17 Chapter 3 Safety Management Systems and Guidelines .... 21 Audit-driven ...22 Safety Management Audit Systems ...22 Sections, Components, and Elements...22 Internationally Used Safety
Trang 1Risk-based, Management-led, Audit-driven, SAFETY MANAGEMENT
SYSTEMS
Trang 3Risk-based, Management-led, Audit-driven,
Trang 4CRC Press
Taylor & Francis Group
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© 2017 by Taylor & Francis Group, LLC
CRC Press is an imprint of Taylor & Francis Group, an Informa business
No claim to original U.S Government works
Printed on acid-free paper
Version Date: 20161019
International Standard Book Number-13: 978-1-4987-6792-7 (Hardback)
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Trang 5Contents
List of Figures xxiii
Preface xxv
Acknowledgments xxvii
About this Book xxix
About the Author xxxi
Chapter 1 Introduction 1
Extent of the Problem 1
Safety 1
Definitions 2
Work Injury 2
Occupational Disease 2
Property Damage 2
Property Damage Is an Accident 2
Areas of Loss 2
Occupational Hygiene 3
Definition 3
Objectives of Occupational Hygiene 3
Engineering Revision 3
Accident Causation 3
Safety Management Systems (SMSs) 4
A Formalized Approach 4
Risk-based System 4
Management-led System 4
Audit-driven System .5
Control Not Consequence 5
Chapter 2 Accident Causation 7
Introduction 7
Losses 7
Near Miss Incident 7
Traditional Viewpoint 7
Importance 8
Safety Management System (SMS) 8
Costs of Accidental Loss 8
Accident Sequence 8
Failure to Assess the Risk 8
Weak or Non-existent Safety Management System 9
Accident Root Causes 9
CRC Press
Taylor & Francis Group
6000 Broken Sound Parkway NW, Suite 300
Boca Raton, FL 33487-2742
© 2017 by Taylor & Francis Group, LLC
CRC Press is an imprint of Taylor & Francis Group, an Informa business
No claim to original U.S Government works
Printed on acid-free paper
Version Date: 20161019
International Standard Book Number-13: 978-1-4987-6792-7 (Hardback)
This book contains information obtained from authentic and highly regarded sources Reasonable
efforts have been made to publish reliable data and information, but the author and publisher cannot
assume responsibility for the validity of all materials or the consequences of their use The authors and
publishers have attempted to trace the copyright holders of all material reproduced in this publication
and apologize to copyright holders if permission to publish in this form has not been obtained If any
copyright material has not been acknowledged please write and let us know so we may rectify in any
future reprint.
Except as permitted under U.S Copyright Law, no part of this book may be reprinted, reproduced,
transmitted, or utilized in any form by any electronic, mechanical, or other means, now known or
hereafter invented, including photocopying, microfilming, and recording, or in any information
stor-age or retrieval system, without written permission from the publishers.
For permission to photocopy or use material electronically from this work, please access
www.copy-right.com (http://www.copywww.copy-right.com/) or contact the Copyright Clearance Center, Inc (CCC), 222
Rosewood Drive, Danvers, MA 01923, 978-750-8400 CCC is a not-for-profit organization that
pro-vides licenses and registration for a variety of users For organizations that have been granted a
photo-copy license by the CCC, a separate system of payment has been arranged.
Trademark Notice: Product or corporate names may be trademarks or registered trademarks, and are
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Trang 6Unsafe (High-risk) Conditions and Unsafe (High-risk) Acts 10
Unsafe (High-risk) Conditions 10
Unsafe (High-risk) Acts 10
Luck Factor 1 11
Under Slightly Different Circumstances 11
Warnings 12
Potential for Loss 12
Exchange of Energy 13
Exchange of Energy but No Loss 14
Luck Factor 2 14
Types of Loss 14
Property and Equipment Damage and Business Interruption 15
Luck Factor 3 15
Cost of Accidental Loss 16
Safety Management System 17
Conclusion 17
Chapter 3 Safety Management Systems and Guidelines 19
Introduction 19
A Systems Approach to Safety 19
The Plan, Do, Check, Act Methodology 19
ISSMEC 19
Ongoing Process 20
Risk-based 21
Management-led 21
Audit-driven 22
Safety Management Audit Systems 22
Sections, Components, and Elements 22
Internationally Used Safety Management Systems 23
The NOSA 5-Star Safety and Health Management System 23
Upstream Safety Effort 23
Management by Objectives 24
The DNV GL International Safety Rating System (ISRS) 24
The British Safety Council 5-Star Health and Safety Audit System (BSC) 25
Specialized Safety Systems 26
System Safety 26
Process Safety Management (PSM) 27
Safety Management System Guidelines 27
Occupational Health and Safety Management Systems Specification (BS OHSAS 18001) 29
American National Standards Institute (ANSI) Z10–2012 29
ANSI Z10–2012 30
Trang 7Contents
International Labor Organization (ILO) 30
International Labor Organization ILO–OSH 2001 30
International Organization for Standardization (ISO) 45001—Occupational Health and Safety Management System—Requirements 31
Quality, Environment, and Risk Management Standards 31
The International Organization for Standardization (ISO) 31
ISO 9001:2015 Quality Management Standard 31
ISO 1400:2015 Environment Standard 33
ISO 31000:2009 Risk Management Standard 33
HSE and SHE or EHS? 34
Chapter 4 Risk-based Safety Management Systems 35
Failure to Assess the Risk 35
Definition 35
Control 35
Risk Management 35
Risk Assessment 36
Definition 36
Components of Risk Assessment 36
Hazard Identification 36
Hazard Burden 37
Definition 37
Hazard Prioritization 37
Hazard Profiling 38
Hazard Identification Methods 38
HAZOP (Hazard and Operability Study) 39
FMEA (Failure Mode and Effect Analysis) 39
FMECA (Failure Mode, Effect, and Criticality Analysis) 39
SWIFT (So What If It Happens?) 39
Event Tree and Fault Tree Analysis 40
Past Accidents and Near Miss Incidents 40
Lessons Learned 40
Single Root Cause Analysis (Single Loss Analysis) 40
Critical Task Identification 41
Safety System Audits 41
Brainstorming 41
Delphi Technique 41
Human Reliability Analysis (HRA) 41
Safety Inspections 41
Definition 42
Purpose of Inspections 42
Where to Inspect 42
Trang 8Types of Inspections 43
Risk Assessment Precursor 43
Regulatory Compliance 43
Third Party Inspections 43
Informal Safety Walkabout 43
Planned Inspections 44
Safety Department Inspections 44
Safety and Health Representatives’ Inspections 44
Safety Surveys 45
Safety Audit Inspections 45
Safety Review Inspections 45
Specific Equipment Inspections 45
Other Types of Inspections 45
Inspection Checklists 46
Training of Inspectors 46
Danger Tags 46
Risk Analysis 47
Definition 47
Purpose 47
Risk Score 48
Risk Matrix 48
Risk Free? 49
Risk Profile 49
Definition 49
Risk Evaluation 49
Risk Control 49
Risk Control Methods 50
Terminate 50
Tolerate 50
Transfer 51
Treat 51
Risk Register 51
Plan, Do, Check, Act (PDCA) 51
The Safety Management Control Function 52
Summary 53
Chapter 5 Management-led Safety Management Systems 55
Introduction 55
Principles of Safety Management 55
Management Leadership 55
Effective and Strong Leadership 55
Ongoing Assessment and Review 56
Visible Felt Leadership 56
Managers Lost Touch 57
Positive Behavior Reinforcement 57
Trang 9Contents
What is a Manager? 57
Basic Safety Management Functions 57
The Plan, Do, Check, Act Methodology 58
Principles of Safety Planning 58
Safety Forecasting 58
Setting Safety Objectives 59
Critical Performance Indicators (CPIs) 59
Setting Safety Policies 60
Safety Programming 60
Safety Scheduling 61
Time Span 61
Safety Budgeting 61
Establishing Safety Procedures 62
Safety Organizing 62
Appointing Employees 62
Safety Department 63
Developing Employees 64
System Integration 64
Safety Delegation 64
Creating Safety Relationships 64
Safety Authority 64
Safety Responsibility 65
Safety Accountability 65
The Functions of Directing (Leading) Safety Management Systems 66
Safety Leading 66
Creating Teams 66
Interest in Safety 67
Safety Role Model 67
Making Safety Decisions 67
Safety Communication 67
Motivation 68
Cane or Carrot? 68
Focus on the System 68
Safety Controlling 68
Identification of the Risk, and Safety Management Work to be Done 69
Safety Management System (SMS) 69
Principle of the Critical Few 69
Set Standards of Performance Measurement 70
Set Standards of Safety Authority, Responsibility, and Accountability 71
Senior Management Appointment 71
Measurement against the Standard 75
Evaluation of Conformance 77
Continual Improvement Cycle 77
Trang 10Corrective Action 77
Commendation 78
Safe Behavior Recognition 78
Summary 79
Chapter 6 Audit-driven Safety Management Systems 81
Introduction 81
Safe Work Environment Indicators 81
Safety System Review 81
Safety System Audits 81
Definitions 81
Not an Inspection 82
Reasons for Audit 82
Reactive Measurement 82
Measurement against Standards 83
Benefits of Audits 83
Recognition 83
Accident Root Causes 83
Legal Compliance Audit 84
International Companies 84
Audit Frequency 84
Example 84
Auditable Units 84
Types of Audits 85
Baseline Audit 85
Benchmarking Audit 85
External Third Party Audit 86
Self-audit 86
Informal Audit 86
Formal Audit 87
The Audit Protocol 87
Measurement 87
Element Risk or Benefit Weighting 89
The Safety System Audit Process 89
Testing the System 90
Employee Interviews 90
Questioning Technique 91
Who Should Conduct Audits? 91
The Audit Program 92
Pre-audit Documentation 92
Audit Opening Conference 93
Physical Inspection 93
Random Sampling 93
How to Do an Audit Inspection 93
Trang 11Contents
Documented Evidence Review 94
Evidence Preparation 94
Is the System Working? 94
Audit Closeout Conference 95
Audit Report 95
Summary 95
Chapter 7 Safety Leadership and Organization—Part 1 97
Safety System Components or Elements 97
Example Safety Management System (Example SMS) 97
Sections, Elements, and Sub-Elements 97
Example SMS 98
Element Standard Requirements 99
Core (Common) Elements or Components 99
Principle of the Critical Few 99
What Are Critical Elements? 100
Examples 100
Why These Elements? 100
Benefit 100
Precontact, Contact, and Post-contact Control 101
Safety Management System Basic Elements 102
Business Order and Legal Requirements 102
Management Authority, Responsibility, and Accountability 103
Definitions 103
Managers Designated as Responsible for Safety and Health (Section 1, Element 1.1) (S1, E1.1) 103
Management Safety Appointments 103
Managers 103
Supervisors 103
Safety and Health Representatives 103
Safety Department 104
Safety Department Job Purpose 104
Appointing Professionals 104
Safety Coordinator 104
Industrial (Occupational) Hygiene 105
Industrial (Occupational) Hygienist 105
Objectives 105
Safety Committee Chairperson 105
Accident Investigators 105
Fire Officials 106
Other Appointments 106
Occupational Safety and Health Policy (The Policy Statement) (S1, E1.2) 106
Trang 12Safety Performance Indicators (SPIs) and Objectives (S1, E1.3) 107
Measurements 107
Proactive, Upstream Safety Performance Indicators 107
Safety and Health Committees (S1, E1.4) 108
Support 108
Types of Committees 108
Executive Safety Committee (EXCO) 108
Departmental Safety Committees 109
Special Committees 109
Joint Safety Committee 109
Accident and Near Miss Incident Investigation Committee 110
Safety and Health Representative Committees 110
Functions of Safety and Health Committees 110
Safety Committee Constitution 110
Committee Purpose 111
Recognition 111
Management of Change (S1, E1.5) 111
Chapter 8 Safety Leadership and Organization—Part 2 113
Example SMS: Section 1 113
Safety and Health Training (Section 1, Element 1.6) (S1, E1.6) 113
Types of Safety Training 113
Safety Induction or Orientation 113
Refresher Training 114
Other Training 114
Work Permits (S1, E1.7) 115
Objectives of Work Permits 115
Hot Work Permit 116
Electrical or Mechanical Work Permits 116
Confined Space Entry Permits 116
Work at Height Permit 116
Diving Permit 116
Excavation Permit 116
Other Permits 117
Organization Risk Management (S1, E1.8) 117
Hazard Identification 117
Risk Assessment 117
Daily Task Risk Assessment 118
Written Safe Work Procedures (S1, E1.9) 119
Objective 119
Trang 13Contents
Planned Job Observation (S1, E1.10) 119
Objective 119
Planned Job Observation (PJO) 119
Priority 120
Safety Inspections (S1, E1.11) 120
Objective 120
Safety Suggestion Schemes (S1, E1.12) 120
Objective 120
Employee Job Specifications (S1, E1.13) 121
Medical Examinations (S1, E1.14) 121
Off-the-Job Safety (S1, E1.15) 121
Objective 121
Off-the-Job Accident and Injury Reporting 122
Safety Newsletters (S1, E1.16) 122
Safety and Health Representatives (S1, E1.17) 122
Safety Management System Audits (S1, E1.18) 123
Objective 123
Audit Protocols 124
Internal Self-Audits 124
External Third Party Audits (S1, E1.19) 124
Safety Publicity Boards (S1, E1.20) 124
Objective 124
Publicity, Bulletins, Newsletters, Safety DVDs, etc (S1, E1.21) 126
Meeting Protocol 126
Safety Visual Media (DVDs and Electronic Videos) 126
Safety Competitions (S1, E1.22) 126
Toolbox Talks, Safety Briefings, etc (S1, E1.23) 127
Safety Hour and Stand-downs 127
Safety Specifications: Purchasing and Engineering Control, New Plant, and Contractors (S1, E1.24) 127
Due Diligence 127
Contractor Safety 128
Pre-bid Document 128
Safety Orientation 128
Safety Rule Book (S1, E1.25) 129
Safety Reference Library (S1, E1.26) 129
Sharing Information 129
Public Safety (S1, E1.27) 129
Annual Report—Safety and Health (S1, E1.28) 130
Objective 130
Preparation 130
Trang 14Safety System Documentation Control (S1, E1.29) 130
Continual Improvement (S1, E1.30) 131
Chapter 9 Electrical, Mechanical, and Personal Safeguarding—Part 1 133
Example SMS: Section 2 133
Introduction 133
Portable Electrical Equipment (Section 2, Element 2.1) (S2, E2.1) 133
Requirements 133
Ground-fault Interrupters (S2, E2.2) 134
Objective 134
Portable Units 135
Fixed Electrical Installation (S2, E2.3) 135
Objective 135
Standard 135
Electrical Arc Flash Protection Program 135
Machine Guarding (S2, E2.4) 136
Classes of Machine Guards 136
Ladders, Stairs, Walkways, and Scaffolding (S2, E2.5) 137
Objective 137
Ladder Safety 137
Responsibility and Accountability 137
Training 138
Need for Ladders 138
Purchasing 138
Correct Usage 138
Storage of Ladders 139
Electrical Ladder Safety 139
Ladder Inspections 139
Fixed Ladders 139
Stairways 139
Scaffolding 140
Safety Signs (S5, E2.6) 140
Signage Survey 140
Categories of Safety Signs 141
Symbolic Safety Signs 141
Traffic Signs 141
PPE Usage Signs 142
Hazard Warning Signs 142
Directional and Information Signs 142
Signs to Promote Safety 142
Trang 15Contents
Hazardous Substance Control (S2, E2.7) 142
Dangers 143
Hazardous Substance Control System 143
Step 1 Identify 143
Step 2 Appoint a Coordinator 143
Step 3 Record 143
Step 4 Controlled Purchasing 144
Step 5 Disposal 144
Step 6 Training 144
Step 7 Operating Procedures 144
Step 8 Emergency 145
Welding and Cutting Safety (S2, E2.8) 145
Hand Tools (S2, E2.9) 145
Hand Tool Standards 145
Hand Tool Storage 145
Training 146
Inspections 146
Powered Hand Tools (S2, E2.10) 146
Chapter 10 Electrical, Mechanical, and Personal Safeguarding—Part 2 147
Lockout, Tagout, and Tryout (Energy Control) (Section 2, Element 2.11) (S2, E2.11) 147
Standard Established 147
Isolate, Lock, Tag, and Check 147
All Sources of Energy 147
Hold Tags 148
Labeling of Switches, Controllers, Isolators, Disconnects, and Valves (S2, E2.12) 148
Personal Protective Equipment (PPE) (S2, E2.13) 149
PPE Risk Matrix 150
Acceptance of Usage 150
Fall Protection (S2, E2.14) 150
Body Wear 150
Connecting Device 151
Positioning Device Systems 151
Travel Restraint 151
Responsibility and Accountability 151
Industrial (Occupational) Hygiene Elements 151
Ergonomics (S2, E2.15) 152
Hearing Conservation (S2, E2.16) 152
Trang 16Occupational Stress Management Program (S2, E2.17) 152
High-risk Acts 153
Heat and Cold Stress 153
Illumination (S5, E5.7) 153
Ventilation and Air Quality (S5, E5.8) 154
Respiratory Protection Program and Equipment (S2, E2.18) 154
Respiratory Protection Program 154
Job Safe Practices (JSPs) 154
Bloodborne Pathogens Program (S2, E2.19) 155
Food Safety Program (S2, E2.20) 155
Hygiene Amenities (S5, E5.9) 156
Lifting Equipment, Gear, and Records (S2, E2.21) 156
Major Lifts 157
Responsibility and Accountability 157
Operator Training 157
Inspections 157
Compressed Gas Cylinders: Pressure Vessels and Records (S2, E2.22) 158
Vessels Under Pressure 158
Motorized Equipment: Checklist, Licensing (S2, E2.23) 158
Chapter 11 Emergency Preparedness, Fire Prevention, and Protection 161
Example SMS: Section 3 161
World’s Best Practice 161
Fire Prevention and Protection Coordinator (Section 3, Element 3.1) (S3, E3.1) 161
Fire Risk Assessment (S3, E3.2) 162
Fire Equipment 162
Inspections 163
Fire Extinguishing Equipment (S3, E3.3) 163
Locations Marked, Floor Clear (S3, E3.4) 163
Maintenance of Equipment (S3, E3.5) 163
Qualified Persons 163
Inspections 164
Standby Equipment 164
Pressure Tests 164
Storage of Flammable and Explosive Material (S3, E3.6) 164
Flammable Liquid Stores 164
Storage 165
Labeling and Signs 165
Flammable Liquid Cabinets 165
Usage 165
First Aid Measures 166
Trang 17Contents
Alarm Systems (S3, E3.7) 166
Requirements 166
Fire Fighting Drill and Instruction (S3, E3.8) 166
Fire Teams 166
Fire Drills 167
Emergency Evacuations 167
Emergency Planning (S3, E3.9) 167
Responsibility and Accountability 168
Emergency Plan 168
Incident Commander 168
Emergency Instructions 169
First Aid, Emergency Responder, and Facilities (S3, E3.10) 169
First Aid (First Responder) Training (S3, E3.11) 169
Security System (S3, E3.12) 169
Chapter 12 Accident and Near Miss Incident Recording and Investigation 171
Example SMS: Section 4 171
Organization Failures 171
Confusion 171
Definitions of an Accident 171
Near Miss Incidents 172
Defining a Near Miss Incident 172
Occupational Injury and Disease Recording (Section 4, Element 4.1) (S4, E4.1) 173
Injury and Disease Classification 173
Responsibility and Accountability 173
Classification Guide 173
Injury and Disease Records or Registers 174
Internal Accident and Near Miss Incident Reporting and Recording (S4, E4.2) 174
Internal Accident Reporting 174
Internal Accident and Near Miss Incident Investigation (S4, E4.3) 174
Post-contact versus Precontact 174
Benefits of Accident and Near Miss Incident Investigation 175
Personal Factors 175
Job or Environmental Factors 175
Multiple Causes 175
Investigation Standard and Form 176
Near Miss Incident Reporting System (S4, E4.4) 176
Booklets 176
Occupational Injury, Disease, and Damage Statistics (S4, E4.5) 177
Loss Statistics (S4, E4.6) 177
Cost of Risk (S4, E4.7) 177
Trang 18Near Miss Incident and Accident Recall (S4, E4.8) 177
Tip of the Iceberg 177
Learning from Past Experience 178
Near Miss Incident 178
Accident and Near Miss Incident Recall 178
Procedure for Recall 178
Responsibility and Accountability 179
Return to Work Program (S4, E4.9) 179
Chapter 13 Work Environment Conditions 181
Example SMS: Section 5 181
Business Order (Good Housekeeping) (Section 5, Element 5.1) (S5, E5.1) 181
Indication of Safety 181
Benefits of Order 182
Demarcation of Aisles, Walkways, Storage, and Work Areas (S5, E5.2) 182
Aisles and Walkways 182
Stacking and Storage 182
Fire and Emergency Equipment 183
Traffic Demarcation 183
Scrap, Waste, and Refuse Removal (S5, E5.3) 183
Trash Bins 183
Recyclable and Salvage Material Bins 183
Regular, Controlled Removal 184
Demarcation 184
Stacking and Storage Practices (S5, E5.4) 184
Responsibility and Accountability 184
Inspections 184
Color Coding: Plant and Pipelines (S5, E5.5) 185
Yellow 185
Red 185
Green 186
Orange 186
Pipeline Color Code 186
Structures, Buildings, Floors, and Openings (S5, E5.6) 186
Buildings 186
Floors 187
Delegation of Responsibility 187
Good Lighting: Natural and Artificial (S5, E5.7) 187
Illumination 187
Ventilation: Natural and Artificial (S5, E5.8) 188
Ventilation and Air Quality 188
Trang 19Contents
Plant Hygiene Facilities (S5, E5.9) 188
Hygiene Amenities 188
Bathrooms, Change Rooms, and Restrooms 189
Toilets and Urinals 189
Hand and Face Washing Facilities 189
Trash Containers 189
Lunch Rooms and Cafeteria 189
Kitchens 190
Water Dispensers 190
Emergency Showers 190
Emergency Eyewashes 190
Pollution: Air, Ground, and Water (S5, E5.10) 190
Objective 190
Responsibilities 191
Standards 191
Chapter 14 Safety Management System Implementation Strategy 193
Safety Control 193
Definition 193
Defining the Organization’s Safety Philosophy 194
The Safety and Health Policy Statement 195
Publicizing the Policy 196
Action Plan 196
Time Span 196
Guideline Choice 196
Management and Employee Awareness Training 197
Integrating Safety and Health 197
Hazard Identification, Elimination, and Risk Assessment 197
The Hazard Burden 197
Hazard Elimination 197
Risk Assessment Inspections 198
Safety Management System 198
Change Agent 198
Baseline Audit 199
Legal Compliance 199
Safety Management System Standards 199
Set Standards of Responsibility and Accountability 199
Implementation of Standards 201
Inspections 201
Correction 202
Follow Up 202
Safety System Audits 202
Safety Politics 202
Blame the System 202
Trang 20Chapter 15 Measuring Performance 205
Measurements of Safety Performance 205
Injury Statistics 205
Too Much Emphasis 205
Downstream Measures (Lagging Indicators, Post-contact) 206
Disabling Injury Frequency Rate (DIFR) 206
Disabling Injury Incidence Rate (DIIR) 207
Disabling, or Lost Time Injury Severity Rate (DISR) 207
Disabling Injury Index 207
Fatality Rate 207
Million Work-hour Periods 208
Off-the-Job Injury Rate 208
Number of Shifts Lost 208
Fatality Free Shifts 208
Body Parts 208
Accident Ratio 209
Most Significant Statistic 210
Upstream Measures (Leading or Precontact Indicators) 210
Safety System Audits 210
Inspections 210
Near Miss Incidents Rectified 210
Employees Trained 211
Toolbox Talks 211
Safety Committee Meetings 211
Evacuation Drills 211
Element Standards Updated 211
Safety System Development and Implementation 212
Combination 213
Chapter 16 Case Study 215
The Organization 215
Situation as It Was 215
Strategy 215
Safety Structure 216
Safety Manager 216
Baseline Audits 216
Near Miss Incident Success 217
First Elements 217
Newsletter 217
Logo and Identity 217
Training of Staff 218
Regional Committees 218
Contractors 218
Trang 21Contents
Regional Seminars 218
Management Sets the Example 218
Visits to the Workplace 219
Some Highlights 219
Ongoing 219
References 221
Index 223
Trang 23waterline 13
Figure 2.8 An exchange of energy and a contact results in a loss 14 Figure 2.9 Luck Factor 2 15 Figure 2.10 Dependent on Luck Factor 2, the outcome could be injury,
damage, disruption, or a combination of two or all three 15
Figure 2.11 The severity of an injury is determined by Luck Factor 3 16 Figure 2.12 Every accidental loss incurs costs to the organization 16 Figure 2.13 Visible and hidden accident costs 17 Figure 2.14 A safety management system stabilizes the factors that lead to
accidental loss 17
Figure 3.1 The Plan, Do, Check, Act (PDCA) methodology 20 Figure 3.2 Another example of a process approach to safety management 20 Figure 3.3 The ISSMEC management technique 21 Figure 4.1 Failure Mode and Effect Analysis (FMEA) 39 Figure 4.2 Analyzing risks by weighing probability with severity and
frequency 47
Figure 4.3 A simple risk matrix 48 Figure 4.4 The safety hierarchy of hazard control 50 Figure 4.5 Plan, Do, Check, Act (PDCA) process 52 Figure 5.1 Safety planning is the first step in the Plan, Do, Check, Act
process 59
Trang 24Figure 5.2 An example of a safety management system action plan 61
Figure 5.3 Safety organizing forms part of the Do in the PDCA
sequence 63
Figure 5.4 Identify, Set Standards, Measure, Evaluate, Correct, Commend
(ISSMECC) 69
Figure 5.5 The Check segment of the PDCA cycle 76
Figure 5.6 The continuous improvement cycle 77
Figure 5.7 The Act phase of PDCA methodology 78 Figure 6.1 The Check stage of the PDCA methodology 82
Figure 6.2 An example of an audit protocol 88 Figure 6.3 An example of risk or benefit weightings for 5 Elements 89 Figure 6.4 Audit scores for Elements 1–7 over a 3-year period 90 Figure 6.5 The safety system audit process 92 Figure 7.1 The 30 Elements of Section 1, of the Example SMS 98 Figure 7.2 Precontact, contact, and post-contact control 102 Figure 8.1 Section 1 of the Example SMS contains 30 Elements 114 Figure 8.2 A daily or task risk assessment 118 Figure 8.3 Example of one element of an Audit Protocol (Shown with
scores 1–5 for each minimum standard detail) 125
Figure 9.1 Section 2 of the Example SMS (23 Elements) 134 Figure 10.1 Section 2 of the Example SMS (23 elements) 148 Figure 10.2 An example of a PPE risk matrix 150 Figure 10.3 An extract from a food safety plan 156 Figure 11.1 Section 3 of the Example SMS 162 Figure 12.1 Section 4 of the Example SMS 172 Figure 13.1 Section 5 of the Example SMS has 10 elements 182 Figure 14.1 Safety system implementation sequence 194 Figure 15.1 Leading and lagging indicators 206 Figure 15.2 A 12-month moving average disabling injury incidence rate 206 Figure 15.3 Calculating the accident ratio 209 Figure 15.4 Measuring the safety system development and degree of
implementation 212
Trang 25Preface
This book explains how accidents are caused and how they can be prevented by the implementation of a safety management system (SMS) that is based on risks arising from the business, which is initiated and led by management at all levels, and which
is constantly monitored by audit processes It explains how accidental losses are caused, and how a safety system reduces the probability of them occurring
Practical and basic risk assessment techniques are discussed, as well as the ities, responsibilities, and accountabilities management needs to assign to make a safety system function successfully The safety system audit process is explained in simple terms, and its importance in continual improvement is highlighted
author-Using an example safety management system (Example SMS) comprising
5 sections and 84 elements, this book explains each element’s role in the system in detail Examples of standards are given, showing the link between safety theory and practice This book shows how management principles are translated into practical actions at the workplace
An introduction is given to national and international Guidelines for safety and health management systems, and the Example SMS used in this book shows how to comply with the requirements of these Guidelines
While traditional injury rates and downstream measurements tell us little about the state of safety at an organization, an SMS is a proactive set of processes that are management performances that can constantly be measured
Trang 27Acknowledgments
This publication is based on many years of work implementing safety management systems (SMSs) at many organizations, in different countries It is also based on nearly 40 years of advising and guiding others on how to implement an SMS at their organizations Much of the knowledge and information in this book was gained from the people that I have associated with, and worked with in the safety profession
I thank them and my mentors for sharing their knowledge and experience with me
It was a pleasure knowing and working with you I pay tribute to the safety pioneers that I have quoted in this book They need to be thanked for their diligent research into safety management, and especially the pioneering of SMSs
For making this publication possible I thank my wife, Maureen McKinnon, who spent numerous weeks editing this manuscript This support warrants my deep gratitude
Note: Every effort has been made to trace rights holders of quoted passages and
researched material, but if any have been inadvertently overlooked, the publishers would be pleased to make the necessary arrangements at the first opportunity
Trang 29About this Book
Risk-based, Management-led, Audit-driven, Safety Management Systems explains what a safety management system (SMS) is, and how it reduces risk in order to pre-vent accidental losses in an organization It advocates the integration of safety and health into the day-to-day management of the enterprise as a value, rather than an add-on
This book refers to international Guidelines on SMSs, as well as the proposed International Organization for Standardization (ISO) 45001, which could soon become the international safety benchmark for organizations worldwide
Emphasis is based on the identification and control of risk as the basis for an SMS Examples of a simple risk matrix and daily task risk assessment are given in this book, as well as a simplified method of assessing, analyzing, and controlling risks
In no mean terms, this book emphasizes that the safety movement must be ated, led, and maintained by management at all levels The concepts of safety author-ity, responsibility, and accountability are described as being the key ingredients to safety system success Safety system audits are expounded in simple terms, and lead-ing safety performance indicators are suggested as the most important measure-ments in preference to lagging indicators
initi-An example, 5-section, 84-element SMS, is used throughout the book to explain the components and elements of an SMS Each of the 84 elements is described in detail as to how they dovetail into the system Risk ranking of elements, dependent
on risk or benefit, is also simplified
Using simple, understandable examples, the chapters give a complete overview
of an SMS and its components The Example SMS used in this book conforms to most of the SMS Guidelines published by leading world authorities, and enables an organization to structure its own world class SMS, based on this example
Trang 31About the Author
Ron C McKinnon, CSP (1999–2016), is an internationally experienced and
acknowledged safety professional, author, motivator, and presenter He has been extensively involved in safety research concerning the cause, effect, and control of accidental loss, near miss incident reporting, accident investigation, safety promo-tion, and the implementation of safety management systems for the last 40 years.Ron McKinnon received a national diploma in technical teaching from the Pretoria College for Advanced Technical Education, a diploma in safety manage-ment from the Technikon SA, South Africa, and a management development diploma (MDP) from the University of South Africa, Pretoria He received a master’s degree
in safety and health engineering from the Columbia Southern University, Alabama.From 1973 to 1994, Ron McKinnon worked at the National Occupational Safety Association of South Africa (NOSA), Pretoria, South Africa, in various capacities, including general manager of operations and then marketing He is experienced in the implementation of safety systems, auditing safety systems, and safety culture change interventions During his tenure with NOSA, he implemented safety systems and conducted training in numerous countries
From 1995 to 1999, Ron McKinnon was safety consultant and safety advisor to Magma Copper and BHP Copper North America, respectively At BHP Copper he was a catalyst in the safety revolution in the copper industry that resulted in an 82% reduction in the injury rate, and an 80% reduction in the severity rate
In 2001, he spent two years in Zambia introducing world’s best safety practices
to the copper mining industry Thereafter he accepted a two-year contract in the Kingdom of Bahrain, Arabian Gulf, where he successfully facilitated a safety cul-ture change at the country’s second largest employer
After spending two years in Hawaii at the Gemini Observatory, he returned to South Africa He recently contracted as the principal consultant to Saudi Electricity Company (SEC), Riyadh, to implement a world’s best practice safety management sys-tem (Aligned to OHSAS 18,001), throughout its operations across the Kingdom involv-ing 33,000 employees, 27,000 contractors, 9 consultants, and 70 Safety Engineers
Ron C McKinnon is the author of Cause, Effect and Control of Accidental Loss,
published by CRC Press/Taylor & Francis Group in 2000 He is also the author
of Changing Safety’s Paradigms, published in 2007 by Government Institutes (USA), as well as Safety Management, Near Miss Identification, Recognition and
Investigation, published by CRC Press/Taylor & Francis Group in February 2012
In 2014, Changing the Workplace Safety Culture was also published by CRC Press/
Taylor & Francis Group
Ron McKinnon is a retired professional member of the ASSE (American Society
of Safety Engineers), Tucson Chapter Past President, and an honorary member of the Institute of Safety Management He is currently a safety consultant, safety culture change agent, motivator, and trainer, is often a keynote speaker at international safety conferences, and currently consults to international organizations
Trang 33Introduction
EXTENT OF THE PROBLEM
According to the International Labor Organization (ILO), statistics published in 2015, approximately 2.3 million people died as a result of work-related accidents or diseases (ill health) in 2013 Also, according to the ILO, some 600,000 lives would be saved every year if available safety practices and appropriate information were used.They quote:
• Every year, 250 million accidents occur causing absence from work, the equivalent of 685,000 accidents every day, 475 every minute, 8 every second
• Working children suffer 12 million occupational accidents and an estimated 12,000 of them are fatal
• 3000 people are killed by work every day, 2 every minute
• Asbestos alone kills more than 100,000 workers every year (ILO website, 2016a)
The National Safety Council’s (USA) publication, Injury Facts (2013), lists
uninten-tional-injury-related deaths for the year 2011 at 3,905, and medically consulted work injuries at 5,000,000 The total cost of unintentional injuries is given as $753 billion and the comprehensive loss to the U.S economy is given as $4,364.5 billion for
2011 Work injuries alone cost $188 billion for the same year (NSC, Injury Facts,
2013, p 8)
These are shocking statistics and a heavy burden for society and the economy Implementing a strong occupational health and safety management system (SMS) helps organizations reduce accidents and ill health, avoid costly prosecutions, per-haps even reduce insurance costs, and create a positive culture in the organization when its people see that their needs are being taken into account
SAFETY
Safety is the control of all forms of accidental loss by identifying, analyzing, and reducing risks The main areas of loss which are prevented or reduced by a safety management system (SMS) are as follows:
• Injuries and fatalities to persons
• Occupational diseases and illnesses
• Damage to equipment and property
• Harm to the environment
• Hidden losses such as poor quality, company reputation, etc
1
Trang 34D efinitions
Work Injury
A work injury is any injury suffered by a person, and which arises out of, and during the course of, his or her normal employment The definition of work injury includes work related disability, occupational disease, and occupational illness
Occupational Disease
An occupational disease is a disease caused by environmental factors, the exposure
to which is peculiar to a particular process, trade, or occupation, and to which an employee is not normally subjected, or exposed to, outside of, or away from, his or her normal place of employment
Property Damage Is an Accident
Property damage accidents, therefore, should receive the same attention as producing accidents to identify and rectify the failure in the system Some of the international safety management system Guidelines discussed in this publication do not include property damage in their recommendations, as they state it does not form part of the safety, health, and welfare protection of employees So what happens if a cargo container falls and lands near a group of workers? There is no injury, fatality,
injury-or illness as a consequence, so accinjury-ording to some Guidelines this is not a concern for the safety management system Yet, if the container happened to have fallen a few feet to the left or right, there would have been serious injury to one or more of the employees who were under the container The difference between the outcomes
of the same accidental event is fortuitous, the event is what should be investigated irrespective of the consequent
A safety management system should consider that property damage accidents are accidents which should have been prevented and which, under slightly differ-ent circumstances, could have caused injury, fatality, or illness Because no fatality, injury, or illness took place, is only fortuitous The root cause of the system failure (the accident) is what needs to be investigated and treated, to prevent a recurrence, irrespective of the outcome
Areas of Loss
The main areas of loss are to people in the form of death, injury, permanent ability, or disfigurement along with the loss of earning power and, in some cases, quality of life Another area of accidental loss is damage to equipment, machinery, and product caused by accidents These losses are merely the tip of the iceberg
Trang 35Introduction
The hidden layer is the indirect costs of these losses which are not compensated or covered by insurance, but which still cost the organization time and resources The totally hidden costs of accidents are difficult to quantify financially They include losses such as employee morale, company reputation, legal litigation, fines, etc
OCCUPATIONAL HYGIENE
D efinition
Most sources, including IPM Safety, define occupational hygiene as the science
and art devoted to the anticipation, recognition, identification, evaluation, and control of environmental stresses arising out of a workplace, which may cause ill- ness, impaired well-being, discomfort and inefficiency of employees or members
of the surrounding community (IPM Safety website) Occupational hygiene is also
described as the science dealing with the influence of the work environment on the health of employees
o bjectives of o ccupational H ygiene
The objective of occupational hygiene is to recognize occupational health hazards, evaluate the severity of these hazards, and to eliminate them by instituting control measures Some stresses include chemical hazards, exposure to noise, to airborne contaminates, ergonomic stresses, etc As with any exposure, excessive exposure to any one, or combination of the above agencies could result in occupational disease, injury, or other adverse symptoms Where the occupational health hazard cannot be eliminated entirely, occupational hygiene control methods must aim to reduce the exposure to the hazard and institute measures to reduce the hazard
ENGINEERING REVISION
The easiest form of safety and health control is engineering revision, where the equipment is modified and the process is completely contained, suppressed, venti-lated, or reduced This does not always work and may prove to be too costly
Limiting the exposure of workers to the hazard is also an acceptable control sure, but this may reduce the production and may also prove too expensive Providing personal protective equipment such as respirators, earmuffs, etc., is a method of con-trol, but is perhaps the least effective and should be viewed as a last resort
mea-ACCIDENT CAUSATION
Accidents and their consequences can be prevented and the resultant losses spared
if enough effort is applied to control workplace risks Research has shown that less than 2% of undesired events are beyond local control, and these include happenings such as floods, earthquakes, tsunamis, etc The vast majority of accidents can be prevented by implementing controls, checks, and balances in the form of a struc-tured safety and health management system Falls of employees to a lower level is
Trang 36a leading cause of work fatalities Can these be prevented? The answer is yes, they can Modern technology and fall restraint and fall arrest systems are available and, if applied and enforced by management and worker organizations, can prevent workers from falling to their deaths The cost of fall protection outweighs the cost of a work fatality and should make good business sense.
SAFETY MANAGEMENT SYSTEMS (SMSs)
Safety and health management systems identify and treat accident causes and not symptoms To guide management in controlling areas of potential loss, and to set standards, there are existing safety and health management systems that provide excellent system frameworks These are sometimes referred to as structured safety
programs, but the preferable term is safety management systems, as they do follow a
systems approach and methodology to prevent loss These systems prescribe certain elements under certain headings and give details of what aspects of a safety manage-ment system should be instituted as a foundation for the prevention of accidental loss
A FORMALIZED APPROACH
A safety and health management system is a formalized approach to health and safety management through use of a framework that aids the identification and control of safety and health risks Through routine monitoring, an organization checks com-pliance against its own documented safety and health management system (safety management system), as well as against legislative and regulatory compliances
A well-designed and operated safety management system reduces accident potential and improves the overall management processes of an organization
RISK-BASED SYSTEM
The safety management system must be a risk-based system That means it must be aligned to the risks arising out of the workplace Emphasis on certain safety manage-ment system elements will be different according to the hazards associated with the
work and the processes used There is unfortunately no one size fits all safety
man-agement system that will be ideal for all mines, industries, and other workplaces; therefore they should be seen as a framework on which to build a risk-specific system for the industry The main aim of any safety system is to reduce risk, therefore the system must be aligned to those risks
MANAGEMENT-LED SYSTEM
The key factor in safety is management leadership The safety management system must be initiated, led, and supported by senior management as well as line and front line management
Safety systems that originate and which are maintained in the safety ment will have little effect on the organization It is estimated that about 15% of
depart-a compdepart-any’s problems cdepart-an be controlled by employees, but 85% can be controlled
Trang 37Introduction
by management This means that most safety problems are management problems Management will also realize that if they can manage the intricate and difficult con-cept of safety, then they will be able to manage other aspects of management easier,
as managing safety enables them to manage more effectively
AUDIT-DRIVEN SYSTEM
What gets measured usually gets done Safety is an intangible concept and is ditionally measured after the fact—once a loss has occurred The safety manage-ment system must be an audit-driven system, which calls for ongoing measurements against the standards and quantification of the results
tra-A safety system converts safety intended actions into proactive activities and assigns responsibility and accountability for those actions, very similar to what a manager does with his or her subordinates Each activity, usually included in the safety system elements, can then be scored on a 1–5 scale as to whether it has been achieved or not At the end of the day, by means of audit, the entire system can be quantified by the score allocated The safety system’s effectiveness has been mea-sured The elements that scored less than full points are highlighted as areas that need improvement
CONTROL NOT CONSEQUENCE
The following chapter (Chapter 2) analyzes the components of an accident sequence and shows that by identifying the risk at a workplace and implementing a structured, risk-based system, management-led and audit-driven safety management system, these events can be prevented The accident sequence shows that often the outcome
of an undesired event can be swayed by good or bad fortune, and that safety surements of consequent are not accurate indicators of the safety at an organization
mea-An organization must focus on control and not consequence
Trang 39Losses normally occur as a result of accidents An accident is defined by Frank Bird Jr
as: an undesired event, which results in harm to people, damage to property, or an
interruption of the work process (Bird and Germain, 1992, p 18).
Accidents are caused by a breakdown in the management control system (the safety and health management system), and the end result of every accident is some form of loss The four main areas of loss are people, equipment, property, and environment
NEAR MISS INCIDENT
There is confusion as to the differentiation between accidents and incidents A near miss incident is defined as: an undesired event, which, under slightly different cir-
cumstances, could have resulted in a loss This means that accidents do result in losses, but near miss incidents do not result in any loss They do, however, offer a
warning as to the potential of loss occurring.
TRADITIONAL VIEWPOINT
In general, organizations do not normally acknowledge having experienced an dent until there is severe injury or illness to a person or persons Most undesirable events do not end up in any loss at all The majority of accidents cause property damage and minor injury, and less than 2% of accidental occurrences result in seri-ous injury Based on the CECAL theory, the end result of an undesired event is often swayed by fortuity, or Luck Factors, over which an organization has little or
acci-no control
2
Trang 40The loss causation analysis is of vital importance to the safety management sion It calls for a different way of looking at, measuring, and promoting the preven-tion of occupational injuries, damage, and diseases The theory clearly demonstrates that traditional forms of safety measurement, and the almost disregard of near miss incidents, has to change before losses, such as the injury toll, can be reduced
profes-SAFETY MANAGEMENT SYSTEM (SMS)
The CECAL sequence proposed that all forms of accidental loss are triggered by a failure to identify the hazards, to analyze and evaluate the risks, and to institute con-trol measures in the form of a structured and sustained safety management system This in turn leads to weaknesses in the management system, which gives rise to job and personal factors, commonly referred to as the root causes of accidents These root causes prompt high-risk acts to be committed and in turn allow unsafe conditions to
be created Once this situation exists, Luck Factor 1 determines whether there will be
a contact with a source of energy or not No contact with a source of energy results in
a near miss incident, which is commonly referred to as, “nothing happened.”
Should there be contact with a source of energy, Luck Factor 2 then determines the outcome of the exchange of energy The outcome could be injury, property dam-age, or business interruption or a combination of two or all three If the exchange
of energy causes personal injury, Luck Factor 3 then determines the severity of the injury The last domino in the sequence depicts the costs that are incurred as a result
of the losses
COSTS OF ACCIDENTAL LOSS
Examples of recent costs incurred include the BP Deepwater Horizon oil spill By February 2013, criminal and civil settlements and payments to a trust fund had cost the company $42.2 billion A U.S District Court judge ruled that BP was primarily responsible for the oil spill because of its gross negligence and reckless conduct, and
in July 2015, BP agreed to pay $18.7 billion in fines, the largest corporate settlement
in U.S history (Fortune.com, 2015)
ACCIDENT SEQUENCE
Accidents are caused by a sequence of events A series of blunders A combination
of circumstances, and activities, culminate in a loss The loss may be an injury, age, or business interruption or a combination thereof
dam-FAILURE TO ASSESS THE RISK
The accident sequence is triggered by a failure to adequately identify the hazards and assess the risks they pose, which in turn causes a lack of, or inadequate control in the form of a weak or non-existent safety management system If the risks posed by