osh_366_w6_defining_associated_risk.pptxOSH 366 Hazard Identification and Control
Defining Associated Risk
A summary of the concepts necessary to evaluate risk
Week 9: Chapter 6
Dr. Troy A. Rawlins
Assistant Professor; Program Coordinator
Learning Goals
By the end of this chapter you should be able to:
Define risk management and its principles
Utilize a model to follow in developing the elements of a system
Classify risk using the risk matrix
Cite the importance of incorporating risk into the JHA process
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Chapter Outline
This weeks lesson will be guided by the following topics:
Defining risk management
Risk management theories and models
Ee’ considerations
The environment
Tools/equipment/materials
Management support and policies and procedures considerations
Job steps and task considerations
System Engineering Model
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Chapter Outline
This weeks lesson will be guided by the following topics:
Risk versus Benefit
Risk Management Communication
Risk Management Responsibilities/Assessment
Summary
Key Questions
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Risk Management
“Risk” can be defined as a measure of the probability of and probable severity of adverse effects.
Too many safety professionals and workers still rely on their “gut feelings” or instincts “I think” to assess events
Safety professionals must understand the need to collect risk-related data, earnestly analyze the data and make decisions based on risk assessment
Risk assessment must be incorporated into the JHA process
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Risk management principles have been around for years however have been used mostly in high-hazard industries and are designed around regulatory compliance or reported losses..
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Risk Management
Risk management is the “systematic application of management and engineering principles and uses an array of tools to control inherent hazards of specific tasks.”
Risk analysis provides a method of establishing and prioritizing events, identifying existing and potential hazards and the consequences of exposure
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Management principles to risk management include:
(1). Planning
(2). Do
(3). Check/Study
(4). Act Evaluation
What are management principles to risk management? Management principles include (1) planning, (2) Do, (3) Check/Study and (4) Act/Evaluation. This is called the Deming Cycle. Deming Cycle: Plan-Design the change or test. Step 2. Do—Carry out the change or test. Step 3. Study—Examine the effects or results of the change test… Step 4. Act—Adopt, abandon, or repeat the cycle.. What are engineering principles of risk management? Engineering principles include understanding the risk involved with each piece of machinery…tasks… how the job is done….
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Risk Management
People (workers) make decision on the false premise that “NO LOSS = NO RISK.”
Ee’s sometimes have a low perception of risk thereby putting themselves in harms way because they have never been injured.
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The first step in the JHA process is the development of a clear mental picture of the elements of the job, and the related steps and specific tasks needed to complete each specific step.
Often times the longer a worker does a job without harm the degree of the risk is reduced in the minds of the worker. In the minds of worker No Loss equals No Risk.
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Risk Management
JHA’s help safety professionals look at job tasks in different ways by identifying a combination of Ee’ actions, and environments, tools/equipment/materials.
Specific questions concerning risk include:
How often does the exposure to a specific hazards occur?
What is the frequency of the task or activity? Quantified?
What is the probability of a loss-producing event during the task or activity?
What would be the consequences of the exposure if the wrong conditions came together?
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Risk Management
Specific questions concerning risk include:
What is the potential cost a risk versus the benefit it may produce?
Do the total benefits outweigh the total cost?
Safety professionals must first develop a a clear mental picture of the elements of the job, the related steps and specific tasks needed to complete each specific steps.
***Consider if the task is routine, non-routine, training, guidelines and controls
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Group Think
Write your name on a piece of paper and write down specific step-by-step instructions for how to change a flat tire on a car on the side of the road on a two lane, foggy, rainy day….
Provide specific information in detail as to the steps and hazards associated with the driver behavior, environment tools/equipment/materials used to change the tire
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General Risk Management Theories and Models
Specific methodology must be used by safety professionals to manage risk.
Continuous risk management (CRN) is (see Fig. 6-1) methods used by NASA. It provides a framework for analyzing systems and determining the relationships between the elements that work together to perform a specific task.
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Machine
Human
Management
Media
Objectives
Fig. 6-2 5M Model of System Engineering
The 5M model of system engineering includes Media, Human, Machine, Management, and Objectives.
Media is the environment where the system will operate
Humans and machines interact to produce a successful risk assessment system
Management provides the policies and procedures that govern humans and machine
Management is often the controlling factor in the success or failure of the risk assessment
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General Risk Management Theories and Models
Adopted from the CRN model the 5M Model of Risk Management Success
The 5M Model provides a structured approach to assess the interactions that produce a successful “goal,” i.e. the completion of a task.
Each component of the model interacts in varying amounts of overlap; therefore when incident occur you must question what broke down to permit the conditions for injury to exist.
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General risk management theories and models
Adopted Key concepts of 5M model:
Es’ considerations (instead of human) which include both genders and incorporate all human demographics
Environmental considerations (instead of media) include aspects such as lighting, weather, temperature, biohazards, area obstructions, animals, terrain, etc.
Tools/Equipment/Materials considerations (instead of machines) are the various items needed to complete the job
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General risk management theories and models
Adopted Key concepts of 5M model:
Management Support for Policies/Procedures considerations provides the management commitment and the structure, policies, procedures and rules that govern the interaction between the other elements
Job (steps and tasks instead of objectives)
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Group Think
Reflecting on the changing the tires on a car:
Media: environment… Two lane road on a rainy, foggy day
Human and machine: Driver and car interaction prior to, during and after the task
Management: Policies and procedures (Objectives)…. What does the car manufacturer recommend
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Tools/Equipment/Materials
Employee Considerations
Management
Environment
Objectives
Fig. 6-2 5M Model of System Engineering
The 5M model of system engineering includes Media, Human, Machine, Management, and Objectives.
Media is the environment where the system will operate
Humans and machines interact to produce a successful risk assessment system
Management provides the policies and procedures that govern humans and machine
Management is often the controlling factor in the success or failure of the risk assessment
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Ee’ Considerations
Human factors differences in Ee’ values, personalities, skills, capabilities, etc. in reaction to their environment of workers expose them to risk. Examples include:
Error of Ee’s bypassing safety rules
Forgetting rules
Avoiding safe procedures
Safety professionals must assess the consequences of exposure and apply the correct behavioral concepts ---”motivational theory” as well as assess the physical and mental capabilities of Ee’s doing the job
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Table 6-1 Employee Considerations
| Factors | Examples |
| Selection | Individual psychological and physically trained in event proficiency, procedures, and habit (behavior) patterns |
| Performance | Awareness, pre-judgments, perceptions, task saturation, distraction, channeled attention, stress, peer pressure, confidence, insight, adaptive skills, pressure/workload, fatigue (Physical, motivational, sleep deprivation, circadian rhythm) |
| Personal | Expectancies, job satisfaction, values, families/friends, perceived pressure (over tasking) and communication skills |
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The Environment
Environmental considerations are defined as external environmental and internal conditions.
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Table 6-2 Environmental Considerations
| Factors | Examples |
| Climatic | Visibility, temperature, humidity, wind, precipitation, daylight, darkness, etc. |
| Operational | Human-made obstructions, facility design, equipment configuration, new/modified/relocated equipment reviewed, pace and flow of product or service, machine guarding etc. |
| Hygienic | Ventilation/air quality, noise/vibration, dust, and contaminants |
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Tools/Equipment/Material Consideration
Tools/equipment/material bring the items used or handled with their direct task into contact with Ee’s or others.
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Table 6-3 Tools/Materials/Material Considerations
| Factors | Examples |
| Design | Equipment and engineering reliability and performance and ergonomics |
| Maintenance | Availability of time, tools, and parts, ease of access |
| Logistics | Supply, maintenance, repair, hazardous materials and chemicals, tool and equipment purchase and design |
| Technical Data | Clear, accurate, useable, and available |
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Management Support and Policies and Procedure Considerations
Management directs the process by showing leadership and support, defining and implementing the necessary safety policies, standards, and procedures along with engineering controls.
NOTE: Management cannot completely control all aspects and rules to govern interactions, it cannot completely control all aspects of the system elements
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Table 6-4 Management Support and Policies and Procedure Considerations
| Factors | Examples |
| Management Commitment | The level of commitment from management determines the success if support for the supervision and Ee’s |
| Standards | Regulatory requirements (OSHA, EPA, DOT, etc.) company policies and procedures |
| Procedure | JHA, audit checklists, manuals, policies, rules etc. |
| Controls | Rest, restrictions, training rules/limitations excessive hours of work |
| Objectives | The desired outcome, task analysis and completion |
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Job Steps and Task Considerations
Job steps are the specific actions and movements required to achieve the successful completion through the interactions of the parts of the model. Job steps are the functions to be performed, an objective of each step.
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Table 6-5 Job Step and Task Consideration
| Factors | Examples |
| Job | An overall activity based on performing specific steps to complete each task |
| Steps | Clearly defined actions that must be taken; define how each step is completed. Movements, lifting, travel, observation…. |
| Task | A function, a series of functions, to be performed, based on the job steps, an objective. The finer details required to complete a step. |
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The System Engineering Model
Forgotten subpopulations of Ee’s that must be included in risk assessments include:
Temporary Ee’s
Relocated Ee’s
Transferred Ee’s
Often overlooked by companies because:
The company has no financial stake in their safety
Relocated and Transferred Ee’s may be erroneously thought to be “experienced” even thought they are the equivalent to a new hire.
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Risk Management Responsibilities
To have effective risk management systems—i.e. safety management system level of responsibility must be clearly defined.
Management responsibilities
Assessing risk, developing risk alternatives
Selecting risk reduction options from recommendation
Training and motivating Ee’s to use risk management techniques
Elevating risk decision to higher levels of management
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Risk Management Responsibilities
Supervisors responsibilities in risk management;
Consistently using effective risk management concepts in identifying potential hazardous events
Ensuring Ee’s follow appropriate risk control procedures
Elevating risk issues beyond their control or authority to management
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Risk Management Responsibilities
Employees role in risk management include:
Understanding, accepting and implementing all risk principles
Maintaining a constant awareness of the changing risk associated with specific procedures
Making supervision immediately aware of any unrealistic risk reduction measures
Ensuring that all coworkers follow procedures and assist in maintaining effective controls
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Risk Assessment Model
Eight (8) Step Process:
1. Define the objective
2. Define and describe the system
3. Hazard Identification and consequence of exposure
4. Risk Analysis and identify the risk
5. Risk Assessment: Group steps/task and prioritize risk
6. Decision-making developing action plans
7. Validation and control: Evaluate results of action for further planning needs
8. Modifying system/process as applicable
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1. Define Objective
2. Define and describe system
3. Hazard(s) Identification
4. Risk Analysis: Analyze hazards and risk
5. Risk Assessment: Prioritize risk
6. Decision-Making: Develop a plan
7. Validation of Controls: Evaluate
8. Modify system/Process
Risk Management
System/Process Review
JHA Documentation Development
Risk Management
Table 6-6 Eight Steps to Accomplish a Risk Management
| Process | Description | |
| 1. | Define the objective | The first step is to define the objective of the system and ask the question: What are we trying to accomplish? |
| 2. | Define and describe the system | Describe how the system elements interact: Ee’, Tool/Equipment/Materials Environment and Policies and Procedures |
| 3. | Hazard Identification: Id’ hazards and consequences of exposure | Hazards are identified by analyzing the tasks grouped by function. Problem-solving format “Who, What, Where, When, Why and How (How much? Many?) |
| 4. | Risk Analysis: Analyze hazards and identify risks | Assessment is the application of quantitative and qualitative measure to determine the level of risk involved with specific hazards, |
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Table 6-6 Eight Steps to Accomplish a Risk Management
| Process | Description | |
| 5. | Risk assessment: group steps/tasks and prioritize risks | Risk assessment combines the impact of risks and compares them against defined acceptable level criteria. Criteria can include the consolidation of risk into categories. |
| 6. | Decision-making: Developing action plans | Once a list of tasks has been prioritized the list is reviewed to determine how to address each risk beginning with the highest priority or most severe. |
| 7. | Validation and control: Evaluate the results of action for further planning needs | Evaluate the effectiveness of the action planning process. Id data to be collected etc. Evaluate residual risk as acceptable or not…. |
| 8. | Modify system/process as applicable | If the identified risk changes or action plans do not produce the intended effect, a determination must be made as to why. Was the wrong hazard addressed? Was the hazard missed? |
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Risk Assessment Model
A continuous loop or assessment, identification, prioritization, action planning/implementation and evaluation provide validation of decision, desired results and determination of the need for further action as described in Fig. 6-3 to accomplish a successful risk assessment.
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Classification and Ranking Hazards
One of the key to a successful risk management system is establishing priorities on related hazards to better communicate the various levels of risk.
Identify the most severe risk even in the following video….. Rank them in order..
https://www.youtube.com/watch?v= nrthMJkTFG4
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List job steps and tasks
Identify existing and potential hazards
Determine consequences of exposure
Identify at-risk events
Severity
Probability
Establish priority of tasks
Fig. 6-4 Overview of Establishing Task Priorities
Risk versus Opportunity
Risk is neither good or bad but is essential to progress and failure is often a key part of learning. But we must learn to balance the possible negative consequences of risk against the potential benefits.
Assess continuously what could go wrong (high-risk hazards)
Determine which risks are important
Implement strategies for dealing with identified risk
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Table 6-7 Example 1, Severity Rating
| Severity | Description |
| High | Fatality, permanent total disability, major property damage (> $10,000) or more serious consequences, potential lost workday injuries, multiple injuries |
| Medium | Permanent partial and temp. disability, major property damage (> $2,000->$10,000), or more serious physical harm |
| Low | Other serious, minor injury, lost workday, compensable minor property damage |
| Minor | No potential injury to potential first aid, medical treatment, near miss, or minor property damage (>$2,000) |
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Table 6-8 Example 1, Probability Rating
| Probability | Description |
| Frequent | Steps/Tasks occur very often, i.e. 8, 10, 12 hours per day. Likely to occur frequently |
| Probable | Steps/Tasks occur often, i.e. less than 8, 10, 12 hours per day. Will occur several times in the life of the task |
| Non-routine | Steps/Tasks occur fairly often. This task may occur each week, month, yearly. Likely to occur sometimes in the life of the task |
| Seldom | Steps/Tasks occur sometimes, sporadically or several times. Unlikely, but possible |
| Unlikely | Assume that the steps/tasks will not occur but improbably…rarely.. So unlikely that is can be assumed that it will not occur |
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| Frequent | Probable | Non-Routine | Seldom | Unlikely | |
| High | 1 | 2 | 6 | 8 | 13 |
| Medium | 3 | 5 | 7 | 12 | 15 |
| Low | 4 | 10 | 11 | 14 | 16 |
| Minor | 9 | 17 | 18 | 19 | 20 |
Classifying Hazards
Tasks
Fig. 6-5 Example1, Risk Assessment Steps in Hazard Classification
****Map the severity to the risk of each task
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| Frequent | Probable | Non-Routine | Seldom | Unlikely | |
| High | 1 | 2 | 6 | 8 | 13 |
| Medium | 3 | 5 | 7 | 12 | 15 |
| Low | 4 | 10 | 11 | 14 | 16 |
| Minor | 9 | 17 | 18 | 19 | 20 |
Classifying Hazards
Tasks
Fig. 6-5 Example1, Risk Assessment Steps in Hazard Classification
****1. Map the severity to the risk of each task
****2. Determine the Probability of each task
Table 6-9 Example 2, Probability Rating
| Probability | Occurrence | Exposure |
| Frequent | Highly likely to occur | Exposure at times |
| Probable | Probable to occur | Exposure > one per shift |
| Occasional | Possible to occur | Exposure < once per shift |
| Remote | Unlikely to occur | Exposure < once year |
| Improbable | Highly unlikely to occur | Exposure is improbable that it can’t be reasonably quantified |
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Table 6-10 Example, Severity Rating
| Severity | Description |
| Catastrophe | Fatality, major permanent impairment |
| Critical | Disability in excess of 3 months or some permanent impairment |
| Marginal | Medical Treatment case or lost time with full recovery |
| Negligible | First Aid or Minor medical treatment |
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| Catastrophic | Critical | Marginal | Negligible | |
| Frequent | HIGH | HIGH | SERIOUS | SERIOUS |
| Probable | HIGH | HIGH | SERIOUS | SERIOUS |
| Occasional | HIGH | SERIOUS | MEDIUM | LOW |
| Remote | SERIOUS | MEDIUM | MEDIUM | LOW |
| Improbable | MEDIUM | LOW | LOW | LOW |
Classifying Hazards
Severity
Fig. 6-8 Example 2,Risk Assessment Steps in Hazard Classification Identifying Severity
***Determine the probability of each task
*** Map the probability to the risk of each task
Safety Significance
Risk assessments must be treated as attachments to a safety program and must be completed to comply with regulatory requirements.----This can be accomplished though the development of a JHA.
Visible and Hidden Factors must be evaluated
Visible factors represent what the user actually sees in hazard identification
Hidden factors represent the at-risk events that usually hidden within interrelationships of process
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Pareto’s Law
80/20 rule….
80 percent of the observed defects in a product or in a process can be attributed to 20 percent of the possible cause.
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Visible Factors
Hidden Factors
Risk assessment from matrix
Safety significance of hazards
Generic
Hazard List
Hazard Priority from risk matrix
Determine hazard
Historical loss producing events data
Risk level
Pareto’s law produces a chart of hazards
Summary
Hazard recognition and assessment are fundamental to good safety management. Risk analysis principles provides a structure for the assessment, management and communication of operational risk. Safety professionals must recognize that risk analysis is an ongoing, continuously evolving and improving process.
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Summary
Risk management does not have to a complex process. There are specific principles is used for improving JHA’s.
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Key Questions
1. How do you define risk?
2. What is risk management?
3. What are some human factor considerations?
4. What are some of the environmental considerations?
5. What are some of the tools/equipment. Materials considerations?
6. What are some of the policy and procedures and management considerations?
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Key Questions
7. What are job steps and task consideration?
8. Define risk versus benefit?
9. What are the principles of risk management?
10. Why is risk management communication important?
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