Title Details

Georgi Popov, PhD, QEP, CMC is an associate professor at the University of Central Missouri where he teaches risk assessment. His research interests include industrial hygiene, safety management, risk assessment, PtD, air quality, alternative fuels, LEAN Six Sigma practices, and business aspects of Environmental, Health and Safety. His experience is unique with both civilian and military environmental, health and safety programs.

Bruce K. Lyon, CSP, P.E., ARM, CHMM is Director of Risk Control Services for Hays Companies in Kansas City and has over 30 years of experience conducting and facilitating operational risk assessments while working in the consulting and insurance industries. He holds a B.S. Degree in Industrial Safety and M.S. Degree in Occupational Safety Management from University of Central Missouri.

Bruce D. Hollcroft, CSP, ARM, CHMM is Director of Risk Control Services for Hays Companies in the west-ern United States and has over 30 years of risk consulting, including three years in New Zealand. He holds a B.S. in Industrial Safety, and has completed graduate studies toward an M.S. in Safety Management from the University of Central Missouri.

Preface xvii

Foreword xxi

List of Contributors xxiii

About the Companion Websites xxv

1 Risk Assessments: Their Significance and the Role of the Safety Professional 1
Fred A. Manuele

1.1 Objectives 1

1.2 Introduction 1

1.3 What is a Risk Assessment? 2

1.4 Activities at the American Society of Safety Engineers (ASSE) 2

1.5 An Example of a Guideline that gives Risk Assessment due Recognition 3

1.6 ANSI/AIHA/ASSE Z10-2012: The Standard for Occupational Health and Safety Management Systems 4

1.7 ANSI/ASSE Z590.3-2011: Prevention through Design: Guidelines for Addressing Occupational Hazards and Risks in Design and Redesign Processes 4

1.8 THE ANSI/ASSE Z690-2011 Series 6

1.9 ANSI B11.0-2015: Safety of Machinery. General Safety Requirements and Risk Assessment – A Standard of Major Consequence 7

1.10 European Union: Risk Assessment, 8

1.11 EN ISO 12100-2010: Safety of Machinery. General Principles for Design. Risk Assessment, and Risk Reduction, 8

1.12 Additional European Influence 9

1.13 MIL-STD-882E-2012. The US Department of Defense Standard Practice for System Safety 9

1.14 Certain Governmental Views 11

1.15 Canada 12

1.16 Fire Protection 13

1.17 Developments in Aviation Ground Safety 13

1.18 OSHA Requirements 14

1.19 EPA Requirements 15

1.20 The Chemical Industry: The Extensive Body of Information 16

1.21 Conclusion 16

Review Questions 16

References 17

Appendix 1.A: A List of Standards, Guidelines, and Initiatives That Require or Promote Making Risk Assessments: Commencing with Year 2005 18

2 Risk Assessment Standards and Definitions 23
Bruce Hollcroft & Bruce K. Lyon

2.1 Objectives 23

2.2 Introduction 23

2.3 The Need for Risk Assessments 24

2.4 Key Standards Requiring Risk Assessments 24

2.5 OSHA Compliance and Risk Assessments 24

2.6 Consensus Standards Requiring Risk Assessment 27

2.7 ANSI/AIHA/ASSE Z10-2012, Occupational Health and Safety Management Systems 27

2.8 ISO 31000/ANSI/ASSE Z690 Risk Management Series 28

2.9 ANSI/ASSE Z590.3-2011, Prevention through Design 29

2.10 ANSI B11.0 Machine Safety 30

2.11 NFPA 70E 31

2.12 MIL-STD-882E 11 May 2012, Department of Defense Standard Practice, System Safety 31

2.13 Key Terms and Definitions 32

2.14 Summary 46

Review Questions 47

References 47

3 Risk Assessment Fundamentals 49
Bruce Hollcroft & Bruce K. Lyon

3.1 Objectives 49

3.2 Introduction 49

3.3 Risk Assessment within the Risk Management Framework 50

3.4 Risk Assessments and Operational Risk Management Systems 51

3.5 The Purpose of Assessing Risk 52

3.6 The Risk Assessment Process 53

3.7 Selecting a Risk Assessment Matrix 53

3.8 Establishing Context 55

3.9 The Risk Assessment Team 57

3.10 Hazard/Risk Identification 58

3.11 Risk Analysis 59

3.12 Risk Evaluation 60

3.13 Risk Treatment 61

3.14 Communication 61

3.15 Documentation 62

3.16 Monitoring and Continuous Improvement 63

3.17 Summary 64

Review Questions 64

References 64

4 Defining Risk Assessment Criteria 67
Bruce K. Lyon & Bruce Hollcroft

4.1 Objectives 67

4.2 Introduction 67

4.3 Defining Risk Criteria 68

4.4 Risk Scoring Systems 69

4.5 Risk Assessment Matrices 71

4.6 Defining Risk Values 71

4.7 Risk Factors 74

4.8 Risk Levels 74

4.9 Risk Scoring 75

4.10 Severity of Consequence 76

4.11 Likelihood of Occurrence 77

4.12 Exposure 79

4.13 Risk Reduction and the Hierarchy of Controls 79

4.14 Acceptable and Unacceptable Risk Levels, 84

4.15 Documenting Risk, 85

4.16 Communicating Risk Criteria, 88

4.17 Summary, 88

Review Questions, 88

References, 89

Appendix 4.A 90

5 Fundamental Techniques 91
Bruce K. Lyon

5.1 Objectives 91

5.2 Introduction to Fundamental Hazard Analysis and Risk Assessment 91

5.3 Assessments Within an Operational Risk Management System 93

5.4 Hazard Analysis Versus Risk Assessment 94

5.5 The Hazard Analysis and Risk Assessment Process 96

5.6 Fundamental Methods 99

5.7 Informal Methods 100

5.8 Formal Methods 103

5.9 Conclusion 112

Review Questions 112

References 113

Appendix 5.A 114

Appendix 5.B: Common Hazards and Descriptions 115

Appendix 5.C: Personal Protective Equipment Hazard Assessment Form Example 118

Appendix 5.D: Job Hazard Analysis Form Example 119

6 What-If Hazard Analysis 121
Bruce K. Lyon

6.1 Objectives 121

6.2 Introduction 121

6.3 Overview and Background 121

6.4 Process Hazard Analysis 122

6.5 Mandated Assessments 123

6.6 What-If Analysis and Related Methods 125

6.7 Risk Scoring and Ranking 137

6.8 Application of “What-If” 139

6.9 Conclusion 143

Review Questions 143

References 144

7 Preliminary Hazard Analysis 145
Georgi Popov & Bruce K. Lyon

7.1 Objectives 145

7.2 Introduction 145

7.3 Preliminary Hazard List 147

7.4 PHAs and their Application 147

7.5 The Control of Hazardous Energy 148

7.6 Fundamental System Safety Tenets 149

7.7 Conducting a PHA 150

7.8 Scoring Systems 152

7.9 Practical Application 153

7.10 Summary 157

Review Questions 157

References 157

Practical Example 161

8 Failure Mode and Effects Analysis 163
Georgi Popov & Bruce K. Lyon

8.1 Objectives 163

8.2 Introduction 163

8.3 Purpose and Use 164

8.4 Defining Failure Modes 166

8.5 Risk Description Considerations 167

8.6 FMEA Process Steps 172

8.7 Practical Application 175

8.8 Summary 176

Review Questions 179

References 179

Practical Example – Assignment #2 – FMEA 179

9 Bow-Tie Risk Assessment Methodology 181
Georgi Popov & Bruce K. Lyon

9.1 Objectives 181

9.2 Introduction 181

9.3 History 182

9.4 Overview 182

9.5 Bow-Tie Methodology 184

9.6 Practical Application 186

9.7 Summary 195

Review Questions 195

References 196

Appendix 9.A: QAP Corporation – Annual Report 196

10 Design Safety Reviews 209
Bruce K. Lyon

10.1 Objectives 209

10.2 Introduction 209

10.3 Challenges and Obstacles to Overcome 211

10.4 Standards Requiring Design Safety 214

10.5 The Review of Designs 215

10.6 Hazardous Energy Control 216

10.7 Ergonomic Review of Designs 217

10.8 Design Review Process 218

10.9 Hazard Analysis and Risk Assessment in Design 220

10.10 Conclusion 224

Review Questions 225

References 225

11 Risk Assessment and the Prevention Through Design (PtD) Model 227
Georgi Popov, Bruce K. Lyon, & John N. Zey

11.1 Objectives 227

11.2 Introduction 227

11.3 The Concept of Prevention Through Design (PtD) 229

11.4 Risk Assessment Process and the PtD Model 229

11.5 Case Study 234

11.6 PtD and the Business Process 243

11.7 Summary 244

Review Questions 244

References 244

12 Industrial Hygiene Risk Assessment 247
Georgi Popov, Steven Hicks, & Tsvetan Popov

12.1 Objectives 247

12.2 Introduction 247

12.3 Fundamental Concepts 248

12.4 Anticipating and Identifying Occupational Health Risks 249

12.5 Determining Occupational Health Risks 250

12.6 Health Risk Assessments and Prioritization 255

12.7 Modified HRR/IH FMEA Methodology 256

Sampling 257

Results 257

12.8 Control Banding Nanotool 261

12.9 Dermal Risk Assessment 261

12.10 Occupational Health Risk and PTD Process Alignment 262

12.11 Summary 264

Review Questions 265

References 265

13 Machine Risk Assessments 267
Bruce K. Lyon

13.1 Objectives 267

13.2 Introduction 267

13.3 Machine Safety Standards 268

13.4 Machine Hazards 270

13.5 Machine Safeguarding 271

13.6 Selecting Machines for Assessment 274

13.7 Risk Assessment of Machines 274

13.8 Estimating Risk 278

13.9 Case Study 279

13.10 Assessment of Machine Maintenance and Service 282

13.11 Summary 285

Review Questions 286

References 286

Appendix 13.A: Machine Safeguards Methods 287

14 Project-Oriented Risk Assessments 291
Bruce K. Lyon

14.1 Objectives 291

14.2 Introduction 291

14.3 Fatalities and Serious Incidents 293

14.4 Error Traps in Nonroutine Tasks 294

14.5 Management of Change 294

14.6 Construction Project Work 296

14.7 Construction Project Risk Assessment 297

14.8 Safe Work Methods 299

14.9 Pretask Hazard Analysis 301

14.10 The Use of Checklists 303

14.11 Maintenance and Service Work 304

14.12 Operating Hazard Analysis 305

14.13 Analyzing Specific Hazards 308

14.14 Pre-Entry Hazard Analysis 308

14.15 Fall Hazard Assessment 311

14.16 Summary 317

Review Questions 317

References 317

15 Food Processing Risk Assessments 319
Georgi Popov, Bruce K. Lyon, & Ying Zhen

15.1 Objectives 319

15.2 Overview 319

15.3 Introduction to Food Risk 320

15.4 Risk Assessment Techniques in the Food Industry 320

15.5 Food Safety-Related Hazards 321

15.6 Techniques for Assessing Food Risk 323

15.7 Hazard Analysis and Critical Control Points 324

15.8 Integration of Risk Assessment Methods 325

15.9 PtD and HACCP Integration 338

15.10 Conclusions 339

Review Questions 340

References 340

16 Ergonomic Risk Assessment 343
Bruce K. Lyon & Georgi Popov

16.1 Objectives 343

16.2 Introduction 343

16.3 Ergonomics and Design 344

16.4 Ergonomic Hazards 345

16.5 Ergonomic Risk Factors 346

16.6 Establishing an Ergonomics Assessment Process 346

16.7 Assessing Ergonomic Risk 349

16.8 Ergonomics Improvement Process 350

16.9 ERAT: A Practical Assessment Tool 354

16.10 Conclusion 359

Review Questions 360

References 360

Appendix 16.A: Sample Ergonomic Responsibilities for Involved Stakeholders 361

Appendix 16.B: Sample Ergonomics Training for Involved Stakeholders 363

Appendix 16.C: Ergonomic Risk Assessment Tool (ERAT) – Initial Assessment 365

Appendix 16.D: Ergonomic Risk Assessment Tool (ERAT) – Post-Control Assessment 366

Appendix 16.E: Hierarchy of Ergonomic Risk Controls 367

17 Assessing Operational Risks at an Organizational Level 369
Bruce K. Lyon

17.1 Objectives 369

17.2 Introduction 369

17.3 Risks to an Organization 370

17.4 Organizational Risk Management 371

17.5 Key Definitions in Organizational Risk 372

17.6 Assessing Organizational Risk 373

17.7 Summary 387

Review Questions 387

References 387

18 Risk Assessment Applications in Lean Six Sigma and Environmental Management Systems 389
Georgi Popov

18.1 Objectives 389

18.2 Introduction 389

18.3 Environmental Management Systems (EMS) 390

18.4 ISO 14001 Implementation 390

18.5 EMS and Implementation of Lean Six Sigma Practices 404

18.6 Conclusions 407

Review Questions 407

References 408

19 Business Aspects of Operational Risk Assessment 409
Elyce Biddle

19.1 Objectives 409

19.2 Introduction 409

19.3 The Business Case Development Tool 410

19.4 Business Case Examples 412

19.5 Conclusion 424

Review Questions 424

References 424

20 Risk Assessment: Global Perspectives 427
Jim Whiting

20.1 Objectives 427

20.2 Introduction 427

20.3 Using ISO 31000 for Maturity Assurance and Conformity 428

20.4 Global Uptake of ISO 31000: International Risk Management Standard 431

20.5 Global Comparison of Risk Tolerance Criteria 432

20.6 Tolerability Criterion for Individual Risk 433

20.7 Tolerability Criteria for Planning New Operations 435

20.8 Investment to Prevent a Fatality 436

20.9 Shifting the Paradigm from Absolute Safety to Risk Management 438

20.10 Moving Toward Risk-Based Language for more Effective Risk Conversations 440

20.11 A Cautionary Concluding Note 440

Review Questions 440

References 441

Appendix 20.A: Better Terminology and Language for Risk-Based Conversations 442

Index 445