Risk Assessment A Practical Guide to Assessing Operational Risks
, by Popov, Georgi; Lyon, Bruce K.; Hollcroft, Bruce
- ISBN: 9781118911044 | 1118911040
- Cover: Hardcover
- Copyright: 6/27/2016
Covers the fundamentals of risk assessment and emphasizes taking a practical approach in the application of the techniques
- Written as a primer for students and employed safety professionals covering the fundamentals of risk assessment and emphasizing a practical approach in the application of the techniques
- Each chapter is developed as a stand-alone essay, making it easier to cover a subject
- Includes interactive exercises, links, videos, and downloadable risk assessment tools
- Addresses criteria prescribed by the Accreditation Board for Engineering and Technology (ABET) for safety programs
Georgi Popov, PhD, QEP, CMC, is 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 the Midwestern United States 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 western United States and has over 30 years of risk consulting, including 3 years in New Zealand. He holds a B.S. degree 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
1.14.1 Risk Reduction Program 12
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
2.5.1 1910.132 Personal Protective Equipment Standard 25
2.5.2 1910.119 Process Safety Management Standard 25
2.5.3 Other OSHA Standards 26
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
3.11.1 Consequence Analysis 59
3.11.2 Likelihood Analysis 59
3.11.3 Assessment of Controls 60
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
4.6.1 Qualitative Risk Models 72
4.6.2 Semiquantitative Risk Models 72
4.6.3 Quantitative Risk Models 73
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
4.13.1 Using a Protection Factor 83
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
5.8.1 Fundamental Hazard Analysis 103
5.8.2 Pretask Hazard Analysis 104
5.8.3 Job Hazard Analysis 104
5.8.4 Fundamental Risk Assessment 109
5.8.5 Job Risk Assessment 110
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
6.6.1 Brainstorming – Structured and Unstructured 125
6.6.2 Checklist Analysis 126
6.6.3 What-If Hazard Analysis 127
6.6.4 What-If/Checklist 130
6.6.5 Structured What-If Technique (SWIFT) 131
6.6.6 Hazard and Operability (HAZOP) Study 135
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
9.6.1 Case Study #1: Spray Paint Operation 186
9.6.2 Case Study #2: Bhopal Disaster 193
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
11.5.1 Methods 234
11.5.2 Results 234
11.5.3 Occupational Size-Selective Criteria and Particles Size Sampling 237
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
12.5.1 Health Risk Rating Methodology 250
12.5.2 Exposure Rating Methodologies 251
12.5.3 Health Effect and Exposure Methodology 251
12.5.4 COSHH Essentials Tool 251
12.5.5 OSHA’s Calculation for Mixtures 254
12.5.6 The ART Tool 254
12.5.7 Stoffenmanager 254
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
13.5.1 Machine Safety Control Systems 273
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
13.10.1 Risk Assessment Process 284
13.10.2 Risk Reduction Process 285
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
15.5.1 Biological Food Hazards 321
15.5.2 Chemical Food Hazards 322
15.5.3 Physical Food Hazards 323
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
16.6.1 Scope and Context 348
16.6.2 Goals and Objectives 348
16.6.3 Responsibilities 348
16.6.4 Training 348
16.6.5 Ergonomics Team 348
16.7 Assessing Ergonomic Risk 349
16.8 Ergonomics Improvement Process 350
16.8.1 Identify Jobs 350
16.8.2 Assessment Tools 351
16.8.3 Assessment Team 352
16.8.4 Performing the Assessments 352
16.8.5 Identifying Corrective Measures 353
16.8.6 Implementing Measures 353
16.8.7 Verify and Refine 353
16.8.8 Communicate Results 354
16.9 ERAT: A Practical Assessment Tool 354
16.9.1 ERAT Example: Pork Processing Belly Grader 356
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
18.4.1 Environmental Policy and Planning 392
18.4.2 Environmental Aspects 393
18.4.3 Identify Environmental Aspects 395
18.4.4 Identification Process 395
18.4.5 Location, Department, Index, and Aspect 396
18.4.6 Impacts to Environmental Properties 397
18.4.7 Impact Subtotal and Polarity Adjustment 397
18.4.8 Impact Severity 398
18.4.9 Impact Probability 398
18.4.10 Frequency 400
18.4.11 Legal Risks 400
18.4.12 Current Controls 401
18.4.13 Significance Score for Significance Scores without Controls Section 401
18.4.14 Personnel Risk 401
18.4.15 Significance Scores with Controls Section 403
18.4.16 Overall Significance Rating Chart 403
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
19.3.1 Steps of the Tool 411
19.4 Business Case Examples 412
19.4.1 Case Example One: Post Incident 412
19.4.2 Case Example Two: Regulatory Requirement 413
19.4.3 Case Example Three: Operational 416
19.4.4 Case Example Four: Postoperational 418
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
20.5.1 Individual Risk 432
20.5.2 Societal Risk 433
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
20.9.1 What is Reasonably Practicable? 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
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