How to Design and Implement a Safety and Health Management System

How to Design and
Implement a Safety and
Health Management
System
Pam (Ferrante) Walaski, CSP, CHMM
JC Safety & Environmental, Inc.
Pittsburgh, PA
www.jcsafety.com
Essential Questions
 Why Safety Management Systems?
• Paradigms
• History
 What Standards Can Guide Me?
• ANSI/ASSE Z10-2005 (Occupational Safety &
Health Management Systems)
• ANSI/ASSE Z590.3 (Prevention through
Design)
 How Can I Implement an SMS at My
Organization
2
Polling Question #1
How would you rate your knowledge of Safety
Management Systems?
1. I have heard the term but don’t really understand what
it means.
2. I have a remedial understanding of what SMSs are and
how they work.
3. I have a fairly strong understanding of SMSs but my
organization doesn’t really implement one very well.
4. I think that my organization both understands and
implements a robust SMS.
3
Rethinking the Paradigms
Was Heinrich wrong
with the injury pyramid?
 The ratios apply to the
same person
 Ratio not concurrence
 Mistaken assumption
that frequency reduction
leads to severity
reduction
4
Rethinking the Paradigms
Was Heinrich also wrong with the “domino
theory”
 “first, direct, and proximate cause of why
persons commit unsafe acts”
 Often leads to “operator error”
as only cause
 Limits incident investigations
and root cause analysis
5
Rethinking the Paradigms
How about the Pareto Principle?
The law of the “trivial many
and the critical few”
Also known as the 80/20 Rule
20% of the units represent 80%
of the financial impact and
source of improvements
Too much time on the 80%
gives minimal ROI
6
Rethinking the Paradigms
How about Deming’s
Rule?
 85% of the problems in
any operation are within
the system and are the
responsibility of
management, while only
15% lie with the worker
7
Rethinking the Paradigms
“Currently, management works under
the assumption that people and not the
systems they work in are responsible
for safety. We therefore reward and
punish people, but the system they
work in remains unchanged.”
W.E. Deming
Copyright 2011 - JC Safety &
Environmental, Inc.
Rethinking the Paradigms
 Do we have it backwards?
 In reducing frequency, have we neglected
severity?
 Did we think severity would “take care of
itself”?
 Major reductions in the past 40 years at
reducing injuries/illnesses
 Then why are serious injuries on the rise?
 And what can we do about it?
9
Rethinking the Paradigms
Safety by Hazard
 Looks at the system from a
case-by-case basis
 Hazards-based approach to
minimizing workplace injuries
 Procedures and processes
that rely almost exclusively on
worker behavior
10
Rethinking the Paradigms
“Common Sense is not so common.”
Voltaire
My common sense is based upon my life
experiences, my values, my perceptions.
And it’s not the same as yours.
Is that really what you want to base your
safety program on?
Copyright 2011 - JC Safety &
Environmental, Inc.
Rethinking the Paradigms
Safety by Design
 Risk assessment approach to
managing workplace incidents
 Assessing risks and designing
systems to reduce them to an
acceptable level.
 Emphasis on preventing incidents
through designing them out
12
Polling Question #2
How would you rate your knowledge of ANSI/ASSE
Z10-2005 (Occupational Safety and Health
Management Systems)?
1. I have never heard of it.
2. I have heard of it, but have never seen/read/reviewed a
copy.
3. I have a copy and have skimmed it but don’t really have
a strong working knowledge of it.
4. I have a copy and understand the Standard, but have
never implemented it in my organization to an great
degree.
5. We implement some, if not all, of the Standard in our
organization.
13
ANSI Z10
Brief History
 AIHA obtains approval
to be Secretariat in
March 1999
 Approved by ANSI on
July 25, 2005
 Currently under regular
revision process
14
ANSI Z10
Key Issues
 Originally planned to be a resource for
smaller businesses
 Is a Guidance Document not a
Certification Standard
 Is a Performance Standard not a
Specification Standard
 Follows standard “Plan, Do, Check, Act”
process for continuous improvement
15
Summary of Standard
1.0 – Scope, Purpose, and Application
2.0 – Definitions
3.0 - Management Leadership and
Employee Participation
4.0 - Planning
5.0 – Implementation and Operation
6.0 – Evaluation and Corrective Action
7.0 – Management Review
Appendices A-K
16
OHSMS Model
17
ANSI Z10 –
How’s It Working?
 Seeing a shift from managing hazards to
managing risks
 Review and prioritize risks, develop measures
to address, audit the process, revise (Plan, Do,
Check, Act)
 Less “zero accidents” - more “acceptable
risk”
 Compliance based activities are a given,
not the driving force
18
ANSI Z10 –
What Can You Do?
 Safety through design
• Lack of formal risk assessments
• Hierarchy of controls
 Management of change (MOC)
• Use of contractors/Outage work/Unusual
operations
 Incident Investigation
• Weak procedures not fully implemented
• “Operator error”
19
MOC Processes
 Disciplined approach to
change
 Manages deviations
from normal operations
– a significant predictor
of serious incidents
20
Not implementing MOC?
Why Not?
 Changes in raw materials/feedstock
 Changes in physical layout – affects
exit routes
 Installation of new equipment
 Modification of new equipment
 Changes in electrical service
 Personnel changes in key positions
21
MOC Processes
Identify unusual and non-routine work
for formal MOC process:
 Define the purpose
 Establish accountability levels
 Specify criteria that trigger process
 Clear procedures for use of process
 Criteria and responsibilities for reviews
 Determine procedures to be followed
 Establish process to evaluate results
22
Polling Question #3
On a scale of 1-5, how would you rate your
organization’s Incident Investigation process?
1. Very poor/nonexistent;
2. We cover just the basics;
3. We do a good job of investigating most incidents, but our
investigations are fairly limited ins cope and our
corrective actions often don’t get done
4. We do an above-average job with investigating incidents,
identifying causes, and developing a corrective action
plan
5. We do an excellent job with not only investigating
incidents, but also near misses and property damage
incidents.
23
Incident Investigations
 “The quality of incident investigation
is one of the principal markers in
evaluating an organization's safety
culture.”*
 “…incident investigations…a prime
source of selecting leading indicators
for improvements…”*
 Remember Deming’s Rule?
*Source: Manuele
24
Incident Investigations
 Comprehensive with clear policies
and procedures
 User-friendly forms
 Training for all levels of staff
 Internal oversight of process
 Investigate everything – near miss
reporting system
 Ongoing follow-up of corrective
action plan
25
Polling Question #4
How would you rate your knowledge of
ANSI/ASSE Z590.3-2011 (Prevention through
Design)?
1.
2.
3.
4.
5.
I have never heard of it.
I have heard of it, but have never seen/read/reviewed a
copy.
I have a copy and have skimmed it but don’t really
have a strong working knowledge of it.
I have a copy and understand the Standard, but have
never implemented it in my organization to an great
degree.
We implement some, if not all, of the Standard in our
organization.
26
PtD
A Brief History
National Safety Council (late 1990s)
 Benefits from integrating safety into design and
redesign processes
 Earliest recommendations on design initiatives
NIOSH Stakeholders Meeting (2007)
 “Create a sustainable national strategy for
Prevention through Design”
 Need to develop a standard or regulation to set
forth principles and methodologies
27
NIOSH PtD Initiative
28
PtD
A Brief History
ASSE
 Position Paper “Designing for
Safety” (1994)
 Manuele article – “Prevention
Through Design: Addressing
Occupational Risks in the Design
and Redesign Process” (2008)
 Technical Report Z790.001-2009
29
PtD
A Brief History
ASSE
 Approved to become
Secretariat in 2008
 Approved for submittal to
ANSI in February 2011
 Approved for publication –
September 1, 2011
30
What is PtD?
“One of the best ways to prevent
and control occupational
injuries, illness, fatalities is to
design out and minimize hazards
and risk early in the design
process.”
NIOSH PtD Initiative
31
Z590.3 & Z10
Z10 is the what
systems in place to
control hazards and
reduce risk at the design
stage
Z590 is the how
risk assessments,
acceptable risk, risk
controls
32
Z590.3 & Z10
 PtD efforts will be much less
effective without an effective safety
management system in place first –
“This standard gives guidance on
including prevention through design
concepts within an occupational
safety and health management
system.”
33
Summary of Standard
I. Scope, Purpose, and Application
II. Referenced and Related Standards
III. Definitions
IV. Roles and Responsibility
V. Relationships with Suppliers
VI. Safety Design Reviews
VII. The Hazard Analysis and Risk
Assessment Process
VIII.Hazard Analysis and Risk Analysis
Techniques
IX. Hierarchy of Controls
34
PtD Flow
Hazard Identification
and Analysis
Risk Assessment
Acceptable Risk
Design of controls hierarchy
35
Risk Assessment Tools
 Matrices
• Simple and complex
 Preliminary Hazard Analysis
• Initial design review for operations safety
 What-if Analysis
• Possible hazards, scenarios, how incidents
occur and their outcomes
 Failure Modes and Effects Analysis
• Determines effects of failures
36
Risk Assessment
Data gathering/Team
gathering
Identify tasks and
hazards
Determine frequency
and duration
Determine occurrence
probability
37
Risk Assessment
Assess severity of
consequences
Quantify risk with
scoring system
Rank risks in priority
order
Document controls
and results
38
Risk Assessment
Follow-up on
actions
Assess residual
risk –
acceptable?
Complete process
and schedule for
review
39
Polling Question #5
How comfortable are you/your organization with
the term “acceptable risk”?
1.
2.
3.
4.
I don’t know the term very well or don’t really
understand how it could apply to a safety program
I think the term shouldn’t apply to SH&E because no
risk can be acceptable
I know and understand the term very well, but am
having a hard time getting my organization to buy into
it.
Both my organization and I are on board with it and
use it as an integral part of our SH&E program.
40
Acceptable Risk
“Because nothing can be
absolutely free from risk, nothing
can be said to be absolutely safe.
There are degrees of risk and,
consequently, there are
degrees of safety.”
W. E. Lowrence (1976)
41
Hierarchy of Controls
OSHA
1. Engineering controls
2. Administrative
controls/safe work
practices
3. Provide PPE
CCOHS
1. Elimination
2. Engineering controls
3. Administrative
controls/work
practices
4. Provide PPE
42
Hierarchy of Controls - PtD
Risk Avoidance
Eliminate
Substitution
Engineering Controls
Warning Systems
Administrative Controls
Personal Protective Equipment
43
Hierarchy of Controls
PtD
1. Risk avoidance
2. Eliminate or reduce in design and
redesign process
3. Reduce risk by substitution
 Preventative actions
 Rely least on performance of personnel
 Difficult to defeat
44
Hierarchy of Controls
PtD
4.
5.
6.
7.
Incorporate safety devices
Provide warning systems
Apply administrative controls
Provide PPE
 Contingent actions
 Rely substantially on personnel
performance for effectiveness
45
Roles and
Responsibilities
 Calls for substantial and direct
oversight by top management
 Can designate internal staff to
perform tasks, use external
consultants or require suppliers
and owners of facilities to perform
the task
46
Relationships
with Suppliers
 Design specifications developed with
internal procurement staff
 Made available to potential suppliers,
engineering firms and contractors
 Include safety and health
performance specifications so
hazards aren’t brought into the
workplace
47
Relationships
with Suppliers
 Must require that suppliers conduct
risk assessment and assure that
acceptable risk level has been
achieved
 Staff should visit suppliers to confirm
 Do a test run at site when possible
 Validation test after equipment is
installed
48
For Further Review
Manuele articles
Prevention through Design (10/2008)
http://www.asse.org/practicespecialties/academics/
docs/f1_manuele_1008.pdf
Acceptable Risk (5/2010)
http://a.gncdn.com/pfa/LnEw5PyDMYUH772Xatl1BM4G1qxYerHR3Xum-HfgLCnak6vEhM5zdp8gvpIkGuyA==/F1Manuel_0510.pdf
Reviewing Heinrich: Dislodging the Myths (10/2011)
https://www.asse.org/professionalsafety/pastissues/
056/10/052_061_F2Manuele_1011Z.pdf
49
To Purchase the
Standards
Occupational Safety and Health Management
Systems
http://www.asse.org/shoponline/products/Z1
0_2005.php
Prevention through Design
https://www.asse.org/cartpage.php?link=sta
ndards
50
How to Design and
Implement a Safety and
Health Management
System
Pam (Ferrante) Walaski, CSP, CHMM
JC Safety & Environmental, Inc.
Pittsburgh, PA
www.jcsafety.com