the event. 

风险是在指定时间段某些事件发生的 (1) 概率和 (2) 后果 ( 一般为负面 ) 组合 . 

风险 = 概率 × 后果 

In mathematical terms, risk can be calculated by the equation: 

Risk = Probability × Consequence 

Likelihood is sometimes used as a synonym for probability, however probability 

is used throughout this document for consistency. Effective risk assessment 

should be a rational, logical, structured process, which contains at least two key 

steps. First to determine how big the risk is; and second, to determine whether 

the risk is acceptable. 

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5.2 Risk Management and Risk Reduction 风险管理和减少风险 

Once the risk is known and the magnitude of the risk is established, it is time for 

risk management. At first, it may seem that risk management and risk 

reduction are synonymous. However, risk reduction is only part of risk 

management. 

• Risk reduction is the act of mitigating a known risk that is deemed to be too 

high to a lower, more acceptable level of risk with some form of risk 

reduction activity. 

• Risk management, on the other hand, is a process to assess risks, to 

determine if risk reduction is required and to develop a plan to maintain risks 

at an acceptable level. By using risk management, some risks may be 

identified as acceptable so that no risk reduction (mitigation) is required. 

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检验间隔 / 到期日期的演变 

In process plants, inspection and testing programs and process monitoring are 

established to detect and evaluate deterioration due to the effects of in-service 

operation. The effectiveness of inspection programs varies widely, ranging from 

(1) reactive programs, which concentrate on known areas of concern, to 

(2) broad proactive programs covering a variety of equipment. One extreme of 

this would be the; 

(2a) “don’t fix it unless its broken” approach. The other extreme would be 

(2b) complete inspection of all equipment items on a frequent basis. 

Setting the intervals/due dates between inspections has evolved over time. With 

the need to periodically verify equipment integrity, organizations initially resorted 

to time-based or “calendar-based” intervals/due dates. 

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检验程序可以分为两大类 : 

• 反应式 : 

集中在已知关注的领域 , 

• 广泛积极式 : 

‾ 

‾ 

除非坏了不解决 

基于设定间隔检验全部设备 

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With advances in inspection approaches, and better understanding of the type 

and rate of deterioration, inspection intervals/due dates became more 

dependent on the equipment condition (i.e. condition-based inspection), 

rather than what might have been an arbitrary calendar date. Codes and 

standards such as API 510, API 570, and API 653 evolved to an inspection 

philosophy with elements such as: 跟着检验方法的改进与进化 , 依照设备的状 

态设定检验间隔 ( 即基于状态的检查 ) 被上述规范采纳 . 检验哲理的元素包括 ; 

a) inspection intervals/due dates based on some percentage of equipment life 

(such as half life), 设备残余寿命 - 半衰期设定检验间隔 

b) on-stream inspection in lieu of internal inspection based on low deterioration 

rates, 低恶化率设备 , 外部在役检验替代内部开罐检验 

c) internal inspection requirements for damage mechanisms related to process 

environment induced cracking, 依照损伤机理设定检验要求例如环境腐蚀开裂 . 

d) consequence based inspection intervals/due dates. 基于后果的检查 

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Non- E&P Vessel API510 

External Inspection 

Internal & On-stream Inspection 

Pressure relief devices 

five (5) years or the required internal/on-stream inspection whichever is 

less. 

½ (one half) the remaining life of the vessel or 10 years, whichever is less. 

Five years for typical process services; and Ten years for clean (nonfouling) 

and non-corrosive services. 

E&P Vessel 

High Risk 

High Risk 

Low Risk 

Low Risk 

Portable Test 

Separator 

Air Receiver 


Internal & Onstream 

Inspection 


Internal & Onstream 


Internal & On- 

Stream Inspection 

Internal & On- 

Stream Inspection 

When an internal inspection or on-stream is performed or at shorter 

intervals at the owner or user’s option. 

½ (one half) the remaining life of the vessel or 10 years, whichever is less. 

When an internal inspection or on-stream is performed or at shorter 

intervals at the owner or user’s option. 

¾ (three quarter) remaining corrosion-rate life or 15 years whichever is 

less. 

At least every 3 years. 

At least every 5 years.

RBI represents the next generation of inspection approaches and interval/due 

date setting, recognizing that the ultimate goal of inspection is the safety and 

reliability of operating facilities. RBI, as a risk-based approach, focuses 

attention specifically on the equipment and associated damage mechanisms 

representing the most risk to the facility. In focusing on risks and their 

mitigation, RBI provides a better linkage between the mechanisms that lead 

to equipment failure (loss of containment) and the inspection approaches that 

will effectively reduce the associated risks. Though there can be many 

definitions for failure of pressure equipment, in this document, failure is 

defined as loss of containment. 失效被定义为溶液的流失 

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in this document, failure is 

defined as loss of 

containment. 失效被定义为 

溶液的流失 

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5.4 Overview of Risk Analysis 风险分析的概述 

The complexity of a risk analysis is a function of the number of factors that can 

affect the risk and there is a continuous spectrum of methods available to 

assess risk. The methods range from a strictly relative ranking to rigorous 

calculation. The methods generally represent a range of precision for the 

resulting risk analysis (see 6.4). Any particular analysis may not yield usable 

results due to a lack of data, low-quality data or the use of an approach that 

does not adequately differentiate the risks represented by the equipment items. 

Further, analysis results may not be realistic. Therefore, the risk analysis should 

be validated before decisions are made based on the analysis results. 

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Any particular analysis may not yield usable results due to; 

(1) a lack of data, 

(2) low-quality data or 

(3) the use of an approach that does not adequately differentiate the 

risks represented by the equipment items. 

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A logical progression for a risk analysis is: 风险分析的逻辑进展 

a) collect and validate the necessary data and information (see Section 8); 

收集和验证的必要的数据和信息 

b) identify damage mechanisms and, optionally, determine the damage 

mode(s) for each mechanism (e.g. general metal loss, local metal loss, 

pitting) (see Section 9); 

识别损伤机理和任选地确定每个损伤机理的破坏模式 ( 例如一般的金属损失 , 

局部金属损失 , 点蚀 ) 

c) determine damage susceptibility and rates (see Section 9); 

确定损害的易感性和速度 . 

d) determine the POF over a defined time frame for each damage mechanism 

(see Section 10); 

确定每个损伤机理的时间范围的失效概率 

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e) determine credible failure mode (s) [e.g. small leak, large leak, rupture 

(see Section 10)]; 确定可信的失效模式 ( 例如小量泄漏 , 大量泄漏 , 破裂 ) 

f) identify credible consequence scenarios that will result from the failure 

mode(s) (see Section 11); 从故障模式 ( 多 ) 引发可信的后果场景 ( 多个场景 ) 

g) determine the probability of each consequence scenario, considering the 

POF and the probability that a specific consequence scenario will result 

from the failure (see Section 11); 确定每个后果场景的失效概率 

h) determine the risk, including a sensitivity analysis, and review risk 

analysis results for consistency/reasonableness (see Section 12). 

确定风险 , 包括敏感性分析 

Data → Damage Mechanism→ 

Damage Modes→ Failure Modes→ 

Consequence Scenario 

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A logical progression for 

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Data → Damage Mechanism→ 

Damage Modes→ Failure Modes→ 

Consequence Scenario 

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5.5 Inspection Optimization 检验优化 

When the risk associated with individual equipment items is determined and 

the relative effectiveness of different inspection techniques and process 

monitoring in reducing risk is estimated or quantified, adequate information is 

available for planning, optimizing, and implementing an RBI program. Figure 

1 presents stylized curves showing the reduction in risk that can be expected 

when the degree and frequency of inspection are increased. 

The upper curve in Figure 1 represents a typical inspection program. Where 

there is no inspection, there may be a higher level of risk, as indicated on the 

y-axis in the figure. With an initial investment in inspection activities, risk 

generally is significantly reduced. 

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A point is reached where additional inspection activity begins to show a 

diminishing return and, eventually, may produce very little additional risk 

reduction. 

If excessive inspection is applied, the level of risk may even go up. This is 

because invasive inspections in certain cases may cause additional 

deterioration (e.g. moisture ingress in equipment with polythionic acid; 

inspection damage to protective coatings or glass-lined vessels). This situation 

is represented by the dotted line at the end of the upper curve. 

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Inspection Optimization 

Conventional 

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typical inspection program 

Upper curve 

If excessive 

inspection is applied, 

the level of risk may 

even go up. 

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A complete RBI program provides a consistent methodology for assessing the 

optimum combination of methods and frequencies of inspection. Each 

available inspection method can be analyzed and its relative effectiveness in 

reducing failure probability can be estimated. Given this information and the 

cost of each procedure, an optimization program can be developed. The key to 

developing such a procedure is the ability to assess the risk associated with 

each item of equipment and then to determine the most appropriate inspection 

techniques for that piece of equipment. A conceptual result of this methodology 

is illustrated by the lower curve in Figure 1. The lower curve indicates that with 

the application of an effective RBI program, lower risks can be achieved with 

the same level of inspection activity. This is because, through RBI, inspection 

activities are focused on higher risk items and away from lower risk items. 

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RBI Inspection lower risks can be achieved with the 

same level of inspection activity (Lower curve) 

Lower risk 

focused on higher risk 

items and away from 

lower risk items and a 

more appropriate 

inspection techniques. 

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RBI Inspection vs conventional inspection; 

the most appropriate inspection techniques 

focused on higher risk items 

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残余风险 

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As shown in Figure 1, risk cannot be reduced to zero solely by inspection 

efforts. The residual risk factors for loss of containment include, 

but are not limited to issues such as the following: 残余风险的因素 

a) human error, 人为误差 

b) natural disasters, 

c) external events (e.g. collisions or falling objects), 外部事件 

d) secondary effects from nearby units, 临近设二次效应 

e) consequential effects from associated equipment in the same unit, 

在相同单元相关联的设备间接影响 

f) deliberate acts (e.g. sabotage), 蓄意行为 

g) fundamental limitations of inspection methods, 检查方法基本限制 

h) design errors, 设计错误 

i) unknown or unanticipated mechanisms of damage. 

未知或无法预料的损坏机理 

Many of these factors are strongly influenced by the process safety 

management (PSM) system in place at the facility. 

上述受到工艺安全管理 PSM 的强烈影响 

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deliberate acts (e.g. 

sabotage), 蓄意行为

deliberate acts (e.g. sabotage), 蓄意行为 

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deliberate acts (e.g. 

sabotage), 蓄意行为

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5.6 Relative Risk vs Absolute Risk 相对风险与绝对风险 

The complexity of risk calculations is a function of the number of factors that 

can affect the risk. Calculating absolute risk can be very time and cost 

consuming and often can not be done with a high degree of accuracy, due to 

having too many uncertainties. Many variables are involved with loss of 

containment in hydrocarbon and chemical facilities and the determination of 

absolute risk numbers is often not even possible and not cost effective. 

因太多的不确定性导致计算 ” 绝对风险 ” 不准确与不符合成本效益 

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RBI is focused on a systematic determination of relative risks 运用系统化的确 

定相对风险 . In this way, facilities, units, systems, equipment, or components 

can be ranked based on their relative risk. 

This serves to focus the risk management efforts on the higher ranked risks 

and allow decisions to be made on the usefulness of risk management efforts 

on lower ranked risks. If a quantitative RBI study is conducted rigorously and 

properly, the resultant risk number should be a fair approximation of the actual 

risk of loss of containment due to deterioration. 

Numeric relative risk values determined in qualitative and semi-quantitative 

assessments using appropriate sensitivity analysis methods also may be used 

effectively to evaluate risk acceptance. 

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API 580 RBI 

RBI is focused on a systematic determination of relative 

risks 系统化的确定相对风险 . 

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6 Introduction to Risk-Based 


基于风险的检验介绍 

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to Risk-Based Inspection

Contents 

6 Introduction to Risk-Based Inspection 


6.2 Consequence and Probability for RBI 


6.4 Precision vs Accuracy 


6.6 Management of Risks 

6.7 Relationship Between RBI and Other Risk-Based and Safety Initiatives 

6.8 Relationship with Jurisdictional Requirements 

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Key elements that should exist in any RBI program include: 

a) management systems for maintaining documentation, personnel 

qualifications, data requirements, consistency of the program and 

analysis updates; 

b) documented method for POF determination; 

c) documented method for COF determination; 

d) documented methodology for managing risk through inspection, 

process control and other mitigation activities. 

However, all the elements outlined in Section 1 should be adequately 

addressed in all RBI applications, in accordance with the recommended 

practices in this document. 

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a) 保持文件管理系统管理 ; 人员资格的要 

求 , 数据 , 程序和一致性分析的更新 ; 

b) 失效概率测定方法的记录 ; 

c) 失效后果测定方法的记录 ; 

d) 通过检验风险管理 , 过程控制和其他缓 

解措施的记录 . 

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6.2 Consequence and Probability for RBI 后果与概率 

The objective of RBI is to determine what incident could occur (consequence) 

in the event of an equipment failure, and how likely (probability) it is that the 

incident could happen. For example, if a pressure vessel subject to damage 

from corrosion under insulation develops a leak, a variety of consequences 

could occur. Some of the possible consequences are: 

a) form a vapor cloud that could ignite causing injury and equipment damage; 

b) release of a toxic chemical that could cause health problems; 

c) result in a spill and cause environmental damage; 

d) force a unit shutdown and have an adverse economic impact; 

e) have minimal safety, health, environmental, and/or economic impact. 

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Failure 

Mode-Leak 

LEAK 

Scenario-a, b, c, d, e 

a) 形成蒸气云可能会引燃造成伤害和设备损坏 ; 

b) 释放有毒的化学物质 , 可能引发健康问题 ; 

c) 导致泄漏造成环境的破坏 ; 

d) 导致停机给经济带来不利的影响 ; 

e) 最低限度对 ; 安全 , 健康 , 环境 , 和 / 或经济的影响 . 

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Combining the probability of one or more of these events with its 

consequences will determine the risk to the operation. Some failures may 

occur relatively frequently without significant adverse safety, environmental 

or economic impacts. Similarly, some failures have potentially serious 

consequences, but if the probability of the incident is low, the risk may not 

warrant immediate or extensive action. However, if the probability and 

consequence combination (risk) is high enough to be unacceptable, then a 

mitigation action to reduce the probability and/or the consequence of the 

event is appropriate. 

If high risk: 

reduce 

(1) the probability and/or 

(2) the consequence 

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isk to the operation 

• relatively frequently without significant 

adverse safety, environmental or 

economic impacts. 

• potentially serious consequences, but if 

the probability of the incident is low, 

• probability and consequence combination 

(risk) is high 

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Traditionally, organizations have focused solely on the consequences or the 

POF without systematic efforts tying the two together. They have not 

considered how likely it is that an undesirable incident will occur in 

combination with the consequence. Only by considering both factors can 

effective risk-based decision-making take place. Typically, risk acceptability 

criteria are defined, recognizing that not every failure will lead to an 

undesirable incident with serious consequence (e.g. water leaks) and that 

some serious consequence incidents have very low probabilities (e.g. 

rupture of a clean propane vessel). 


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Understanding the two-dimensional aspect of risk allows new insight into the 

use of risk for inspection prioritization and planning. Figure 2 displays the 

risk associated with the operation of a number of equipment items in a 

process plant. Both the probability and COF have been determined for 10 

equipment items, and the results have been plotted. 

The points represent the risk associated with each equipment item. Ordering 

by risk produces a risk-based ranking of the equipment items to be 

inspected. From this list, an inspection plan can be developed that focuses 

attention on the areas of highest risk. An “ISO-risk” line is shown on Figure 2. 

An ISO-risk line represents a constant risk level, as shown across the matrix 

in Figure 2. 

All items that fall on or very near the ISO-risk line are roughly equivalent in 

their level of risk. A user defined acceptable risk level could be plotted as an 

ISO-risk line. In this way the acceptable risk line would separate the 

unacceptable from the acceptable risk items. Often a risk plot is drawn using 

log-log scales for a better understanding of the relative risks of the items 

assessed. 

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Key: ISO: constant risk level line


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评估的类型 ( 定性 / 定量 / 半定量 ) 

Various types of RBI assessment may be conducted at several levels. 

The choice of approach is dependent on multiple variables such as: 

a) objective of the study, 研究的目的 

b) number of facilities and equipment items to study, 设施和设备研究数 

c) available resources, 可用资源 

d) assessment time frame, 评估的时间框架 

e) complexity of facilities and processes, 设施和过程的复杂性 

f) nature and quality of available data, 现有数据性质和质量 

g) the amount of risk discrimination needed. 需要的风险偏差量 

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The RBI procedure can be applied qualitatively, quantitatively or by using 

aspects of both (i.e. semi-quantitatively). Each approach provides a 

systematic way to screen for risk, identify areas of potential concern, and 

develop a prioritized list for more in depth inspection or analysis. Each 

develops a risk ranking measure to be used for evaluating separately the 

POF and the potential COF. These two values are then combined to estimate 

risk of failure. 

定性 / 定量 / 半定量 : 每一种方法都提供了一个系统的方法来筛选风险 , 找出可能引 

起关注点与优先级列表进行更深入的检查或分析 

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The chosen approach may be selected at the beginning of the analysis 

process and carried through to completion, or the approach may be changed 

(i.e. the analysis may become more or less quantitative) as the analysis 

progresses. However, consistency of approach will be vital to comparing 

results from one assessment to the next. 

If the risk determined using any approach is below the acceptance criterion 

specified by the management of the organization conducting the analysis, no 

further analysis, inspection or mitigation steps are typically required within the 

analysis time frame as long as the conditions and assumptions used in the 

analysis remain valid. The spectrum of risk analysis should be considered to 

be a continuum with qualitative and quantitative approaches being the two 

extremes of the continuum and everything in between being a semiquantitative 

approach (see 6.3.4 and Figure 3). Use of expert opinion will 

typically be included in most risk assessments regardless of type or level. 

所选择的方法可以在分析过程的从开始到完成或中间转换为另个方法 , 分析结果 

可以为定性 / 定量 / 半定量 . 然而使用方法的一致性对后续评估数据对比是关键的 . 

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所选择的方法可以在分析过程的从开始到完成或中间转换为 

另个方法 , 分析结果可以为定性 / 定量 / 半定量 . 

定性 

半定量 

定量 

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6.3.1 Qualitative Approach 定性的方法 

This approach requires data inputs based on descriptive information using 

engineering judgment and experience as the basis for the analysis of probability 

and COF. 使用基于 (1) 工程判断和 (2) 经验的描述性信息作为后果 COF 与概率分 

析 POF. 定性分析结果的准确性取决于风险分析师和团队成员的背景和专业知识 . 

Inputs are often given in data ranges instead of discrete values. Results are 

typically given in qualitative terms such as high, medium, and low, although 

numerical values may also be associated with these categories. The value of 

this type of analysis is that it enables completion of a risk assessment in the 

absence of detailed quantitative data. The accuracy of results from a qualitative 

analysis is dependent on the background and expertise of the risk analysts and 

team members. Although the qualitative approach is less precise than more 

quantitative approaches it is effective in screening out units and equipment with 

low risk. The qualitative approach may be used for any aspect of inspection 

plan development; however, the conservatism generally inherent in the more 

qualitative approach should be considered when making final mitigation and 

inspection plan decisions. 

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Qualitative Approach-This approach requires data inputs based on descriptive 

information using engineering judgment and experience as the basis for the 

analysis of probability and COF. 

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6.3.2 Quantitative Approach 定量方法 

Fully QRA integrates into a uniform methodology the relevant information 

about facility design, operating practices, operating history, component 

reliability, human actions, the physical progression of accidents, and 

potential environmental and health effects. 

集成到一个统一的分析相关信息方法 

• about facility design, 设施设计 

• operating practices, 操作手法 

• operating history, 操作历史 

• component reliability, 元件的可靠性 

• human actions, 人类参与 

• the physical progression of accidents, and 意外的物理进展 

• potential environmental and health effects. 潜在的环境和健康影响 

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QRA uses logic models depicting combinations of events that could result in 

severe accidents and physical models depicting the progression of accidents 

and the transport of a hazardous material to the environment. The models are 

evaluated probabilistically to provide both qualitative and quantitative insights 

about the level of risk and to identify the design, site, or operational 

characteristics that are the most important to risk. QRA is distinguished from 

the qualitative approach by the analysis depth and integration of detailed 

assessments. 

定量方法通过更加深入分析和整合详细评估 , 从定性的方法区别开来 

QRA 

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analysis

QRA logic models generally consist of event trees and fault trees. Event trees 

delineate initiating events and combinations of system successes and failures, 

while fault trees depict ways in which the system failures represented in the 

event trees can occur. These models are analyzed to estimate the probability 

of each accident sequence. 逻辑模型一般包括 (1) 事件树和 (2) 故障树 

Results using this approach are typically presented as risk numbers (e.g. cost 

per year). QRA refers to a prescriptive methodology that has resulted from 

the application of risk analysis techniques at many different types of facilities, 

including hydrocarbon and chemical process facilities. For all intents and 

purposes, it is a traditional risk analysis. 

An RBI analysis shares many of the techniques and data requirements with a 

QRA. If a QRA has been prepared for a process unit, the RBI consequence 

analysis can borrow extensively from this effort. 

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QRA logic models generally consist of event trees and fault trees. 

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QRA logic models generally consist of event trees and fault trees. 

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The traditional QRA is generally comprised of five tasks: 

传统的定量风险评估一般包括五项任务 : 

1. systems identification, 系统辨识 

2. hazards identification, 危害识别 

3. probability assessment, 概率评估 

4. consequence analysis, 后果分析 

5. risk results. 风险结果 

The systems definition, hazard identification and consequence analysis are 

integrally linked. 

Hazard identification in an RBI analysis generally focuses on identifiable 

failure mechanisms in the equipment (inspectable causes) but does not 

explicitly deal with other potential failure scenarios resulting from events 

such as power failures or human errors. A QRA deals with total risk, not just 

risk associated with equipment damage. 分析一般集中在识别设备失效机理 . 

QRA 针对总风险 , 不仅仅与设备损坏相关的风险 

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QRA deals with total risk, not just risk 

associated with equipment damage. 

针对总风险 , 不仅仅与设备损坏相关的风险 

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The QRA typically involves a much more detailed evaluation than an RBI 

analysis. The following data are typically analyzed: 

定量风险评估通常涉及一个更详细的评价 

a) existing HAZOP or PHA results, 现有的 HAZOP 或 PHA 结果 

b) dike and drainage design, 堤及排水设计 

c) hazard detection systems, 危险探测系统 

d) fire protection systems, 消防系统 

e) release statistics, 解放统计 

f) injury statistics, 伤害统计 

g) population distributions, 人口分布 

h) topography, 地形学 

i) weather conditions, 天气情况 

j) land use. 土地使用 

A QRA is generally performed by experienced risk analysts. There are 

opportunities to link the detailed QRA with an RBI study. 

一般由经验丰富的风险分析进行 

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6.3.3 Semi-quantitative Approach 半定量方法 - 从定性和定量的评估方法 

Semi-quantitative is a term that describes any approach that has aspects 

derived from both the qualitative and quantitative approaches. It is geared to 

obtain the major benefits of the previous two approaches (e.g. speed of the 

qualitative and rigor of the quantitative) 采取定性的速度与定量的严谨 . 

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Typically, most of the data used in a quantitative approach is needed for this 

approach but in less detail. The models also may not be as rigorous as those 

used for the quantitative approach. The results are usually given in 

consequence and probability categories or as risk numbers but numerical 

values may be associated with each category to permit the calculation of risk 

and the application of appropriate risk acceptance criteria. 

风险结果可以用以下表达 : (1) 风险等级 (2) 风险报数或 (3) 风险等级报数 

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6.3.4 Continuum of Approaches 连续统方法 ( 复合方法 ) 

In practice, an RBI study typically uses aspects of qualitative, quantitative and 

semi-quantitative approaches. These RBI approaches are not considered as 

competing but rather as complementary. For example, 

• a high level qualitative approach could be used at a unit level to select the 

unit within a facility that provides the highest risk for further analysis. 

设施里的处理单元运用定性的方法 

• Systems and equipment within the unit then may be screened using a 

qualitative approach with. 

然后单元内的 (1) 系统和 (2) 设备使用定性的方法筛选 

• a more quantitative approach used for the higher risk items. 

上述筛选到的高风险的设备个别的进行更定量方法 

Another example could be to use a qualitative consequence analysis 

combined with a semi-quantitative probability analysis. 

另一个例子可以使用定性分析结果相结合的半定量概率分析 

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When performing risk analysis across different equipment, a single site or 

multiple sites, the user is cautioned about comparing specific results unless 

the same or very similar RBI methodologies and assumptions were applied. 

The user is also cautioned against drawing conclusions about different results 

when different methodologies are used to evaluate the same piece of 

equipment. 

The RBI process, shown in the simplified block diagram in Figure 4, depicts 

the essential elements of inspection planning based on risk analysis. This 

diagram is applicable to Figure 3 regardless of which RBI approach is applied, 

i.e. each of the essential elements shown in Figure 4 are necessary for a 

complete RBI program regardless of approach (qualitative, semi-quantitative, 

or quantitative). 

分析结果共享与对比 , 值得注意 : 

不同的设备 ( 所在地 ) 分析或不同的方法被用来分析同一台设备时 , 所得到的分 

析结果 , 除非相同或非常相似的方法和假设被运用可能有明显差异 . 

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基于风险分析的检查规划基本要素 

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6.4 Precision vs Accuracy 精度与准确度 

It is important to understand the difference between precision and accuracy 

when it comes to risk analysis. 

• Accuracy is a function of the analysis methodology, the quality of the data 

and consistency of application while 准确度受控于 ; 分析方法 , 数据的质量 , 

应用程序的一致性 . ( 计算结果偏离实际 ) 

• precision is a function of the selected metrics and computational methods. 

精确度受控于 ; 选定指标与计算方法 ( 计算数据一致性 ) 

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methodology, 

data quality, 

consistency 

Metrics, 

computation 

methods 

Accuracy 

precision 

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Risk presented as a precise numeric value (as in a quantitative analysis) 

implies a greater level of accuracy when compared to a risk matrix (as in a 

qualitative analysis). However, the implied linkage of precision and accuracy 

may not exist because of the element of uncertainty that is inherent with 

probabilities and consequences. The basis for predicted damage and rates, 

the level of confidence in inspection data and the technique used to perform 

the inspection are all factors that should be considered. 概率和后果固有的不 

确定性因素导致精度和准确度连锁性可能不存在 

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In practice, there are often many extraneous factors that will affect the 

estimate of damage rate (probability) as well as the magnitude of a failure 

(consequence) that cannot be fully taken into account with a fixed model. 

Therefore, it may be beneficial to use quantitative and qualitative methods in 

a complementary fashion to produce the most effective and efficient 

assessment. 

概率和后果固有的不确定性因素导致精度和准确度连锁性可能不存在 . 使用定 

量和定性互补的综合方式来达到有效与高效的分析法 . 

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Therefore, it may be beneficial to use quantitative and 

qualitative methods in a complementary fashion to 

produce the most effective and efficient assessment. 

定量和定性互补方式为最佳 ! 

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定量和定性互补方式为最佳 ! 

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Quantitative analysis uses logic models to calculate probabilities and 

consequences of failure. Logic models used to characterize materials damage 

of equipment and to determine the COFs typically can have significant 

variability and therefore could introduce error and inaccuracy impacting the 

quality of the risk assessment. Therefore, it is important that results from these 

logic models are validated by expert judgment. The accuracy of any type of 

RBI analysis depends on using a sound methodology, quality data, and 

knowledgeable personnel and is important to any type of RBI methodology 

selected for application. 

定量分析采用逻辑模型通常有显著误差 , 引入错误和不准确数据而影响的风险评 

估的质量 - 任何类型的基于风险检验的分析的准确度取决于使用合理的方法 , 数 

据质量 , 和熟悉情况的人员 

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Quantitative analysis uses logic models to calculate probabilities and 

consequences of failure. ………….Therefore, it is important that results from 

these logic models are validated by expert judgment. 

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认识 RBI 如何管理操作风险 

The mechanical integrity and functional performance of equipment depends on 

the suitability of the equipment to operate safely and reliably under the normal 

and abnormal (upset) operating conditions to which the equipment is exposed. 

In performing an RBI assessment, the susceptibility of equipment to damage by 

one or more mechanisms (e.g. corrosion, fatigue and cracking) is established. 

The susceptibility of each equipment item should be clearly defined for the 

current and projected operating conditions including such factors as: 

a) normal operation, 正常操作 

b) upset conditions, 非正常操作 

c) normal start-up and shutdown, 正常启动和关机 

d) idle or out-of-service time, 闲置或非操作时间 

e) emergency shutdown and subsequent start-up. 紧急停机和后续开机 

明确每台设备在以上操作 / 状况下 , 对一个或多个损伤机理的易感性 . 

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Process variables that should be considered for each operating condition 

include, but are not limited to: 应该考虑为每个操作条件过程变量包括 

a) process fluid, contaminants and aggressive components; 

工艺流体 , 污染物和侵略性成分 

b) pressures, including cyclic and transient conditions; 

压力 , 包括周期和瞬态条件 

c) temperatures, including cyclic and transient conditions; 

温度 , 包括周期和瞬态条件 

d) flow rates; 流量 

e) desired unit run length between scheduled shutdowns (turnarounds). 

周转期 

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The suitability and current condition of the equipment within the established 

IOW will determine the POF (see Section 10) of the equipment from one or 

more damage mechanisms. This probability, when coupled with the 

associated COF (see Section 11) will determine the operating risk associated 

with the equipment item (see Section 12), and therefore the need for 

mitigation, if any, such as inspection, metallurgy change or change in 

operating conditions (see Section 13 and Section 14). 

在允许的工艺操作条件下 , 不同的损伤机理造成的失效结果与相应的概率将确定 

设备风险 . 如果有的话通过 (1) 检验 , (2) 冶金变化或 (3) 改变操作条件来降低相 

关风险 . 

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Since risk is dynamic (i.e. changes with time) it is vital that any RBI process that 

is developed or selected for application have the ability to be easily updated 

(including changes in the inspection plan) when changes occur or new 

information is discovered. 风险是动态的 ; 相应的分析与检验计划也必要易于更新 . 

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Those changes might include such things as: 更新项 

a) new data from inspection activities (i.e. changes in rates of deterioration 

are noted in external, internal, or on-stream inspections); 

从检查活动的新数据 , 

b) changes in operation, operating variables or operation outside of the IOW; 

操作中的变化 , 操作变量 , 

c) changes in the process fluids, however small; 任何改变工艺流体 

d) changes in process equipment, including additions; 改变工艺设 ( 包括增加 ), 

e) equipment leaks or failures. 设备泄漏或故障 , 

Any and all of this type of information must be communicated on a timely basis 

so that changes in the inspection plan can be made, as necessary. 

信息必须及时传达 , 检验计划可根据需要更改 

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6.6 Management of Risks 风险管理 

6.6.1 Risk Management Through Inspection 通过检验风险管理 

The objective of RBI is to direct management’s decision process of prioritizing 

resources to manage risk. 

RBI 的目的是引导管理层对管理风险的资源运用优先次序决策 . 

Inspection influences the uncertainty of the risk associated with pressure 

equipment primarily by improving knowledge of the deterioration state and 

predictability of the POF. Although inspection does not reduce risk directly, 

it is a risk management activity (provider of new information) that may lead 

to risk reduction. 

检验虽然不能直接的降低风险 , 然而能提供对受压 ; 

1. 设备的劣化状态的了解和 

2. 增加故障概率 POF 可预测性 

从而导致降低风险 . 

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The objective of RBI is to direct management’s decision process of prioritizing 

resources to manage risk. RBI 的目的是引导管理层对管理风险的资源运用优先 

次序决策 . 

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Impending failure of pressure equipment is not avoided by inspection activities 

unless the inspection precipitates risk mitigation activities that change the POF. 

In-service inspection is primarily concerned with the detection and monitoring 

of deterioration. 

在役检查主要关注点是发现和监测设备退化 . 检查活动并不能避免压力设备即将 

出现的故障 , 除非检查活动导致风险缓解从而改变故障概率 . 

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The POF due to such deterioration is a function of four factors: 

设备退化影响故障概率的因素有四个 

a) deterioration type and mechanism, 退化类型和机理 , 

b) rate of deterioration, 劣化率 , 

c) probability of identifying and detecting deterioration and predicting future 

deterioration states with inspection techniques, 

所使用的检查方法 , 识别和检测恶化并预测未来的恶化状态的概率 , 

d) tolerance of the equipment to the type of deterioration. 

设备对相关劣化容忍性 , 

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1. 退化类型和机制 

2. 劣化率 

3. 所使用的检查方法可探性 

4. 设备对相关劣化容忍性 .

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6.6.2 Using RBI to Establish Inspection Plans and Priorities 

建立检验计划和优先事项 

The primary product of an RBI effort should be an inspection plan for each 

equipment item evaluated. RBI is a logical and structured process for planning 

and evaluating inspection activities for pressure equipment. The inspection 

plan should detail the unmitigated risk related to the current operation. For 

risks considered unacceptable, the plan should contain the mitigation actions 

that are recommended to reduce the unmitigated risk to acceptable levels. 

检验计划应详细说明当前操作中的设备可能存在的未缓和风险 . 对于存在不可接 

受的风险的设备 , 该计划应包含减缓行动以减少风险到可接受的水平 

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For those equipment items where inspection is a cost-effective means of risk 

management, the plans should describe the type, scope and timing of 

inspection/examination recommended. Ranking of the equipment by the 

unmitigated risk level allows users to assign priorities to the various 

inspection/examination tasks. The level of the unmitigated risk should be used 

to evaluate the urgency for performing the inspection. 

该计划应说明检验 / 检查建议的类型 , 范围和时间 . 设备风险等级 / 顺序应该被用于 

评估检查的紧迫性 . 

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该计划应说明 

检验 / 检查建议 

的类型 , 范围和 

时间 . 设备风险 

等级 / 顺序应该 

被用于评估检 

查的紧迫性 .

6.6.3 Evaluation and Fitness-For-Service Analysis 评估与适用性分析 

Evaluation of the results of the inspection and examination activities and 

conducting an assessment of fitness for continued service are also key parts 

of the RBI process. Although the reduction in uncertainty provided by the 

inspection process can help to better quantify the calculated risk, without 

evaluation of inspection results and assessment of equipment Fitness-For- 

Service after the inspection, effective risk reduction may not be accomplished. 

The Fitness-For-Service assessment is often accomplished through the 

knowledge and expertise of the inspector and engineers involved when 

deterioration is within known acceptable limits, but on occasion will require an 

engineering analysis such as those contained in API 579-1/ASME FFS-1. 

适用性分析一般上是由牵涉的检查员和工程师运用相关知识和专业技能完成 , 然 

而很多时候需要更加详细的工程分析来完成此项工作 ( 例如 API 579-1/ASME 

FFS-1) 

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6.6.4 Other Risk Management 其他风险管理 

Some risks cannot be adequately managed by inspection alone. Examples 

where inspection may not be sufficient to manage risks to acceptable levels 

are: 一些风险不能单独被检查得到充分管理 

a) equipment nearing retirement; 设备即将退休 

b) failure mechanisms (such as brittle fracture, fatigue) where avoidance of 

failure primarily depends on design and operating within a defined 

pressure/temperature envelope; 失效机理 ( 如脆性断裂 , 疲劳 ) 失效主要取决 

于设备的设计和操作 . 

c) consequence-dominated risks. 结果支配风险 

In such cases, non-inspection mitigation actions (such as equipment repair, 

replacement or upgrade, equipment redesign or maintenance of strict controls 

on operating conditions) may be the only appropriate measures that can be 

taken to reduce risk to acceptable levels. See Section 14 for methods of risk 

mitigation other than inspection. 

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non-inspection mitigation 非检查缓解 

In such cases, non-inspection mitigation actions such as; 

1. equipment repair, 设备维修 

2. replacement or upgrade, 更换或升级 

3. equipment redesign or 重新设计 

4. maintenance of strict controls on operating conditions 严格控制操作条件 

may be the only appropriate measures that can be taken to reduce risk to 

acceptable levels. See Section 14 for methods of risk mitigation other than 

inspection. 

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6.7 Relationship Between RBI and Other Risk-Based and Safety 

Initiatives RBI 和其他基于风险的安全举措之间的关系 

6.7.1 General 综合 

The risk-based inspection methodology is intended to complement other riskbased 

and safety initiatives. The output from several of these initiatives can 

provide input to the RBI effort, and RBI outputs may be used to improve safety 

and risk-based initiatives already implemented by organizations. Examples of 

some of these other initiatives are: 

OSHA PSM programs 

EPA risk management programs 

ACC responsible care 

ASME risk assessment publications 

CCPS risk assessment techniques 

RCM 

PHA 

safeguarding analysis 

SIL 

LOPA 

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The relationship between RBI and several initiatives is described in 6.7.2 

through 6.7.4. 

RBI 旨在补充其他基于风险和安全步骤 ( 方法 ). 这些其他举措的输出也可以作为 

RBI 信息输入 . RBI 输出可用于提高其他已经实施基于风险的举措的安全性 . 

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RBI 和其他基于风险的安全举 

措之间的关系 - 旨在补充其他 

基于风险和安全举措 .

6.7.2 PHA 

A Process Hazard Analysis (PHA) uses a systemized approach to identify and 

analyze hazards in a process unit. The RBI study can include a review of the 

output from any PHA that has been conducted on the unit being evaluated. 

Hazards associated with potential equipment failure due to in-service 

degradation identified in the PHA can be specifically addressed in the RBI 

analysis. Potential hazards identified in a PHA will often affect the POF side of 

the risk equation. The hazard may result from a series of events that could 

cause a process upset, or it could be the result of process design or 

instrumentation deficiencies. In either case, the hazard may increase the POF, 

in which case the RBI assessment could reflect the same. 

PHA 往往会影响风险方程的 POF 侧 


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Some hazards identified affect the 

consequence side of the risk equation. For 

example, the potential failure of an isolation 

valve could increase the inventory of material 

available for release in the event of a leak. 

The consequence calculation in the RBI 

procedure could be modified to reflect this 

added hazard. Likewise, the results of an RBI 

assessment can significantly enhance the 

overall value of a PHA and help to avoid 

duplicate effort by two separate teams 

looking at the risk of failure. 

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6.7.3 PSM Process Safety Management 工艺安全管理 

An effective PSM system can significantly reduce risk levels in a process plant 

(refer to OSHA 29 CFR 1910.119 and API 750). RBI may include 

methodologies to assess the effectiveness of the management systems in 

maintaining mechanical integrity. The results of such a management systems 

evaluation are factored into the risk determinations. Several of the features of 

an effective PSM program provide input for an RBI study. Extensive data on 

the equipment and the process are required in the RBI analysis, and output 

from PHA and incident investigation reports increases the validity of the study. 

In turn, the RBI program can improve the mechanical integrity aspect of the 

PSM program. 

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An effective PSM program includes a well-structured and effective pressure 

equipment inspection program. The RBI system will improve the focus of the 

inspection plan, resulting in a strengthened PSM program. 

RBI 程序可以提高 PSM 程序的机械完整性方面 

Operating with a comprehensive inspection program should reduce the risks of 

releases from a facility and should provide benefits in complying with safetyrelated 

initiatives. 

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6.7.4 Equipment Reliability 设备可靠性 

Equipment reliability programs can provide input to the probability analysis 

portion of an RBI program. Specifically, reliability records can be used to 

develop equipment failure probabilities and leak frequencies. Equipment 

reliability is especially important if leaks can be caused by secondary failures, 

such as loss of utilities. 

Reliability efforts, such as reliability centered maintenance (RCM), can be 

linked with RBI, resulting in an integrated program to reduce downtime in an 

operating unit. At facilities with an effective RBI program, the RCM program 

can typically focus on the reliability aspects of equipment other than pressure 

equipment, and perhaps just focus on the reliability aspects of pressure 

equipment that do not pertain to loss of containment (e.g. tray damage and 

valve reliability). 

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6.8 Relationship with Jurisdictional Requirements 与司法要求的关系 

Codes and legal requirements vary from one jurisdiction to another. In some 

cases, jurisdictional requirements mandate specific actions such as the type of 

inspections and intervals between inspections. In jurisdictions that permit the 

application of the API inspection codes and standards, RBI should be an 

acceptable method for establishing inspection plans and setting inspection 

due dates. All users should review their jurisdictional code and legal 

requirements for acceptability of using RBI for inspection planning purposes. 

The fact that some jurisdictions may have some prescriptive time-based rules 

on inspection intervals do not preclude the user from gaining significant 

benefits from the application of RBI, as long as jurisdictional requirements are 

met and as long as the local regulations do not specifically prohibit the use of 

RBI planning. 

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Those benefits can include: 

a) application of RBI can provide evidence of sound risk management and 

integrity monitoring programs that can be used as a basis for advocating 

adoption of RBI by jurisdictions, 

b) application of RBI can provide evidence of fulfilling requirements of meeting 

specific industry standards as well as other types of asset integrity programs, 

c) application of RBI can provide a basis for reducing risk further than what 

may be achieved through time-based inspection rules. 

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评估计划 

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Contents 


7.1 Getting Started 


7.3 Initial Screening 

7.4 Establish Operating Boundaries 


7.6 Estimating Resources and Time Required 

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7.1 Getting Started 开始 

This section helps a user determine the scope and the priorities for an RBI 

assessment. Screening is done to focus the effort. Boundary limits are 

identified to determine what is vital to include in the assessment. The 

organizing process of aligning priorities, screening risks, and identifying 

boundaries improves the efficiency and effectiveness of conducting the RBI 

assessment and its end-results in managing risk. An RBI assessment is a 

team-based process. At the beginning of the exercise, it is important to answer 

the following questions. 

分析作业前需要确定的几点 

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Why the assessment is being done? 

How the RBI assessment will be 

carried out? 

What knowledge and skills are 

required for the assessment? 

Who is on the RBI team? 

What are their roles in the RBI 

process? 

Who is responsible and accountable 

for what actions? 

What data is to be used in the 

assessment? 

What codes and standards are 

applicable? 

When the assessment will be 

completed? 

How long the assessment will remain 

in effect and when it will be updated? 

How the results will be used? 

What is the plan period? 

Which facilities, assets, and 

components will be included? 

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At the conclusion of the planning portion of the development of the RBI program, 

the following should have been completed: 

以下为整个计划必须完成的前期规划点 

a) establish the objectives of the risk analysis, 建立风险分析的目标 

b) identify the physical boundaries, 识别物理边界 

c) identify the operating boundaries, 确定操作范围 

d) develop screening questions and criteria consistent with the objectives of the 

analysis and identified physical and operating boundaries. 

根据上述三点 , 开发筛选问题和一致准据 

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识别物理边界 

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确定操作范围

Once this portion of the RBI planning process has been completed, the data 

and information required for collection should be identified (see Section 8). 

Note that it may be necessary to revise the objectives, boundaries, screening 

questions, etc., based upon the availability and quality of the data and 

information. 

当上述的事项认明后 , 需要收集的数据和资料应相应的确定与开始收集 . 需要注 

意的是 , 上述的变数可能按照需要做修改 . 

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确立目标和目的 

7.2.1 General 明确 

7.2.2 Understand Risks 认识风险 

7.2.3 Define Risk Criteria 风险准据定义 

7.2.4 Management of Risks 风险管理 

7.2.5 Reduce Costs 降低成本 

7.2.6 Meet Safety and Environmental Management Requirements 环保要求 

7.2.7 Identify Mitigation Alternatives 确定缓解的替代 

7.2.8 New Project Risk Assessment 新的项目风险评估 

7.2.9 Facilities End of Life Strategies 临近最终使用期策略 

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确立目标和目的 

7.2.1 General 明确 

An RBI assessment should be undertaken with clear objectives and goals that 

are fully understood by all members of the RBI team and by management. 

Some examples are listed in 7.2.2 to 7.2.9. 

7.2.2 Understand Risks 认识风险 

An objective of the RBI assessment may be to better understand the risks 

involved in the operation of a plant or process unit and to understand the 

effects that inspection, maintenance and mitigation actions have on the risks. 

From the understanding of risks, an inspection program may be designed that 

optimizes the use of inspection and plant maintenance resources. 

从认识风险 , 设计一份检验计划来完善检验工作和利用实际的工厂维护资源 . 

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7.2.3 Define Risk Criteria 定义风险准据 

An RBI assessment will determine the risk associated with the items assessed. 

The RBI team and management may wish to judge whether the individual 

equipment item and cumulative risks are acceptable. Establishing risk criteria 

to judge acceptability of risk could be an objective of the RBI assessment if 

such criteria do not exist already within the user’s company. 

制定风险数据来判断风险的可接受性 

7.2.4 Management of Risks 风险管理 

When the risks are identified, inspection actions and/or other mitigation that 

have a positive effect in reducing risk to an acceptable level may be 

undertaken. These actions may be significantly different from the inspection 

actions undertaken during a statutory or certification type inspection program. 

The results of managing and reducing risk are improved safety, avoided losses 

of containment, and avoided commercial losses. 当风险被识别后 , (1) 检测和 / 或 

(2) 其他缓解活动 , 将进行来降低风险到可接受的水平 . 这些工作 / 活动或许显著不 

同法定或认证检验要求 . 

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7.2.5 Reduce Costs 降低成本 

Reducing inspection costs is usually not the primary objective of an RBI 

assessment, but it is frequently a side effect of optimization. When the 

inspection program is optimized based on an understanding of risk, one or 

more of the following cost reduction benefits may be realized: 

减少检查费用通常不是首要目标但它是经常优化的副作用 

a) ineffective, unnecessary or inappropriate inspection activities may be 

eliminated; 无效的 , 不必要的或不适当的视察活动可能被淘汰 

b) inspection of low-risk items may be eliminated or reduced; 

低风险的项目进行检查也可以消除或减少 

c) on-line or noninvasive inspection methods may be substituted for invasive 

methods that require equipment shutdown; 

在职非介入检验代替介入检验 , 这样能避免停机 . 

d) more effective infrequent inspections may be substituted for less effective 

frequent inspections. 

更有效的低频繁代替低效频繁检验 

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7.2.6 Meet Safety and Environmental Management Requirements 

符合安全标准和环境管理要求 

Managing risks by using RBI assessment can be useful in implementing an 

effective inspection program that meets performance-based safety and 

environmental requirements. RBI focuses efforts on areas where the greatest 

risks exist. RBI provides a systematic method to guide a user in the selection 

of equipment items to be included and the frequency, scope, and extent of 

inspection activities to be conducted to meet performance objectives. 

在实施有效的检查计划也带来符合基于性能的安全性及环保要求 . 

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7.2.7 Identify Mitigation Alternatives 缓解选择识别 

The RBI assessment may identify risks that may be managed by actions 

other than inspection. Some of these mitigation actions may include but are 

not limited to: 可以通过其他行动替代检查来管理风险相有 ; 

a) modification of the process to eliminate conditions driving the risk; 

工艺修改 .( 降低 POF/COF) 

b) modification of operating procedures to avoid situations driving the risk; 

修改操作程序 .( 降低 POF/COF) 

c) chemical treatment of the process to reduce deterioration 

rates/susceptibilities; 

化学处理 ( 降低 POF) 

d) change metallurgy of components to reduce POF; 

改变组件的冶金降低故障概率 POF 

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e) removal of unnecessary insulation to reduce probability of corrosion under 

insulation; 去除不必要的保温层以减少腐蚀的概率 ( 降低 POF) 

f) reduce or limit available inventories to reduce COF; 

减少或限制设备编制 ( 库存 ) 降低 COF 

g) upgrade safety, detection or loss limiting systems; 

提升安全性 , 检测或流失限制系统 ( 降低 COF) 

h) change process fluids to less flammable or toxic fluids; 

改变工艺流体不易燃或有毒液体 ( 降低 COF) 

i) change component design to reduce POF; 更改组件的设计达到降低 POF 

j) process control and adherence to IOW. 

过程控制和严守操作工艺界限 .( 降低 POF/COF) 

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The data within the RBI assessment can be useful in determining the optimum 

economic strategy to reduce risk. The strategy may be different at different 

times in a plant’s life cycle. For example, it is usually more economical to 

modify the process or change metallurgy when a plant is being designed than 

when it is operating. 缓解策略在不同的周期而别 ( 如运作 / 设计阶段 ) 

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The RBI assessment may 

identify risks that may be 

managed by actions other than 

inspection. ….. 

HOW INSPECTION 

MANAGEED RISK? 

一句老话 : 质量不是检出的 ! 

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7.2.8 New Project Risk Assessment 

新建项目风险评估 

An RBI assessment made on new 

equipment or a new project, while in 

the design stage, may yield important 

information on potential risks. This 

may allow potential risks to be 

minimized by design and have a riskbased 

inspection plan in place prior to 

actual installation. 新的项目风险评估有 

利于通过设计最小化潜在的风险

New Project Risk Assessment 

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7.2.9 Facilities End of Life Strategies 设施使用寿命后期策略 

Facilities approaching the end of their economic or operating service life are a 

special case where application of RBI can be very useful. The end of life case 

for plant operation is about gaining the maximum remaining economic benefit 

from an asset without undue personnel, environmental or financial risk. 

End of life strategies focus the inspection efforts directly on high-risk areas 

where the inspections will provide a reduction of risk during the remaining life 

of the plant. Inspection activities that do not impact risk during the remaining 

life are usually eliminated or reduced. 不影响风险的检验活动减少或删除而关注 

高风险项目 

End of life inspection RBI strategies may be developed in association with a 

Fitness-For-Service assessment of damaged components using methods 

described in API 579-1/ASME FFS-1. It is important to revisit the RBI 

assessment if the remaining plant life is extended after the remaining life 

strategy has been developed and implemented. 可以结合适用性评估作为更加 

有效的策略 . 

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7.3 Initial Screening 初步筛选 

7.3.1 General 

The screening process focuses the analysis on the most important group of 

equipment items so that time and resources are more effectively utilized. 

焦点设备项目最重要的一组 

7.3.2 Establish Physical Boundaries of an RBI Assessment 物理界限 

Boundaries for physical assets included in the assessment are established 

consistent with the overall objectives. The level of data to be reviewed and 

the resources available to accomplish the objectives directly impact the extent 

of physical assets that can be assessed. 来完成目标的数据水平和可用的资源 

影响物理界限 

The scope of an RBI assessment may vary between an entire refinery or 

plant and a single component within a single piece of equipment. Typically, 

RBI is done on multiple pieces of equipment (e.g. an entire process unit) 

rather than on a single component. 评估范围可从全厂或小至设备的某组件 . 一 

般来说评估范围为多个设备 ( 例如 , 整个处理单元 ) 

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Typically, RBI is done on multiple pieces of equipment (e.g. an 

entire process unit) rather than on a single component. 一般来 

说评估范围为多个设备 ( 例如 , 整个处理单元 ) 

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Screening Levels 

1. Facilities 

2. Process Units 

3. Systems 

4. Equipments 

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Facility-Plant 

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Facility-Units 

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http://www.energyimages.com/refineryschematic.jpg

process units 

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System – Sour Water Striper 

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System – CS Vessel 230psig, 230ºC , c=3mm 

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Equipment -Sour Water Striper Column, 

Condenser & CS Vessel

7.3.3 Facilities Screening 设备筛选 

At the facility level, RBI may be applied to all types of plants including but not 

limited to: 

a) oil and gas production facilities, 石油和天然气生产设施 

b) oil and gas processing and transportation terminals, 

石油和天然气加工和运输终端 

c) refineries, 炼油厂 

d) petrochemical and chemical plants, 石化和化工厂 

e) pipelines and pipeline stations, 管道和管道站 

f) liquified natural gas plants. 液化天然气工厂 

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石油和天然气生产设施 

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石油和天然气加工和运输终端 

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炼油厂 

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石化和化工厂 

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管道和管道站 

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液化天然气工厂 

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Examples of key questions to answer at the facility level are listed as follows. 

a) Is the facility located in a regulatory jurisdiction that will accept modifications 

to statutory inspection intervals based on RBI? 

基于风险分析方法被法定接受吗 ? 

b) Is the management of the facility willing to invest in the resources necessary 

to achieve the benefits of RBI? 

设施管理层愿意投资吗 ? 

c) Does the facility have sufficient resources and expertise available to 

conduct the RBI assessment? 

是否有足够的资源和专门知识来进行评估 ? 

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facility level 

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facility level 

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设施水平需要回答的关键问题 : 

(1) 基于风险分析方法被法定接受吗 ? 

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(2) 设施管理层愿意投资吗 ? 

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(3) 是否有足够的资源和专门知识来进行评估 ? 

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Screening at the facility level may be done by a simplified qualitative RBI 

assessment. Screening at the facility level could also be done by: 

设施水平可能通过一个简化的定性评估完成 . 帅选因素有 

a) asset or product value, 资产或产品价值 

b) history of problems/failures at each facility, 在每个设施的问题 / 故障历史 

c) PSM (process safety management) /non-PSM facilities, PSM / 非 PSM 设施 

d) age of facilities, 设施的年龄 

e) proximity to the public, 靠近公共设施 

f) proximity to environmentally sensitive areas. 邻近环境敏感地区 

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Schematic 

overview of 

a refinery 

炼油厂的总 

体示意图 

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http://www.globalspec.com/reference/79004/203279/chapter-3-fuels-from-petroleum-and-heavy-oil

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Flow diagram of a typical 

oil refinery 

典型炼油厂流程图 

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7.3.4 Process Units Screening 工艺装置 ( 处理单元 ) 筛选 

If the scope of the RBI assessment is a multi-unit facility, the first step in the 

application of RBI is screening of entire process units to rank relative risk. 

The screening points out areas that are higher in priority and suggests which 

process units to begin with. It also provides insight about the level of 

assessment that may be required for operating systems and equipment 

items in the various units. Priorities may be assigned based on one of the 

following: 帅选全部处理单元 , 按照优先级别 ( 相对风险 ) 排名 . 优先级别可以根 

据以下被分配 

a) relative risk of the process units, 处理单元的相对风险 

b) relative economic impact of the process units, 处理单元的相对经济影响 

c) relative COF of the process units, 处理单元的相对的 COF 

d) relative reliability of the process units, 处理单元相对可靠性 

e) turnaround schedule, 周转时间表 

f) experience with similar process units. 与同类处理单元经历 

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Examples of key questions to answer at the process unit level are similar to the 

questions at the facility level. 

a) Does the process unit have a significant impact on the operation of the 

facility? 评估对设施的运作有显著影响吗 ? 

b) Are there significant risks involved in the operation of the process unit and 

would the effect of risk reduction be measurable? 能显著降低风险量吗 ? 

c) Do process unit operators see that some benefit may be gained through the 

application of RBI? 操作者会感受到益处吗 ? 

d) Does the process unit have sufficient resources and expertise available to 

conduct the RBI assessment? 有充足的资源和专业知识执行评估吗 ? 

e) What is the failure history in this unit? 设施故障历史记录 ? 

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Crude Oil instillation 

原油蒸馏

Catalytic Reforming 催化转化 

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Process Units 

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7.3.5 Systems within Process Unit Screening 处理单元细分下系统筛选 

It is often advantageous to group equipment within a process unit into systems, 

loops, or circuits where common environmental operating conditions exist 

based on process chemistry, pressure and temperature, metallurgy, 

equipment design and operating history. By dividing a process unit into 

systems, the equipment can be screened together saving time compared to 

treating each piece of equipment separately. In case the risks of each piece of 

equipment in the system show a common sensitivity to changes in process 

conditions, then a screening can establish one single IOW with common 

variables and ranges for the entire system. 

Block flow or process flow diagrams for the unit may be used to identify the 

systems including information about metallurgy, process conditions, credible 

damage mechanisms and historical problems. 

在工艺单元 ( 处理单元 ); 以相同工艺化学 , 压力和温度 , 冶金 , 装备设计和操作历史 

等 , 细分为工艺系统 / 环路有助于节省分析工作 . 

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以设备细分为系统 – Condenser System 

Hydrodesulfurization 加氢脱硫过程 

http://en.wikipedia.org/wiki/Hydrodesulfurization 


以相同工艺化学 , 压力和温度细分为系统 300psig 

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以冶金细分为系统 – Carbon Steel 

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Delayed Coker 延迟焦化装置 – Coke Drum System 


Catalytic Reforming 催化转化 – Fire Heater System 

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When a process unit is identified for an RBI assessment and overall 

optimization is the goal, it is usually best to include all systems within the 

unit. Practical considerations such as resource availability may require that 

the RBI assessment is limited to one or more systems within the unit. 

虽然当一个处理单元被确定为 RBI 评估和整体优化为评估目标 , 通常最好覆盖 

处理单元内全部系统 . 实际的考虑因素可能考虑到可用资源 , 评估仅只能限于单 

元内的一个或多个系统 

Selection of systems may be based on the following: 择的系统可以基于以下 

a) relative risk of the systems, 系统的相对风险 

b) relative COF of systems, 系统相对 COF 

c) relative reliability of systems, 系统相对可靠性 

d) expected benefit from applying RBI to a system, 预期效果 

e) sensitivities of risk to changes in process conditions. 

工艺条件变化的风险敏感度 , 

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7.3.6 Equipment Item Screening 设备筛选 

In most plants, a large percentage of the total unit risk will be concentrated in 

a relatively small percentage of the equipment items. These potential highrisk 

items should receive greater attention in the risk assessment. 

Screening of equipment items is sometimes conducted to identify the 

higher risk items to carry forward to more detailed risk assessment. An RBI 

assessment may be applied to all pressure containing equipment such as: 

在很多设施 , 很大的总风险比例一般上都集中在一小部分的设备 . 筛选识别 

风险较高的设备进行更详细的风险评估 . 被评估的受压设备有 ; 

piping, 管系 

pressure vessels, 压力容器 

reactors, 反应器 

heat exchangers, 换热器 

furnaces and boilers, 炉和锅炉 

tanks, 罐 

pumps (pressure boundary), 泵 * 

compressors (pressure boundary), 压缩机 * 

pressure-relief devices, 压力释放装置 

control valves (pressure boundary). 控制阀 * 

* ( 压力边界 ) 

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Selection of equipment types to be included is based on meeting the 

objectives discussed in 7.2. The following issues may be considered in 

screening the equipment to be included. 设备筛选考虑因素有 

a) Will the integrity of safeguard equipment be compromised by damage 

mechanisms? 设备的完整性会被损坏机理破坏吗 ? 

b) Which types of equipment have had the most reliability problems? 

哪种设备有可靠性问题 ? 

c) Which pieces of equipment have the highest COF if there is a pressure 

boundary failure? 压力边界失效哪个设备会有最高的 COF? 

d) Which pieces of equipment are subject to the most deterioration that could 

affect pressure boundary containment? 哪个设备退化的最快导致溶液流失 ? 

e) Which pieces of equipment have lower design safety margins and/or lower 

corrosion allowances that may affect pressure boundary containment 

considerations? 哪个设备具较低的设计安全裕度与腐蚀余量导致溶液流失 

( 压力边界围堵 )? 

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Boiler feedwater deaerator 

锅炉给水除氧器 

A horizontal, recirculating 

thermosyphon reboiler 

循环热虹吸重沸器 

http://en.wikipedia.org/wiki/User:Mbeychok/MRB%27s_image_gallery 

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7.3.7 Utilities, Emergency and Off-plot Systems 后勤 , 应急与外场系统 

Whether or not utilities, emergency and off-plot systems should be included 

depends on the planned use of the RBI assessment and the current 

inspection requirements of the facility. Possible reasons for inclusion of offplot 

and utilities are listed below as follows. 

a) The RBI assessment is being done for an overall optimization of inspection 

resources and environmental and business COF are included. 整体优化 ( 检 

验 / 环境 / 企业影响 ) 

b) There is a specific reliability problem in a utility system. An example would 

be a cooling water system with corrosion and fouling problems. An RBI 

approach could assist in developing the most effective combination of 

inspection, mitigation, monitoring, and treatment for the entire facility. 

在后勤系统中特定的可靠性问题 ,RBI 作为可信解决方案 

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c) Reliability of the process unit is a major objective of the RBI analysis. 

工艺设备的可靠性是 RBI 分析的一个主要目标 

When emergency systems (e.g. flare systems, emergency shutdown systems) 

are included in the RBI assessment, their service conditions during both 

routine operations and upset should be considered. 

急系统评估 , 应当考虑 , 设备日常与倾覆运转 

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7.4 Establish Operating Boundaries 制定操作范围 

7.4.1 General 总则 

Similar to physical boundaries, operating boundaries for the RBI study are 

established consistent with the study objectives, level of data to be reviewed 

and resources. The purpose of establishing operational boundaries is to 

identify key process parameters that may impact deterioration. The RBI 

assessment normally includes review of both POF and COF for normal 

operating conditions. Start-up and shutdown conditions as well as emergency 

and non-routine conditions should also be reviewed for their potential effect on 

POF and COF. 

制定操作范围的目的是识别可能会影响恶化的关键工艺参数 . 在启动 / 关机以及紧 

急和非常规条件下操作对 POF/COF 潜在影响也是审查项 . 

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The operating conditions, including any sensitivity analysis, used for the RBI 

assessment should be recorded as the operating limits for the assessment. 

Operating within the boundaries is fundamental to the validity of the RBI study 

as well as good operating practice. It is vital to establish and monitor key 

process parameters that may affect equipment integrity to determine whether 

operations are maintained within boundaries (i.e. IOWs). 

操作条件 , 包括任何的敏感性分析作为 RBI 分析参数 , 应记录为操作限制 . 在这限 

制下操作也是风险评估的有效性基础 , 以及有效性良好的运行实践 

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7.4.2 Start-up and Shutdown 启动和关机 

Process conditions during start-up and shutdown can have a significant effect 

on the risk of a plant especially when they are more severe (likely to cause 

accelerated deterioration) than normal conditions, and as such should be 

considered for all equipment covered by the RBI assessment. A good example 

is polythionic acid stress corrosion cracking (PTASCC). The POF for 

susceptible equipment is controlled by whether mitigation measures are applied 

during shutdown procedures to avoid PTASCC. Start-up lines are often 

included within the process piping and their service conditions during start-up 

and subsequent operation should be considered. 

启动和关机过程中的工艺条件 , 可能对设备加速劣化从而对风险有显著负面影响 . 

这也是 RBI 评估应考虑的范围 . 

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7.4.3 Normal, Upset, and Cyclic Operation 正常 , 颠覆 , 循环操作 

The normal operating conditions may be most easily provided if there is a 

process flow model or mass balance available for the plant or process unit. 

However, the normal operating conditions found on documentation should 

be verified by unit operations personnel as it is not uncommon to find 

discrepancies between design and operating conditions that could impact 

the RBI results substantially. 

流程模型和物量配平衡的数据一般能很方便的作为平常操作参数的来源 , 然而 

这文档数据与现实数据可能存在偏差 . 这些文档数据应当由生产操作人员核实 

以导致 RBI 错误的评估 . 

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the normal operating conditions found on documentation should be verified 

by unit operations personnel as it is not uncommon to find discrepancies 

between design and operating conditions that could impact the RBI results 

substantially. 

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The following data should be provided: 下列为必须提供的数据 

a) operating temperature and pressure including variation ranges, 

操作温度和压力以及的变化范围 

b) process fluid composition including variation with feed composition ranges, 

过程流体成分变化 , 包括原料成分波动范围 

c) flow rates including variation ranges, 流速包括波动 

d) presence of moisture or other contaminant species. 含水量与其他污染物 

Changes in the process, such as pressure, temperature or fluid composition, 

resulting from unit abnormal or upset conditions should be considered in the 

RBI assessment. 

非正常或颠覆情况导致的工艺参数变化 ( 比如 : 压力 , 温度 , 流体成分 , 等 ) 也应当作 

为评估考虑范围 

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The RBI assessment on systems with cyclic operation, such as reactor 

regeneration systems, should consider the complete cyclic range of conditions. 

Cyclic or intermittent conditions could impact the POF due to some damage 

mechanisms (e.g. mechanical fatigue, thermal fatigue, corrosion-fatigue, and 

corrosion under insulation). Examples include pressure swing absorption 

vessels, catalytic reforming unit regeneration piping systems, deaerator vessels, 

and insulated equipment that normally operates at higher temperatures but is 

subjected to periods of inactivity. 

再生系统循环操作带来的操作参数范变动也是考虑项 . 

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7.4.4 Operating Time Period 操作时间段 

The unit run lengths of the selected process units/equipment is an important 

limit to consider. The RBI assessment may include the entire operational life, 

or may be for a selected period. For example, process units are occasionally 

shut down for maintenance activities and the associated run length may 

depend on the condition of the equipment in the unit. An RBI analysis may 

focus on the current run period or may include the current and next-projected 

run period. The time period may also influence the types of decisions and 

inspection plans that result from the study, such as inspection, repair, replace, 

operating, and so on. Projected operational changes are also important as 

part of the basis for the operational time period. 

对于间断性工作与中间维修的设备 , 评估可包括在整个运行寿命 , 或者可以为选 

定的间隔 ( 当前运作至周转的时间间隔 , 或更长的间隔时段 ). 

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选择 RBI 评估的类型 

Selection of the type of RBI assessment will be dependent on a variety of 

factors, such as: 依赖于多种因素 

a) is the assessment at a facility, process unit, system, equipment item, or 

component level; 

评估的级别 ; 设施 , 处理单元 , 系统 , 设备项目或组件 

b) objective of the assessment; 评估的目的 

c) availability and quality of data; 可用性和数据的质量 

d) resource availability; 资源可用性 

e) perceived or previously evaluated risks; 意识或之前的风险评估 

f) time constraints. 时间限制 

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A strategy should be developed, matching the type of assessment to the 

expected or evaluated risk. For example, processing units that are expected to 

have lower risk may only require simple, fairly conservative methods to 

adequately accomplish the RBI objectives. Whereas, process units which 

have a higher expected risk may require more detailed methods. Another 

example would be to evaluate all equipment items in a process unit 

qualitatively and then evaluate the higher risk items identified more 

quantitatively. See 6.3 for more on types of RBI assessment. 

评估策略应符合分析目的与预期风险 ; 例如 , 风险较低的处理单元可能只需要简 

单的 , 相当保守的方法 . 然而 , 有较高预期风险的处理单元需要更详细的方法 . 

另一个例子是将所有单元设备项目首先做定性评估 , 然后确定的高风险项目再对 

高风险项目更加的详细的定量评估 

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评估策略应符合分析目的与 

预期风险 ; 例如 , 风险较低的 

处理单元可能只需要简单 

的 , 相当保守的方法 . 然而 , 

有较高预期风险的处理单元 

需要更详细的方法 . 

另一个例子是将所有单元设 

备项目首先做定性评估 , 然 

后确定的高风险项目再对高 

风险项目更加的详细的定量 

评估 

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7.6 Estimating Resources and Time Required 估算资源及所需时间 

The resources and time required to implement an RBI assessment will vary 

widely between organizations depending on a number of factors including: 

不同组织之间有很大的差别 . 依赖许多因素如 

a) implementation strategy/plans, 实施策略 / 计划 

b) knowledge and training of implementers, 实施者的培训 / 知识 

c) availability and quality of necessary data and information, 

必要数据 / 信息的可获取性与质量 

d) availability and cost of resources needed for implementation, 

实施资源可获取性 

e) amount of equipment included in each level of RBI analysis, 设备的数量 

f) degree of complexity of RBI analysis selected, 所选分析的复杂度 

g) degree of precision required. 精确度要求 

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The estimate of scope and cost involved in completing an RBI assessment 

might include the following: 用于完成评估的范围和费用的估算 

a) number of facilities, units, equipment items, and components to be 

evaluated; 被评估的设备 , 单元 , 设备及元件数量 , 

b) time and resources required to gather data for the items to be evaluated; 

收集数据所需要的时间与资源 , 

c) training time for implementers; 人员培训时间 , 

d) time and resources required for RBI assessment of data and information; 

分析资料的时间与资源 , 

e) time and resources to evaluate RBI assessment results and develop 

inspection, maintenance, and mitigation plan. 

评估分析结果 , 制定检查 , 维护和缓解计划的时间与资源 . 

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8 Data and Information 

Collection for RBI 

Assessment 

数据和信息收集 

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Contents 

8 Data and Information Collection for RBI Assessment 

8.1 General 


8.3 Data Quality 


8.5 Sources of Site Specific Data and Information 

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8.1 General 总则 

Utilizing the objectives, boundaries, level of approach and resources identified 

in Section 7, the objective of this section is to provide an overview of the data 

that may be necessary to develop an RBI plan. The data collected will provide 

the information needed to assess potential damage mechanisms, potential 

failure modes and scenarios of failure that are discussed in Section 9. 

Additionally, it will provide much of the data used in Section 10 to assess 

probabilities, the data used in Section 11 to assess consequences and data 

used in Section 13 to assist in inspection planning. 

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收集的数据作为评估潜在的损害机制 , 故障概率与失效后果所需要的信息按照第 

七章描述的 , 设定的目标 , 范围 , 处理深度 , 可用资源收取所应当需要的数据 . 

数据用来作为 ; 

第九章 : 分析 , 损坏机理 , 失效模式 / 情景 

第十章 : 分析失效概率 

第十一章 : 分析失效后果 

第十三章 : 策划检验计划 

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Examples of data sources include: 数据源的例子包括 

a) design and construction records; 设计和施工记录 

b) inspection and maintenance records; 检查和维修记录 

c) operating and process technology records; 操作和工艺技术记录 

d) hazards analysis and MOC records; 危害分析和建设部记录 

e) materials selection records; corrosion engineering records & library/database; 

材料选择记录 

f) cost and project engineering records. 成本和项目工程记录 

The precision of the data should be consistent with the RBI method used. 

The individual or team should understand the precision of the data needed for 

the analysis before gathering it. 

数据的精度应和所用的 RBI 方法要求一致 . 

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It may be advantageous to combine risk analysis data gathering with othe 

risk/hazard analysis data gathering (see 6.7) as much of the data may be the 

same. (PHA, RCM, QRA) 

数据收集时 , 可以考虑结合其他风险 / 危害分析的数据收集 

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An RBI study may use a qualitative, semi-quantitative and/or quantitative 

approach (see 6.3). A fundamental difference among these approaches is the 

amount and detail of input, calculations and output. 不同的评估方法需要不同的 

数据 , 这些方法之间的根本区别是 ; 输入 , 计算和输出的 (1) 数量和 (2) 细节 . 

For each RBI approach it is important to document all bases for the study and 

assumptions from the onset and to apply a consistent rationale. Any deviations 

from prescribed, standard procedures should be documented. 

基点 , 假设作为评估的宗旨 , 从开始 , 到运用应当保持一致 . 任何从新规定 , 标准 / 程 

序的偏差应做记录 . 

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Documentation of unique equipment and piping identifiers is a good starting 

point for any level of study. The equipment should also correspond to a 

unique group or location such as a particular process unit at a particular plant 

site. 每个被评估设备应当有自个唯一的识别号 . 

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• 不同的评估方法需要不同的数据 , 这些方法之间的根本区别是 ; 输入 , 计 

算和输出的 : (1) 数量和 (2) 细节 . 

• 基点 - 假设作为评估的宗旨 , 从开始 , 到运用应当保持一致 . 任何从新规定 , 

标准程序的偏差应做记录 . 

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Typical data needed for an RBI analysis may include but is not limited to: 

分析典型数据 

1. type of equipment; 设备的类型 

2. materials of construction; 结构材料 

3. inspection, repair and replacement 

records; 检查 , 修理和更换记录 

4. process fluid compositions; 

过程流体成分 

5. inventory of fluids; 流体盘点 

6. operating conditions; 操作条件 

7. safety systems; 安全系统 

8. detection systems; 探测系统 

9. damage mechanisms, rates, and severity; 

损伤机制 , 速度和严重性 

10.personnel densities; 人员密度 

11.coating, cladding, and insulation data; 

涂层 , 覆层和保温数据 

12.business interruption cost; 

业务中断成本 

13.equipment replacement costs; 

设备更换成本 

14.environmental remediation costs. 

环境整治费用 

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8.2.1 Data Needs for Qualitative RBI 定性数据需求 

A more qualitative approach typically does not require all of the data mentioned 

in 8.2. Further, items required only need to be categorized into broad ranges or 

classified versus a reference point. It is important to establish a set of rules to 

assure consistency in categorization or classification. 

( 较 ) 定性的方法通常不要求上述所有提到的数据 . 牵涉的设备只需要分为广义范围 

或以参考点给以分类 

Generally, a qualitative analysis using broad ranges requires a higher level of 

judgment, skill and understanding from the user than a more quantitative 

approach. Ranges and summary fields may evaluate circumstances with 

widely varying conditions requiring the user to carefully consider the impact of 

input on risk results. Therefore, despite its simplicity, it is important to have 

knowledgeable and skilled persons perform the qualitative RBI analysis. 

通常 , 使用范围广泛的定性分析 , 要求更明确的判断 / 技能和用户对设备的了解 . 因 

此 , 尽管它的简单 , 进行了定性分析需要更加有知识和技能的人 . 

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通常 , 使用范围广泛的定性分析 , 要求更明确的判断 / 技能和用户对设备的了解 . 

因此 , 尽管它的简单 , 进行了定性分析需要更加有知识和技能的人 . 

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通常 , 使用范围广泛的定性分析 , 要求更明 

确的判断 / 技能和用户对设备的了解 . 因此 , 

尽管它的简单 , 进行了定性分析需要更加 

有知识和技能的人 . 

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8.2.2 Data Needs for Quantitative RBI 定量分析数据要求 

QRA uses logic models depicting combinations of events that could result in 

severe accidents and physical models depicting the progression of accidents 

and the transport of a hazardous material to the environment. The models are 

evaluated probabilistically to provide both qualitative and quantitative insights 

about the level of risk and to identify the design, site, or operational 

characteristics that are the most important to risk. Hence, more detailed 

information and data are needed for a fully quantitative RBI in order to provide 

input for the models. 

定量风险分析 , 使用逻辑模型来描述可能导致严重事故发生的组合 . 该模型是以 

概率性评估来提供定性和定量的共同洞察问题 . 识别设计 , 场地或操作特性对风 

险的影响 . 因此 , 需要更详细的信息和数据 

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8.2.3 Data Needs for Semi-quantitative RBI 进行半定量评估数据需求 

The semi-quantitative analysis typically requires the same type of data as a 

quantitative analysis but generally not as detailed. For example, the fluid 

volumes may be estimated. Although the precision of the analysis may be less, 

the time required for data gathering and analysis will be less too; however that 

does not mean that the analysis will be less accurate (see 6.4). 

半定量分析通常需要作为定量分析相同类型的数据 , 但一般不用那么的详细 . 虽然 

分析的精度可能较少 , 相应所需的数据收集和分析的时间将减少 , 但是 , 这并不意 

味着该分析将是不准确的 . 

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8.3 Data Quality 数据质量 

The data quality has a direct relation to the relative accuracy of the RBI 

analysis. Although the data requirements are quite different for the various 

types of RBI analysis, quality of input data is equally important no matter what 

approach to RBI is selected. It is beneficial to the accuracy and quality of an 

RBI analysis to assure that the data input are up to date and validated by 

knowledgeable persons (see Section 16). 

确保证数据输入的是最新的和有知识的人进行数据验证 . 

As is true in any inspection program, data validation is essential for a number of 

reasons. Among the reasons for inspection data quality errors are: 

检查数据质量误差 , 其中的原因有 

a) outdated drawings and documentation, 过时的图纸和文档 

b) inspection error, 检查误差 

c) clerical and data transcription errors, 文书及数据抄写错误 

d) measurement equipment accuracy. 测量设备的精度 

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Another potential source of scatter and error in the analysis is assumptions on 

equipment history. For example if baseline inspections were not performed or 

documented, nominal thickness may be used for the original thickness. This 

assumption can significantly impact the calculated corrosion rate early in the 

equipment life. 

The effect may be to mask a high corrosion rate or to inflate a low corrosion 

rate. A similar situation exists when the remaining life of a piece of equipment 

with a low corrosion rate requires inspection more frequently. 

The measurement error may result in the calculated corrosion rate appearing 

artificially high or low. It is important that those making assumptions 

understand the potential impact of their assumptions on the risk calculation. 

数据偏差和误差分析 , 的另一个潜在来源是对设备历史错误的假设如没有进行设 

备基线调查导致错误的腐蚀率计算 . 

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This validation step stresses the need for a knowledgeable individual 

comparing data from the inspections to the expected damage mechanism and 

rates. This person may also compare the results with previous measurements 

on that system, similar systems at the site or within the company or published 

data. Statistics may be useful in this review. 

This review should also factor in any changes or upsets in the process. As 

mentioned previously, this data validation step is necessary for the quality of 

any inspection program, not just RBI. 

Unfortunately, when this data validation step has not been a priority before RBI, 

the time required to do it gets included with the time and resources necessary 

to do a good job on RBI, leaving the wrong impression with some managers 

believing that RBI is more time consuming and expensive than it should be. 

数据验证 , 是确保任何检查程序质量的必要步骤 , 而不是仅限于风险分析检验 . 往 

往这数据验证牵涉到的时间与费用 , 错误的只在 RBI 体现 , 导致有的管理者感觉 

RBI 更耗时且昂贵的管理方法 . 

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规范与标准 - 国家和国际 

In the data collection stage, an assessment of what codes and standards are 

currently in use for in-service inspection and evaluation, or were in use during 

the equipment design, is generally necessary. The selection and type of codes 

and standards used by a facility can have a significant impact on RBI results. 

确定使用标准与规范的是重要的 . 选用的标准与规范对评估的结果有显著地影响 . 

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8.5 Sources of Site-specific Data and Information 

场地特定的数据和信息来源 

Information for RBI can be found in many places within a facility. It is important 

to stress that the precision of the data should match the complexity of the RBI 

method used (see 6.4). The risk analysis and RBI team should understand the 

sensitivity of the data needed for the program before gathering any data. It may 

be advantageous to combine RBI data gathering with other risk/hazard analysis 

data gathering (e.g. PHA, RCM, QRA) as much of the data overlaps. 

数据的精度应和所用的 RBI 方法一致 . 在做数据收集时 , 可以考虑结合其他风险 / 危 

害分析的数据收集 . 如 : PHA, RCM, QRA 

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Potential sources of specific information include but are not limited to: 具体信息 

的潜在来源包括 ; 

a) design and construction records/drawings: 设计和施工记录 / 图 

• P&IDs, process flow diagrams, material selection diagrams (MSDs), etc., 

仪表工艺图 / 工艺流程图 / 材料选择图 

• piping isometric drawings, 管线三维图 

• engineering specification sheets, 工程规格表 

• materials of construction records, 施工材料记录 

• construction QA/QC records, 建设 QAQC 记录 

• codes and standards used, 规范和使用标准 

• protective instrument systems, 防护仪器系统 

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Potential sources of specific information include but are not limited to: 

具体信息的潜在来源包括 ; 

a) design and construction records/drawings: 设计和施工记录 / 图 

• P&ID, process flow diagrams, material selection diagrams (MSDs), etc., 

仪表工艺图 / 工艺流程图 / 材料选择图 

• piping isometric drawings, 管线三维图 

• engineering specification sheets, 工程规格表 

• materials of construction records, 施工材料记录 

• construction QA/QC records, 建设 QAQC 记录 

• codes and standards used, 规范和使用标准 

• protective instrument systems, 防护仪器系统 

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• leak detection and monitoring systems, 泄漏检测和监控系统 

• isolation systems, 隔离系统 

• inventory records, 库存记录 

• emergency depressurizing and relief systems, 紧急减压系统及减压系统 

• safety systems, 安全系统 

• fire-proofing and fire-fighting systems, 防火和灭火系统 

• layout; 布置图 

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) inspection records: 检查记录 

• schedules and frequency, 时间表和频率 

• amount and types of inspection, 检查次数和类型 

• repairs and alterations, 修复与更改 

• positive material identification (PMI) records, 材料鉴定记录 

• inspection results; 检查结果 

c) process data, 工艺过程数据 

• fluid composition analysis including contaminants or trace components, 

流体成分分析包括污染物或痕量组分 

• distributed control system data, 分布式控制系统数据 

• operating procedures, 操作程序 

• start-up and shutdown procedures, 启动和关闭程序 

• emergency procedures, 应急程序 

• operating logs and process records, 操作日志和过程记录 

• PSM, PHA, RCM, and QRA data or reports; 其他安全 / 风险分析法数据记录 

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d) MOC records; 设备变动管理记录 

e) off-site data and information - if consequence may affect off-site areas; 

影响设施的外场信息与数据 

f) failure data: 故障数据 

• generic failure frequency data-industry or in-house, 

一般的故障频率 ( 数据行业或内部 ) 

• industry specific failure data, 行业特定的故障数据 

• plant and equipment specific failure data, 设施与设备的具体故障数据 

• reliability and condition monitoring records, 可靠性和状态监测记录 

• leak data; 泄露数据 

g) site conditions: 现场条件 

• climate/weather records, 气候 / 天气记录 

• seismic activity records; 地震活动记录 

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seismic activity records 

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seismic activity records 

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h) equipment replacement costs: 设备更换费用 

• project cost reports, 工程造价的报告 

• industry databases; 行业数据库 

i) hazards data: 危害数据 

• PSM studies, 

• PHA studies, 

• QRA studies, 

• other site specific risk or hazard studies; 其他风险或危害的研究 

j) incident investigations. 事故调查 

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9 Damage Mechanisms 

and Failure Modes 

损伤机理和失效模式 

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Contents 

9 Damage Mechanisms and Failure Modes 

9.1 Introduction 

9.2 Damage Mechanisms 

9.3 Failure Modes 

9.4 Accumulated Damage 

9.5 Tabulating Results 

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9.1 Introduction 概述 

This section provides guidance in identifying credible damage mechanisms 

and failure modes of pressure boundary metallic components that should be 

included in an RBI analysis. Guidance is also provided in other documents. 

Damage mechanisms in the hydrocarbon process industry are addressed in 

API 571. ASME PCC-3 also has some useful information and appendices on 

damage mechanisms. See 16.2.4 for the type of person with knowledge in 

materials and corrosion that should be involved in the process. 

本节提供指导确定可信的损伤机理和失效模式 . 

其他行业文章也提供这方面的指导 , 参考文件有 ; 

API571 

ASME PCC-3 Inspection Planning Using Risk-Based Methods 

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Damage mechanisms include corrosion, cracking, mechanical and metallurgical 

damage. Understanding damage mechanisms is important for: 

了解损伤的机制是重要的因为有助于以下活动 ; 

a) the analysis of the POF; 失效概率的分析 

b) the selection of appropriate inspection intervals/due dates, locations and 

techniques; 适当的安排检查间隔 / 到期日期 , 位置和选择对应的检验技术 

c) the ability to make decisions (e.g. modifications to process, materials 

selection, monitoring, etc.) that can eliminate or reduce the probability of a 

specific damage mechanism. 提供足够的信息做可消除或减少特定损伤机制的 

可能性的决策 . 

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Failure modes identify how the damaged component will fail (e.g. by leakage or 

by rupture). 失效模式确定损坏的组件将如何失败 ( 例如 , 由泄漏或破裂 ) 

Understanding failure modes is important for three reasons: 了解故障模式有三 

个重要原因 ( 有助于 ) 

a) the analysis of the COF, 失效后果的分析 

b) the ability to make run-or-repair decisions, “ 运行 - 或 - 修复 ” 决策的能力 

c) the selection of repair techniques. 维修方法的选择 

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http://dc102.4shared.com/doc/FpEz1KBm/preview.html

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9.1.1 Identification of Damage 

Mechanisms 损伤机理的鉴定 

Identification of the credible damage 

mechanisms and failure modes for 

equipment included in a risk analysis 

is essential to the quality and the 

effectiveness of the risk analysis. 

The RBI team should consult with a 

corrosion specialist to define the 

equipment damage mechanisms, 

damage modes (optional), and 

potential failure modes. A sequential 

approach is as follows. 

应咨询腐蚀专家以确定设备损坏机理 , 

破坏模式 ( 可选 ), 和潜在的失效模式 . 做 

法顺序如下 

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a) As indicated in Section 7, identify the internal and external operating and 

environmental conditions, age, design and operational loading. Data used 

and assumptions made should be validated and documented. Process 

conditions as well as anticipated process changes should be considered. 

Identifying trace constituents (ppm) in addition to the primary constituents in 

a process can be very important as trace constituents can have a significant 

affect on the damage mechanisms. 

识别内部和外部的操作和环境条件 , 龄期 , 设计和运行负荷 . 应考虑工艺条件以 

及预期的变化 , 除了主要成分应识别微量成分 . 这微量成分可能对损伤机制显 

著影响 . 

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) Considering the materials, methods and details of fabrication, develop a list 

of the credible damage mechanisms that may have been present in past 

operation, be presently active, or may become active. 开发 (1) 可能已经存在 

(2) 在过去的操作中曾经发生或 (3) 可能变得活跃 , 可信的损害机制的列表 

c) Under certain circumstances it may be preferable to list a specific damage 

mechanism and then list the various damage modes or ways that the 

damage mechanism may manifest itself. For example, the damage 

mechanism “corrosion under insulation” may precipitate a damage mode of 

either generalized corrosion or localized corrosion. Generalized corrosion 

could result in a large burst while localized corrosion might be more likely to 

result in a pinhole type leak. All credible failure modes for each damage 

mechanism or damage mode should be considered. 列出具体的损伤机理能 

造成的多个失效模式列表 ( 比如保温层下腐蚀 , 可能带来局部腐蚀或广义腐蚀 , 

分别得造成针孔型泄漏和大爆裂 . 

Damage Mechanism→ Damage Modes → Failure Modes→ Failure 

Scenarios 

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Damage Mechanism→ Damage Modes → Failure Modes→ Failure 

Scenarios 

Example: 

CUI→ Pitting or General Corrosion → Leaks or Bursts → Low COF (water) 

or High COF (flammable fluid) 

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d) It is often possible to have two or more damage mechanisms at work on the 

same piece of equipment or piping component at the same time. An 

example of this could be stress corrosion cracking in combination with 

generalized or localized corrosion (thinning or pitting). 往往是可能有两个或更 

多的损伤机制 , 同时活跃在同一台设备或管道组成件 . 如广义 / 局部腐蚀与应力 

开裂同时在同个部件活跃 . 

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9.2 Damage Mechanisms 损伤机理 

Understanding equipment operation and the interaction with the process 

environment (both internal and external) and mechanical environment is key 

to identifying damage mechanisms. Process specialists can provide useful 

input (such as the spectrum of process conditions, injection points etc.) to aid 

corrosion specialists in the identification of credible damage mechanisms and 

rates. For example, understanding that localized thinning may be caused by 

the method of fluid injection and agitation may be as important as knowing the 

corrosion mechanism. 

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Understanding equipment operation and the interaction with the process 

environment (both internal and external) and mechanical environment is key to 

identifying damage mechanisms. 

了解设备的操作和使用过程中环境 ( 包括内部和外部 ) 的相互作用和机械环境是确 

认损伤机理的关键点 . 在这方面 , 工艺流程专家能提供有用的信息给以腐蚀专家 , 

可靠的鉴定损伤机理和速率 . 

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equipment operation and the interaction 

with the process environment 

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9.3 Failure Modes 失效模式 

Once a credible damage mechanisms has been identified, the associated 

failure mode should also be identified. For example, local thinning could lead to 

a pinhole leak in the pressure containing boundary. There may be more than 

one credible failure mode for each damage mechanism. For example, cracking 

could lead to a through-wall crack with (1) a leak before break scenario or (2) 

could lead to a catastrophic rupture. 

The failure mode will depend on the type of cracking, the geometric orientation 

of the cracking, the properties of the material of construction, the component 

thickness, the temperature, and the stress level. Examples of failure modes 

include: 一旦一个可靠的损伤机制被确定 , 相关的故障模式 ( 或多个 ) 也应查明 . 故 

障模式的例子包括 

a) pinhole leak, 针孔泄漏 

b) small to moderate leak, 小到中等泄漏 

c) large leak, 大量泄漏 

d) ductile rupture, 韧性开口 

e) brittle fracture. 脆性断裂 

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The risk analysis may, at the discretion of the owner, also include failures other 

than loss of containment, such as loss of function, tray damage, demister pad 

failures, coalesce element failures, liquid distribution hardware failures, and 

heat exchanger tube leaks. 

风险分析可在用户的选择下 : 除了溶液流失 , 还可包括其他故障 , 如功能丧失 , 托盘 

的损坏 , 除雾器垫故障 , 凝聚元件故障 , 液体分配系统的硬件故障 , 和热交换管的泄 

漏 

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9.4 Accumulated Damage 累积损伤 

Damage rates may vary as damage mechanisms progress (i.e. various 

mechanisms may accelerate or slow or stop completely). In some cases, 

damage by one mechanism may progress to a point at which a different 

mechanism takes over and begins to dominate the rate of damage. 

An evaluation of damage mechanisms and failure modes should include the 

cumulative effect of each mechanism and/or mode. 

损伤机理和失效模式的评价应包括每种机制和 / 或模式的累积效应 

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9.5 Tabulating Results 结果制表 

The results of a damage mechanisms and failure modes analysis for RBI 

should indicate: 损伤机理和失效模式分析的结果应说明 

a) a list of credible damage mechanisms: 可的靠损伤机理列表 

example: external corrosion; 例如 - 外部腐蚀 

b) a list of credible damage modes resulting from the damage mechanisms 

(in 9.5 a): 损伤机理导致的损坏模式 

example 1: localized thinning, 局部变薄 

example 2: general thinning; 广义变薄 

note: Step (b) is optional. Failure modes may be determined directly 

without this intermediate step if desired. 这中间步骤 (b) 是可选的 , 如果需要 

故障模式可以直接确定就可忽略 . 

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c) a ranking of credible failure modes resulting from the damage modes in 

9.5 a) and 9.5 b): 顺序排名可靠的失效模式 

1. example 1: localized thinning: 局部变薄 

- failure mode 1: pinhole leak, 

- failure mode 2: small leak; 

2. example 2: general thinning: 广义变薄 

- failure mode 1: pinhole leak, 

- failure mode 2: small leak, 

- failure mode 3: large leak, 

- failure mode 4: rupture. 

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10 Assessing Probability 

of Failure (POF) 

失效概率评估

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Contents 

10 Assessing Probability of Failure 

10.1 Introduction to Probability Analysis 

10.2 Units of Measure in the POF Analysis 

10.3 Types of Probability Analysis 

10.4 Determination of POF 

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10.1 Introduction to Probability Analysis 概率分析介绍 

The probability analysis in an RBI program is performed to estimate the 

probability of a specific adverse consequence resulting from a loss of 

containment that occurs due to a damage mechanism(s). 

RBI 程序的概率分析是评估一个特点的因一或多个损伤机理 , 造成受压设备溶液 

流失的逆向结果 . 

The probability that a specific consequence will occur is the product of the POF 

and the probability of the scenario under consideration assuming that the failure 

has occurred. This section provides guidance only on determining the POF. 

Guidance on determining the probability of specific consequences is provided in 

Section 12. 将发生的特定结果的概率依故障概率与发生故障后正在审议的方案中 

的概率 

Key words: Probability of specific consequence, POF, probability of the 

scenario. 

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The probability of 

specific consequence 

POF 


the scenario under 

consideration 

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The probability that a specific consequence will occur is 

the product of the POF and the probability of the scenario 

under consideration



POF 

http://www.wermac.org/others/ndt_pressure_testing.html 



consideration 

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POF 



consideration 

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POF 



consideration 

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There could be 

many scenario 

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Guidance on determining the probability of specific consequences is provided 

in Section 12. 

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The POF analysis should address all damage mechanisms to which the 

equipment being studied is or can be susceptible. Further, it should address 

the situation where equipment is or can be susceptible to multiple damage 

mechanisms (e.g. thinning and creep). The analysis should be credible 可信 , 

repeatable 能重复 and documented 必须记录 . It should be noted that damage 

mechanisms are not the only causes of loss of containment. Other causes of 

loss of containment could include but are not limited to: 但应注意的是 , 损伤机 

理并不是唯一导致溶液流失的原因 , 其他原因有 

a) seismic activity, 地震活动 

b) weather extremes, 极端天气 

c) overpressure due to pressure-relief device failure, 过压 , 由于减压装置故障 

d) operator error, 操作失误 

e) inadvertent substitution of materials of construction, 施工材料无意取代 

f) design error, 设计错误 

g) sabotage. 破坏活动 

These and other causes of loss of containment may have an impact on the 

POF and may be (but typically are not) included in the POF analysis for RBI. 

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seismic activity 

有一定影响但通常不包括在 RBI 分析 

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weather extremes 

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overpressure (under pressure) due to pressure-relief device failure, 

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operator error 

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operator error 

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design error 

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sabotage 

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sabotage 

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sabotage 

http://en.wikipedia.org/wiki/Military_use_of_children 

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10.2 Units of Measure in the POF Analysis 故障概率分析 , 的计量单位 

POF is typically expressed in terms of frequency. Frequency is expressed as a 

number of events occurring during a specific time frame. For probability 

analysis, the time frame is typically expressed as a fixed interval (e.g. one year) 

and the frequency is expressed as events per interval (e.g. 0.0002 failures per 

year). The time frame may also be expressed as an occasion (e.g. one run 

length) and the frequency would be events per occasion (e.g. 0.03 failures per 

run). 

Time Frame 期限 : 

(1) fixed interval 固定时间间隔 (2) Occasion 时机 (per run etc.) 

故障概率 (POF) 一般上是以频率表示 , 频率是在特定的时间范围内发生的事件的 

数次 . 

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For a qualitative analysis, the POF may be categorized (e.g. high, medium and 

low, or one through five). However, even in this case, it is appropriate to 

associate an event frequency with each probability category to provide 

guidance to the individuals who are responsible for determining the probability. 

If this is done, the change from one category to the next could be one or more 

orders of magnitude or other appropriate demarcations that will provide 

adequate discrimination. 个别类别 ( 高低等 ) 的相应特定概率 ( 数次 ) 关联 , 有助于 , 

有效 , 可信的故障频率计量的分配与变动 . 

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http://www.skybrary.aero/index.php/Risk_Assessment

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Two examples of this are listed in Table 1 and Table 2. 

Table 1—Three Levels of POF 

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Table 2—Six Levels of POF 

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10.3 Types of Probability Analysis 概率分析的类型 

10.3.1 General 概要 

The following paragraphs discuss different approaches to the determination of 

probability. For the purposes of the discussion, these approaches have been 

categorized as “qualitative” or “quantitative.” However, it should be recognized 

that “qualitative” and “quantitative” are the end points of a continuum rather 

than distinctive approaches (see Figure 3). Most probability assessments use a 

blend of qualitative and quantitative approaches. 大多数概率评估使用混合 , 定 

性和定量方法 

The methodology used for the assessment should be structured such that a 

sensitivity analysis or other approach may be used to assure that realistic, 

though conservative, probability values are obtained (see 12.4). 

用于评估的方法 , 应该灵活操作 ; 灵敏度分析或其它的方法也可以并用 , 以确保获 

得真实的 , 尽管保守的概率值 . 

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10.3.2 Qualitative POF Analysis 故障概率定性分析 

A qualitative method involves identification of the units, systems or equipment, 

the materials of construction and the corrosive components of the processes. 

On the basis of knowledge of the operating history, future inspection and 

maintenance plans and possible materials deterioration, POF can be assessed 

separately for each unit, system, equipment grouping or individual equipment 

item. Engineering judgment is the basis for this assessment. A POF category 

can then be assigned for each unit, system, grouping or equipment item. 

Depending on the methodology employed, the categories may be described 

with words (such as high, medium, or low) or may have numerical descriptors 

(such as 0.1 to 0.01 times per year). 定性分析考虑包括识别单元 , 系统或设备 , 建 

材和腐蚀 . 工程判断是评估依据 . 计量单位可以为描述性如 , 高 / 中 / 低或数值描述 

如 0.1~0.01 次数 / 年 

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10.3.3 Quantitative POF Analysis 故障概率定量分析 

There are several approaches to a quantitative probability analysis. One 

example is to take a probabilistic approach where specific failure data or expert 

solicitations are used to calculate a POF. These failure data may be obtained on 

the specific equipment item in question or on similar equipment items. This 

probability may be expressed as a distribution rather than a single deterministic 

value. 概率方法计算方法 , 故障数据可在特定有问题的设备项目或类似设备项目获 

得 . 得到的概率可以为一个分布来表示 , 而不是一个单一的确定性概率值 

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Another approach is used when inaccurate or insufficient failure data exists on 

the specific item of interest. In this case, general industry, company or 

manufacturer failure data are used. A methodology should be applied to 

assess the applicability of these general data. As appropriate, these failure 

data should be adjusted and made specific to the equipment being analyzed 

by increasing or decreasing the predicted failure frequencies based on 

equipment specific information. In this way, general failure data are used to 

generate an adjusted failure frequency that is applied to equipment for a 

specific application. Such modifications to general values may be made for 

each equipment item to account for the potential deterioration that may occur 

in the particular service and the type and effectiveness of inspection and/or 

monitoring performed. Knowledgeable personnel should make these 

modifications on a case-bycase basis. 

当不准确或不足的故障数据时 , 另一种方法是使用一般行业 , 公司或制造商的故 

障数据 . 在适当情况下 , 这些故障数据应按照正在分析的具体的设备进行调整 . 这 

数据调整工作应当是由有相关知识的人员进行 . 

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故障概率定量分析有两种数据来源 ; 

• 明确的设备故障数据 

概率方法计算 ; 故障数据可在特定有问题的设备项目或类似设备项目获得 . 

分析到的概率可以一个分布来表示 , 而不是单一的确定性概率值 

• 一般行业 , 公司或制造商的故障数据 

当不准确或不足的故障数据时 , 另一种方法是使用一般行业 , 公司或制造 

商的故障数据 . 在适当情况下 , 这些故障数据应按照正在分析的具体的设 

备进行调整 . 这数据调整工作应当是由有相关知识的人员进行 . 

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10.4 Determination of POF 确定故障概率 


Regardless of whether a more qualitative or a quantitative analysis is used, 

the POF is determined by two main considerations: 无论是是定性或定量分 

析 , 故障概率的确定的两个因素是 

a) damage mechanisms and rates of the equipment item’s material of 

construction, resulting from its operating environment (internal and 

external); 运作环境 ( 内 / 外 ) 所导致的损伤机理与腐蚀率 

b) effectiveness of the inspection program to identify and monitor the damage 

mechanisms so that the equipment can be repaired or replaced prior to 

failure. 

检查程序对损伤机理的识别和监控的有效性 . 使设备在在失效前能够进行修理 

或更换 . 

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Failure occurred 

Probability of Failure POF 

Damage Tolerance Limit 

Deterioration Rate 

Planned Inspection 

Mitigation 

Unacceptable 

inspection interval 

Time 

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Analyzing the effect of in-service deterioration and inspection on the POF 

involves the following steps. 在分析在 (1) 职恶化和 (2) 检查对 POF 的影响包 

括以下步骤 

a) Identify active and credible damage mechanisms that are reasonably 

expected to occur during the time period being considered (considering 

normal and upset conditions). 识别在考虑时间段 , 合理预期可能产生的可信 

损伤机理 

b) Determine the deterioration susceptibility and rate. For example, a fatigue 

crack is driven by cyclic stress; corrosion damage is driven by the 

temperature, concentration of corrosive, corrosion current, etc. A damage 

accumulation rule may be available to mathematically model this process. 

Rather than a given value of the magnitude of the damage mechanism 

driving forces, a statistical distribution of these forces may be available 

(see API 579-1/ASME FF2-1). 确定的恶化易感性和速率 . 这可以通过损伤累 

积规则运用数学模拟过程计算数据 . 除了确实值 , 也能以统计分布体现数据 . 

API 579-1/ASME FF2-1 为例子 . 

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c) Using a consistent approach, quantify the effectiveness of the past 

inspection, maintenance and process monitoring program and a proposed 

future inspection, maintenance and process monitoring program. It is 

usually necessary to evaluate the POF considering several alternative 

future inspection and maintenance strategies, possibly including a “no 

inspection or maintenance” strategy. 使用一致的方法 , 量化的过去的策略效 

力 ( 检验 / 维护 / 工艺控制 ) 与未来预期成效 . 评价 POF 也应考虑几种可供选择 

的未来的检查和维护策略 , 可能包括 -“ 不检查或维修 ” 战略 

d) Determine the probability that with the current condition, continued 

deterioration at the predicted/expected rate will exceed the damage 

tolerance of the equipment and result in a failure. The failure mode (e.g. 

small leak, large leak, equipment rupture) should also be determined based 

on the damage mechanism. It may be desirable in some cases to 

determine the probability of more than one failure mode and combine the 

risks. 确定在当前的情况下 , 持续恶化将超过设备的损伤容限 , 并导致失效的 

概率 . 相应失效模式也应根据损伤机制确定 . 在某些情况 , 可能会有多个失效 

模式 , 并结合有关风险来分析 . 

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Interval sufficient to detect pitting & 

SCC 

Mitigation 


Extended Interval 

Time 

Extended inspection interval 

failure mode: Crack open if failure 

occurred leading to different failure 

scenarios thus consequences 

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10.4.2 Determine the Deterioration Susceptibility and Rate 

确定退化敏感性和速率 

Combinations of process conditions and materials of construction for each 

equipment item should be evaluated to identify active and credible damage 

mechanisms. One method of determining these mechanisms and susceptibility 

is to group components that have the same material of construction and are 

exposed to the same internal and external environment. Inspection results from 

one item in the group can be related to the other equipment in the group. 

每个设备的工艺条件和材料组合应进行评估 , 以确定活跃和可信的损伤机制 . 设备 

拥有共同工艺条件和材料组合可以归类为一组 , 从改组的一个设备检验结构同时 

能运用在其他在组里的设备 . 

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For many damage mechanisms, the rate of damage progression is generally 

understood and can be estimated for process plant equipment. Deterioration 

rate can be expressed in terms of corrosion rate for thinning or susceptibility for 

mechanisms where the deterioration rate is unknown or immeasurable (such as 

stress corrosion cracking). Susceptibility is often designated as high, medium or 

low based on the environmental conditions and material of construction 

combination. Fabrication variables and repair history are also important. 

设施设备的许多损伤机制 , 损伤进展的速度一般都能探知和可可靠地估计 . 劣化率 

可以腐蚀速率表示 (mm/yr) 或未知或无法估量的劣化率 ( 如应力腐蚀开裂等 ), 以 

高 , 中或低定位 . 

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The deterioration rate in specific process equipment is often not known with 

certainty. The ability to state the rate of deterioration precisely is affected by 

equipment complexity, type of damage mechanism, process and 

metallurgical variations, inaccessibility for inspection, limitations of 

inspection and test methods and the inspector’s expertise. 在特定的工艺设 

备恶化率往往不能真确的确知 . 不确知的因素有 

• equipment complexity, 设备的复杂性 

• type of damage mechanism, 损伤机理类型 

• process and metallurgical variations, 工艺和冶金的变化 

• inaccessibility for inspection, 难以进行检查 

• limitations of inspection and test methods and 检查和测试方法的局限性 

• the inspector’s expertise 检查员的专业知识 

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equipment complexity, 设备的复杂性 

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type of damage mechanism, 

损伤机理类型 

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process and metallurgical 

variations, 工艺和冶金的变化 

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inaccessibility for 

inspection, 难以进 

行检查 

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inaccessibility for 

inspection, 难以进 

行检查 

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limitations of 

inspection and test 

methods and 检查和 

测试方法的局限性 

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the inspector’s 

expertise 检查 

员的专业知识 

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Sources of deterioration rate information include (also see Section 8): 

恶化率信息的来源包括 

a) published data and unpublished company data, 公布和未公布的公司数据 

b) laboratory testing, 实验室测试 

c) in-situ testing and in-service monitoring, 现场测试和在线监测 

d) experience with similar equipment, 与同类设备的经验 

e) previous inspection data. 以前的检测数据 

The best information will come from operating experiences where the 

conditions that led to the observed deterioration rate could realistically be 

expected to occur in the equipment under consideration. Other sources of 

information could include databases of plant experience or reliance on expert 

opinion. The latter method is often used since plant databases, where they 

exist, sometimes do not contain sufficiently detailed information. 

最好的信息将来自运行经验 , 其它信息来源可能包括厂里的经验数据库或依赖 

专家意见补充厂里数据库的不足处 . 

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恶化率信息的来源包括 

• 公布和未公布的公司数据 

• 实验室测试 

• 现场测试和在线监测 

• 与同类设备的经验 

• 以前的检测数据 

公司数据 : 

• 厂自运行经验 

• 厂数据资料库 

• 专家意见补充 

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Damage rates will often vary as the mechanism progresses. In some cases, the 

mechanism is self-limiting (i.e. after progressing to a certain point), and damage 

will nearly arrest. In other cases, damage will occur in a slow, stable manner 

until it reaches a point where failure occurs. In some cases, damage by one 

mechanism may progress to a point at which a different mechanism takes over 

to control the rate of further damage (e.g. pitting that gives rise to stress 

corrosion cracking). 腐蚀率是多变化的 , 有的时候加速 , 自限 , 或从一种损伤机理改 

变为另种损伤机理 , 比如点蚀导致环境应力开裂等 . 

The following parameters should be considered in the determination of damage 

rates: 确定损伤率的应要考虑参数 

a) fluid stream composition, including electrolytes and ions in solution; 流体流 

组成 , 包括在溶液电解质和离子 

b) the temperature, humidity and corrosiveness of the atmosphere or soil; 

温度 , 湿度和大气中或土壤的腐蚀性 

c) process temperature; 工艺温度 

d) the flow velocity; 流速 

e) the amount of dissolved oxygen; 溶解氧气量 

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f) the phase of the fluid (liquid, vapor, or gas); 流体相 ( 液体 , 气体或蒸发体 ) 

g) the pH of the solution; 溶液的 pH 值 

h) the contaminants in the flow stream; 流体中的污染物 

i) the process operating phase (operation, shutdown, wash, etc.); 

操作阶段 ( 操作中 / 关断时 / 清理 , 等 ) 

j) the mechanical properties of the metal (hardness, cold work, grain size, 

etc.); 材料机械性能 ( 硬度 , 冷作 , 晶体大小等 ) 

k) the metallurgical properties and corrosion resistance of the alloy; 

冶金性能和合金的耐腐蚀性 

l) the weld properties: heat treatment, hardness, residual stresses, 

sensitization, inclusions, etc.; 

焊接性 : 热处理 / 硬度 / 残余应力 / 敏化 / 夹杂物等 

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m) the component geometry (crevices, local turbulence, etc.); 组件几何 

n) the coating and lining condition (no holiday); 涂层和衬垫条件 ( 无孔 ) 

o) the relative size of anodic and cathodic regions; 阳极和阴极区域的相对大小 

p) the solubility of corrosion products; 腐蚀产物的溶解度 

q) the addition of corrosion inhibitors (type, quantity, and distribution); 

加入缓蚀剂 ( 种类 / 数量以及分布 ) 

r) process control and stability. 工艺控制和稳定性 

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10.4.3 Determine Failure Mode 确定故障模式 

POF analysis is used to evaluate the failure mode (e.g. small hole, crack, 

catastrophic rupture) and the probability that each failure mode will occur. It 

is important to link the damage mechanism to the most likely resulting 

failure mode. For example: 

a) pitting generally leads to small-hole-sized leaks; 

点蚀通常会导致小的孔大小的泄漏 

b) stress corrosion cracking can develop into small, through wall cracks or, in 

some cases, catastrophic rupture; 应力腐蚀开裂可发展成小的 , 通过墙体裂 

缝或者 , 在某些情况下 , 灾难性破裂 

c) metallurgical deterioration and mechanical damage can lead to failure 

modes that vary from small holes to ruptures; 

冶金变质和机械损伤可导致失效模式从小孔至破裂 

d) general thinning from corrosion often leads to larger leaks or rupture; 

广义腐蚀减薄往往会导致大泄漏或破裂 

e) localized corrosion can lead to small to medium-sized leaks. 

局部腐蚀可导致小到中等规模的泄漏 

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Failure mode primarily affects the 

magnitude of the consequences. 

For this and other reasons, the 

probability and consequence 

analyses should be worked 

interactively. 失效模式主要影响失 

效后果的严重性

a) pitting generally leads to small-holesized 

leaks; 


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leaks; 


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leaks; 


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) stress corrosion cracking can develop into small, 

through wall cracks or, in some cases, 

catastrophic rupture; 应力腐蚀开裂可发展成小的 , 

通过墙体裂缝或者 , 在某些情况下 , 灾难性破裂 

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c) metallurgical deterioration and 

mechanical damage can lead to 

failure modes that vary from small 

holes to ruptures; 

冶金变质和机械损伤可导致失效模式 

从小孔至破裂 

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c) metallurgical deterioration and 

mechanical damage can lead to 

failure modes that vary from small 

holes to ruptures; 

冶金变质和机械损伤可导致失效模式 

从小孔至破裂 

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d) general thinning from 

corrosion often leads to 

larger leaks or rupture; 广义 

腐蚀减薄往往会导致大泄漏 

或破裂 

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或破裂 

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或破裂 

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或破裂 

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e) localized corrosion can lead to small to 

medium-sized leaks. 局部腐蚀可导致小到中等规 

模的泄漏

10.4.4 Quantify Effectiveness of Past Inspection Program 

量化过去的检验程序的有效性 

the combination of nondestructive examination (NDE) methods such as visual, 

UT, radiographic etc., frequency and coverage/location of inspections] vary in 

their effectiveness for locating, characterizing and sizing deterioration, and thus 

for determining deterioration rates. After the likely damage mechanisms have 

been identified, the inspection program should be evaluated to determine the 

effectiveness in finding the identified mechanisms. 可能的损伤机理已经确定后 , 应 

当评估该检验程序在找到所确定的机制的有效性 . 

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Limitations in the effectiveness of an inspection program could be due to the 

following items. 检查程序的有效性的限制 

a) Lack of coverage of an area subject to deterioration. 

缺乏覆盖受到恶化的区域 

b) Inherent limitations of some inspection methods to detect and quantify 

certain types of deterioration. 

一些检查方法固有对某些类型的恶化的局限性 

c) Selection of inappropriate inspection methods, techniques and tools. 

选择不恰当的检查方法 

d) Application of methods and tools by inadequately trained inspection 

personnel. 训练不足的检验人员 

e) Inadequate inspection and examination procedures. 

不充分的检查和审查程序 

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f) Deterioration rate under some extremes of conditions is so high that failure 

can occur within a very short time. Even though no deterioration is found 

during an inspection, failure could still occur as a result of a change or 

upset in conditions. For example, if a very aggressive acid is carried over 

from a corrosion resistant part of a system into a downstream vessel that is 

made of carbon steel, rapid corrosion could result in failure in a few hours 

or days. Similarly, if an aqueous chloride solution is carried into a stainless 

steel vessel, chloride stress corrosion cracking could occur very rapidly 

(depending on the temperature). 

极端高劣化率 , 导致故障可能发生在很短的时间内 ( 例如 : 操作更改或工艺颠 

覆状况 ) 

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If multiple inspections have been performed, it is important to recognize that 

the most recent inspection may best reflect current operating conditions. If 

operating conditions have changed, deterioration rates based on inspection 

data from the previous operating conditions may not be valid. Determination of 

inspection effectiveness should consider the following: 检查效果应考虑以下 

a) equipment type; 设备类型 

b) active and credible damage mechanism(s); 积极的和可信的损伤机制 

c) rate of deterioration or susceptibility; 速率或易感性率 

d) NDE methods, coverage and frequency (i.e. ability to detect the specific 

deterioration); 探伤方法 , 覆盖范围和频率 ( 对具体的恶化检测能力 ) 

e) accessibility to expected deterioration areas. 预期恶化的地区与可达性 

The effectiveness of future inspections can be optimized by utilization of NDE 

methods better suited for the active/credible damage mechanisms, adjusting 

the inspection coverage, adjusting the inspection frequency or some 

combination thereof. 

未来的检验方法应按照需要优化来达到最佳效果 

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10.4.5 Calculate the POF by Deterioration Type 由变质类型计算 POF 

By combining the (1) expected damage mechanism, (2) rate or susceptibility, 

(3) process monitoring, (4) inspection data and (5) inspection effectiveness, a 

POF can now be determined for each deterioration type and failure mode. The 

POF may be determined for future time periods or conditions as well as current. 

It is important for users to validate that the method used to calculate the POF is 

in fact thorough and adequate for the users’ needs. 

通过结合 (1) 预期的破坏机理 , (2) 速率或易感性 , (3) 过程监控 , (4) 检验数据和 

(5) 检验成效 , 每个损伤类型和失效模式的失效概率能于确定 ( 包括当前或未来时 

间段 ). 注意事项 : 用户需要确认所用的概率方法是否彻底和适当 . 

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11 Assessing 

Consequences of 

Failure 

失效的后果评估 

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Contents 

11 Assessing Consequences of Failure 

11.1 Introduction to Consequence Analysis 

11.2 Types of Consequence Analysis 

11.3 Units of Measure in Consequence Analysis 

11.4 Volume of Fluid Released 

11.5 Consequence Effect Categories 

11.6 Determination of Consequence of Failure 

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http://www.northnews.cn/2013/1122/1455937_30.shtml

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11.1 Introduction to Consequence Analysis 后果分析简介 


The consequence analysis in an RBI program is performed to provide 

discrimination between equipment items on the basis of the significance of 

a potential failure. The consequence analysis should be a repeatable, 

simplified, credible estimate of what might be expected to happen if a 

failure were to occur in the equipment item being assessed. The COF 

analysis should be performed to estimate the consequences that occur due 

to a failure mode typically resulting from an identified damage 

mechanism(s) (see Section 9). 

COF 分析由于故障模式发生的后果进行估计 ,RBI 程序提供设备之间 , 识别潜在故 

障的比重 . Consequence should typically be categorized as: 通常应归类为 

a) safety and health impacts, 安全和健康的影响 

b) environmental impacts, 对环境的影响 

c) economic impacts. 经济影响 

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Consequence should typically be categorized as: 通常应归类为 

• safety and health impacts, 安全和健康的影响 

• environmental impacts, 对环境的影响 

• economic impacts. 经济影响 

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对环境的影响 

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安全和健康的影响 / 

经济影响 

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经济影响 

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经济影响 

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经济影响 

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经济影响 

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In general, an RBI program will be managed by plant inspectors or inspection 

engineers, who will normally manage risk by managing the POF with inspection 

and maintenance planning. They will not normally have much ability to modify 

the COF. On the other hand, management and process safety personnel may 

desire to manage the consequence side of the risk equation. Numerous 

methods for modifying the COF are mentioned in Section 14. For all of these 

users, the consequence analysis is an aid in establishing a relative risk ranking 

of equipment items. The consequence analysis should address all credible 

failure modes to which the equipment item is susceptible. 

一般上 , RBI 程序一旦执行 , 是由检验员或检验工程师着手管理 . 通常 , 通过与检查 

和维护计划 , 管理风险 POF ( 故障概率 ) 部分 . 他们一般不授权修改 COF ( 失效后 

果 ), 而是前期 , 通过设施管理和工艺安全人员做相关的工作 . ( 考试题 ) 

POF 

COF 

Managed by Inspector & Inspection Engineer 

Managed by Management & Process Safety Personnel. 

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POF Managed by Inspector & Inspection Engineer ( 考试题 ) 

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COF Managed by 

Management & 

Process Safety 

Personnel. 

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More or less complex and detailed methods of consequence analysis can be 

used, depending on the desired application for the assessment. The 

consequence analysis method chosen should have a demonstrated ability to 

provide the required level of discrimination between higher and lower 

consequence equipment items. 

简单或复杂的后果分析一样都能运用 , 选用的运用方法应该是个有能力分辨设备故 

障后果的高低顺序的方法 . 

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11.1.2 Loss of Containment 溶液流失 

The consequence of loss of containment is generally evaluated as loss of fluid 

to the external environment. The consequence effects for loss of containment 

can be generally considered to be in the following categories: 

溶液流失一般定义为 – 溶液损失到外部环境 , 导致的后果有 

1. safety and health impact, 安全和健康的影响 

2. environmental impact, 对环境的影响 

3. production losses, 生产损失 

4. maintenance and reconstruction costs. 维修和重建费用 

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11.1.3 Other Functional Failures 

Although RBI is mainly concerned with loss of containment failures, other 

functional failures could be included in an RBI study if a user desired. Other 

functional failures could include: 

此规范主要是针对溶液流失 , 在用户要求下也可以覆盖下列功能故障 

a) functional or mechanical failure of internal components of pressure 

containing equipment (e.g. column trays, demister mats, coalescer 

elements, distribution hardware, etc.); 内部组件的功能性或机械故障 

b) heat exchanger tube failure; 换热器管故障 

c) pressure-relief device failure; 减压装置故障 

d) rotating equipment failure (e.g. seal leaks, impeller failures, etc.). 

旋转设备故障 

NOTE There may be situations where a heat exchanger tube failure could lead 

to a loss of containment of the heat exchanger or ancillary equipment. These 

would typically involve leakage from a high-pressure side to a low-pressure 

side of the exchanger and subsequent breach of containment of the lowpressure 

side. 换热器管故障 , 可能因管内压与管外压差 , 带来溶液串通 , 导致溶 

液流失 . 

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These other functional failures are usually covered within RCM programs and 

therefore are not covered in detail in this document. 其他的功能性故障通常在 

RCM 涵盖范围内 , 这文件不包含 . 

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11.2 Types of Consequence Analysis 后果分析的类型 


The following paragraphs discuss different approaches to the determination of 

consequences of failure. For the purposes of the discussion, these approaches 

have been categorized as “qualitative” or “quantitative.” However, it should be 

recognized that “qualitative” and “quantitative” are the end points of a 

continuum rather than distinctive approaches (see Figure 3). 

归类为 “ 定性 ” 或 “ 定量 ” 或两者之间 . 

Table 3—Six Level Table 

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11.2.2 Qualitative Consequences Analysis 定性后果分析 

A qualitative method involves identification of the units, systems or equipment, 

and the hazards present as a result of operating conditions and process fluids. 

On the basis of expert knowledge and experience, the consequences of failure 

(safety, health, environmental and financial impacts) can be estimated 

separately for each unit, system, equipment group or individual equipment item. 

For a qualitative method, a consequences category (such as “A” through “E” or 

“high,” “medium,” or “low”) is typically assigned for each unit, system, grouping 

or equipment item. It may be appropriate to associate a numerical value, such 

as cost (see 11.3.3), with each consequence category. 

评估结果可以以高低类别或数值 ( 如成本 ) 表达 . 

专家的知识和经验的基础上评估故障后果 ( 安全 / 健康 / 环境和财务影响 ) 

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故障后果评估的结果可以以高低类别或数值 ( 如成本 ) 表达 . 

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11.2.3 Quantitative Consequences Analysis 定量后果分析 

A quantitative method involves using a logic model depicting combinations of 

events to represent the effects of failure on people, property, the business and 

the environment. Quantitative models usually contain one or more standard 

failure scenarios or outcomes and calculate COF based on: 

定量后果分析 , 使用一个逻辑模型描绘事件的组合来表示故障对人员 , 财产 , 业务 

和环境的影响 . 定量模型通常包含一个或多个标准的故障情况或分析结果 

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COF based on; 故障后果基于 

• type of process fluid in equipment; 设备工艺流体的类型 

• state of the process fluid inside the equipment (solid, liquid, or gas); 

工艺流体的状态 ( 液态 , 气态 , 含固态等 ) 

• key properties of process fluid (molecular weight, boiling point, auto-ignition 

temperature, ignition energy, density, flammability, toxicity, etc.); 

工艺流体的主要特性 

• process operating variables such as temperature and pressure; 

操作变量 , 例如温度和压力 

• mass of inventory available for release in the event of a leak; 

泄漏时可释放的质量 

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• failure mode and resulting leak size; 失效模式和由此产生的泄漏大小 

• state of fluid after release in ambient conditions (solid, gas, or liquid). 

在环境条件释放后的状态 ( 液态 , 气态 , 含固态等 ) 

Results of a quantitative analysis are usually numeric. Consequence categories 

may be also used to organize more quantitatively assessed consequences into 

manageable groups. 

定量分析的结果通常是数字 . 以类别表达后果 , 也可以运用来进行设备组合管理 

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11.3 Units of Measure in Consequence Analysis 后果分析单位 


Different types of consequences may be described best by different measures. 

The RBI analyst should consider the nature of the hazards present and select 

appropriate units of measure. However, the analyst should bear in mind that 

the resultant consequences should be comparable, as much as possible, for 

subsequent risk prioritization and inspection planning. 

产生的后果应具有可比性 , 以便执行后续风险优先级和检查规划运作 . 

The following provide some units of measure of consequence that can be used 

in an RBI assessment. 评估故障结果的一些估量有 

• Safety 

• Cost 

• Affected Area 

• Environmental Damage 

• Other Considerations 

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评估故障结果的一些估量有 

• Safety 

• Cost 

• Environmental Damage 

• Affected Area 

• Other Considerations 

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11.3.2 Safety 

Safety consequences are often expressed as a numerical value or 

characterized by a consequence category associated with the severity of 

potential injuries that may result from an undesirable event. For example, 

safety consequences could be expressed based on the severity of an injury 

(e.g. fatality, serious injury, medical treatment, first aid) or expressed as a 

category linked to the injury severity (e.g. A through E). 

An approach for assigning monetary values to safety and health consequences 

is included in API 581. However, the FAA has published material on this topic. 

If it is necessary to convert safety and health consequences into monetary 

units for 

subsequent risk ranking or analysis, the analyst should document the basis for 

the values assigned. 

安全后果往往以一个数值表现 , 然而用经济价值作为表达方式也被 API 581 采纳 . 

用经济价值作为表达方式必须分析应该记录分配的值的基础 . 美国联邦航空管理 

局有出刊相关的主题 . 

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安全后果用经济价值作为表达方式 

也被 API 581 采纳 .

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11.3.3 Cost 费用 , 价值 

Cost is commonly used as an indicator of potential consequences. 

Consequences may be expressed in relative monetary units (e.g. dollars) to 

the maximum extent practical with an understanding that the numbers are 

typically not absolute. 

For example, low, moderate and high categories could be assigned values of 

$100,000, $1,000,000 and $10,000,000 respectively. This will permit adding 

the different consequences of a single event and facilitate comparisons of risk 

from one process unit to another. Potential injuries and fatalities may be 

considered separately, with a maximum acceptable probability of occurrence 

assigned. It is possible, although not always credible, to assign costs to almost 

any type of consequence. 

虽然不是完全可靠 , 几乎任何类型的后果与成本来分配挂钩是可能的 . 

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Typical consequences that can be expressed in “cost” include: 

可以用 “ 费用 ” 来表达的故障后果有以下 

1. production loss due to rate reduction or downtime, 

由于或停机生产利率降低损失 

2. deployment of emergency response equipment and personnel, 

部署的应急设备和人员 

3. lost product from a release, 流失产品经济损失 

4. degradation of product quality, 产品质量的劣化 

5. replacement or repair of damaged equipment, 更换或维修损坏的设备 

6. property damage offsite, 外场产业损坏 

7. spill/release cleanup onsite or offsite, 内外场溢出 / 释放物清理 

8. business interruption costs (lost profits), 业务中断成本 ( 利润损失 ) 

9. loss of market share, 失去市场份额 

10. injuries or fatalities, 受伤或死亡 

11. land reclamation, 土地改造 

12. litigation, 诉讼 , 

13. fines, 罚金 

14. goodwill. 企业信誉 

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The above list is reasonably comprehensive, but in practice some of these 

costs are neither practical nor necessary to use in an RBI assessment. 

上面的列表是相当全面的 , 但在实践中有些用来代表故障后果的 “ 成本 ($) / 费用 ” 

既不现实也无必要 . 

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Cost generally requires fairly detailed information to fully assess. It is possible, 

although not always practical, to assign a monetary value to almost any type of 

consequence. The cost associated with most of the consequences listed above 

can be calculated using standard methods. Information such as product value, 

capacity, equipment costs, repair costs, personnel resources, and environmental 

damage may be difficult to derive, and the manpower required to perform a 

complete financial-based consequence analysis may be limited depending on 

the complexity of the relationship of failure to lost opportunity cost. However, 

expressing consequences in monetary units has the advantage of permitting a 

direct comparison of the various categories of consequences on a common basis. 

Therefore, it is often better to provide approximations or “best estimates” than to 

use only verbal descriptions (see 11.2.2). 

虽然很多时候 , 货币价值不能很完善来表达故障后果 , 货币单位表达故障后果具有 , 

允许不同价值额来类别的后果 , 使被评估设备 , 能在同一个基础上直接比较拥有很大 

的优势 . 

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Instead of determining point values or unique ranges of economic loss for each 

consequence scenario, consequences may be placed into categories that have 

pre-defined ranges. Table 3 provides an example of this. The ranges may be 

adjusted for the unit or plant to be considered. For example, $10,000,000 may be 

a catastrophic loss for a small company, but a large company may consider only 

losses greater than $1,000,000,000 to be catastrophic. 

表 3, 用类别代号或描述来反映经济价值 . 不同的企业的同样代号有不同的价值额 . 

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11.3.4 Affected Area 受影响的区域 

Affected area is also used to describe potential consequences in the field of 

risk assessment. As its name implies, affected area represents the amount of 

surface area of the plot plan that experiences an effect (toxic dose, thermal 

radiation, explosion overpressure, etc.) greater than a pre-defined limiting 

value. Based on the thresholds chosen, anything (i.e. personnel, equipment, 

environment) within the area will be affected by the consequences of the 

hazard. 

In order to rank consequences according to affected area, it is typically 

assumed that equipment or personnel at risk are evenly distributed throughout 

the unit. A more rigorous approach would assign a population density with time 

or equipment value density to different areas of the unit. 

受影响的划分是评估区域内人员 , 设备 , 环境会受到危险的后果 . 为了根据受影响 

地区排名后果 , 它通常假定设备或人员的风险是均匀分布在整个单元 . 更加的深 

入分析如果需要的话 , 能把设备集中区域 , 人员分布 , 时间 / 人员分布动态 , 等等 , 作为 

考虑项 . 

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The units for affected area consequence (square feet or square meters) do not 

readily translate into our everyday experiences and thus there is some 

reluctance to use this measure. It has, however, several features that merit 

consideration. The affected area approach has the characteristic of being able 

to compare toxic and flammable consequences by relating to the physical area 

impacted by a release. A drawback for area consequences is that it does not 

include the business impact of failure, which can often be the largest portion of 

total consequence. 

影响区划分具有很好的有毒和易燃释放的影响的物理区域 , 后果比较的。然而运 

用受影响区域划分 , 在行业上受到一定的阻力 , 因为它不包括故障后果对业务的影 

响 ( 经济损失 ), 而这往往是总结果占最大份额 . 

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11.3.5 Environmental Damage 环境损害 

Environmental consequence measures are the least developed among those 

currently used for RBI. A common unit of measure for environmental damage 

is not available in the current technology, making environmental consequences 

difficult to assess. Typical parameters used that provide an indirect measure of 

the degree of environmental damage are: 环境损失时在 RBI 里最为缺少开发的 

领域 , 也没有共同认同的计量方法 . 典型提供环境破坏的程度的参数间接量度有 

a) acres of land affected per year; 

每年受影响亩地 

b) miles of shoreline affected per year; 

每年海岸线受到影响英里数 

c) number of biological or human-use resources consumed; 

消耗的生物或人类使用的资源数量 

d) the portrayal of environmental damage almost invariably leads to the use 

of cost, in terms of dollars per year, for the loss and restoration of 

environmental resources. 

环境破坏的写照几乎总是导致使用年度成本 ( 对环境资源的丧失和恢复 ) 

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11.3.6 Categorizing Safety, Health, and Environmental Consequences 

安全 , 健康和环境后果分类 

Examples of placing safety, health and environmental consequences into 

categories is provided in Table 4 and Table 5. Table 4 shows three levels, while 

Table 5 shows six levels. In practice, other numbers of levels could be used. 

表 4 和表 5 中提供安全 , 健康和环境后果分类 ( 其他等级数可以按照个别加减 ) 

Table 4 - Three Level Safety, Health and Environmental Consequence 

Categories 

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Table 5—Six Level Safety, Health and Environmental Consequence 

Categories 

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11.3.7 Other Considerations 其他考虑事项 

The following should be considered in addition to the consequences described 

above. It is usually possible to develop a monetary estimate for these 

considerations: 其他考虑事项 , 通常是可以货币估计这些考虑 ; 

a) loss of reputation leading to loss of market share, 

名誉损失 , 导致市场份额的损失 

b) future insurability, 

再保金的变动 

c) regulatory actions curtailing production or raising costs. 

法定监管措施削减生产或增加成本 

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11.4 Volume of Fluid Released 流体释放体积 

In most consequence evaluations, a key element in determining the magnitude 

of the consequence is the volume of fluid released. The volume released is 

typically derived from a combination of the following items below. 

大多数故障结果的评估 , 在确定故障结果的幅度的一个关键因素是流体释放的体积 

a) Volume of Fluid Available for Release—Volume of fluid in the piece of 

equipment and connected equipment items. In theory, this is the amount of 

fluid between isolation valves that can be quickly closed . 

可以快速关闭隔离阀之间的流体量 

b) Failure mode. 失效模式 

c) Leak rate. 泄漏率 

d) Detection and isolation time. 检测和隔离时间 

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In some cases, the volume released will be the same as the volume available 

for release. Usually, there are safeguards and procedures in place so that the 

breach of containment can be isolated and the volume released will be less 

than the volume available for release. 通常 , 有保障措施和程序到位使泄漏可以被 

孤立以减少流体释放体积 . 

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http://www.enggcyclopedia.com/typical-pid-arrangements-symbols/

The cost of the lost fluid may be calculated by: 丢失的流体的成本可以通过计算 

Lost Fluid Cost = Volume of Fluid Lost × Value of the Fluid per Unit Volume 

失去了流体成本 = 体积流体的失落 × 每单位体积的流体价值 

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11.5 Consequence Effect Categories 故障结果影响分类 


The failure of the pressure boundary and subsequent release of fluids may 

cause safety, health, environmental, facility and business damage. The RBI 

analyst should consider the nature of the hazards and assure that 

appropriate factors are considered for the equipment, system, unit, or plant 

being assessed. Regardless of whether a more qualitative or quantitative 

analysis is used, the major factors to consider in evaluating the 

consequences of failure include: 失效后果评估的主要考虑因素评估包括 

a) flammable events (fire and explosion), 易燃事件 ( 火灾和爆炸 ) 

b) toxic releases, 有毒物质排放 

c) releases of other hazardous fluids, 其他危险液体排放 

d) environmental consequences, 环境后果 

e) production consequences (business interruption), 生产的后果 ( 业务中断 ) 

f) maintenance and reconstruction impact. 维修改造的影响 

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11.5.6 Production (Business Interruption) Consequences 

生产 ( 营业中断 ) 的后果 

……………….Business interruption consequences; 

a) ability to compensate for damaged equipment (e.g. spare equipment, 

rerouting, etc.); 

弥补损坏的设备能力 ( 备用设备 , 重新布置管路等 ) 

b) potential for damage to nearby equipment (knock-on damage); 

潜在损坏附近的设备 - 连锁伤害 

c) potential for production loss to other units. 

潜在影响其他设备生产损失 

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11.5.2 Flammable Events (Fire and Explosion) 易燃事件 ( 火灾和爆炸 ) 

Flammable events occur when both a leak and ignition occur. The ignition could 

be through an ignition source or autoignition. Flammable events can cause 

damage in two ways: (1) thermal radiation and (2) blast overpressure. ( 考试题 ) 

Most of the damage from thermal effects tends to occur at close range, but blast 

effects can cause damage over a larger distance from the blast center. Following 

are typical categories of fire and explosion events: 

易燃事件可能是通过点火源或自燃 , 以下是火灾和爆炸事件的典型类别 

a) vapor cloud explosion, 油气云爆炸 

b) pool fire, 池火 

c) jet fire, 喷射火 

d) flash fire, 闪火 

e) boiling liquid expanding vapor explosion (BLEVE). 

沸腾液体扩展蒸气 ( 可能是水蒸气 ) 爆炸 

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The flammable events consequence is typically derived from a combination of 

the following elements: 易燃事件的后果通常来自以下元素的组合 : 

a) inherent tendency to ignite, 内在点燃趋势 

b) volume of fluid released, 流体的体积泄露 

c) ability to flash to a vapor, 急骤蒸发为蒸汽 

d) possibility of auto-ignition, 自动点火的可能性 

e) effects of higher pressure or higher temperature operations, 

更高的压力或更高的温度下操作的影响 

f) engineered safeguards, 工程保障 

g) personnel and equipment exposed to damage. 人员和设备受到损坏 

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Boiling liquid expanding vapor explosion (BLEVE). 


http://www.sozogaku.com/fkd/en/cfen/CC1300001.html 

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Boiling liquid expanding vapor explosion (BLEVE). 


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Flammable Events (Fire and Explosion) 

易燃事件 ( 火灾和爆炸 ) 

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11.5.3 Toxic Releases 有毒物质释放 

Toxic releases, in RBI, are only addressed when they affect personnel (site and 

public). These releases can cause effects at greater distances than 

flammable events. Unlike flammable releases, toxic releases do not require 

an additional event (e.g. ignition, as in the case of flammables) to cause 

personnel injuries. The RBI program typically focuses on acute toxic risks 

that create an immediate danger, rather than chronic risks from low-level 

exposures. The toxic consequence is typically derived from the following 

elements: 此风险评估通常着重于建立即时危险的急性中毒性风险 , 而不是从少 

量接触慢性风险 . 有毒的后果通常是源于以下元素 

a) volume of fluid released and toxicity, 释放和毒性的液量 

b) ability to disperse under typical process and environmental conditions, 

在典型的过程和环境条件下分散能力 

c) detection and mitigation systems, 检测和缓解系统 

d) population in the vicinity of the release. 释放点附近人口分布 

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此风险评估通常着重于建立即时危险的急性中毒性风险 , 而不是日常操作从少量接 

触慢性风险 

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11.5.4 Releases of Other Hazardous Fluids 其他危险液体释放 

Other hazardous fluid releases are of most concern in RBI assessments when 

they affect personnel. These materials can cause thermal or chemical burns if 

a person comes in contact with them. Common fluids, including steam, hot 

water, acids, and caustics can have a safety consequence of a release and 

should be considered as part of an RBI program. 其他危险液体释放是 RBI 最值 

得关注的评估项 , 接触这些材料会引起热或化学灼伤 . 常见的其他危险液体 , 包括 

蒸汽 , 热水 , 酸和苛性碱 

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Generally, the consequence of this type of release is significantly lower than for 

flammable or toxic releases because the affected area is likely to be much 

smaller and the magnitude of the hazard is less. Key parameters in this 

evaluation are as follows. 

通常 , 这种类型的释放的结果比易燃或有毒物质排放显著较低 , 因为受影响的区域 

很可能较小所导致的危险的幅度也小 . 评估主要参数如下 

a) Volume of fluid released. 释放流体的体积 

b) Personnel density in the area. 区域人员密度 

c) Type of fluid and nature of resulting injury. 

流体以及由此产生的损伤性质的类型 

d) Safety systems (e.g. personnel protective clothing, showers, etc.). 

安全系统 ( 如人员的防护服 , 淋浴等 ) 

e) Environmental damage if the spill is not contained. 泄漏带来的环境损害 

f) Equipment Damage - For some reactive fluids, contact with equipment or 

piping may result in aggressive deterioration and failure. 设备损坏 – 泄漏液体 

和设备接触带来的腐蚀加速等 . 

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11.5.5 Environmental Consequences 环境后果 

Environmental consequences are an important component to any consideration 

of overall risk in a processing plant. The RBI program typically focuses on 

acute and immediate environmental risks, rather than chronic risks from low 

level emissions. The environmental consequence is typically derived from 

the following elements: 通常侧重于急性和即时环境风险 . 而不是从较低排放量 

长期风险 

a) volume of fluid released; 流体的体积释放 

b) ability to flash to vapor; 蒸发的能力 

c) leak containment safeguards; 泄漏围堵的保障 

d) environmental resources affected; 影响环境资源 

e) regulatory consequence (e.g. citations for violations, fines, potential 

shutdown by authorities). 监管后果 

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Liquid releases may result in contamination of soil, groundwater, and/or open 

water. Gaseous releases are equally important but more difficult to assess since 

the consequence typically relates to local regulatory constraints and the penalty 

for exceeding those constraints. 液体释放可能会导致土壤 , 地下水和 / 或开放水域 

的污染 . 气体释放也同样重要 , 但更难以评估其后果通常涉及到当地的监管约束和 

惩罚超过某些限制 . 

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The consequences of environmental damage are best understood by cost. The 

cost may be calculated as follows: 环境破坏的后果由成本最好的理解 

Environmental Cost = Cost for Cleanup + Fines + Other Costs 

环境成本 = 成本为清理 + 罚款 + 其它费用 

The cleanup cost will vary depending on many factors. Some key factors are 

listed as follows. 清理费用将取决于许多因素而变化 

a) Type of Spill—Aboveground, belowground, surface water etc. 

外溢类型 - 地上 , 地下 , 地表水等 

b) Type of liquid. 液体型 

c) Method of clean-up. 清理方法 

d) Volume of spill. 泄漏量 

e) Accessibility and terrain at the spill location. 泄漏位置地形和可达性 

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泄漏位置地形和可达性 

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The fine component cost will depend on the regulations and laws of the 

applicable local and federal jurisdictions. The other cost component would 

include costs that may be associated with the spill such as litigation from 

landowners or other parties. This component is typically specific to the locale of 

the facility. 

罚款项 - 取决于当地和联邦司法管辖区的法律和法规 

其他成本组成将包括可能 , 如从土地所有者或其他人提起诉讼的与泄漏相关费用 . 

这个构成要素 , 通常是备的区域而别 . 

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11.5.6 Production (Business Interruption) Consequences 

生产 ( 营业中断 ) 的后果 

Production consequences generally occur with any loss of containment of the 

process fluid and often with a loss of containment of a utility fluid (water, steam, 

fuel gas, acid, caustic, etc.). These production consequences may be in 

addition to or independent of flammable, toxic, hazardous or environmental 

consequences. The main production consequences for RBI are financial. The 

financial consequences could include the value of the lost process fluid and 

business interruption. The cost of the lost fluid can be calculated fairly easily by 

multiplying the volume released by the value of the fluid lost. Calculation of the 

business interruption is more complex. 

主要生产的后果是经济损失 ( 能包括失去的工艺流体和业务中断的价值 ). 

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The selection of a specific method depends on: 具体方法的选择取决于 

a) the scope and level of detail of the study, 研究的目的与细节深度 

b) availability of business interruption data. 业务中断数据可得到性 

A simple method for estimating the business interruption consequence is to 

use the equation: 估算的营业中断的后果的一种简单方法 

Business Interruption = Process Unit Daily Value × Downtime (Days) 

业中断 = 处理单元每日价值 × 停机时间 ( 天 ) 

The unit daily value could be on a revenue or profit basis. The downtime 

estimate would represent the time required to get back into production. The 

Dow Fire and Explosion Index is a typical method of estimating downtime after 

a fire or explosion. 停机时间估算恢复生间隔产所需的时间 

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主要生产的后果是经济损失 ( 能包括失去的工艺流体和业务中断的价值 ). 

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DOW 灾和爆炸 

指数提供 , 火灾 

或爆炸后估计停 

机时间的典型方 

法指南 .

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More rigorous methods for estimating business interruption consequences may 

take into account factors such as: 更严格的估计营业中断的后果方法有 


rerouting, etc.); 弥补损坏的设备能力 ( 备用设备 , 重新布置管路等 ) 



c) potential for production loss to other units. 潜在影响其他设备生产损失 

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Business interruption consequences; 


rerouting, etc.); 

弥补损坏的设备能力 ( 备用设备 , 重新布置管路等 ) 



c) potential for production loss to other units. 

潜在影响其他设备生产损失 

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Site specific circumstances should be considered in the business interruption 

analysis to avoid over or under stating this consequence. Examples of 

these considerations include: 在对业务中断分析时 , 应考虑个别特定的状况 , 

这些考虑例子包括 

a) lost production may be compensated at another under-utilized or idle facility; 

生产损失可能在另一个未充分利用或闲置设施进行补偿 

b) loss of profit could be compounded if other facilities use the unit’s output as 

a feedstock or processing fluid; 利润损失可能会加剧 , 如果其他设施使用本机 

的输出作为原料或加工液 

c) repair of small damage cost equipment may take as long as large damage 

cost equipment; 修补小设成本备的损坏所需要的时间可能长达大成本损害设 

备的时间 . 

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d) extended downtime may result in losing customers or market share, thus 

extending loss of profit beyond production restart; 延长停机时间 , 可能会导致 

失去客户或市场份额 

e) loss of hard to get or unique equipment items may require extra time to 

obtain replacements; 有的特殊设备需要更加长的更换 

f) insurance coverage. 保险范围 

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11.5.7 Maintenance and Reconstruction Impact 维护和重构的影响 

Maintenance and reconstruction impact represents the effort required to correct 

the failure and to fix or replace equipment damaged in the subsequent events 

(e.g. fire, explosion). The maintenance and reconstruction impact should be 

accounted for in the RBI program. Maintenance impact will generally be 

measured in monetary terms and typically includes: 

维护和重构的影响一般会用金钱来衡量 

a) repairs, 维修费用 

b) equipment replacement. 更换费用 

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Consequence cost: 

Unscheduled Repairs, 

计划外维修费用 

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Unscheduled Repairs, 

计划外维修费用 

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Equipment replacement. 

更换费用 

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Equipment replacement. 

更换费用 

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Repair of small damage cost equipment may take as long as large 

damage cost equipment; 修补小设成本备的损坏所需要的时间可能 

长达大成本损害设备的时间 . 

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11.6 Determination of COF 故障后果的测定 


The consequences of releasing a hazardous material can be estimated in 6 (six) 

steps (see Figure 5), with each step performed using the assumption of a 

specific scenario and the steps should be repeated for each credible 

scenario. The steps are as follows: 释放有害物质的后果可以以六个步骤来估 

计 . 假设的特定的场景使用上述每个步骤进行分析 . 每个可信的情景需要进行 

再次独立的分析 . 

a) estimate the release rate, 估计的释放速率 

b) estimate total volume of fluid that will be released, 

估计将被释放流体的总体积 

c) determine if the fluid is dispersed in a rapid manner (instantaneous) or 

slowly (continuous), 确定该流体分散以快速方式 ( 瞬时 ) 或缓慢地 ( 连续 ) 

d) determine if the fluid disperses in the atmosphere as a liquid or a gas, 

确定流体在大气中分散成液体或气体 

e) estimate the impacts of any existing mitigation system, 

估计任何现有的减灾系统的影响 

f) estimate the consequences. 估计后果 

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The steps are as follows: 释放有害物质的后果可以以六个步骤来估计 . 假设的 

特定的场景使用上述每个步骤进行分析 . 每个可信的情景需要进行再次独立 

的分析 . 

a) estimate the release rate, 

估计的释放速率 

b) estimate total volume of fluid that will be released, 


c) determine if the fluid is dispersed in a rapid manner (instantaneous) or 

slowly (continuous), 

确定该流体分散以快速方式 ( 瞬时 ) 或缓慢地 ( 连续 ) 

d) determine if the fluid disperses in the atmosphere as a liquid or a gas, 


e) estimate the impacts of any existing mitigation system, 


f) estimate the consequences. 

估计后果 

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a) estimate the release rate, 

估计的释放速率 

b) estimate total volume of fluid that will 

be released, 


c) determine if the fluid is dispersed in a 

rapid manner (instantaneous) or slowly 

(continuous), 

确定该流体分散以快速方式 ( 瞬时 ) 或缓 

慢地 ( 连续 ) 

d) determine if the fluid disperses in the 

atmosphere as a liquid or a gas, 


e) estimate the impacts of any existing 

mitigation system, 


f) estimate the consequences. 

估计后果 

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Figure 5—Determination of COF 

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11.6.2 Factors for Estimating Consequences 估算后果的因素 

Estimate the consequences of a failure from equipment items considering such 

factors as (1) physical properties of the contained material, (2) its toxicity and (3) 

flammability, (4) type of release and release duration, (5) weather conditions 

and dispersion of the released contents, (6) escalation effects, and (7) mitigation 

actions. (8) Consider the impact on plant personnel and equipment, (9) 

population in the nearby communities, and (10) the environment. (11) Lost 

production, (12) loss of raw material and (13) other losses should also be 

considered. 

估算后果的因素应当是全面化的 , 以上标记为应考虑的事项 . 

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用来估算后果的因素 

1. physical properties of the contained material, 物理性质 

2. its toxicity and 毒性 

3. flammability, 可燃性 

4. type of release and release duration, 释放型和释放期 

5. weather conditions and dispersion of the released contents, 

气候 , 释放扩散 

6. escalation effects, and 升级效应 

7. mitigation actions. 缓解措施 

8. Consider the impact on plant personnel and equipment 

对工厂人员设备的影响 

9. population in the nearby communities, and 周边人员密度 

10. the environment. 环境影响 

11. Lost production, 生产损失 

12. loss of raw material and 原料损失 

13. other losses should also be considered. 其他应当考虑的损失 

估算后果的因素应当是全面化的 , 以上标记为应考虑的事项 . 

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Several credible consequence scenarios may result from a single failure mode 

(release) and consequences should be determined by constructing one or 

more scenarios to describe a credible series of events following the initial 

failure. For example, a failure may be a small hole resulting from general 

corrosion. If the contained fluid is flammable, the consequence scenarios 

could include: small release without ignition, small release with ignition and 

small release with ignition and subsequent catastrophic failure (rupture) of 

the equipment item. 

一个单一的故障模式可能导致几个可信的后果的情况 . 例如 , 一个故障可能是从一 

般的腐蚀产生的一个小孔 , 如果包含的液体是易燃 . 其后果的情况可能包括 ; 

• small release without ignition, 小的释放无点燃 

• small release with ignition and 小释放带点燃 

• small release with ignition and subsequent catastrophic failure (rupture) of 

the equipment item 小释放带点燃后续导致灾难性故障 ( 破裂 ) 

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The following shows how a consequence scenario may be constructed. 

下面显示了一个后果的情况的筑建构造 

a) Consequence Phase 1—Discharge: Consider the type of discharge 

(sudden vs slow release of contents) and its duration. 

结果第 1 阶段 - 释放 : 考虑释放的类型 ( 突然与缓释 ) 

b) Consequence Phase 2—Dispersion: Consider the dispersion of the 

released contents due to weather conditions. 

结果第 2 阶段 - 释放 : 考虑由于天气条件 , 释放的释放体分散 , 

c) Consequence Phase 3—Flammable Events: The consequences should 

be estimated for the scenario based on the flammability of the released 

contents (i.e. impact of a resulting fire or explosion on plant personnel and 

equipment, community, environment) (see 11.5.2). 结果第 3 阶段 - 易燃事 

件 : 根据的释放内容物的可燃性的情景估计后果 ( 火灾或爆炸导致对工厂人 

员和设备 , 社会 , 环境影响 ) 

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d) Consequence Phase 4—Toxic Releases: The consequences should be 

estimated for the scenario based on the toxicity of the released contents 

(i.e. impact due to toxicity on plant personnel, community and the 

environment) (see 11.5.3). 

结果第 4 阶段 - 有毒物质排放 : 基于所述释放的毒性场景 ( 由于毒性对工厂人 

员 , 社区和环境的影响 ) 

e) Consequence Phase 5—Releases of Other Hazardous Fluids: The 

consequences should be estimated for the scenario based on the 

characteristics of the released contents (i.e. impact due to thermal or 

chemical burns on plant personnel, community and the environment) (see 

11.5.4). 结果第 5 期 - 释放的其他危险液体 : 基于释放的其他危险液体特征 

场景 ( 即由于热或化学灼伤对工厂人员 , 社区和环境的影响 ) 

f) Consequence Phase 6: The potential number of fatalities and injuries 

resulting from each scenario should be estimated. Different scenarios, 

with different associated probabilities, should be developed as appropriate. 

结果第 6 阶段 : 应估计从每个方案造成死亡的伤害的潜在数量 . 应适当的在 

不同的场景在不同的关联下来制定概率 , 

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11.6.3 Factors for More Rigorous Methods 更为严格的方法因素 

Each scenario will have an associated overall probability of occurrence that will 

be lower than the probability of the failure itself so that the POF and COF 

should be developed interactively(?). After the scenarios have been 

developed and potential consequences estimated, acceptable ways to list 

consequences include: 可以接受潜在后果 , 列出方法有 ; 

• classify consequence into three or more categories (e.g. a five-category 

classification system might be very low, low, moderate, high, very high); 

分类结果为三个或更多类别 - 例如一个五级分类制度可能非常低 , 低 , 中 , 高 , 

很高 . 

• rank consequence on a scale (e.g. a scale might be from 1 to 10); 

排名结果 - 例如的规模可能是从 1 到 10. 

• measure consequence (e.g. determine the estimated number of fatalities for 

a scenario and the economic losses in monetary units). 

测量结果 - 例如以货币单位的经济损失死亡人数的估计数 . 

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12 Risk 

Determination, 

Assessment and 

Management 

风险确定 , 评估和管理 

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Contents 

12 Risk Determination, Assessment, and Management 

12.1 Purpose 

12.2 Determination of Risk 


12.4 Sensitivity Analysis 

12.5 Assumptions 

12.6 Risk Presentation 

12.7 Establishing Acceptable Risk Thresholds 

12.8 Risk Management 

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12.1 Purpose 目的 

This section describes the process of determining risk by combining the 

results of work done as described in the previous two sections. It also 

provides guidelines for prioritizing and assessing the acceptability of risk with 

respect to risk criteria. This work process leads to creating and implementing 

a risk management plan. Risk should be determined by combining the POF 

(results of work done as described in Section 10) and the COF (results of the 

work done as described in Section 11). 此章节 , 提供有关风险的优先次序的准 

则和评估风险的可接受性准则 , 这项工作过程导致建立和实施风险管理计划 . 

The general form of the risk equation should be as follows: 

风险方程的一般形式应该如下 


风险 = 概率 × 后果 

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12.2 Determination of Risk 风险的确定 

12.2.1 Determination of the Probability of a Specific Consequence 

测定特定后果的概率 

Once the probabilities of failure and failure mode(s) have been determined for 

the relevant damage mechanisms (see Section 10), the probability of each 

credible consequence scenario should be determined. In other words, the loss 

of containment failure may only be the first event in a series of events that lead 

to a specific consequence. The probability of credible events leading up to the 

specific consequence should be factored into the probability of the specific 

consequence occurring. 

可信的事件发生的概率 , 导致特定的 ” 后果 ”(COF – specific scenario 特定的场景 ) 

应考虑的具体 ( 顺序进程 ) ” 后果 ” 发生的概率 (POF) 

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For example, after a loss of containment: 例如 , 溶液流失后 

• the first event may be initiation or failure of safeguards (isolation, alarms, 

etc.); 第一个事件可能引发或失败启动保护措施 ( 隔离 , 警报 , 等 ) 

• the second event may be dispersion, dilution or accumulation of the fluid; 

第二个事件可能会是溶液的分散 , 稀释或流体的积累 

• the third event may be initiation of or failure to initiate preventative action 

(shutting down nearby ignition sources, neutralizing the fluid, etc.); 第三事 

件可以启动或启动失败的预防措施 ( 关闭附近的点火源 , 中和液 , 等 ) 

• and so on until the specific consequence event (fire, toxic release, injury, 

environmental release, etc.). 直到特定的后果事件发生 ( 火灾 , 有毒的释放 , 

损伤 , 环境释放 , 等 ) 

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It is important to understand this linkage between the POF and the probability of 

possible resulting incidents. The probability of a specific consequence is tied to 

the severity of the consequence and may differ considerably from the 

probability of the equipment failure itself. Probabilities of incidents (failure 

scenario) generally decrease with the severity of the incident. For example, the 

probability of an event resulting in a fatality will generally be less than the 

probability that the event will result in a first aid or medical treatment injury. It is 

important to understand this relationship. 

认识 , 设备故障概率 (POF) 和可能产生的事件的概率之间的联系是很重要 . 

一个特定的后果的概率与后果的严重程度和设备故障本身可能的概率大大不同 . 

事件发生概率一般会随事件的严重程度 , 减少 . 

设备故障概率 

事件发生概率 

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Personnel inexperienced in risk assessment methods often link the POF with 

the most severe consequences that can be envisioned. An extreme example 

would be coupling the POF of a damage mechanism where the mode of 

failure is a small hole leak with the consequence of a major fire. This linkage 

would lead to an overly conservative risk assessment since a small leak will 

rarely lead to a major fire. Each type of damage mechanism has its own 

characteristic failure mode(s). For a specific damage mechanism, the 

expected mode of failure should be taken into account when considering the 

probability of incidents in the aftermath of an equipment failure. For instance, 

the consequences expected from a small leak could be very different than the 

consequences expected from a brittle fracture. 

每种类型的损伤机理有其自身失效模式特点 . 缺乏风险评估方法经验的人员往往 

会错误的关联失效模式与损伤机理 . 比如点蚀导致小孔泄漏 , 错误的关联到重大 

火灾事件 . 

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The example in Figure 5 serves to illustrate how the probability of a specific 

consequence could be determined. The example has been simplified and the 

numbers used are purely hypothetical. 说明一个特定的后果的概率的确定方法 

( 简化和使用的数字是纯粹的假设 ) 

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Figure 5—Determination of COF

Figure 6—Example of Calculating the Probability of a Specific Consequence

EXAMPLE: An equipment item 

containing a flammable fluid is being 

assessed.

EXAMPLE: An equipment item containing a flammable fluid is being assessed. 

The probability of a specific consequence should be the product of the probability of each event 

that could result in the specific consequence. In this example, the specific consequence being 

evaluated is a fire (an example event tree starting with a loss of containment is shown below). 

The probability of a fire would be: 

Probability of Fire = (Probability of Failure) × (Probability of Ignition) 

Probability of Fire = 0.001 per year × 0.01 = 0.00001 or 1 × 10 -5 per year 

The probability of no fire encompasses two scenarios (loss of containment without ignition and 

no loss of containment). The probability of no fire would be: 

Probability of No Fire = (Probability of Failure × Probability of Non-ignition) + Probability 

of No Failure 

Probability of No Fire = (0.001 per year × 0.99) + 0.999 per year = 0.99999 per year 

NOTE The probability of all consequence scenarios should equal 1.0. In the example, the 

probability of the specific consequence of a fire (1 × 10 -5 per year) plus the probability of no 

fire (0.999999 per year) equals 1.0. 

If the consequence of a fire had been assessed at $1 × 10 7 then the resulting risk would be: 

Risk of Fire = (1 × 10 -5 per year) × ($1 × 10 7 ) = $100/year

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Figure 6—Example of Calculating the Probability of a Specific Consequence

NOTE The overall risk must include the probability of loss of containment. For 

example, if the probability of loss of containment is 0.1, the overall risk above 

is 0.1 × $100/year = $10/year. 

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Typically, there will be other credible consequences that should be evaluated. 

However, it is often possible to determine a dominant probability / 

consequence pair, such that it is not necessary to include every credible 

scenario in the analysis. Engineering judgment and experience should be 

used to eliminate trivial cases. 

通常情况下 , 会有很多其他可信的概率 / 后果组合 , 但是分析时 , 只需要选择较为显 

著的概率 / 后果组合 . 真确的工程判断和经验应该用来消除微不足道的概率 / 后果 

组合 . 

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12.2.2 Calculate Risk 计算风险 

Referring back to the risk equation: 


It is now possible to calculate the risk for each specific consequence. The risk 

equation can now be stated as: 

Risk of a Specific Consequence = (Probability of a Specific 

Consequence) × (Specific Consequence) 

The total risk is the sum of the individual risks for each specific consequence. 

Often one probability/consequence pair will be dominant and the total risk can 

be approximated by the risk of the dominant scenario. For the example 

mentioned in 12.2.1, if the consequence of a fire had been assessed at $1 × 

10 7 then the resulting risk would be: 

Risk of Fire = (1 × 10 –5 per year) × ($1 × 10 7 ) = $100/year 

Overall risk? 

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If probability and consequence are not expressed as numerical values, risk is 

usually determined by plotting the probability and consequence on a risk 

matrix (see 12.6). Probability and consequence pairs for various scenarios 

may be plotted to determine risk of each scenario. Note that when a risk 

matrix is used, the probability to be plotted should be the probability of the 

associated consequence, not the POF. Also note that the overall risk must 

include the probability of loss of containment. For example, if the probability of 

loss of containment is 0.1, the overall risk above is 0.1 × $100/year = 

$10/year. 使用风险矩阵 , 要绘制的概率应该是相关情景的结果的概率而不是故 

障概率 . 总体风险 = 情景风险 x 溶液流失概率 

Note that when a risk matrix is used, the 

probability to be plotted should be the 

probability of the associated consequence, 

not the POF. 

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Probability of the associated 

consequence 

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Consequence of failure 

Increase severity


风险管理决策和可接受的风险水平 

12.3.1 Risk Acceptance 接受风险 

Risk-based inspection is a tool to provide an analysis of the risks of loss of 

containment of equipment. Many companies have corporate risk criteria 

defining acceptable and prudent 谨慎 levels of safety, environmental and 

financial risks. These risk criteria should be used when making risk-based 

inspection decisions. Because each company may be different in terms of 

acceptable risk levels, risk management decisions can vary among companies. 

可接受的风险水平 , 风险管理决策是以不同公司需要而别 . 

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Cost-benefit analysis is a powerful tool that is being used by many companies, 

governments and regulatory authorities as one method in determining risk 

acceptance. Users are referred to “A Comparison of Criteria for Acceptance of 

Risk” by the Pressure Vessel Research Council (PVRC), for more information 

on risk acceptance. Risk acceptance may vary for different risks. For example, 

risk tolerance for an environmental risk may be higher than for a safety/health 

risk. 

成本效益分析是一个用于风险管理 , 功能强大的工具 , 此分析笨被很多企业 , 政府 

和监管部门作为确定可接受的风险的方法 . 

“A Comparison of Criteria for Acceptance of Risk” by the Pressure Vessel 

Research Council (PVRC) 

压力容器研究委员会出版的 “ 风险标准接受的比较 ” 是个很好的参考文件 . 

http://foreng1.securesites.net/pvrc/index.html 

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12.3.2 Using Risk Assessment in Inspection and Maintenance Planning 

运用风险评估于检查和维修计划 

The use of risk assessment in inspection and maintenance planning is unique 

in that consequence information, which is traditionally operations-based, and 

POF information, which is typically engineering/maintenance/inspection-based, 

is combined to assist in the planning process. Part of this planning process is 

the determination of (1) what to inspect, (2) how to inspect (technique), (3) 

where to inspect (location), and (4) how much to inspect (coverage). 

Determining the risk of process units, or individual process equipment items 

facilitates this, as the inspections are now prioritized based on the risk value. 

The second part of this process is determining when to inspect the equipment. 

Understanding how risk varies with time facilitates this part of the process. 

Refer to Section 13 for a more detailed description of inspection planning 

based on risk analysis. 

传统的检验与维修方案 : 故障结果被操作阶段注重 , 失效概率被工程 / 维修 / 检验 

阶段注重 . 然而 RBI 综合故障结果 / 失效概率 , 开发更为有益的检验维修计划 . 

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Typically: 

Consequence information - operations-based, 

POF - engineering/maintenance/inspection-based, 

RBI Approach: 

Risk – Combined COF/POF into one for inspection and maintenance planning 

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12.4 Sensitivity Analysis 敏感性分析 

Understanding the value of each variable and how it influences the risk 

calculation is key to identifying which input variables deserve closer scrutiny 

versus other variables which may not have significant effects. This is more 

important when performing risk analyses that are more detailed and quantitative 

in nature. 

Sensitivity analysis typically involves 

reviewing some or all input variables to 

the risk calculation to determine the 

overall influence on the resultant risk 

value. Once this analysis has been 

performed, the user can see which input 

variables significantly influence the risk 

value. Those key input variables deserve 

the most focus or attention. 

分析与筛选 , 显著影响风险的输入变量值 . 

这些关键输入变量作为最值得关注或焦点 . 

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It often is worthwhile to gather additional information on such variables. 

Typically, the preliminary estimates of probability and consequence may be too 

conservative or too pessimistic; therefore, the information gathering performed 

after the sensitivity analysis should be focused on developing more certainty for 

the key input variables. This process should ultimately lead to a re-evaluation of 

the key input variables. As such, the quality and accuracy of the risk analysis 

should improve. This is an important part of the data validation phase of risk 

assessment. 

为了避免过于开放或保守的风险分析结构 , 对关键变量值的真确性质是非常重要 

的 . 对这些变量值进行敏感度分析能更加保证风险数据的质量与准确度 . 

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12.5 Assumptions 假定 

Assumptions or estimates of input values are often used when consequence 

and/or POF data are not available. Even when data are known to exist, 

conservative estimates may be utilized in an initial analysis pending input of 

future process or engineering modeling information, such as a sensitivity 

analysis. 

Caution is advised in being too conservative, as overestimating consequences 

and/or POF values will unnecessarily inflate the calculated risk values. 

Presenting over inflated risk values may mislead inspection planners, 

management and insurers, and can create a lack of credibility for the user and 

the RBI process. Appropriate members of the RBI team as outlined in Section 

16 should agree on the assumptions made for RBI analysis and the potential 

impacts on the risk results. 

在缺乏可信的输入值时 , 一般上较为保守的变量值将会运用 , 然而过于保守的变量 

值输入导致风险膨胀 . 这不必要的膨胀给用户 , 管理层 , 检验策划者 , 偷保险者误导 , 

也同时让 RBI 的可信 / 诚信度降低 . 

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在缺乏可信的输入值时 , 一般上较为保守的变量值将会被运用 , 然而过于保守的 

变量值输入导致风险膨胀 . 这不必要的膨胀给用户 , 管理层 , 检验策划者 , 保险投 

保者误导 , 也同时让 RBI 的可信 / 诚信度降低 . 

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12.6 Risk Presentation 风险表达 


Once risk values are developed, they can then be presented in a variety of 

ways to communicate the results of the analysis to decision-makers and 

inspection planners. One goal of the risk analysis is to communicate the results 

in a common format that a variety of people can understand. Using a risk matrix 

or plot is helpful in accomplishing this goal. 

把分析到的风险数据 , 运用风险矩阵或绘图来表达是被接受的有效方法 . 

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12.6.2 Risk Matrix 风险矩阵 

For risk ranking methodologies that use consequence and probability 

categories, presenting the results in a risk matrix is a very effective way of 

communicating the distribution of risks throughout a plant or process unit 

without numerical values. An example risk matrix is shown in Figure 7. In this 

figure, the consequence and probability categories are arranged such that the 

highest risk ranking is toward the upper right-hand corner. 

It is usually desirable to associate numerical values with the categories to 

provide guidance to the personnel performing the assessment 

(e.g. probability category C ranges from 0.001 to 0.01). Different sizes of 

matrices may be used (e.g. 5 × 5, 4 × 4, etc.). Regardless of the matrix 

selected, the consequence and probability categories should provide sufficient 

discrimination ( 辨别力 ) between the items assessed. 

运用风险矩阵作为表达风险 , 是有效的沟通方式 . 这样的方式不带数值的单位 . 然 

而对进行评估提供指导 , 对每个风险类别一般上都关联相应的数值 . 

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Risk categories may be assigned to the boxes on the risk matrix. An example 

risk categorization (higher, medium, lower) of the risk matrix is shown in 

Figure 7. In this example, the risk categories are symmetrical. They may also 

be asymmetrical where for instance the consequence category may be given 

higher weighting than the probability category. A risk matrix depicts results at 

a particular point in time. 

Figure 7—Example 

Risk Matrix Using 

Probability and 

Consequence 

Categories to 

Display Risk 

Rankings 

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Probability of the associated 

consequence 

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Consequence of failure 

Increase severity

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12.6.3 Risk Plots 风险绘图 

When more quantitative consequence and probability data are being used, and 

where showing numeric risk values is more meaningful to the stakeholders, a 

risk plot (or graph) is used (see Figure 7). This graph is constructed similarly to 

the risk matrix in that the highest risk is plotted toward the upper right-hand 

corner. Often a risk plot is drawn using log-log scales for a better understanding 

of the relative risks of the items assessed. In the example plot in Figure 8, ten 

(10) pieces of equipment are shown, as well as an iso-risk line (line of constant 

risk). If this line is the acceptable threshold of risk in this example, then 

equipment items 1, 2, and 3 should be mitigated so that their resultant risk levels 

fall below the line. 

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Figure 7—Example 

Risk Matrix Using 

Probability and 

Consequence 

Categories to 

Display Risk 

Rankings 

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Line of constant risk – acceptable level 

Item no. 2 

Figure 8—Risk Plot when Using Quantitative or Numeric Risk Values 

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12.6.4 Using a Risk Plot or Matrix 使用风险绘图或矩阵 

Equipment items residing towards the upper right-hand corner of the plot or 

matrix (in the examples presented) will most likely take priority for inspection 

planning because these items have the highest risk. Similarly, items residing 

toward the lower left-hand corner of the plot (or matrix) will tend to take lower 

priority because these items have the lowest risk. Once the plots have been 

completed, the risk plot (or matrix) can then be used as a screening tool during 

the prioritization process. 

分析完成后的风险绘图 ( 或矩阵 ) 可以用为筛选优先次序的工具 

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Risk may be described in terms of dollars or other numerical values as 

described in 10.2 even if a qualitative analysis has been performed, and the 

results have been plotted on a risk matrix. Numerical values associated with 

each of the probability and consequence categories on the risk matrix may be 

used to calculate the risk. For cost related risk, a net present value savings vs 

inspection time plot may be used to time the inspection activities. 

不管是定性或定量分析 , 风险可能以美元或其它的数值来描述 . 牵涉 , 成本相关的风 

险 , 净现值的节约与检查时间绘图 , 可以用来决定检验活动的时间额 . 

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12.7 Establishing Acceptable Risk Thresholds 建立可接受的风险临界 

After the risk analysis has been performed, and risk values plotted, the risk 

evaluation process begins. Risk plots and matrices can be used to screen, 

and initially identify higher, intermediate and lower risk equipment items. The 

equipment can also be ranked (prioritized) according to its risk value in 

tabular form. Thresholds that divide the risk plot, matrix or table into 

acceptable and unacceptable regions of risk can be developed. 

Corporate safety and financial policies and constraints or risk criteria 

influence the placement of the thresholds. Regulations and laws may also 

specify or assist in identifying the acceptable risk thresholds. Reduction of 

some risks to a lower level may not be practical due to technology and cost 

constraints. An “as low as reasonably practical” (ALARP) approach to risk 

management or other risk management approach may be necessary for 

these items. 

企业安全 , 金融政策 , 约束或风险指标的影响临界线的位置 . 一些设备 , 把风险 

降低到较低到可接受水平 , 可能由于技术或成本的约束是不实际的 , 这时 , “ 最低 

合理可行的 ” (ALARP) 风险管理或其他风险管理方法可以用来处理这些设备 . 

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Reduction of some risks to a lower level may not be practical due to 

technology and cost constraints. An “as low as reasonably practical” (ALARP) 

approach to risk management or other risk management approach may be 

necessary for these items. 

一些设备 , 把风险降低到较低到可接受水平 , 可能由于技术或成本的约束是不实 

际的 , 这时 , “ 最低合理可行的 ” (ALARP) 风险管理或其他风险管理方法可以用 

来处理这些设备 . 

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http://www.hse.gov.uk/risk/theory/alarp.htm

ALARP Suite of Guidance 

With these six pieces of guidance HSE is addressing its own staff, explaining 

the concept 'reasonably practicable' and providing guidance about what they 

should expect to see in dutyholders demonstrations that the risk has been 

reduced ‘as low as reasonably practicable’(ALARP). 

• Assessing compliance with the law in individual cases and the use of good 

practice 

• Policy and guidance on reducing risks as low as reasonably practicable in 

Design 

• Principles and guidelines to assist HSE in its judgements that duty-holders 

have reduced risk as low as reasonably practicable 

• HSE principles for Cost Benefit Analysis (CBA) in support of ALARP 

decisions 

• Cost Benefit Analysis (CBA) Checklist 

• ALARP "at a glance" 

http://www.hse.gov.uk/risk/theory/alarp.htm 

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12.8 Risk Management 风险管理 

Based on the ranking of items and the risk threshold, the risk management 

process begins. For risks that are judged acceptable, no mitigation may be 

required and no further action necessary. For risks considered unacceptable 

and therefore requiring risk mitigation, there are various mitigation categories 

that should be considered. 

被认为是不可接受的风险 , 缓解类别有 

a) Decommission - Is the equipment really necessary to support unit operation? 

使退役 ( 冗余设备 ). 

b) Inspection/ Condition Monitoring - Can a cost-effective inspection program, 

with repair as indicated by the inspection results, be implemented that will 

reduce risks to an acceptable level? 

经济有效的检查计划与由检验结果标出维修项 . 

Probability Mitigation- with repair as indicated by the inspection results? 

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c) Consequence Mitigation - Can actions be taken to lessen the consequences 

related to an equipment failure? 

后果缓解 

d) Probability Mitigation - Can actions be taken to lessen the POF such as 

metallurgy changes or equipment redesign? 

故障概率缓解 

Risk management decisions can now be made on which mitigation actions to 

take. Risk management/mitigation is covered further in Section 13 and Section 14. 

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13 Risk Management 

with Inspection 

Activities 

检查活动的风险管理 

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Contents 

13 Risk Management with Inspection Activities 







13.7 Achieving Lowest Life Cycle Costs with RBI 

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管理风险 , 通过检查减少不确定性 

In previous sections, it has been mentioned that risk can be managed by inspection. 

Obviously, inspection does not arrest or mitigate damage mechanisms or in and of itself it 

does not reduce risk, but the information gained though effective inspection can better 

quantify the actual risk. Impending failure of pressure equipment is not avoided by 

inspection activities unless the inspection precipitates risk mitigation activities that change 

the POF. Inspection serves to identify, monitor, and measure the damage mechanism(s). 

Also, it is invaluable input in the prediction of when the damage will reach a critical point. 

Correct application of inspections will improve the user‘s ability to predict the damage 

mechanisms and rates of deterioration. The better the predictability, the less uncertainty 

there will be as to when a failure may occur. 

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Mitigation (repair, replacement, changes, etc.) can then be planned and implemented 

prior to the predicted failure date. The reduction in uncertainty and increase in 

predictability through inspection translate directly into a better estimate of the probability 

of a failure and therefore a reduction in the calculated risk. However, users should be 

diligent to assure that temporary inspection alternatives, in lieu of more permanent risk 

reductions, are actually effective. 

检验不能直接的降低风险 . 然而检验可以确定 , 监测并测量损伤机理 ( 损坏率 ) 来提供有 

用的信息 , 通过准确估计失效的概率更好的量化实际风险 . 从而降低计算风险 . 

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http://www.dnv.com/services/software/training/synergicourses/sy12 

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_onshore_rbi_dnv_api_581_may_rotterdam.asp

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检验不能直接的降低风险 . 然而检验可以确 

定 , 监测并测量损伤机理 ( 损坏率 ) 来提供有 

用的信息 , 通过准确估计失效的概率 (POF) 

更好的量化实际风险 (RISK). 从而降低计 

算风险 .

The foregoing does not imply that risk-based inspection plans and activities are 

always the answer to monitoring degradation and therefore reducing risks 

associated with pressure equipment. Some damage mechanisms are very 

difficult or impossible to monitor with just inspection activities (e.g. metallurgical 

deterioration that may result in brittle fracture, many forms of stress corrosion 

cracking, and even fatigue). 

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Other damage mechanisms precipitated by short-term, event-driven operating 

changes can happen too fast to be monitored with normal inspection plans, 

be they; 

(1) risk-based, 

(2) condition-based or 

(3) time-based. 

Hence the need for a establishing and implementing 

(A) 

(B) 

(C) 

comprehensive program for IOW, along with 

adequate communications to inspection personnel when deviations 

occur and a 

rigorous MOC program for changes from the established parameters. 

检验的限制有 ; 有的损伤机理很难或不能被检验探测到 ( 比如 ; 冶金损伤 , 很多的应 

力腐蚀开裂等 ). 有的 , 由于短期的 , 操作变化事件驱动的损伤模式 , 可能发生太快 

不在正常的检验计划所能监控范围 . 基于上述理由 , 建立和实施一个全面的 IOW 

计划 , 适当的信息沟通和变革管理师很有必要的 . 

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happen too fast to 

be monitored with 

normal inspection 

plans

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happen too fast to be 

monitored with normal 

inspection plans

http://www.sv.vt.edu/classes/MSE2094_NoteBook/97ClassProj/anal/kelly/fatigue.html 

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Some damage 

mechanisms are very 

difficult or impossible to 

monitor with just 

inspection activities

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Some damage 

mechanisms are very 

difficult or impossible to 

monitor with just 

inspection activities

Hence the need for a 

establishing and implementing a 

comprehensive program for 

IOWs, along with adequate 

communications to inspection 

personnel when deviations 

occur and a rigorous MOC 

program for changes from the 

established parameters. 

OPERATING WINDOW 

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Risk mitigation (by the reduction in uncertainty) achieved through inspection 

presumes that the organization will act on the results of the inspection in a 

timely manner. Risk mitigation is not achieved if inspection data that are 

gathered are not properly analyzed and acted upon where needed. The quality 

of the inspection data and the analysis or interpretation will greatly affect the 

level of risk mitigation. Proper inspection methods and data analysis tools are 

therefore critical. 通过检验 , 风险缓解 ( 通过减少不确定性 ), 假定管理层对检验结 

果采取及时的措施 . 选用适当的检验方法与资料分析是检验资料的关键点 . 

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确定风险管理的机会 

As discussed in Section 12, typically a risk priority list is developed as a result 

of the RBI process. RBI will also identify whether consequence or POF or both 

is driving risk. In the situations where risk is being driven by POF, there is 

usually potential for risk management through inspection. Once an RBI 

assessment has been completed, the items with higher or unacceptable risk 

should be assessed for potential risk management through inspection, or other 

risk management strategies. Whether inspections will be effective or not will 

depend on: 

确定操纵风险关键因素 : 故障结果或 POF? 当风险分析完成后 , 高或不可接受风 

险应评估风险管理所需要的方法 . 一般上 , POF 使用检验方法降低 , 故障结果 

COF 运用其他风险管理策略 . 检验的有效性取决于 ; 

a) equipment type; 设备种类 

b) active and credible damage mechanism(s); 活跃和可靠的损伤机制 

c) rate of deterioration or susceptibility; 恶化率或敏感率 

d) inspection methods, coverage and frequency; 检查方法 , 频率和覆盖 

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e) accessibility to expected damage areas; 损害的区域可达性 

f) shutdown requirements; 停机要求 

g) amount of achievable reduction in POF (i.e. a reduction in POF of a low POF 

item is usually difficult to achieve through inspection). 

对故障概率的降低效果 ( 低故障概率的设备一般上对检验带来的益处不多 ) 

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active and credible damage mechanism(s); 

活跃和可靠的损伤机制 

rate of deterioration or susceptibility; 

恶化率或敏感率 

PTASCC – Polythionic acid stress corrosion cracking 

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accessibility to expected damage areas; 

损害的区域可达性 

shutdown requirements; 停机要求 

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accessibility to expected 

damage areas; 

损害的区域可达性




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POF 为风险关键因素 : 使用 

检验方法降低 

COF 为风险关键因素 : 

运用其他风险管理策略 

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Inspection Limitations

Depending on factors such as the remaining life of the equipment and type of 

damage mechanism, risk management through inspection may have little or 

no effect. Examples of such cases are: 根据设备损伤机理类型或设备剩余寿 

命的因素 , 有的时候运用检验作为风险管理不能带来任何或很小的效果 . 以下为 

例子 ; 

a) corrosion rates well-established with equipment nearing end of life, 设备的腐 

蚀速率准确的预测设备接近设备剩余寿命 . 

b) instantaneous failures related to operating conditions such as brittle fracture, 

快速脆裂损伤机理 

c) inspection technology that is not sufficient to detect or quantify deterioration 

adequately, 检验工艺的限制或可探能力 

d) too short a time frame from the onset of deterioration to final failure for 

periodic inspections to be effective (e.g. high-cycle fatigue cracking), 牵涉到快 

速导致失效模式的损伤机理 ( 比如 , 高频率疲劳 ) 

e) event-driven failures (circumstances that cannot be predicted), 事件驱动的故 

障 ( 不可预测的事件 - 操作失误 / 人为破坏等 ) 

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In cases such as these, an alternative form of mitigation may be required. The 

most practical and cost effective risk mitigation strategy can then be developed 

for each item. Usually, inspection provides a major part of the overall risk 

management strategy, but not always. 

在上述的情况下 , 其他风险管理策略应开发与执行 . 

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corrosion rates wellestablished 

with equipment 

nearing end of life, 设备的腐蚀 

速率准确的预测设备接近设备 

剩余寿命 

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检验工艺的限制或可探能力 

event-driven failures 

(circumstances that 

cannot be predicted), 

事件驱动的故障 ( 不可预 

测的事件 - 操作失误 / 人为 

破坏等 ) 

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建立基于风险评估的检测策略 

The results of an RBI assessment and the resultant risk management 

assessment are normally used as the basis for the development of an overall 

inspection strategy for the group of items included. The inspection strategy 

should be designed in conjunction with other mitigation plans so that all 

equipment items will have resultant risks that are acceptable. For the 

development of their inspection strategy, users should consider the following: 

RBI 分析带来的风险管理评估用于全面检查策略开发的基础 , 应与其它非检验缓解 

计划共同设计 , 检验策略开发考虑项有 

• risk criteria and ranking, 风险准据和排名 

• risk drivers, 风险因素 (POF 或 COF 主导 ) 

• item history, 设备历史 

• number and results of inspections, 检查数量和结果 

• type and effectiveness of inspections, 检查类型和有效性 

• equipment in similar service and remaining life. 类似服务的设备和剩余寿命 

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Inspection is only effective if the examination technique chosen is sufficient for 

detecting the damage mechanism and its severity. As an example, spot 

thickness readings on a piping circuit would be considered to have little or no 

benefit if the damage mechanism results in unpredictable localized corrosion 

(e.g. pitting, ammonia bisulfide corrosion, local thin area, etc.). In this case, 

ultrasonic scanning, radiography, etc. will be more effective. The level of risk 

reduction achieved by inspection will depend on: 

选用真确的检验方法是很重要的 , 比如点蚀管线上用测厚仪抽检 , 并不能有效的 

检验方法 , 在此情况 , 应当选用超声或射线探伤 . 通过检验减少风险水平将取决于 

a. mode of failure of the damage mechanism, 损伤机理和失效模式 

b. time interval between the onset of deterioration and failure (i.e. speed of 

deterioration), 开始退化至失效之间的时间间隔 

c. detection capability of examination technique, 检查技术检测能力 

d. scope of inspection, 检验范围 

e. frequency of inspection. 检验频率 

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Organizations should be deliberate and systematic in assigning the level of risk 

management achieved through inspection and should be cautious not to 

assume that there is an unending capacity for risk management through 

inspection. The inspection strategy should be a documented, iterative process to 

assure that inspection activities are continually focused on items with higher risk. 

管理层 , 被提醒检验的可探性限制 . 在策划检验计划时 , 应记录与从迭代过程中 , 选择 

最佳的检测方法 . 优先专注高风险的项目风险缓解 . 

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通过检验活动管理风险 

The effectiveness of past inspections is part of the determination of the present 

risk. The future risk can now be influenced by future inspection activities. RBI 

can be used as a “what if” tool to determine when, what and how inspections 

should be conducted to yield an acceptable future risk level. Key parameters 

and examples that can affect the future risk are as follows. 

过去的检查的有效性是确定当前风险的一部分 . 往后的风险指望于后续的检验活动 . 

评估过去的检验有效性作为改进后续的检验活动 , 有助于降低风险 . 检验活动影响 

风险的关键参数 / 例子有 

a) Frequency of Inspection—Increasing the frequency of inspections may serve 

to better define, identify or monitor the damage mechanism(s) and therefore 

better quantify the risk. Both routine and turnaround inspection frequencies 

can be optimized. 检验频率 , 增加频率能更加的对损坏机理的认识与评估 , 因此 

更好地量化风险 . 常规和周转检验频率可以被优化 . 

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) Coverage - Different zones or areas of inspection of an item or series of 

items can be modeled and evaluated to determine the coverage that will 

produce an acceptable level of risk. For example: 覆盖范围 ; 设备可以分区 , 

位置建模进行执行检验工作 . 

a higher risk piping system may be a candidate for more extensive 

inspection, using one or more NDE techniques targeted to locating the 

identified damage mechanisms; 

对风险高的管线系统进行较多的检验投入 ( 聚焦 ) 

an assessment may reveal the need for focus on parts of a vessel where the 

highest risk may be located and focus on quantifying this risk rather than 

focusing on the rest of the vessel where there are perhaps only low risk 

deterioration processes occurring. 

对风险较高的容器设备的位置 / 区域进行较多的检验投入 ( 聚焦 ) 

API 580 


c) Tools and Techniques - The selection and usage of the appropriate 

inspection tools and techniques can be optimized to cost effectively and 

safely quantify the POF. In the selection of inspection tools and techniques, 

inspection personnel should take into consideration that more than one 

technology may achieve risk mitigation. However, the level of mitigation 

achieved can vary depending on the choice. As an example, profile 

radiography would typically be more effective than digital ultrasonic for 

thickness monitoring in cases of localized corrosion. 

工具与技术 – 挑选合适的检验工具与技术 , 有助于费用节省与更加有效的量化 

故障概率 (POF). 在选择检验方法时 , 除了选择合适的技术 , 多个检验技术可能 

被动用来缓解风险 . 

API 580 


d) Procedures and Practices - Inspection procedures and the 

actual inspection practices can impact the ability of inspection 

activities to identify, measure and/or monitor damage 

mechanisms. If the inspection activities are executed 

effectively by well-trained and qualified inspectors, the 

expected risk management benefits should be obtained. The 

user is cautioned not to assume that all inspectors and NDE 

examiners are well qualified and experienced, but rather to 

take steps to assure that they have the appropriate level of 

experience and qualifications. 

程序和做法 – 检验可探性受检验程序与实际操作影响 . 实用的检 

验作业指导书 , 合格的检验人员是检验工作的先决条件 . 

API 580 


API 580 


API 580 


http://myicp.api.org/inspectorsearch/

e) Internal, On-stream, or External Inspection—Risk quantification by internal, 

on-stream and external inspections should be assessed. Often external 

inspection with effective on-stream inspection techniques can provide useful 

data for risk assessment. It is worth noting that invasive inspections, in 

some cases, may cause deterioration and increase the risk of the item. 

Examples where this may happen include: 

内部 , 外部 , 在职检验 – 按照实际要求进行合适的检验方法 ( 内 , 外 , 在职 ) 筛选 . 很 

多时候外部在职检验能提供有用的风险评估信息 . 很多时候内部检验可能导致 

设备的恶化与增加风险 , 例子有 ; 

• moisture ingress to equipment leading to stress corrosion cracking or 

polythionic acid cracking, 水分渗入导致如腐蚀应力开裂 ( 连多硫酸开裂 ) 

• internal inspection of glass lined vessels, 玻璃容器内部检验导致损坏 

• removal of passivating films, — human errors in start up (re-streaming), 钝化 

膜去除 ( 开机导致损坏 ) 

• increased risks associated with shutting down and starting up equipment. 

设备关机和启动带来的机械完整性负面影响 

API 580 


The user can adjust these parameters to obtain the optimum inspection plan 

that manages risk, is cost effective, and is practical. 

用户可以按照实际情况优化检验方法和筛选最佳的方法 . 

API 580 



运用 RBI 管理检查的费用 

Inspection costs can be more effectively managed through the utilization of 

RBI. Resources can be applied or shifted to those areas identified as a higher 

risk or targeted based on the strategy selected. Consequently, this same 

strategy allows consideration for reduction of inspection activities in those 

areas that have a (1) lower risk or where the inspection activity has (2) little or 

no effect on the associated risks. This results in inspection resources being 

applied where they are needed most and thereby increased inspection cost 

effectiveness. 

合理的把检验活动关注与高风险设备与那些能有效通过检验活动降低风险的设 

备 , 在 (1) 低风险和检验活动 (2) 不能显著地降低风险的设备 , 减少或完全取消检 

验活动 , 能节约检验费用 . 

API 580 


POF 为风险关键因素 : 使用检 

验方法降低 – 检验关注点 

高风险区 - 检验关注点 

低风险区 - 非检验关注点 

API 580 


COF 为风险关键因素 : 

运用其他风险管理策略 

- 非检验关注点

Another opportunity for managing inspection costs is by identifying items in the 

inspection plan that can be inspected non-intrusively on-stream. If the nonintrusive 

inspection provides sufficient risk management, there is a potential for 

a net savings based on not having to blind, open, clean, and internally inspect 

during downtime. If the item considered is the main driver for bringing an 

operational unit down, the non-intrusive inspection may contribute to increased 

uptime of the unit. The user should recognize that while there is a potential for 

the reduction of inspection costs through the utilization of RBI, increased 

equipment integrity and inspection cost optimization should remain the focus. 

另个节约检验费用的来源是 , 外部在职检验替代设备内部检验 ( 内部检验的准备工 

作 , 关机导致停产 , 等 ). 用户应当注意的是 , 虽然外部在职检验在替代内部检验带 

来成本节约 , 设备机械完整性与检验成本最佳平衡是最终目标 . 

API 580 


检验如何降低检验费用 : 

• 注重高风险项目 , 减少或忽略对低风险项目 . 

• 不能显著地降低风险的设备 , 减少或完全取消检验活动 . 

• 外部在职检验替代设备内部检验 . 

API 580 



评估检测结果并确定纠正措施 

Inspection results such as the (1) identification of damage mechanisms, (2) 

rate of deterioration and (3) equipment tolerance to the types of deterioration 

should be used as variables in assessing (A) remaining life and (B) future 

inspection plans. The results can also be (C) used for comparison or validation 

of the models that may have been used for POF determination. 

检验结果如 , 损伤机理的识别 , 劣化率 , 设备容忍性能用来评估剩余寿命和策划未 

来的检验计划 . 在此同时 , 相关的资料可以用来 , 比较与核实 POF 数据的准确性 . 

A documented mitigation action plan should be developed for any equipment 

item requiring repair or replacement. The action plan should describe the 

extent of repair (or replacement), recommendations, the proposed repair 

method(s), appropriate QA/QC and the date the plan should be completed. 

每个需要维修或更换作为风险缓解的设备 , 应当有缓解计划书 . 化解计划书应 , 

详细的说明 , 返修 / 更换范围 , 建议 , 修复方法 , QAQC 要求和计划完成时间 . 

API 580 


API 580 


Reducing 

Uncertainty 

Assessing Inspection Results and Determining Corrective Action 

评估检测结果并确定纠正措施检验结果如 ,(1) 损伤机理的识别 , (2) 劣化率 , 

(3) 设备容忍性能用来 ; 

1. 评估剩余寿命和 

2. 策划未来的检验计划 . 在此同时 , 

3. 相关的资料可以用来 , 比较与核实 POF 数据的准确性 . 

API 580 


API 580 


API 580 


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UW-51 (b) 

Degree of 

Radiographic 

Examination. 

Full 

Unacceptable imperfections 

(1) indication characterized as a crack or zone of incomplete fusion or 

penetration; 

(2) any other elongated indication on the radiograph which has length 

greater than: 

(a) ¼ in. (6 mm) for t up to ¾ in. (19 mm) 

(b) ⅓ t for t from ¾ in. (19 mm) to 2 ¼ in. (57 mm) 

(c) ¾ in. (19 mm) for t over 2 ¼ in. (57mm) 

(3) any group of aligned indications that have an aggregate length greater 

than “t” in a length of 12t, except when the distance between the successive 

imperfections exceeds 6L where L is the length of the longest imperfection 

in the group; 

(4) rounded indications in excess of that specified by the acceptance 

standards given in Appendix 4. 

UW-51


UW-51 (b2) 

UW-51 (b2) 

any other elongated indication on the radiograph which has length greater than: 

(a) ¼ in. (6 mm) for t up to ¾ in. (19 mm) 

(b) ⅓ t for t from ¾ in. (19 mm) to 2 ¼ in. (57 mm) 

(c) ¾ in. (19 mm) for t over 2 ¼ in. (57mm) 

UW-51

UW-52 (c) 

Degree of RT 


Spot 

1. indication characterized as a crack or zone of incomplete fusion or 

penetration. 

2. Welds having indications characterized as slag inclusions or cavities 

are unacceptable when; 

a. the indication length exceeds 2/3 t, where t is defined as shown in 

UW-51(b)(2). 

b. For all thicknesses, indications less than ¼ in. (6 mm) are acceptable, 

and indications greater than ¾ in. (19 mm) are unacceptable. 

c. Multiple aligned indications meeting these acceptance criteria are 

acceptable when the sum of their longest dimensions indications does 

not exceed t within a length of 6t (or proportionally for radiographs 

shorter than 6t), and when the longest length L for each indication is 

separated by a distance not less than 3L from adjacent indications. 

(3) Rounded indications are not a factor in the acceptability of welds not 

required to be fully radiographed. 

UW-52

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What were the differences in inspection? 

API 510 Clause 3.20 examiner: A person who 

assists the inspector by performing specific 

nondestructive examination (NDE) on pressure 

vessel components but does not evaluate the 

results of those examinations in accordance with 

API 510, unless specifically trained and 

authorized to do so by the owner/user. 

API 580 


13.7 Achieving Lowest Life Cycle Costs with RBI 

最低周期寿命成本 

Not only can RBI be used to optimize inspection costs that directly affect life 

cycle costs, it can assist in lowering overall life cycle costs through various cost 

benefit assessments. The following examples can give a user ideas on how to 

lower life cycle costs through RBI with cost benefit assessments. 周期寿命成本 

节约的贡献因素有 

a) RBI should enhance the prediction of failures caused by damage 

mechanisms. This in turn should give the user confidence to continue to 

operate equipment safely, closer to the predicted failure date. By doing this, 

the equipment cycle time should increase and life cycle costs decrease. 提高故 

障预测率 , 让用户有信心的安全操作设备 , 临近预测的失效日期 . 这样设备的使用 

周期时间增加和寿命周期成本降低 

API 580 


http://www.dnv.com/services/software/training/synergicourses/sy12 

API 580 


_onshore_rbi_dnv_api_581_may_rotterdam.asp

) RBI can be used to assess the effects of changing to a more aggressive 

fluid. A subsequent plan to upgrade construction material or replace specific 

items can then be developed. The construction material plan would consider 

the optimized run length safely attainable along with the appropriate inspection 

plan. This could equate to increased profits and lower life cycle costs through 

reduced maintenance, optimized inspections, and increased unit/equipment 

uptime. 

通过设备材料的更加认识 , 从而优化设备 / 溶液 / 检验之间的互联组配 , 来减少维修 , 

优化检查 , 增加单元 / 设备的正常可用时间 . 

c) Turnaround and maintenance costs also have an effect on the life cycle 

costs of an equipment item. By using the results of the RBI inspection plan to 

identify more accurately where to inspect and what repairs and replacements 

to expect, turnaround and maintenance work can be preplanned and, in most 

cases, executed at a lower cost than if unplanned. 

风险分析能正确的鉴定设备需要检验的位置与间隔 , 这样检修和维护工作可预先 

计划 . 预先合理时间安排往往导致成本节约 . 

API 580 


14 Other Risk 

Mitigation 

Activities 

其他的风险缓解活动 

API 580 


Contents 

14.1 General 

14.2 Equipment Replacement and Repair 

14.3 Evaluating Flaws for Fitness-For-Service 


14.5 Emergency Isolation 

14.6 Emergency Depressurizing/Deinventorying 

14.7 Modify Process 

14.8 Establish Integrity Operating Windows 

14.9 Reduce Inventory 

14.10 Water Spray/Deluge 

14.11 Water Curtain 

14.12 Blast-resistant Construction 

14.13 Others 

API 580 



As described in the previous section, inspection is often an effective method of 

risk management. However, inspection may not always provide sufficient risk 

mitigation or may not be the most cost effective method. The purpose of this 

section is to describe other methods of risk mitigation. This list is not meant to 

be all inclusive. These risk mitigation activities fall into one or more of the 

following: 

检验虽然一般上有效的降低风险 , 但在检验并不能胜任时 , 其他缓解措施将被动 

用 . 这些风险缓解活动主要分为以下 

a) reduce the magnitude of consequence, 减少的后果的严重性 

b) reduce the POF, 减少故障率 

c) enhance the survivability of the facility and people to the consequence, 

提高设备和人对事故后果的生存率 

d) mitigate the primary source of consequence. 缓解故障后果的主要来源 

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API 580 


1. 14.2 Equipment Replacement and Repair 

2. 14.3 Evaluating Flaws for Fitness-For-Service 

3. 14.4 Equipment Modification, Redesign, and Rerating 

4. 14.5 Emergency Isolation 

5. 14.6 Emergency Depressurizing/De-inventorying 

6. 14.7 Modify Process 

7. 14.8 Establish Integrity Operating Windows 

8. 14.9 Reduce Inventory 

9. 14.10 Water Spray/Deluge 

10.14.11 Water Curtain 

11.14.12 Blast-resistant Construction 

12.14.13 Others 

API 580 


14.2 Equipment Replacement and Repair 设备的更换和维修 

When equipment deterioration has reached a point that the risk of failure 

cannot be managed to an acceptable level, replacement/repair is often the 

only way to mitigate the risk. 当设备损伤导致失效风险不能管理到可接受的水 

平时 , 设备维修或更换往往是唯一的风险缓解选择 . 

其他的风险缓解活动 – 设备维修 ! 

API 580 


Other Risk Mitigation Activities 

其他的风险缓解活动 

API 580 


14.3 Evaluating Flaws for Fitness-For-Service 适用性评估 

Inspection may identify flaws in equipment. A Fitness-For-Service assessment 

(e.g. API 579-1/ASME FFS-1) may be performed to determine if the 

equipment may continue to be safely operated, under what conditions and for 

what time period. A Fitness-For-Service analysis can also be performed to 

determine what size flaws, if found in future inspections, would require repair 

or equipment replacement. 

适用性评估可以用于评估当前的设备缺陷 ( 不受理 / 维修 / 更换 ), 也可以用来定量 

缺陷大小的极限 , 这有助于对未来检验测量到的缺陷变化 , 做出更换或维修的决 

定 . 

API 580 



设备改造 , 重新设计和压力重估 

Modification and redesign of equipment, utilizing a rigorous MOC process, can 

provide mitigation of POF. Examples include: 

利用严格的变更管理程序 , 备改造 , 重新设计和压力重估作为缓解 POF, 例子有 

a) change of metallurgy, 改变冶金 

b) addition of protective linings and coatings, 添加涂层和保护衬垫 

c) removal of deadlegs, 拆除盲流点 ( 死角 ) 

d) increased corrosion allowance, 增加腐蚀余量 

e) physical changes that will help to control/minimize deterioration, 

有助于控制 / 减少恶化的设备物理变化 

f) insulation improvements, 保温层的优化 

g) injection point design changes, 注入点设计优化 

h) resizing of the relief device. 减压装置大小优化 

Sometimes equipment is over designed for the process conditions. Rerating 

the equipment may result in a reduction of the POF assessed for that item. 

有的时候 , 设备设计过于保守 , 设计重估可能导致 POF 降低 . 

API 580 


14.5 Emergency Isolation 紧急关断 

Emergency isolation capability can reduce toxic, explosion or fire 

consequences in the event of a release. Proper location of the isolation valves 

is key to successful risk mitigation. Remote operation is usually required to 

provide significant risk reduction. To mitigate flammable and explosion risk, 

operations need to be able to detect the release and actuate the isolation 

valves quickly (within a few minutes). Longer response times may still mitigate 

effects of ongoing fires or toxic releases. 

API 580 


14.6 Emergency Depressurizing/De-inventorying 

应急减压 / 清仓 ( 溶液 ) 

This method reduces the amount and rate of release. Like emergency isolation, 

the emergency depressurizing and/or de-inventory should be achieved within a 

few minutes to affect explosion/fire risk. 

API 580 


API 580 


14.7 Modify Process 工艺修改 

Mitigation of the primary source of consequence may be achieved by 

changing the process towards less hazardous conditions. As with physical 

modifications, any process changes should be conducted only after the 

application of a rigorous MOC process. Some examples include: 

a) reduce temperature to below atmospheric pressure boiling point to reduce 

size of cloud; 降低温度 

b) substitute a less hazardous material (e.g. high flash solvent for a low flash 

solvent); 更换工艺原材料 

c) use a continuous process instead of a batch operation, where applicable; 

连续而不是一个间歇操作工艺过程 

d) dilute or eliminate hazardous substances. 淡化或消除有害物质 

以上修改必须经过严格的 MOC 变更管理程序审核 . 

API 580 


Mitigation of the sources of corrosion can be achieved by changing the process 

towards less corrosive conditions. Some examples include: 

通过更改腐蚀性较弱的工艺过程 

a) process water washing to remove corrosive materials (e.g. salts); 清水清理 

b) addition of neutralizing or inhibitor chemicals; 添加中和剂 / 抑制剂 

c) removal of contaminants with process equipment (e.g. absorbers, filters); 

污染物去除 

d) protection of downtime corrosion (e.g. PTASCC protection). 

停机保护 ( 比如 : 硫酸应力腐蚀 ) 

API 580 


14.8 Establish IOWs 建立操作完整性窗口 

IOWs should be established for process parameters (both physical and 

chemical) that could impact equipment integrity if not properly controlled. 

Examples of the process parameters include temperatures, pressures, fluid 

velocities, pH, flow rates, chemical or water injection rates, levels of corrosive 

constituents, chemical composition, etc. Key process parameters for IOWs 

should be identified and implemented, upper and lower limits established, as 

needed, and deviations from these limits should be brought to the attention of 

inspection/engineering personnel. Particular attention to monitoring IOWs 

should also be provided during start-ups, shutdowns and significant process 

upsets. 

操作完整性窗口 ( 参数 ) 应确定和实施 . 特别注意监测在开机 , 关机与工艺颠覆的 

工艺参数的异常 . 当关键工艺参数偏离允许上下限 , 应及时提醒检验 / 设计人员 . 

API 580 


14.9 Reduce Inventory 减少库存 

This method reduces the magnitude of consequence. Some examples include: 

a) reduce/eliminate storage of hazardous feedstocks or intermediate products; 

减少 / 消除储存危险原料或中间产品 , 

b) modify process control to permit a reduction in inventory contained in surge 

drums, reflux drums or other inprocess inventories; 

减少缓冲罐 , 回流罐的库存 , 

c) modify process operations to require less inventory/hold-up; 

修改工艺以减少工艺流程库存 , 

d) substitute gas phase technology for liquid phase. 液相替代气相技术 , 

API 580 


14.10 Water Spray/Deluge 水喷 / 消防水 

This method can reduce fire damage and minimize or prevent escalation. A 

properly designed and operating system can greatly reduce the probability that 

a vessel exposed to fire. 这方法减少火灾的伤害或升级 . 

14.11 Water Curtain 水幕 

Water sprays entrap large amounts of air into a cloud. Water curtains mitigate 

water soluble vapor clouds by absorption as well as dilution and insoluble 

vapors (including most flammables) by air dilution. Early activation is required 

in order to achieve significant risk reduction. The curtain should preferably be 

between the release location and ignition sources (e.g. furnaces) or locations 

where people are likely to be present. Design is critical for flammables, since 

the water curtain can enhance flame speed under some circumstances. 

API 580 


14.12 Blast-resistant Construction 防爆结构 

Utilizing blast resistant construction provides mitigation of the damage caused 

by explosions and may prevent escalation of the incident. When used for 

buildings (see API 752), it may provide personnel protection from the effects 

of an explosion. This may also be useful for equipment critical to emergency 

response, critical instrument/control lines, etc. 

API 580 


14.13 Others 其他 

a) spill detector; 泄漏检测器 

b) steam or air curtains; 蒸汽或空气幕 

c) fireproofing; 耐火层装置 

d) instrumentation (interlocks, shutdown systems, alarms, etc.); 

仪表 ( 联锁 , 关断系统 , 警报 , 等 ) 

e) inerting/gas blanketing; 惰气 / 气掩盖 

f) ventilation of buildings and enclosed structures; 建筑物封闭结构的通风 

g) piping redesign; 管道设计 

h) mechanical flow restriction; 机械流量限制 

i) ignition source control; 燃点源头控制 

j) improved design, assembly and installation standards; 

改进的设计 , 装配和安装标准 

k) improvement in process safety management (PSM) program; 

工艺安全管理程序的改进 

API 580 


l) emergency evacuation; 紧急疏散 

m) shelters (safe havens); 庇护所 ( 避难所 ) 

n) toxic scrubbers on building vents; 在建筑通风有毒洗涤器 

o) spill detectors and containment; 泄漏检测器和遏制 

p) facility siting and/or layout; 设施选址和 / 或布局 

q) condition monitoring; 状态监测 

r) improved training and procedures; 改进 , 训练和程序 

s) emergency feed stops; 紧急原料补给关断 

t) improved fire suppression systems. 改进的灭火系统 

API 580 


15 Reassessment 

and Updating RBI 

Assessments 

重估与跟新评估 

API 580 


Contents 

15 Reassessment and Updating RBI Assessments 

15.1 RBI Reassessments 

15.2 Why Conduct an RBI Reassessment? 


API 580 


15.1 RBI Reassessments 重估 

RBI is a dynamic tool that can provide current and projected future risk 

evaluations. However, these evaluations are based on data and knowledge at 

the time of the assessment. As time goes by, changes are inevitable and the 

results from the RBI assessment should be updated. It is important to 

maintain and update an RBI program to ensure that the most recent 

inspection, process, and maintenance information is included. (1) The results 

of inspections, (2) changes in process conditions and (3) implementation of 

maintenance practices can all have significant effects on risks, and therefore 

the inspection plan and can trigger the need to perform a reassessment. 

作为一个动态工具 , 风险会跟着时间 , 操作与缓解活动的介入而改变 , 风险也随 

着这些变化而升减 . 评估必须最新的检验 , 工艺与维护信息 , 更新反映这些变化 . 

API 580 


15.2 Why Conduct an RBI Reassessment? 为何需要跟新 ? 


There are several events that will change risks and make it prudent to conduct 

an RBI reassessment. It is important that the facility have an effective MOC 

process that identifies when a reassessment is necessary. Sections 15.2.2 

through 15.2.5 provide guidance on some key factors that could trigger an RBI 

reassessment. 有效的变更管理程序 , 对重新评估是很重要的 

API 580 


It is important that the facility have an effective MOC process that identifies 

when a reassessment is necessary. 

WHP-01/V2001MOC 

API 580 


API 580 


Sections 15.2.2 through 15.2.5 provide 

guidance on some key factors that could trigger 

an RBI reassessment. 

API 580 


15.2.2 Damage Mechanisms and Inspection Activities 

损坏机理与检验活动 

Many damage mechanisms are time dependent. Typically, the RBI 

assessment will project deterioration at a continuous rate. In reality, the 

deterioration rate may vary over time. Through inspection activities, the rate of 

deterioration (both short-term and long-term) may be better defined. Some 

damage mechanisms are independent of time (i.e. they occur only when there 

are specific conditions present). 

When those intermittent conditions occur, then an RBI reassessment may be 

appropriate. As part of the reassessments, it is important to review the 

operating histories over the past run, including exceedances and trends, to 

better predict if non-time dependent damage mechanisms could have 

occurred. Inspection activities will increase information on the condition of the 

equipment. When inspection activities have been performed, the results 

should be reviewed to determine if an RBI reassessment is necessary. 

API 580 


API 580 


In reality, the deterioration rate may 

vary over time. Some damage 

mechanisms are independent of 

time (i.e. they occur only when there 

are specific conditions present).

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In reality, the 

deterioration rate may 

vary over time. Some 

damage mechanisms 

are independent of 

time (i.e. they occur 

only when there are 

specific conditions 

present).

很多损伤机理带来的破坏有时间依赖性 , 虽然 RBI 会预测损伤的连续恶化率 . 然而 

这恶化率会随着时间而变动 , 检验活动能更好的定义恶化率 , 减少不明确性 . 也有 

的损伤机理不受时间的影响 ( 依赖间歇性的条件 ), 同样检验活动能检测出这些变 

化 . 当这些变化超过设定准据时 , 重估可能是必要的 . 

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15.2.3 Process and Hardware Changes 过程和硬件的变化 

Changes in process conditions and hardware, such as equipment 

modifications or replacement, frequently can significantly alter the risks, and 

dictate the need for a reassessment. 

Process changes, in particular, have been linked to equipment failure from 

rapid or unexpected corrosion or cracking. This is particularly important for 

damage mechanisms that depend heavily on process conditions. Typical 

examples include (1) chloride stress corrosion cracking of stainless steel, (2) 

wet H 2 S cracking of carbon steel, and (3) accelerated corrosion at points of salt 

deposition or at dew points and sour water corrosion. In each case, a change 

in process conditions can dramatically affect the corrosion rate or cracking 

tendencies. 

工艺条件的变化可以显着影响腐蚀速率或开裂倾向 . 这导致重估的必要 . 

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Process changes 

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Hardware changes can also have an 

effect on risk. For example: 

硬件的变化对风险的影响例子 

a) the POF can be affected by changes 

in the design of internals in a vessel 

or size and shape of piping systems 

that accelerate velocity related 

corrosion effects; 故障概率会随着设 

备 / 管道的体积变化导致溶液流速加剧 

而变化 . 

b) the COF can be affected by the 

relocation of a vessel to an area near 

an ignition source; 故障结构会因设备 

搬迁而变化 ( 离开火源等 ) 

c) process conditions can be changed 

by hardware modifications, additions, 

deletions, or by-passing. 工艺流程会 

随着硬件的修改 , 增减而变化 . 

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the POF can be 

affected by 

changes in the 

design of internals 

in a vessel or size 

and shape of 

piping systems 

that accelerate 

velocity related 

corrosion effects;

15.2.4 RBI Assessment Premise Change 评估位置的改变 

The premises for the RBI assessment could change and have a significant 

impact on the risk results. Some of the possible changes could be: 

a) increase or decrease in population density in the process unit, 人口密度变动 

b) change in construction material and repair/replacement costs, 

建筑材料和维修 / 更换的费用的变化 

c) change in product values, 产品的价值的变化 

d) revisions in safety and environmental laws and regulations, 

安全和环境法律法规的修订 

e) revisions in the users risk management plan (such as changes in risk 

criteria), 用户的风险管理计划的修订 

f) change in feed amount or composition, 在进料量和成分的变化 

g) changes in operating conditions, 操作条件的变化 

h) change in unit operating lengths between maintenance turnarounds. 

维护周转间隔变化 

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RBI Assessment Premise Change 

Changes 

increase or decrease in population density in the process unit 

change in construction material and repair/replacement costs, 

change in product values, 

revisions in safety and environmental laws and regulations, 

revisions in the users risk management plan 

change in feed amount or composition 

changes in operating conditions 

change in unit operating lengths between maintenance 

turnarounds 

Impacting 

COF 

COF 

COF 

Risk criteria 

Risk criteria 

POF/COF 

POF 

POF 

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15.2.5 The Effect of Mitigation Strategies 缓解策略的影响 

Strategies to mitigate risks such as installation of safety systems, repairs etc. 

should be monitored to ensure that they have successfully achieved the 

desired mitigation. Once a mitigation strategy is implemented, a reassessment 

of the risk may be performed to update the RBI program with the new current 

risks. Strategies to mitigate risks such as installation of safety systems, repairs 

etc. should be monitored to ensure that they have successfully achieved the 

desired mitigation. Once a mitigation strategy is implemented, a reassessment 

of the risk may be performed to update the RBI program with the new current 

risks. 

一旦实现完成缓解策略 , 重新评估的当前风险 , 更新 RBI 数据 . 

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http://www.stoprust.com/23-risk-based-management.htm 

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什么时候进行评估 

15.3.1 After Significant Changes 

15.3.2 After a Set Time Period 

15.3.3 After Implementation of Risk Mitigation Strategies 

15.3.4 Before and After Maintenance Turnarounds 

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15.3.1 After Significant Changes 重大变化后 

As discussed in 15.2, significant changes in risk can occur for a variety of 

reasons. Qualified personnel should evaluate each significant change to 

determine the potential for a change in risk. It may be desirable to conduct 

an RBI reassessment after significant changes in process conditions, 

damage mechanisms/rates/severities or RBI premises. 

在工艺条件的显着变化 , 损伤机制 / 恶化率 / 损伤严重程度 , 或设施位置的迁移 , 

应当重新评估 . 

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15.3.2 After a Set Time Period 时间隔 

Although significant changes may not have occurred, over time many small 

changes may occur and cumulatively cause significant changes in the RBI 

assessment. Users should set default maximum time periods for 

reassessments. The governing inspection codes (such as API 510, API 570, 

and API 653) and jurisdictional regulations, if any, should be reviewed in this 

context. 

随着时间的推移 , 很多小的变化可能发生累积造成显着的变化 , 重新评估是必要 

的 ,. 用户应当制定最大间隔 . 在制定间隔时 , 应考虑项有 , 法定要求 , 采纳规范如 

API 510/570/653. 

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15.3.3 After Implementation of Risk Mitigation Strategies 

风险缓解策略实施后 

Once a mitigation strategy is implemented, it is prudent to determine how 

effective the strategy was in reducing the risk to an acceptable level. This 

should be reflected in a reassessment of the risk and appropriate update in 

the documentation. 

一旦实现了一个缓解策略 , 谨慎的做法是确定缓解策略对风险降低的有效性 . 重 

估的结果应当档案 , 如有必要改进缓解策略 . 

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15.3.4 Before and After Maintenance Turnarounds 

维护检修之前 / 后 

As part of the planning for a maintenance turnaround, it is usually useful to 

perform an RBI reassessment. This can become a first step in planning the 

turnaround to ensure that the work effort is focused on the higher risk 

equipment items and on issues that might affect the ability to achieve the 

premised operating run time in a safe, economic, and environmentally sound 

manner. Since a large number of inspection, repairs, and modifications are 

performed during a typical maintenance turnaround, it may be useful to update 

an assessment soon after the turnaround to reflect the new risk levels. 

维护检修之前进行风险评估得到的设备风险排名 , 有助于筛选高风险的设备进行 

优先处理 . 维护检修后 , 重估能确定缓解策略对风险降低的有效性和体现新风险水 

平 . 

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16 Roles, 

Responsibilities, 

Training, and 

Qualifications 

角色 , 职责 , 培训和资格 

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Contents 

16 Roles, Responsibilities, Training, and Qualifications 

16.1 Team Approach 

16.2 Team Members, Roles, and Responsibilities 

16.3 Training and Qualifications for RBI Application 

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16.1 Team Approach 团队的方法 

RBI requires data gathering from many sources, specialized analysis, such as 

risk analysis, financial analysis, materials and corrosion engineering, 

mechanical engineering, inspection, etc. followed by risk management decision 

making. Generally, one individual does not have the background or skills to 

single-handedly conduct the entire study effectively. Usually, a team of people, 

with the requisite skills and background, is needed to conduct an effective RBI 

assessment. RBI analyses should be conducted as a project with plant 

management as stakeholders and a project team composed of the types of 

members depicted in 16.2.2 through 16.2.10. 

基于风险检验 (RBI) 需要大量不同专业的资料 , 单凭一位专业人士 , 并不具备背景 

与技能 , 单枪匹马的完成工作 . 实际上这需要一个由利益相关者 ( 管理层 ) 作为团队 

领导以项目名义招聚不同专业人员组成的队伍共同完成 . 

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16.2 Team Members, Roles, and Responsibilities 团队成员的角色 , 职责 


Depending on the application, some of the disciplines listed below may not be 

required. Some team members may be part-time due to limited input needs. It 

is also possible that not all the team members listed may be required if other 

team members have the required skill and knowledge of multiple disciplines. 

It is usually useful to have one of the team members serve as a facilitator for 

discussion sessions and team interactions. 

按照实际需要与项目特点 , 可能只需要部分以下的专业人员参与 . 参与人员可能 

因为较少的输入 , 只需要少时间的兼职 . 个人具备相关的知识 , 也能同时作为两个 

货更多的专业身份出现在队伍里 . 

团队里 , 应被选出一位讨论会和团队互动促进者 

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16.2.2 Team Leader 团队领导 

The team leader may be any one of the below mentioned team members. The 

team leader should be a full-time team member, and should preferably be a 

stakeholder in the facility/equipment being analyzed. In cases where the team 

leader is unfamiliar with the facility to be evaluated, he or she should be 

familiar with the RBI methodology employed and the types of processes to be 

assessed. The team leader may be knowledgeable in one of the specialized 

fields required for RBI. The main function of the team leader should be to 

integrate the inputs, outputs, organizational structure, communications, etc. of 

the assessment team and to carry out the following responsibilities: 

最好是一个利益相关者 . 下列为责任 

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a) formation of the team and verifying that the team members have the 

necessary skills, experience and knowledge; 

团队的形成与确保人员组合具有必要知识 

b) assuring that the study is conducted properly: 确保正确执行 

- data gathered is accurate, 

数据正确 

- assumptions made are logical and documented, 

假设合理 ( 需档案假设逻辑 ) 

- appropriate personnel are utilized to provide data and assumptions, 

动用 / 筛选合适人员收集数据与建议 

- appropriate quality and validity checks are employed on data gathered 

and on the data analysis; 

动用 / 筛选合适人员复核 ( 质量和有效性 ), 收集到的信息与信息分析 . 

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c) preparing a report on the RBI assessment and distributing it to the 

appropriate stakeholders whom are either responsible for decisions on 

managing risks or responsible for implementing actions to mitigate the risks; 

准备评估报告 , 分发到利益相关者 ( 负责管理风险或负责实施措施减轻风险决策 ) 

d) following up to assure that the appropriate risk mitigation actions have been 

implemented. 

跟进 , 以确保适当的风险缓解措施得到实施 

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团队领导 

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团队领导 

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16.2.3 Equipment Inspector or Inspection Specialist 设备检验员与检验师 

The equipment inspector or inspection specialist is generally responsible for 

gathering data on the condition and history of equipment in the study. This 

condition data should include the new/design condition and current condition. 

Generally, this information will be located in equipment inspection and 

maintenance files. If condition data are unavailable, the inspector/specialist, in 

conjunction with the corrosion specialist, should provide predictions of the 

current condition. The inspector/specialist and materials and corrosion specialist 

are also responsible for assessing the effectiveness of past inspections. The 

equipment inspector/inspection specialist is usually responsible for 

implementing the recommended inspection plan derived from the RBI 

assessment. 

责任与负责项 : 

• 设备检验员与检验师 – 收集设备 (1) 当前设备状态和 (2) 设备历史 ( 新建 / 设计 ), 

在缺乏资料下 , 可以通过腐蚀专家的协助下 , 预测当前状态 . 

• 设备检验员与检验师 – 实施建议的检验计划 

• 设备检验员 , 检验师与材料 / 腐蚀专家 - 过去的检查的有效性评估 

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设备检验员与检验师

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16.2.4 Corrosion Specialist 腐蚀专家 

The corrosion specialist is responsible for assessing the types of damage 

mechanisms and their applicability and severity to the equipment considering 

the process conditions, environment, metallurgy, age, etc., of the equipment. 

This specialist should compare this assessment to the actual condition of the 

equipment, determine the reason for differences between predicted and actual 

condition, and provide guidance on damage mechanisms, rates or severity to 

be used in the RBI assessment. 

Part of this comparison should include evaluating the appropriateness of the 

inspections in relation to the damage mechanism. This specialist also should 

provide recommendations on methods of mitigating the POF (such as 

changes in metallurgy, addition of inhibition, addition of coatings/linings, etc.) 

and methods of monitoring the process for possible changes in damage rates 

(such as pH monitoring, corrosion rate monitoring, contaminant monitoring, 

etc.). 

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腐蚀专家职责 : 

• 评估设备损伤机制及该损失机理对同类设备影响面 . 

• 评估设备恶化严重程度 ( 考虑 : 工艺 , 环境 , 冶金 , 设备龄 , 等 ) 

• 分析设备 , 预测和的实际情况与差异 

• 提供指导 , 损伤机制 , 率或严重程度用以 RBI 评估 

• 选用的检查方法合适性 ( 对相关损失机理的可探性 ) 

• 建议失效概率的缓解方法 ( 冶金 , 抑制剂 , 涂层 , 护垫 , 等 ) 

• 监测可能导致损坏率的过程变化 (PH, 腐蚀率 , 污染监控等 ) 的方法 

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腐蚀专家 

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16.2.5 Process Specialist 工艺师 

The process specialist is responsible for the provision of process condition 

information. This information generally will be in the form of process flow 

sheets. The process specialist is responsible for documenting variations in 

the process conditions due to normal occurrences (such as start-ups and 

shutdowns) and abnormal occurrences. The process specialist is 

responsible for describing the composition and variability of all the process 

fluids/gases as well as their potential toxicity and flammability. The process 

specialist should evaluate/recommend methods of risk mitigation (probability 

or consequence) through changes in process conditions. 

职责 : 

提供工艺相关资料 ( 工艺流程表 ) 

提供正常操作 , 停机 , 重启 , 异常状况的工艺参数 

解析设施工艺流体特性 ( 成分 / 毒性 / 可燃性 ) 

评估 / 建议更改工艺参数达到风险缓解 ( 估值概率 / 失效后果 ) 

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工艺师 

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16.2.6 Operations and Maintenance Personnel 操作和维护人员 

Operations personnel are responsible for verifying that the facility/ 

equipment is being operated within the parameters set out in the process 

operating window. They are responsible for providing data on occurrences 

when process deviated from the limits of the operating windows, and on any 

trends in the operating data over the past unit run, including IOW 

parameters. They are also responsible for verifying that equipment repairs/ 

replacements/additions have been included in the equipment condition data 

supplied by the equipment inspector. Operations and maintenance are 

responsible for implementing recommendations that pertain to process or 

equipment modifications and monitoring. 

职责 : 

提供 , 当操作参数偏离 IOW 时 , 相关工艺参数变化 . 

提供 , 设备操作参数变动趋向 

验证 , 设备的维修 / 更换 / 添加项适当已经落实 

确保 , 涉及到过程或设备修改建议的实施与监测 , 

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操作和维护人员 

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16.2.7 Management 管理层 

Management’s role is to provide sponsorship and resources (personnel and 

funding) for the RBI assessment. They are responsible for making decisions 

on risk management, establishing risk acceptance criteria and/or providing the 

framework/mechanism for others to make these decisions based on the 

results of the RBI assessment. Finally, management is responsible for 

providing the resources and follow-up system to implement the risk mitigation 

decisions. 

职责 : 

管理层的作用是提供赞助和资源 

对风险管理的决策 , 建立风险接受准则 . 设定框架机制对 RBI 分析作出决定 . 

提供资源和跟踪系统 , 实施风险减缓措施 

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管理层 

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16.2.8 Risk Analyst 风险分析员 

This person(s) is responsible for assembling all of the data and carrying out 

the RBI analysis. This person(s) could be a separate specialist or one of 

the above team members and is typically responsible for: 收集所有的数据 

和开展 RBI 分析 ( 可为负责其他项的团员 ), 通常负责 

a) defining data required from other team members, 

定义其他团队成员所需提供的数据 

b) defining accuracy levels for the data, 定义资料的精确度要求 

c) verifying through quality checks the soundness of data and assumptions, 

确定资料的质量 

d) inputting/transferring data into the computer program and running the 

program (if one is used), 输入数据 

e) quality control of data input/output, 数据的质量控制 

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f) manually calculating the measures of risk (if a computer program is not 

used), 人工计算与分析风险 ( 如不用计算机 ) 

g) displaying the results in an understandable way and preparing appropriate 

reports on the RBI analysis. 

用容易理解的方式显示分析结果与准备 RBI 报告 . 

Furthermore, this person(s) should be a resource to the team conducting a 

cost/benefit analysis if it is deemed necessary. 

作为信息资源提供者 , 协助资源小组进行成本效益分析 

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16.2.9 Environmental and Safety Personnel 环境 / 安全员 

This person(s) is responsible for providing data on environmental and safety 

systems and regulations. He/she also is responsible for assessing/ 

recommending ways to mitigate the COF. 

责任 : 

提供环境 / 安全系统与法规相关信息 

评估 / 推荐缓解故障后果的方法 

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16.2.10 Financial/Business Personnel 财务 / 业务人员 

This person(s) is responsible for providing data on the cost of the 

facility/equipment being analyzed and the financial impact of having pieces of 

equipment or the facility shut down. He/she also should recommend methods 

for mitigating the financial COF. 

职责 : 

提供 , 设备信息与造价 

提供 , 设备停机的经济冲击 

建议 , 经济故障后果缓解方法 

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财务 / 业务人员

16.3 Training and Qualifications for RBI Application 培训和资格 

16.3.1 Risk Assessment Personnel 风险评估人员 

This person(s) should have a thorough understanding of risk analysis by 

education, training, and/or experience. He/she should have received detailed 

training on the RBI methodology and on the procedures being used for the RBI 

assessment so that he/she understands how the program operates and the vital 

issues that affect the final results. 应当通过 , 教育 , 培训 , 经验具备风险风险所需要 

的专业知识 . 

Contractors that provide risk assessment personnel for conducting RBI analysis 

should have a program of training and be able to document that their personnel 

are suitably qualified and experienced. Facility owners that have internal risk 

assessment personnel to conduct RBI analysis should have a procedure to 

document that their personnel are sufficiently qualified. The qualifications and 

training of the risk assessment personnel should be documented. 

承包商或用户程序与备案 : 

对风险评估员资格要求 , 培训记录和经验要求的程序控制与人员资质 / 培训备案 . 

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16.3.2 Other Team Members 其他团员 

The other team members should receive basic training on RBI methodology 

and on the software program(s) being used, to the extent they need to 

understand software to make their contribution. This training should be geared 

primarily to an understanding and effective application of RBI, as well as an 

understanding of how the data quality that is input by other team members can 

affect the results. This training could be provided by the risk assessment 

personnel on the RBI Team or by another person knowledgeable on RBI 

methodology and on the program(s) being used. 

其他人员应当接受 RBI 方法论 , 所用的软件基本培训 . 培训员可能是风险分析员 

或对 RBI 方法与选用软件具备专业知识的其他专业人士 . 

培训注重点为 ; 

如何有效的运用 RBI 

其他团员提供的数据对分析结果的影响 

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培训和资格 

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17 RBI Documentation and 

Record keeping 

文件与记录 

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Contents 

17 RBI Documentation and Recordkeeping 

17.1 General 

17.2 RBI Methodology 

17.3 RBI Personnel 

17.4 Time Frame 

17.5 Basis for the Assignment of Risk 

17.6 Assumptions Made to Assess Risk 

17.7 Risk Assessment Results 

17.8 Mitigation and Follow-up 

17.9 Applicable Codes, Standards, and Government Regulations 

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It is important that sufficient information is captured to fully document the RBI 

assessment. Typically, this documentation should include the following data 

and information: RBI 评估必须充分档案 , 通常 , 以下为档案文件 

a) the type of assessment, objectives, and boundaries; 考核目标 , 类型 , 和范围 

b) a procedure for how the selected RBI methodology will be applied at the 

site (e.g. how to deal with all the options provided by the methodology); 

选用的 RBI 方法 , 落实到设施设备的作业指导书 / 程序 

c) team members performing the assessment and their skill set relative to 

RBI; 团队人员备档与其的技能贡献 . 

d) time frame over which the assessment is applicable; 有效时间段 

e) the inputs and sources used to determine risk; 评估风险的输入数据与来源 

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f) assumptions made during the assessment; 评估假设 

g) the risk assessment results (including information on probability and 

consequence); 评估结果 ( 包括概率 / 结果信息 ) 

h) follow-up mitigation strategy, if applicable, to manage risk; 后续的缓解策略 

i) the mitigated risk levels (i.e. residual risk after mitigation is implemented); 

缓解后的残余风险水平 

j) references to in-service codes or standards being applied. 参考文献 ( 在职规 

范 / 标准 ) 

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Ideally, sufficient data should be captured and maintained such that the 

assessment can be recreated or updated at a later time by others who were not 

involved in the original assessment. To facilitate this, it is preferable to store the 

information in a computerized database. This will enhance the analysis, retrieval, 

and stewardship capabilities. The usefulness of the database will be particularly 

important in stewarding recommendations developed from the RBI assessment, 

and managing overall risk over the specified time frame. 

确保足够详细的信息被保存 . 在重新或更新评估时不会因为缺少信息导致的困难 . 

充分的电子档案也能让新加评估团员能得心应手的短时间介入 . 电子档案对评估建 

议管理 , 执行缓解时限有显著地帮助 . 

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17.2 RBI Methodology 方法学 

The methodology used to perform the RBI analysis should be documented so 

that it is clear what type of assessment was performed. The basis for both the 

probability and consequences of failure should be documented. If a specific 

software program is used to perform the assessment, this also should be 

documented. The documentation should be sufficiently complete so that the 

basis and the logic for the decision making process can be checked or 

replicated at a later time. 

用于执行评估的 RBI 方法 , 依据和决策过程中的逻辑必须档案 , 从而允许后续的检 

讨或重复的评估 . 

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If a specific 

software program 

is used to perform 

the assessment, 

this also should 

be documented. 

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17.3 RBI Personnel 评估人员 

The assessment of risk will depend on the knowledge, experience and 

judgment of the personnel or team performing the analysis. Therefore, a record 

of the team members involved should be captured, as well as the skill set that 

they bring to the team for RBI purposes. This will be helpful in understanding 

the basis for the risk assessment when the analysis is repeated or updated. 

人员资质 , 所分配的工作范围的档案 , 提供评估基础 , 有助于后续复查与更新 . 

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17.4 Time Frame 时段 

The level of risk is usually a function of time. This either is as a result of the (1) 

time dependence of a damage mechanism, or simply (2) the potential for 

changes in the operation of equipment. Therefore, the time frame over which 

the RBI analysis is applicable should be defined and captured in the final 

documentation. This will permit tracking and management of risk effectively 

over time. 

风险水平通常是时间的函数 ( 损伤机理的恶化或操作导致的变化 ), 所以风险评估 

必须设置有效时间段 . 这将允许在时间段里 , 有效跟踪和管理风险 . 

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Mitigation 

Unacceptable 

inspection interval 

Time 

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17.5 Basis for the Assignment of Risk 风险的分配基础 

The various inputs used to assess both the probability and COF should be 

captured. This should include, but not necessarily be limited to, the following 

information: 各种用于评估的概率和 COF 的数据应获取与存档 

a) basic equipment data and inspection history critical to the assessment (e.g. 

operating conditions, materials of construction, service exposure, corrosion 

rate, inspection history, etc.); 

对评估具关键数据 ; 设备基本资料与检验历史记录 .( 例如 , 操作条件 , 建材 , 工艺 

媒介 , 腐蚀速率 , 检验历史 , 等 ) 

b) operative and credible damage mechanisms; 

活跃可信的损伤机理 

c) criteria used to judge the severity of each damage mechanism; 

评估损伤机理严峻性的准据 

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d) anticipated failure mode(s) (e.g. leak, crack, or rupture); 预测失效模式 

e) key factors used to judge the severity of each failure mode; 用来判断各失效 

模式的严重程度关键因素 

f) criteria used to evaluate the various consequence categories, including 

safety, health, environmental and financial; 用来判断各失效后果的准据 , 包括 , 

安全 , 健康 , 缓解与财政 . 

g) risk criteria used to evaluate the acceptability of the risks. 用来评估可接受风 

险的风险准据 

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17.6 Assumptions Made to Assess Risk 风险假设 

Risk analysis, by its very nature, requires that certain assumptions be made 

regarding the nature and extent of equipment deterioration. Moreover, the 

assignment of failure mode and the severity of the contemplated event will 

invariably be based on a variety of assumptions, regardless of whether the 

analysis is quantitative or qualitative. To understand the basis for the overall 

risk, it is essential that these factors be captured in the final documentation. 

Clearly documenting the key assumptions made during the analysis of 

probability and consequence will greatly enhance the capability to either 

recreate or update the RBI assessment. 

有系统和明确档案 , 用来分析概率与故障结的关键假设 , 会显著的提高 RBI 重估与 

后续更新能力 . 

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17.7 Risk Assessment Results 风险评估结果 

The probability, consequence and risk results should be captured in the 

documentation. For items that require risk mitigation, the recommendations for 

and results after mitigation should be documented as well. 

概率 , 失效结果 , 风险系数应档案 . 那些需要风险缓解的设备 , 相关的建议和缓解后 

的成效也应当档案 . 

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17.8 Mitigation and Follow-up 缓解与跟踪 

One of the most important aspects of managing risk through RBI is the 

development and use of mitigation strategies. Therefore, the specific risk 

mitigation required to reduce either probability or consequence should be 

documented in the assessment. The mitigation “credit” assigned to a 

particular action should be captured along with any time dependence. The 

methodology, process and person(s) responsible for implementation of any 

mitigation should also be documented. 

通过 RBI 管理设备风险 , 其中一个最重要方面通过开发与运用缓解策略 , 档案项有 ; 

• 具体的缓解方法 ( 概率 ) 

• 具体的缓解方法 ( 失效结果 ) 

• 缓解方法的时段因素 ( 时间依赖性 ) 

• 缓解执行负责人 

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The methodology, process and person(s) responsible for implementation of 

any mitigation should also be documented. 


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The methodology, process and person(s) responsible for implementation of 

any mitigation should also be documented. 


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17.9 Applicable Codes, Standards, and Government Regulations 

规范 , 标准 , 国家法定要求 

Since various codes, standards and governmental regulations cover the 

inspection for most pressure equipment, it will be important to reference these 

documents as part of the RBI assessment. This is particularly important where 

implementation of RBI is used to reduce either the extent or frequency of 

inspection. See Section 3 for a listing of some relevant codes and standards. 

采纳的规范 , 标准 , 国家法定要求必须明确的档案 , 特别是执行 RBI 是用来减少检验 

的幅度或频率 . 

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18 Summary of Risk- 

Based Inspection 

Pitfalls 

基于风险的检验问题摘要 

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Contents 

18 Summary of RBI Pitfalls 

18.1 General 

18.2 Planning 

18.3 Data and Information Collection 

18.4 Damage Mechanisms and Failure Modes 

18.5 Assessing POF 

18.6 Assessing Consequence of Failure 


18.8 Risk Management with Inspection Activities 

18.9 Other Risk Management Activities 


18.11 Roles, Responsibilities, Training, and Qualifications for 

RBI Team Members 

18.12 RBI Documentation and Recordkeeping 

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The following is a bulletized summary list of potential pitfalls covered in 

previous sections of this RP that could lead to less than adequate risk 

management results from using RBI. It can be used as checklist to review the 

RBI work process or to audit the effectiveness of an RBI program. 

此规范前面章节覆盖推荐实践 , 可能潜在导致不适当的风险管理结果 . 以下为潜在 

的陷阱 ( 问题 ); 这里描述的潜在问题可以作为列表审核 RBI 程序的有效性 . 

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18.2 Planning 规划 

• Not defining clear objectives and goals for the RBI process. 

不明确的目的与目标 

• Not screening multi-units to know where to use RBI first. 多单元设施没做设 

备筛选排名 , 优先执行分析 . 

• Not defining the physical and operating boundaries adequately. 不明确的设 

定物理与操作范围 

• Not defining the operating time period for the risk assessment. 没设定风险评 

估的操作时间 

• Not adequately defining the time required and resources needed for the 

project. 不充分的定义项目资源到为的时间点 

• Not having full management support for the necessary RBI resources. 

没得到管理层的全面支持 

• Unrealistic expectations for the results of RBI. 对结果不切实际的期望 

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期望 RBI 带来不实际的的效益 

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Not having full management support 

for the necessary RBI resources. 

没得到管理层的全面支持

18.3 Data and Information Collection 数据和信息的收集 

• Not understanding all the data needs. 不理解所有的数据需求 

• Not identifying all the appropriate sources of data/information. 

没确定所有的数据 / 信息的适当来源 

• Failing to collect all the data/information needed. 

没有收集需要的所有的数据 / 信息 

• Dealing with poor quality data. 处理质量差数据 

• Not verifying the data to ensure quality. 没验证数据质量 

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18.4 Damage Mechanisms and Failure Modes 损伤机理和失效模式 

• Not identifying all the probable and credible damage mechanism and 

failure modes. 不确定所有可能的和可靠的损伤机理和破坏模式 

• Improperly ruling out damage mechanisms thought to be inactive. 错误的排 

除认为是无效的损伤机理 

• Operating outside the established IOWs or not properly identifying the 

correct IOW limits. 在 IOW 外操作 , 没确定好 IOW 参数 

• Not understanding the impact of damage mechanisms on pressure 

equipment resulting from operating outside the IOW. 没明确超越 IOW 对承 

压设备的影响 

• Using software or methodologies that do not cover all active damage 

mechanisms. 所使用软件或方法不能覆盖所有的损伤机制 

• Inadequate definition of failure modes associated with each damage 

mechanism. 每个损伤机相关联的失效模式定义不够 

• Inadequate definition of damage rates for each damage mechanism. 

对损伤机理的损坏率定义不足 

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18.5 Assessing POF 评估故障概率 

• Not addressing all probably and credible damage mechanisms when 

determining POF. 没覆盖所有可能的和可信的损伤机制 

• Not understanding the interaction of multiple damage mechanisms in each 

piece of equipment. 没理解多种损伤机制的相互作用对设备的影响 

• Not defining the specific POF units of measure to be used. 不明确个别具 

体故障概率的测量单位 

• Not using the most appropriate POF methodology for the situation. 没使用 

最合适的故障概率分析方法 

• Using generic POFs instead of equipment specific POFs. 通用数据错误的 

替代具体数据 

• Inadequate assessment of past inspection effectiveness. 对过去检验有效 

性缺乏评估 

• Inadequate assessment of susceptibility to each damage mechanism. 

对损伤机理不够详细的分析 

• Inadequate assessment of damage rates. 恶化率分析不足够 

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18.6 Assessing COF 评估故障结果 

• Not identifying all the appropriate incidents/events/outcomes of a failure. 

失效导致的事件 / 结果 / 未被全部识别 

• Not identifying all the appropriate consequences of each incident. 事件导 

致的故障后果未被全部识别 

• Not selecting the appropriate consequence assessment methodology. 

没选对合适的后果评估方法 

• Not associating the right consequence with each failure mode. 错误的各故 

障模式和后果结合 

• Not using the right units of measure for COF. 错误的估量单位 

• Not knowing the right volume of fluid that can potentially be released. 错误 

的估计泄漏量 

• Not understanding the most likely release rate. 缺乏泄漏率的认识 

• Not understanding the likely form of discharge (i.e. gas, liquid, vapor). 缺乏 

泄漏模式 ( 气态 , 液态火蒸汽 ) 

• Not accounting for likely dispersion. 扩散模式错误估计 

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• Not adequately dealing with the all the potential hazards i.e. flammable, 

toxic, other effects. 未覆盖所有潜在的危害 

• Inadequate knowledge of the effectiveness of hazard detection and 

mitigation systems installed. 缺乏对危害探测与缓解系统的了解 

• Not considering all potential impacts (i.e. safety, environmental, business, 

and repair). 潜在影响 ( 安全 , 环境 , 业务 , 返修 ) 没被充分考虑 

• Not appreciating that consequence categories are typically relative 

measures, not absolute. 没意识到结果类别通常是相对的而非绝对值 . 

• Not adequately accounting for the full series of events that may lead to the 

full consequence. 没充分考虑故障导致的全部事件与后续的全部结果 . 

• Not dealing with potential effects on other process units or facilities (i.e. 

“knock-on” effects). 没考虑到对周边设备潜在影响 

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incidents/events/outcomes of a failure. 

consequences of each incident. 

Failure 

mechanism 

Failure mode #1 Failure mode #2 

Incidents/events/outcomes 

A B C D 

Consequence #1 

Consequence #2 

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风险确定 , 评估 , 管理 

• Using “black box” software without understanding all the calculations and 

algorithms. 对所用的软件缺乏认识 ( 计算与计算法 ) 

• Failure to identify the specific consequence for each probable failure from 

each damage mechanism. 具体的失效后果没被识别 . 

• Using inadequate assumptions in place of non-existing or poor quality 

data/information. 错误或质量低级的数据 / 信息被引用导致不适当的假设 

• Using over or under estimated POFs/COFs in the risk determination. 太于 

保守或宽松的概率 / 后果评估 

• Not adequately handling uncertainties. 不确定性处理的不妥当 

• Inadequate risk presentation or communication to stakeholders. 

对利益相关者不足够的风险表达与缺乏沟通 . 

• Not having risk acceptance criteria/thresholds. 没设定接受准据与报警线 

• Inappropriate or untimely risk management activities. 风险评估在不合适的 

时间 / 季节执行 

• Not understanding the real risk drivers (i.e. COF, POF, or both). 对真正的 

风险推动因素的缺乏认识 . 

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18.8 Risk Management with Inspection Activities 检查活动的风险管理 

• Inadequate inspection planning based on the risk assessment results. 检验 

计划不足 

• Lack of inspection plans for each probable/credible damage mechanism. 

缺乏对每个可能 / 可信的损伤机理的检验计划 

• Lack of an objective, structured inspection planning process for the risk 

results. 缺少一个客观的检验框架针对风险缓解 

• Not appreciating when inspection activities have little or no value in risk 

mitigation. 没意识到有的风险不能以检验手段缓解 . 

• Not choosing the most appropriate inspection technique for risk reduction. 

检验方法的选用错误 

• Not choosing the right combination of inspection frequencies, techniques 

and practices. 没选用合适的 , 检验频率 , 技术与实践 

• Lack of appropriate or timely mitigation based on the inspection findings. 

没有根据检查结果合适的或及时缓解 

• Inadequate planning for the resources necessary to implement the RBI 

plans. 缺乏规划必要资金执行检查活动 . 

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18.9 Other Risk Management Activities 其他风险管理活动 

• Not appreciating the need for and implementing risk management activities 

other than inspection. 没意识到风险管理用于降低风险非仅仅依靠检验 

• Not communicating with other stakeholders about potential for other risk 

management activities. 

没和对利益相关者表达 / 沟通 , 其他潜在的风险管理活动 . 

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新评估和更新 RBI 评估 

• Not appreciating the dynamic aspects of risks (i.e. changing with time). 没 

意识到风险的动态性 

• Not knowing when to do RBI reassessments and updates. 

不知道重新评估 / 更新的间隔 / 时间 

• Not having a good connection between MOC and RBI reassessments. 

对重估 / 更新与设备变革管理的关联缺少认识 

• Not doing reassessments on a timely basis. 不及时的执行重估 

• Not identifying impact of operational changes that may affect the IOW. 

没识别到操作参数变化对 IOW 的影响 

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18.11 Roles, Responsibilities, Training, and Qualifications for RBI Team 

Members 角色 , 职责 , 培训 , 和团队成员资格 

• Not having specific designated roles for each RBI team member. 没明确的 

对队伍分配角色 

• Not having all the right RBI team members. 错误的选择成员 

• Having team members with inadequate skills, experience, or knowledge. 

成员缺乏需要的技能 , 经验 , 或知识 

• Inadequate training on the RBI work process. 缺乏对成员培训 

• Not having an effective team leader. 缺乏有效团队领导 

• Not having a skilled risk analyst. 没有一个熟练的风险分析 

• Handing over the RBI project to consultants without adequate integration 

and overview. 在没有足够的整合和概述的情况下移交 RBI 项目给分包商 . 

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18.12 RBI Documentation and Record keeping 

文件和记录 

• Not appreciating the value/need for full RBI documentation. 

没意识到 RBI 全面备档的好处 

• Not understanding what needs to be documented. 不知道应当备档的科目 

• Not documenting all the assumptions made during the process and 

reasons therefore. 没备档全部 RBI 项目的假设与其背景 . 

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API Analyst

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Risk-Based Inspection

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