Handbook of Safety Principles

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 Risk and 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 xxvList of Contributors xxvii1 Introduction 1Niklas Möller, Sven Ove Hansson, Jan-Erik Holmberg, and Carl Rollenhagen1.1 Competition, Overlap, and Conflicts 11.2 A New Level in the Study of Safety Principles 21.3 Metaprinciples of Safety 31.4 Other Ways to Characterize Safety Principles 51.5 Conflicts Between Safety Principles 71.6 When Can Safety Principles Be Broken? 81.7 Safety in Context 9References 102 Preview 11Niklas Möller, Sven Ove Hansson, Jan-Erik Holmberg, and Carl Rollenhagen2.1 Part I: Safety Reserves 122.2 Part II: Information and Control 132.3 Part III: Demonstrability 162.4 Part IV: Optimization 172.5 Part V: Organizational Principles and Practices 20Part I Safety Reserves 233 Resilience Engineering and the Future of Safety Management 25Erik Hollnagel3.1 On the Origins of Resilience 253.2 The Resilience Engineering Understanding of “Resilience” 273.3 The Four Potentials for Resilience Performance 293.4 Safety Management Systems 313.5 Developing Definitions of Resilience 333.6 Managing the Potentials for Resilient Performance 343.7 Resilience Management: LP-HI OR HP-LI? 37References 394 Defense-In-Depth 42Jan-Erik Holmberg4.1 Introduction 424.2 Underlying Theory and Theoretical Assumptions 434.3 Redundancy, Diversity, and Separation Principles 444.4 Use and Implementation 534.5 Empirical Research on use and Efficiency 574.6 Weaknesses, Limitations, and Criticism 574.7 Relations to Other Safety Principles 59References 60Further Reading 615 Safety Barriers 63Lars Harms-Ringdahl and Carl Rollenhagen5.1 Introduction 635.2 Origin and Theoretical Background 655.3 Definitions and Terminology 675.4 Classification of Barriers 715.5 Methods for Analysis of Safety Barriers 755.6 Quality and Efficiency of Barriers 795.7 Discussion and Conclusions 82References 846 Factors and Margins of Safety 87Neelke Doorn and Sven Ove Hansson6.1 Introduction 876.2 Origin and History 916.3 Definitions and Terminology 926.4 Underlying Theory and Theoretical Assumptions 946.5 Use and Implementation 986.6 Empirical Research on Use and Efficiency 1016.7 Weaknesses, Limitations, and Criticism 1036.8 Relations to Other Safety Principles 105Acknowledgment 108References 108Further Reading 114Part II Information and Control 1157 Experience Feedback 117Urban Kjellén7.1 Introduction 1177.2 Origin and History 1187.3 Definitions 1217.4 Underlying Theories and Assumptions 1227.5 Use and Implementation 1277.6 Empirical Research on Use and Efficiency 1357.7 Relations to Other Safety Principles 137References 138Further Reading 1418 Risk and Safety Indicators 142Drew Rae8.1 Introduction 1428.2 Origin and History 1438.3 Definitions and Terminology 1458.4 Underlying Theory and Theoretical Assumptions 1468.5 Use and Implementation 1528.6 Empirical Research on Use and Efficacy 1548.7 Weaknesses, Limitations, and Criticism 1558.8 Relations to Other Safety Principles 158References 1599 Principles of Human Factors Engineering 164Leena Norros and Paula Savioja9.1 Introduction 1649.2 Principle 1: HFE is Design Thinking 1679.3 Principle 2: HFE Studies Human as a Manifold Entity 1729.4 Principle 3: HFE Focuses on Technology in Use 1779.5 Principle 4: Safety is Achieved Through Continuous HFE 1829.6 Relation to Other Safety Principles 1879.7 Limitations 1889.8 Conclusions 189References 190Further Reading 19510 Safety Automation 196Björn Wahlström10.1 Introduction 19610.2 Origin and History 20110.3 Definitions and Terminology 20510.4 Underlying Theories and Assumptions 21110.5 Use and Implementation 21510.6 Research on Use and Efficiency 22010.7 Weaknesses, Limitations, and Criticism 22210.8 Relations to Other Safety Principles 22510.9 Summary and Conclusions 228References 22911 Risk Communication 235Jan M. Gutteling11.1 Introduction 23511.2 The Origin and History of Risk Communication as Academic Field 23811.3 Underlying Assumptions, Concepts and Empirical Data on Risk Communication Models 24111.4 Weaknesses, Limitations, and Criticism 25011.5 Final Word 252References 252Further Reading 25712 The Precautionary Principle 258Sven Ove Hansson12.1 Introduction 25812.2 History and Current Use 25912.3 Definitions 26312.4 Underlying Theory 26712.5 Research on Use and Efficiency 27112.6 Weaknesses, Limitations, and Criticism 27112.7 Relation to Expected Utility and Probabilistic Risk Assessment 27312.8 Relations to Other Safety Principles 276Acknowledgment 279References 279Further Reading 28313 Operating Procedure 284Jinkyun Park13.1 Introduction 28413.2 Manual, Guideline, and Procedure 28613.3 Existing Principles for Developing a Good Procedure 28813.4 Additional Principle to Develop a Good Procedure 29213.5 Concluding Remarks 299References 301Further Reading 30414 Human-Machine System 305Anna-Lisa Osvalder and Håkan Alm14.1 Human–Machine System 30614.2 Complex Systems 30714.3 To Control a Complex System 30714.4 Operator Demands 30814.5 Performance-Shaping Factors 31314.6 User Interface Design 31514.7 Demands on the Environment 32214.8 Handling Complexity 327References 329Part III Demonstrability 33115 Quality Principles and Their Applications To Safety 333Bo Bergman15.1 Introduction 33315.2 Improvement Knowledge and its Application to Safety 33815.3 Health-Care Improvement and Patient Safety 34915.4 Weaknesses, Limitations, and Criticism 35115.5 Some Personal Experiences 35215.6 Relations to Other Safety Principles 353References 355Further Reading 36016 Safety Cases 361Tim Kelly16.1 Introduction 36116.2 Origins and History 36116.3 Definitions and Terminology 36416.4 Underlying Theory 36716.5 Empirical Research on Use and Efficiency 37716.6 Weaknesses, Limitations, and Criticisms 37716.7 Relationship to Other Principles 382References 383Further Reading 38517 Inherently Safe Design 386Rajagopalan Srinivasan and Mohd Umair Iqbal17.1 Introduction 38617.2 Origin and History of the Principle 38717.3 Definitions and Terminology 38817.4 Use and Implementation 38917.5 Empirical Research on Use and Efficiency 39217.6 Weaknesses, Limitation, and Criticism 39317.7 Relation to Other Principles 394References 39418 Maintenance, Maintainability, and Inspectability 397Torbjörn Ylipää, Anders Skoogh, and Jon Bokrantz18.1 Introduction 39718.2 Origin and History 39918.3 Underlying Theory, Theoretical Assumptions, Definition, and Terminology 40018.4 Use and Implementation 40518.5 Empirical Research on Use and Efficiency 40818.6 Weaknesses, Limitations, and Criticism 40918.7 Relations to Other Safety Principles 410References 410Further Reading 413Part IV Optimization 41519 On the Risk-Informed Regulation for the Safety Against External Hazards 417Pieter van Gelder19.1 Introduction 41719.2 Risk-Regulation in Safety Against Environmental Risks 42119.3 Dealing with Uncertainties in Risk-Informed Regulation 42219.4 Limitations of the Current Risk Measures 42419.5 Spatial Risk 42619.6 Temporal Risk 42919.7 Conclusions and Recommendations 431Acknowledgment 432References 43220 Quantitative Risk Analysis 434Jan-Erik Holmberg20.1 Introduction 43420.2 Origin and History 43520.3 Underlying Theory and Theoretical Assumptions 43820.4 Use and Implementation 44920.5 Empirical Research on Use and Efficiency 45620.6 Weaknesses, Limitations, and Criticism 45620.7 Relations to Other Safety Principles 458References 458Further Reading 46021 Qualitative Risk Analysis 463Risto Tiusanen21.1 Introduction 46321.2 Origin and History of the Principle 46421.3 Definitions 46521.4 Underlying Theory and Theoretical Assumptions 46621.5 Use and Implementation 47121.6 Strengths, Weaknesses, Limitations and Criticism 48021.7 Experiences of Preliminary Hazard Identification Methods 48221.8 Experiences of Hazop Studies 48221.9 Experiences of Risk Estimation Methods 48321.10 Summary of Strengths and Limitations 48421.11 Experiences from Complex Machinery Applications 48421.12 Relations to Other Safety Principles 491References 49122 Principles and Limitations of Cost–Benefit Analysis for Safety Investments 493Genserik Reniers and Luca Talarico22.1 Introduction 49322.2 Principles of Cost–Benefit Analysis 49522.3 CBA Methodologies 49722.4 Conclusions 511References 51223 Rams Optimization Principles 514Yan-Fu Li and Enrico ZioList of Acronyms 51423.1 Introduction to Reliability, Availability, Maintainability, and Safety (RAMS) Optimization 51523.2 Multi-Objective Optimization 51623.3 Solution Methods 51923.4 Performance Measures 52323.5 Selection of Preferred Solutions 52423.6 Guidelines for Implementation and Use 52523.7 Numerical Case Study 52723.8 Discussion 53623.9 Relations to Other Principles 536References 537Further Reading 53924 Maintenance Optimization and Its Relation to Safety 540Roger Flage24.1 Introduction 54024.2 Related Principles and Terms 54124.3 Maintenance Optimization 54724.4 Discussion and Conclusions 556Further Reading 559References 56125 Human Reliability Analysis 565Luca Podofillini25.1 Introduction with Examples 56525.2 Origin and History of the Principle 56925.3 Underlying Theory and Theoretical Assumptions 57225.4 Use and Implementation 57625.5 Empirical Research on Use and Efficiency 57825.6 Weaknesses, Limitations, and Criticism 58325.7 Relationship with Other Principles 585References 58626 Alara, Bat, and the Substitution Principle 593Sven Ove Hansson26.1 Introduction 59326.2 Alara 59426.3 Best Available Technology 60126.4 The Substitution Principle 60626.5 Comparative Discussion 615Acknowledgment 618References 618Further Reading 624Part V Organizational Principles and Practices 62527 Safety Management Principles 627Gudela Grote27.1 Introduction 62727.2 Origin and History of the Principle 62927.3 Definitions 62927.4 Underlying Theory and Theoretical Assumptions 63027.5 Use and Implementation 63327.6 Empirical Research on Use and Efficiency 63427.7 Weaknesses, Limitations, and Criticism 64027.8 Relations to Other Safety Principles 642References 642Further Reading 64628 Safety Culture 647Teemu Reiman and Carl Rollenhagen28.1 Introduction 64728.2 Origin and History 65228.3 Definitions and Terminology 65628.4 Underlying Theory and Theoretical Assumptions 65828.5 Empirical Research 66228.6 Use and Implementation 66328.7 Weaknesses and Critique 66728.8 Main Messages and What the Concept Tells About Safety 670References 67129 Principles of Behavior-Based Safety 677Steve Roberts and E. Scott Geller29.1 Introduction 67729.2 Origin and History of BBS 67829.3 Leadership 68029.4 Physical Environment/Conditions 68329.5 Systems 68329.6 Behaviors 68929.7 Employee Involvement and Ownership 69529.8 Person States 69929.9 The Benefits of Behavior-Based Safety 70129.10 Weaknesses, Limitations, and Criticisms 70329.11 Relationship with Other Principles 705References 707Further Reading 71030 Principles of Emergency Plans and Crisis Management 711Ann Enander30.1 Introduction 71130.2 Origin and History 71630.3 Definitions and Terminology 71730.4 Underlying Theory and Theoretical Assumptions 72030.5 Use and Implementation 72130.6 Empirical Research on Use and Efficiency 72230.7 Weaknesses, Limitations, and Criticism 72330.8 Relations to Other Safety Principles 725References 726Further Reading 73131 Safety Standards: Chronic Challenges and Emerging Principles 732Ibrahim Habli31.1 Introduction 73231.2 Definitions and Terminology 73431.3 Organization of Safety Standards 73431.4 Domain Specific Principles 73631.5 Development of Standards 74231.6 Rationale in Standards 74331.7 Chapter Summary 744References 744Further Reading 74632 Managing the Unexpected 747Jean-Christophe Le Coze32.1 Introduction 74732.2 Defining the Unexpected 75032.3 Thirty Years of Research on the Unexpected 75432.4 Managing the Unexpected 76632.5 Relation to Other Principles: Further Reading 77132.6 Conclusion 772References 772Index 777