safety management systems introduction to the elements of effective

SAFETY MANAGEMENT SYSTEMS

Introduction to the elements of effective

© Geigle Communications, LLC Introduction to Effective Safety Management Systems

This material is for training use only

2



3

Welcome!

Understanding the big picture is critical to successfully managing a company’s safety and health management program (system). The primary emphasis of the workshop is to address the seven core elements of an effective safety and health system and those central issues that are critical to each element’s proper management.

To get the most out of this course, it’s important that everyone freely share their knowledge and experience with the class, so don’t hesitate.

Goals

1. Understand the basics of a safety management system.

2. Identify the seven core elements of an effective safety and health program.

3. Describe the key processes in each program element.

This material, or any other material used to inform employers of compliance requirements of OSHA standards through simplification of the regulations should not be considered a substitute for any provisions of the Occupational Safety and Health Act of 1970 or for any standards issued by OSHA. The information in workbook is intended for training purposes only.

© 2003 Geigle Communications, LLC, All rights reserved.



4

Seven Critical Components and Characteristics of an effective Safety Management System

1. Management Commitment - Management of your company shows,

in word and actions, their commitment to your safety and health program.

2. Accountability - Responsibilities and authority are assigned. All employees (including management) are held accountable for their responsibilities.

3. Employee Involvement - Employees are encouraged to, and actively participate in, the development and implementation of your safety and health program.

4. Hazard ID and Control - Your company has a system for regularly scheduled self-inspections to identify hazards and to correct and control them.

5. Accident Investigation - There is a procedure at your company for investigating and reviewing all workplace accidents, injuries and illnesses.

6. Training - There is a comprehensive program of safety and health training for all employees (including management)

7. Program Evaluation - The company has a system for evaluating the overall safety and health program and does so on a regular basis

_____________________________________________________________

_____________________________________________________________

_____________________________________________________________

_____________________________________________________________

_____________________________________________________________

_____________________________________________________________



5

The Safety Management System

Processes - Performance

1. Commitment - leading, following, managing, planning, funding 2. Accountability – role, responsibility, discipline3. Involvement - safety committees, suggestions, recognizing/rewarding 4. Identification - inspections, audits, observation, surveys, interviews 5. Analysis – incidents, accidents, tasks, programs, system6. Controls - engineering, management, PPE, interim measures, maintenance7. Education - orientation, instruction, training, personal experience 8. Evaluation - judging effectiveness of conditions, behaviors, systems, results 9. Improvement - change management, design, implementation

Processes - Performance

1. Commitment - leading, following, managing, planning, funding 2. Accountability – role, responsibility, discipline3. Involvement - safety committees, suggestions, recognizing/rewarding 4. Identification - inspections, audits, observation, surveys, interviews 5. Analysis – incidents, accidents, tasks, programs, system6. Controls - engineering, management, PPE, interim measures, maintenance7. Education - orientation, instruction, training, personal experience 8. Evaluation - judging effectiveness of conditions, behaviors, systems, results 9. Improvement - change management, design, implementation

Outputs - Effects

Safe/Unsafe conditions, behaviorsMany/Few incidents and accidentsHigh/Low accident costs High/Low productivity, morale, trust

Outputs - Effects

Safe/Unsafe conditions, behaviorsMany/Few incidents and accidentsHigh/Low accident costs High/Low productivity, morale, trustWhere do we look to evaluate how well the

safety management system is working? _____________________________

Inputs - Design

Programs StructurePeople MaterialsFacilities TimeEquipment Money

Inputs - Design

Programs StructurePeople MaterialsFacilities TimeEquipment Money

All systems have structure, inputs, processes and outputs

A system may be thought of as an orderly arrangement of interdependent activities and related procedures which implement and facilitate the performance of a major activity within an organization. (American Society of Safety Engineers, Dictionary of Terms)

We know Syssie the cow as structure, but what are her inputs, processes, outputs?

Inputs ________________________Processes _____________________Outputs _______________________

Feedback

What are the most immediate and observable outputs of a safety management system? _____________________________



6

Safety ManagerSafety

Manager

HRCoordinator

HRCoordinator

Safety EngineerSafety

Engineer

Safety Committee

Safety Committee

All safety management systems have structure…

Safety Manager - The primary manager of and consultant on OSHA mandated programs List examples of processes and programs the safety coordinator would manage.__________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________

Safety Engineer - Consults on and designs engineering controls to correct hazards. List examples of hazards that might concern the safety engineer.__________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________

Human Resource Coordinator - Manages and consults on HR-related processes and programs. List examples:__________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________

Safety Committee - identifies, analyzes, evaluates all safety and health processes and programs. List examples:__________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________



7

What is Top Management Commitment?

T_____________ M _______________ C ______________

What has management done to demonstrate commitment at your workplace?

_____________________________________________________________

_____________________________________________________________

_____________________________________________________________

What can we do to get management commitment?

_____________________________________________________________

_____________________________________________________________

_____________________________________________________________

1. Management Commitment

What motivates management to “do” safety?

Indicate the consequence below that motivates your employer.

My company does safety primarily to…

1. Avoid OSHA penalties. ________2. Reduce costs - increase profits ________3. Keep employees safe ________

Class Ranking

1 2 3

Make a bar graph to show how the class ranked each statement.

12

10

8

6

4

2



8

1. Workers’ compensation premiums2. Miscellaneous medical expenses

Direct CostsInsured

“Just the tip of the iceberg”

What do accidents cost your company?

Average Cost to close a claim =/> $14,000

Unseen costs can sink the ship!

Ref: Grimaldi and Simons, Safety Management, ASSE Pub.

A few examples:

1. Cost of wages paid for time lost by other non-injured workers2. Net cost to repair, replace, or straighten up material or damaged equipment 3. Extra cost due to overtime work4. Cost of wages paid for supervisor activities related to employee injuries5. Wage cost due to decreased output of injured workers after returning to work6. Cost-of-learning period of new worker7. Uninsured medical costs8. Cost of time to investigate accidents, process claims 9. Miscellaneous unusual costs. (over 100 other items)

Indirect Costs Hidden - Uninsured - Out of pocket

Average indirect costs =/> $38,000

Average total injury costs in

are greater than $38,000Average total injury costs in

are greater than $38,000

Studies show that the ratio of indirect costs to direct costs varies widely, from a high of 20:1 to a low of 1:1. OSHA's approach is shown here and says that the lower the direct costs of an accident, the higher the ratio of indirect to direct costs.



9

XYZ Contractors MOD Rate in 2003 = 1.3Classification Description Code Payroll Base Rate/Premium Adjusted Rate/PremiumConcrete - Floor/Driveway 5221 $500,000 $1.26/$63,000 $1.64/$$82,000Carpentry - Multiple Family Dwel. 5651 $500,000 $3.97/$198,500 $5.16/$258,000

$261,500 $340,000

Adjusted Premium = $261,500 + $78,500 = $340,000

Below Average Accident

Rate

Average Accident

Rate

Above Average Accident

Rate

Workers' Compensation Made Simple

How are rates determined?

Manual Rating - Also called the “Pure Premium Rate,” this rate is applied to all industries of the same type or standard industrial classification (SIC). Expressed as:

Dollars per $100 dollars of payroll

Example: $3.15 per $100 dollars of payroll.

Experience Rating - used to vary the company’s own rates, depending on its experience by comparing actual losses with expected losses.

3.75

3.50

3.15

2.75

2.50

2.00

1.75

1.50

Man

ual

Rat

eM

OD

Rate

1.301.201.101.00 .90 .80 .70 .60

XYZ Contractors MOD Rate in 2004 = .7Classification Description Code Payroll Base Rate/Premium Adjusted Rate/PremiumConcrete - Floor/Driveway 5221 $500,000 $1.26/$63,000 $.88/ $44,000Carpentry - Multiple Family Dwel. 5651 $500,000 $3.97/$198,500 $2.78/$139,000

$261,500 $183,000

Adjusted Premium = $261,500 - $78,500 = $183,000

If the company has a profit margin of 5%, additional business volume to replace $78,500 would be $1, 570,000!

Wow! If you reduce your MOD Rate from 1.3 to .7, total savings will be $157,000. That’s $3.14 million in business volume saved!



10

Proactive Vs. Reactive Approach to Safety & Health Management

Proactive Programs Reactive Programs

They don’tcare...

They careabout me!

Reactive Approach - Goal: Reduce injury costs

Proactive Approach - Goal: Prevent future injuries

What programs are emphasized?

What programs are emphasized?

In organizations, clients for the services provided by staff people are called line managers. Line managers have to labor under the advice of staff groups, whether they like it or not. But any staff function, by definition, has no direct authority over anything but its own time, its own internal staff, and the nature of the service it offers. Peter Block, Flawless Consulting

What's proactive? Everything we do to anticipate and prevent accidents.

What's reactive? Everything we do after an accident occurs.

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

- Proactive Reactive



11

Safety and health system strategies

Proactive Strategy

Reactive Strategy

Uninsured Costs

Insured Costs

OSHA PenaltiesOSHA

Penalties

Uninsured Costs

Insured Costs

Profit

Profit

Break even point

Direct Costs

Usually insured. Medical expenses,

indemnity payments.

Indirect Costs

Usually uninsured, unrecoverable.

Examples: Wage costs to worker and

others due to time loss, work stoppage,

replacements, property damage, or

administrative costs.

Unknown Costs

Costs that can not be measured, but can

have a large impact on the success of a company. Morale

and reputation.

The average lost time disability in

America cost $28,000.

The average costs associated

with a fatality was $980,000.

(NSC Statistics for the year 2000)

With a 5% profit margin: What does $28,000 represent in gross sales loss? What does $980,000 represent in gross sales loss?

Gross sales loss = $28,000 = ! .05

Gross sales loss = $980,000 = ! .05

OtherCODB

OtherCODB



12

2. Accountability

Six essential elements of an effective accountability system

1. Established formal standards of behavior and performance.

• Programs, Policies, Plans, Processes, Procedures, Practices (the Six P's)

2. Resources provided to meet those standards.

• Physical = tools, equipment, materials, workstations, facilities• Psychosocial = education, training, scheduling, culture

3. An effective system of measurement.

• Behaviors are observed and quantified• Behaviors are detected and corrected before an injury• Informal and formal observation procedures are used

4. Application of effective consequences.

• Soon - certain - significant - sincere• Must change behavior in the desired direction

5. Appropriate application of discipline.

• Discipline is based on fact not feeling• Consistent throughout the organization: top to bottom and laterally • Applied only only after it's determined management has met obligations to employee• Appropriate to the severity of the infraction and impact on the organization

6. Evaluation of the accountability system.

• Examine the first five elements• Analysis/evaluation headed up by Safety committee, safety coordinator• Improvements headed up by line management

__________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

- Accountability System



13

Before pointing the finger of blame, make sure management all obligations to the employee have been fulfilled.

When is a supervisor justified in disciplining?______________________________________________________________________________________________________________________________

Accountabilities

Managers and employees are responsible and accountable for key behaviors and performance. Supervisors and managers are accountable to the law and obligated to employees to fulfill their responsibilities. Employees are accountable to the employer and obligated to coworkers to fulfill their responsibilities.

Employer

Employee

Why does the employer have more accountabilities than the employee? Is that fair?__________________________________________________________________________________________________________

How are employees held accountable in your workplace?__________________________________________________________________________________________________________

What’s with that?

Hint: Look at employer accountabilities

- Accountabilities



14

Group exercise: Discuss ways your employer uses (or could use) to increase involvement in the safety committee and other activities.

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

Choose one of the above ideas and discuss those methods and procedures that help ensure its success.

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

3. Employee Involvement

- Involvement



15

What is the purpose of your safety committee?

Our safety committee intends to…________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

What role does your safety committee play?

My safety committee performs the role of a/an…

__________________________________________________________________________

What can the safety committee do to help the employer manage safety programs?

___________________________________________________________________________________________________________________________________________________________________________________________________

What can the safety committee do to increase employee involvement in safety?

___________________________________________________________________________________________________________________________________________________________________________________________________

___________________________________________________________________________________________________________________________________________________________________________________________________

Involvement in the Safety Committee

The safety committee has a definite role to play and important purposes to fulfill in helping ensure successful employee involvement. Your “purpose” may be thought of as what you intend to do. Your “role”describes who you are. If members of the safety committee do not clearly understand their purposes and role, their well-intended actions may actually hurt the very system they are trying to help succeed.

- SC Purpose



16

4. Hazard Identification & Control

What is a "hazard?" (Complete the sentence below.)

An U

C

and it’s P !

that could

cause an I

to an E .

P

I

(Extra Credit)

or

or

Hazard analysis is smart business!

What are the advantages of conducting hazard analysis vs. accident investigation?

_______________________________________________________________

_______________________________________________________________

_______________________________________________________________

- Define Hazard

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________

___________________________________



17

M_______________ E_______________

E_______________ E_______________

What are the four categories of hazards in the workplace?

Hazardous conditions or unsafe work practices are closely linked in causing accidents.

Any hazards or unsafe behaviors here?

______________________________________________________

______________________________________________________

______________________________________________________

Any hazards or unsafe behaviors here?

______________________________________________________

______________________________________________________

______________________________________________________

What causes most accidents: conditions or behaviors?

• Conditions directly account for ___________ % of all accidents in the workplace.

• Behaviors account for ___________ % of all workplace accidents.

• Uncontrollable acts/events account for _________ % of all workplace accidents.

• Weaknesses in the safety management system account for __________ % of all workplace accidents.



18

Hierarchy of Hazard Control Strategies

1. Engineering Controls - Remove or reduce the hazard

• Eliminates or reduces the severity of the hazard itself through initial design and redesign, enclosure, substitution, replacement and other engineering changes.

• Major strengths: Eliminates the hazard itself. Does not rely solely on human behavior for effectiveness.

• Major weakness: May not be feasible if controls present long-term financial hardship.

_________________________________________________________________________

_________________________________________________________________________

2. Management Controls - Remove or reduce the exposure

• Reduce the duration, frequency, and severity of exposure to hazards primarily through:

changes and work procedures and practices

scheduling, job rotation, breaks

Using personal protective equipment (PPE)

• Major weakness: Management controls rely on:

appropriate design and implementation of controls and

appropriate employee behavior.

_________________________________________________________________________

_________________________________________________________________________

3. Interim Measures Temporarily control conditions/behaviors using engineering and/or management controls.

_________________________________________________________________________

_________________________________________________________________________ - Controls



19

What control measures might work to correct these hazardous conditions and unsafe behaviors?

Engineering controls ______________________________________________________

_________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________

Management controls _____________________________________________________

_________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________

Interim Measures _________________________________________________________

_________________________________________________________________________

_________________________________________________________________________



20

5. Incident/Accident Investigation

What are the odds that a serious injury will occur?

Ponder this: Which one of the incidents will result in my injury or death?

How does your perception of a particular hazard change with daily exposure to that hazard? __________________________________________________________________

What is an “accident?”

_______________________________________________________________

_______________________________________________________________

_______________________________________________________________

Why do we “investigate” accidents?

_______________________________________________________________

_______________________________________________________________

_______________________________________________________________

H.W. Heinrich's Pyramid (1931)



21

Why are some accident reports ineffective?________________________________________________________________________________________

________________________________________________________________________________________

________________________________________________________________________________________

Why might it be dangerous to assume someone has "common sense"?

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

Be ready when accidents happen

When a serious accident occurs in the workplace, everyone will be too busy dealing with the emergency at hand to worry about putting together an investigation plan, so now... before the accident occurs... is the time to develop effective accident investigation procedures. They should include as a minimum procedures that:

1. Write a clear policy statement.

2. Identify those authorized to notify outside agencies (fire, police, etc.)

3. Designate those responsible to investigate accidents.

4. Train all accident investigators.

5. Establish timetables for conducting the investigation and taking corrective action.

6. Identify those who will receive the report and take corrective action.

________________________________________________________________________________________

________________________________________________________________________________________

_______________________________________________________________________________________

________________________________________________________________________________________

________________________________________________________________________________________

________________________________________________________________________________________

Accidentinvestigation

is“fact-finding”

not“fault-finding.”



22

Multiple Causation and the Accident Weed

Injury or Illness

1. Direct Cause of Injury• Always the harmful transfer of energy.• Kinetic, thermal, chemical, etc.• Contact with, exposure too, etc.

2. Indirect (Surface) Cause of Injury

Primary Surface Cause• Produces the accident • Unique hazardous condition/unsafe behavior• Exists/Occurs close to the injury event• Involves the victim, possibly others

Contributing Surface Cause• Contributes to the accident • Unique hazardous condition• Inappropriate/unsafe behavior• Exists/occurs more distant from the accident• Exists/occurs anytime, anywhere by anyone

3. Basic (Root) Cause of the Injury

Inadequate system implementation• Failure to carry out safety policies, programs,

plans, processes, procedures, practices• Pre-exist surface causes• Under control of management • Failure can occur anytime, anywhere• Produces common surface causes

Inadequate system design• Poorly written or missing policies, programs,

plans, processes, procedures, practices• Pre-exist surface causes causes• Under top management control• Produces inadequate implementation

Fails to inspect

No recognition planInadequate training plan

No accountability policy No inspection policy

No discipline procedures

Outdated hazcom programNo orientation process

Unguarded machine Horseplay

Fails to trainTo much work

Defective PPE Fails to report injury

Inadequate training

Create a hazard

Fails to enforce

Untrained worker

Broken tools

Ignore a hazard

Lack of time

Inadequate labeling

No recognition

CutsBurns

La

ck

of

vis

ion

Strains

No

mis

sio

n s

tate

me

nt

Chemical spill

Any way you look at it, design is the key to an effective safety management system.

If design is flawed, yet perfectly implemented, the system fails. If design is perfect, yet implementation is flawed, the system fails as a result of design flaws in other related processes.

Any way you look at it, design is the key to an effective safety management system.

If design is flawed, yet perfectly implemented, the system fails. If design is perfect, yet implementation is flawed, the system fails as a result of design flaws in other related processes.



23

The causes of Injury, Illness and Accidents

1. Direct Cause of Injury

• The direct cause is always a harmful transfer of energy• Energy may take the form of:

Acoustic - excessive noise and vibration Chemical - corrosive, toxic, flammable, or reactive substances Electrical - low/high voltage, current Kinetic - energy transferred from impact Mechanical - associated with components that move Potential - involves "stored energy" in objects that are under pressure Radiant - ionizing and non-ionizing radiation Thermal - excessive heat, extreme cold.

• Safety engineer attempt to eliminate or reduce sources of harmful energy_________________________________________________________________________

_________________________________________________________________________

2. Surface Causes of the Accident

• They are specific/unique hazardous conditions and/or unsafe actions• They may directly produce or indirectly contribute to the accident• They May exist/occur at any time and at any place in the organization• They may involve the actions of the victim and/or others• They may or may not be controllable by management

_________________________________________________________________________

_________________________________________________________________________

3. Root Causes of the Accident

• Flaws in design and/or failure to carry out safety policies, programs, plans, processes, procedures, practices (the 6-P's)

• They pre-exist surface causes• They result in common and/or repeated hazards• They are under control of management • They can can occur any time and anywhere

_________________________________________________________________________

_________________________________________________________________________

Fails to inspect

Unguarded machine Horseplay

Fails to trainTo much work

Defective PPE Fails to report injury

Create a hazard

Fails to enforce

Untrained worker

Broken tools

Ignore a hazard

Lack of time

Chemical spill

Conditions Behaviors

Surface Causes

CutsBurns

Strains

I n a d e q u a t e t r a i n i n g p l a n

N o a c c o u n t a b i l i t y p o l i c y N o i n s p e c t i o n p o l i c y

N o d i s c i p l i n e p r o c e d u r e s

O u t d a t e d P r o c e d u r e sN o o r i e n t a t i o n p r o c e s s

I n a d e q u a t e t r a i n i n g

I n a d e q u a t e l a b e l i n g p r o c e d u r e s

R o o t C a u s e s

- Accident Causes



24

Steps in root cause analysis

1. Injury Cause Analysis. Analyze the injury event to identify and describe the nature of the harmful transfer of energy that caused the injury or illness. Examples:

• Laceration to right forearm resulting from contact with rotating saw blade. • Contusion from head striking against/impacting concrete floor..

2. Surface Cause Analysis. Analyze events to determine specific hazardous conditions and unsafe or inappropriate behaviors.

a. For primary surface causes. Analyze events occurring just prior to the injury event to identify those specific conditions and behaviors that directly caused the accident. Examples:

• Event x. Unguarded saw blade. (condition or behavior?)• Event x. Working at elevation without proper fall protection. (condition or behavior?)

b. For contributing surface causes. Analyze conditions and behaviors to determine other specific conditions and behaviors (contributing surface causes) that contributed to the accident.

Examples:

• Supervisor not performing weekly area safety inspection. (condition or behavior?)• Fall protection equipment missing. (condition or behavior?)

3. Root Cause Analysis. Analyze system weaknesses contributing to surface causes.

For inadequate implementation. Analyze each contributing condition and behavior to determine if weaknesses in carrying out safety policies, programs, plan, processes, procedures and practices (inadequate implementation) exist. Examples:

• Safety inspections are being conducted inconsistently.• Safety is not being adequately addressed during new employee orientation.

For inadequate planning. Analyze implementation flaws to determine the underlying inadequate formal (written) programs, policies, plans, processes, procedures and practices.

Examples:

• Inspection policy does not clearly specify responsibility by name or position.• No fall protection training plan or process in place.



25

Step 1 - _________________________________________

Step 2 - _________________________________________

Step 3 - _________________________________________

Step 4 - _________________________________________

Step 5 - _________________________________________

Step 6 - _________________________________________

The six-step process

Gather information

Analyze the facts

Implement Solutions

Secure the scene

Collect data about what happened

Develop the sequence of events

Determine the surface and root causes

Develop corrective actions

Write and submit the report

Secure the accident scene

Collect facts about what happened

Develop the sequence of events

Determine the causes

Recommend improvements

Write the report

Three phases of analysis

1. Injury Analysis. Analyze the injury event to identify the direct cause of injury.

• Laceration to right forearm from contacting rotating saw blade. (mechanical energy)• Contusion from head impacting concrete floor. (kinetic energy)• Burn injury to right lower leg from contact by battery acid. (chemical energy)

2. Event Analysis. Analyze each event to identify potential surface causes for the accident. Look for a related specific hazardous conditions and employee behaviors that directly caused or contributed to the accident.

• Unguarded saw blade. (condition)• Working at elevation without proper fall protection. (behavior)• Employee unaware of hazards associated with battery acid. (condition)• Weekly inspection of saws is not being regularly conducted. (behavior)• New employees are not trained on fall protection methods. (condition)• Supervisor is not administering corrective actions for unsafe behaviors. (behavior)

3. Systems Analysis. Analyze surface causes to identify related root causes: those underlying management system design and implementation weaknesses that contributed to the accident. Look for inadequate policies, programs, plans, processes, procedures and practices affecting general conditions and behaviors.

• Inspection policy does not clearly specify responsibility by name or position. (design)• No fall protection training plan or process in place. (design)• Supervisors are not administering discipline when required. (implementation)• Safety is not being addressed during new employee orientation (implementation)

Why?

Why?

Why?

- Accident Analysis



26

Education tells Why

• Builds the philosophical foundation• Transfers general knowledge• Explains natural and system consequences• Shapes attitudes

Training shows How

• One form of education• Builds the specific knowledge base• Transfers initial skills• Shapes attitudes

Experience improves skills

• Increases insight, understanding• Further develops expert skills • Shapes attitudes

Accountability sustains behaviors

• Natural consequences - hurt or health

• System consequences - discipline, recognition, reward

Give examples of effective safety training.

_______________________________________________________________

_______________________________________________________________

How do you know safety training is effective?

_______________________________________________________________

_______________________________________________________________ “Safety training is worthless without accountability.”“Safety training is worthless without accountability.”

6. Training

- Training Defined



27

Step 1. Introduction. State and discuss the learning objectives and answer any questions the employee may have. Discuss the acceptable standards of knowledge and performance. Tell the trainee what you’re going to train. Emphasize the importance of the procedure to the success of the production/service goals. Invite questions. Emphasize accountability.

Step 2. Trainer show and tell. In this step the trainee becomes familiar with each work practice and why it is important. Review the initial conditions for the procedure. Demonstrate the process, carefully explaining each step as you go. Answer questions and continue to demonstrate and explain until the employee understands what to do, when and why to do it, and how to do it.

Trainer: PERFORMS and EXPLAINS each step.

Learner: OBSERVES each step and QUESTIONS the trainer.

Step 3. Trainer ask and show. This step is necessary when exposure to hazards inherent in the procedure could cause serious harm. It protects the trainee because the trainer performs the procedure. The trainee explains the procedure to the trainer, while the trainer does it. This gives the trainer an opportunity to discover whether there were any misunderstandings in the previous step. The trainee also responds to trainer questions.

Learner: EXPLAINS each step and RESPONDS to questions.

Trainer: PERFORMS each step and QUESTIONS the trainee.

Step 4. Trainee tell and show. The trainer has the trainee do it. The trainee carries out the procedure but remains protected because the trainee explains the process before proceeding to do it

Learner: EXPLAINS and then PERFORMS each step.

Trainer: OBSERVES each step and QUESTIONS the trainee.

Step 5. Conclusion. Recognize accomplishment - “Good job!” Reemphasize the importance of the procedure and how it fits into the overall process. Tie the training again to accountability by discussing the natural and system consequences of performance.

Step 6. Document. Training documentation should be more than an attendance sheet. See the sample training certification document on the next page. It represents one possible way to document training.

The basic steps in On-the-Job Training



28

Be sure to adequately document safety training

Most safety training documentation should be more than an attendance sheet. See the sample training certification document below. It represents one possible way to document training. Strong documentation includes:

• Trainee’s and trainer’s name.• Date of training.• Subject(s) being trained - procedures, practices, related policies, rules, etc.• Certification - trainee and trainer signatures.• Trainee statement of understanding and intent to comply.• Trainee statement that he/she was provided opportunity to perform.• Trainer statement that measurement (testing) of performance was conducted (required for level

2 training)

Step 7. Validate. At some point in time after the conclusion of the OJT session, observe and question the employee to validate that the training has been successful and that the employee has developed a proper attitude related to the work.

DOCUMENT TRAINING! Sample training certification for specific tasks

Trainee certification. I have received on-the-job training from the trainer listed below on those subjects below (or on other side of sheet):

• List procedure(s), practice(s)____________________________________________________________________

• List related policies, rules, accountabilities ________________________________________________________

This training has provided me adequate opportunity to practice to determine and correct skill deficiencies. I understand that performing these procedures/practices safely is a condition of employment. I fully intend to comply with all safety and operational requirements discussed. I understand that failure to comply with these requirements may result in progressive discipline (or corrective actions) up to and including termination.

____________________________________ _____________________

(Trainee) (Date)

Trainer certification. I have conducted on-the-job training on the subjects for the trainee(s) listed above. I have explained procedures/practices and policies, answered all questions, observed practice, and tested each trainee individually. I have determined that the trainee(s) listed above has/have adequate knowledge and skills to safety perform these procedures/practices.

____________________________________ _____________________

(Trainer) (Date)

Training Validation

I have observed the above employee(s) on __________________ and certify that they are using appropriate/safe procedures and practices per the training received.

___________________________________ ______________________

(Supervisor) (Date)

DOCUMENT TRAINING! Sample training certification for specific tasks

Trainee certification. I have received on-the-job training from the trainer listed below on those subjects below (or on other side of sheet):

• List procedure(s), practice(s)____________________________________________________________________

• List related policies, rules, accountabilities ________________________________________________________

This training has provided me adequate opportunity to practice to determine and correct skill deficiencies. I understand that performing these procedures/practices safely is a condition of employment. I fully intend to comply with all safety and operational requirements discussed. I understand that failure to comply with these requirements may result in progressive discipline (or corrective actions) up to and including termination.

____________________________________ _____________________

(Trainee) (Date)

Trainer certification. I have conducted on-the-job training on the subjects for the trainee(s) listed above. I have explained procedures/practices and policies, answered all questions, observed practice, and tested each trainee individually. I have determined that the trainee(s) listed above has/have adequate knowledge and skills to safety perform these procedures/practices.

____________________________________ _____________________

(Trainer) (Date)

Training Validation

I have observed the above employee(s) on __________________ and certify that they are using appropriate/safe procedures and practices per the training received.

___________________________________ ______________________

(Supervisor) (Date)



29

• Last and first phase of planning cycle

• Identify, analyze, evaluate all elements of the program

Identify - “Is it present?” Yes/No. Inspect. Analyze - “What does the policy, plan, procedure look like?”

Evaluate - Rate effectiveness. “Is it effective?” Judgment call.

• Use outside experts

• Primary safety committee responsibility - evaluate the safety and health program

• Does the safety committee assist the employer in observing, analyzing, and evaluating the employer's accident and illness prevention program, and make written recommendations to improve the program where applicable.

• Does the safety committee evaluate the employer's safety management system and make recommendations to implement improvements?

• Establish procedures for change - an action plan

• Plan carefully - test it - study the results - adopt, abandon or revise

• Measure activity and results

• Supervisor, manager behaviors, performance• Employee behaviors, performance

• Make effective recommendations

• Use facts and figures, not subjective hunches• Contrast benefits of investment with high costs of inaction

7. Plan Evaluation



30

Before you run, time to review

1. What is the criteria for management commitment?

___________________________________________________________________________

___________________________________________________________________________

2. T F Safety committees must evaluate safety management systems.

3. Effective safety committees perform the role of a ____________ not a ____________.

4. Engineering controls try to eliminate or reduce the ____________ itself. Management controls attempt to reduce ____________ to the hazard by controlling behavior.

5. The purpose of effective incident/accident analysis is to fix the _________________.

6. Education increases _________________ while training improves ________________ .

7. Match the process on the left with goal statement on the right.

____ Identification a. Determine what something looks like

____ Analysis b. Determine if something is effective

____ Evaluation c. Determine if something is present



31

Additional Information



32

Strategic Map for Change and Continuous Improvement for Safety and Health The following strategic map describes major processes and milestones that need to be implemented to successfully implement a change process for safety and health. This strategy is intended to help you focus on the process rather than on individual tasks. It is common for most sites to have a tendency to focus on the accomplishment of tasks, i.e., to train everyone on a particular concern or topic or implement a new procedure for incident investigations. Sites that maintain their focus on the larger process are far more successful. They can see the "forest" from the "trees" and thus can make mid-course adjustments as needed. They never lose sight of their intended goals, and tend not to get distracted or allow obstacles to interfere with their mission. The process itself will take care of the task implementation and ensure that the appropriate resources are provided and priorities are set.

Process Implementation Strategy:

1. Obtain Top Management "Buy-in" - This is the very first step that needs to be accomplished. Top managers must be on board. If they are not, safety and health will compete against core business issues such as production and profitability, a battle that will almost always be lost. Management needs to understand the need for change and be willing to support it. Showing the costs to the organization in terms of dollars (direct and indirect costs of accidents) that are being lost, and the organizational costs (fear, lack of trust, feeling of being used, etc) can be compelling reasons for doing something different. Because losses due to accidents are bottom line costs to the organization, controlling these will more than pay for the needed changes. In addition, as you are successful you will eliminate organizational barriers such as fear and lack of trust – issues that typically get in the way of all of the organization's goals.

A safety and health change process can very effectively drive change and bring an organization together due to the ability to get buy-in from all levels. This stems from the fact that most people place a high personal value on their own safety. They view the change efforts as things that are truly being done for them.

2. Continue Building "Buy-in" for the needed changes by building an alliance or partnership between management, your union (if one exists), and employees. A compelling reason for the change must be spelled out to everyone. People have to understand WHY they are being asked to change what they normally do and what it will look like when they are successful. This needs to be done upfront. If people get wind that something "is going down" and haven’t been formally told anything, they will tend to naturally resist and opt out.

Identify key personnel to champion the change. These people must be visible and are the ones to articulate the reasons for the changes. The reasons need to be compelling and motivational. People frequently respond when they realize how many of their co-workers or subordinates are being injured and that they may be next. Management and supervisors also respond when they see the money being lost due to accidents and they realize that their actions toward safety truly influence and define the employee safety culture.

3. Build Trust - Trusting is a critical part of accepting change and management needs to know that this is the bigger picture, outside of all the details. Trust will occur as different levels within the organization work together and begin to see success.



33

4. Conduct Self Assessments/Bench Marking - In order to get where you want to go, it is essential to know where you are starting from. You can use a variety of self-audit mechanisms to compare your site processes with other recognized models of excellence such as Star VPP sites. Visiting other sites to gain first hand information is also invaluable. You can use perception surveys to measure the strengths and weaknesses of your site safety culture. These surveys can give you data from various viewpoints within the organization. For instance, you can measure differences in employees' and managers' perceptions on various issues. This is an excellent way to determine whether alignment issues exist and, if so, what they are. At this stage, it is important to look at issues that surface as symptoms of larger system failures. For example, ask what major system failed to detect the unguarded machine, or why the system failed to notice that incident investigations are not being performed on time, or if workers are being blamed for the failures. Your greatest level of success will come when these larger system failures are recognized and addressed.

5. Initial Training of management-supervisory staff, union leadership (if present), and safety and health committee members, and a representative number of hourly employees. This may include both safety and health training and any needed management, team building, hazard recognition, or communication training. This provides you with a core group of people to draw upon as resources and also gets key personnel on board with needed changes.

6. Establish a Steering Committee made up of management, employees, union (if present), and safety staff. This group's purpose is to facilitate, support, and direct the change processes. This will provide overall guidance and direction and avoid duplication of efforts. To be effective, the group must have the authority to get things done.

7. Develop Site Safety Vision, key policies, goals, measures, and strategic and operational plans. These policies provide guidance and serve as a check-in that can be used to ask yourself if the decision you’re about to make supports or detracts from your intended safety and health improvement process.

8. Align the Organization by establishing a shared vision of safety and health goals and objectives versus production. Upper management must be willing to support by providing resources (time) and holding managers and supervisors accountable for doing the same. The entire management and supervisory staff needs to set the example and lead the change. It's more about leadership than management.

9. Define Specific Roles and responsibilities for safety and health at all levels of the organization. Safety and health must be viewed as everyone's responsibility. Clearly spell out how the organization deals with competing pressures and priorities, i.e., production versus safety and health.

10. Develop a System of Accountability for all levels of the organization. Everyone must play by the same rules and be held accountable for their areas of responsibility. The sign of a strong culture is when the individuals hold themselves accountable.



34

11. Develop Measures and an ongoing measurement and feedback system. Drive the system with upstream activity measures that encourage positive change. Examples include: the number of hazards reported or corrected, numbers of inspections, number of equipment checks, Job Safety Analysis (JSA), prestart-up reviews conducted, etc. While it is always nice to know what the bottom line performance is, i.e., accident rates, overemphasis on rates and using them to drive the system typically only drives accident reporting under the table. It is all too easy to manipulate accident rates, which will only result in risk issues remaining unresolved and a probability for future, more serious events to occur.

12. Develop Policies for Recognition, rewards, incentives, and ceremonies. Reward employees for doing the right things and encourage participation in the upstream activities. Continually re-evaluate these policies to ensure their effectiveness and to ensure that they do not become entitlement programs.

13. Awareness Training and Kick-off for all employees. It's not enough for a part of the organization to be involved and know about the change effort. The entire site needs to know and be involved in some manner. A kick-off celebration can be used to announce "It’s a new day," and seek buy-in for any new procedures and programs.

14. Implement Process Changes via involvement of management, union (if one is present) and employees using a "Plan To Act" process such as Total Quality Management (TQM).

15. Continually Measure performance, Communicate Results and Celebrate Successes. Publicizing results is very important to sustaining efforts and keeping everyone motivated. Everyone needs to be updated throughout the process. Progress reports during normal shift meetings (allowing time for comments back to the steering committee) opens communications, but also allows for input. Everyone needs to have a voice, otherwise, they will be reluctant to buy-in. A system can be as simple as using current meetings, a bulletin board, or a comment box.

16. On-going Support - Reinforcement, feedback, reassessment, mid-course corrections, and on-going training is vital to sustaining continuous improvement

Source: OSHA - www.osha-slc.gov/SLTC/safetyhealth_ecat/



35

Management Leadership

What is management leadership in safety and health?

Management demonstrates leadership by providing the resources, motivation, priorities, and accountability for ensuring the safety and health of its workforce. This leadership involves setting up systems to ensure continuous improvement and maintaining a health and safety focus while attending to production concerns. Enlightened managers understand the value in creating and fostering a strong safety culture within their organization. Safety should become elevated so that it is a value of the organization as opposed to something that must be done or accomplished. Integrating safety and health concerns into the everyday management of the organization, just like production, quality control, and marketing allows for a proactive approach to accident prevention and demonstrates the importance of working safety into the entire organization.

Why is management leadership in safety and health a good idea for business?

You can increase worker protection, cut business costs, enhance productivity, and improve employee morale. Worksites participating in OSHA's Voluntary Protection Programs (VPP) have reported OSHA-verified lost workday cases at rates 60-80% lower than their industry averages. For every $1 saved on medical or insurance compensation costs (direct costs), an additional $5-$50 more are saved on indirect costs, such as repair to equipment or materials, retraining new workers, or production delays. During three years in the VPP, a Ford plant noted a 13% increase in productivity, and a 16% decrease in scrapped product that had to be reworked. Bottom line, safety does pay off! Losses prevented go straight to the bottom line profit of an organization. With today's competitive markets and narrow profit margins, loss control should be every manager's concern.

Management actions include:

• Establishing a safety and health policy.

• Establishing goals & objectives.

• Providing visible top management leadership & involvement.

• Ensuring employee involvement.

• Ensuring assignment of responsibility.

• Providing adequate authority and responsibility.

• Ensuring accountability for management, supervisors, and rank & file employees.

• Providing a program evaluation.

Safety and health policy

By developing a clear statement of management policy, you help everyone involved with the worksite understand the importance of safety and health protection in relation to other organizational values (e.g., production vs. safety and health). A safety and health policy provides an overall direction or vision while setting a frame-work from which specific goals and objectives can be developed.

Goals and objectives

You should make your general safety and health policy specific by establishing clear goals and objectives. Make objectives realistic and attainable, aiming at specific areas of performance that can be measured or verified. Some examples are: "Have weekly inspections and correct hazards found within 24 hours", or "Train all employees about hazards of their jobs, and specific safe behaviors (use of Job Safety Analysis sheets) before beginning work."



36

Visible top management leadership

Values, goals, etc., of top management in an organization tend to get emulated and accomplished. If employees see the emphasis that top management puts on safety and health, they are more likely to emphasize it in their own activities. Besides following set safety rules themselves, managers can also become visible by participating in plant-wide safety and health inspections, personally stopping activities or conditions that are hazardous until the hazards can be corrected, assigning specific responsibilities, participating in or helping to provide training, and tracking safety and health performance.

Assignment of responsibility

Everyone in the workplace should have some responsibility for safety and health. Clear assignment helps avoid overlaps or gaps in accomplishing activities. Safety and health is not the sole responsibility of the safety and health professional. Rather, it is everyone's responsibility, while the safety and health professional is a resource.

Provision of authority

Any realistic assignment of responsibility must be accompanied by the needed authority and by having adequate resources. This includes appropriately trained and equipped personnel as well as sufficient operational and capitol funding.

Accountability

Accountability is crucial to helping managers, supervisors, and employees understand that they are responsible for their own performance. Reward progress and enforce negative consequences when appropriate. Supervisors are motivated to do their best when management measures their performance - "what gets measured is what gets done." Take care to ensure that measures accurately depict accomplishments and do not encourage negative behaviors such as not reporting accidents or near misses. Accountability can be established in safety through a variety of methods:

• Charge backs - Charge accident costs back to the department or job, or prorate insurance premiums.

• Safety goals - Set safety goals for management and supervision (e.g., accident rates, accident costs, and loss ratios).

• Safety activities - Conduct safety activities to achieve goals (e.g., hazard hunts, training sessions, safety fairs, etc., activities that are typically developed from needs identified based on accident history and safety program deficiencies).

Program evaluation

Once your safety and health program is up and running, you will want to assure its quality, just like any other aspect of your company's operation. Each program goal and objective should be evaluated in addition to each of the program elements, e.g., management leadership, employee involvement, worksite analysis (accident reporting, investigations, surveys, pre-use analysis, hazard analysis, etc.), hazard prevention and control, and training. The evaluation should not only identify accomplishments and the strong points of the safety and health program but also identify weaknesses and areas where improvements can be made. Be honest and identify the true weaknesses. The audit can then become a blueprint for improvements and a starting point for the next year's goals and objectives.

Source: OSHA eCAT www.osha-slc.gov/SLTC/safetyhealth_ecat/



37

Employee InvolvementThe best worker safety and health protection occurs when everyone at the worksite shares responsibility for protection. Basic principles of excellence have shown that wise employers use employees' unique knowledge to help find problems and resolve them. In addition, no one else has as much at stake to avoid accidents as the employees who are likely to be injured. The more that employees are involved in a variety of safety-related activities, the more that they will appreciate the potential hazards that exist at the worksite, the more likely that they will avoid unsafe behaviors, and the more likely that the overall safety culture of the organization will strengthen. Without employees' involvement and cooperation, accidents are difficult to prevent.

What are the advantages of getting employees involved?

• Employees are the ones in contact with potential hazards and will have a vested interest.

• Group decisions have the advantage of the group's wider field of experience.

• Research shows that employees are more likely to support and use programs in which they have had input; employee buy-in for the needed changes is more likely.

• Employees who are encouraged to offer their ideas and whose contributions are taken seriously are more satisfied and productive.

• The more that employees are involved in the various facets of the program, the more they will learn about safety, what is causing injuries at their site, and how they can avoid be injured. The more they know and understand, the greater their awareness will be and the stronger the safety culture of the organization will become.

How can employees get involved?

• Participate on joint labor-management committees and other advisory groups.

• Conduct site inspections.

• Analyze routine hazards in each step of a job or process, and prepare safe work practices.

• Participate in developing and revising safety rules.

• Participate as trainers for current and new hires.

• Participate in accident/near miss incident investigations.

• Participate in decisionmaking throughout the company's operations.

• Participate in pre-use and change analysis.

• Participate as safety observers and safety coaches.

• Report hazards and be involved in finding solutions to correct the problems.




38

Safety and Health Training

Introduction

Can all employees explain every existing and potential hazard to which they are exposed? Do they know how to protect themselves and their coworkers from these hazards? Can they explain precisely what they must do in the event of a fire or other emergency?

Training can help employees develop the knowledge and skills they need to understand workplace hazards. OSHA considers safety and health training vital to every workplace.

Before training begins, be sure that your company policy clearly states the company's commitment to health and safety and to the training program. This commitment must include paid work time for training and training in the language that the worker understands. Involve both management and employees in developing and delivering the programs.

Identifying training needs

New employees need to be trained not only to do the job, but also to recognize, understand, and avoid potential hazards to themselves and others in their immediate work area and elsewhere in the workplace. Contract workers also need training to recognize your workplace's hazards or potential hazards. Experienced workers will need training if new equipment is installed or process changes. Employees needing to wear personal protective equipment and persons working in high risk situations will need special training.

Periodic safety and health training

Some worksites need complex work practices to control hazards. Some worksites experience fairly frequent occupational injuries and illnesses. At such sites, it is especially important that employees receive periodic safety and health training to refresh their memories and to teach new methods of control. New training also may be necessary when OSHA or industry standards require it or new standards are issued.

One-on-one training is possibly the most effective training method. The supervisor periodically spends some time watching an individual employee work. Then the supervisor meets with the employee to discuss safe work practices, bestow credit for safe work, and provide additional instruction to counteract any observed unsafe practices. One-on-one training is most effective when applied to all employees under supervision and not just those with whom there appears to be a problem. Positive feedback given for safe work practices is a very powerful tool. It helps workers establish new safe behavior patterns and recognizes and thereby reinforces the desired behavior.

Evaluations

Evaluations can help determine whether the training you have provided has achieved its goal of improving your employees' safety performance. Some ways you can evaluate your training program:

Before training begins, determine what areas need improvement by observing workers and soliciting their opinions. When training ends, test for improvement. Ask employees to explain their jobs' hazards, protective measures, and new skills and knowledge.

• Keep track of employee attendance at training.

• At the end of training, ask participants to rate the course and the trainer.

• Compare pre-and post-training injury and accident rates, near misses, and percent of safe behavior exhibited.



39

SOME COMMON TYPES OF SPECIALIZED TRAINING

Safety and Health Training for Managers

Training managers in their responsibilities is necessary to ensure their continuing support and understanding. It is their responsibility to communicate the program's goal and objectives to their employees, as well as assign safety and health responsibilities, and hold subordinates accountable.

Safety and Health Training for Supervisors

Supervisors may need additional training in hazard detection, accident investigation, their role in ensuring maintenance of controls, emergency handling, and use of personal protective equipment.

Job Orientation

The format and extent of orientation training will depend on the complexity of hazards and the work practices needed to control them. An orientation may consist of a quick review of site safety and health rules, hazard communication training, and a run-through of job tasks. Larger workplaces with more complex hazards and work practices to control them, may wish to start with a clear description of hazards, followed by a discussion of how to protect oneself. Employees may have on-the-job training and may shadow an experienced employee for a period of time.

Sources of assistance

You can often get additional help in developing training programs and identifying training resources from:

• Your insurance carrier, your corporate staff, or your PPE supplier;

• Local safety councils or industry associations;

• OSHA-funded Consultation Projects for small business; and

• OSHA full-service Area Offices




40

$ A F E T Y P A Y S ! OSHA Advisor @ www.osha.gov

Estimated Costs of Occupational Injuries and Illnesses and Estimated Impact on a Company's Profitability

Report for Year: 1999Employer: XYZ IncPrepared by: I. B. Safe, Safety Coordinator, on January 28, 2000

The injury or illness selected: Strain

Average Direct Cost: $5,945 Average Indirect Cost: $7,134 Estimated Total Cost: $13,079 The net profit margin for this company is 4 % The ADDITIONAL sales necessary - to cover Indirect Costs are: $178,350 - to cover Total Costs are: $326,975

The injury or illness selected: Laceration

Average Direct Cost: $1,101 Average Indirect Cost: $4,954 Estimated Total Cost: $6,055 The net profit margin for this company is 4% The ADDITIONAL sales necessary - to cover Indirect Costs are: $123,850 - to cover Total Costs are: $151,375

The injury or illness selected: Carpal Tunnel Syndrome

Average Direct Cost: $8,305 Average Indirect Cost: $9,966 Estimated Total Cost: $18,271 The net profit margin for this company is 4% The ADDITIONAL sales necessary - to cover Indirect Costs are: $249,150 - to cover Total Costs are: $456,775

The TOTAL ADDITIONAL SALES required by these 3 incidents is estimated to be between:

$551,350 and $935,125

The extent to which the employer ultimately pays the direct costs depends on the nature of the employer's workers‘ compensation insurance policy. The employer always pays the indirect costs.

$AFETY PAYS is a tool developed by OSHA to assist employers in assessing the impact of occupational injuries and illnesses on their profitability. It uses a company's profit margin, the AVERAGE costs of an injury or illness, and an indirect cost multiplier to project the amount of sales a company would need to generate in order to cover those costs. Since AVERAGES are used, the actual costs may be higher or lower. Costs used here do not reflect the pain and suffering of injuries and illnesses.

The cost of injury and illness data were provided to OSHA by Argonaut Insurance Company and based on 53,000 claims for 1992-94.

$AFETY PAYS is a tool developed by OSHA to assist employers in assessing the impact of occupational injuries and illnesses on their profitability. It uses a company's profit margin, the AVERAGE costs of an injury or illness, and an indirect cost multiplier to project the amount of sales a company would need to generate in order to cover those costs. Since AVERAGES are used, the actual costs may be higher or lower. Costs used here do not reflect the pain and suffering of injuries and illnesses.

The cost of injury and illness data were provided to OSHA by Argonaut Insurance Company and based on 53,000 claims for 1992-94.

- Safety Pays



41

SAFETY AND HEALTH MANAGEMENT PROGRAM EVALUATION

(Choose one) 5=Fully Met 3=Mostly Met 1=Partially Met 0=Not Present

ELEMENT 1 - MANAGEMENT COMMITMENT

____ 1. A written policy that sets a high priority for safety and health exists.

____ 2. A written safety and health goal and supporting objectives exist.

____ 3. The workplace safety and health policy is supported by management.

____ 4. Safety and health goals and objectives are supported by management.

____ 5. Management supports safety and health rules. ____ 6. Managers personally follow safety and health rules.

____ 7. Managers personally intervene in the safety behavior of others.

____ 8. Managers set a visible example of safety and health leadership. ____ 9. Managers participate in the safety and health training of employees.

ELEMENT 2 - ACCOUNTABILITY

____ 10. Management insists on compliance as demonstrated by effective enforcement of safety and health policies and rules.

____ 11. Safety and health program tasks are each specifically assigned to a person or position for performance or coordination.

____ 12. Each assignment of safety and health responsibility is clearly communicated.

____ 13. Individuals with assigned safety and health responsibilities have the necessary knowledge, skills, and timely information to perform their duties.

____ 14. Individuals with assigned safety and health responsibilities have the authority to perform their duties.

____ 15. Individuals with assigned safety and health responsibilities have the resources to perform their duties.

____ 16. An accountability mechanism is included with each assignment of safety and health responsibility.

____ 17. Individuals are recognized and rewarded for meeting safety and health responsibilities.

____ 18. Individuals are disciplined for not meeting safety and health responsibilities.

____ 19. Supervisors know whether employees are meeting their safety and health responsibilities.



42

ELEMENT 3 - EMPLOYEE INVOLVEMENT

____ 20. There is a process designed to involve employees in safety and health issues.

____ 21. Employees are aware of the safety and health involvement process at the workplace.

____ 22. Employees believe the process that involves them in safety and health issues is effective.

____ 23. The workplace safety and health policy is effectively communicated to employees.

____ 24. The workplace safety and health policy is supported by employees.

____ 25. Safety and health goals and supporting objectives are effectively communicated to employees.

____ 26. Safety and health goals and objectives are supported by employees.

____ 27. Employees use the hazard reporting system.

____ 28. Injury/Illness data analyses are reported to employees.

____ 29. Hazard control procedures are communicated to potentially affected employees.

____ 30. Employees are aware of how to obtain competent emergency medical care.

ELEMENT 4 – HAZARD IDENTIFICATION AND CONTROL

____ 31. A comprehensive baseline hazard survey has been conducted within the past five years.

____ 32. Effective job hazard analysis (JHA) is performed, as needed.

____ 33. Effective safety and health inspections are performed regularly.

____ 34. Effective surveillance of established hazard controls is conducted.

____ 35. An effective hazard reporting system exists.

____ 36. Change analysis is performed whenever a change in facilities, equipment, materials, or processes occurs.

____ 37. Expert hazard analysis is performed, as needed.

____ 38. Hazards are eliminated or controlled promptly.

____ 39. Hazard control procedures demonstrate a preference for engineering methods.

____ 40. Effective engineering controls are in place, as needed.

____ 41. Effective administrative controls are in place, as needed.

____ 42. Safety and health rules are written.



43

____ 43. Safe work practices are written.

____ 44. Personal protective equipment is effectively used as needed.

____ 45. Effective preventive and corrective maintenance is performed.

____ 46. Emergency equipment is well maintained.

____ 47. Engineered hazard controls are well maintained.

____ 48. Housekeeping is properly maintained.

____ 49. The organization is prepared for emergency situations.

____ 50. The organization has an effective plan for providing competent emergency medical care to employees and others present on the site.

____ 51. An early-return-to-work program is in place at the facility.

ELEMENT 5 – INCIDENT / ACCIDENT INVESTIGATION

____ 52. Incidents/Accidents are investigated for root causes.

____ 53. Investigations are conducted to improve systems.

____ 54. Investigators are trained in procedures.

____ 55. Serious accidents/fatality investigations are conducted by teams.

____ 56. Analysis involves all interested parties.

____ 57. Disciplinary actions are not automatic tied to incidents/accidents.

ELEMENT 6 - TRAINING

____ 58. An organized safety an health training program exists.

____ 59. Employees receive safety and health training.

____ 60. Employee training covers hazards of the workplace.

____ 61. Employee safety and health training covers all OSHA-required subjects.

____ 62. Employee training covers the facility safety system.

____ 63. Appropriate safety and health training is provided to every employee.

____ 64. New employee orientation includes applicable safety and health information.



44

____ 65. Workplace safety and health policy is understood by employees.

____ 66. Safety and health goals and objectives are understood by employees.

____ 67. Employees periodically practice implementation of emergency plans.

____ 68. Employees are trained in the use of emergency equipment.

____ 69. Supervisors receive safety and health training.

____ 70. Supervisors receive all training required by OSHA standards.

____ 71. Supervisors are effectively trained on all applicable hazards.

____ 72. Supervisors are trained on all site-specific preventive measures and controls relevant to their needs and supervisory responsibilities.

____ 73. Supervisor training covers the supervisory aspects of their safety and health responsibilities.

____ 74. Safety and health training is provided to managers, as appropriate.

____ 75. Managers are aware of all relevant safety and health training mandated by OSHA.

____ 76. Managers understand the organization's safety and health system.

____ 77. Relevant safety and health aspects are integrated into all management training.

____ 78. Relevant safety and health aspects are integrated into all management training.

ELEMENT 7 - PLAN EVALUATION

____ 79. Workplace injury/illness data are effectively analyzed.

____ 80. Safety and health training is regularly evaluated.

____ 81. Post-training knowledge and skills for safety and health are tested or evaluated.

____ 82. Hazard incidence data are effectively analyzed.

____ 83. Hazard controls are monitored to assure continued effectiveness.

____ 84. A review of in-place OSHA-mandated programs is conducted at least annually.

____ 85. A review of the overall safety and health management system is conducted at least annually.



45

How to Calculate the Lost Work Day Injury and Illness (LWDII) Rate

The incidence rate can be calculated for the entire establishment and for each department. This procedure allows comparison between and within the same departments from year to year.

LWDII Rate = (Number of cases)*(200,000)/Total population at risk in a given period

Numerator: Number of lost or restricted time incidents (cases) in specified group or department that experiences a disorder in a specified time period multiplied by 200,000. Multiplying the number of employees by 200,000 normalizes the observed work population to a standard work population of 100 employees working a 50-week year.

Denominator: Total number of hours worked in a specified group or department within the same time period. If these numbers are not available an approximation can be made by multiplying the observed number of employees by 2000.

How to Calculate the Severity Rate (SR)

Severity Rate (SR) = This is the same calculation as was performed to produce the LWDII except that the days away from work or restricted days are substituted into the numerator for the number of incidents. This calculation provides a measure of the severity of the cases and is used in conjunction with the LWDII to determine the magnitude of the case.

NOTE: If counting system recognized only lost-time or Workers Compensation cases, relatively low incidence rates may be computed. If the company has instituted an ergonomics program the LWDII may rise dramatically, but there should be a corresponding drop in the SR.

safety management systems introduction to the elements of effective

Documents

companys safety

occupational safety

overall safety

health system

health program

health training

elements proper management

elements of effective