RISK ASSESSMENT. A Practical Guide to Assessing. Operational Risks. Edited by GEORGI POPOV BRUCE K. LYON BRUCE HOLLCROFT. WlLEY

Transcription

1 RISK ASSESSMENT A Practical Guide to Assessing Operational Risks Edited by GEORGI POPOV BRUCE K. LYON BRUCE HOLLCROFT WlLEY

2 CONTENTS Preface Foreword List of Contributors About the Companion Websites xvii xxi xxiii xxv 1 Risk Assessments: Their Significance and the Role of the Safety Professional 1 Fred A. Manuele 1.1 Objectives, Introduction, What is a Risk Assessment? Activities at the American Society of Safety Engineers (ASSE), An Example of a Guideline that gives Risk Assessment due Recognition, ANSI/AIHA/ASSE Z : The Standard for Occupational Health and Safety Management Systems, ANSI/ASSE Z : Prevention through Design: Guidelines for Addressing Occupational Hazards and Risks in Design and Redesign Processes, THE ANSI/ASSE Z Series, ANSI B : Safety of Machinery. General Safety Requirements and Risk Assessment - A Standard of Major Consequence, European Union: Risk Assessment, EN ISO : Safety of Machinery. General Principles for Design. Risk Assessment, and Risk Reduction, Additional European Influence, MIL-STD-882E The US Department of Defense Standard Practice for System Safety, Certain Governmental Views, Risk Reduction Program, 12 vi:

3 viii CONTENTS 1.15 Canada, Fire Protection, Developments in Aviation Gmund Safety, OSHA Requirements, EPA Requirements, The Chemical Industry: The Extensive Body of Information, Conclusion, 16 Review Questions, 16 References, 17 Appendix l.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 & 2.1 Objectives, Introduction, The Need for Risk Assessments, Key Standards Requiring Risk Assessments, OSHA Compliance and Risk Assessments, , Personal Protective Equipment Standard, , Process Safety Management Standard, Other OSHA Standards, Consensus Standards Requiring Risk Assessment, ANSI/AIHA/ASSE Z , Occupational Health and Safety Management Systems, ISO 31000/ANSI/ASSE Z690 Risk Management Series, ANSI/ASSE Z , Prevention through Design, ANSI B 11.0 Machine Safety, NFPA70E, MIL-STD-882E, 11 May 2012, Department of Defense Standard Practice, System Safety, Key Terms and Definitions, Summary, 46 Review Questions, 47 References, 47 3 Risk Assessment Fundamentals 49 Bruce Hollcroft 3.1 Objectives, Introduction, Risk Assessment within the Risk Management Framework, Risk Assessments and Operational Risk Management Systems, The Purpose of Assessing Risk, The Risk Assessment Process, Selecting a Risk Assessment Matrix, Establishing Context, The Risk Assessment Team, Hazard/Risk Identification, 58

4 CONTENTS Risk Analysis, Consequence Analysis, Likelihood Analysis, Assessment of Controls, 60 Risk Evaluation, 60 Risk Treatment, 61 Communication, 61 Documentation. 62 Monitoring and Continuous Improvement, 63 Summary, 64 Review Questions, 64 References, 64 4 Defining Risk Assessment Criteria & Bruce Hollcroft 4.1 Objectives, Introduction, Defining Risk Criteria, Risk Scoring Systems, Risk Assessment Matrices, Defining Risk Values, Qualitative Risk Models, Semiquantitative Risk Models, Quantitative Risk Models, Risk Factors, Risk Levels, Risk Scoring, Severity of Consequence, Likelihood of Occurrence, Exposure, Risk Reduction and the Hierarchy of Controls, Using a Protection Factor, Acceptable and Unacceptable Risk Levels, Documenting Risk, Communicating Risk Criteria, Summary, 88 Review Questions, 88 References, 89 Appendix 4.A, 90 5 Fundamental Techniques 5.1 Objectives, Introduction to Fundamental Hazard Analysis and Risk Assessment, Assessments Within an Operational Risk Management System, Hazard Analysis Versus Risk Assessment, The Hazard Analysis and Risk Assessment Process, Fundamental Methods, 99

5 5.7 Informal Methods, Formal Methods, Fundamental Hazard Analysis, Pretask Hazard Analysis, Job Hazard Analysis, Fundamental Risk Assessment, Job Risk Assessment, 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, What-If Hazard Analysis 6.1 Objectives, Introduction, Overview and Background, Process Hazard Analysis, Mandated Assessments, What-If Analysis and Related Methods, Brainstorming - Structured and Unstructured, Checklist Analysis, What-If Hazard Analysis, What-If/Checklist, Structured What-If Technique (SWIFT), Hazard and Operability (HAZOP) Study, Risk Scoring and Ranking, Application of "What-If", Conclusion, 143 Review Questions, 143 References, Preliminary Hazard Analysis Georgi Popov & 7.1 Objectives, Introduction, Preliminary Hazard List, PHAs and their Application, The Control of Hazardous Energy, Fundamental System Safety Tenets, Conducting a PHA, Scoring Systems, Practical Application, Summary, 157

6 CONTENTS xi Review Questions, 157 References, 157 Practical Example, Failure Mode and Effects Analysis 163 Georgi Popov & 8.1 Objectives, Introduction, Purpose and Use, Defining Failure Modes, Risk Description Considerations, FMEA Process Steps, Practical Application, Summary, 176 Review Questions, 179 References, 179 Practical Example - Assignment #2- FMEA, Bow-Tie Risk Assessment Methodology Georgi Popov & Objectives, 181 Introduction, 181 History, 182 Overview, 182 Bow-Tie Methodology, 184 Practical Application, Case Study #1: Spray Paint Operation, Case Study #2: Bhopal Disaster, 193 Summary, 195 Review Questions, 195 References, 196 Appendix 9.A: QAP Corporation - Annual Report, Design Safety Reviews Objectives, Introduction, Challenges and Obstacles to Overcome, Standards Requiring Design Safety, The Review of Designs, Hazardous Energy Control, Ergonomie Review of Designs, Design Review Process, Hazard Analysis and Risk Assessment in Design, Conclusion, 224 Review Questions, 225 References, 225

7 xii CONTENTS 11 Risk Assessment and the Prevention Through Design (PtD) Model 227 Georgi Popow, & John N. Zey 11.1 Objectives, Introduction, The Concept of Prevention Through Design (PtD), Risk Assessment Process and the PtD Model, Case Study, Methods, Results, Occupational Size-Selective Criteria and Particles Size Sampling, PtD and the Business Process, Summary, 244 Review Questions, 244 References, Industrial Hygiene Risk Assessment 247 Georgi Popow Steven Micks, & Tsvetan Popov 12.1 Objectives, Introduction, Fundamental Concepts, Anticipating and Identifying Occupational Health Risks, Determining Occupational Health Risks, Health Risk Rating Methodology, Exposure Rating Methodologies, Health Effect and Exposure Methodology, COSHH Essentials Tool, OSHAs Calculation for Mixtures, The ART Tool, Stoffenmanager, Health Risk Assessments and Prioritization, Modified HRR/IH FMEA Methodology, 256 Sampling, 257 Results, Control Banding Nanotool, Dermal Risk Assessment, Occupational Health Risk and PTD Process Alignment, Summary, 264 Review Questions, 265 References, Machine Risk Assessments Objectives, Introduction, Machine Safety Standards, Machine Hazards, Machine Safeguarding, Machine Safety Control Systems, 273

8 CONTENTS 13.6 Selecting Machines for Assessment, Risk Assessment of Machines, Estimating Risk, Case Study, Assessment of Machine Maintenance and Service, Risk Assessment Process, Risk Reduction Process, Summary, 285 Review Questions, 286 References, 286 Appendix 13.A: Machine Safeguards Methods, Project-Oriented Risk Assessments 14.1 Objectives, Introduction, Fatalities and Serious Incidents, Error Traps in Nonroutine Tasks, Management of Change, 294 ] 4.6 Construction Project Work, Construction Project Risk Assessment, Safe Work Methods, Pretask Hazard Analysis, The Use of Checklists, Maintenance and Service Work, Operating Hazard Analysis, Analyzing Specific Hazards, Pre-Entry Hazard Analysis, Fall Hazard Assessment, Summary, 317 Review Questions, 317 References, Food Processing Risk Assessments Georgi Popov;, & Ying Zhen 15.1 Objectives, Overview, Introduction to Food Risk, Risk Assessment Techniques in the Food Industry, Food Safety-Related Hazards, Biological Food Hazards, Chemical Food Hazards, Physical Food Hazards, Techniques for Assessing Food Risk, Hazard Analysis and Critical Control Points, Integration of Risk Assessment Methods, PtD and HACCP Integration, Conclusions, 339

9 xiv CONTENTS Review Questions, 340 References, Ergonomie Risk Assessment 343 & Georgi Popov 16.1 Objectives, Introduction, Ergonomics and Design, Ergonomie Hazards, Ergonomie Risk Factors, Establishing an Ergonomics Assessment Process, Scope and Context, Goals and Objectives, Responsibilities, Training, Ergonomics Team, Assessing Ergonomie Risk, Ergonomics Improvement Process, U Identify Jobs, Assessment Tools, Assessment Team, i 3.4 Performing the Assessments, * i.5 Identifying Corrective Measures, } 3.6 Implementing Measures, * l.l Verify and Refine, ! 3.8 Communicate Results, ERAT: A Practical Assessment Tool, ERAT Example: Pork Processing Belly Grader, Conclusion, 359 Review Questions, 360 References, 360 Appendix 16.A: Sample Ergonomie Responsibilities for Involved Stakeholders, 361 Appendix 16.B: Sample Ergonomics Training for Involved Stakeholders, 363 Appendix 16.C: Ergonomie Risk Assessment Tool (ERAT) - Initial Assessment, 365 Appendix 16.D: Ergonomie Risk Assessment Tool (ERAT) - Post-Control Assessment, 366 Appendix 16.E: Hierarchy of Ergonomie Risk Controls, Assessing Operational Risks al an Organizational Level Objectives, Introduction, Risks to an Organization, Organizational Risk Management, Key Definitions in Organizational Risk, 372

10 CONTENTS 17.6 Assessing Organizational Risk, Summary, 387 Review Questions, 387 References, Risk Assessment Applications in Lean Six Sigma and Environmental Management Systems Georgi Popov 18.1 Objectives, Introduction, Environmental Management Systems (EMS), ISO Implementation, Environmental Policy and Flanning, Environmental Aspects, Identify Environmental Aspects, Identification Process, Location, Department, Index, and Aspect, Impacts to Environmental Properties, Impact Subtotal and Polarity Adjustment, Impact Severity, Impact Probability, Frequency, Legal Risks, Current Controls, Significance Score for Significance Scores without Controls Section, Personnei Risk, Significance Scores with Controls Section, Overall Significance Rating Chart, EMS and Implementation of Lean Six Sigma Practices, Conclusions, 407 Review Questions, 407 References, Business Aspects of Operational Risk Assessment Elyce Biddie 19.1 Objectives, Introduction, The Business Case Development Tool, Steps of the Tool, Business Case Examples, Case Example One: Post Incident, Case Example Two: Regulatory Requirement, Case Example Three: Operational, Case Example Four: Postoperational, Conclusion, 424 Review Questions, 424 References, 424

11 xvi CONTENTS 20 Risk Assessment: Global Perspectives 427 Jim Whiting 20.1 Objectives, Introduction, Using ISO for Maturity Assurance and Conformity, Global Uptake of ISO 31000: International Risk Management Standard, Global Comparison of Risk Tolerance Criteria, Individual Risk, Societal Risk, Tolerability Criterion for Individual Risk, Tolerability Criteria for Flanning New Operations, Investment to Prevent a Fatality, Shifting the Paradigm from Absolute Safety to Risk Management, What Is Reasonably Practicable? Moving Toward Risk-Based Language for more Effective Risk Conversations, A Cautionary Concluding Note, 440 Review Questions, 440 References, 441 Appendix 20.A: Better Terminology and Language for Risk-Based Conversations, 442 Index 445