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Engineering
Safe

Fundamentals

Techniques

Applications

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
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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
wb

New Jersey London S/>


Singapore Hong Kong

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

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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) R e 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,

Vll

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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

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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.

xi

xii

Author

Biography

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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
Author Biography
Chapter 1
1.1
1.2
1.3
1.4
1.5
1.6

vii
xi

Introduction

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
2.2

13

Introduction
Mean, Median, Mode, Range, Mean Deviation, and
Standard Deviation
2.2.1 Mean
2.2.2 Median

14
14
14

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xiv

Contents

2.2.3 Mode
2.2.4 Range
2.2.5 Mean Deviation
2.2.6 Standard Deviation
2.3 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
2.4 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
2.5 Laplace Transform Definition and Final Value Theorem
2.6 First Order Differential Equation Solution Through Laplace
Transforms
2.7 Bathtub Hazard Rate Curve
2.8 Reliability Measures
2.8.1 Reliability
2.8.2 Hazard Rate
2.8.3 Mean Time to Failure
2.9 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

Chapter 3 Workplace Accidents and Safety

41

3.1
3.2

41
42

Introduction
Workplace Accident Facts and Figures

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

Contents

3.3

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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
3.4 Accident Causation Theories
3.4.1 The Domino Accident Causation Theory
3.4.2 The Human Factors Accident Causation Theory
3.5 The Occupational Safety and Health Act (OSHA)
3.5.1 Occupational Safety and Health Administration
Objectives and Employer and Employee Rights and
Responsibilities
3.5.2 Record Keeping and Reporting Requirements and
Safety and Health Standards
3.5.3 Occupational Safety and Health Administration
Achievements, Shortcomings, and Strategic Plan for
1997-2002
3.6 Workers' Compensation
Problems
References

xv

Chapter 4
4.1
4.2
4.3

4.4

4.5

4.6
4.7

Safety Management and Control

Introduction
Safety Management Principles
Safety Department Functions, Safety Manager
Qualifications and Functions, and Safety Engineer
Qualifications and Functions
Developing a Safety Program Plan, Plant Safety Checklist
for Managers, Safety Responsibilities of Non-Safety
Managers, and Managerial Deficiencies Leading to Accidents
Safety Committees, Motivating Employees to Work
Safely, and Safety-Related Strategies for Safety Professionals
4.5.1 Motivating Employees to Work Safely
4.5.2 Safety-Related Strategies for Safety Professionals
Product Safety Management Program, Organization
Tasks, and Functions of Non-Safety Organizations
Safety Performance Measures
4.7.1 Index I: Disabling Injury Frequency Rate
4.7.2 Index II: Disabling Injury Severity Rate

43
44
45
46
48

48
51

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57
57
58

59

61
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68
69
72
73
73

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4.7.3
Problems
References

Drawbacks of the Standard Indexes

74
74
75

Chapter 5 Safety Analysis Methods and Techniques

77

5.1
5.2

77
78

Introduction
Failure Modes and Effect Analysis (FMEA)
5.2.1 Failure Mode Effects and Criticality Analysis
(FMECA)
5.3 Fault Tree Analysis (FTA)
5.3.1 Probability Evaluation of Fault Trees
5.3.2 Advantages and Disadvantages of Fault Tree
Analysis (FTA)
5.4 Markov Method
5.5 Technic of Operations Review (TOR)
5.6 Preliminary Hazard Analysis (PHA)
5.7 Hazards and Operability Analysis (HAZOP)
5.8 Interface Safety Analysis
5.9 Job Safety Analysis (JSA)
5.10 Control Charts
Problems
References

79
80
81
83
84
86
87
88
89
90
90
93
93

Chapter 6 Risk Management

95

6.1
6.2
6.3

95
96

6.4

6.5
6.6

Introduction
Risk Management Related Terms and Definitions
Risk Components and Types, Risk Management Objectives,
and Risk Analysis Objectives in Hazardous System Life
Cycle
Risk Management Process, Interested Parties in the Risk
Management Process, Functions and Qualifications of a Risk
Manager
Risk Management Rules and Audits
Risk Analysis Process and Methods
6.6.1 Hazard and Operability Study (HAZOP)
6.6.2 Event Tree Analysis (ETA)
6.6.3 Consequence Analysis

97

99
100
101
103
103
104

Contents

xvii

6.6.4 Frequency Analysis


Common Errors in Risk Management, Risk Estimates
for Selective Events, and Risk Analysis Advantages
Problems
References

104
105
106
107

Chapter 7 Human Factors in Safety

109

7.1
7.2
7.3

Introduction
Terms and Definitions
Job Stress
7.3.1 Classification of Occupational Stressors and
Workplace Stress Effects
7.3.2 Physical Stress Influencing Factors
7.3.3 Human Operator's Stress Characteristics and
Stressors' Checklist
7.4 Worksite Analysis Program for Human Factors
7.5 Symptoms of Human Factor-Related Problems in
Organizations, Identification of Specific Human Factors
Problems, and Strategies for Solving Human Factors
Problems
7.6 Typical Human Behaviors, Occupational Safety and
Health Administration Ergonomics Guidelines, and
Human Factors/Safety Issues
7.7 Employee Training and Education
7.8 Human Error and Human Reliability Prediction Models
7.8.1 Human Reliability Prediction Models
Problems
References

109
110
110

Chapter 8

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6.7

8.1
8.2
8.3

8.4

Safety Costing

Introduction
Safety Cost Facts, Figures, and Examples
Resource Losses Related to Safety and Health and
a Company's Losses Due to an Accident Involving its
Product
Safety Cost Estimation Methods
8.4.1 The Heinrich Method

111
112
113
114

116

119
121
122
123
127
127

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130

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Contents

8.4.2 The Simonds Method


8.4.3 The Wallach Method
8.5 Safety Cost Estimation Models
8.5.1 Accident Hidden Cost Estimation Model
8.5.2 Accident Prevention Program Cost Estimation Model
8.5.3 Product Life Cycle Safety cost Estimation Model I
8.5.4 Product Life Cycle Safety Cost Estimation Model II
8.5.5 Total Safety Cost Estimation Model
8.6 Safety Cost Performance Measurement Indexes
8.6.1 Average Injury Cost Per Unit Turnover Index
8.6.2 Average Cost Per Injury Index
8.6.3 Average Injury Cost Per Profit Dollar Index
8.7 Accident Data Shortcomings and Cost-Benefit Analysis
Related Facts with Respect to Safety and Health
Regulations
Problems
References

133
134
135
135
136
136
136
137
138
138
138
139

Chapter 9 Maintenance Safety

143

9.1
9.2
9.3

Introduction
Facts, Figures, and Examples
Reasons for Safety Problems in Maintenance and Factors
Responsible for Dubious Safety Reputation in
Maintenance Work
9.4 Maintenance Personnel Safety and Typical Human
Behaviors
9.5 Maintenance Safety-Related Questions for Equipment
Manufacturers and Useful Guidelines for Equipment
Designers to Improve Safety in Maintenance
9.6 Maintenance Safety Models
9.6.1 Model I
9.6.2 Model II
Problems
References

143
144

Chapter 10 Software Safety

159

10.1 Introduction

159

139
141
141

145
146

147
149
149
152
156
156

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Contents

xix

10.2 Terms and Definitions


10.3 Facts, Figures and Examples of Software Error
10.4 Software Reliability versus Software Safety and
Security versus Safety
10.5 Computer Related Myths, Software Risk Increasing Ways
and Categories, and Software Hazard Causing Ways
10.6 Basic Software System Safety Tasks, Software Quality
Assurance Organization's Role with Respect to Safety, and
Software Safety Assurance Program*
10.7 Software Hazard Analysis Methods
10.7.1 Software Sneak Circuit Analysis
10.7.2 Code Walk-Through
10.7.3 Nuclear Safety Cross-Check Analysis (NSCCA)
10.7.4 Proof of Correctness
10.7.5 Event-Tree Analysis
10.7.6 Failure Modes and Effects Analysis (FMEA)
10.7.7 Software Fault Tree Analysis
10.8 Software Standards
10.9 Practical Software Safety Design-Related Guidelines
Problems
References

160
160

Chapter 11 Robot Safety

177

11.1 Introduction
11.2 Terms and Definitions
11.3 Robot Accident Facts, Figures, and Fatality-Related
Examples
11.4 Unique Robot Safety Problems, Robot Accident Types, and
Robot Hazard Causes
11.5 Safety Considerations in Robot Life Cycle
11.5.1 Design Phase
11.5.2 Installation Phase
11.5.3 Programming Phase
11.5.4 Operation and Maintenance Phase
11.6 Common Robot Safety Features and Robot Safeguard
Approaches
11.7 Robot Safety Analysis Methods
11.7.1 Failure Modes and Effect Analysis (FMEA)

177
178

161
162

164
167
168
168
168
169
170
170
170
171
173
173
174

179
180
182
182
183
183
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186
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Contents

11.7.2 Fault Tree Analysis (FTA)


11.7.3 The Markov Method
11.8 A Methodology for Safer Robot Design and General
Guidelines for Minimizing the Safety Problems of Robots
Problems
References

187
188

Chapter 12 Safety in Health Care Systems

199

12.1
12.2
12.3
12.4

Introduction
Facts and Figures
Medical Device/Equipment Safety versus Reliability
Medical Device Safety Types, and Medical Device Hardware
and Software Safety
12.5 Patient Injury and Medical Device Accident Causes
12.6 Human Error in Health Care Systems
12.6.1 Medical Device/Equipment Associated Operator
Errors
12.6.2 Medical Devices/Equipment with a High Occurrence
of Human Error
12.7 Medical Device Safety Requirements and Legal Aspects
12.8 Models for Predicting Accident Occurrence Probability of a
Medical Device/Equipment
12.8.1 Model I
12.8.2 Model II
12.9 Organizations, Standards, and Data Sources
12.9.1 Organizations
12.9.2 Standards
12.9.3 Data Sources
Problems
References

199
200
200

Index

215

193
196
196

201
202
203
205
205
205
208
208
209
211
211
211
212
212
213