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Handbook of Safety Principles

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Description

Presents recent breakthroughs in the theory, methods, and applications of safety and risk analysis for safety engineers, risk analysts, and policy makers

Safety principles are paramount to addressing structured handling of safety concerns in all technological systems. This handbook captures and discusses the multitude of safety principles in a practical and applicable manner. It is organized by five overarching categories of safety principles: Safety Reserves; Information and Control; Demonstrability; Optimization; and Organizational Principles and Practices. With a focus on the structured treatment of a large number of safety principles relevant to all related fields, each chapter defines the principle in question and discusses its application as well as how it relates to other principles and terms. This treatment includes the history, the underlying theory, and the limitations and criticism of the principle. Several chapters also problematize and critically discuss the very concept of a safety principle. The book treats issues such as: What are safety principles and what roles do they have? What kinds of safety principles are there? When, if ever, should rules and principles be disobeyed? How do safety principles relate to the law; what is the status of principles in different domains? The book also features:

• Insights from leading international experts on safety and reliability

• Real-world applications and case studies including systems usability, verification and validation, human reliability, and safety barriers

• Different taxonomies for how safety principles are categorized

• Breakthroughs in safety and risk science that can significantly change, improve, and inform important practical decisions

• A structured treatment of safety principles relevant to numerous disciplines and application areas in industry and other sectors of society

• Comprehensive and practical coverage of the multitude of safety principles including maintenance optimization, substitution, safety automation, risk communication, precautionary approaches, non-quantitative safety analysis, safety culture, and many others

The Handbook of Safety Principles is an ideal reference and resource for professionals engaged in risk and safety analysis and research. This book is also appropriate as a graduate and PhD-level textbook for courses in risk and safety analysis, reliability, safety engineering, and risk management offered within mathematics, operations research, and engineering departments.

NIKLAS MÖLLER, PhD, is Associate Professor at the Royal Institute of Technology in Sweden. The author of approximately 20 international journal articles, Dr. Möller's research interests include the philosophy of risk, metaethics, philosophy of science, and epistemology.

SVEN OVE HANSSON, PhD, is Professor of Philosophy at the Royal Institute of Technology. He has authored over 300 articles in international journals and is a member of the Royal Swedish Academy of Engineering Sciences. Dr. Hansson is also a Topical Editor for the Wiley Encyclopedia of Operations Research and Management Science.

JAN-ERIK HOLMBERG, PhD, is Senior Consultant at Risk Pilot AB and Adjunct Professor of Probabilistic Riskand Safety Analysis at the Royal Institute of Technology. Dr. Holmberg received his PhD in Applied Mathematics from Helsinki University of Technology in 1997.

CARL ROLLENHAGEN, PhD, is Adjunct Professor of Risk and Safety at the Royal Institute of Technology. Dr. Rollenhagen has performed extensive research in the field of human factors and MTO (Man, Technology, and Organization) with a specific emphasis on safety culture and climate, event investigation methods, and organizational safety assessment.

Preface xxv

List of Contributors xxvii

1 Introduction 1
Niklas Möller, Sven Ove Hansson, Jan-Erik Holmberg, and Carl Rollenhagen

1.1 Competition, Overlap, and Conflicts 1

1.2 A New Level in the Study of Safety Principles 2

1.3 Metaprinciples of Safety 3

1.4 Other Ways to Characterize Safety Principles 5

1.5 Conflicts Between Safety Principles 7

1.6 When Can Safety Principles Be Broken? 8

1.7 Safety in Context 9

References 10

2 Preview 11
Niklas Möller, Sven Ove Hansson, Jan-Erik Holmberg, and Carl Rollenhagen

2.1 Part I: Safety Reserves 12

2.2 Part II: Information and Control 13

2.3 Part III: Demonstrability 16

2.4 Part IV: Optimization 17

2.5 Part V: Organizational Principles and Practices 20

Part I Safety Reserves 23

3 Resilience Engineering and the Future of Safety Management 25
Erik Hollnagel

3.1 On the Origins of Resilience 25

3.2 The Resilience Engineering Understanding of “Resilience” 27

3.3 The Four Potentials for Resilience Performance 29

3.4 Safety Management Systems 31

3.5 Developing Definitions of Resilience 33

3.6 Managing the Potentials for Resilient Performance 34

3.7 Resilience Management: LP-HI OR HP-LI? 37

References 39

4 Defense-In-Depth 42
Jan-Erik Holmberg

4.1 Introduction 42

4.2 Underlying Theory and Theoretical Assumptions 43

4.3 Redundancy, Diversity, and Separation Principles 44

4.4 Use and Implementation 53

4.5 Empirical Research on use and Efficiency 57

4.6 Weaknesses, Limitations, and Criticism 57

4.7 Relations to Other Safety Principles 59

References 60

Further Reading 61

5 Safety Barriers 63
Lars Harms-Ringdahl and Carl Rollenhagen

5.1 Introduction 63

5.2 Origin and Theoretical Background 65

5.3 Definitions and Terminology 67

5.4 Classification of Barriers 71

5.5 Methods for Analysis of Safety Barriers 75

5.6 Quality and Efficiency of Barriers 79

5.7 Discussion and Conclusions 82

References 84

6 Factors and Margins of Safety 87
Neelke Doorn and Sven Ove Hansson

6.1 Introduction 87

6.2 Origin and History 91

6.3 Definitions and Terminology 92

6.4 Underlying Theory and Theoretical Assumptions 94

6.5 Use and Implementation 98

6.6 Empirical Research on Use and Efficiency 101

6.7 Weaknesses, Limitations, and Criticism 103

6.8 Relations to Other Safety Principles 105

Acknowledgment 108

References 108

Further Reading 114

Part II Information and Control 115

7 Experience Feedback 117
Urban Kjellén

7.1 Introduction 117

7.2 Origin and History 118

7.3 Definitions 121

7.4 Underlying Theories and Assumptions 122

7.5 Use and Implementation 127

7.6 Empirical Research on Use and Efficiency 135

7.7 Relations to Other Safety Principles 137

References 138

Further Reading 141

8 Risk and Safety Indicators 142
Drew Rae

8.1 Introduction 142

8.2 Origin and History 143

8.3 Definitions and Terminology 145

8.4 Underlying Theory and Theoretical Assumptions 146

8.5 Use and Implementation 152

8.6 Empirical Research on Use and Efficacy 154

8.7 Weaknesses, Limitations, and Criticism 155

8.8 Relations to Other Safety Principles 158

References 159

9 Principles of Human Factors Engineering 164
Leena Norros and Paula Savioja

9.1 Introduction 164

9.2 Principle 1: HFE is Design Thinking 167

9.3 Principle 2: HFE Studies Human as a Manifold Entity 172

9.4 Principle 3: HFE Focuses on Technology in Use 177

9.5 Principle 4: Safety is Achieved Through Continuous HFE 182

9.6 Relation to Other Safety Principles 187

9.7 Limitations 188

9.8 Conclusions 189

References 190

Further Reading 195

10 Safety Automation 196
Björn Wahlström

10.1 Introduction 196

10.2 Origin and History 201

10.3 Definitions and Terminology 205

10.4 Underlying Theories and Assumptions 211

10.5 Use and Implementation 215

10.6 Research on Use and Efficiency 220

10.7 Weaknesses, Limitations, and Criticism 222

10.8 Relations to Other Safety Principles 225

10.9 Summary and Conclusions 228

References 229

11 Risk Communication 235
Jan M. Gutteling

11.1 Introduction 235

11.2 The Origin and History of Risk Communication as Academic Field 238

11.3 Underlying Assumptions, Concepts and Empirical Data on Risk Communication Models 241

11.4 Weaknesses, Limitations, and Criticism 250

11.5 Final Word 252

References 252

Further Reading 257

12 The Precautionary Principle 258
Sven Ove Hansson

12.1 Introduction 258

12.2 History and Current Use 259

12.3 Definitions 263

12.4 Underlying Theory 267

12.5 Research on Use and Efficiency 271

12.6 Weaknesses, Limitations, and Criticism 271

12.7 Relation to Expected Utility and Probabilistic Risk Assessment 273

12.8 Relations to Other Safety Principles 276

Acknowledgment 279

References 279

Further Reading 283

13 Operating Procedure 284
Jinkyun Park

13.1 Introduction 284

13.2 Manual, Guideline, and Procedure 286

13.3 Existing Principles for Developing a Good Procedure 288

13.4 Additional Principle to Develop a Good Procedure 292

13.5 Concluding Remarks 299

References 301

Further Reading 304

14 Human-Machine System 305
Anna-Lisa Osvalder and Håkan Alm

14.1 Human–Machine System 306

14.2 Complex Systems 307

14.3 To Control a Complex System 307

14.4 Operator Demands 308

14.5 Performance-Shaping Factors 313

14.6 User Interface Design 315

14.7 Demands on the Environment 322

14.8 Handling Complexity 327

References 329

Part III Demonstrability 331

15 Quality Principles and Their Applications To Safety 333
Bo Bergman

15.1 Introduction 333

15.2 Improvement Knowledge and its Application to Safety 338

15.3 Health-Care Improvement and Patient Safety 349

15.4 Weaknesses, Limitations, and Criticism 351

15.5 Some Personal Experiences 352

15.6 Relations to Other Safety Principles 353

References 355

Further Reading 360

16 Safety Cases 361
Tim Kelly

16.1 Introduction 361

16.2 Origins and History 361

16.3 Definitions and Terminology 364

16.4 Underlying Theory 367

16.5 Empirical Research on Use and Efficiency 377

16.6 Weaknesses, Limitations, and Criticisms 377

16.7 Relationship to Other Principles 382

References 383

Further Reading 385

17 Inherently Safe Design 386
Rajagopalan Srinivasan and Mohd Umair Iqbal

17.1 Introduction 386

17.2 Origin and History of the Principle 387

17.3 Definitions and Terminology 388

17.4 Use and Implementation 389

17.5 Empirical Research on Use and Efficiency 392

17.6 Weaknesses, Limitation, and Criticism 393

17.7 Relation to Other Principles 394

References 394

18 Maintenance, Maintainability, and Inspectability 397
Torbjörn Ylipää, Anders Skoogh, and Jon Bokrantz

18.1 Introduction 397

18.2 Origin and History 399

18.3 Underlying Theory, Theoretical Assumptions, Definition, and Terminology 400

18.4 Use and Implementation 405

18.5 Empirical Research on Use and Efficiency 408

18.6 Weaknesses, Limitations, and Criticism 409

18.7 Relations to Other Safety Principles 410

References 410

Further Reading 413

Part IV Optimization 415

19 On the Risk-Informed Regulation for the Safety Against External Hazards 417
Pieter van Gelder

19.1 Introduction 417

19.2 Risk-Regulation in Safety Against Environmental Risks 421

19.3 Dealing with Uncertainties in Risk-Informed Regulation 422

19.4 Limitations of the Current Risk Measures 424

19.5 Spatial Risk 426

19.6 Temporal Risk 429

19.7 Conclusions and Recommendations 431

Acknowledgment 432

References 432

20 Quantitative Risk Analysis 434
Jan-Erik Holmberg

20.1 Introduction 434

20.2 Origin and History 435

20.3 Underlying Theory and Theoretical Assumptions 438

20.4 Use and Implementation 449

20.5 Empirical Research on Use and Efficiency 456

20.6 Weaknesses, Limitations, and Criticism 456

20.7 Relations to Other Safety Principles 458

References 458

Further Reading 460

21 Qualitative Risk Analysis 463
Risto Tiusanen

21.1 Introduction 463

21.2 Origin and History of the Principle 464

21.3 Definitions 465

21.4 Underlying Theory and Theoretical Assumptions 466

21.5 Use and Implementation 471

21.6 Strengths, Weaknesses, Limitations and Criticism 480

21.7 Experiences of Preliminary Hazard Identification Methods 482

21.8 Experiences of Hazop Studies 482

21.9 Experiences of Risk Estimation Methods 483

21.10 Summary of Strengths and Limitations 484

21.11 Experiences from Complex Machinery Applications 484

21.12 Relations to Other Safety Principles 491

References 491

22 Principles and Limitations of CostBenefit Analysis for Safety Investments 493
Genserik Reniers and Luca Talarico

22.1 Introduction 493

22.2 Principles of Cost–Benefit Analysis 495

22.3 CBA Methodologies 497

22.4 Conclusions 511

References 512

23 Rams Optimization Principles 514
Yan-Fu Li and Enrico Zio

List of Acronyms 514

23.1 Introduction to Reliability, Availability, Maintainability, and Safety (RAMS) Optimization 515

23.2 Multi-Objective Optimization 516

23.3 Solution Methods 519

23.4 Performance Measures 523

23.5 Selection of Preferred Solutions 524

23.6 Guidelines for Implementation and Use 525

23.7 Numerical Case Study 527

23.8 Discussion 536

23.9 Relations to Other Principles 536

References 537

Further Reading 539

24 Maintenance Optimization and Its Relation to Safety 540
Roger Flage

24.1 Introduction 540

24.2 Related Principles and Terms 541

24.3 Maintenance Optimization 547

24.4 Discussion and Conclusions 556

Further Reading 559

References 561

25 Human Reliability Analysis 565
Luca Podofillini

25.1 Introduction with Examples 565

25.2 Origin and History of the Principle 569

25.3 Underlying Theory and Theoretical Assumptions 572

25.4 Use and Implementation 576

25.5 Empirical Research on Use and Efficiency 578

25.6 Weaknesses, Limitations, and Criticism 583

25.7 Relationship with Other Principles 585

References 586

26 Alara, Bat, and the Substitution Principle 593
Sven Ove Hansson

26.1 Introduction 593

26.2 Alara 594

26.3 Best Available Technology 601

26.4 The Substitution Principle 606

26.5 Comparative Discussion 615

Acknowledgment 618

References 618

Further Reading 624

Part V Organizational Principles and Practices 625

27 Safety Management Principles 627
Gudela Grote

27.1 Introduction 627

27.2 Origin and History of the Principle 629

27.3 Definitions 629

27.4 Underlying Theory and Theoretical Assumptions 630

27.5 Use and Implementation 633

27.6 Empirical Research on Use and Efficiency 634

27.7 Weaknesses, Limitations, and Criticism 640

27.8 Relations to Other Safety Principles 642

References 642

Further Reading 646

28 Safety Culture 647
Teemu Reiman and Carl Rollenhagen

28.1 Introduction 647

28.2 Origin and History 652

28.3 Definitions and Terminology 656

28.4 Underlying Theory and Theoretical Assumptions 658

28.5 Empirical Research 662

28.6 Use and Implementation 663

28.7 Weaknesses and Critique 667

28.8 Main Messages and What the Concept Tells About Safety 670

References 671

29 Principles of Behavior-Based Safety 677
Steve Roberts and E. Scott Geller

29.1 Introduction 677

29.2 Origin and History of BBS 678

29.3 Leadership 680

29.4 Physical Environment/Conditions 683

29.5 Systems 683

29.6 Behaviors 689

29.7 Employee Involvement and Ownership 695

29.8 Person States 699

29.9 The Benefits of Behavior-Based Safety 701

29.10 Weaknesses, Limitations, and Criticisms 703

29.11 Relationship with Other Principles 705

References 707

Further Reading 710

30 Principles of Emergency Plans and Crisis Management 711
Ann Enander

30.1 Introduction 711

30.2 Origin and History 716

30.3 Definitions and Terminology 717

30.4 Underlying Theory and Theoretical Assumptions 720

30.5 Use and Implementation 721

30.6 Empirical Research on Use and Efficiency 722

30.7 Weaknesses, Limitations, and Criticism 723

30.8 Relations to Other Safety Principles 725

References 726

Further Reading 731

31 Safety Standards: Chronic Challenges and Emerging Principles 732
Ibrahim Habli

31.1 Introduction 732

31.2 Definitions and Terminology 734

31.3 Organization of Safety Standards 734

31.4 Domain Specific Principles 736

31.5 Development of Standards 742

31.6 Rationale in Standards 743

31.7 Chapter Summary 744

References 744

Further Reading 746

32 Managing the Unexpected 747
Jean-Christophe Le Coze

32.1 Introduction 747

32.2 Defining the Unexpected 750

32.3 Thirty Years of Research on the Unexpected 754

32.4 Managing the Unexpected 766

32.5 Relation to Other Principles: Further Reading 771

32.6 Conclusion 772

References 772

Index 777