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ADVANCED SAFETYMANAGEMENTFOCUSING ON Z10AND SERIOUS INJURYPREVENTIONFRED A. MANUELE, CSP, PEPRESIDENT, HAZARDS LIMITEDJOHN WILEY & SONS, INC.

ADVANCED SAFETYMANAGEMENTFOCUSING ON Z10AND SERIOUS INJURYPREVENTION

ADVANCED SAFETYMANAGEMENTFOCUSING ON Z10AND SERIOUS INJURYPREVENTIONFRED A. MANUELE, CSP, PEPRESIDENT, HAZARDS LIMITEDJOHN WILEY & SONS, INC.

Copyright 2008 by John Wiley & Sons, Inc. All rights reservedPublished by John Wiley & Sons, Inc., Hoboken, New Jersey.Published simultaneously in CanadaNo part of this publication may be reproduced, stored in a retrieval system, or transmitted in any formor by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except aspermitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the priorwritten permission of the Publisher, or authorization through payment of the appropriate per-copy feeto the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400,fax (978) 750-4470, or on the web at www.copyright.com. Requests to the Publisher for permissionshould be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street,Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online athttp://www.wiley.com/go/permission.Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best effortsin preparing this book, they make no representations or warranties with respect to the accuracy orcompleteness of the contents of this book and specifically disclaim any implied warranties ofmerchantability or fitness for a particular purpose. No warranty may be created or extended by salesrepresentatives or written sales materials. The advice and strategies contained herein may not besuitable for your situation. You should consult with a professional where appropriate. Neither thepublisher nor author shall be liable for any loss of profit or any other commercial damages, includingbut not limited to special, incidental, consequential, or other damages.For general information on our other products and services or for technical support, please contact ourCustomer Care Department within the United States at (800) 762-2974, outside the United States at(317) 572-3993 or fax (317) 572-4002.Wiley also publishes its books in a variety of electronic formats. Some content that appears in printmay not be available in electronic formats. For more information about Wiley products, visit our website at www.wiley.com.Library of Congress Cataloging-in-Publication Data:Manuele, Fred A.Advanced safety management focusing on Z10 and serious injury prevention/ Fred A. Manuele.p. ; cm.Includes bibliographical references and index.ISBN 978-0-470-10953-3 (cloth)1. Wounds and injuries—Prevention. 2. Industrial hygiene—Management.3. Industrial safety—Management. I. Title.[DNLM: 1. American National Standards Institute. 2. American IndustrialHygiene Association. 3. Safety Management—standards—United States. 4.Occupational Health—United States. 5. Risk Management—standards—UnitedStates. 6. Wounds and Injuries—prevention & control—United States. WA485 M2935a 2007]RA645.T73M36 2007363.11—dc222007017346Printed in the United States of America10 9 8 7 6 5 4 3 2 1

CONTENTSFOREWORDviiPREFACEix1INTRODUCTION1AN OVERVIEW OF ANSI/AIHA Z10-2005: THE AMERICANNATIONAL STANDARD FOR OCCUPATIONAL HEALTH ANDSAFETY MANAGEMENT SYSTEMS72THE PLAN-DO-CHECK-ACT CONCEPT (PDCA)333SERIOUS INJURY PREVENTION454HUMAN ERROR REDUCTION675MANAGEMENT LEADERSHIP AND EMPLOYEEPARTICIPATION—SECTION 3.081ACHIEVING ACCEPTABLE RISK LEVELS:THE OPERATIONAL GOAL9767PLANNING—SECTION 4.0107v

vi8CONTENTSA PRIMER ON HAZARD ANALYSIS AND RISKASSESSMENT—SECTION 4.2111INCLUDING RISK ASSESSMENT PROVISIONS INSTANDARDS AND GUIDELINES: A TREND145THREE AND FOUR DIMENSIONAL NUMERICAL RISKSCORING SYSTEMS16311IMPLEMENTATION AND OPERATION—SECTION 5.019912HIERARCHY OF CONTROLS: THE SAFETY DECISIONHIERARCHY—SECTION 5.1.120313SAFETY DESIGN REVIEWS—SECTION 5.1.222114LEAN CONCEPTS: OPPORTUNITIES FOR SAFETYPROFESSIONALS25515MANAGEMENT OF CHANGE—SECTION 5.1.227116THE PROCUREMENT PROCESS—SECTION 5.1.328917EVALUATION AND CORRECTIVE ACTION—SECTION 6.033718INCIDENT INVESTIGATION—SECTION 6.234119AUDIT REQUIREMENTS—SECTION 6.336120MANAGEMENT REVIEW—SECTION 7.037921Z10, OTHER SAFETY STANDARDS AND GUIDELINES,AND VPP CERTIFICATION383910INDEX405

FOREWORDThe team that eventually produced the ANSI Z10 standard met for the first timeearly in 2001. It may surprise readers to know that the meeting began with acontentious debate as to whether or not a standard on occupational health and safetymanagement systems was appropriate or even necessary. The essential argument ofthose opposed to the development of such a standard was that if we got it “wrong,”the consequences would be severe. After some spirited debate, a majority of theconsensus body voted to move forward and set the stage for the five-year effortthat resulted in Z10.This tumultuous beginning is understandable, given the extraordinary breath ofinterests represented in the consensus body. Labor, industry, academia, professionalassociations, and government interests were each represented by leading voices withstrong opinions on the approach the standard should take. However, by the time ofour second meeting, barely a month after the tragedy of September 11, 2001, thenecessity to put aside parochial biases was clear. The team coalesced and dedicateditself to a path of technical rigor.In this light, the Z10 team produced a standard that was approved by the consensus body with no negative votes and sailed though the final ANSI approvalprocess in an astonishingly short time. Such unanimous and quick approval is rarefor any standard, let alone one as potentially controversial as ANSI Z10. This initialacceptance was followed by almost universal support by the technical communityand substantial acceptance by the prospective user community.While I believe that Z10 is the best tool available for those interested in developing occupational health and safety management systems, some will view it asvii

viiiFOREWORDlacking. All of the basic elements are present. But, the required format for a management system standard does not allow entry of detailed direction on how userswould apply its provisions.In this book, Fred Manuele helps the reader understand the how and why of manyof the principles introduced by Z10. This elucidation provides essential knowledgeto help readers implement effective safety and health management systems in theirorganizations.Alan LeibowitzChair, ANSI/AIHA Z10 Standard Writing Committee

PREFACEThe principal purpose of this book is to provide guidance to managements, safetyprofessionals, educators, and students concerning two major, interrelated developments impacting on the occupational safety and health discipline. They are the: Issuance, for the first time in the United States, of a national consensus standard for occupational safety and health management systems Emerging awareness that traditional systems to manage safety do not adequately address serious injury preventionOn July 25, 2005, the American National Standards Institute approved a newstandard, the Occupational Health and Safety Management Systems Standard, designated ANSI/AIHA Z10-2005. This standard is a state-of-the-art, best practicesguide. Over time, Z10 will revolutionize the practice of safety.Chapter 1, an overview of Z10, comments on all the provisions in the standard.Chapter 3 on Serious Injury Prevention gives substance to the position that adoptinga different mind-set is necessary to reduce serious injury potential. Other chaptersgive implementation guidance with respect to the standard’s principal provisionsand to serious injury prevention.Recognition of the significance of Z10 has been demonstrated. Its provisionsare frequently cited as representing highly effective safety and health managementpractices. The sales record for Z10 is impressive. Safety professionals are quietlymaking gap analyses, comparing existing safety and health management systemsto the provisions of Z10.Even though the standard sets forth minimum requirements, very few organizations have safety and health management systems in place that meet all theix

xPREFACEprovisions of the standard. The provisions for which shortcomings will often exist,and for which emphasis is given in this book, pertain to: Risk assessment and prioritizationApplying a prescribed hierarchy of controls to achieve acceptable risk levelsSafety design reviewsIncluding safety requirements in procurement and contracting papersManagement of change systemsAs ANSI standards are applied, they acquire a “quasi-official” status as the minimum requirements for the subjects to which they pertain. As Z10 attains thatstature, it will become the benchmark, the minimum, against which the adequacyof safety and health management systems will be measured.The chapter on Serious Injury Prevention clearly demonstrates that althoughoccupational injury and illness incident frequency is down considerably, incidentsresulting in serious injuries have not decreased proportionally. The case is made thattypical safety and health management systems do not adequately address seriousinjury prevention. Thus, major conceptual changes are necessary in the practice ofsafety to reduce serious injury potential. That premise permeates every chapter inthis book.Safety and health professionals are advised to examine and reorient the principleson which their practices are based to achieve the significant changes necessary inthe advice they give. Guidance to achieve those changes is provided.Why use the word “Advanced” in the title of this book? If managements adoptthe provisions in Z10 and give proper emphasis to the prevention of serious injuries,they will have occupational health and safety management systems as they shouldbe, rather than as they are. A strong relationship exists between improving management systems to meet the provisions of Z10, a state-of-the-art standard, andminimizing serious injuries.AcknowledgmentsMany of the chapters in this book were reviewed in draft form by Wayne Christensen and Bruce Main. Their critiques have been influential. Valuable contributionsby Paul Adams on the design review concept and by Dwayne Dunsmore andEdward A. Neal who have written about a practical application of the designreview process are much appreciated. And, it is appropriate to recognize the finework done by the committee that wrote the Z10 standard, about which much iswritten in this book.Fred A. ManuelePresident, Hazards Limited

INTRODUCTIONAn abstract is provided for each chapter to serve as a content reference. This bookgives guidance on applying the provisions of ANSI/AIHA Z10-2005, the Occupational Health and Safety Management Systems Standard, and on serious injuryprevention as interrelated subjects. The order in which chapters appear supportsthat rationale.A professor who uses my books in his classes has suggested that each chapterbe a stand-alone essay. Although that requires a little repetition, the reader benefitsby not having to refer to other chapters while perusing the subject at hand. Partialsuccess with respect to that suggestion has been achieved. Each of the chapterheadings are listed in the following descriptions.1. An Overview of ANSI/AIHA Z10-2005: The American National Standard for Occupational Health and Safety Management Systems Brief comments are made on all the sections in Z10. All safety and health professionalsare encouraged to acquire a copy of the standard and to move toward applyingit. Some of the subjects emphasized are: Management Leadership and EmployeeParticipation—the most important section in the standard; the Significance of thisstate-of-the-art, consensus standard (it will become the benchmark against whichthe adequacy of safety management systems is measured); Societal implications;Specific provisions in the standard that are not included in typical safety management systems (the safety through design processes); and Management reviewprovisions. The case is made that bringing safety and health management systemsAdvanced Safety Management Focusing on Z10 and Serious Injury Prevention, by Fred A. ManueleCopyright 2008 John Wiley & Sons, Inc.1

2INTRODUCTIONup to the Z10 level will reduce the probability of incidents occurring that result inserious injury and illness.2. The Plan-Do-Check-Act Concept (PDCA) The writers of Z10 made itclear that the continual improvement of occupational health and safety management systems can be achieved by applying the “recognized quality concept ofPlan-Do-Check-Act” (PDCA). However, no information is provided on the PDCAconcept and methodology. This chapter: Discusses the origin and substance of thePDCA concept; Relates the PDCA concept to basic problem-solving techniques;and Gives guidance on initiating a PDCA process.3. Serious Injury Prevention Awareness has emerged that traditional safetymanagement systems do not adequately address serious injury prevention. Statisticsare given showing that although the frequency of minor injuries is down substantially, serious injuries have not been reduced proportionately. Comments are madeon the: Need for safety professionals to examine the effectiveness of the principles on which their practices are based; Types of activities in which many seriousinjuries occur; Need for a change in the culture that gives proper attention to seriousinjury prevention; and Prevention techniques to reduce serious injuries.4. Human Error Reduction In the chapter on Serious Injury Prevention, it isestablished that reducing human errors as causal factors is necessary in an effort tominimize the occurrence of serious injuries. This chapter focuses on human errorsthat occur above the worker level that derive from deficiencies: In organizationalsafety cultures; Safety and health management s