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201342
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AdvAnced SAfety MAnAgeMent focuSing on Z10 And SeriouS injury Prevention


Second edition

Fred A MAnuele CSP PePresidentHazards Limited

Copyright copy 2014 by John Wiley amp Sons Inc All rights reserved

Published by John Wiley amp Sons Inc Hoboken New JerseyPublished simultaneously in Canada

No part of this publication may be reproduced stored in a retrieval system or transmitted in any form or by any means electronic mechanical photocopying recording scanning or otherwise except as permitted under Section 107 or 108 of the 1976 United States Copyright Act without either the prior written permission of the Publisher or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center Inc 222 Rosewood Drive Danvers MA 01923 978-750-8400 fax 978-750-4470 or on the web at wwwcopyrightcom Requests to the Publisher for permission should be addressed to the Permissions Department John Wiley amp Sons Inc 111 River Street Hoboken NJ 07030 201-748-6011 fax 201-748-6008 or online at httpwwwwileycomgopermission

Limit of LiabilityDisclaimer of Warranty While the publisher and author have used their best efforts in preparing this book they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose No warranty may be created or extended by sales representatives or written sales materials The advice and strategies contained herein may not be suitable for your situation You should consult with a professional where appropriate Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages including but not limited to special incidental consequential or other damages

For general information on our other products and services or for technical support please contact our Customer Care Department within the United States at 877-762-2974 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 print may not be available in electronic formats For more information about Wiley products visit our web site at wwwwileycom

Library of Congress Cataloging-in-Publication Data

Manuele Fred A author Advanced safety management focusing on Z10 and serious injury prevention Fred A Manuele ndash Second edition p cm Includes bibliographical references and index ISBN 978-1-118-64568-0 (cloth)I American National Standards Institute II American Industrial Hygiene Association III Title[DNLM 1 Safety ManagementndashstandardsndashUnited States 2 Occupational HealthndashUnited States 3 Risk ManagementndashstandardsndashUnited States 4 Wounds and Injuriesndashprevention amp controlndashUnited States WA 485] RA645T73 36311ndashdc23

2013038105

Printed in the United States of America

10 9 8 7 6 5 4 3 2 1

To Irene

vii

Contents

Foreword ix

PreFace to the Second edition xi

PreFace to the FirSt edition xiii

acknowledgmentS xv

introduction 1

1 overview oF anSiaiha Z10-2012 9

2 achieving accePtable riSk levelS the oPerational goal 37

3 innovationS in SeriouS injury and Fatality Prevention 57

4 human error avoidance and reduction 81

5 macro thinking the Socio-technical model 95

6 SaFety ProFeSSionalS aS culture change agentS 113

7 the Plan-do-check-act concePt (Pdca) 129

8 management leaderShiP and emPloyee ParticiPation Section 30 oF Z10 141

9 Planning Section 40 oF Z10 157

10 imPlementation and oPeration Section 50 oF Z10 161

viii Contents

11 a Primer on haZard analySiS and riSk aSSeSSment SectionS 42 and 511 oF Z10 167

12 ProviSionS For riSk aSSeSSmentS in StandardS and guidelineS SectionS 42 and 511 oF Z10 207

13 three- and Four-dimenSional riSk Scoring SyStemS SectionS 511 and 512 oF Z10 233

14 hierarchy oF controlS Section 512 oF Z10 267

15 SaFety deSign reviewS Section 513 oF Z10 281

16 Prevention through deSign SectionS 511 to 514 oF Z10 309

17 a Primer on SyStem SaFety SectionS 40 42 511 512 and aPPendix F 325

18 lean concePtSndashndashemPhaSiZing the deSign ProceSS Section 513 oF Z10 341

19 management oF change Section 513 oF Z10 359

20 the Procurement ProceSS Section 514 oF Z10 399

21 evaluation and corrective action Section 60 oF Z10 437

22 incident inveStigation Section 62 oF Z10 441

23 audit requirementS Section 63 oF Z10 463

24 management review Section 70 oF Z10 483

25 comPariSon Z10 other SaFety guidelineS and StandardS and vPP certiFication 489

index 513

ix

Foreword

My association with Fred Manuele began over 20 years ago During that time we have frequently communicated shared the podium at major conferences critiqued one anotherrsquos writing and collaborated on and shared research findings Fred is one of the most highly regarded experts in the field of operational risk management He has received many of the most prestigious awards in his field including recognition as a Fellow by the American Society of Safety Engineers being given the Lifetime Achievement Award from the Board of Certified Safety Professionals and others

He is one of the most recognized writers in the field of occupational safety His articles have received several professional paper awards The first edition of Advanced Safety Management is used as a textbook in graduate and undergraduate programs in several universities

As a technical resource to the ANSIAIHA Z10 committee during the drafting of the 2005 edition and the 2012 revision he attended meetings participated in discussions and submitted substantial text related to requirements and appendices Fred wrote first drafts of some of the new appendices for the 2012 revision ANSAIHA Z10 in its present form establishes the overarching framework necessary for management to mobilize the organi-zation to proactively address system process and operational performance improvement

As chair of ANSIAIHA Z10 committee I frequently conduct seminars webinars and workshops and deliver keynote speeches on management system improvement to members of management union representatives and safety and health professionals Those who have or are currently implementing a Z10 management system very often cite the first edition of Advanced Safety Management as their most important and helpful resource

This second edition will prove to be even more valuable because it has been updated based on the 2012 revision of Z10 By their very nature ANSI standards are not always easy to understand and interpret To improve usability the 2012

x Foreword

revision of Z10 clarified and enhanced critical requirements added explanatory language significantly improved several appendices and added five new appendices The appendices provide implementation examples and offer advice as to how confor-mance to a requirement can be achieved

This edition goes a step further in providing extensive background and context for Z10 detailing its relationship to other management system standards Separate chapters on key standard sections and subsections provide detailed explanations of requirements and implementation recommendations There are also chapters on key related subjects such as serious injury and fatality prevention human error prevention macro thinking and the significance of an organizationrsquos culture

Audience response data that I have collected during presentations and training sessions from participants using anonymous audience response devices reveals that

bull Most organizationsrsquo safety activities are largely ldquoprogram basedrdquo rather than ldquosystem basedrdquo

bull A high percentage recognize the need to move to a system-based approach

bull Participant knowledge of management systems is quite lowmdashsafety and health professionals score lower than higher-level managers

bull Non-systems thinking beliefs and assumptions are widespread such as the assump-tion that reducing minor incidents will also prevent serious and fatal incidents

bull A high percentage of participants have great difficulty developing effective alternative safety process measures metrics and feedback loops

These data dramatically underscores the timeliness and importance of this new edition of Advanced Safety Management There is a growing understanding that real sustained safety performance improvement can only come from refining the relative management systems and from macro (systems) thinking

Even though OSHA recordable rates have been reduced significantly in many companies a large number of these organizations have not experienced a corresponding reduction in serious and fatal incidents For decades safety and health professionals have been misled into relying on the Heinrich premisemdashthat reduction in minor incidents will result in equivalent reduction in serious and fatal incidents

The chapter ldquoInnovations in Serious Injury and Fatality Preventionrdquo demonstrates how specific management system improvements will lead to a reduction in serious injuries Organizations implementing Z10 management systems tend to be very suc-cessful in this crucial area because of enhanced management leadership improved employee engagement and a supportive safety culture

Interest in occupational safety and health management systems is expanding as evidenced by the beginning of activity to develop a global health and safety management system standard a project known as ISO PC283 ANSAIHA Z10 will be used as a primary resource by members of the US Technical Advisory Group in the international standard writing process

Fred Manuelersquos comprehensive and timely new edition will accelerate the growth and implementation of safety and health management systems worldwide

James Howe CSPChair ANSIAIHA Z10 Standard Committee

xi

PreFaCe to the seCond edition

This book focuses on Z10 which is the national standard for Occupational Health and Safety Management Systems and on serious injury and fatality prevention The impetus for an updated version of the first edition derived from two developments

bull A revised version of Z10 was approved by the American National Standards Institute in June 2012 Any comments and guidance for the revisions and extensions would be beneficial

bull Although the rates for serious occupational injuries and fatalities have continued to drop significantly in past decades it is now recognized that the rates have plateaued in recent years I propose that major and somewhat shocking innova-tions in the content and focus of occupational risk management systems will be necessary to achieve additional progress

The principal purpose of this book continues to be providing guidance to managements safety professionals educators and students on having operational risk management systems that meet the requirements of Z10 and to be informative on reducing the occurrence of accidents that result in serious injuries and fatalities

This book is used in several university-level safety degree programs Input was sought from professors and experienced safety professionals who use the book as a reference on subjects that should be expanded or addressed

bull Additional emphasis is given to the most important section in Z10 Management Leadership and Employee Involvement with particular reference to contributions that employees can make

bull A new provision on risk assessment was added to Z10 Its importance is stressed I propose that risk assessment be established as the core of an operational risk

xii PreFaCe to the seCond edition

management system as a separately identified element following closely after the first element Comments on hazard identification and analysis and risk assessment techniques are made in several chapters

bull A significant departure from typical safety management systems is presented in the chapter ldquoInnovations in Serious Injury and Fatality Preventionrdquo in the form of a Socio-Technical Model for an Operational Risk Management System This model stresses the significance of the organizational culture established at the board of director and senior management levels with respect to attaining and maintaining acceptable risk levels the provision of adequate resources risk assessment prioritization and management prevention through design maintenance for system integrity and management of change It is made clear that there is a notable connection between improving management systems to meet the provisions of Z10 and avoiding serious injuries and fatalities

bull Avoidance of human error is given expanded attention

bull New chapters have been researched and written Their titles are

bull Macro Thinking The Socio-Technical Model

bull Safety Professionals as Culture Change Agents

bull Prevention through Design

bull A Primer on System Safety

bull Chapters on ldquoManagement of Changerdquo and ldquoThe Procurement Processrdquo have been revised and expanded considerably

Soon after approval for the revision of Z10 was given by the American National Standards Institute the secretariat was transferred to the American Society of Safety Engineers (ASSE) Additional promotion has been given to Z10 by ASSE as the state-of-the-art occupational safety management system Interest shown in the standard by safety professionals is impressive Z10 has achieved recognition as a sound base from which to develop innovations in existing safety management systems

For a huge percentage of organizations adopting the provisions in Z10 will achieve major improvements in their occupational health and safety management systems and serve to reduce the potential for accidents that might result in a serious injury or fatality

Fred A ManuelePresident Hazards Limited

xiii

The principal purpose of this book is to provide guidance to managements safety professionals educators and students concerning two major interrelated develop-ments affecting the occupational safety and health discipline

bull Issuance for the first time in the United States of a national consensus standard for occupational safety and health management systems

bull Emerging awareness that traditional systems to manage safety do not adequately address serious injury prevention

On July 25 2005 the American National Standards Institute approved a new standard entitled Occupational Health and Safety Management Systems designated as ANSIAIHA Z10-2005 This standard is a state-of-the-art best practices guide Over time Z10 will revolutionize the practice of safety

The chapter ldquoAn Overview of ANSIAIHA Z10-2005rdquo comments on all of the provisions in the standard The chapter ldquoSerious Injury Preventionrdquo gives substance to the position that adopting a different mindset is necessary to reduce serious injury potential Other chapters give implementation guidance with respect to the standardrsquos principal provisions and to serious injury prevention

Recognition of the significance of Z10 has been demonstrated Its provisions are frequently cited as representing highly effective safety and health management practices The sales record for Z10 is impressive Safety professionals are quietly making gap analyses comparing existing safety and health management systems to 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 of the provisions of

PreFaCe to the First edition

xiv PreFaCe to the First edition

the standard The provisions for which shortcomings will often exist and for which emphasis is given in this book pertain to

bull Risk assessment and prioritization

bull Applying a prescribed hierarchy of controls to achieve acceptable risk levels

bull Safety design reviews

bull Including safety requirements in procurement and contracting papers

bull Management of change systems

As ANSI standards are applied they acquire a quasi-official status as minimum requirements for the subjects to which they pertain As Z10 attains that stature it will become the benchmark the minimum against which the adequacy of safety and health management systems will be measured

The chapter ldquoSerious Injury Preventionrdquo clearly demonstrates that while the occupational injury and illness incident frequency rate is down considerably incidents resulting in serious injuries are not down proportionally The case is made that typical safety and health management systems do not adequately address serious injury preven-tion Thus major conceptual changes are necessary in the practice of safety to reduce serious injury potential That premise permeates every chapter in this book

Safety and health professionals are advised to examine and reorient the principles on which their practices are based to achieve the significant changes necessary in the advice they give Guidance to achieve those changes is provided

Why use the word ldquoadvancedrdquo in the title of this book If managements adopt the provisions in Z10 and give proper emphasis to the prevention of serious injuries they will have occupational health and safety management systems as they should be rather than as they are There is a strong relationship between improving management systems to meet the provisions of Z10 a state-of-the-art standard and minimizing serious injuries

xv

aCknowledgments

It is not easy to write a brief ldquothank yourdquo paragraph that recognizes all the people who have contributed to my education and thus to the content of this book There are so many I have had the good fortune throughout several decades of having highly competent associates who gave of their time to debate with me and to offer criticisms of what I had written Their input has been exceptionally valuable For all who have influenced my thinking and my work I sincerely express my thanks and gratitude

Advanced Safety Management Focusing on Z10 and Serious Injury Prevention Second Edition Fred A Manuele copy 2014 John Wiley amp Sons Inc Published 2014 by John Wiley amp Sons Inc

1

introduCtion

This book provides guidance on applying the provisions of ANSIAIHA Z10-2012 the Occupational Health and Safety Management Systems standard and on serious injury and fatality prevention as interrelated subjects An abstract is provided here for each chapter A Professor who uses my books in his classes suggested that each chapter be a stand-alone essay Partial success with respect to that suggestion has been achieved Although doing so requires a little repetition the reader benefits by not having to refer to other chapters while perusing the subject at hand

1 overview of anSiaiha Z10-2012

In this chapter I comment on all of the sections in Z10 Encouragement is given to safety and health professionals to acquire a copy of the standard and to move forward in applying its provisions Some of the subjects that are emphasized are the most important section in the standard which is Management Leadership and Employee Participation significance of this state-of-the-art consensus standard societal impli-cations and management review provisions Also specific provisions in the standard that are not included in typical safety management systems are highlighted such as the safety through design processes risk assessments and prioritization management of change a prescribed hierarchy of controls and including safety specifications in purchasing and procurement forms and documents The case is made that bringing safety and health management systems up to the Z10 level will reduce the probability of incidents occurring that result in serious injury and illness

2 introduCtion

2 achieving acceptable risk levels the operational goal

Reference is made in several parts of Z10 to the need to achieve and maintain accept-able risk levels Other recently modified standards do the same In this chapter I provide a worldwide history of the adoption of the concept of acceptable risk establish a base for determining risk levels discuss risk assessment matrices and outline the logic for arriving at the definition of acceptable risk given

3 innovations in Serious injury and Fatality Prevention

My recent research requires the conclusion that major and somewhat revolutionary innovations in safety management systems will be necessary to further reduce serious injuries and fatalities Statistics show that such injury rates have plateaued In this chapter I propose several innovations in A Socio-Technical Model for an Operational Risk Management System The case is made that if organizations did a better job with respect to certain aspects of Z10 such as Management Leadership and Employee Participation Risk Assessment and Prioritization Design Reviews Management of Change application of the Hierarchy of Controls and in the Procurement processes the potential for serious injuries and fatalities would be reduced

4 human error avoidance and reduction

In the chapter on Innovations in Serious Injury and Fatality Prevention it is stated that reducing human errors as causal factors is necessary as attempts are made to reduce serious injuries We focus on human errors occurring above the worker level that derive from deficiencies in an organizationrsquos safety culture safety management systems design and engineering decision making and the organization of work

5 macro thinking the Socio-technical model

Impetus for this chapter arises out of a transition taking place in the human error prevention field which diminishes the emphasis on changing worker behavior and expands on the idea of improving the design of the systems in which people work Mention of system thinking and taking a holistic socio-technical approach in hazard and risk control appears more often in safety-related literature This is powerful stuffmdashand needed In this chapter the term macro thinking is used principally rather that system thinking because macro implies taking a much larger view The socio-technical model is described and promoted

6 Safety Professionals as culture change agents

This chapter promotes the idea that the overarching role of a safety professional is that of a culture change agent The case is made that proposals made by safety professionals for improvement in operational risk management systems pertain to deficiencies in systems or processes and that the deficiency can be corrected only

introduCtion 3

if there is a modification in an organizationrsquos culturemdasha modification in the way things get done a modification in the system of expected performance Thus the primary role for a safety professional is that of a culture change agent The definition given is ldquoA change agent is a person who serves as a catalyst to bring about organizational change Change agents assess the present are controllably dissatisfied with it contemplate a future that should be and take action to achieve the culture changes necessary to achieve the desired futurerdquo

7 the Plan-do-check-act concept (Pdca)

Writers of Z10 made it clear that continual improvement for occupational health and safety management systems is to be achieved through applying the recognized quality concept of Plan-Do-Check-Act However information is not provided on the PDCA concept and methodology In this chapter we discuss the origin and substance of the PDCA concept relate the PDCA concept to basic problem-solving techniques and provide guidance on initiating a PDCA process

8 management leadership and employee Participation Section 30 of Z10

This is the most important section in Z10 Why Because safety is culture driven and management creates the culture As top management makes decisions directing an organization the outcomes of those decisions establish its safety culture In this chapter we comment on requirements of managements to attain superior results policy state-ments defining roles assigning responsibilities and authority providing resources and establishing accountability employee participation relating management leadership to preventing serious injuries and making a safety culture analysis Employee participa-tion particularly is emphasized

9 Planning Section 40 of Z10

The success of an occupational health and safety management system is largely contingent on the thoroughness of the planning processes In Z10 the planning process goal is to identify and prioritize the ldquoissuesrdquo which are defined as ldquohazards risks management system deficiencies and opportunities for improvementrdquo Reviews are to be made to identify those issues priorities are to be set objectives are to be established for the prioritized issues and actions are to be outlined for continual improvement In this chapter we discuss all of the provisions in the planning section Special emphasis is given to the assessment and prioritization requirements in Section 42

10 implementation and operation Section 50 of Z10

All of the chapters described previously related to Z10 provisions pertain to the ldquoplanrdquo step in the Plan-Do-Check-Act process The implementation and operation section moves into the ldquodordquo step The standard says that elements in this section

4 introduCtion

ldquoprovide the backbone of an occupational health and safety management system and the means to pursue the objectives from the planning processrdquo This is a very brief chapter Comments are made only on certain of its provisions Contractors Emergency preparedness Education Training Awareness and Competence Communications and Document and Record Controls

Mention was made in the abstract of the planning section of the special emphasis given to the assessment and prioritization requirements in Section 42 Several pro-visions in implementation and operation (Section 50) relate directly to assessment and prioritization Separate chapters are devoted to the assessment and prioritization provisions and the implementation and operation provisions

11 Primer on Hazard Analysis and Risk Assessment

12 Provisions for Risk Assessments in Standards and Guidelines

13 Three- and Four-Dimensional Risk Scoring Systems

14 Hierarchy of Controls

15 Safety Design Reviews

19 Management of Change

20 The Procurement Process

Also lean concepts as discussed in this book (Chapter 18) relate to the safety design review provisions in Z10

An important addition was made in Z10rsquos 2012 version that can be found in Section 511 ldquoRisk Assessmentsrdquo Several of the chapters enumerated previously pertain to risk assessment

11 Primer on hazard analysis and risk assessment Sections 42 and 511 of Z10

My intent in this chapter is to provide sufficient knowledge of hazard analysis and risk assessment methods to serve most of a safety and health professionalrsquos needs Explored are what a hazard analysis is how a hazard analysis is extended into a risk assessment the steps to be followed in conducting a hazard analysis and a risk assessment several commonly used risk assessment techniques and risk assessment matrices

12 Provisions for risk assessment in Standards and guidelines Sections 42 and 511 of Z10

Several safety standards and guidelines issued in recent years contain hazard analysis and risk assessment provisions This is a significant worldwide trend Comments are made on the content of several of those standards and guidelines Taken as a whole they are convincing indicators along with the hazard analysis and risk assessment provisions in Z10 that safety and health professionals will be expected to know as a matter of career enhancement how to make risk assessments

introduCtion 5

13 three- and Four-dimensional risk Scoring Systems Sections 511 and 512 of Z10

For risk assessments the practicemdashbroadlymdashis to establish qualitative risk levels by considering only two dimensions probability of event occurrence and the severity of harm or damage that could result Translating those assessments into numerical risk scores is not usually necessary However systems now in use may be three- or four-dimensional and require numerical risk scorings In this chapter we review several numerical risk scoring systems A three-dimensional numerical risk scoring system that I developed to serve the needs of those who prefer to have numbers in their risk assessment systems is presented

14 hierarchy of controls Section 512 of Z10

This section of Z10 states ldquoThe organization shall implement and maintain a process for achieving feasible risk reduction based on the following order of controlsrdquo Achieving an understanding of this order of controls is a step forward in the practice of safety In this chapter we review the evolution of hierarchies of control discuss the Z10 hierarchy and provide guidelines on its application comment on the logic of applying the hierarchy of controls and place the hierarchy within good problem-solving techniques as in the safety decision hierarchy

15 Safety design reviews Section 513 of Z10

Design Review and Management of Change requirements are addressed jointly in Section 513 Although the subjects are interrelated each has its own importance and uniqueness Guidance on the concept of management of change is provided in Chapter 19 In this chapter we discuss the design review processes in Z10 and include a review of safety through design concepts comment on how some safety profes-sionals are engaged in the design process and provide a composite of safety through design procedures in place a safety design review and operations requirements guide and a general design safety checklist

16 Prevention through design Sections 511 to 514 of Z10

The core of the concept of prevention through design is the identification and analysis of hazards and the making of risk assessments in the design and redesign processes This material has a particular kinship to risk assessment in Section 511 That section requires establishing ldquoa risk assessment process(es) appropriate to the nature of hazards and level of risksrdquo The following principles are offered in support of the premise that prevention through design should have a prominent place within an operational risk management system

1 Hazards and risks are avoided eliminated reduced or controlled most effectively and economically in design and redesign processes

6 introduCtion

2 Hazard analysis is the most important safety process in that if it fails all other processes are likely to be ineffective

3 Risk assessment should be the cornerstone of an operational risk management system

4 If hazards are identified and analyzed and risks are assessed and dealt with properly in the design and redesign processes the potential for serious injury is reduced significantly

We comment on all of the elements in ANSIASSE Z5903 the standard entitled Prevention through Design Guidelines for Addressing Occupational Hazards and Risks in Design and Redesign Processes A major section deals with relationships with suppliers Guidelines are provided on how to avoid bringing hazards and their related risks into a workplace

17 a Primer on System Safety Sections 40 42 511 512 and appendix F of Z10

This chapter relates to several sections in Z10 There is a direct relationship between system safety concepts and the processes necessary to implement Z10 and to the practice of safety as a whole System safety is hazards based and risk based and is employed in the design processes I believe that generalists in the practice of safety will improve the quality of their performance by acquiring knowledge of applied system safety concepts and practices In this chapter we relate the generalistrsquos prac-tice of safety to applied system safety concepts provide a history of the origin development and application of system safety methods outline the system safety idea in terms applicable to the generalistrsquos practice of safety and encourage safety generalists to acquire knowledge and skills in system safety

18 lean conceptsmdashemphasizing the design Process Section 513 of Z10

Applied lean concepts are to eliminate waste improve efficiency and lower produc-tion costs The direct and ancillary costs of accidents are among the elements of waste that should be addressed in the lean process In this chapter we discuss the origin of lean concepts and how broadly they are being applied comment on the opportunity for effective involvement in lean initiatives by safety professionals and outline a unique design process in which lean safety and environmental needs are addressed

19 management of change Section 513 of Z10

The objective of a management of change system is to identify potential hazards and risks prior to beginning activities such as new construction alteration of an existing facility shutdowns and startups and unplanned maintenance In this chapter we discuss the management of change provisions in Z10 define the purpose

introduCtion 7

and methodology of a management of change system and relate the system to the change analysis concept establish the significance of these provisions in preventing serious injuries and fatalities and major property damage incidents and outline management of change procedures Four real-world examples of manage-ment of change procedures are included and an approach is provided for access to six others

20 the Procurement Process Section 514 of Z10

The purpose of the procurement process is to avoid bringing hazards and risks into the workplace In this chapter we establish the importance of including safety specifica-tions in purchasing orders and contracts and provide resources and guidance on design specifications that become purchasing specifications to be met by vendors who supply machinery equipment and materials Two addenda are examples of procedures that relate to the procurement process

21 evaluation and corrective action Section 60 of Z10

Section 60 requires that processes be in place to determine whether the results intended for the occupational health and safety management system were achieved In this chapter we comment on monitoring measurement and assessment require-ments provisions for taking corrective actions and communications on the lessons learned being fed back into the planning and management review initiatives Separate chapters of this book deal with two provisions considered vital in the evaluation and corrective action section incident investigation (chapter 22) and audit requirements (chapter 23)

22 incident investigation Section 62 of Z10

In this chapter we encourage that incident investigation be given a higher place within a safety management system comment on the cultural difficulties that may be faced by those who try to have incident investigations improved review the content of a good incident investigation form provide materials to assist in crafting an inves-tigation procedure and promote the adoption of contributing factor identification analysis and resolution systems

23 audit requirements Section 63 of Z10

Provisions in Z10 require that audits be made to determine whether an organization has effectively implemented occupational health and safety management systems In this chapter we establish that the principal purpose of an audit is to improve the culture discuss the implications of hazardous situations observed explore management expec-tations comment on auditor qualifications discuss the need to have safety and health management system audit guides tailored to the location being audited and provide resources to develop suitable audit guides

8 introduCtion

24 management review Section 70 of Z10

The requirements for periodic top management reviews of the occupational health and safety management system and for continuous improvement are defined in Section 70 In this chapter we discuss progress made with respect to risk reduction risk assessment and prioritization employee participation actions taken on recommendations made in audits the extent to which objectives have been met performance related to expecta-tions and taking action based on the findings in the management review

25 comparison Z10 and other Standards and guidelines and vPP certification

Users of Z10 often ask how Z10 compares with other standards and guidelines Such comparisons are included in this chapter The desire that some companies have for their safety management systems to be certified is recognized Organizations are encouraged to consider being certified as meeting OSHA Voluntary Protection Program (VPP) requirements which are included in an addendum


9

Overview Of ANSiAiHA Z10-2012

Chapter 1

On July 25 2005 the American National Standards Institute (ANSI) approved a new standard entitled Occupational Health and Safety Management Systems Its designation was ANSIAIHA Z10-2005 That was a major development For the first time in the United States a national consensus standard for a safety and health management system applicable to organizations of all sizes and types was issued Z10 is an ANSI-approved standard Other safety management system guidelines have been issued that do not have the approval of an accrediting organization

In accord with ANSI requirements standards must be reviewed at least every five years for revision or reaffirmation As appropriate the secretariat the American Industrial Hygiene Association formed a committee to review Z10 The outcome of its work is the revised standard approved on June 27 2012 and designated ANSIAIHA Z10-2012 Shortly after the approval the secretariat was transferred to the American Society of Safety Engineers

All persons who give counsel on occupational safety and health within an organi-zation or who give counsel on occupational safety and health management systems to entities other than their own should have a copy of this revised standard and be thoroughly familiar with its content Significant changes have been made in the revision and valuable support information has been added in appendices With its appendices the standard is a brief safety and health management system manual

This standard provides senior management with a well-conceived state-of-the-art concept and action outline to improve a safety and health management system Drafters of Z10 adopted many of the best worldwide practices As employers make improve-ments to meet the standardrsquos requirements it can be expected that the frequency and

10 Overview Of ANSiAiHA Z10-2012

severity of occupational injuries and illnesses will be reduced The beneficial societal implications of Z10 are substantial

Adoption of the Z10 standard or parts of it is believed to be quite broad but a precise measure of its use and influence would be difficult to develop Nevertheless it is significant that

bull Over 7000 copies of the 2005 version of the standard were sold by the American Industrial Hygiene Association (AIHA) and the American Society of Safety Engineers (ASSE) Thatrsquos a very large number for sales of a standard

bull ASSE which is now the secretariat for Z10-2012 advised that sales of the latter version have been brisk

bull Several universities have used the first edition of Advanced Safety Management Focusing on Z10 and Serious Injury Prevention in safety degree courses

bull Comments often appear in safety-related literature on Z10 provisions and their application

This standard has had and will continue to have a significant and favorable impact on the content of the practice of safety and on the knowledge and skill requirements for safety and health professionals Over time Z10 will revolutionize the practice of safety

Since Z10 represents the state of the art it is not surprising that many organizations do not have management systems in place that meet all its provisions To identify the shortcomings and to develop an improvement plan a gap analysis should be made in which the safety and health management systems in place are compared with Z10 requirements

To assist in developing an understanding of the content and impact of this standard in this overview chapter we comment on

bull Each section of the standard

bull Its history and development as the standard writing committee reached consensus

bull A prominent and major theme within Z10

bull How that major theme relates to serious injury prevention

bull Z10 being a management system standard not a specification standard

bull International harmonization and compatibility

bull Long-term influences and societal implications

bull The continual improvement process the Plan-Do-Check-Act concept

history Development anD Consensus

The American Industrial Hygiene Association obtained approval as the ANSI Accredited Standards Committee for this standard in March 1999 The first full meeting of the committee took place in February 2001 Over a six-year period as many as 80 safety

A MAjOr THeMe 11

professionals were involved as committee members alternates resources and interested commenters They represented industry labor government business associations professional organizations academe and persons of general interest

Thus broad participation in the development of and acceptance of the standard was achieved and the breadth of that participation is significant One of the reasons for the Z10 committeersquos success was its strict adherence to the due-diligence require-ments applicable to the development of an ANSI standard There was a balance of stakeholders providing input and open discussion which resulted in their vetting each issue raised to an appropriate conclusion

In the early stages of the committeersquos work safety and health quality and environ-mental standards and guidelines were collected from throughout the world They were examined and considered for their applicable content In crafting Z10 the intent was not only to achieve significant safety and health benefits through its application but also to have a favorable impact on productivity financial performance quality and other business goals The standard is built on the well-known Plan-Do-Check-Act process for continuous improvement We address that subject in Chapter 7

For the 2012 version the committee applied the same due-diligence provisions as those required by ANSI Well over 50 committee members represented industry government unions and educational institutions And consensus was reached on several revisions and additions representing the current state of the art

Employers who have a sincere interest in reducing employee injuries and ill-nesses will welcome discussions on how their safety and health management systems can be improved A significant number of companies have issued safety policy statements in which they affirm that they will comply with or exceed all relative laws and standards Those employers particularly will want to implement provisions in the standard that are not a part of their safety and health management systems

a major theme

Throughout all the sections of Z10 starting with management leadership and employee participation through the management review provisions the following theme is prominent Processes for continual improvement are to be in place and implemented to assure that

bull Hazards are identified and evaluated

bull Risks are assessed and prioritized

bull Management system deficiencies and opportunities for improvement are identified

bull Risk elimination reduction or control measures are taken to assure that acceptable risk levels are attained

In relation to the foregoing the following definitions as given in the standard are particularly applicable


Note Wherever the wording in this chapter appears in italic type the material is a direct quote from the standard

bull Hazard a condition set of circumstances or inherent property that can cause injury illness or death

bull Exposure contact with or proximity to a hazard taking into account duration and intensity

bull Risk an estimate of the combination of the likelihood of an occurrence of a hazardous event or exposure(s) and the severity of injury or illness that may be caused by the event or exposures

bull Probability the likelihood of a hazard causing an incident or exposure that could result in harm or damagemdashfor a selected unit of time events population items or activity being considered

bull Severity the extent of harm or damage that could result from a hazard-related incident or exposure

bull Risk assessment process(es) used to evaluate the level of risk associated with hazards and system issues

In Appendix F which gives guidance on risk assessment the definitions above are duplicated Although acceptable risk is not a term included in the standardrsquos definitions it is made clear in several places in the standard that the goal is to achieve acceptable risk levels For example later in this chapter it is shown that Section 64 ldquoCorrective and Prevention Actionsrdquo states clearly that an organiza-tion is to have processes in place to ensure that acceptable risk levels are achieved and maintained Also Appendix F states The goal of the risk assessment process including the steps taken to reduce risk is to achieve safe working conditions with an acceptable level of risk Chapter 2 deals with ldquoAchieving Acceptable Risk Levels The Operational Goalrdquo

Understanding the standardrsquos major theme and these definitions is necessary to apply this standard successfully

relating this major theme to serious injury prevention

A plea is made in Chapter 3 ldquoInnovations in Serious Injury and Fatality Preventionrdquo for organizations to improve their safety cultures so that a focus on the prevention of serious injuries is embedded into every aspect of their safety and health management systems In our current economic world staffs at all levels are expected to do more with less Seldom will all the resources money and personnel be available to address all risks To do the greatest good with the limited resources available risks presenting the potential for the most serious harm must be given higher priority for management consideration and action



Second edition










2013038105


10 9 8 7 6 5 4 3 2 1

To Irene

vii

Contents

Foreword ix



acknowledgmentS xv

introduction 1











viii Contents
















index 513

ix

Foreword






x Foreword















xi






















xiii




















xv

aCknowledgments



1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



























2013038105


10 9 8 7 6 5 4 3 2 1

To Irene

vii

Contents

Foreword ix



acknowledgmentS xv

introduction 1











viii Contents
















index 513

ix

Foreword






x Foreword















xi






















xiii




















xv

aCknowledgments



1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















To Irene

vii

Contents

Foreword ix



acknowledgmentS xv

introduction 1











viii Contents
















index 513

ix

Foreword






x Foreword















xi






















xiii




















xv

aCknowledgments



1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















vii

Contents

Foreword ix



acknowledgmentS xv

introduction 1











viii Contents
















index 513

ix

Foreword






x Foreword















xi






















xiii




















xv

aCknowledgments



1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















viii Contents
















index 513

ix

Foreword






x Foreword















xi






















xiii




















xv

aCknowledgments



1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















ix

Foreword






x Foreword















xi






















xiii




















xv

aCknowledgments



1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















x Foreword















xi






















xiii




















xv

aCknowledgments



1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















xi






















xiii




















xv

aCknowledgments



1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme
































xiii




















xv

aCknowledgments



1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme






























xv

aCknowledgments



1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme




















1

introduCtion




2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















2 introduCtion











introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















introduCtion 3










4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















4 introduCtion
















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















introduCtion 5










6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















6 introduCtion











introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















introduCtion 7










8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme



















8 introduCtion






9


Chapter 1

























A MAjOr THeMe 11






a major theme




















9


Chapter 1

























A MAjOr THeMe 11






a major theme







































A MAjOr THeMe 11






a major theme



















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