Risk Assessment: A Practical Guide to Assessing Operational Risks PDF
Preview Risk Assessment: A Practical Guide to Assessing Operational Risks
0005243722.INDD 2 11-02-2021 19:01:01 Risk Assessment 0005243722.INDD 1 11-02-2021 19:01:01 0005243722.INDD 2 11-02-2021 19:01:01 Risk Assessment A Practical Guide to Assessing Operational Risks Second Edition Georgi Popov University of Central Missouri Warrensburg, MO USA Bruce K. Lyon Brown & Brown Kansas City, MO USA Bruce Hollcroft PayneWest Insurance, A Marsh & McLennan Agency LLC Company Spokane, WA USA 0005243722.INDD 3 11-02-2021 19:01:02 This edition first published 2022 © 2022 by John Wiley & Sons, Inc. All rights reserved. Edition History 1st edition 2016 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, except as permitted by law. Advice on how to obtain permission to reuse material from this title is available at http://www.wiley.com/go/permissions. The right of Georgi Popov, Bruce K. Lyon, and Bruce Hollcroft to be identified as the authors of this work has been asserted in accordance with law. Registered Offices John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, USA Editorial Office John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, USA For details of our global editorial offices, customer services, and more information about Wiley products visit us at www.wiley.com. Wiley also publishes its books in a variety of electronic formats and by print- on- demand. Some content that appears in standard print versions of this book may not be available in other formats. 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Library of Congress Cataloging- in- Publication Data applied for: ISBN: 9781119755920 Cover Design: Wiley Cover Image: Courtesy of Bruce Lyon Set in 9.5/12.5pt STIXTwoText by Straive, Pondicherry, India 10 9 8 7 6 5 4 3 2 1 0005243722.INDD 4 11-02-2021 19:01:02 v Contents Preface vii 1 Risk Assessments: Their Significance 1 Fred A. Manuele 2 Risk Assessment Standards and Definitions 21 Bruce Lyon and Bruce Hollcroft 3 Risk Assessment Fundamentals 47 Bruce Lyon and Bruce Hollcroft 4 Defining Risk Assessment Criteria 65 Bruce Lyon 5 Fundamental Techniques 93 Bruce Lyon and Georgi Popov 6 Preliminary Hazard and Risk Analysis 123 Bruce Lyon and Georgi Popov 7 “What-if” Analysis Methods 137 Bruce Lyon and Georgi Popov 8 Failure Mode and Effects Analysis 153 Georgi Popov and Bruce Lyon 9 Bow-Tie Analysis Methodology 171 Georgi Popov and Bruce Lyon 10 Layers of Control Analysis 201 Georgi Popov and Bruce Lyon 11 Prevention Through Design (PtD) and Design Safety Reviews 227 Bruce Lyon and Georgi Popov 0005264187.INDD 5 11-09-2021 12:50:02 vi Contents 12 Industrial Hygiene Risk Assessment 249 Tsvetan Popov, Georgi Popov and Bruce Lyon 13 Machine Risk Assessments 283 Bruce Lyon 14 Project-Oriented Risk Assessments 307 Bruce Lyon 15 Food Processing Risk Assessments 337 Georgi Popov and Bruce Lyon 16 Ergonomic Risk Assessment 361 Bruce Lyon and Georgi Popov 17 Assessing Operational Risks at an Organizational Level 387 Bruce Lyon 18 Risk Assessment Applications in Lean Six Sigma and Environmental Management Systems 409 Georgi Popov, Tsvetan Popov and Bruce Lyon 19 Business Continuity Plan 431 Bruce Hollcroft and Bruce Lyon 20 Communicate Risk 445 Bruce Lyon Index 461 0005264187.INDD 6 11-09-2021 12:50:02 vii Preface "Imagination is everything. It is the preview of life’s coming attractions." Albert Einstein <http://www.goodreads.com/author/show/9810.Albert_Einstein> With the many titles of books on risk assessment that have been written, Fred Manuele recognized that there was a need for a fundamental guide for assessing operational risk. As a member of the Advisory Board to the Safety Sciences Program at the University of Central Missouri (UCM), Mr. Manuele challenged Dr. Georgi Popov at UCM, Bruce Lyon and Bruce Hollcroft who previously worked for Manuele to write such a text. Dr. Popov teaches occupational risk assessment, and like Lyon and Hollcroft, performs numerous risk assessments, simple to complex, for a wide range of industries. The challenge was accepted. This second edition of Risk Assessment: A Practical Guide to Assessing Operational Risks provides the fundamentals on risk assessment, with many practical applications, for undergradu- ate and graduate students and employed safety, health, and environmental professionals who rec- ognize that they are expected to have risk assessment capabilities. This book fills a void. In recent years, risk assessment has been given more prominence as an element in operational risk management systems. This text serves the needs of professors at a uni- versity level who recognize that their students have knowledge and capability with respect to risk assessment, while addressing seven of the ABET criteria for safety programs. In addition, the book serves as a primer for employed safety professionals who need a practical guide on various risk assessment techniques. The authors envisioned a new format for this book; one which includes interactive exercises, links, videos, and supplemental risk assessment tools. The content of this book has been signifi- cantly impacted by events that have occurred that give greater prominence to risk assessment. Some of these include: 1) In 1995, the National Safety Council created an entity known as the Institute for Safety through Design. The core of safety through design is hazard identification and analysis and risk assessment. 2) In 2006, the National Institute for Occupational Safety and Health (NIOSH) began considera- tion of what became a major initiative on Prevention through Design (PtD). The intent of the initiative was to encourage organizations to have processes in place to address occupational hazards and risks in the design and redesign processes. Doing so requires making risk assess- ments as a continuum as the design process moves forward. 3) A European led drive to have risk assessment be recognized as the cornerstone of an occupa- tional risk management system is having an impact in the United States. In 2011, the American 0005268100.INDD 7 11/10/2021 3:21:58 PM viii Preface National Standard Institute approved a petition made by the American Society of Safety Engineers to adopt three standards on risk management developed by International Standards Organization. One of those standards has become known as ANSI/ASSE Z690.3, Risk Assessment Techniques. That standard is receiving broad attention and it was updated in 2018. 4) A new American National Standard on PtD was adopted on September 1. 2011. A significant portion of the standard is devoted to risk assessment. 5) Educators are developing new courses related to PtD and new risk assessment tools. A chapter in this book is devoted to PtD. 6) Many industries have applied Lean Concepts to reduce waste, improve efficiency, and lower production costs. Lean Six Sigma concepts and risk assessment tools can be applied in the environmental, safety and service fields. 7) Ergonomics-r elated losses account for at least 1/3 of all lost time incidents and nearly half of the insurance costs. A chapter addressing risk assessment of ergonomic risk is included. 8) For many years, businesses have been operating with tight budgets and continuously seek ways to reduce costs, among which are accident costs. One of the chapters will address risk assessment and business continuity plans. 9) In June 2013, the American Society of Safety Professionals recognized the significance of risk assessment by launching its Risk Assessment Institute. The Risk Assessment Institute trans- formed to a permanent Risk Assessment Committee. 10) A risk assessment process enables the safety professional to properly deal with hazards when there are little or no applicable regulations, standards, or guidelines. It also enables organiza- tions to make better business decisions by prioritizing hazards and their resulting risk. This makes risk assessment an ‘essential’ skill for the safety, health and environmental professional. The text begins with laying the ground work in Chapters 1 through 4. Chapter 1. Risk Assessment: Their Significance presents a brief overview on risk assessment, followed by comments on the importance of the Prevention though Design standard. Chapter 2. Risk Assessment Standards and Definitions, Chapter 3. Risk Assessment Fundamentals and Chapter 4. Defining Risk Assessment Criteria provide the basis of the risk assessment process. Chapters 5, 6, 7, and 8 introduce the reader to fundamental risk assessment methods beginning with hazard identification and analysis methods such as job hazard analysis, what-i f analysis, pre- liminary hazard analysis (PHA), and fundamental risk assessment techniques such as failure mode and effects analysis (FMEA). More specialized methods including Bow- Tie Analysis, Layers of Controls Analysis, PtD tools and Design Safety Reviews, and Industrial Hygiene (IH) methods are presented in Chapters 9 through 12. Chapter 13 targets machinery risks, while Chapter 14 provides methodologies of assessing project-r elated risks such as construction, maintenance and other high-r isk activities. Chapter 15 provides a primer on HACCP and food safety risks, while Chapter 16 presents more advanced measures in assessing ergonomic risk factors. Chapter 17 provides a board approach to assessing risks at an organizational level. The final three chapters provide the reader concepts and methods of incorporating risk assess- ment in environmental management systems (Chapter 18), the inclusion of business continuity aspects in the risk assessment process (Chapter 19), and Risk Communication (Chapter 20). In addition, ABET accreditation criteria state that graduates must demonstrate the application of 0005268100.INDD 8 11/10/2021 3:21:58 PM
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