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Engineering Safe
• Fundamentals
• Techniques
• Applications
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SERIES IN INDUSTRIAL AND SYSTEMS ENGINEERING
Series Editor: Hoang Pham (Rutgers University)
Published
Vol. 1 Engineering Safety: Fundamentals, Techniques, and Applications by B. S. Dhillon
Forthcoming
Vol. 2 Human Reliability and Error in Medical System by B. S. Dhillon
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Series on Industrial & Systems Engineering - Vol. 1
Engineering Safe
Fundamentals
Techniques
Applications
B. S. Dhillon University of Ottawa, Canada
V | b World Scientific w b New Jersey • London • S/> New Jersey • London • Singapore • Hong Kong
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Published by
World Scientific Publishing Co. Pte. Ltd.
5 Toh Tuck Link, Singapore 596224
USA office: Suite 202, 1060 Main Street, River Edge, NJ 07661
UK office: 57 Shelton Street, Covent Garden, London WC2H 9HE
British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library.
ENGINEERING SAFETY: FUNDAMENTALS, TECHNIQUES, AND APPLICATIONS
Copyright © 2003 by World Scientific Publishing Co. Pte. Ltd.
All rights reserved. This book, or parts thereof, may not be reproduced in any form or by any means, electronic or mechanical, including photocopying, recording or any information storage and retrieval system now known or to be invented, without written permission from the Publisher.
For photocopying of material in this volume, please pay a copying fee through the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, USA. In this case permission to photocopy is not required from the publisher.
ISBN 981-238-221-6 ISBN 981-238-328-X(pbk)
Typeset by Stallion Press. Printed in Singapore.
Printed in Singapore by World Scientific Printers (S) Re Ltd
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This book is affectionately dedicated to my uncle, Gurmit S. Dhillon.
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Preface
Safety has become very important because each year a vast number of people die due to workplace and other accidents. For example, in the United States alone for the year 1996 as per National Safety Council, there were 93,400 deaths and 2,070,0000 disabling injuries due to workplace accidents with total losses of $121 billion.
The history of safety may be traced back to ancient times when Babylonian ruler Hammurabi (2000 BC) developed a code containing clauses on areas such as injuries, allowable fees for physicians, and monetary damages assessed against those who caused injury to others. In modern times, the first recorded safety program was established in 1892 in a steel plant, Joliet, Illinois.
Today, safety is a well-developed discipline and it may simply be categorized in two broad categories: general and system. The general includes occupational safety, highway safety, etc. and the system includes the various aspects concerning engineering equipment safety. Although there are a large number of books available on safety, none, to the best of the author's knowledge, cover both general and system safety (i.e., in a significant depth) and application or specialized areas such as software safety, robot safety, health care system safety, and maintenance safety. The knowledge of safety in these areas is becoming quite crucial because such areas are playing a pivotal role in the industrial development.
Currently, information on general safety and system safety plus application or specialized safety areas is available either in specialized books,
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viii Preface
articles, or technical reports but not in a single volume. This book is written to satisfy this vital need. The source of most of the material presented is given in references at the end of each chapter. This will be useful to readers if they desire to delve deeper into a particular area. Although the book contains almost a chapter on mathematical concepts, necessary to understand the mathematically based safety related concepts, the other topics covered in the volume are treated in such a manner that the reader will require no previous knowledge to understand the contents. At appropriate places, the book contains examples along with their solutions, and at the end of each chapter there are numerous problems to test reader comprehension.
The book is composed of twelve chapters. Chapter 1 presents various introductory aspects of engineering safety including the need for safety, safety facts and figures, safety terms and definitions, and useful information on safety. Chapter 2 is devoted to safety mathematics and reliability basics and covers topics such as the mean, standard deviation, Boolean algebra, statistical distributions, Laplace transforms, reliability measures, and standard reliability networks.
Chapter 3 presents various important areas of workplace accidents and safety, including workplace accident facts and figures, accident causation theories, the Occupational Safety and Health Act (OSHA), and workers' compensation. Chapter 4 is devoted to safety management and control and includes topics such as safety management principles, safety department and manager functions, safety committees, and safety performance measures.
Chapter 5 presents safety analysis methods and techniques. Some of the methods and techniques covered in the chapter are fault tree analysis (FTA), failure modes and effect analysis (FMEA), the Markov method, hazard and operability analysis ( HAZOP), the technique of operations review (TOR), and job safety analysis (JSA). Chapter 6 covers various aspects concerning risk management, including risk management process, risk analysis methods, functions and qualifications of a risk manager, and common errors in risk management.
Chapters 7 and 8 are devoted to human factors in safety and safety costing, respectively. Some of the topics covered in Chapter 7 are job stress, typical human behaviors, worksite analysis program for human factors, and human error and human reliability prediction models. Chapter 8 includes topics such as safety cost facts and figures, safety cost estimation methods, safety cost estimation models, and safety cost performance measurement indexes.
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Preface ix
Chapter 9 presents maintenance safety. This chapter covers topics such as maintenance safety-related facts and figures, reasons for safety problems in maintenance, maintenance personnel safety, maintenance safety -related questions for equipment manufacturers, and maintenance safety models. Chapter 10 presents a new and emerging area of safety, i.e., software safety. The chapter covers topics such as software safety assurance program, basic software system safety tasks, software hazard analysis methods, and practical software safety design-related guidelines.
Chapters 11 and 12 are devoted to robot safety and safety in health care systems, respectively. Some of the topics covered in Chapter 11 are robot accident types, safety considerations in robot life cycle, and robot safety analysis methods. Chapter 12 includes topics such as patient injury and medical device accident causes, medical device safety requirements and legal aspects, and models for predicting accident occurrence probability of a medical device.
This book will be useful to many individuals including senior level undergraduate and graduate students in safety/industrial engineering/manufacturing engineering/production engineering/engineering in general, safety professionals, science and engineering professionals, safety researchers and instructors of short professional courses, college level teachers, company safety officers, engineering designers, human factor specialists, and technologists in general.
The author is indebted to many colleagues and students for their interest throughout this project. The invisible inputs of his children , Jasmine and Mark, are also appreciated. Last, but not least, I thank my wife, Rosy, for various editorial inputs, help in proofreading, and tolerance.
B.S. Dhillon Eng
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Author Biography
Dr. B. S. Dhillon is a professor of Mechanical Engineering at the University of Ottawa. He has served as a Chairman/Director of Mechanical Engineering Department/Engineering Management Program for over ten years at the same institution. He has published over 290 articles on reliability, safety, maintainability, etc. He is or has been on the editorial boards of seven international scientific journals including International Journal of Reliability, Quality, and Safety Engineering and Journal of Reliability Engineering and System Safety. In addition, Dr. Dhillon has written 24 books on various aspects of reliability, safety, maintainability, human factors, and design published by Wiley (1981), Van Nostrand (1982), Butterworth (1983), Marcel Dekker (1984), Pergamon (1986), etc. His books on reliability have been translated into many languages including Russian, Chinese, and German. He has served as General Chairman of two international conferences on reliability and quality control held in Los Angeles and Paris in 1987.
Dr. Dhillon is recipient of the American Society of Quality Control Austin J. Bonis Reliability Award, the Society of Reliability Engineer's Merit Award, the Gold Medal of Honor (American Biographical Institute), and Faculty of Engineering Glinski Award for Excellence in Research. He is a registered Professional Engineer in Ontario and is listed in the American Men and Women of Science, Men of Achievements, International Dictionary of Biography, Who's Who in International Intellectuals, and Who's Who in Technology.
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xii Author Biography
Dr. Dhillon has served as a consultant to various organizations and bodies and has many years of experience in the industrial sector. At the University of Ottawa, he has been teaching reliability, maintainability, safety, and related areas for over 22 years and has also lectured in over 50 countries. Professor Dhillon attended the University of Wales where he received a B.S. in electrical and electronic engineering and an M.S. in mechanical engineering. He received a Ph.D. in industrial engineering from the University of Windsor.
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Contents
Preface vii Author Biography xi
Chapter 1 Introduction
1.1 1.2 1.3 1.4 1.5 1.6
Background Need for Safety and Engineering Safety Goals Safety Facts and Figures Major Disasters Safety Terms and Definitions Useful Information on Safety 1.6.1 Books, Standards, and Reports 1.6.2 Journals 1.6.3 Organizations 1.6.4 Data Information Sources
1 2 2 4 4 5 6
9 10 10
Chapter 2 Safety Mathematics and Reliability Basics 13
2.1 Introduction 13 2.2 Mean, Median, Mode, Range, Mean Deviation, and
Standard Deviation 14 2.2.1 Mean 14 2.2.2 Median 14
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xiv
2.3
2.4
2.5 2.6
2.7 2.8
2.9
Contents
2.2.3 Mode 2.2.4 Range 2.2.5 Mean Deviation 2.2.6 Standard Deviation Sets, Boolean Algebra Laws, Probability Definition, and Probability Properties 2.3.1 Sets 2.3.2 Boolean Algebra Laws 2,3.3 Probability Definition 2.3.4 Probability Properties Statistical Distributions 2.4.1 Poisson Distribution 2.4.2 Binomial Distribution 2.4.3 Exponential Distribution 2.4.4 Rayleigh Distribution 2.4.5 Weibull Distribution 2.4.6 Normal Distribution Laplace Transform Definition and Final Value Theorem First Order Differential Equation Solution Through Laplace Transforms Bathtub Hazard Rate Curve Reliability Measures 2.8.1 Reliability 2.8.2 Hazard Rate 2.8.3 Mean Time to Failure Reliability Networks 2.9.1 Series Network 2.9.2 Parallel Network 2.9.3 Parallel-Series Network 2.9.4 Series-Parallel Network 2.9.5 Standby System
Problems References
15 15 16 16
17 18 18 19 19 21 21 21 22 23 24 24 25
26 27 29 29 30 31 31 31 33 34 35 37 38 39
Chapter 3 Workplace Accidents and Safety 41
3.1 Introduction 41 3.2 Workplace Accident Facts and Figures 42
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Contents xv
3.3 Work Accident Death Comparisons with other Accident Types, Work Accident Cost in Relation to Total Cost, Accident Death Rates by Industry, and Common Causes of Work Injuries 43
3.4 Accident Causation Theories 44 3.4.1 The Domino Accident Causation Theory 45 3.4.2 The Human Factors Accident Causation Theory 46
3.5 The Occupational Safety and Health Act (OSHA) 48 3.5.1 Occupational Safety and Health Administration
Objectives and Employer and Employee Rights and Responsibilities 48
3.5.2 Record Keeping and Reporting Requirements and Safety and Health Standards 51
3.5.3 Occupational Safety and Health Administration Achievements, Shortcomings, and Strategic Plan for 1997-2002 52
3.6 Workers' Compensation 54 Problems 54 References 55
Chapter 4 Safety Management and Control 57
4.1 Introduction 57 4.2 Safety Management Principles 58 4.3 Safety Department Functions, Safety Manager
Qualifications and Functions, and Safety Engineer Qualifications and Functions 59
4.4 Developing a Safety Program Plan, Plant Safety Checklist for Managers, Safety Responsibilities of Non-Safety Managers, and Managerial Deficiencies Leading to Accidents 61
4.5 Safety Committees, Motivating Employees to Work Safely, and Safety-Related Strategies for Safety Professionals 66 4.5.1 Motivating Employees to Work Safely 67 4.5.2 Safety-Related Strategies for Safety Professionals 68
4.6 Product Safety Management Program, Organization Tasks, and Functions of Non-Safety Organizations 69
4.7 Safety Performance Measures 72 4.7.1 Index I: Disabling Injury Frequency Rate 73 4.7.2 Index II: Disabling Injury Severity Rate 73
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xvi Contents
4.7.3 Drawbacks of the Standard Indexes 74 Problems 74 References 75
Chapter 5 Safety Analysis Methods and Techniques 77
5.1 Introduction 77 5.2 Failure Modes and Effect Analysis (FMEA) 78
5.2.1 Failure Mode Effects and Criticality Analysis (FMECA) 79
5.3 Fault Tree Analysis (FTA) 80 5.3.1 Probability Evaluation of Fault Trees 81 5.3.2 Advantages and Disadvantages of Fault Tree
Analysis (FTA) 83 5.4 Markov Method 84 5.5 Technic of Operations Review (TOR) 86 5.6 Preliminary Hazard Analysis (PHA) 87 5.7 Hazards and Operability Analysis (HAZOP) 88 5.8 Interface Safety Analysis 89 5.9 Job Safety Analysis (JSA) 90 5.10 Control Charts 90 Problems 93 References 93
Chapter 6 Risk Management 95
6.1 Introduction 95 6.2 Risk Management Related Terms and Definitions 96 6.3 Risk Components and Types, Risk Management Objectives,
and Risk Analysis Objectives in Hazardous System Life Cycle 97
6.4 Risk Management Process, Interested Parties in the Risk Management Process, Functions and Qualifications of a Risk Manager 99
6.5 Risk Management Rules and Audits 100 6.6 Risk Analysis Process and Methods 101
6.6.1 Hazard and Operability Study (HAZOP) 103 6.6.2 Event Tree Analysis (ETA) 103 6.6.3 Consequence Analysis 104
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Contents xvii
6.6.4 Frequency Analysis 104 6.7 Common Errors in Risk Management, Risk Estimates
for Selective Events, and Risk Analysis Advantages 105 Problems 106 References 107
Chapter 7 Human Factors in Safety 109
7.1 Introduction 109 7.2 Terms and Definitions 110 7.3 Job Stress 110
7.3.1 Classification of Occupational Stressors and Workplace Stress Effects 111
7.3.2 Physical Stress Influencing Factors 112 7.3.3 Human Operator's Stress Characteristics and
Stressors' Checklist 113 7.4 Worksite Analysis Program for Human Factors 114 7.5 Symptoms of Human Factor-Related Problems in
Organizations, Identification of Specific Human Factors Problems, and Strategies for Solving Human Factors Problems 116
7.6 Typical Human Behaviors, Occupational Safety and Health Administration Ergonomics Guidelines, and Human Factors/Safety Issues 119
7.7 Employee Training and Education 121 7.8 Human Error and Human Reliability Prediction Models 122
7.8.1 Human Reliability Prediction Models 123 Problems 127 References 127
Chapter 8 Safety Costing 129
8.1 Introduction 129 8.2 Safety Cost Facts, Figures, and Examples 130 8.3 Resource Losses Related to Safety and Health and
a Company's Losses Due to an Accident Involving its Product 131
8.4 Safety Cost Estimation Methods 133 8.4.1 The Heinrich Method 133
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xviii Contents
8.4.2 The Simonds Method 133 8.4.3 The Wallach Method 134
8.5 Safety Cost Estimation Models 135 8.5.1 Accident Hidden Cost Estimation Model 135 8.5.2 Accident Prevention Program Cost Estimation Model 136 8.5.3 Product Life Cycle Safety cost Estimation Model I 136 8.5.4 Product Life Cycle Safety Cost Estimation Model II 136 8.5.5 Total Safety Cost Estimation Model 137
8.6 Safety Cost Performance Measurement Indexes 138 8.6.1 Average Injury Cost Per Unit Turnover Index 138 8.6.2 Average Cost Per Injury Index 138 8.6.3 Average Injury Cost Per Profit Dollar Index 139
8.7 Accident Data Shortcomings and Cost-Benefit Analysis Related Facts with Respect to Safety and Health Regulations 139
Problems 141 References 141
Chapter 9 Maintenance Safety 143
9.1 Introduction 143 9.2 Facts, Figures, and Examples 144 9.3 Reasons for Safety Problems in Maintenance and Factors
Responsible for Dubious Safety Reputation in Maintenance Work 145
9.4 Maintenance Personnel Safety and Typical Human Behaviors 146
9.5 Maintenance Safety-Related Questions for Equipment Manufacturers and Useful Guidelines for Equipment Designers to Improve Safety in Maintenance 147
9.6 Maintenance Safety Models 149 9.6.1 Model I 149 9.6.2 Model II 152
Problems 156 References 156
Chapter 10 Software Safety 159
10.1 Introduction 159
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Contents xix
10.2 Terms and Definitions 160 10.3 Facts, Figures and Examples of Software Error 160 10.4 Software Reliability versus Software Safety and
Security versus Safety 161 10.5 Computer Related Myths, Software Risk Increasing Ways
and Categories, and Software Hazard Causing Ways 162 10.6 Basic Software System Safety Tasks, Software Quality
Assurance Organization's Role with Respect to Safety, and Software Safety Assurance Program* 164
10.7 Software Hazard Analysis Methods 167 10.7.1 Software Sneak Circuit Analysis 168 10.7.2 Code Walk-Through 168 10.7.3 Nuclear Safety Cross-Check Analysis (NSCCA) 168 10.7.4 Proof of Correctness 169 10.7.5 Event-Tree Analysis 170 10.7.6 Failure Modes and Effects Analysis (FMEA) 170 10.7.7 Software Fault Tree Analysis 170
10.8 Software Standards 171 10.9 Practical Software Safety Design-Related Guidelines 173 Problems 173 References 174
Chapter 11 Robot Safety 177
11.1 Introduction 177 11.2 Terms and Definitions 178 11.3 Robot Accident Facts, Figures, and Fatality-Related
Examples 179 11.4 Unique Robot Safety Problems, Robot Accident Types, and
Robot Hazard Causes 180 11.5 Safety Considerations in Robot Life Cycle 182
11.5.1 Design Phase 182 11.5.2 Installation Phase 183 11.5.3 Programming Phase 183 11.5.4 Operation and Maintenance Phase 183
11.6 Common Robot Safety Features and Robot Safeguard Approaches 184
11.7 Robot Safety Analysis Methods 186 11.7.1 Failure Modes and Effect Analysis (FMEA) 186
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xx Contents
11.7.2 Fault Tree Analysis (FTA) 187 11.7.3 The Markov Method 188
11.8 A Methodology for Safer Robot Design and General Guidelines for Minimizing the Safety Problems of Robots 193
Problems 196 References 196
Chapter 12 Safety in Health Care Systems 199
12.1 Introduction 199 12.2 Facts and Figures 200 12.3 Medical Device/Equipment Safety versus Reliability 200 12.4 Medical Device Safety Types, and Medical Device Hardware
and Software Safety 201 12.5 Patient Injury and Medical Device Accident Causes 202 12.6 Human Error in Health Care Systems 203
12.6.1 Medical Device/Equipment Associated Operator Errors 205
12.6.2 Medical Devices/Equipment with a High Occurrence of Human Error 205
12.7 Medical Device Safety Requirements and Legal Aspects 205 12.8 Models for Predicting Accident Occurrence Probability of a
Medical Device/Equipment 208 12.8.1 Model I 208 12.8.2 Model II 209
12.9 Organizations, Standards, and Data Sources 211 12.9.1 Organizations 211 12.9.2 Standards 211 12.9.3 Data Sources 212
Problems 212 References 213
Index 215
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