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Chapter13
ProminentCaseStudies
UsingStrategicSafetyMeasures
SafetyWisdom:
Theabsenceofinjuriesdoesnotequalthepresenceofsafety;you’renot
controllingthe
processifyoujustmeasureoutcomes.
PaulWoerz
Numerousorganizationshavereapedthebenefitsofwell-
plannedandeffectively
implementedleadingmeasuresforsafety.Safetyprofessionalscanle
arnlessonsfor
applicationfromthesecasesregardingwhattodo,andinsomecases,w
hatnottodo.
Thecasesoverviewedherearemostlymodelcasesthatofferinnovativ
eand
powerfulconcepts,aswellasmethodsthatcanbeusedinvariousindust
ries.When
possible,thischapterwillpresentthefollowingforeachcasestudy:the
initialdriverfor
change;theresultsofchange;status;howtheresultswereaccomplishe
d;andany
lessonslearnedforapplication.
Sinceeachindustry,organization,andsiteisunique,safetymeasuress
houldbe
customized-
takingintoaccountthecontextofeachspecificsetting.Readersare
encouragedtoidentifythosethingstheybelievewouldworkfortheiro
rganization,
modifyasneeded,andleavebehindthoseconceptsormethodsthatdon
’tappear
usefulfortheirsituation.
WhoaretheSafetyThoughtLeaders?
Theauthorsprefertoviewnotablesafetyaccomplishmentsasaproduc
tofteamefforts
ratherthantheresultofanyindividualsafety‘hero.”Nonetheless,ther
eareindividuals
citedinthischapterthatarearguablyheroes,butare,ataminimum,Tho
ughtLeadersin
Safety.Onecanseethattheseindividualshavegivendeepthoughtanda
nalysisto
makingimprovementsinsafety.Theyhavedevelopedsomehighlyinn
ovativeand
creativeapproaches.TheseThoughtLeadershavecontributedtothefi
eldandprovide
safetyprofessionalswithprovenconceptstoconsiderforapplicationa
ttheirown
organizations.
2
CasesandSafetyThoughtLeaderscoveredinthisChapterinclude:
Case1:UsingLeadingMeasuresforDrivingComplianceandFatality
andCatastrophe
Prevention-PaulWoerz
Case2:LeadingMeasuresProcessatLargeBrewery-
AnneBevington.
Case3:ExecutingLeadingIndicatorsinthePetroleumIndustry-
JackToellner
Case4:UsingLeadingMeasurestoAdvanceBehavioralSafetyEffort
s–DominicCooper
Case1:UsingLeadingMeasuresforComplianceinHighHazardProce
sses
ThisCaseStudywasreportedbyPaulWoerz,formerGlobalDirectoro
fEHSatahigh
hazard,worldwidecompanywiththousandsofemployees
PaulWoerzwashonoredin2005withaLifetimeAchievementAwardf
romhisalma
materatIndianaStateUniversity.Atthecelebrationdinneroneofthea
uthorsengaged
inconversationaboutsafetyperformance,andPaulindicatedthatusin
gleading
measureswasthebestthingtheydevelopedinsafetyforhissegmentoft
hecompany,
whichemployedtensofthousandsofemployees.
Duringthelate20thcentury,thesafetycultureatPaul’sorganizationh
adbeen
highlydevelopedandinfluencedbytopleadership.Theprimaryfocus
ofthe
organizationwasonlaggingsafetymeasures.Inthe1980sand1990sit
washighly
unusualforanorganizationtomeasureitsmanagementandoverallper
formancewith
metricsfocusedprimarilyonsafety.Itisstillunusual.Thisfocusonsaf
etymeasures
positivelyinfluencedtheorganizationalcultureandresultednotonlyi
nareductionin
incidentratesbuttogreatsuccessinprofitabilityandthebottomlinefo
rthecompany.
Unfortunately,inspiteoftheorganizationalfocusonsafety,therewer
eoneto
twofatalitiesperyearthatoccurredinPaul’scompany.Thiswasunacc
eptabletoPaul
andhewassearchingforawaytobemoreproactiveandpreventthesefat
alitiesinhis
group.Hebelievedthewaytoaccomplishthiswastoeliminaterisksan
dexposures
whereverpossiblewhetherbybehaviororbyengineeringmeans.
Intheearly1980s,PaulwasaskedwhatLeadingMeasurestheyhadfors
afety.
Hisanswerthenwas“SafetyAudits.”Alloftheremainingmeasureswe
relagging.This
questionfocusedPaul’sattentiononthepotentialimpactofusingLead
ingMeasuresfor
Safety,andhelaterdevelopedandusedtheLeadingMeasuresprocess
describedhere.
Thiscaseisrelativelybasicindesign,yetit’simportanttorecognizeth
atthe
consequencescanbeprofound.Paulasks,“Whatareyoudoingtopreve
ntfatalities?”
Partoftheanswerincludesbehaviorandcompliance,especiallywheni
nvolvedwith
highhazardprocesses.Whenthereisapotentialforfatalitiestooccur,o
rganizations
needtoensure100%compliancewiththetargetprograms.Thesetarge
tprocessesare
theonesthatinvolveariskofcausingsevereinjuriesorfatalities.
3
WhatwasthePrimaryDriverforUsingLeadingMeasures?
Preventingfatalitieswasthemosturgentconcerninthislargesegment
ofamajor
corporation.Overaperiodof20years,Paulreceivedseveralcallsthata
notherfatality
hadoccurred.Asaresultofthis,Pauldecidedtoadoptleadingmeasure
sasaforecast
forriskandfatalities.
Theoverridingpurposefordevelopingandusingthisplanwastomeas
uretheactivities
tointercedeorintervenebeforeadverseeventsoccurred.Essentially,t
heorganization
beganmeasuringtheprocessratherthanputtingallofthefocusontheo
utcome.Paul
notesthatleadingmeasuresaregaugesofyourprocesses.Heasks,“Wh
ichprocess
measurewouldyoutakeout?Ifthere’soneyouwouldtakeout,thenit’s
notneeded.”
Moreimportantlyhesays,“You’renotcontrollingtheprocessifyouju
stmeasure
outcomes.”
WhatResultedfromtheFocusonTargetProcesses?
FollowingtheimplementationofLeadingSafetyMeasures,Paul’sse
gmentledthe
organizationinalllaggingsafetyindicators.Mostimportantly,aftere
xperiencing18
fatalitiesover20yearsinthecompanyintotal,hissegmentofthecompa
nywent
almost10yearswithoutafatality.
Aquickanalysisindicatesthat6or7fatalitiescouldhavebeenexpecte
doverthe7
years,basedonthehistoryoftheprevious20years.However,therewer
ezero
fatalitiesexperiencedandthisisanamazingresultconsideringtheim
mediately
precedinghistory.Furthermore,thefactthatthissegmentoftheorgani
zationfocused
onleadingindicatorsandledtheorganizationinlaggingsafetyindicat
orssuggestsa
correlationbetweentheapplicationofleadingindicatorsandtheposit
iveresults
(laggingindicators).
HowdidtheOrganizationMeasureTheirProcess?
Sincefatalitiesaretypicallynotverycommon,itcanbechallengingfor
organizationsto
beproactiveinpreventingthem.Employersandemployeesmayinterp
retthe“absence
ofinjuriesasthepresenceofsafety.”Paulbelievesintheadagethat“the
absenceof
injuriesdoesnotindicatethepresenceofsafety.”
Paulalsoasksquestionsaboutsafetyperformance.Henotes,typically
,when
youaskaboutsafetyperformance,youwillbegivenoutcomenumbers
suchasinjury
rates.
ForExample:
4
Whattomeasure?Yourrisks.Whichrisks?Themostsevererisks.
Example:100machinesinthemachineshopand55%ofthemareproper
lyguarded.
Pauldrillsdownandasksthefollowingquestions:
1. Isthererisk?
2. Ifcomplianceincreasesto75%-Istherelessriskthanbefore?
3. Williteventuallyleadtoaninjury?
4. Isthisacceptabletoyou?
5.
Whatabout95%compliance?99%?Istherestillarisk?Isthisacceptab
leto
you?
Paulexpandedfromthissimpleexampletotargetthecontextofthefata
litiesthatwere
occurringathisorganization.Thecontextforfatalitiesincludedthefo
llowing“Big
Four.”
TheBigFourforSafetyinPaul’sDivision
Therewerefourcategorieswherethefatalitiesandseriousinjurieswer
e
occurringinPaul’sdivision.Theseinvolvedafailuretofollowtheproc
eduresfor
lockout/tagout,fallprotection,mobileequipment,andconfinedspac
eentry.The
followingaresomeoftheelementsthatweremeasuredwiththeexpect
ationthatthere
wouldbe100%compliance.
Lockout/Tagout
1. The%ofequipmentspecificisolationprocedureswritten
2. The%ofemployeesfoundfollowingLO/TOprocedures
3. The%oftagsandlocksproperlyplacedbyeachemployeeonthejob
4. Wasverificationtoassurede-
energizationdonebyeachpersonwhoapplied
locksandtags?
FallProtection
1. The%ofemployeesatelevatedlevelsthatareproperlywearingfall
protectionharnessesatrequiredheights
2. The%ofroofaccesspermitscompletedasrequired
MobileEquipment
1.The%ofemployeeswearingseatbeltsasrequired
2.The%ofpre-useinspectionsdocumentedpriortouseofthevehicle
3.Areanyvehicle/pedestrianinterfaceissuespresent?
4.Areanyloadsbeingliftedorraisedoveremployees?
ConfinedSpaceEntry
1. The%ofmonthlycalibrationscompletedanddocumented
2. The%ofpre-usebumptestsconductedanddocumented
3.
Werespacespecificentryproceduresreviewedandfollowedpriortoe
ntry?
5
4. The%ofconfinedspacepermitsfullycompleted
5. Areallentrantslistedonthepermit?
6. Arespacesequippedwithsignageregardingpermitrequired?
Compliance–DoingtheBasicsRightWhenConsequencesareGreat
Pauldeterminedthatinordertopreventmajorincidentsandfatalities,t
hesegmentof
hisorganizationMUSTexpectandachieve100%complianceinthesef
ourareas.
Becausethepotentialconsequencesweresogreat,ifanemployeewasf
oundtobe
violatingoneoftheBigFourSafetyprocedurestheyweredisciplineda
ndsometimes
discharged.Insomeinstances,theemployee’simmediatesupervisor
wasalso
disciplinedordischarged.Thisprovedthecompanywasseriousabout
thesafety
process,anddeviationfromtheirstandardswouldnotbetolerated.De
viationfrom
safetystandardsshouldnotbetoleratedwhenthepotentialconsequen
ceisafatalityor
disablinginjury.
WhoWeretheObservers?
Observationscouldbemadebyanyoneatanytime.Itcouldbeaco-
worker,a
supervisor,orasafetyprofessional.Thepercentageofsafecomplianc
ewastrackedon
amonthlybasis,and100%safeworkwastheexpectation.
SpecificExample
Thesectionaboveisaboutcompliantbehavior.Thisexampleisabouta
nadministrative
controlthatPaulrecommendedforhissegmentofthecompany.Paul’s
Question:
“Whatareyoudoingtopreventfatalities?”PaulputtogetheraFatality
Prevention
Team.Herecommendswhenpossible,“Don’tmanagetherisk,elimin
atetherisk.”
Paul’sdivisionexperiencedafatalityinItaly–
anemployeewasrunoverbya
largeForkTruck.TheyaskedPaulifhewantedtotakethesameactionsi
ntheUSthey
tookinItalyasaresultofthefatality.Forexample,theyrecommended
markingthe
floorforpedestriantrafficandincreasedforkliftinspections,etc.Paul
said“No”–they
werealreadydoingthosethingsintheUS.Henotes,“Moreofthesames
tuffdoesnot
makeussafer…”Instead,Paulrecommended:
•
Taketheforktrucksoutofoperation(theyremoved65%oftheforktruc
ksinhis
division–over500trucks).
• Insteadofforktrucks,usehandtrucksandwalk-behinds.
• Oneplantof800workerswenttotallyfork-liftfree–
theyreducedtheexposure
forthisrisktozero.
6
OnecouldsaythatPaulpracticedaformof“toughlove.”Hewouldletth
esites
knowinnouncertainterms,whathebelievedneededtobedone.Howev
er,thesewere
thingsthatneededtobedonetostopthefatalities.
LessonsLearnedaboutMeasuringCompliance
Theauthorsbelievetherearevaluablelessonssafetyprofessionalscan
apply
fromthiscase,especiallyforthosewhoworkinhighhazardindustries.
1.Youmustmeasuretheprocessifyouexpectexceptionaloutcomes.
2.Althoughitmaybeahardsellforthesafetyprofessional,it’simporta
nttoremember
thatwheneverpossible,eliminatinganimminentriskissuperiortocon
trollingit.
3.Itisreasonabletoexpect100%complianceforthoseoperationsthat
haveand
couldleadtofatalitiesandseriousinjuries.Itisbettertoloseanemploy
ee(andtheir
supervisor)duetoalackofcompliancethantolosethembecausetheyb
ecamea
fatalitystatistic.
4.Safetyprofessionalscanlearntopracticethetechniqueofaskingim
portantand
smartquestionsthatgetpeopleinorganizationsreflectingonhowtore
duceand
eliminateexposuresandrisks.Welearnedaboutaskingsmartquestion
sfromPaul
Woerz.Asimilarconceptsupportingtheartofaskingquestionsthathe
lppeoplereflect
onsafetyisfromFredManuele;Fredadvocatestheoverarchingroleoft
hesafety
professionalisoneofaculturechangeagent(Manuele,Ch.6)
Case2:LeadingMeasuresProcessataLargeBrewery
Thiscaseillustratesanumberofinnovativeconceptsthatcouldproveu
sefulto
companiesinvariousindustries.Theseconceptsweredevelopedintoa
Safety
ManagementProcess(SMP)byAnneB.whowastheEHSManageratth
etime.Anne
wasnotsatisfiedwithanyofthecommonapproachesforenhancingsaf
ety
managementsuchasTotalQualityManagementorBehavior-
BasedSafety.Therewere
elementsineachoftheseapproachesthatsheliked,butshedidn’tcaref
ortheoverall
approachforherorganization.
AnnecalledtheprocesstheSafetyManagementProcessorSMP.TheS
MPwas
usedtoproactivelymeasurethesafetyprocessandtoultimatelydrives
afety
performance.SomeofthekeybenefitsoftheSMPincludedthefollowi
ng:
•
Itwasusedtotrackproactivesafetyparticipation,teamsafetyinitiativ
es,
compliancetraining,andinjuryratesinonecombinedSMPscorebase
dona
100-pointsystem.
7
• Itwasapowerfulprocesstoengageemployeesinsafetyandgetthem
proactivelyparticipatingtodrivesafetyperformanceinanindustrialf
acility.
•
Thehypothesisthatemployeeparticipationwoulddrivesafetyperfor
mancewas
anunderlyingprincipleoftheSMPsystemandwaspilotedfirstinthePa
ckaging
Department,whichinvolvedover500employees.
•
Thesafetyactivitiesweretrackedattheemployeelevel,whichprovide
dcontrol
attheemployeelevel.
• Itwasaprocessthatgaveemployeeslineownershipforsafety.
• TheSMPmeasuresemphasizedthesafetyprocessandde-
emphasizedinjuries
andillnesses.
•
Theprocesswasbasedon85%proactivemeasuresand15%reactiveme
asures.
Thepointsbreakdowninvolvedthesefourcategories:1)Upto60point
s(or
60%)foractive,individualparticipationinsafety;2)Upto20points(o
r20%)forteam
projectsandgroupsafetyactivities;3)Upto5points(or5%credit)fort
akingall
requiredcompliancetraining;and4)Upto15points(or15%)werebase
donthe
outcomeofinjuriesandinjuryrates.Alittledetailabouteachoftheseca
tegories
follows:
1.IndividualSafetyParticipation.Individualparticipationwasabroa
dcategorythat
definedsafetyparticipationinmanyways.SomeoftheconcernsthatA
nnehadabout
formalizedsafetyobservationprocesseswerethattheywereoftentoo
bureaucratic,
cumbersome,ordifficulttosustainovertime.SMPbuiltintheopportu
nityfor
employeestobecreativeandflexibleinhowtheywouldparticipateins
afety.Thelistof
optionswasratherextensiveandthefactthatemployeeshadachoiceon
howthey
wouldparticipateinsafetywasakeyelementtothesuccessoftheSafet
yManagement
Process.Employeeswereexpectedtobeinvolvedinfiveindividualsaf
etyparticipations
permonth,thustheopportunityfor12monthsmultipliedbyfivesafety
activitiesper
monthgavethepossibilityforupto60pointsperyear.
2.TeamSafetyInitiatives.Theteamsafetyinitiativesweresimilartot
heindividual
participationbecauseteamscouldchoosethesafetyissueorconcernth
eywouldfocus
onduringeachquarteroftheyear.Thebreweryusedateamapproachfo
rproduction,
soteamsafetywasnotabigdeparturefromthenorm.Teaminitiativesc
ouldbesimple
orcomplexandinvolveergonomicfixesorengineeringre-
designs.PointsforTeam
SafetyInitiativeswerebasedonfivepointscreditperinitiative,multip
liedbyfour
quarterseachyear,forpossible20pointsannually.
3.ComplianceTraining.AlthoughComplianceTrainingwasonlywor
th5ofthe100
points,itwashighlysoughtafterbecausetheTeamwouldnotgetthe5p
ointscredit
until100%oftheteamtooktherequiredcompliancetraining.Onceate
amearnedthe
fivepoints,itremainedfortheyearsoitencouragedemployeestotakea
llrequired
8
compliancetrainingearlyintheyear.Toillustratethepowerofthisapp
roach,
Bevingtonstated:
“(TheOrganization)wentfromlessthan40%compliancetrainingco
mpletionratein
2001,toa99.8%completionratein2004withthehelpofSMP.”
4.TraditionalIncidentRates.Thiscategorywasscoredbasedonthepl
ant
performancefortheyearversustheestablishedgoalsfortheteamperfo
rmanceforthe
month.Sinceincidentrateswerede-
emphasizedto15%ofthetotalscores,teams
couldstillscorepointsforsafetyactivitiesevenifthedepartmentorpla
ntwasnot
meetingitsoverallgoal.Thisencouragedteamstocontinueworkingto
winevenifan
injuryhadoccurred.Havingtheabilitytowinwasconsideredanotherk
eycomponentin
thesuccessofSMP.
Results.AccordingtoAnne,thehypothesisthatproactiveemployeein
volvementin
safetywouldresultinfewerinjuriesheldtrue.
•
SMPturnedthewordsafetyintoanormalconversationpiecethrougho
utthe
organizationandnotsimplyaninjuryratenumber.
•
LeadershipwasalsoscorecardedagainstSMP.Theyweremeasuredan
dheld
accountableforsupportingsafety.
•
SMPbroughtahighlevelofvisibilityandfocustosafetyperformancea
crossthe
organization.
• Injuriesdroppedover50%aftertheimplementationofSMP.
LessonsLearnedfromSMPandEmployeeEngagement:
1.Safetyisateameffort.Safetyisliketheproverbialsayingthatachain
isonlyas
strongasitsweakestlink.Itisrecommendedthatapartofanindustrials
ite’ssafety
measuresincludemeasuresoftheteamorunittogether.
2.Employeesneedtobemeaningfullyengagedinordertooptimizesaf
ety
performance.Anotherwaytoputitislineownershipforsafetyisstateo
ftheart.
Ownershipfordaytodaysafetyshouldnotbeonthesafetydepartment,
orsolelyon
leadership,butprimarilyonlineworkers.Thiscaseillustratesapower
fulwaytogive
employeeslineownershipforsafetyinawaythatispleasantandmotiva
ting.
3.Asimplebutpowerfulmethodtoincreaseemployeeparticipationin
safetyisto
giveemployeesthechoiceonhowtheywillbeinvolved.Theoptionsca
nbepartofa
pre-
determinedlistofmeaningfulsafetyactivitiesandemployeescancho
osethose
activitiesthatareconsistentwiththeirpersonalpassionsandstrengths
.Thecustomized
activitiesthatarepersonallychosenbyindividualsareconsequently
moremotivating,
andmaybeperceivedmorepositivelythanmandatoryedicts.
9
Therearetechniques,lessonsandideasfromthiscasestudythatcanbea
daptedat
organizationsinvariousindustries.Perhapsnoorganizationwoulddo
thingsexactlythe
samewayasinthisorothercasestudies,buttheideasandlessonscanbe
modifiedand
customizedforspecificcontexts.
Case3:ExecutingLeadingSafetyIndicatorsinthePetroleumIndustry
ExxonMobilDevelopmentCompany(EMDC)introducedleadingsaf
etyindicatorsonthe
Hoover/DianaGulfPlatformProjectin1998.SafetyThoughtLeaderJ
ackToellner
establishedsafetymeasurementsystemsthatresultedinsomeremark
ablesuccesses
fortheorganization.
FromJackToellner’sASSESeminarFestpresentationin2006,theEM
DCapproach
topursuinganinjuryandillnessfreeworkplaceincludedthefollowing
fourelements:
• BuildCulture
• Implement/ImproveSystems
• OptimizePlanning
• MaximizeCommunication
LeadingIndicatorswasoneofthebesttoolstheorganizationhadforim
pactingsafety
performance.Toellnerbrieflyexplainedthetwotypesofsafetyindica
torsinthe
followingmanner:
• LeadingIndicators=Prevention(SafeBehaviors)
• TrailingIndicators=InjuryManagement
Toellneranalyzedandpointedoutanumberofkeypointsaboutthefun
damentalsof
safetymetrics.Examplesofsomehiskeypointsinclude:
KeyPoint#1-Weinherentlymeasureandstewardthosethingsthatare
importanttous.
KeyPoint#2–
SafetyMetricsshouldhaveapositiveslope.Ifyoudomoreofit,
oryoudoitbetter,thenyouhaveamorepositiveimpactonsafetyperfor
mance.
KeyPoint#3–
SafetyMetricsshouldbebusinesslineorsitespecific.Whatone
siteneedstoimproveuponmaybedifferentthanwhatanothersiteneed
stoworkon.
Remember,“Ownershipiseverything!”
KeyPoint#4–
SafetyMetricsshouldnotbecompetitive.Thenumbersarenot
moreimportantthantheoutcome.
KeyPoint#5–
SafetyMetricsshouldnotbecomplex.Complexityincreasesthe
chanceoferrorandmiscommunication.
KeyPoint#6–
SafetyMetricsshouldbetiedtomeasurableindividual,team,and
systemsafebehaviors.
10
Ofparticularinteresttosafetyprofessionalswhoaremakingdecisions
aboutselecting
leadingindicatorsformeasurement,Toellnerdevelopedthefollowin
gfivekeyquestions
foridentifyingandselectingleadingindicators:
1.Whatarethekeyprocesseslinkedtoyoursite’ssafetysuccess?
2.Aretheseprocessesmeasurable?
3.Ifyoudomoreleadingmeasures(orimprovethequalityofthem)will
safety
improve?
4.Ifyoudon’tstewardthem,istheratelikelytodrop?
5.Iftheratedropswillperformancedecline?
TheGulfPlatformProject
ThiscaseinvolvedtheconstructionofanoilplatformintheGulfofMex
ico.Keeping
workerssafewasarealchallengebecausetherewereanumberofissues
forthe
project:
• Theworkforcewasrelativelyinexperienced;
• Therewere1200workersinasmallareaandatmultipleheights;
• Thecostandschedulewerecompetingforprioritywithsafety;and.
• Safetywasanewvalueformanyonthesite.
AnotherkeypointthatToellnermakesisthatorganizationscan’tfocus
oneverythingat
once.Herecommendstargetingthreetofivesafetymeasuresonaproje
ct.The
followingarethefiveleadingindicatorschosen,basedontheselection
criterianoted:
LeadingIndicator#1.EffectiveScoreofBarricadePerformance
LeadingIndicator#2.RelativeQualityofMorningSafetyMeetings
LeadingIndicator#3.AverageHousekeepingScore
LeadingIndicator#4.JobSafetyAnalysis
LeadingIndicator#5.SafetyWalkthroughsPerformedbyManageme
nt.
Thesefiveleadingindicatorswereselectedasthepriorityforsafetyint
he
Hoover/Dianaproject.Barricadeperformancewasimportantbecaus
eoftheheights
workerswereconductingtheirwork.Thescorewasbasedonthepercen
tageof
barricadesthatwereinplace,withthegoalbeing100%.Workerscould
falltolower
levels,orpossiblyworse,theycouldfallintothegulf.Preventingtools
frombeing
knockedofftheedgeofaplatformtolowerlevelswasalsoanobjectiveo
fbarricade
performance.Morningsafetymeetingswereevaluatedforqualitybec
auseofthe
importanceofaddressingsafetyissuesandkeepingtheworkforceawa
reofhazards.
11
Housekeepingandjobsafetyanalyseswereimportanttopreventfires,
eliminateslip
andtriphazards,andtomakesuretheworkforcewasonthe“samepage”
regardingthe
safetyproceduresforeachtask.
Interestingly,ToellnernotedinoneofhisworkshopsthatwhentheLea
ding
Indicator#5,safetywalkthroughs,werefirstbeguntheworkforcehad
asomewhat
negativereaction.Itwasoftenmetwithsentimentssuchas“herecomes
thesafetycop
again.”But,aftertheworkersbegantorealizemanagementactuallyca
redforthem
andtheirsafety,itbecameapowerfulmeasureforimpactingmoralean
dsafety
perceptions.ToellnerlikenedittoScottGeller’sconceptofActivelyC
aringforpeople.
Thewalkthroughsweretangibleactivitieswheretheorganizationcou
ldshowbytheir
regular,visiblesupportandactionsthattheywereactivelycaringforth
eworkersand
fortheirsafety.Thisisapowerfulconceptthatcanshapetheperception
sandculture
ataworksite.
ResultsfromtheGulfPlatformCaseStudy
Theoutcomes,orlaggingindicatorsforthiscase,were“seventimesbe
tterthanthe
industryaverage.”Itwasreportedtherewere2millionhoursofworkon
thegulf
platformwithonlyonerecordableinjury.Thisisremarkablewhenone
considersthe
highhazardcontextoftheworkandtheadditionalchallengesfaceddue
totherelative
inexperienceoftheworkforce.
TheFormulaforSafetySuccess?
ExxonMobilDevelopmentCompany(EMDC)hasaphilosophythat“
Nobodygetshurt.”
Safetyisacorevalue,andtheyhaveanalyzedandorganizedtheirsafety
management
systemstoaccomplishthisprimarygoal.EMDCincorporateda“Form
ulaforSafety
Success.”Basedonahypothesisthat“safetyisamathematicalfact”(se
eToellner
reference)theFormulaforSafetySuccessmaintainedthat“Ifyoudoit
anddoitwell,
youwillgetgoodresults.”
Here’sthe“FormulaforSafetySuccess”graciouslysharedbyJackTo
eller:
PositiveEnergyxEfficiency=Results(NobodyGetsHurt)
PositiveEnergymeansthemoreyouputintoit,thebettertheresults;Ar
easinwhichto
sinkpositiveenergyinclude:
• Leadership,
• DemonstratingCare,
• Communication,
• Training,and
• Resources.
12
Toprevent“negativeenergy,”organizationsshouldavoidinitiativest
hatproducefearof
failureanddelegationofleadership.
Efficiencyimpliesthebetteryoudoit,thegreaterthechanceitwillbee
mbracedbythe
team.Itincludesthefollowingaspects:
• AlignmentonExpectations,
• ProcessesfitforPurpose,
• RecognitionofRisk,
• ControlsEffective(yetnotoverbearing),
and
• ApplicationofLessonsLearned.
InefficiencyincludeselementssuchasMixed
SignalsandExceedingOrganizationalCapacity.
LessonsLearnedfromExecutingLeadingSafetyMeasuresatExxon
Mobil
ThefollowinglessonslearnedareadaptedfromJackToellner’spaper
publishedbythe
SocietyofPetroleumEngineerson“LessonsLearnedinExecutingLea
dingSafety
Indicators.”
Lesson#1:Youarenotdoingleadershipteamsafavorbygivingthemth
eanswer.
Ownershipiseverything!
Toellnernotesthatsafetyprofessionalshaveachallengeinbalancingt
heideaof“giving
themtheanswer”versus“lettingthemdiscovertheanswer.”Hebeliev
esyouarenot
doingtheleadershipteamafavorwhenyougivethemtheanswer.Thepr
inciplebehind
thisparadoxisrecognizingthat“Ownershipiseverything!”
Basedonthisrecognitionthat“OwnershipisEverything!”EMDChas
a2-stepprocessfor
choosingLeadingIndicators:
Step#1
SolicitideasfromtheSiteSafetySteeringTeam;whatdotheythinkwe
needtoworkon;
whatisitthesiteshouldclearlybedoingbetterormoreof?
Step#2
SolicitinputfromSiteManagement;whataretheywilingtoresourcea
ndsupport
throughvisibleleadership?Aretheywillingtoholdthemselvesaccou
ntablewiththeir
management?
Lesson#2:Choosingleadingindicatorsisnotabeautypageant;wemus
tfocuson
areastheteamneedstoImprove.
Toprevent“negativeenergy,”
organizations should avoid
initiatives that produce fear
of failure and delegation of
leadership
13
Toellnerrecommendsthatteamsdon’tchoosetomeasureaprocesstha
tisalready
beingsuccessfullyexecuted,andendupessentiallyspendingenergyv
alidating
somethingthatisalreadysuccessful.Rather,“Leadingindicatorsaren
otaboutshowing
justourbestside(e.g.,thebeautypageant),theyareaboutrecognizing
ourless
flatteringsidewhereweneedadditionalwork,andthengoingandpouri
ngenergyinto
improvingthoseareasofweakness.”
Lesson#3:Youmaythinkyoucan,butyoureallycan’tmeasureeveryth
ing.ToBe
effective,onemustprioritize.
Acommonfailureoccurswhenteamstrytotakeontoogreatachallenge
.Theremay
beabeliefthatifseveralleadingindicatorsaregood,thenmoreisevenb
etter!
Organizationalresourcesandcapacityarenotunlimited,andit’simpo
rtanttorecognize
thisfactbylimitingthenumberofleadingindicatorsbeingstewardedb
yan
organization.Anunintendedconsequenceofmaking“everythingimp
ortant”isthat
essentially“nothingisimportant.”Wecan’tfocusoneverythingatonc
e.
ExxonMobil’sexperiencesuggeststhatasiteshouldstartwithnomore
thanfourorfive
leadingindicators.Toellneralsorecommendsthatsitesavoidindicat
orsand
measurementprocessesthataretoocomplex.Simplicityisimportanta
ndsimple
measuresthataremeaningfularemorelikelytobesupportedbythewor
kforce.He
notes:“Sometimesinthesafetybusinessslowmaybebetterifitleadsto
ahigherlevel
ofacceptanceandlong-termsuccess.”
Lesson#4:Justbecauseyoucan,doesn’tmeanyoushould.Excelisnot
alwaysyour
friend.Youmustpresentdatainafashionthatthemessageisclear.
AlthoughMicrosoftExcelisawonderfultool,itisn’talwaysthebestw
ayto
communicatewhatisimportant.Sometimeasimplelinegraphwithcle
arexplanations
canbemoremeaningfulforemployees.
Lesson#5:Oncealaggingindicatoralwaysalaggingindicator.Obser
vation&
Interventionprogramsaregreat,buttheyarenotenough.Organizatio
nsmustseekto
impactcultureandprocesslong-term.
Toellnerclaimsthatnearmissreportingandobservation&interventio
n(O&I)programs
areimportantandaddvaluewhenproperlyexecuted.Eitheroftheseisl
eadingtype
behaviors,butifthesearetheonlyelementsofyourleadingindicatorpr
ogramsthen
youmaybemissinghighvalueopportunitieslinkedtoprocessandcult
ure
improvement.Thesetwoprogramsfallintothecategoryof“HazardRe
cognition”and
ExxonMobil’sdataanalysisdemonstratesthatsitesthatembracerigo
rousnearmiss
reportingand/orO&Iprogramsstatisticallyperformbetterthanthose
siteswithoutO&I
programs.
14
However,thebetterleadingindicatorprogramsaddressnotonlyhazar
drecognition,
butalsoprocessandcultureimprovement.Nearmissprogramscanbec
onsidereda
leadingindicatoriftheygobeyondsimplytrackingandincludeanin-
depthanalysisthat
leadstoincorporationoflessonslearned.
Case4:LeadingMeasuresforAdvancingBehavioralSafetyEfforts
Introduction
ThisfoodmanufacturingcompanyhadbeenimplementingBehavior-
BasedSafety(BBS)
orBehavioralSafetyforabout10yearsatvariouslocationsthroughout
theorganization.
Althoughtherehadbeensomesuccessesregardingreductionsininjuri
esthatappeared
tobecorrelatedtotheBBSefforts,therewerealsosomeissueswiththea
pproachthat
neededtobeaddressed.Thecorporateandregionalsafetyprofessiona
lswantedto
continueBBSandcontactedoneoftheauthorstohelpthemupdateanda
pplyamore
advancedapproachtoBBS.
BBShasevolvedusing3distinctformatsovertheyears.Thefirstchara
cteristic
ofBBSintheearlyyearswasmostlya“top-
down”approach,withmanagementmaking
thedecisionsandcallingtheshots.Thisformatwascommonduringthe
1980s.Then
BBSevolvedintomoreofa“bottomup”approachcharacterizedinthe1
990sandearly
2000sallowingemployeesgreaterempowermentandauthorityindev
elopingand
makingdecisionsabouttheapproach.DominicCoopercallsthethirda
ndmostrecent
iterationofBehavioralSafetya“SafetyPartnership”betweenmanage
mentand
employees.(Cooper,5).Thisapproachrecognizesthatit’snotjustem
ployeebehaviors
thatareimportant,butmanagementbehaviorsaswell.Anargumentco
uldbemade
thatmanagementbehaviorismoreimportantthanhourlyemployeebe
havior,because
theleadershipbehaviorsareleveragedandtendtohavegreatimpact.
AllthreeoftheseBBSformatsarestillpracticed,dependingontheorga
nization.
However,theSafetyPartnershipapproachisthemostpromisingbecau
seitismore
inclusiveregardingthemeaningfulbehaviorofallemployees,includi
ngmanagement
employees.
Thefoodmanufacturingorganizationhadbeenusingacombinationof
top-down
andbottom-
upapproachestobehavioralsafety.Therehadbeenavarietyofsuccess
es
dependinglargelyonhowwelltheapproachwasacceptedandembrace
dbythevarious
sites.Ontheotherhand,theBBSprocesshadgrownstaleandtherewere
quotasfor
thenumberofobservationsandcoachingsessionsthatparticipantswe
reexpectedto
completeeachmonth.Thisquotasystemhadresultedinapercentageof
thesubmitted
observationsbeingperceivedaslowquality.Thesearesometimescall
ed“pencil-
15
whipping”orparkinglotobservations,andusuallyarenotparticularly
meaningfulor
useful.
DominicCooper–FindingsfromResearchandExperience
Thisisarelativelyrecentcaseanddiscussionhereisrelatedtotheplans
for
improvement.Theauthordrewuponnumeroussources,includingthei
deasofthe
corporatesafetyteamandpassionatesafetyadvocateswithinthecomp
anyfor
developingleadingmeasuresfortheAdvancedBBSProcess.Howeve
r,theperson
whoseideasinfluencedtheevolutionofbehavioralsafetyarefromSaf
etyThought
LeaderDominicCooper.Cooperhasdocumentedcasestudies,lesson
slearned,and
conceptsforsuccessfulimplementationandexecutionofbehaviorals
afetyinhisbook,
BehavioralSafety:AFrameworkforSuccess.
ThefoundationfortheadvancedapproachtoBBSwasthattheprincipl
esofthis
bookwouldbeappliedtotheapproach.Thefollowingprincipleswerea
ppliedforBBS
leadingmeasures:
• Therewouldbeamixofleadingandlaggingindicators;
• Therewouldbeamixoftypeoneandtypetwomeasures;
•
Therewouldbeamixofmeasuresforemployeesandforleadership;and
• Primarymeasureswouldbelimitedinnumberfromthreetofive
measures.
Theconceptoftypeoneandtypetwomeasureswereinfluencedbythew
orkof
TerryMcSween.Basically,typeonemeasuresaremeasuresthatidenti
fyandaddress
practicesthatcreatethemostexposuretoinjury,i.e.,theworkisbeingd
onesafely.An
exampleofatypeonemeasureinBBSis“percentsafe.”Onemightsayt
hattypeone
measurescouldbe“consideredaconditionofemployment,”especiall
yforindustries
wherefailuretoworksafelycouldresultindisablinginjuriesorfataliti
es.Thisisaslogan
usedbysomecompanies,andworkingsafelycouldbeconsideredacon
ditionof
employment.
Typetwomeasuresaredesignedtomonitorandimprovehowwellthe
behavioralprocessisfunctioning.Basically,thesearethewaysthesaf
etyprocessis
supported.Typetwomeasuresareanexpectationthatemployees(incl
uding
management)willsupportthesafetyefforts,andtheywillbemeasured
andheld
accountablefordoingso.
Generallyspeaking,typeonemeasuresmoreoftenconcernemployees
while
typetwomeasuresareprimarilyexpectationsformanagement.Howe
ver,managers
shouldbeheldaccountablefortypeonemeasures-workingsafely-
iftheyactually
performtheworkorareexposedtohazards;i.e.,shouldweartheapprop
riatePPE,are
incloseproximitytotheworkbeingperformed,etc.
16
Largely,typeonemeasuresaremoreprescribed,whereas,withtypetw
omeasures,
employeesandmanagementmaybeprovidedwithchoicesabouthowt
heywouldbe
measured.Withtypetwomeasures,employeesandmanagementchoo
sehowtheycan
meaningfullysupportthesafetyeffortbeyondthebasicsofworkingsa
fely.
Withtheseprinciplesinmind,thefollowingfivemeasuresfortheadva
ncedapproach
weredeveloped.Thefirstandfifthmeasuresareleadershipmeasures,
whilethe
second,thirdandfourthmeasuresareprimarilyemployeemeasures:
Measure1.SafetyLeadershipScores
Thismeasureisself-managedandself-
designed.Althoughitisa“soft”measure,itcan
haveagreatimpactonperformance.Withthesafetyleadershipscores,
thereare
separatelydesignedpinpoints(orspecificallydefinedbehaviors)sele
ctedby
managementandself-managed.Theself-
reportcriterioncoversaweeks’timeframe
andincludesagreenlightifthebehaviorsareconducteddaily,suchasf
ourorfivetimes
inaweek;ayellowlightfortheselectedbehaviorscompletedtwoorthr
eetimesina
week,andaredlightifthebehaviorsaredonerarelyornever.
Behaviorsareselectedfromalistofwaystosupportthesafetyprocessa
ndinclude
itemssuchas:
• Performingsafetywalkaboutstodiscusssafety;
• Ensuringthecloseoutofsafety-relatedcorrectiveactions;
• Conductingsafetycoaching;
• Promotingsafetycoaching;
• Attendingsafetyrelatedtrainingwiththeteam;
• Recognizingemployeesforworkingsafely;
• Providingatleastonepositivesafetyfeedback;
•
Reviewingobservationdataanditsimportanceinsafetymeetings;and
• Activityparticipatinginsafetyactivities.
Thecompletedchecklistshouldbeturnedinweekly.Managersareenc
ouragedto
pinpointthreetofivebehaviorsfortheirperformance,sincetheycan’t
focuson
everythingataspartofmanagers’annualevaluations.
Measure2.QualityofObservations
OneoftheconcernswiththepastperformanceofBBSwasrelatedtothe
poorqualityof
observations.Sincetherewerequotasforobservations,alotofobserv
ationshadbeen
conductedandturnedin.Someoftheobservationswerevaluableandle
dtoreal
17
improvements.Ontheotherhand,manyobservationswereglibandpo
ssiblyeven
“fictitious.”
Mostsafetyprofessionalsprobablyrecognizethatquotasystemswith
required
minimumscancauseissues.Cooperexplainsitthisway:
“Foravarietyofreasons,observationsarenotalwaysconducted.With
in‘one-
on-one,peer-to-
peer’processesitiscommonformanagementortheproject
teamtoovercomethisbysettingobservationquotas.Forexample,eac
hperson
willbeobserved,orwillconductanobservationonceamonth,orquarte
r.Often
thisleadstoamassivenumberofobservationcardsbeinghandedinatth
eend
ofthequotaperiod,mostofwhichfocusontheuseofPPEorunsafecond
itions.
Thisshouldraisesuspicionsabouttheirauthenticity.Italsoindicatest
heprocess
hasbecomemerelyanumbersgame.Inmyview,itismuchbettertotarg
etthe
qualityofobservations,astheyaremuchmorelikelytoreducetheincid
ent
rate.”(Cooper,131-132)
Coopernotesthatqualityofobservationsisassessedbycomparingper
centsafe
scores(thenextmeasurechosenbelow)forspecificpinpointstothosei
dentifiedin
near-
hitandincidentrecords.Asthereportedpercentsafescoresincreaseth
e
associatedinjuriesshoulddecrease.Forexample,ifwearingeyeprote
ctionisthe
pinpointedbehavior,andifthepercentageofwearingeyeprotectionis
reportedtobe
increasing,thentheassociatedeyeinjuriesshoulddecrease.Ifthisneg
ativecorrelation
doesnotexistthenthereissomekindofproblem.
Anotherwaytoassessthequalityofwrittenobservationsisbyhavinga
steering
committeeorsafetyteamreviewthedetailedcommentsfromobservat
ioncardsand
evaluatethequality.Itemsthatcouldbereviewed:
•
Didtheobserverfocusonthebehaviorspreviouslypinpointedonthec
hecklist?
•
Didtheobservationincludefeedbackreinforcingsafebehaviororadd
ressing
needsforimprovement(coaching)?Itcouldbearguedthatthereislittl
eorno
valuetoanobservationwithoutfeedback.
• Didthedialogueleadtoaprecisesolution?
• Wasa“wayforward”agreedupon?
Itshouldbenotedthatespeciallypowerfulsolutionsaretappedwhenth
esolution
impactsthesystem,ratherthanjustoneortwoindividuals.
Regardingtheuseofincentivestoimprovethequalityofobservations,
there
weresomesiteswithsafetyteamsthatevaluatedobservationssimilart
othepoints
listedabove.Theteamchosetwoorthreewinnersforthebestqualityob
servations.
Thesewinnerswonanall-
expensepaidtripstoanationalsafetyconference.
18
Measure3.PercentSafeScore
ThisisthemostcommonscoreusedinBBS.Theorganizationwasalrea
dyusingpercent
safescoresandwantedtocontinueusingpercentsafeasoneoftheirfive
primary
measures.Thismetricistheonlytypeonemeasureofthefivemeasures
selected–the
remainderaretypetwomeasuresthatmeasurethelevelofsupportforth
esafety
effort.
Percentsafeisdeterminedbytheratioofsafetounsafebehaviors.Asno
ted,it
isatypeonemeasurebecauseitdirectlyreducesexposuretoinjury.Itis
mosteffective
whenitistrendedovertime.Initialobservationsareusedasabaselinet
ocompare
futurescores.Goalsaretypicallysetbyeachworkareaandscoresareco
mparedto
eachgoal.
TheformulaforPercentSafeScores:
PercentSafe=NumberofSafePinpoints(Behaviors)
TotalNumberofPinpointsObserved
Measure4.NumberofFeedbackMethodsUtilized
Inasectionentitled“LimitlessFeedback,”Coopermakesthefollowin
gpoints:
“Feedbackisthekeytoperformance.Althoughfeedbackcomesinman
yshapes
andforms,ithastobespecific,relevant,credible,frequent,timelyandl
inkedto
actionsourcestobeeffective…Researchshowsthatusingthreetofour
feedbackmechanismsreducedtwiceasmanyinjuriesasthoseusingon
lyoneor
two.”(Cooper,31)
Thefoodmanufacturingcompanydefinedthefollowingfourmethods
of
feedbackforthefourthmetric:
1)One-on-onefeedbackwithtwo-waydialogue;
2)Simplegraphs,usinggoal-focusedlineorbargraphs;
3)Unitfeedbackinsafetymeetings,trainingsessions,toolboxandpre
-shift
meetings;and
4)Writtenfeedbacksuchasnewsletters,bulletins,jobperformancere
views.
Thescoringcriteriaforthenumberoffeedbackmethodsutilizedinclu
desagreenlight
forusingallfourmethods;ayellowlightforusingtwoorthreemethods
ofsafety
feedback,andaredlightforusingjustonemethod.Thismetricappears
rathersimple,
buttheimpactcanberatherprofound.
19
Measure5.PercentCorrectiveActionsCompleted
Thismeasurefocusesonthenumberofcorrectiveactionscompletedc
omparedtothe
totalnumberreportedinagiventimeperiod-
suchas30days.Thesafetyteamchose
>80%forgreenlight,60%to70%foryellow,and<60%forred.Thecor
porateoffice
notedthisonecouldbedifficulttoaccomplish.
Theteammadethefollowingdistinctionsforthismetric.First,theperi
odof
timewouldincludea“rolling30days.”Secondly,thecorrectiveaction
sthatrequire
engineeringfixesormajorexpenditureswouldnotbeincludedasparto
fthemetric,
althoughtheycouldbehighlyimportantandtrackedunderanothersyst
em(outsideof
theBBSprocess).
Thetheoryisthatascorrectiveactionsaretakeninatimelymanner,the
number
ofcorrectionsneededshouldbereducedovertimesincemanyofthemh
avealready
beenaddressed.
KeyPointsaboutLeadingMeasuresforAdvancingBBSEfforts
Althoughthiscaseisnewandresultsareongoing,herearesomestrateg
iesforapplying
theseleadingmeasurestobehavioralsafety:
KeyPoint#1.Leadershipbehavioristhekeytoaneffectivebehavioral
safetyeffort.
These5measuresbeginandendwithmeasuresforleadership.Leaders
hipbehaviors
arethemostimportantbehaviorsthatimpactsafetyperformance.
KeyPoint#2.Managersaregivenachoiceonhowtheythinktheycanm
ost
effectivelysupportthesafetyprocess.SimilartotheBreweryCasestu
dywhere
employeeswereexpectedtobeinvolvedinsafetybutweregivenachoi
ceonhowthey
wouldbeinvolved.Similarly,managementisexpectedtosupportBBS
andsafety,butis
givenachoiceonhowtheywillsupportthesafetyeffort.
KeyPoint#3.BBSprocessescanbemademoreefficient.TheOrganiza
tionpracticesa
teamapproachtomanufacturingatmanybutnotallsites.Consequentl
y,thesafety
approachisconsideredbothpersonalandateamapproach.Thepointis
thattheBBS
processcanbemademoreleanbyutilizingonememberperteamastheo
bserver,
versustheformerpracticeofhavingnumerousBBSObservers.
KeyPoint#4.One-on-
onefeedbackskillscanbeenhanced.Oneofthefactors
impactingthequalityofobservations(orlackofquality)wasthatmany
employees
eitherlackedthecourageortheskillstogiveeffectivefeedbacktoacow
orker.Asimple
seven-
stepprocesswasdevelopedtoaidemployeesinprovidingcrucialsafet
y
feedback.
20
Anoteaboutleadershipreluctancetoengageinleadingsafetymeasure
s.
Quiteoftenitappearsthatanapproachthatfocusesonleadingsafetym
easuresisnot
embracedbymanyorganizations–
whileonesegmentforgesaheadwithpositive
results,otherdivisionsmaykeepthesamesafetyprocessesandcontin
uetoexperience
fatalitiesandseriousinjuries.Itcanbepuzzlingifnooneaskswhatthes
uccessful
divisionwasdoingtopreventfatalities,eventhoughaparticularappro
achmaybe
highlyrecommendedtoothers.Isitpossiblethatanorganizationmayp
erceivethe
approachastoomuchwork?Orisduetoatraditionalresistancetochan
ge?
CHAPTERREVIEWQUESTIONS
1.
HowdidthenecessityoftheleadingmeasuresinCaseStudy#1dictatet
he
metricsthatweretrackedandemphasized?Whatlimitationsdoyouse
e
withCaseStudy#1?
2.
Nametwoinnovative,cornerstonecharacteristicsofCaseStudy#2.
3.
Why,inCaseStudy#3,didExxonMobilDevelopmentCompanydecid
eto
onlyfocusonfivemeasuresofsafetyperformance?
4. ComparetheCaseStudy#3with#s1and2.
5.
WhatdoyouthinkwilltheresultsoftheplandiscussedinCaseStudy#3
?
Whydoyouthinkthat?
References
Bevington,AnneM.,SafetyManagementProcess-
ProactiveSafetyMetricsthat
DrivePerformanceinManufacturingFacilities,ProceedingsoftheA
mericanSocietyof
SafetyEngineersProfessionalDevelopmentConference,2005.
Conklin,Todd,Pre-
AccidentInvestigations:AnIntroductiontoOrganizationalSafety,
Ashgate,2012.
Cooper,Dominic,BehavioralSafety:AFrameworkforSuccess,B-
SafeManagement
Solution
s,2009.
Gawande,Atul,TheChecklistManifesto:HowtoGetThingsRight,N
ewYork:Picador,
2009.
Geller,E.Scott,ActivelyCaringforPeople:CultivatingaCultureofC
ompassion,Makea
Difference,2012.
21
Manuele,FredA.,AdvancedSafetyManagement:FocusingonZ10an
dSeriousInjury
Prevention,2ndEdition,JohnWiley&Sons,2014.
McSween,TerryE.,TheValues-
BasedSafetyProcess:ImprovingYourSafetyCulturewith
Behavior-BasedSafety,2ndEdition,JohnWiley&Sons,2003.
Toellner,Jack,ImprovingSafety&HealthPerformance:Identifying
&MeasuringLeading
Indicators,ProfessionalSafetyJournal,September2001.(pp.42-47)
Toellner,Jack,LessonsLearnedinExecutingLeadingSafetyIndicat
ors,Societyof
PetroleumEngineers(SPE-168377),March2014.
Toellner,Jack,APractitioner’sApproachtoUtilizingLeadingSafety
IndicatorstoDrive
ContractorSafetyPerformance,PowerPointmoduleforAmericanSo
cietyofSafety
EngineersSeminarFest,2006.
Weick,KarlE.&KathleenM.Sutcliffe,ManagingtheUnexpected:Re
silient
PerformanceinanAgeofUncertainty,SecondEdition,SanFrancisco:
JohnWiley&Sons,
2007.
Wilson,Frazier,PersonalCorrespondence.
Woerz,Paul,PersonalCorrespondenceJune2006andJanuary2014.
Chapter12
ReinforcingStrategicSafetyMeasureswithIncentives,
Rewards&Recognition
SafetyWisdom:
Reinforcementisaprocedureusingconsequencestoincreasebehavio
r;Ifthetarget
behaviordoesnotincreaseinfrequency,intensity,orduration,thepro
cedurewasnot
reinforcementandtheconsequencewasnotareinforcer.
E.ScottGeller
Usingperformancemeasuresasthebasisforprovidingpositive,encou
ragingfeedback
willdomoretoboostmoraleandorientanorganizationtowardimprovi
ngperformance
andexcellencethananythingelse.
WillKaydos
Organizationscommonlyuseincentivesandrewardsinanefforttoenh
ancethe
effectivenessoftheirsafetymeasures.Thischapterexplorestheresea
rch,expertise
andexperienceonthistopic.Anoverviewincludes:
•
Distinctionsamongrecognition,rewardsandincentivesandwhentou
sethem;
•
Thereinforcementstrategiesthatareconsideredtobethemostpowerf
ulfor
impactingsafetyperformance;
• Commonissueswithrewardsandincentives;
• Guidelinesformakingrewardandrecognitionprogramseffective;
• Strategiesformaximizingindividualandteamrecognition;and
• Developingsafetymetricsthatmotivateandreinforceperformance.
Introduction
Anelementofcontroversysurroundsthetopicofrewardsforsafety,es
pecially
regardingincentiveprograms.Psychologistswhohavebecomeinvol
vedintheareaof
safetyvarygreatlyintheiropinionsabouttheeffectivenessofsafetyin
centiveprograms
andsafetyrewardsingeneral.
AlfieKohnwrotePunishedbyRewards:TheTroublewithGoldStars,I
ncentive
Plans,A’s,Praise,andOtherBribesandinsiststhatmotivationandinc
entivescomefrom
intrinsicsources,andthatexternalrewardsdefeatthepurposeofmotiv
ation.The
bookreviewstates:
Thebasicstrategyweuseforraisingchildren,teachingstudents,and
managingworkerscanbesummarizedinsixwords:Dothisandyou’llg
etthat.
Wedanglegoodies(fromcandybarstosalescommissions)infrontofp
eoplein
muchthesamewaywetrainthefamilypet.Drawingonawealthof
psychologicalresearchAlfieKohnpointsthewaytoamoresuccessful
strategy
basedonworkingwithpeopleinsteadofdoingthingstothem.“Dorewa
rds
motivatepeople?”asksKohn.“Yes.Theymotivatepeopletogetrewar
ds.”
WhethersafetyprofessionalsagreewithMr.Kohnornot,otherpsycho
logists
whoconcernthemselveswithsafetyappeartoextendfromoneendofth
espectrumto
theotherwhenitcomestotheissueofsafetyrewards.AubreyDanielscl
aimsitdoesn’t
matterwhatsomepsychologistsorpeopleclaimaboutincentives,thes
eareonly
opinions.Hestatestheempiricalresearchandcommonexperienceini
ndustry
demonstratesthatincentivesdowork–
butthecaveatisinhowtheyaredesignedand
implemented.
Theastutesafetyprofessionalcouldreadtheworksofvariouspromine
nt
psychologistswhohavedelvedintothesafetyfieldanddiscovertheyr
angefrom
believingthatnoincentivesshouldeverbeofferedunderanycircumst
ances,to
espousingthatrewardsandincentivesarehighlydesirable;themoreth
emerrier.Other
psychologistsaremoreinthemiddleofthespectrum,andsimilartothe
platitude
expressedbyAubreyDaniels,believethatincentivescanbeeffective.
Hecautions,
however,thatanorganizationmustcarefullyconsidertheramificatio
nsandpotential
sideeffectsofimplementingsafetyincentivespriortoembarkingonth
atjourney.
WhatareIncentives?
Ingeneral,thetermincentiveinvolvessomekindofawardorreward,of
tenincludinga
varietyoftangibleitems.Incentivesaretypicallydesignedtoencoura
georinfluence
peopletodosomethingtheywouldotherwisebeunlikelytodowithoutt
heaward.
Thereisanaspectofincentivesthatcanbeunsavory.Thereareanumbe
rof
derisivetermsforincentivesincludingbribery,gimmicks,anddangli
ngacarrot.Atthe
coreofincentivesisan“If/Then”understanding.Ifemployeeswilltak
ecertain
behaviorsorhaveaspecificaccomplishment,thentheywillbereward
edforthe
improvementorachievement.Soperhapsthemainpurposeofincentiv
esistoincite
employeestodobetter;suchasimprovethequalityofajobtheyalready
do.
WhatareSomeBasicWaystoIncentBehavior?
Thereisadifferencebetweenarewardandanincentive.Rewardsmayb
egivenfor
performanceandachievementseveniftherecipientshadnoideatheyw
ouldbe
rewarded.Incentives,asnoted,includetheelementofIf/Then:Ifanem
ployee
performsaspecificbehaviorormakesacertainachievement,Thenthe
employeewillbe
rewarded.Sotheincentivepre-
datesorisaprecursortothereward,andmayinfluence
individualbehavior.
Someofthebasicmethodstoincentivizebehaviorinclude:
• Rewards–
Arewardisatangibleitemofvaluethatisintendedtoinfluence
behaviorinaparticulardirection.
• Recognition–
Recognitionisasymbolicwayofshowingappreciationforsome
accomplishmentandincludesitemssuchasplaques,trophiesorletters
of
commendation.Recognitionmaybeprovidedinagroupsettingorgive
n
privately.
• Feedback–
Feedbackisinformationaboutbehaviorthatallowstheperformerto
changespecificbehavior.
WhatIncentivesAreNot
Mostsafetyprofessionalsrecognizethelimitationsofsafetyincentiv
es,but
organizationsstillinsistonrelyinguponincentivesinthewrongway.
Herearesome
explicitprecautionsaboutsafetyincentivesthatarelikelywidelyreco
gnized.
1.Safetyincentivesarenotareplacementforaproactivesafetyprocess
.Theremay
beaplaceforsafetyincentivesundercertaincircumstances,however,
theyshould
neverbeareplacementforasolidsafetymanagementsystem.Atmost,t
heyshouldbe
usedinanefforttoenhancethesafetymanagementsystem;kindoflikei
cingonthe
cake.Butagain,incentivesarenotthesafetyprogram.
2.Safetyincentivesarenotapanaceatocureallproblemsinthesafetyef
fort.
Incentivesarenotsubstantivesolutionscomparedto
actualeffortsthatorganizationsmaytaketoreduce
hazardsandrisks.Thesubstantialsolutionsinclude
thosecategoriesespousedintheSafetyHierarchyof
Controlssuchasengineeringcontrols,substitutionof
lesshazardousmaterials,guarding,administrative
controls,etc.Perhapsincentivesfitinthecategoryofa
low-leveladministrativecontrol–oranadministrative
motivationtool.
3.Safetyincentivesarenotaquickfixforsafety
culture.Itispossiblethatincentivescouldinfluence
certainactionsandhabitsthatimpactsafetyculture,
butoftentheimpactofsafetyincentivesisshortlived
andbecomeextinctoncetheincentiveprogramisno
longerinplace.
Incentivesarenot
substantive
solutions
comparedtoactual
effortsthat
organizationsmay
taketoreduce
hazardsandrisks.
WhydoOrganizationsImplementSafetyIncentivePrograms?
Thereare3basicreasonsorganizationsimplementSafetyIncentivePr
ograms
accordingtoresearchconductedbyGoodrumandGangwarintheconst
ructionindustry
andpublishedintheProfessionalSafetyJournalin2004.Theysample
d165companies
in14statesfortheirstudy.Thetop3reasonsorganizationsimplements
afetyincentive
programsfromtheirresearch:
1.Tochangeworkers’(safetyrelated)behavior;
2.Toimproveworkers’awarenessofsafety;and
3.Toreducerecordableinjuries.
OneofGoodrumandGangwar’smainconclusionsisthatasafetyincen
tive
programshouldnotexistbyitself.Rather,itshouldbepartofanoverall
comprehensive
SH&Eprograminvolvingworkforcetrainingandintegrationofsafety
intothework
process.
IncentiveProgramsareaFormofSafetyIntervention:anEfforttoInflu
encePositive
Changes
Incentiveprogramsareaformofsafetyintervention.Assuch,theirfun
ctionis
tosupplementasolidsafetyprocessratherthanreplacingit.Asaninter
vention,
incentivesmayormaynotbeeffectivedependingontheirdesignandi
mplementation.
OnedefinitionofthewordintervenefromMiriamWebsterDictionary
is:To
becomeinvolvedinsomethinginordertohaveaninfluenceonwhathap
pens.
Therearecountlesswaystointerveneinsafety.Organizationsconstan
tlyintervenein
safetysinceaninterventionisanattempttostepinandchangethebehav
iorsor
circumstancestoimproveresults.Thereareissueswithsafetyincenti
veprogramsthat
safetyprofessionalsneedtobeawareofbeforedecidingwhethertodev
elopor
implementone.
CommonConcernswithIncentivePrograms
Perhapsthesinglebiggestconcernwithincentiveprogramsisincentiv
izingthe
wrongbehaviors.AsAlfieKohnasked,“Dorewardsmotivatepeople?
Yes.They
motivatepeopletogettherewards.”Whenthemotivationforemploye
esisbasedon
anexternalreward,thenemployeesmaynotnecessarilyfollowtheinte
ndedbehaviors
thatwerethereasonfortheincentiveprograminthefirstplace.Thepri
maryexample
ofincentivizingthewrongbehaviorinsafetyiswhenincentivesarebas
edoninjury
rates,especiallywhenarewardwillbegivenbasedonnoinjuries.Then
itiscommon
forfalsefeedbacktooccur,orthatemployeesfailtoreportminorworkp
laceinjuriesso
theywillstillbeeligiblefortheprize.
Somecommonproblemswithsafetyawards,especiallywhentheyarei
ncentive
basedinclude:
• Therewardsarenotrelatedtosafebehavior
•
Therewardissolargeitovershadowstheeffortstoimprovethesafetyp
rocess
• Therewardsareperceivedbyemployeesasanongoingentitlement
•
Abunchofinjuriesarereportedrightaftertheincentiveprogramends
OSHAClassificationofincentivePrograms
SafetyprofessionalsinsomeorganizationsmistakenlybelievethatO
SHAdoes
notallowincentiveprograms.Thisisnottrue.Thereisanimportantdis
tinction
betweenthekindsofincentiveprogramsthatOSHAfrownsuponandth
eonesthatare
acceptable.Thebasicdistinctioniswhethertheincentiveisbasedonin
juries(orthe
lackofinjuries)orbasedonbehaviors.OSHArecognizesthatincentiv
eprogramsthat
arelikelytoencourageunderreportingofworkplaceinjuries.
1.TraditionalPrograms:Theseareprogramswitharesultsfocus;base
donlagging
measuressuchasinjuriesandillnesses.Theyareoftenbasedonnoorfe
werinjuries
occurring.
2.Non-
TraditionalPrograms:Thefocusintheseprogramsisonactiveparticip
ation;
leadingindicators,suchasbehavior-basedprograms.
Inawell-
known2012memorandumfromthenDeputyAssistantSecretaryofLa
borfor
OSHA,RichardFairfax,toRegionalOSHAAdministratorsandWhist
leblowerProrgram
Managers,OSHA’spositiononincentiveswasdisclosedasfollows:
“…someemployersestablishprogramsthatunintentionallyor
intentionallyprovideemployeesanincentivetonotreportinjuries.Fo
r
example,anemployermightenterallemployeeswhohavenotbeen
injuredinthepreviousyearinadrawingtowinaprize,orateamof
employeesmightbeawardedabonusifnoonefromtheteamisinjured
oversomeperiodoftime.Suchprogramsmightbewell-intentioned
effortsbyemployerstoencouragetheirworkerstousesafepractices.
However,therearebetterwaystoencouragesafeworkpractices,such
as
incentivesthatpromoteworkerparticipationinsafety-
relatedactivities,
suchasidentifyinghazardsorparticipatingininvestigationsofinjurie
s,
incidentsor‘nearmisses.’….Incentiveprogramsthatdiscourage
employeesfromreportingtheirinjuriesareproblematicbecause,und
er
section11(c),anemployermaynot"inanymannerdiscriminate"again
st
anemployeebecausetheemployeeexercisesaprotectedright,suchas
therighttoreportaninjury.”
OSHAfurtherbolsteredandreiteratedthisstanceonincentiveswithth
every
controversiallanguageusedinthePreambletotheFinalRuleto“Impro
veTrackingof
WorkplaceInjuriesandIllnesses,”alsocommonlyreferredtoasthe“E
lectronic
RecordkeepingRule.”(See81Fed.Reg.92,29671–29674.)
ThebottomlineisthatOSHAdoesnotapproveordisapprovedesignsor
effectivenessof
SafetyIncentivePrograms.However,OSHAdoesnotlookfavorablyo
nsafetyincentive
programsthatmayencourageunderreportingofworkplaceinjuries.
WhatAretheMostPowerfulIncentivestoEncourageEmployeestoW
orkSafely?
Basedonresearchandexperience,thetwomostpowerfulincentivesth
attendtolead
toimprovedbehaviorsandperformanceovertimearefeedbackandrec
ognition.There
aresubstantialbenefitstoincentingbehaviorwithfeedbackandrecog
nition,andthey
include:
1.Feedbackandrecognitionarenotexpensivetodo.
2.Feedbackandrecognitiondonottendtobecomeentitlements.
3.Feedbackandrecognitionclarifysafetyexpectationsandresponsib
ilitiesfor
employees.
4.Feedbackandrecognitionmayhaveapositiveimpactonworkplace
morale.
5.Feedbackandrecognitioncanimproverelationshipsintheworkpla
ce.
Afewthingstoconsiderinplanningforeffectivebehaviorfeedbackan
d
recognition:
•
Feedbackismosteffectivewhenitisimmediateorsoonafterthebehavi
oror
achievement,versusfeedbackthatoccursdays,weeksormonthslater;
•
Feedbackismoreeffectivewhenitisgivenregularlysuchasonadailyb
asis
versusweeklyormonthlyorlessoften;and
•
Althoughthereareexceptions,feedbackshouldgenerallybegivenpri
vately.
FeedbackandRecognitionforImprovingSafetyPerformanceCanBe
Administeredby
PeersintheWorkforce
Positivereinforcementforsafetyperformancedoesnotneedtocomes
olelyfrom
managementandsupervision.Manyorganizationsdonottakeadvanta
geofthe
opportunitiesforpeer-
relatedreinforcement.Accordingtoresearchconductedby
AubreyDaniels,peersarethemosteffectivesourceofreinforcementa
twork.Yet,a
paradoxremainsthatpeersaregenerallythemostunder-
utilizedsourceof
reinforcementatwork.
Organizationsmaywanttoconsidertheuseofpeerreinforcementfors
afety
performance.Peer-
relatedreinforcementcanbehighlyeffectiveandtendsto:
• Leadtomorefrequentimprovements
•
Makeimprovementsoccurmuchfaster(versusmanagementreinforce
ment)
•
Improvementsmadethroughpeerreinforcementappeartolastmuchlo
nger
Management-relatedReinforcement&Coaching
Alongtheselinesofpositivereinforcement,psychologiststellusthat
managementhasagreaterinfluenceonemployees’discretionarybeha
viorwhenthey
usepositivereinforcementandcoachingratherthanthemoretradition
al“command&
control”styleofmanagement.AubreyDanielsdefinesdiscretionaryb
ehaviorand
explainsitthisway:
Discretionaryeffortisdefinedasthatlevelofeffortpeoplewouldgivei
fthey
wantedto,butwhichisbeyondwhatisrequired.Inotherwords,sinceth
e
discretionaryeffortisaboveandbeyondwhatisexpected,demanded,
paid
for,plannedfor,therewouldbenopunishmentiftheydidn’tdoit.
Discretionaryeffortiswhatispossible.Inmanyorganizationstoday,
managementishappyjusttogetwhatisexpected.
Foranysafetyprofessionalswhomaybeinterestedindelvingfurtheri
ntothis
topicofpositivereinforcement,AubreyDaniels’excellentbookisrec
ommended–
BringingOuttheBestinPeople:HowtoApplytheAstonishingPowero
fPositive
Reinforcement.
ATwo-FactorTheoryofMotivation
FrederickHerzberg’sTwo-
FactorTheoryisusefulforunderstandingthefactorsthat
motivatepeople,specificallyaswecontemplateworkplacesafety.He
rzbergtheorized
thatsatisfactionanddissatisfactionarenotoppositesastraditionallyt
hought.His
theoryincludedthetwofactorsofhygieneandmotivatorsontwosepar
atecontinua.
Rather,satisfactionanddissatisfactionareondifferentcontinuumalt
ogether.Herzberg
conceivedthathygienefactorsincludedissatisfactionandnodissatisf
actionareonone
continuum,andnosatisfactiontosatisfactionareoppositesontheothe
rmotivation
continuum.
InHerzberg’stheory,hygienefactorsarethosethingsthatkeeppeople
from
beingdissatisfiedandincludethingssuchas:
• Workingconditions,
• Levelandqualityofsupervision,
• Companypolicyandadministration,
• Interpersonalrelations,
• Jobsecurity,and
• Salary.
AkeypointHerzbergmadeabouthygienefactorsistheydonotmotivat
e.Whenthey
areinplace,theykeeppeoplefrombeingdissatisfied.
Thesecondcontinuumisbasedonthingsthatmotivatepeople.Thescal
egoes
fromnosatisfactiontosatisfaction.Thefollowingfactorstendtosatis
fyandmotivate
people:
• Natureofthework,
• Senseofachievement,
• Recognition,
• Responsibility,and
• Personalgrowthandadvancement.
It’simportanttounderstandthatbothhygienefactorsandmotivatorsa
renecessaryfor
peopletobefullymotivated.Forexample,ifhygienefactorsarelackin
ginsome
manner,thenmotivatorsbythemselvesarenotenoughtobringoutmoti
vation.The
hygienefactorsarefoundational,andintrinsicmotivatorsmustbepre
sent.
Essentiallythetwo-
factortheoryisaboutjobenrichment.Itisn’tsimplyabout
expandingjobresponsibilities,butrathermakingthejobricherandmo
resatisfying.In
manywaysthismaybebeyondthescopeofthesafetyfunction.Howeve
r,theastute
safetyprofessionalmaynotethatanorganizationthatestablishesanen
gagingand
empoweringsafetyprocesscanaffectanumberofthemotivatorfactor
sthroughsafety.
Thelastfourelementslistedmayallbeaffectedbyagoodsafetyproces
s:employees
mayfeelasenseofachievementforsafety,theteammayberecognizedf
orsafety
accomplishment,thereisasenseofpersonalresponsibilityforsafety,
andknowledge
gainedintheareaofsafetymayserveforpersonalgrowthandfutureadv
ancement.
Thisisonewaysomeorganizationsdecidetodeveloptheircompanycu
lturebystarting
withjobenrichmentaspartofthesafetyeffort.
WhattoMeasureinSafetyIncentivePrograms?
First,itisimportanttonotewhatnottomeasureinincentiveprograms.
Donot
uselaggingmeasuresforincentiveprograms.Donotuseinjuriesorinj
uryratesfor
incentiveprogrammeasures–
thesearetheverymeasuresthatcanleadto
underreportingandfailuretoreportminorinjuries,orinjuriesthatarec
apableofbeing
hiddenorfalsified.Unfortunately,laggingmeasuresareverycommo
nandhave
traditionallybeenusedinsafetyincentiveprograms.Sincesafetyince
ntiveprograms
thatfocusoninjuriestypicallyleadtounderreporting,OSHAdoesnot
“lookfavorably”
ontraditionalSafetyIncentivePrograms.
Thebasicrecommendationistomeasurethethingsthatpeoplecanand
are
actuallydoingforsafety.Theseincludesafetybehaviors,activities,a
ndteamprojects.
TerryMcSweenmakesadistinctionbetweenTypeOneandTypeTwo
Behavioral
measures.
Typeonemeasuresareprimaryandmeasuresiftheworkisbeingdones
afely.A
commonmetricinBehavior-
Basedsafetyprogramsisthepercentsafedeterminedfrom
behavioralobservationdata.Inmostcases,itisthehourlyworkers(the
working
population)whomaybemeasuredinthismanner.Typically,managem
entwillnotbe
evaluatedontypeonemeasuresunlesstheytakesometimetoperformt
hework,ofif
theyareintheworkareaandrequiredtowearPPEorfollowothersafety
rules.Type
onemeasuresaretheonesthatarebeingevokedwhenanorganizationst
ates“Safetyis
aconditionofemployment.”
Typetwomeasuresevaluatethesupportforsafetysuchasprovidingre
sources,
completingjobhazardanalysesandincidentreportsorassistinginsafe
tymeetings.
Managementiscommonlyevaluatedfortypetwomeasuresthatdemon
stratetheir
supportforthesafetyeffort.Typetwomeasurestendtobemorevolunta
ry,whereas
typeonemeasuresareusuallymandatory,i.e.,therequirementtolock
outelectrical
sourcespriortorepairs.Itisrecommendedthatemployeesalsobeeval
uatedontype
twomeasures,andthatthesekindofmeasuresserveasthebasisforsafet
yincentive
programs.
HowtoIncreaseEmployeeEngagementintheSafetyProcess?
Mostorganizationsappeartorecognizetheimportanceofhavingempl
oyeesengagedin
theirsafetyprocess.Thekeychallengeandquestionishowtogainmea
ningfulsafety
engagement?Ideally,employeeengagementencompassesthefollow
ingelements:
• Theengagementismeaningfulandperceivedassuchbyemployees;
• Theengagementisvoluntary;
•
Theengagementinvolvessubstantialactivitiesandprojectsthathavet
he
potentialtoreducehazardsandexposurestohazards;and
• Theengagementisrecognizedandrewardedinsomemanner.
Herearethreesimplesuggestionsforincreasingemployeeengageme
ntinthe
safetyprocess:
1.Establishclearrolesandsafetyresponsibilitiesforemployees;theb
asisforthisisthe
expectationthatemployeesworksafelyandfollowsafetyrulesandpro
cedures.
However,thedeeperandmoremeaningfulengagementinvolvesspeci
ficwaysthat
employeesareencouragedtosupportthesafetyefforts,andpreferably
theseelements
aremeasuredonaregularbasis.Theseengagementopportunitiescoul
dincludeawide
varietyofactivitiessupportingthesafetyefforts.Examplesincludepa
rticipatingin:
• safetymeetings,
• safetytraining,
• safetyinspections,
• safetyaudits,
• IHinspections,
• Leadingstretchingsessions,and,butnotlimitedto,
• Leadingbrownbagsafetymeetings
2.Celebrateevensmallachievementsthatarerelatedtothemeasurabl
ebehaviorsand
actionstakentoimprovesafetyperformance.
3.Asappropriate,recognizeteamsandindividualsfortheirsafetyeffo
rts,inmuchthe
samemannertheymightberecognizedforproductionexcellenceorco
stsavingsideas.
Theexpectedbenefitsfromtakingthesesimplestepsinclude:
•
Employeesarecrystalclearregardingtheexpectationstheorganizati
onhasfor
themregardingtheirengagementandsupportforsafety.
•
Employeesrecognizetheorganizationisseriousaboutsafetybyengag
ing
employeesinmeaningfulwaystosupportthesafetyprocess.
• Whenthiskindofsafetyengagementiswellplannedandeffectively
implementedittendstoresultingreatermotivation.
IncentiveProgramsCanbeChallengingtoAdminister
Incentiveprogramsaremorecomplexandcomplicatedthansimplypr
esentingawards
foranachievement.Thecomplexityandvariablesinvolvedinincentiv
eprograms
meansthateventhoughincentiveprogramsmaybedevelopedwiththe
bestintentions,
theycanresultinunintendedsideeffects.
Generally,theproblemsstartwhenincentiveprogramsarebasedsolel
yon
resultssuchastherequirementthatnoinjuriesareincurred.Someissue
smaybe
avoidedifincentivesarefocusedonspecificallydefinedbehaviors.
Numerousnegativeeffectsmayresultwhenincentivesarebasedoninj
urydata.
Examplesinclude:
•
Theprimaryconcernisthatlargeincentivesbasedoninjurydatacomm
only
resultinunderreporting.
•
Thecredibilityofthesafetyeffortcanbeerodedespeciallyifsomeemp
loyees
arehidinginjuriesinordertomaintaintheincentiveprogram,andothe
r
employeesareawareofwhat’shappening.
•
Employeesthinkmanagementdoesnotcareaboutthem,onlyaboutthe
numbers.
• Managementtendstooverreacttorandomchanges.
•
Expectationsmaybeunrealisticanddistorted,forexamplewhenanor
ganization
withalargepopulationandnumerousinjurieseachyearsuddenlybase
stheir
incentivesonzeroinjuries.
•
Theincentiveprogrammayinfluencethewrongbehaviors;theprimee
xampleis
thatinsteadofinfluencingemployeesworkingmoresafely,thebehavi
orthatis
incentivizedisnotreportingminorinjuriesthatoccur.
•
Employeesmayridiculesafetyincentiveprogramsthatarenotbasedo
n
substanceandimprovementofprocesses,systemsandbehaviorsatalll
evels.
•
Employeesmay“gamethesystem”inordertoachieverewards,evenifl
ittlehas
beendonetofocusonactualsafetyimprovements
•
Incentiveprogramsthatarebasedoninjurydatamaydolittleifanythin
gto
buildorimproveanorganizationssafetyprocess
Anissuethatcanaffectmoraleiswhengroupsarepenalizedforanindiv
idual’s
failure.
IncentiveHorrorStories
Ifonehasworkedassafetyprofessionalforevenashortperiodoftime,h
e/shehas
likelybecomeawareofsomesafetyincentiveprogramsthatendedupp
roducing
negative,unintendedconsequences.Acoupleofexamplesillustratet
hisunfortunate
possibility:
1.AnindustrialfacilityinPennsylvaniasetupanawardprogramthatin
volvedagrand
prizedrawingofalargescreenTV.InordertobeeligibletowintheTV,e
mployees
simplyhadtoavoidexperiencingarecordableinjuryduringtheprescri
bedtimeperiod.
Ifanemployeeexperiencedarecordable,thatemployee’snamewaswi
thdrewfromthe
drawing.Awelderatthesitereceivedasmallsecond-
degreeburnonhisforearmwhich
wasarecordableinjury,andaccordinglydisqualifiedhimfromthedra
wing.Thisinjury
kepthisnameoutofcontentionfortheprize.Theunfortunatetwisttoth
isstoryisthe
injuredweldersustainedtheburnbecauseoneofhisnearbyco-
workerswasengaging
inhorseplaywithatorch.Theinjuredworkerexhibitednoatriskbehavi
or;unlikehis
co-
worker.Asonemightimagine,andwithmuchdisdain,thehorseplayin
gco-worker
wontheTV.Thedamagetoemployeemoralesuchanincentiveprogra
mcausedis
readilyandeasilyperceived.
2.OneoftheauthorsrelatedthisPennsylvaniacaseduringsafetytraini
ngwith
employeesatapapermillinFlorida.Duringabreakinthetraining,ane
mployeeshared
anexampleofanotherstorywithasimilarresult.Hestated:
“Wehadasafetyincentiveprogramatthepapermillwithagrandprize
ofanallexpensespaidtriptoDisneyWorld.SimilartothePennsylvani
a
case,employeeshadtonotexperienceanyinjuriestobeeligibleforthe
prize.
Amaintenanceemployeeattheplantwonthegrandprize.However,
priortotakingthetriptoDisneyWorld,theemployeeviolatedoneofth
e
cardinalsafetyrulesatthesite.Theviolationwasnotsevereenoughto
warranttermination,howeveritwasenoughtorequiredisciplinary
procedureof3daysoffwithoutpay.
Itwasperfect!Theemployeetookthe3daysoffandwenttoDisney
World!”
Theseareexamplesofincentiveprogramsthatareestablishedwithgo
odintentions,but
theendresultisharmfultothesafetyeffort.
GuidelinesforDesigningSafetyIncentivePrograms
1.Focus:Incentiveprogramsshouldfocusonprescriptivebehaviorsa
ndthesafety
process.Thisiscontrastedtomanytraditionalsafetyincentiveprogra
msthatfocuson
theproscriptive-
whichisaboutwhatpeopleshouldnotdo.Safetyisn’tsimplyabouta
lackofinjuries,it’saboutwhatanorganizationdoestoensurethatnoon
egetsinjured.
2.Rewards:Ingeneral,manysmallrewardsarebetterthanonelargere
ward.One
reasonmanysmallrewardsarebetterthanonelargerewardisbecausee
veryonehasa
chancetobeawinnercomparedtoaLottostyledrawingwithonewinner
foralarge
reward.Also,whenmanysmallrewardsareavailableandbasedonbeh
aviors,thenthe
focusismorelikelytobeonactuallyimprovingthesafetyprocessrathe
rthanthe
attentionbeingbasedonthelargereward.
3.Message:Tangiblerewardswithamessagearebetterthancashrewar
ds.Tangible
rewardswithamessagehelppeoplereliveandrememberwhatthey’ve
doneforsafety,
andtotakeprideintheirsafetyefforts.
4.ActivityBased:Basesafetyincentiveprogramsonactivitiesthatare
measuredand
thatreducetheriskintheworkplace.
5.Variability:Periodicallychangethefocusofthespecificbehaviorf
ortheaward.
6.Integration:Linkyourincentiveprogramstoaleadingmetrictheorg
anization
alreadymeasures.Thisisagoodwaytointegrateyourincentiveprogra
mswithongoing
effortsthathavealreadybeenidentifiedaspriorities.
ACaseStudyfromProfessionalSafetyJournal
SheehypublishedanarticleinProfessionalSafetyJournalaboutanorg
anizationthat
developedapilotSafetyIncentiveProgram(SIP)toreplacetheirtradit
ionalsafety
incentiveprogram.Theworkforceincludedunionandnon-
unionworkersin
warehousesandrepairshops.Oneofthestrategiesincludedintegratio
nofthesafety
incentiveprogramintoanexistingsafetyeffort.Whattheydidwaslink
thesafety
incentiveprogramtoaRiskReductionMetricthathadalreadybeeninp
laceacouple
years–itwastitledReportReviewCommittee–RRC.
TheSIPwasfundedat$50peremployee,thendividedbyworkgroupsa
ccordingto
meritpointsearnedinreportsofNear-
incidentsandUnsafeConditions.Themetricsfor
riskreductionincluded:
1)AQualityScorecard
2)RiskMatrix
3)AnEffectivenessWorksheetreviewedbytheRRC
OneofthepointsSheehymadeis“Insafetytheemphasisoftenisnotone
asily
measuredthingsemployeesdoorproduce;instead,itisonaccidentsth
atdonot
occur.”Thisisnottherecommendedfocusforsafetyincentiveprogra
ms.Asnoted
earlier,thefocusneedstobeonwhatemployeesdoforsafety,onsafety-
related
activitiesthatmeasurablyreducehazardsandexposures,andonteamp
rojectsto
impactsafetyperformance.ThedesignforthispilotSIPwasbasedonth
eseproper
metrics.
TherewereafewdrawbacksofthepilotprogramnotedbySheehy:
•
Some“gameplaying”wasnoted.Thisinvolvedreportsthatweresubm
ittedthat
didnotmeetthequalitystandardsestablished.
•
Theprogramwasrelativelycomplex.Sheehynotedthatanotherwayof
viewing
theprogramwasthatitwassophisticated,butrecognizedthecomplexi
ty.In
general,themoresimpleandstraightforwardthedesignoftheSIP,the
better.
•
ThereweresomecomplaintsreceivedaboutthePilotSIP.Forexample
,some
employeescomplainedthatwhiletheywerehavingtodospecificwork
tobe
eligibleforsafetyincentives,theotherdepartments(notinthepilotpro
gram)
wereawardedthetraditionalway(fornotbeinginjured).Someofthe
supervisorscomplainedabouttheaddedworkloadtoreviewtheRiskR
eduction
Reports.
Resultsofthecasestudyincluded:
• Thenumberofreportsincreased.
• Thequalityofmostofthereportsincreased.
• Anumberofeasilycorrected,yetsignificantrisks,weremitigated.
Regardingtherisksthatwereidentifiedandmitigated,acoupleofsigni
ficantexamples
included:
• Itwasdiscoveredthatfaultyhot-
stickswerestillbeingcarriedonsomeservice
trucks,andthiscreatedapotentiallyseverehazardthatcouldhaveresu
ltedin
electrocutionsandfatalities.Controlsweresetinplacetoensuredefec
tivetools
wereremovedfromservice.
•
Employeeshadtoclimbontoabovegroundtankswithcurvedsidestoc
heckthe
oillevel.Again,thiscreatedahazardofinjuriesfromfallsfromheights
that
couldhaveresultedindisablinginjuriesorfatalities.Standing,eye-
levelgauges
wereinstalledtoeliminatetheneedtoclimbtochecktheoillevels.
CHAPTERREVIEWQUESTIONS
1. Whatisanoverallproperpurposeofsafetyincentives?
2. Distinguishthetermsincentive,rewardandrecognition.
3.
Howcanlinkingincentivestotraditional,laggingindicators(i.e.,inju
ryratesand
workers’compcosts)beproblematic?
4.
Employeeengagementisgenerallyacceptedasadriverandkeyperfor
mance
indicator(KPI)ofsafety.Howcanleadingmetricsbelinkedtoanincen
tive
programtoimproveemployeeengagement?(Givetwo,brief
examples/illustrations.)
5.
Ifproperlydesigned,implementedandmanaged,howcanincentivesi
mprove
safetyperformance?
References
Bevington,AnneM.,2005.“SafetyManagementProcess–
ProactiveSafetyMetrics
thatDrivePerformanceinManufacturingFacilities.”Proceedingsoft
heAmerican
SocietyofSafetyEngineers2005ProfessionalDevelopmentConfere
nce,NewOrleans
Daniels,AubreyC.,2000.BringingOuttheBestinPeople:HowtoApp
lytheAstonishing
PowerofPositiveReinforcement,McGraw-Hill(pp.54,60–62)
Garner,CharlotteA.,HowSmartManagersCreateWorld-
classSafety,ASSE:2005
Geller,E.Scott,ThePsychologyofSafety:HowtoImproveBehaviors
andAttitudeson
theJob,Chilton:1996
Geller,E.Scott,LeadingPeople-
BasedSafety:EnrichingYourCulture,Coastal,2008.(p.
74)
Goodrum,P.M.&Gangwar,M.,SafetyIncentives:Astudyoftheireffe
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construction,ProfessionalSafety,July2004
Glendinning,P.M.,EmployeeSafetyIncentives:ABestPracticesSur
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ResourcePractitioners,ProfessionalSafety,Feb.2001
Herzberg,Frederick,TheMotivationtoWork,(2ndEd.)JohnWiley&
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Hoemke,D.,SafetyandHealthIncentives:AHolisticApproach,Occu
pationalHealth&
Safety,March2008
Kaydos,Will,OperationalPerformanceMeasurement:IncreasingTo
talProductivity,CRC
Press,1999.(p.149)
Kohn,Alfie,PunishedbyRewards:TheTroublewithGoldStars,Incen
tivePlans,A’s,
Praise,andOtherBribes,MarinerBooks,1999.
http://www.amazon.com/Punished-Rewards-Trouble-Incentive-
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Krause,ThomasR.,SafetyIncentivesfromaBehavioralPerspective,
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IssuesinBehavior-BasedSafety,BST,1999
Krisco,KimH.,Leadership&theArtofConversation:Conversationa
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McSween,Terry,TheValues-
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Behavior-BasedSafety(2ndEd.)JohnWiley&Sons:2003
Nelson,B.,1001WaystoRewardEmployees,WorkmanPublishing,2
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Petersen,Dan,AuthenticInvolvement,NationalSafetyCouncil:200
1
Pfeffer,Jeffrey&RobertI.Sutton,HardFacts,DangerousHalf-
Truths&TotalNonsense:
ProfitingfromEvidence-
BasedManagement,HarvardBusinessSchoolPress:2006
Ozer,I.,TangiblyRewarding,OccupationalHealth&Safety,Sept.20
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Ray,B.RewardCardsMotivate,OccupationalHealth&Safety,June2
003
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ProfessionalSafety,February2004
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