Designing and building a value risk-matrix for the evaluation and mitigation of health and safety risks with MACBETH Diana F. Lopes, Mónica D. Oliveira and Carlos A. Bana e Costa Centre for Management Studies of Instituto Superior Técnico, Universidade de Lisboa, Portugal TMP Graduate Consortium 2014 Meeting, 23rd June Agenda Context & objectives Methodological framework Structuring Value measurement Future research Context and objectives Methodological framework Structuring o o o o o EI: Nomenclature EII: How to identify and measure risk sources and their consequences? EIII: Identification of impact dimensions EIV: Impact scale construction EV: How to estimate the consequences’ impact in each dimension? Value measurement o MI: Independence test between impact dimensions o MII: Impact value measurement (MACBETH-Choquet model) Future research TMP Graduate Consortium 2014 Meeting, 23rd June 2 Risk matrix in use by the Health Service Executive Impact levels Probability Negligible (1) Minor (2) Moderate (3) Major (4) Extreme (5) Almost Certain (5) 5 10 15 20 25 Likely (4) 4 8 12 16 20 Possible (3) 3 6 9 12 15 Unlikely (2) 2 4 6 8 10 Rare/remote (1) 1 2 3 4 5 Prob. × Impact Similar systems are used by multiple public and private organizations… TMP Graduate Consortium 2014 Meeting, 23rd June 3 U.S. Department of Defense …prioritise risks that threat the health system, organisations, business units and team and/or patients …prioritise risks encountered in the development, test, production, use, and disposal of defense systems (OSQHC, 2005) (US DoD, 2012) Department of Education, Training and Employment (DETE) …prioritise risks that threat the health system, organisations, business units and team and/or patients …managing health and safety risks in DETE workplaces (Figueiredo and Oliveira, 2009) (OSQHC, 2005) TMP Graduate Consortium 2014 Meeting, 23rd June 4 Why are risk matrices widely used? Context & objectives Methodological framework Structuring Value measurement Future research Allow for intuitive use, demanding for limited expertise (Cox, 2009) Imposed by International Standards (ISO, IEC/FDIS 31010) and recommended by guidelines in many contexts (e.g. health and safety) Are included in several packages: • • • SAP (SAP AG, 2012) Active Risk Manager (Microsoft Pinpoint, 2012) MITRE’s risk matrix tool (The MITRE corporation, 1999) Provide a clear framework for systematic review of risks, enabling organizations to prepare convenient documentation Allow for stakeholders participating in the process of building risk matrices (Cox, 2008) TMP Graduate Consortium 2014 Meeting, 23rd June 5 Key problems with risk matrices Context & objectives Methodological framework Structuring Value measurement Future research Cox Jr., L. A. (2008). "What’s wrong with risk matrices?" Risk Analysis 28(2): 497-512. Pickering, A. and S. P. Cowley (2010). "Risk Matrices: implied accuracy and false assumptions." Journal of Health & Safety Research & Practice 2(1): 9-16. Linkov, I., F. K. Satterstrom, et al. (2006). "From comparative risk assessment to multi-criteria decision analysis and adaptive management: Recent developments and applications." Environment International 32: 1072–1093. Levine, E. S. (2011). “Improving risk matrices: the advantages of logarithmically scaled axes.” Journal of Risk Research 15(2): 209–222. Levine, E. S. and J. F. Waters (2013). "Managing risk at the Tucson sector of the U.S. border patrol." Risk Analysis 33(7): 1281-1292. Wall, K. D. (2011). The trouble with risk matrices. Working Paper, Naval Postgraduate School, Defense Resources Management Institute,. 2/2011. Smith, E. D., W. T. Siefert, et al. (2009). " Risk matrix input data biases." Systems Engineerings 12(4): 344-360. TMP Graduate Consortium 2014 Meeting, 23rd June 6 Key problems with risk matrices Context & objectives Methodological framework (examples) Value measurement Structuring Future research Use of interval scales such that the difference in attractiveness between two consecutive impact (probability) levels is the same. Probability Impact levels Negligible (1) Minor (2) Moderate (3) Major (4) Extreme (5) Almost Certain (5) 5 10 15 20 25 Likely (4) 4 8 12 16 20 Possible (3) 3 6 9 12 15 Unlikely (2) 2 4 6 8 10 Rare/remote (1) 1 2 3 4 5 Use of the same qualitative impact scale for all the risk dimensions and characterize each source of risk only by the worst impact level across all the dimensions, ignoring the cumulative effects of multiple impacts Financial losses of €3M & 20 Deaths = Financial losses of €3M TMP Graduate Consortium 2014 Meeting, 23rd June 7 Context: case study Context & objectives Methodological framework Structuring Value measurement Future research Occupational Health and Safety Unit (OHSU) of the ARSLVT composed by an engineer, nurses, doctors and technicians, makes use of traditional risk matrices: Probability of the event Severity of the injury 1. Very low 2. Low 3. High 4. Very high 1. Unlikely 1. Very low 2. Very low Low 4. Moderate 2. Likely 2. Very low 4. Moderate 6. Moderate 8. High 3.Quite likely 3. Low 6. Moderate 9. High 12. Very high 4. Very likely 4. Moderate 8. High 12. Very high 16. Very high Source: (ARSLVT, 2010) TMP Graduate Consortium 2014 Meeting, 23rd June 8 Context: case study Context & objectives Methodological framework Structuring Value measurement Future research Occupational Health and Safety Unit (OHSU) of the ARSLVT composed by a engineer, nurses, doctors and technicians, makes use of traditional risk matrices: Problems with Risk Matrices Severity of the injury Probability of the event 1. Very low 1. Unlikely 2. Likely Low 3. High Interviews,2.reports and 1. Very low 2. Very low manual’s analysis Low 4. Very high 4. Moderate 2. Very low 4. Moderate 6. Moderate 8. High 3.Quite likely 3. Low 6. Moderate 9. High 12. Very high 4. Very likely 4. Moderate 8. High 12. Very high 16. Very high Source: (ARSLVT, 2010) TMP Graduate Consortium 2014 Meeting, 23rd June 9 Context: Interviews, reports and manual’s analysis Context & objectives Methodological framework Structuring Value measurement Future research Ambiguous nomenclature Problems in resource allocation Decision makers’ opinions incompatible with the manual Problems identified Difficulty in identifying the risk sources Arbitrariness when estimating impacts and probabilities TMP Graduate Consortium 2014 Meeting, 23rd June 10 Objectives Context & objectives Methodological framework Structuring Value measurement Future research This study aims to answer the call for help from the OHSU of the ARSLVT Risk Assessment in health and safety at work Challenge: Improve risk matrices’ design to avoid inconsistencies Selection of corrective measures with the greatest potential to mitigate risks TMP Graduate Consortium 2014 Meeting, 23rd June 11 Methodological framework Context & objectives Methodological framework Structuring Value measurement Risk Assessment’s context for Health and Safety at work Value risk matrix, using MACBETH Structuring SI: Identification of issues and challenges SII: Nomenclature SIII: Tables match SIV: Identification of impacts dimensions SV: Impact scales SVI: impacts Estimation Multicriteria resource allocation model Structuring and alocation Mitigation actions Value measurement MI: Dependency test between dimensions MII: Impact MIII: Subjective Probability Selection of mitigation actions Risk classification Acceptability ACTIVITIES PROPOSED System to support risk assessment TMP Graduate Consortium 2014 Meeting, 23rd June Future research Risk management OUTPUTS Multicriteria risk impact value and probability for each risk & Classification of risks into risk categories & Selection of mitigation actions that maximize value given available budget Model requisiteness TMP Graduate Consortium 2014 Meeting, 23rd June 13 Structuring Context & objectives SI Methodological framework Structuring Value measurement Future research Nomenclature Appraisal Risk Sources S II Health consequences CORRESPONDENCE S III Identification of relevant dimensions to assess the impact Impact scales construction Employee’s health S IV Capability to return to work Absenteeism Best 0 yhll Best ND Best 0 days Worst 34 yhll Worst ID Worst 18 years Nota - yhll: years of healthy life lost; ND: null disability; ID: irrecoverable total disability SV Impact estimation on each dimension TMP Graduate Consortium 2014 Meeting, 23rd June 14 Following (ISO, IEC/FDIS 31010), (ARSLVT, 2010), (Vose, 2008) Proposed Nomenclature Grooves on the stairs to access the building Fall Expression levels Grooves: 0 cm 2 cm 10 cm RISK SOURCE RISK (…) Expression’s levels Foot fracture 3,5 dhll RD 1 month of absenteeism IMPACT CONSEQUENCE Nota - dhll: day of healthy life lost; RD: Recoverable Disability TMP Graduate Consortium 2014 Meeting, 23rd June 15 Appraisal Context & objectives SI Methodological framework Structuring Value measurement Future research Nomenclature Appraisal S II Risk Sources Health consequences CORRESPONDENCE TMP Graduate Consortium 2014 Meeting, 23rd June 16 Appraisal Context & objectives Methodological framework Structuring Value measurement Future research Problem Difficulty in identifying and measuring the expression levels of risk sources and their consequences Proposal Based on an intensive literature review CORRESPONDENCE Measurement of expression levels • RSA • RSB •… Risk sources identification • Pictorial • Qualitative • Quantitative • CA • CB •… Health consequences TMP Graduate Consortium 2014 Meeting, 23rd June 17 Example: Noise Context & objectives Methodological framework Description of noise dB Normal breathing 10 Air conditioning 50 Home 55 Normal conversation (public lounges, offices, cafes, bars) 60 yhllirator 70 Alarm Clock (airport wainting room) Value measurement Structuring Exposure limit Health consequences Without limit Without efect Future research 8h Annoyance 8h Annoyance pronounced 75 8h An increase in hearing threshold level (TL) can occur Hairdryer 80 8h Backhoe 85 8h Possible increase int the TL’s level Exposure Limit 87 6h Mowing machine 89 4h30min Sheet Metal Shop 100 1h Hearing loss of 10-15 dB in a working period from 1 to 2 years Hearing loss of 50 dB in the working period of 50/52 years Ambulance siren 120 3,75 min Very loud rock concert 130 56,25 s Jet plane 140 14 s Annoyance and possible increase in TL Pain and hearing loss treatable or not treatable Pain and acoustic trauma. Hearing loss may be accompanied by a buzzing TMP Graduate Consortium 2014 Meeting, 23rd June Work from: (HCN, 1994);(Passchier et al., 2000);(Decreto-Lei 182/2006) 18 Dimensions identification Context & objectives SI Methodological framework Structuring Value measurement Future research Nomenclature Appraisal S II Risk Sources Health consequences CORRESPONDENCE S III Identification of relevant dimensions to assess the impact TMP Graduate Consortium 2014 Meeting, 23rd June 19 Dimensions identification Context & objectives Methodological framework Structuring Value measurement Future research The identification of relevant dimensions to assess the risk impact was performed in workshops with OHSU Final Value Tree TMP Graduate Consortium 2014 Meeting, 23rd June 20 Impact scales Context & objectives SI Methodological framework Structuring Value measurement Future research Nomenclature Appraisal Risk Sources S II Health consequences CORRESPONDENCE S III Identification of relevant dimensions to assess the impact Impact scale construction Employee’s health S IV Capability to return to work Absenteeism Best 0 yhll Best ND Best 0 days Worst 34 yhll Worst ID Worst 18 years Nota - yhll: years of healthy life lost; ND: null disability; ID: irrecoverable disability TMP Graduate Consortium 2014 Meeting, 23rd June 21 Impact scales Context & objectives Better Worst Methodological framework Value measurement Structuring 0 years of healthy life lost 34 years of healthy life lost Employee’s Health Better 0 (zero duration) Worst 18 years = [Retirement age] – [Average age of ARS’ employees] Future research Best: Null disability The employee is fit for the full exercise of his usual functions Recoverable diss. The employee’s usual functions are committed but in a retrievable form Irrecoverable partial dis. with return to work Some of the normal duties of the employee are irreversibly committed and the return to the usual work is possible with restrictions Irrec. Partial dis. with No return to work Part of the normal duties of the employee are irreversibly committed and the return to work is not possible Worst: Irrec. disability All the usual functions of the employee are irretrievably committed Capability to return to work Absenteeism TMP Graduate Consortium 2014 Meeting, 23rd June 22 Impact estimation Context & objectives SI Methodological framework Structuring Value measurement Future research Nomenclature Appraisal Risk Sources S II Health consequences CORRESPONDENCE S III Identification of relevant dimensions to assess the impact Impact scale construction Employee’s health S IV Capability to return to work Absenteeism Best 0 yhll Best ND Best 0 days Worst 34 yhll Worst ID Worst 18 years Nota - yhll: years of healthy life lost; ND: null disability; ITD: irrecoverable total disability SV Impact estimation on each dimension TMP Graduate Consortium 2014 Meeting, 23rd June 23 Impact estimation Context & objectives Methodological framework Value measurement Structuring Future research Problem Difficulty in estimating impacts due to the decision makers’ lack of knowledge Proposal Sources: (Bowie et al. ,1997); (Mathers et al., 1999);(Murray et al., 1996); (Stouthard et al., 1997); (U.S. Department of Labor, 2013); … Consequences Employee’s Health Capability to return to work Absenteeism Amputation of a finger (except the thumbs) 3,5 years of healthy life lost Irrecoverable Partial Disability with return to work 26 days Sprain 1 day of healthy life lost Recoverable Disability 10 days Tuberculosis 1,6 months of healthy life lost Recoverable Disability … … … TMP Graduate Consortium 2014 Meeting, 23rd June 6 months … 24 TMP Graduate Consortium 2014 Meeting, 23rd June 25 Value measurement Context & objectives MI Methodological framework Structuring Value measurement Future research Dependency test between impact dimensions Impact value measurement using the MACBETH-Choquet model: Construction of a global descriptor that combines the various dimensions M II Issues Protocol using the interactive version of Microsoft PowerPoint Populate the MACBETH global matrix with the judgements elicited by the decision makers Determination of IC’s parameters (Shapley and interaction) TMP Graduate Consortium 2014 Meeting, 23rd June 26 Dependency test Context & objectives Methodological framework Value measurement Structuring RD Future research RD 1,6 mhll Strong Weak 15 yhll Employee’s health IPDR Capability to return to work IPDR 1 year Absenteeism Employee’s health 1 year Capability to return to work Absenteeism The capability to return to work is cardinally dependent on the employee’s health Nota - yhll: years of healthy life lost; mhll: months of healthy life lost; IPDR: Irrecoverable Partial Disability with return to work; RD: Recoverable Disability TMP Graduate Consortium 2014 Meeting, 23rd June 27 Impact value measurement Context & objectives MI Methodological framework Structuring Value measurement Future research Dependency test between impact dimensions Impact value measurement using the MACBETH-Choquet model: Construction of a global descriptor that combines the various dimensions M II Issues Protocol using the interactive version of Microsoft PowerPoint Populate the MACBETH global matrix with the judgements elicited by the decision makers Determination of IC’s parameters (Shapley and interaction) TMP Graduate Consortium 2014 Meeting, 23rd June 28 MACBETH Context & objectives Methodological framework Structuring Value measurement Future research MACBETH is an interactive decision support approach … uses qualitative judgments of differences of attractiveness… … based on seven qualitative categories of difference in attractiveness Wide applicability in MCDA: • Health care: (Bana e Costa et al., 2011)(de Castro et al., 2011)(Lopes, 2013) (Oliveira et al., 2011) • • • Energy: (Bana e Costa et al., 2008)(Barin et al., 2012) Environment: (Bana e Costa et al., 2013); (Cox et al., 2013) Risk management: (Bana e Costa et al., 2008b);(Dall'Osso et al., 2009); (Joerin et al., 2010); (Oliveira et al., 2004) • … Typically, MACBETH applications use an additive value model (preference independence conditions are verified)… …but many studies are using MACBETH with CI to model interdependencies TMP Graduate Consortium 2014 Meeting, 23rd June 29 MACBETH-Choquet model Proposal Use of the MACBETH-Choquet methodology to model interdependencies Friendly and intuitive questioning protocol Judgments based on seven qualitative categories of MACBETH Intuitive meaning of the results MACBETH (Lopes et al., 2014) Choquet integral Mathematical formulation of the 2-additive CI operator: m 1 u VAg si vi ( xiu ) I ij | vi ( xiu ) v j ( x ju ) | 2 i , j i 1 i j TMP Graduate Consortium 2014 Meeting, 23rd June 30 MACBETH-Choquet model Context & objectives Levels Methodological framework Structuring Value measurement Future research Descriptio n Levels Description SQ: Status quo IN Levels Description SQ: Status quo 0 anos saudáveis perdidos RS RTD SQ: Status quo 0 anos RS 1,6 meses saudáveis perdidos RI IPDR RS 1 mês P: Pior 34 anos saudáveis perdidos P : Pior ITD P: Pior 18 anos Levels Description P1 P2 P3 34 anos saudáveis perdidos, inc. absoluta irrecuperável, 18 anos de ausência laboral (34yhll, ITD, 18a) 15 anos saudáveis perdidos, inc. absoluta irrecuperável, 18 anos de ausência laboral (15yhll, ITD, 18a) 15 anos saudáveis perdidos, inc. parcial irrecuperável sem regresso ao trabalho, 18 anos de ausência laboral (15yhll, IPDN, 18a) Global Descriptor Interactive questioning protocol 4 anos saudáveis perdidos, inc. absoluta irrecuperável, 18 anos de ausência laboral (4yhll, ITD, 18a) (…) Choquet integral’s parameters MACBETH Global Matrix Shapley and interaction’s parameters M-MACBETH TMP Graduate Consortium 2014 Meeting, 23rd June 31 Global descriptor Context & objectives Methodological framework Structuring Value measurement Future research (2) Incapability to return to work (1) Employee’s Health Levels Levels Description SQ: Status quo ND UR RD LR IPDR I IPDN W: Worst ID SQ: Status quo Description 0 days of healthy life lost UR 1,6 months of healthy life lost Levels Description X 0,5 year of healthy life lost SQ: Status quo 0 years Y 1 year of healthy life lost UR 1 month Z 4 years of healthy life lost T 6 months LR 15 years of healthy life lost LR 1 year W: Worst 34 years of healthy life lost W: Worst 18 years (3) Absenteeism TMP Graduate Consortium 2014 Meeting, 23rd June 32 Global descriptor Context & objectives Methodological framework Structuring Value measurement Levels Levels 34 yhll, ID, 18 y 4 yhll, RD, 6 m 15 yhll, ID, 18 y 4 yhll, RD, 1 m 15 yhll, IPDN, 18 y 1 yhll, IPDR, 1 y 4 yhll, ID, 18 y 1 yhll, IPDR, 6 m 4 yhll, IPDN, 18 y 1 yhll, IPDR, 1 m 15 yhll, IPDR, 1 y 1 yhll, RD, 1 y 15 yhll, IPDR, 6 m 1 yhll, RD, 6 m 15 yhll, IPDR, 1 m 1 yhll, RD, 1 m 15 yhll, RD, 1 y 1,6 mhll, IPDR, 1 y 15 yhll, RD, 6 m 1,6 mhll, IPDR, 6 m 15 yhll, RD, 1 m 1,6 mhll, IPDR, 1 m 4 yhll, IPDR, 1 y 1,6 mhll, RD, 1 y 4 yhll, IPDR, 6 m 1,6 mhll, RD, 6 m 4 yhll, IPDR, 1 m 1,6 mhll, RD, 1 m 4 yhll, RD, 1 y No impact (0 yhll, ND, 0 y) Future research Nota - yhll: years of healthy life lost; mhll: months of healthy life lost; ID: Irrecoverable disability; IPDR: Irrecoverable Partial Disability with return to work; RD: Recoverable Disability; ND: Null Disability; y:years; m: months TMP Graduate Consortium 2014 Meeting, 23rd June 33 Interactive questioning protocol Context & objectives Methodological framework Structuring Value measurement Future research Questioning protocol based on questions-type: “What is the attractiveness of reversing certain combination of impacts?” Support system: Microsoft Office PowerPoint 2007 Sequential Interactive TMP Graduate Consortium 2014 Meeting, 23rd June 34 Interactive questioning protocol Final Judgments No impact No impact No impact No impact No impact 34yhll, ID, 18y 15yhll, 15yhll, 4yhll, 4yhll, 15yhll, 15yhll, 15yhll, 15yhll, ID, 18y IPDN, 18y ID, 18y IPDN, 18y IPDR, 1y IPDR, 6m IPDR, 1m RD, 1y 15yhll, RD, 6m 15yhll, RD, 1m No impact No impact No impact No impact No impact No impact No impact No impact 4yhll, 4yhll, 4yhll, IPDR, 1y IPDR, 6m IPDR, 1m 4yhll, RD, 1y 4yhll, RD, 6m No impact No impact 0,5yhll, 0,5yhll, 0,5yhll, 0,5yhll, IPDR, 1y IPDR, 6m IPDR, 1m RD, 1y No impact No impact No impact No mpact No impact No impact No impact No impact No impact No impact 4yhll, 1yhll, 1yhll, 1yhll, RD, 1m IPDR, 1y IPDR, 6m IPDR, 1m 1yhll, RD, 1y 1yhll, RD, 6m 1yhll, RD, 1m No impact No mpact No impact No impact No impact 0,5yhll, RD, 6m 0,5yhll, 1,6mhll, 1,6mhll, 1,6mhll, 1,6mhll, 1,6mhll, 1,6mhll, RD, 1m IPDR, 1y IPDR, 6m IPDR, 1m RD, 1y RD, 6m RD, 1m No impact No impact No impact No impact No impact TMP Graduate Consortium 2014 Meeting, 23rd June 35 MACBETH global matrix Judgments elicited by the decisions makers TMP Graduate Consortium 2014 Meeting, 23rd June 36 MACBETH global matrix Validated scales obtained in decision conferences based on the elicited judgments Scale validated by the decision makers TMP Graduate Consortium 2014 Meeting, 23rd June 37 Choquet integral parameters Combinations of impacts required to determine the CI parameters Shapley’s parameters 295 s1 338 32 s2 338 11 s3 338 UR1,UR2,UR3 169 / 169 UR1,UR2,LR3 161 169 UR1,LR2,UR3 142 169 UR1,LR2,LR3 134 169 LR1,UR2,LR3 8 169 LR1,UR2,LR3 5 169 LR1,LR2,UR3 3 169 LR1,LR2,LR3 0 169 Interaction’s parameters I12 22 169 I13 5 169 I 23 I123 0 TMP Graduate Consortium 2014 Meeting, 23rd June 38 Future research Context & objectives Methodological framework Structuring Value measurement Future research Conclusion of the probability scale construction considering a group test of risks Value risk-matrix 100 TMP Graduate Consortium 2014 Meeting, 23rd June 39 Future research Context & objectives Methodological framework Structuring Value measurement Future research Conclusion of the probability scale construction considering a group test of risks Construction of a DSS in order to facilitate the use of the risk assessment system by the OHSU Selection of mitigation measures (allocation resources) TMP Graduate Consortium 2014 Meeting, 23rd June 40 Questions? Suggestions? TMP Graduate Consortium 2014 Meeting, 23rd June 41 ACKNOWLEDGEMENTS FUNDING FROM THE PORTUGUESE PUBLIC BUDGET THROUGH FCT – FUNDAÇÃO PARA A CIÊNCIA E A TECNOLOGIA, WITHIN THE PROJECT PTDC/EGEGES/119230/2010 TMP Graduate Consortium 2014 Meeting, 23rd June 42 References ACSS (2007). Unidade Funcional de Estudos e Planeamento de Recursos Humanos, Acidentes de trabalho. Administração Regional de Saúde do Norte, Carga global da doença na região norte de Portugal, Abril 2011. Administração Regional de Saúde de Lisboa e Vale do Tejo (2010a). Segurança e Saúde no Trabalho: Gestão do risco profissional em estabelecimentos de saúde, Orientações técnicas nº1. Administração Regional de Saúde de Lisboa e Vale do Tejo (2010b). Saúde Ocupacional: acidentes de trabalho e doenças profissionais, Orientações nº2. Administração Regional de Saúde de Lisboa e Vale do Tejo (2013). Saúde Ocupacional: acidentes de trabalho e doenças profissionais, Orientações nº3. Assembleia da República (1991). 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