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RISK ASSESSMENT
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RISK ASSESSMENT
A Practical Guide to Assessing
Operational Risks
Editedby
GEORGIPOPOV
BRUCEK.LYON
BRUCEHOLLCROFT
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Copyright©2016byJohnWiley&Sons,Inc.Allrightsreserved
PublishedbyJohnWiley&Sons,Inc.,Hoboken,NewJersey
PublishedsimultaneouslyinCanada
Nopartofthispublicationmaybereproduced,storedinaretrievalsystem,ortransmittedinanyformorbyanymeans,
electronic,mechanical,photocopying,recording,scanning,orotherwise,exceptaspermittedunderSection107or108ofthe
1976UnitedStatesCopyrightAct,withouteitherthepriorwrittenpermissionofthePublisher,orauthorizationthrough
paymentoftheappropriateper-copyfeetotheCopyrightClearanceCenter,Inc.,222RosewoodDrive,Danvers,MA01923,
(978)750-8400,fax(978)750-4470,oronthewebatwww.copyright.com.RequeststothePublisherforpermissionshould
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LimitofLiability/DisclaimerofWarranty:Whilethepublisherandauthorhaveusedtheirbesteffortsinpreparingthisbook,
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LibraryofCongressCataloging-in-PublicationData:
Names:Popov,Georgi(Engineer),author.|Lyon,BruceK.|Hollcroft,Bruce.
Title:Riskassessment:apracticalguidetoassessingoperationalrisks/
GeorgiPopov,BruceK.Lyon,BruceHollcroft.
Description:Hoboken:JohnWiley&Sons,Inc.,2016.|Includes
bibliographicalreferencesandindex.
Identifiers:LCCN2015047429(print)|LCCN2015048838(ebook)|ISBN
9781118911044(hardback)|ISBN9781119220916(pdf)|ISBN9781119220909
(epub)
Subjects:LCSH:Riskassessment.|BISAC:TECHNOLOGY&ENGINEERING/
IndustrialHealth&Safety.
Classification:LCCT10.68.P662016(print)|LCCT10.68(ebook)|DDC
658.15/5–dc23
LCrecordavailableathttp://lccn.loc.gov/2015047429
Typesetin10/12ptTimesLTStdbySPiGlobal,Chennai,India
PrintedintheUnitedStatesofAmerica
10987654321
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ACKNOWLEDGEMENTS
Firstandforemost,theauthorswishtothankFredA.Manuele,P.E.,CSP,forhisvision,guidance,
andcontributionstothebook.Withouthismentorship,thistextwouldnothavematerialized.
Second, we thank each of the contributing authors that helped in the development of this text.
Thecontributingauthorswhichareidentifiedineachoftheirchaptersare:ElyceBiddle,PhD;Steven
Hicks,CSP,CIH;TsvetanPopov,PhD;JohnZey,EdD,CIH;YingZhen,CIH,CSP,andJimWhiting.
(cid:2) Tothewonderfulandpatientspouses,family,andfriendsoftheauthors,weoffermanythanks. (cid:2)
And finally, we offer special thanks to the University of Central Missouri, the Safety Sciences
programchairDr.LeighAnnBlunt,CSPandtheHaysCompanies.
Duringthisjourney,theauthorshavecometorealizetheoverallmagnitudeandnumberofaspects
associatedwiththeprocessofoperationalriskassessment.Nodoubt,thereisavastlandscapeofrisk
concepts, methodologies, and tools to draw upon. We hope that this work will help, in some way,
those that have interest in pursuing the honorable and necessary tasks of assessing and managing
risksintheworkplace.
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CONTENTS
Preface xvii
Foreword xxi
ListofContributors xxiii
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AbouttheCompanionWebsites xxv
1 RiskAssessments:TheirSignificanceandtheRoleoftheSafetyProfessional 1
FredA.Manuele
1.1 Objectives, 1
1.2 Introduction, 1
1.3 WhatisaRiskAssessment? 2
1.4 ActivitiesattheAmericanSocietyofSafetyEngineers(ASSE), 2
1.5 AnExampleofaGuidelinethatgivesRiskAssessmentdueRecognition, 3
1.6 ANSI/AIHA/ASSEZ10-2012:TheStandardforOccupationalHealthandSafety
ManagementSystems, 4
1.7 ANSI/ASSEZ590.3-2011:PreventionthroughDesign:GuidelinesforAddressing
OccupationalHazardsandRisksinDesignandRedesignProcesses, 4
1.8 THEANSI/ASSEZ690-2011Series, 6
1.9 ANSIB11.0-2015:SafetyofMachinery.GeneralSafetyRequirementsandRisk
Assessment – AStandardofMajorConsequence, 7
1.10 EuropeanUnion:RiskAssessment, 8
1.11 ENISO12100-2010:SafetyofMachinery.GeneralPrinciplesforDesign.Risk
Assessment,andRiskReduction, 8
1.12 AdditionalEuropeanInfluence, 9
1.13 MIL-STD-882E-2012.TheUSDepartmentofDefenseStandardPracticeforSystem
Safety, 9
1.14 CertainGovernmentalViews, 11
1.14.1 RiskReductionProgram, 12
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viii CONTENTS
1.15 Canada, 12
1.16 FireProtection, 13
1.17 DevelopmentsinAviationGroundSafety, 13
1.18 OSHARequirements, 14
1.19 EPARequirements, 15
1.20 TheChemicalIndustry:TheExtensiveBodyofInformation, 16
1.21 Conclusion, 16
ReviewQuestions, 16
References, 17
Appendix1.A:AListofStandards,Guidelines,andInitiativesThatRequireor
PromoteMakingRiskAssessments:CommencingwithYear2005, 18
2 RiskAssessmentStandardsandDefinitions 23
BruceHollcroft&BruceK.Lyon
2.1 Objectives, 23
2.2 Introduction, 23
2.3 TheNeedforRiskAssessments, 24
2.4 KeyStandardsRequiringRiskAssessments, 24
2.5 OSHAComplianceandRiskAssessments, 24
2.5.1 1910.132,PersonalProtectiveEquipmentStandard, 25
2.5.2 1910.119,ProcessSafetyManagementStandard, 25
2.5.3 OtherOSHAStandards, 26
2.6 ConsensusStandardsRequiringRiskAssessment, 27
(cid:2) 2.7 ANSI/AIHA/ASSEZ10-2012,OccupationalHealthandSafetyManagement (cid:2)
Systems, 27
2.8 ISO31000/ANSI/ASSEZ690RiskManagementSeries, 28
2.9 ANSI/ASSEZ590.3-2011,PreventionthroughDesign, 29
2.10 ANSIB11.0MachineSafety, 30
2.11 NFPA70E, 31
2.12 MIL-STD-882E,11May2012,DepartmentofDefenseStandardPractice,System
Safety, 31
2.13 KeyTermsandDefinitions, 32
2.14 Summary, 46
ReviewQuestions, 47
References, 47
3 RiskAssessmentFundamentals 49
BruceHollcroft&BruceK.Lyon
3.1 Objectives, 49
3.2 Introduction, 49
3.3 RiskAssessmentwithintheRiskManagementFramework, 50
3.4 RiskAssessmentsandOperationalRiskManagementSystems, 51
3.5 ThePurposeofAssessingRisk, 52
3.6 TheRiskAssessmentProcess, 53
3.7 SelectingaRiskAssessmentMatrix, 53
3.8 EstablishingContext, 55
3.9 TheRiskAssessmentTeam, 57
3.10 Hazard/RiskIdentification, 58
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