Health and Safety Risk Assessment

Dynamic Risk Assessments

• Workers who commonly use dynamic risk assessments include emergency service workers, tradespeople, care workers, retail staff, and security operatives.

Formal Hazard Analysis

• There are two types of formal hazard analysis: inductive and deductive.
• Inductive analysis: bottom-up, future, hypothetical based on experience and conclusions; examples include FEMA, FEMCA, and FHA.
• Deductive analysis: top-down, future behavior concluded from a number of premises; examples include FTA, Fishbone, and General to Specific.

Cost Types

• Tangible costs: costs that are seen instantly, such as purchasing products, paying employees, equipment maintenance, and employee salaries.
• Intangible costs: indirect costs that are not seen but have effects perceived later in the future, such as risk.

Risk Management

• Definition: the eradication or minimization of the adverse effects of risks to which an organisation is exposed.
• Risk homeostasis: theory that people compare their perceived risk level with their target level and adjust their behavior to eliminate any discrepancies.
• System availability: a measure of the degree to which an item is in an operable and committable state.

Analysis Techniques

• Fault tree analysis: an example of deductive analysis that starts with a top-level event and logically determines its specific causes.
• No single method can be used to completely evaluate a product.

Control Measures

• Examples of control measures include:
  • Avoidance of identified hazards
  • Engineering or design to eliminate or control hazards
  • Limiting the number of personnel and the amount of time they are exposed to hazards
  • Providing protective clothing, equipment, and safety devices
  • Providing warning signs and signals

Risk Management Process

• Key steps: hazard identification, hazard assessment, development of controls and decision-making, implementation, and supervision and evaluation.
• Types of controls: educational, physical, and avoidance.

Insurance

• Reinsurance: insurance between a primary insurer and secondary insurer where the secondary agrees to cover all or part of the losses of the primary insurer.
• Retrocession: the portion of risk or amount of insurance the company chooses not to retain.

Human Factors Theory

• David Yates' theory: when quantifying accident causes, there are three broad categories: overload, inappropriate worker response, and inappropriate activities.

Incident Investigation

• The front-line supervisor is responsible for conducting an incident investigation.

Accident/Incident Theory

• Petersen's theory: causes of accidents/incidents are human error and/or system failure.

Vicarious Liability

• Assigns liability for an injury to a person who did not cause the injury but who has a particular legal relationship to the person who did act negligently.

Risk Communication

• Seven Cardinal Rules of Risk Communication (Covello and Allen 1988):
  • Accept and involve the public as a partner.
  • Plan carefully and evaluate your efforts.
  • Listen to the public's specific concerns.
  • Be honest, frank, and open.
  • Work with other credible sources.
  • Meet the needs of the media.
  • Speak clearly and with compassion.

Principles and Concepts

• Peter Principle: people are promoted to their level of incompetence
• Parkinson's Principle: work expands to fill allotted time
• Pareto Principle of Mal-distribution: "80/20" Rule, where 20% of employees are responsible for 80% of work/accidents

System Safety

• Fail Safe Passive: equipment stops operating when it fails, e.g. circuit breakers and fuses
• Fail Safe Active: emergency systems that continue to function during a failure, e.g. emergency lights
• Fail Safe Operational: design that prioritizes safety, e.g. feed water valve, co-pilot, and autopilot

Statistical Concepts

• Z score (Z): determines the location of a single score in a normal distribution, and the percentage of area under the curve
• T-test (t): compares the population mean to a sample mean, typically used for data sets with less than 30 samples
• Chi Square (X2): measures the "goodness of fit" between observed and expected frequencies, often used with frequency tables

Standard Deviation

• 1 SD: +/- 68%
• 2 SD: +/- 95%
• 3 SD: +/- 99.7%

Poka Yoke

• A Japanese term that means "mistake-proofing" or "inadvertent error prevention"
• A mechanism that helps prevent or detect errors in a process

Process Safety Management

• ANSI/AIHA Z10: a standard that helps establish OSH management systems to improve employee safety, reduce workplace risks, and create a better working environment
• Similar to OHSAS 18001, except for policy

Criteria for Controls

• Support: availability of adequate personnel, equipment, supplies, and facilities
• Standards: clear, practical, and specific guidance and procedures
• Training: adequate knowledge and skills to implement controls
• Leadership: competent supervisors and managers to implement controls
• Individual: safety and health programs that help businesses prevent workplace injuries and illnesses, improve compliance, reduce costs, engage workers, and enhance social responsibility

Risk Assessment and Management

• All risk assessments follow a general process: identify hazards, determine who could be affected, assess how they might be affected, record the results, and review the results regularly
• NIOSH's three-step process for conducting occupational risk assessments: identify hazards, assess exposure-response relationships, and characterize workplace risks
• EPA's Human Health Risk Assessment: hazard identification, dose-response assessment, exposure assessment, and risk characterization
• Types of risk assessment: generic, specific, and dynamic
• Dynamic risk assessment: an ongoing process that identifies hazards, assesses risk, takes action, monitors, and reviews in rapidly changing circumstances

Risk Analysis Techniques

• Event tree analysis (ETA): an inductive technique that explores different responses to "challenges"
• Naked man: a technique that envisions a "primitive" or unprotected system and evaluates the effect of adding controls
• Six-step process to analyze and control human errors: select an event, identify tasks, separate behaviors, assign basic error rates, and more
• Change analysis: a technique that provides formal documentation and feedback of safety analyses performed on changes throughout the life cycle
• FMEA: a technique used to analyze a single failure or a single unit failure, often used with fault tree analysis
• Failure: when a system, subsystem, component, or part departs from its intended design parameters

Insurance and Liability

• Reinsurance: the insurance between a primary insurer and secondary insurer, where the secondary insurer covers all or part of the losses of the primary insurer
• Retrocession: the portion of risk or amount of insurance that a company chooses not to retain
• Catastrophe insurance: a type of insurance that covers losses due to catastrophic events
• Vicarious liability: assigns liability for an injury to a person who did not cause the injury, but who has a particular legal relationship to the person who did act negligently

Human Factors and Incident Investigation

• David Yates' Human Factors Theory: three broad categories of accident causes - overload, inappropriate worker response, and inappropriate activities
• Petersen's Accident/Incident Theory: causes of accidents/incidents are human error and/or system failure
• Front-line supervisors are responsible for conducting incident investigations
• Seven Cardinal Rules of Risk Communication: accept and involve the public, plan carefully, listen to concerns, be honest, work with credible sources, meet the needs of the media, and speak clearly and with compassion

Safety Through Design

• Defined as the integration of hazard analysis and risk assessment methods early in the design and engineering stages
• As Low As Reasonably Practicable (ALARP) and As Low As Reasonably Achievable (ALARA) promote a management review to achieve acceptable risk levels
• Best Available Control Technology (BACT) requires the use of the most effective controls for new sources in attainment areas
• Maximum Achievable Control Technology (MACT) is used to reduce emissions from major hazardous air pollutants (HAP) sources

Risk Management and Safety

• The goal of risk management is to help managers decide where to apply funds to achieve the greatest risk reduction, and departments should be ranked from highest composite score to lowest.
• The ABCs of Behavior: Antecedent, Behavior, Consequence

Types of Controls

• Controls can be categorized into three main categories: educational, physical, and avoidance.
• Educational controls: based on knowledge and skills of employees, implemented through individual and collective training to ensure performance to a standard.
• Physical controls: include barriers, guards, signs, special controllers, and supervisory personnel to warn employees and prevent hazards.
• Avoidance controls: involve taking positive action to prevent contact or exposure with identified hazards.

System Safety

• Fail Safe Passive: equipment stops operating, e.g. circuit breakers and fuses
• Fail Safe Active: emergency lights
• Fail Safe Operational: safest for people, e.g. feed water valve, co-pilot, autopilot

Statistics

• Z-score (Z): determines the location of a single score in a normal distribution, percentage area under the curve
• T-test (t): compares population mean to sample mean, used for data sets < 30
• Chi Square (X2): measures "goodness of fit" between observed and expected frequencies
• Standard Deviation (SD):
  • 1 SD: +/-68%
  • 2 SD: +/-95%
  • 3 SD: +/-99.7%

Poka Yoke and Process Safety Management

• Poka Yoke: Japanese term meaning "mistake-proofing" or "inadvertent error prevention", used to prevent or detect errors in manufacturing processes
• Process Safety Management: used in materials, construction, piping, and electrical industries to improve employee safety and reduce workplace risks

Criteria for Controls

• Support: availability of personnel, equipment, supplies, and facilities
• Standards: clear, practical, and specific guidance and procedures
• Training: adequate knowledge and skills to implement controls
• Leadership: competent supervisors and managers
• Individual: self-disciplined employees

Control Measures

• Avoidance of identified hazards
• Engineering or design to eliminate or control hazards
• Limiting exposure to hazards
• Providing protective clothing, equipment, and safety devices
• Providing warning signs and signals

Risk Management

• Risk: chance or probability of occurrence of an injury, loss, or hazard
• Risk assessment: process of assessing risks associated with identified hazards to make decisions and implement controls
• Hazard: condition with potential to cause injury, illness, or death, damage to equipment or property, or mission degradation
• Hazard identification: process of examining work areas to identify hazards associated with each job or task
• Probability: likelihood of an event occurring
• Severity: degree of undesired consequences

Risk Management Process

• Five basic steps:
  1. Hazard identification
  2. Hazard assessment
  3. Development of controls and decision-making
  4. Implementation
  5. Supervision and evaluation

Residual Risk

• Preventive controls: reduce probability of risk
• Detective controls: reduce likelihood of risk occurrence or consequences
• Remedial controls: reduce consequences of risk that has occurred

Pure and Speculative Risk

• Pure risk: risks beyond human control, resulting in a loss or no loss, e.g. natural disasters
• Speculative risk: risks taken on voluntarily, resulting in profit or loss, e.g. gambling

Safety and Health Programs

• Main goal: prevent workplace injuries, illnesses, and deaths
• Recommended practices: proactive approach to managing workplace safety and health, starting with basic programs and simple goals
• Benefits of implementing safety and health programs:
  • Prevent workplace injuries and illnesses
  • Improve compliance with laws and regulations
  • Reduce costs, including workers' compensation premiums
  • Engage workers
  • Enhance social responsibility goals
  • Increase productivity and enhance overall business operations

Catastrophe Insurance

• Reinsurance is an insurance between a primary insurer and secondary insurer where the secondary agrees to cover all or part of the losses of the primary insurer.
• Retrocession is the portion of risk or amount of insurance that the company chooses not to retain.

Human Factors Theory

• The Human Factors Theory by David Yates categorizes accident causes into three broad categories: Overload, Inappropriate Worker Response, and Inappropriate Activities.

Incident Investigation

• The front-line supervisor is responsible for conducting an Incident Investigation.

Accident/Incident Theory

• Petersen's Accident/Incident theory states that causes of accidents/incidents are human error and/or system failure.

Vicarious Liability

• Vicarious Liability assigns liability for an injury to a person who did not cause the injury but who has a particular legal relationship to the person who did act negligently.

Risk Communication

• The Seven Cardinal Rules of Risk Communication are:
  • Accept and involve the public as a partner.
  • Plan carefully and evaluate your efforts.
  • Listen to the public's specific concerns.
  • Be honest, frank, and open.
  • Work with other credible sources.
  • Meet the needs of the media.
  • Speak clearly and with compassion.

Risk Calculation

• Compensation cost is calculated as gross / Profit margin %.
• Loss ratio is calculated as losses / (E modifier X Manual premium).
• CBA Ratio is calculated as Benefits / Cost.

Experience Modification Rate

• An experience modification rate less than 1 is considered very good.

Behavior-Based Safety Process

• Steps involved in the Behavior-Based Safety process:
  • Form assessment team(s)
  • Extract behaviors that were involved in past accidents/incidents
  • Develop definitions that describe the safe behavior
  • Compile datasheet using identified behaviors
  • Determine observation boundaries
  • Train observers
  • Gather data
  • Determine barrier removal process
  • Form barrier removal teams

Conditions for Success

• Five conditions that dramatically increase the likelihood of success:
  • Safety Leadership
  • Established Integrated Safety Management System
  • Employee Empowerment and Participation in Safety
  • Organization's Safety Culture
  • Measurement and Accountability

Resources for Extraction of Critical Behaviors

• Resources used for extraction of critical behaviors include:
  • Accident / Incident Reports
  • Job Safety Analysis, Job Hazard Analysis, and PPE Assessments
  • Task Observations
  • Employee Interviews
  • Brainstorming

Consequences

• Consequences have the greatest impact on employee behavior when they are:
  • Soon
  • Certain
  • Positive

Modern Management Theory

• Modern management theory recognizes that consequences must be:
  • Positive or negative
  • Immediate or future
  • Certain or uncertain

ISO 19011

• The seven principles for auditing according to ISO 19011 are:
  • Integrity
  • Fair presentation
  • Confidentiality
  • Due professional care
  • Independence
  • Evidence-based approach
  • Risk-based approach

Insurance

• Occurrence insurance covers incidents that occur during the policy period.
• Claims-made insurance covers incidents based on the date that the insured becomes aware of the claim and notifies the insurance carrier.

Miscellaneous

• ASTM International stands for American Standards for Testing and Materials.
• ANSI stands for American National Standards Institute.
• NFPA stands for National Fire Protection Association.
• IARC stands for International Agency for Research on Cancer.
• Dry ice has a vapor pressure of 844 PSIA.
• An indemnification agreement is a contract that protects one party of a transaction from the risks or liabilities created by the other party of the transaction.

Risk Management and Controls

• The goal of ranking departments by composite score is to help managers decide where to apply funds to achieve the greatest risk reduction.
• The ABCs of Behavior: Antecedent, Behavior, Consequence.

Types of Controls

• Educational controls: based on knowledge and skills of employees, implemented through individual and collective training.
• Physical controls: include barriers, guards, signs, and special controllers or supervisory personnel.
• Avoidance controls: involve supervisors and managers taking positive action to prevent contact or exposure with identified hazards.

Management Principles

• Peter Principle: people are promoted to their level of incompetence.
• Parkinson’s Principle: work expands to fill allotted time.
• Pareto Principle of Mal-distribution (80/20 Rule): 20% of employees are responsible for 80% of work and accidents.

System Safety

• Fail Safe Passive: equipment stops operating, e.g., circuit breakers and fuses.
• Fail Safe Active: emergency lights.
• Fail Safe Operational: safest for people, e.g., feed water valve, co-pilot, autopilot.

Statistics

• Z-score (Z): determines the location of a single score in a normal distribution, and provides the % area under the curve.
• T-test (t): compares population mean to sample mean (used for data sets < 30), e.g., compares two groups.
• Chi Square (X2): measures "goodness of fit" between observed and expected values, usually in a frequency table.

Poka Yoke

• Poka yoke is a Japanese term meaning "mistake-proofing" or "inadvertent error prevention".
• It involves mechanisms in a process that help operators avoid mistakes and defects.

Process Safety Management

• ANSI/AIHA Z10: a standard that helps establish OSH management systems to improve employee safety, reduce workplace risks, and create a better working environment.

Criteria for Controls

• Support: availability of adequate personnel, equipment, supplies, and facilities.
• Standards: clear, practical, and specific guidance and procedures.
• Training: adequate knowledge and skills to implement a control.
• Leadership: competent supervisors and managers to implement control.
• Individual: health and safety benefits, and non-health and safety benefits (savings) that should be included in the CBA as an offset to the duty-holders' costs.

Risk Categories

• Pure risk: risks beyond human control that result in a loss or no loss with no possibility of financial gain, e.g., fires, floods, natural disasters.
• Speculative risk: risks taken on voluntarily that can result in a profit or loss, e.g., gambling.

Safety and Health Programs

• The main goal is to prevent workplace injuries, illnesses, and deaths, and the suffering and financial hardship that can result.
• Recommended practices use a proactive approach to managing workplace safety and health.

Dynamic Risk Assessments

• Used by emergency service workers, tradespeople, care workers, retail staff, and security operatives.

Formal Hazard Analysis

• Inductive analysis: bottom-up, future, and hypothetical, based on experience and observations, e.g., FEMA, FEMCA, FHA.
• Deductive analysis: top-down, future behavior concluded from premises, e.g., FTA, Fishbone.

Berlo's Model

• Source --- Message --- Channel --- Receiver.

Cost Classification

• Tangible cost: seen instantly, e.g., purchasing products, paying employees.
• Intangible cost: not seen but its effects are perceived later, e.g., risk, which can be subjective or numerical.

Risk Management

• Eradication or minimization of the adverse effects of risks to which an organization is exposed.
• Risk homeostasis: theory that people adjust their behavior to eliminate discrepancies between perceived and target levels of risk.

System Availability

• A measure of the degree to which an item is in an operable and committable state.

Independent and Mutually Exclusive Events

• Independent events do not affect the probability of other events.
• Mutually exclusive events cannot happen together.

Analysis Techniques

• Fault tree analysis: a deductive analysis that determines specific causes of a top-level event.
• System hazard analysis: a formal analysis to identify hazards within a system and suggest ways to reduce and control them.
• Common cause failure analysis: identifies a single event or causal factor common to multiple components.
• Sneak circuit analysis: determines unintended energy routes that can allow undesired functions to occur.
• FMEA (inductive analysis) and FTA (deductive analysis) are used to identify possible effects and causes, respectively.

Preliminary Hazard Analysis

• A technique used to conduct an initial hazard evaluation to make informed decisions about a product's design and manufacture.

Success and Failure Rates

• Success Rate = successes / attempts
• Failure Rate = 1 failure / attempts

Critical Incident Technique

• Identifies errors and unsafe conditions that contribute to potential and actual injurious accidents within a population.

Control Measures

• Employees are expected to implement control measures to reduce risks, including avoidance of hazards, engineering or design to eliminate hazards, limiting personnel exposure, providing protective equipment, and warning signs.

Risk Management

• Risk is defined as the probability of an injury, loss, or hazard occurring.
• Risk assessment is the process of evaluating risks associated with identified hazards to implement appropriate control measures.
• Hazard is a condition that can cause injury, illness, or death, or damage to equipment or property.
• Hazard identification involves examining each work area to identify hazards associated with each job or task.
• Probability is the likelihood of an event occurring, while severity is the degree of undesired consequences.
• The five basic steps in the risk management process are hazard identification, hazard assessment, development of controls and decision-making, implementation, and supervision and evaluation.

Types of Controls

• There are three main categories of controls: educational, physical, and avoidance.

Key Elements of Risk Management

• A key element of developing control measures is to specify who, what, when, where, and how each control is to be used.
• A key element of risk decision is determining if the risk is justified.
• Critical check for control implementation is to ensure that controls are converted into clear, simple instructions.

Risk Exposure

• Total risk exposure is the total number of dollars estimated to be at risk as a result of a particular hazard being evaluated.
• Societal risk is the estimation of the chances of people being harmed by an industrial incident.
• Individual risk is the probability of a single consequence occurring to an individual in a given year.

Risk Analysis

• Management Oversight and Risk Tree (MORT) is an analytical procedure for determining causes and contributing factors.
• Fault Tree Analysis (FTA) is a method used to identify possible causes of a failure.
• CBA (Cost-Benefit Analysis) helps duty holders make judgments on whether further risk reduction measures are reasonably practicable.

Types of Risk

• Pure risk refers to risks that are beyond human control and result in a loss or no loss with no possibility of financial gain.
• Speculative risk is a category of risk that can be taken on voluntarily and will either result in a profit or loss.

Safety and Health Programs

• The main goal of safety and health programs is to prevent workplace injuries, illnesses, and deaths, as well as the suffering and financial hardship these events can cause.
• Recommended practices use a proactive approach to managing workplace safety and health.

System Hazard Analysis

• System hazard analysis is a formal analysis of a system and its interrelationships to determine the real and potential hazards within the system.

Failure Analysis

• Common cause failure analysis is an analysis technique used to identify a single event or causal factor common to multiple components.
• Sneak circuit analysis is a technique used to determine an unintended energy route that can allow an undesired function to occur.

Inductive and Deductive Analysis

• Inductive analysis methods start from known causes and identify possible effects.
• Deductive analysis methods start from known effects and seek possible causes.

Preliminary Hazard Analysis

• Preliminary hazard analysis is a technique used to conduct an initial hazard evaluation that can then be used to make informed decisions about the product's design and manufacture.

Failure Rate and Success Rate

• Failure rate is the ratio of the number of failures to the total number of attempts.
• Success rate is the ratio of the number of successes to the total number of attempts.

Critical Incident Technique

• Critical incident technique is a method of identifying errors and unsafe conditions that contribute to both potential and actual injurious accidents.

Insurance

• Reinsurance is the insurance between a primary insurer and secondary insurer where the secondary agrees to cover all or part of the losses of the primary insurer.
• Retrocession is the portion of risk or amount of insurance that the company chooses not to retain.

Human Factors Theory

• David Yates' Human Factors Theory categorizes accident causes into three broad categories: overload, inappropriate worker response, and inappropriate activities.

Incident Investigation

• The front-line supervisor is responsible for conducting an Incident Investigation.

Petersen's Accident/Incident Theory

• Causes of accidents/incidents are human error and/or system failure.

Vicarious Liability

• Assigns liability for an injury to a person who did not cause the injury but who has a particular legal relationship to the person who did act negligently.

Risk Communication

• The Seven Cardinal Rules of Risk Communication by Covello and Allen (1988) emphasize the importance of involving the public, planning carefully, listening to concerns, and being honest and compassionate.

Risk Management and Controls

• Departments should be ranked from highest composite score to lowest to determine where to apply funds to achieve the greatest risk reduction.
• The ABCs of Behavior: Antecedent, Behavior, Consequence.

Types of Controls

• Educational controls: based on knowledge and skills of employees, implemented through individual and collective training to ensure performance to a standard.
• Physical controls: barriers, guards, signs, special controllers, or supervisory personnel to prevent hazards.
• Avoidance controls: supervisors and managers take positive action to prevent contact or exposure with identified hazards.

Principles and Concepts

• Peter Principle: people promoted to their level of incompetence.
• Parkinson's Principle: work expands to fill allotted time.
• Pareto Principle of Mal-distribution: 20% of employees responsible for 80% of work/accidents (80/20 rule).

System Safety

• Fail Safe Passive: equipment stops operating in a 0 energy state (e.g., circuit breakers, fuses).
• Fail Safe Active: emergency systems (e.g., emergency lights).
• Fail Safe Operational: safest for people (e.g., feed water valve, co-pilot, autopilot).

Statistical Concepts

• Z score (Z): determines the location of a single score in a normal distribution.
• T-test (t): compares population mean to sample mean (data sets < 30).
• Chi Square (X2): goodness of fit between observed and expected (frequency table).
• Standard Deviation (SD): 1 SD = +/-68%, 2 SD = +/-95%, 3 SD = +/-99.7%.

Poka Yoke and Process Safety Management

• Poka Yoke: Japanese term for "mistake-proofing" or "inadvertent error prevention".
• Process Safety Management: used in materials, construction, piping, and electrical to prevent or detect errors.

Criteria for Controls and Safety Programs

• Criteria for effective controls: support, standards, training, leadership, and individual safety and health.
• Safety programs help businesses: prevent workplace injuries, improve compliance, reduce costs, engage workers, enhance social responsibility, and increase productivity.

Risk Assessment

• All risk assessments follow the general steps: identify hazard, decide who could be affected, assess how they might be affected, record results, and review results.
• NIOSH's three-step process: identify hazard, assess exposure-response relationship, and characterize workplace risk.
• EPA Human Health Risk Assessment: hazard identification, dose-response assessment, exposure assessment, and risk characterization.

Types of Risk Assessment Applications

• Generic vs. specific vs. dynamic risk assessments.
• Dynamic risk assessment: continuous process of identifying hazards, assessing risk, and taking action to eliminate or reduce risk.

Other Concepts

• Descriptive epidemiology: observation of outcomes among study groups, followed by an examination of dose-response relationships.
• ASTM International: American Standards for Testing and Materials.
• ANSI: American National Standards Institute.
• NFPA: National Fire Protection Association.
• IARC: International Agency for Research on Cancer.

Risk Communication

• Seven Cardinal Rules of Risk Communication:
  1. Accept and involve the public as a partner.
  2. Plan carefully and evaluate efforts.
  3. Listen to the public's specific concerns.
  4. Be honest, frank, and open.
  5. Work with other credible sources.
  6. Meet the needs of the media.
  7. Speak clearly and with compassion.

Insurance and Liability

• Occurrence insurance: covers incidents that occur during the policy period.
• Claims-made insurance: covers incidents based on the date the insured becomes aware of the claim and notifies the insurance carrier.
• Reinsurance: insurance between a primary insurer and secondary insurer.
• Retrocession: the portion of risk or amount of insurance the company chooses not to retain.
• Indemnification agreement: a contract that protects one party of a transaction from the risks or liabilities created by the other party.

Human Factors and Accident Theories

• Human Factors Theory by David Yates: three broad categories of accident causes: overload, inappropriate worker response, and inappropriate activities.
• Petersen's Accident/Incident theory: causes of accidents/incidents are human error and/or system failure.
• Vicarious liability: assigns liability for an injury to a person who did not cause the injury but who has a particular legal relationship to the person who did act negligently.

Management Principles

• Peter Principle: people are promoted to their level of incompetence
• Parkinson’s Principle: work expands to fill the allotted time
• Pareto Principle of Mal-distribution (80/20 Rule): 20% of employees are responsible for 80% of work and accidents

System Safety

• Fail Safe Passive: equipment stops operating in 0 energy state, using circuit breakers and fuses
• Fail Safe Active: emergency lights
• Fail Safe Operational: safest for people, using feed water valve, co-pilot, and autopilot

Statistics

• Z score (Z): determines the location of a single score in a normal distribution, showing the % area under the curve
• T-test (t): compares population mean to sample mean, used for data sets < 30
• Chi Square (X2): determines the "goodness of fit" between observed and expected, often used in frequency tables
• Standard Deviation (SD):
  • 1 SD: +/-68%
  • 2 SD: +/-95%
  • 3 SD: +/-99.7%

Error Prevention

• Poka yoke manufacturing: "mistake-proofing" or "inadvertent error prevention" to prevent or detect errors
• ANSI/AIHA Z10: standard for establishing OSH management systems to improve employee safety and reduce workplace risks

Control Measures

• Criteria for Controls:
  • Support: availability of personnel, equipment, and facilities
  • Standards: clear, practical, and specific guidance and procedures
  • Training: adequate knowledge and skills
  • Leadership: competent supervisors and managers
  • Individual: self-disciplined employees
• Examples of control measures:
  • Avoiding identified hazards
  • Engineering or designing to eliminate or control hazards
  • Limiting personnel exposure to hazards
  • Providing protective clothing and equipment
  • Providing warning signs and signals

Risk Management

• Risk: chance or probability of injury, loss, or hazard
• Risk assessment: process of assessing risks to make decisions and implement control measures
• Hazard: condition with potential to cause injury, illness, or death, or mission degradation
• Hazard identification: process of examining work areas to identify hazards
• Probability: likelihood of an event occurring
• Severity: degree of undesired consequences
• Types of controls:
  • Educational
  • Physical
  • Avoidance
• Residual risk: preventive, detective, and remedial controls
  • Preventive: reducing probability of risk
  • Detective: reducing likelihood of risk occurrence
  • Remedial: reducing consequences of risk
• Pure risk: risks beyond human control, resulting in loss or no loss with no financial gain
• Speculative risk: voluntary risk that can result in profit or loss

Safety and Health Programs

• Main goal: preventing workplace injuries, illnesses, and deaths
• Recommended practices:
  • Proactive approach to managing workplace safety and health
  • Focusing on achieving goals, monitoring performance, and evaluating outcomes

Risk Analysis Techniques

• Chi-square statistic: measures probability of error
• Event tree analysis (ETA): explores different responses to challenges
• Naked man technique: evaluates effect of adding controls to a primitive system
• Six-step process to analyze and control human errors
• Change analysis: provides formal documentation and feedback of safety analyses on changes
• Uncertainty of risk: exposure, consequence, and likelihood
• Categories of hazards:
  • Environmental issues
  • Human and material failure
  • Inherent properties
• FMEA (Failure Mode and Effects Analysis): analyzes single failure or single unit failure
• FTA (Fault Tree Analysis): evaluates a product's safety
• ETA: method for identifying possible outcomes

Human Factors Theory

• David Yates' theory: quantifying accident causes into three categories
  • Overload
  • Inappropriate worker response
  • Inappropriate activities

Accident Investigation

• Front-line supervisor is responsible for conducting an incident investigation
• Petersen's Accident/Incident theory: causes of accidents/incidents are human error and/or system failure

Liability

• Vicarious liability: assigns liability for an injury to a person who did not cause the injury but has a legal relationship to the person who acted negligently
• Reinsurance: insurance between a primary insurer and secondary insurer, covering all or part of the losses
• Retrocession: portion of risk or amount of insurance the company chooses not to retain

Risk Communication

• Seven Cardinal Rules of Risk Communication (Covello and Allen 1988)
  • Accept and involve the public as a partner
  • Plan carefully and evaluate efforts
  • Listen to the public's specific concerns
  • Be honest, frank, and open
  • Work with other credible sources
  • Meet the needs of the media
  • Speak clearly and with compassion

Risk Reduction and Controls

• Departments should be ranked from highest composite score to lowest to achieve the greatest risk reduction.
• The ABCs of Behavior: Antecedent, Behavior, Consequence.
• Types of controls: educational, physical, and avoidance.

Control Categories

• Educational controls: based on knowledge and skills, implemented through individual and collective training.
• Physical controls: barriers and guards, signs, special controllers, and supervisory personnel.
• Avoidance controls: supervisors and managers taking positive action to prevent contact or exposure with hazards.

Management Principles

• Peter Principle: people are promoted to their level of incompetence.
• Parkinson’s Principle: work expands to fill allotted time.
• Pareto Principle of Mal-distribution: 20% of employees are responsible for 80% of work/accidents.

System Safety

• Fail-Safe concepts: Passive (0 energy state, circuit breakers, and fuses), Active (emergency lights), Operational (safest for people, feed water valve, co-pilot, autopilot).

Statistics

• Z score (Z): determines the location of a single score in the normal distribution, % area under the curve.
• T-test (t): compares population mean to sample mean, used for data sets < 30.
• Chi Square (X2): "goodness of fit" between observed and expected, usually for frequency tables.

Poka-Yoke and Process Safety Management

• Poka-Yoke: mistake-proofing or inadvertent error prevention, used in manufacturing to prevent or detect errors.
• Process Safety Management: used in materials, construction, piping, and electrical, helps establish OSH management systems.

Criteria for Controls

• Support: availability of personnel, equipment, supplies, and facilities.
• Standards: clear, practical, and specific guidance and procedures.
• Training: adequate knowledge and skills.
• Leadership: competent supervisors and managers.
• Individual: risk management determines acceptable risk and methods for reduction.

Analysis Techniques

• Event Tree Analysis (ETA): explores different responses to "challenges".
• Naked Man Technique: envisions a "primitive" or unprotected system and evaluates the effect of adding controls.
• Change Analysis: formal documentation and feedback of safety analyses performed on changes.
• Failure Mode and Effects Analysis (FMEA): analyzes single failure or unit failure, often used with Fault Tree Analysis.
• Operating and Support Hazard Analysis: identifies hazards and recommends risk reduction alternatives.
• Single Failure Point: a single item of hardware, failure of which would lead to loss of life, vehicle, or mission.

Safety and Hazard Analysis

• System Hazard Analysis: formal analysis of a system and its interrelationships to determine hazards and suggest ways to reduce them.
• Common Cause Failure Analysis: identifies a single event or causal factor common to multiple components.
• Sneak Circuit Analysis: determines unintended energy routes that can allow undesired functions to occur.
• Inductive analysis methods: start from known causes and identify possible effects (FMEA).
• Deductive analysis methods: start from known effects and seek possible causes (FTA).

Safety Management

• Preliminary Hazard Analysis: initial hazard evaluation, used at the beginning stages of product development.
• Success Rate: successes / attempts.
• Failure Rate: 1 failure / attempts.
• Series R failure: sum of R.
• Parallel failure: R1XR2…..RN.

Safety Performance Metrics

• Compensation cost: gross /Profit margin %.
• Loss ratio: losses /(E modifier X Manual premium).
• CBA Ratio: Benefits /Cost, should be above 1.

Behavior-Based Safety

• Process: form assessment teams, extract behaviors involved in past accidents, develop definitions, compile datasheets, determine observation boundaries, train observers, gather data, and determine barrier removal process.
• Five conditions for success: Safety Leadership, Established Integrated Safety Management System, Employee Empowerment and Participation in Safety, Organization’s Safety Culture, and Measurement and Accountability.

Auditing Principles

• ISO 19011: seven principles for auditing, including Integrity, Fair presentation, Confidentiality, Due professional care, Independence, Evidence-based approach, and Risk-based approach.

Insurance

• Insurance for low probability, high-cost events.

Identify and understand the different types of risk assessments, including dynamic risk assessments used by various workers and formal hazard analysis methods such as inductive and deductive approaches.