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Introduction to the elements of effective

SAFETY MANAGEMENT
SYSTEMS
This material is for training use only

© Geigle Communications, LLC Introduction to Effective Safety Management Systems


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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.

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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

_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
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_____________________________________________________________

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The Safety Management System


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)

All systems have structure, inputs, processes and outputs

We know Syssie the cow as structure, but


Inputs - Design what are her inputs, processes, outputs?

Programs Structure Inputs ________________________


People Materials Processes _____________________
Facilities Time Outputs _______________________
Equipment Money

Processes - Performance

1. Commitment - leading, following, managing, planning, funding


2. Accountability – role, responsibility, discipline
3. Involvement - safety committees, suggestions, recognizing/rewarding
4. Identification - inspections, audits, observation, surveys, interviews
5. Analysis – incidents, accidents, tasks, programs, system
6. Controls - engineering, management, PPE, interim measures, maintenance
7. Education - orientation, instruction, training, personal experience
8. Evaluation - judging effectiveness of conditions, behaviors, systems, results
9. Improvement - change management, design, implementation

Outputs - Effects
Feedback Safe/Unsafe conditions, behaviors
Many/Few incidents and accidents
High/Low accident costs
Where do we look to evaluate how well the High/Low productivity, morale, trust
safety management system is working?
_____________________________

What are the most immediate and observable outputs of a safety


management system? _____________________________

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All safety management


systems have structure… Safety
Manager

Safety HR
Engineer Coordinator

Safety
Committee

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:
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________

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1. Management Commitment

What motivates management to “do” safety?

Indicate the consequence below that motivates your employer.

My company does safety primarily to… Class Ranking


12
1. Avoid OSHA penalties. ________ 10
8
2. Reduce costs - increase profits ________
6
3. Keep employees safe ________ 4
2

1 2 3
Make a bar graph to show how the class ranked
each statement.

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?


_____________________________________________________________
_____________________________________________________________
_____________________________________________________________

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What do accidents cost your company?

Unseen costs Direct Costs


can sink the Insured
ship! “Just the tip of the iceberg”
Average Cost to close a claim =/>
$14,000

1. Workers’ compensation premiums


2. Miscellaneous medical expenses

Indirect Costs
Hidden - Uninsured - Out of pocket
Average indirect costs =/> $38,000
A few examples:

1. Cost of wages paid for time lost by other non-injured workers


2. Net cost to repair, replace, or straighten up material or damaged equipment
3. Extra cost due to overtime work
4. Cost of wages paid for supervisor activities related to employee injuries
5. Wage cost due to decreased output of injured workers after returning to work
6. Cost-of-learning period of new worker
7. Uninsured medical costs
8. Cost of time to investigate accidents, process claims
9. Miscellaneous unusual costs. (over 100 other items)
Ref: Grimaldi and Simons, Safety Management, ASSE Pub.

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.

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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
1.30
Above

MOD Rate
3.50 1.20
Average
1.10
Manual Rate

Accident
3.15 Rate 1.00
Average .90
2.75 Accident
Rate .80
.70
2.50 Below .60
Average
2.00 Accident
Rate
1.75

1.50

XYZ Contractors MOD Rate in 2003 = 1.3


Classification Description Code Payroll Base Rate/Premium Adjusted Rate/Premium
Concrete - Floor/Driveway 5221 $500,000 $1.26/$63,000 $1.64/$$82,000
Carpentry - Multiple Family Dwel. 5651 $500,000 $3.97/$198,500 $5.16/$258,000
$261,500 $340,000
If the company has a profit margin of
5%, additional business volume to
Adjusted Premium = $261,500 + $78,500 = $340,000
replace $78,500 would be $1, 570,000!

XYZ Contractors MOD Rate in 2004 = .7


Classification Description Code Payroll Base Rate/Premium Adjusted Rate/Premium
Concrete - Floor/Driveway 5221 $500,000 $1.26/$63,000 $.88/ $44,000
Carpentry - Multiple Family Dwel. 5651 $500,000 $3.97/$198,500 $2.78/$139,000
$261,500 $183,000
Wow! If you reduce your MOD Rate
from 1.3 to .7, total savings will be Adjusted Premium = $261,500 - $78,500 = $183,000
$157,000. That’s $3.14 million in
business volume saved!

© Geigle Communications, LLC Introduction to Effective Safety Management Systems


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Proactive Vs. Reactive Approach to Safety & Health Management

They care They don’t


about me! care...

What's proactive? Everything we do to


anticipate and prevent accidents.
Proactive Programs Reactive Programs

What's reactive? Everything we do after


an accident occurs.

Proactive Approach - Goal: Prevent future injuries


What programs are emphasized?

__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
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__________________________________________________________________________

Reactive Approach - Goal: Reduce injury costs

What programs are emphasized?

__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
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__________________________________________________________________________

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

© Geigle Communications, LLC - Proactive


Introduction ReactiveSafety Management Systems
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Safety and health system strategies


Direct Costs
Usually insured.
Medical expenses,
indemnity payments.
Reactive
Profit
Indirect Costs Strategy
Usually uninsured,
unrecoverable.
Examples: Wage
Profit
costs to worker and
others due to time Break even point
loss, work stoppage,
replacements,
Other Other
property damage, or
administrative costs. CODB CODB

Unknown OSHA Penalties


Costs OSHA
Penalties Uninsured Costs
Costs that can not be
measured, but can
have a large impact Insured Costs
on the success of a
company. Morale
and reputation. Uninsured
Costs Proactive
Strategy

Insured
Costs

The average lost With a 5% profit margin: What does $28,000 represent in gross sales loss?
time disability in What does $980,000 represent in gross sales loss?
America cost
$28,000.

The average
costs associated Gross sales loss = $28,000 = !
with a fatality .05
was $980,000.

(NSC Statistics for the


year 2000) Gross sales loss = $980,000 = !
.05

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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

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

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Introduction to EffectiveSystem
Safety Management Systems
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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

What’s
with that?
Why does the employer have more accountabilities than the
employee? Is that fair?
_____________________________________________________
_____________________________________________________

How are employees held accountable in your workplace?


_____________________________________________________
_____________________________________________________

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

When is a supervisor justified in disciplining?


_______________________________________________________________
_______________________________________________________________
Hint: Look at employer accountabilities

© Geigle Communications, LLC - Accountabilities


Introduction to Effective Safety Management Systems
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3. Employee Involvement

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.
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

© Geigle Communications, LLC - Involvement


Introduction to Effective Safety Management Systems
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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.

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?

_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________

© Geigle Communications, LLC - SC to


Introduction Purpose
Effective Safety Management Systems
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4. Hazard Identification & Control

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

___________________________________
An U ___________________________________
___________________________________
C ___________________________________
or
___________________________________
P
___________________________________
that could
___________________________________
cause an I
or ___________________________________
___________________________________
I
___________________________________
to an E . ___________________________________

(Extra Credit) ___________________________________


and it’s P ! ___________________________________
___________________________________
___________________________________

Hazard analysis is smart business!

What are the advantages of conducting hazard analysis vs. accident


investigation?
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________

© Geigle Communications, LLC - Define


Introduction Hazard Safety Management Systems
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What are the four categories of hazards in the workplace?

M_______________ E_______________

E_______________ E_______________

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.

Hazardous conditions or unsafe work practices are closely linked in


causing accidents.

Any hazards or unsafe behaviors here?


______________________________________________________
______________________________________________________
______________________________________________________

Any hazards or unsafe behaviors here?


______________________________________________________
______________________________________________________
______________________________________________________

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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.
_________________________________________________________________________
_________________________________________________________________________

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What control measures might work to correct these hazardous conditions


and unsafe behaviors?

Engineering controls ______________________________________________________


_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________

Management controls _____________________________________________________


_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________

Interim Measures _________________________________________________________


_________________________________________________________________________
_________________________________________________________________________

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5. Incident/Accident Investigation

What is an “accident?”
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
Why do we “investigate” accidents?
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________

What are the odds that a serious injury will occur?

H.W. Heinrich's Pyramid (1931)

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?
__________________________________________________________________

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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.


Accident
2. Identify those authorized to notify outside agencies (fire, police, etc.) investigation
is
“fact-finding”
3. Designate those responsible to investigate accidents. not
“fault-finding.”

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.

________________________________________________________________________________________
________________________________________________________________________________________
_______________________________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________

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Multiple Causation and the Accident Weed

Injury or
Strains Illness
1. Direct Cause of Injury
Burns • Always the harmful transfer of energy.
Cuts
• Kinetic, thermal, chemical, etc.
Un • Contact with, exposure too, etc.
gu
ar
de
d
m
ac epla
y 2. Indirect (Surface) Cause of Injury
hi s
ne Hor
Primary Surface Cause
ard
Bro
ken te a haz • Produces the accident
too Crea
ls
rd
• Unique hazardous condition/unsafe behavior
a haza
Chem
ical s
pill Ignore • Exists/Occurs close to the injury event
y
port
inju
r • Involves the victim, possibly others
Defe re
ctive s to
PPE Fail
Contributing Surface Cause
Untrained
worker Fails to inspect • Contributes to the accident
• Unique hazardous condition
Fails to enforce • Inappropriate/unsafe behavior
Lack of time
• Exists/occurs more distant from the accident
work Fails to tr • Exists/occurs anytime, anywhere by anyone
To much ain
Lack of vision No mission statement

Inadequate training
No recognition 3. Basic (Root) Cause of the Injury
No discipline procedures Inadequate labeling
Inadequate system implementation
No orientation process Outdated hazcom program • Failure to carry out safety policies, programs,
plans, processes, procedures, practices
Inadequate training plan No recognition plan • Pre-exist surface causes
No accountability policy No inspection policy
• Under control of management
• Failure can occur anytime, anywhere
• Produces common surface causes

Any way you look at it, design is the key to Inadequate system design
an effective safety management system. • Poorly written or missing policies, programs,
plans, processes, procedures, practices
If design is flawed, yet perfectly implemented, the • Pre-exist surface causes causes
system fails. If design is perfect, yet • Under top management control
implementation is flawed, the system fails as a • Produces inadequate implementation
result of design flaws in other related processes.

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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


Strains  Chemical - corrosive, toxic, flammable, or reactive substances
Burns  Electrical - low/high voltage, current
Cuts
 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


Un
gu
ard
ed
m
ac
hin
e Hor
sepl
ay Surface
Causes
They are specific/unique hazardous conditions and/or unsafe actions

zard

They may directly produce or indirectly contribute to the accident


Bro
ken te a ha
tool Crea
s
ard
Chem a haz
ical spi Ignore
ll
ry


rt inju
repo

They May exist/occur at any time and at any place in the organization
Defec to
tive
PPE Fails

Untrained
worker Fails to inspect
Conditions Behaviors

To much
Lack of time

work
Fails to enforce

Fails to train
• 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,
Inadequate training
No recognition
processes, procedures, practices (the 6-P's)
No discipline procedures Inadequate labeling procedures
• They pre-exist surface causes
• They result in common and/or repeated hazards
No orientation process Outdated Procedures

Inadequate training plan No recognition plan

No accountability policy No inspection policy

Root Causes
• They are under control of management
• They can can occur any time and anywhere
_________________________________________________________________________
_________________________________________________________________________

© Geigle Communications, LLC - Accident


Introduction Causes Safety Management Systems
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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.

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Secure the accident scene


The six-step process Step 1 - _________________________________________

Gather Collect facts about what happened


Step 2 - _________________________________________
information
Develop the sequence of events
Step 3 - _________________________________________
Secure the scene
Analyze the Determine the causes
facts Step 4 - _________________________________________
Collect data about what happened
Recommend improvements
Step 5 - _________________________________________
Implement Develop the sequence of events
Solutions Write the report
Step 6 - _________________________________________
Determine the surface and root causes

Three phases of analysis Develop corrective actions

1. Injury Analysis. Analyze the injury event to identify


the direct cause of injury. Write and submit the report

• 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)

© Geigle Communications, LLC - Accident


Introduction AnalysisSafety Management Systems
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6. Training

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.”

© Geigle Communications, LLC - Training


Introduction Defined Safety Management Systems
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The basic steps in On-the-Job Training

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.

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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)

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 )

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.

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7. Plan Evaluation

• 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

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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

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Additional Information

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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.

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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.

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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/

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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."

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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/

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Employee Involvement
The 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.

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

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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.

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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

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

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$ 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: 1999


Employer: XYZ Inc $AFETY PAYS is a tool developed
Prepared by: I. B. Safe, Safety Coordinator, on January 28, 2000 by OSHA to assist employers in
assessing the impact of occupational
injuries and illnesses on their
The injury or illness selected: Strain profitability. It uses a company's
profit margin, the AVERAGE costs
of an injury or illness, and an indirect
Average Direct Cost: $5,945 cost multiplier to project the amount
Average Indirect Cost: $7,134 of sales a company would need to
generate in order to cover those costs.
Estimated Total Cost: $13,079 Since AVERAGES are used, the
The net profit margin for this company is 4% actual costs may be higher or lower.
Costs used here do not reflect the
The ADDITIONAL sales necessary pain and suffering of injuries and
- to cover Indirect Costs are: $178,350 illnesses.
- to cover Total Costs are: $326,975 The cost of injury and illness data
were provided to OSHA by Argonaut
Insurance Company and based on
The injury or illness selected: Laceration 53,000 claims for 1992-94.

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.

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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.

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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.

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____ 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.

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____ 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.

© Geigle Communications, LLC Introduction to Effective Safety Management Systems


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This material is for training use only

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.

© Geigle Communications, LLC Introduction to Effective Safety Management Systems


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