Transcript No Slide Title

EVALUATING SAFETY
MANAGEMENT
SYSTEMS
Evaluating Safety Management Systems
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
Welcome
The ability to identify, analyze and evaluate your company’s Safety Management
System (SMS) in an effort to “fix the system” is extremely important to the long-term
success of your organization. This workshop will take a look at the program
evaluation process.
To better understand the concept of “system,” we’ll review the three components that exist in every
system. We’ll also examine how an organization’s management structure, leadership style and the
resulting safety culture impact the seven elements of a safety and health system.
We’ll overview the evaluation process of identifying and analyzing the symptoms and underlying
causes of “ailing” safety systems, and making judgments about their effectiveness.
We’ll discuss Deming’s PDSA improvement process as a strategy for implementing change.
Finally, we’ll apply all of this information by conducting a case study exercise to evaluate a hazard
communications program.
During this workshop there will be ample opportunity to participate and share your knowledge and
experience with others. Remember, the more you participate the more you will get out of this
training.
Workshop Goals
1. Gain a better understanding of safety and health programs as systems.
2. Learn about a systematic approach to evaluating and improving your company’s safety
and health program.
3. Better understand OSHA’s Safety and Health Achievement Program (SHARP) and the
Voluntary Protection Program (VPP-STAR).
Form Evaluation Teams
Introductions!
Elect a Team Leader
_____________________________
Select a Team Spokesperson _____________________________
Everyone is a Team Recorder _____________________________
© 1995-2006 OSTN. 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.
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
A tale of two cultures
You’re a safety management consultant that has recently assisted two companies, XYZ Widget and
ABC Wombat, design effective safety management systems. As you can imagine, there are slight
differences in the design of the two systems, but for the most part, the comprehensive written plans
look quite similar on paper.
After a year, you return to XYZ Widget to find their system is producing spectacular results. The
safety committee is well staffed, motivated, and producing impressive results. Injury rates have
dropped dramatically.
However, ABC Wombat is another story. A visit to this company quickly uncovers a system that is a
dismal failure. Although the safety committee does meet once a month, the meeting is poorly
attended and it results in few, if any, improvements. Injury rates have actually increased. Morale has
not improved and is actually down in some departments. Turnover remains high and overall
productivity is down 5%.
If both companies have virtually the same safety plan sitting
on a shelf, why are the outcomes so different?
______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________
How does the principle below apply to the scenario?
“Every system is designed perfectly to produce what it’s producing”
______________________________________________________________
______________________________________________________________
______________________________________________________________
To learn how a system works, try to change it.
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
The Safety Management System
A system is an established arrangement of components that work together to attain a
certain objective, in this case to prevent injuries and illnesses in the workplace. Within a
system, all parts are interconnected and affect each other. All elements of a safety and
health system are interrelated. All pieces are related to all other pieces. A flaw in one
piece will probably impact all the other pieces, and therefore the system as a whole.
Every system contains structure, inputs, processes and outputs
Safety
Safety
Manager
Manager
Inputs
Tools
Machinery
Facilities
Time
Equipment
Materials
People
Money
Safety
Safety
Engineer
Engineer
Structure
HR
HR
Coordinator
Coordinator
Safety
Safety
Committee
Committee
Processes
1.
2.
3.
4.
5.
6.
7.
8.
9.
Commitment - leading, following, managing, planning, funding
Accountability - responsibility, discipline
Involvement - safety committees, suggesting, recognizing/rewarding
Identification - inspections, observation
Analysis - incidents/accidents, tasks, system
Control - engineering, work practice, administrative, interim control methods
Education - orientation, OJT,
Evaluation - judging effectiveness of conditions, behaviors, systems, results
Improvement - change management, design, implementation
Outputs - Conditions,
Behaviors, Results
Safe/Unsafe conditions, behaviors
Many/Few incidents and accidents
High/Low accident costs
High/Low productivity, morale, trust
“Every system is designed perfectly
to produce what it’s producing”
Where do we look to evaluate how well the safety
management system is working?
_____________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
All safety management systems have structure
Every safety management system contains four primary positions (hats), each with a unique set of
safety-related responsibilities. In small companies, one person may perform more than one of these
functions.
Safety
Manager (SM)
Has overall responsibility for the quality of the
safety management system and culture. Has
experience in operations. Reports to Operations.
Employs management controls to increase physical
safety and health of employees. Examples:
•
•
•
•
•
•
Human Resource
Manager (HR)
Manages and consults on safety-related programs
to improve psychosocial environment. Reports to
SM. Examples:
•
•
•
•
•
•
•
•
Expertise in safety management principles
Designs integrated SMS'
Manages safety training program
Consults with employer and managers
Consults with SE, HR, and SC
Ensures quality of safety programs
Safety
Engineer (SE)
Consults on and designs engineering controls to
reduce the harmful transfer of energy, thereby
increasing physical safety and health of
employees. Reports to the SM. Examples
•
•
•
Expertise in safety engineering principles
Designs safe tools, equipment, machinery,
workstations, facilities, environment
Focuses on proper machine guarding, safe
devices, electrical, etc.
© 1996-2006 OSHA Training Network www.oshatrain.org
Claims management
Employee Assistance Program (EAP)
Light Duty (ERTW)
Drug-Free Workplace (DRW)
Health and Wellness
Workplace Violence Prevention (WVP)
Incentive and Recognition
Accountability
Safety
Committee (SC)
Cross functional data-gathering and problemsolving consultant team assisting SE, HR, SM.
Monitors outputs – effects of the SMS. Reports to
SM.
•
•
•
•
•
•
Inspects conditions
Observes behaviors, activities
Audits program design and performance
Analyzes conditions, behaviors, programs
Evaluates programs, plans, procedures
Recommends solutions
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Evaluating Safety Management Systems
What you see are merely the symptoms
Hazardous conditions and unsafe or inappropriate behaviors you see in the workplace are
the observable symptoms or effects of deeper system root causes.
Surface symptoms:
•
•
•
•
Are unique conditions or individual behaviors (you can point at a person or object)
May exist or be performed by anyone, anytime, anywhere
May directly cause or contribute to an incident or accident
May be important clues revealing root causes
Where do injuries come from?
Unpreventable acts. Only ________ % of all workplace accidents are thought to be
unpreventable. Heart attacks and other events that could not have been known by the
employer are examples of unpreventable acts. Companies often try to place most of their
injuries into this category. They justify these beliefs with such comments as: "He just
lifted the box wrong and strained his back. What could we do?" Unfortunately, they are
excuses for not looking into the "root cause" of the injury.
Hazardous conditions. Hazardous conditions (OSHA violations) account for only
_________ % of all workplace accidents. While OSHA rules are valuable, they cannot
eliminate the role of human factors in causing accidents. People can interrupt, ignore or
implement the rules.
What procedures do we use to detect and correct hazardous conditions?
________________________________________________________________________
________________________________________________________________________
System failure. System management system failures account for at least _________ %
of all workplace accidents. System failures refer to inadequate performance or design of
safety programs for providing training, resources, enforcement, and supervision.
Reference: SAIF Corporation - Loss Control Approach, Foundation, p. 9
© 1996-2006 OSHA Training Network www.oshatrain.org
Evaluating Safety Management Systems
Diagnose and Treat the Underlying Root Causes!
To eliminate the visible surface symptoms or effects, we need to accurately
diagnose and treat the underlying root causes for 95% of all workplace accidents:
the inadequate design and performance of the safety management system.
System Design Weaknesses - Inadequate planning and development
(Failure to plan the work).
Characteristics:
 Missing or inadequate policies, plans, programs, processes, procedures
 Missing or inadequate resources - money, time, people, materials, etc.
 The deep root causes for most accidents
Effects:
 Cause system performance failures
System Performance Weaknesses - Failure to accomplish action plans
(Failure to work the plan).
Characteristics:
 Failure to effectively accomplish safety policies, plans, processes, procedures or
practices
 Failure to provide training, resources, enforcement, supervision, and leadership
Effects:
 Cause common hazardous conditions and/or unsafe behaviors
 Cause repeated unique hazardous conditions and/or unsafe behaviors
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
Using the Failure Matrix to Evaluate the Safety
Management System
Failure
Resources
Mode
System
Design
System
Performance
1. (-++)
Inadequate
Adequate
Adequate
2. (+-+)
Adequate
Inadequate
Adequate
3. (++-)
Adequate
Adequate
4. (+--)
Adequate
Inadequate
Inadequate
5. (-+-)
Inadequate
Adequate
Inadequate
6. (--+)
Inadequate
Inadequate
Adequate
7. (---)
8. (+++)
Inadequate
Adequate
Inadequate
Adequate
Inadequate
Inadequate
Adequate
Analyze this! Determine the failure mode for the
scenario below
Bob, a maintenance worker who has been working for the company for 10 years, received
a serious electrical shock while working on a conveyor belt motor. When asked why he
did not use the company’s established lockout/tagout procedures he acknowledged that he
had thought about it, but that the “old procedures” hadn’t been used for years, and he had
done this same task many times before. And, besides, the production manager yelled at
him to get the conveyor running again or it’s his job because the whole system was shut
down.
Failure mode __________
Justification
_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
Diagnose the underlying cause to determine the cure.
To improve the safety management system, we must diagnose and eliminate
underlying causes. We must evaluate the current system against best practices
and then implement changes to begin the transformation.
• Determine where we are now - analyze!
 What does our safety management system look like now?
 Closely examine the outputs of the safety management system.
____________________________________________________________________
____________________________________________________________________
• Determine best policies and practices for your industry - visualize!
 What do we want our safety system to look like?
 Research best practices.
____________________________________________________________________
____________________________________________________________________
• Evaluate the system for strengths and weaknesses - scrutinize!
 What cultural values are supportive - non-supportive?
 What system components are adequate? inadequate?
 Rate the current system against best practices.
____________________________________________________________________
____________________________________________________________________
• Implement proactive changes to improve the system - actualize!
 What forces are promoting or resisting change?
 Develop an action plan to transform the system.
 Use Deming’s Plan-Do-Study-Act process.
____________________________________________________________________
____________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
Evaluating Your Company's
Safety Management System
This exercise will help us compare and
contrast safety management system
processes in each of the seven elements of
the OSHA Safety Management System Model
Your instructor will assign your group one or more safety management system
elements to evaluate.
Team work:
____ 1. Each team member. Personally evaluate and assign a rating to each of the Safety
Management System Audit questions in the elements assigned to your group.
____ 2. Each team member. Discuss your ratings and justifications, in turn, with other team
members.
____ 3. Each team member. Add up your personal scores to determine the total score for your
team's element(s).
____ 4. Team. Determine the range (lowest to highest) of total scores for the team's
element(s).
____ 5. Team. Discuss possible solutions to problems identified by team members.
____ 6. Team. Write other questions that you think would be important to ask for this element.
Class Discussion
____ 7. Spokesperson. Present a summary of the problems, solutions and questions
developed by the group.
____ 8. Class. Question and comment with personal opinion and experiences related to the
team's presentation.
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
The Seven Elements of a Safety Management System
•
•
•
•
•
•
•
Management Commitment
Labor and Management Accountability
Employee Involvement
Hazard Identification and Control
Incident/Accident Investigation
Education and Training
Periodic Program Review
Safety Management System Evaluation Audit
Each of the seven safety management system elements contains a number of statements to evaluate and
other informational helps specific to the element. Use the information below as criteria for conducting
your evaluation.
Step one. Analyze indicators within each of the following five categories to more
accurately determine the rating.
1. Standards. Analyze system inputs - policies, plans, programs, budgets, processes, procedures,
appraisals, job descriptions, rules. Informative/directive, clear, concise, communicated inputs
indicate probable effectiveness.
_____________________________________________________________________________
_____________________________________________________________________________
2. Conditions. Inspect the workplace for hazards. The absence of physical hazards and
psychosocial hazards indicates effectiveness.
_____________________________________________________________________________
_____________________________________________________________________________
3. Behaviors, actions. Observe both employee and manager behaviors. Consistent appropriate
behavior and adherence to safety and health rules, indicate
effectiveness.
_____________________________________________________________________________
_____________________________________________________________________________
4. Knowledge, attitudes. Analyze what employees are thinking by conducting a survey. Full
knowledge, positive attitudes, high trust and low fear indicate effectiveness.
_____________________________________________________________________________
_____________________________________________________________________________
5. Results. Analyze accident trends, MOD rates, etc. Continually improving results indicate
effectiveness.
_____________________________________________________________________________
_____________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
Step two. Enter your rating to the left of each statement. Use the following guidelines
for your rating.
5-Fully Met:
• Analysis indicates the condition, behavior, or action described in this statement is fully met and
effectively applied.
• There is room for continuous improvement, but workplace conditions and behaviors, indicate
effective application. (Employees have full knowledge and express positive attitudes.
• Employees and managers not only comply, but exceed expectations.
• Effective leadership is emphasized and exercised.
• Safety policies and standards are clear, concise, fair, informative and directive, communicate
commitment to everyone.
• Results in this area reflect continual improvement is occurring.
• This area is fully integrated into line management.
• First line management reflect safe attitude and behavior. Safety is first priority.
3-Mostly Met:
• Analysis indicates the condition, behavior, or action described in this statement is adequate, but
there is still room for improvement.
• Workplace conditions, if applicable, indicate compliance in this area.
• Employees have adequate knowledge, express generally positive attitudes.
• Some degree of trust between management and labor exists.
• Employees and managers comply with standards.
• Leadership is adequate in this area.
• Safety policies and standards are in place and are generally clear, concise, fair, informative and
directive.
• Results in this area is consistently positive, but may not reflect continual improvement.
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
1-Partially Met:
• Analysis indicates the condition, behavior, or action described in this statement is partially met.
• Application is most likely too inadequate to be effective.
• Workplace conditions, if applicable, indicate improvement is needed in this area.
• Employees lack adequate knowledge, express generally negative attitudes.
• Mistrust may exist between management and labor.
• Employees and managers fail to adequately comply or fulfill their accountabilities.
• Lack of adequate management and leadership in this area.
• Safety policies and standards are in place and are generally clear, concise, fair, informative and
directive.
• Results in this area are inconsistent, negative, and does not reflect continual improvement.
0-Not Present:
• Analysis indicates the condition, behavior, or action described in this statement does not exist or
occur.
A window has been provided after each statement so that you may enter notes or rationale for your
rating.
Step 3. Enter the score at the end of each section.
Step 4. Enter clarifying comments in the comments if desired.
Step 5. Total all section scores to arrive at your final SCORE. If you would like more
information, click on the links in the "Other Sources of Information" at the end of the
evaluation.
Step 6. Review and submit the evaluation to our consultation section.
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
ELEMENT 1 - MANAGEMENT COMMITMENT
1. ____ A written policy that sets a high priority for safety and health exists.
An effective policy will be both informative and directive. It will express a commitment to safety and the
intent of the company to carry out the policy. A written policy will clarify expectations. The policy will
be accessible to all employees. "Safety First" will be meaningful only if management doesn't reprioritize
safety down when the going gets tough. Prioritizing safety may also have the affect of communicating
the message that either safety or production is the top priority. Safety is considered a corporate value and
is not prioritized over production.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
2. ____ A written safety and health goal and supporting objectives exist.
Each of the seven safety program elements will contain certain goals and supporting objectives.
A goal describes an end-state. Objectives should be (1) measurable (2) observable, and (3) completed
within a time frame. For instance, a safety goal might be to, "Increase employee involvement in safety."
A supporting safety objective would be, "Complete joint supervisor/employee job hazard analyses on all
jobs in Plant A by July 30th, 2000."
Written plans containing goals and objectives are better able to communicate purpose and function
clearly. Consequently, duties, responsibilities, criteria, specifications, and expectations will be more
effectively met in a consistent manner throughout the entire organization.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
3. ____ The workplace safety and health policy is supported by management.
What does that support look like? Support needed for an effective safety and health program must
include a substantial commitment to safety. Top management commitment must go beyond "lip
service." It's more than just moral support...just talking up safety. Management needs to walk the talk
by investing serious time, their own and staff, and money into proactive safety initiatives.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
4. ____ Safety and health goals and objectives are supported by management.
Goals and objectives are created by management and workers. If your primary safety goal is "zero
accidents," management will establish objectives to achieve that goal. One objective to reach this goal
might be, "Train all employees on proper lifting techniques by December 30." Management will then
support this objective by developing an effective training system.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
5. ____ Management supports safety and health rules.
Management best supports safety and health rules by educating all employees on those rules and
insisting that everyone, at all organizational levels, follow those rules. Management must also provide
everyone with the resources necessary for compliance.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
6. ____ Managers personally follow safety and health rules.
Management can not expect employees to follow safety rules if they, themselves, do not. If supervisors
and managers ignore safety rules, they actually "rewrite" those rules.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
7. ____ Managers personally intervene in the safety behavior of others.
Supervisors and managers, as agents of the employer, are responsible to personally intervene when they
see an employee performing unsafe behaviors. They must stop the unsafe behavior, find out why it
occurred, and do whatever it takes to make sure it doesn't happen again.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
8. ____ Managers set a visible example of safety and health leadership.
Management and leadership are not the same. Management is an organizational skill. Leadership is a
human relations skill. Leaders establish positive relationships with their followers. The greater the
responsibility, the more opportunity exists to demonstrate safety leadership. Effective safety programs
maximize opportunities for safety leadership. Setting a good example is accomplished through action.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
9. ____ Managers participate in the safety and health training of employees.
It's smart business involving supervisors in the safety training process. A policy of involvement
supports the principle, and communicates to each supervisor that it's their job to manage safety as well
as production. Employees will more likely perceive safety as an important area of accountability when
supervisors are directly involved in safety training.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Total personal score for this element: __________________
Team's range of scores: Lowest
_____ Highest
_____
Other Questions to ask in this element:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
ELEMENT 2 - LABOR AND MANAGEMENT ACCOUNTABILITY
10. ____ Management enforces safety and health rules.
Safety is too important to "encourage." Management must insist on it. Enforcing safety rules requires
that management must first (1) establish clear standards, (2) provide the resources to achieve those
standards, (3) devise a fair system of measurement against those standards, (4) design and administer
effective consequences, and (5) conduct thorough evaluation of accountability.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
11. ____ Safety and health program tasks are each specifically assigned to a person or
position for performance or coordination.
Line managers should clearly understand it is their obligation to perform the daily responsibilities for
safety as well as production. The safety committee and the safety officer coordinate in a consultative
role.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
12. ____ Each assignment of safety and health responsibility is clearly
communicated.
Formal written responsibilities will most clearly assign safety responsibilities. All employees should
be educated and trained on their responsibilities.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
13. ____ Individuals with assigned safety and health responsibilities have the
necessary knowledge, skills, and timely information to perform their duties.
Without the proper education, individuals will not be competent or qualified to perform their safety
responsibilities. To determine qualifications, systems should be in place to measure individual
knowledge and skills.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
14. ____ Individuals with assigned safety and health responsibilities have the authority
to perform their duties.
Accountability follows control or authority. Supervisors and managers generally have control/authority
over the physical conditions in the workplace and should have the authority to successfully carry out
their assigned safety responsibilities to provide resources, educate and train, recognize, discipline, etc.
Employees generally have authority/control over their own personal behavior.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
15. ____ Individuals with assigned safety and health responsibilities have the
resources to perform their duties.
Managers and employees depend on others to provide the resources necessary to carry out their safety
responsibilities. The employer should develop systems to ensure management and labor at all levels
receive the necessary resources so that everyone can achieve established safety standards of behavior and
performance.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
16. ____ An accountability mechanism is included with each assignment of safety
and health responsibility.
Safety responsibilities assigned to each manager, supervisor, and employee should be tied to
appropriate consequences. If the employee fails to meet established standards, consistent, fair
corrective actions should be administered. If the employee meets or exceeds those standards, positive
recognition should occur. Remember, if you regularly recognize, you'll rarely have to reprimand.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
17. ____ Individuals are recognized and rewarded for meeting safety and health
responsibilities.
Recognition -- the expression of appreciation for a job well done is always appropriate. It provides an
opportunity for leadership. Recognition should (1) occur soon after the behavior, (2) be certain -employees know they will be recognized, and (3) significant -- a sincere, genuine expression. The
most effective recognition is accomplished in private. It's most effectively thought of as a function of
leadership, not management. It's personal. Recognition does not always include reward.
Reward -- on the other hand, is a token or symbol of appreciation. It's usually tangible. A reward
system must be developed thoughtfully and carried-out carefully and fair or it will fail. Rewards can
be thought of as "entitlements."
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
18. ____ Individuals are held accountable for not meeting safety and health
responsibilities.
Accountability is more a function of leadership than management. If consequences are effective, the
end result will be a positive, character-building experience for the employee.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
19. ____ Supervisors know whether employees are meeting their safety and health
responsibilities.
To accomplish this goal, management must be adequately supervising or overseeing work being
accomplished. "Super-vision" is required. Supervision is adequate when hazardous conditions and
unsafe behaviors are being effectively detected. Supervision is effective when injuries and illnesses are
prevented.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Total personal score for this element: __________________
Team's range of scores: Lowest
_____ Highest
_____
Other Questions to ask in this element:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
ELEMENT 3 - EMPLOYEE INVOLVEMENT
20. ____ There is a process designed to involve employees in safety and health issues.
Enough can't be said about the importance of employee involvement in safety. The more involvement,
the more ownership. When employees believe they own it, they will value it. Management must develop
a system that invests time and money in employee involvement in safety. The system should include and
encourage involvement in safety education, membership in the safety committee, making safety
suggestions, and communication.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
21. ____ Employees are aware of the safety and health involvement process at the
workplace.
Employees have been educated about the various ways they may be involved in safety. When asked,
employees know who their safety committee representative is. They understand safety suggestion
program procedures. They participate in job hazard analyses.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
22. ____ Employees believe the process that involves them in safety and health issues
is effective.
Safety must be perceived as a positive system or it will not succeed. Employees will believe the process
is effective when the safety and health system operates in a culture of safety leadership. Managers,
supervisors, employees all express leadership by not only doing the right things, but doing the right
things right! Managers will provide resources, recognize, correct, set a proper example. The safety
committee will respond, provide useful information, make effective recommendations. Bottom-line, the
employee will perceive the system as effective when they experience the benefits.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
23. ____ The workplace safety and health policy is effectively communicated to
employees.
When asked, employees are able to answer questions about the workplace safety and health policy.
Policy is communicated formally through written statements and presentations. Policy is communicated
and reinforced informally through what managers say and do daily.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
24. ____ The workplace safety and health policy is supported by employees.
Employees at all levels of the company are involved in some or all of the elements of the safety and
health program. They are supporting policy by carrying out their safety responsibilities.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
25. ____ Safety and health goals and supporting objectives are effectively
communicated to employees.
When asked, employees are able to correctly answer questions about the workplace safety and health
goals and objectives. Goals and objectives are communicated formally in writing and during
educational classes. They are communicated informally through what managers say and do daily.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
26. ____ Safety and health goals and objectives are supported by employees.
Employees at all levels of the company are involved in planning and carrying-out goals and objectives.
They are supporting goals and objectives by carrying out their related safety responsibilities.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
27. ____ Employees use the hazard reporting system.
Employees understand and feel comfortable using the company's hazard reporting system. Employees
report hazards to their supervisors and/or safety committee representatives. Reporting hazards in the
workplace is encouraged and considered professional behavior. Hazard reports are not considered
"complaints."
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
28. ____ Injury/Illness data analyses are reported to employees.
The OSHA 300 Log and Summary Form is posted where employees have easy access. The safety
committee reviews the OSHA 300 Log and other statistical data.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
29. ____ Hazard control procedures are communicated to potentially affected
employees.
A system to educate and train affected employees on safety programs such as Lockout/Tagout, Hazard
Communication, Bloodborne Pathogens, etc., is in place. When asked, employees are able to correctly
answer questions about hazard control procedures that affect them.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
30. ____ Employees are aware of how to obtain competent emergency medical care.
When asked, employees are able to correctly answer questions about how to respond to a workplace
emergency. A system is in place to educate and train all employee on emergency procedures and how
to obtain emergency medical care.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Total personal score for this element: __________________
Team's range of scores: Lowest
_____ Highest
_____
Other Questions to ask in this element:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
ELEMENT 4 - HAZARD IDENTIFICATION AND CONTROL
31. ____ A comprehensive baseline hazard survey has been conducted within the past
five (5) years.
Comprehensive surveys that evaluate the entire facility should be periodically conducted. Baseline
surveys are important workplace activities that identify, analyze, and evaluate the current status of:
• Safe/hazardous conditions. This may include such things as chemical inventories, machine
guarding, housekeeping, exposure to noise and hazardous atmospheres (levels). Hazardous
conditions represent the surface causes for accidents.
• Safe/unsafe work practices. Through observation and interviews, the degree of safe employee and
management-level behaviors is assessed and evaluated. Unsafe behaviors also represent the
surface causes for accidents. Hazardous conditions and unsafe practices are really the symptoms
of deeper root (system) weaknesses.
• Safety program elements. Analysis and evaluation of the seven safety system elements determine
the how effective current safety and health policies, programs, plans, processes, and procedures.
These represent the root causes that have allowed surface causes to develop and exist. Always
evaluate systems in your comprehensive baseline survey.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
32. ____ Effective job hazard analysis (JHA) is performed, as needed.
The Job Hazard Analysis is a very important and effective process to determine hazardous conditions,
unsafe practices, and system weaknesses. In this process the supervisor (or other person) and an
employee work together to analyze the task the worker performs. The worker is observed performing the
task. Next, they break the task down into steps. At this point they jointly assess each step to identify any
conditions and practices that might cause an injury/illness. Next, they work together on means and
methods to eliminate those hazards. They revise procedures to make the task less hazardous. The
supervisor, safety director, or safety committee should then take the process to its completion by
uncovering the systems weaknesses related to the hazards found during the JHA.
It's very important to include the employee in the JHA process. They know the job and may have many
excellent ideas for improvement. Including the employee also increases ownership. We value what we
own. Consequently the employee will be more likely to use the revised procedures when not being
directly supervised.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
33. ____ Effective safety and health inspections are performed regularly.
How do you know the inspection process is effective? Hazards, practices and systems are uncovered,
corrected and improved so that they do not recur.
In some states, the employer must conduct regular safety and health inspections of the workplace. Some
employers rely solely on the safety committee. If the safety committee is not thoroughly educated and
trained, this practice may not be effective.
In fully-effective safety systems, everyone is involved in the inspection process. Line workers inspect
their work stations daily. Supervisors inspect their departments as often as necessary, depending on the
nature of the hazards. Managers conduct inspections of their various departments with supervisors on a
scheduled basis. They joint analyze and evaluate the safety systems in place that affect those conditions
and practices.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
34. ____ Effective surveillance of established hazard controls is conducted.
Once workplace hazards are corrected, a system must be in place to make sure they stay corrected. The
safety committee quarterly inspection process can be a great way to monitor the workplace to ensure
corrective actions are permanently established. Employee involvement within this process should be
instituted.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
35. ____ Expert hazard analysis is performed, as needed.
Companies need to utilize third-party experts to help identify and control hazards in the workplace. It's
important to know that the workers' compensation premium assessed to your company each year also
"pays" for a very important resource, consultations conducted by your workers' compensation insurance
carrier. Using this valuable resource or the resources provided by private consultants to perform expert
hazard analysis is smart business and may result in greatly reduced accident costs.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
36. ____ An effective hazard reporting system exists.
Hazard reporting is a mandated activity. That means OSHA rules require it. But, beyond that, it's a
professional behavior that every employer should desire and expect from their employees. Some
questions to ask in evaluating this item include:
• Are employees actually reporting hazards?
• Who are they reporting hazards to? The safety committee representative? The immediate
supervisor? Both? Most effectively, supervisors should get the report so that he or she can take
immediate corrective action.
• Do employees feel comfortable reporting hazards? The more comfortable they are, the more trust
they are displaying in management.
• Are reports called "complaints"? Hopefully they are not. Reporting hazards is a best practice that
saves lives and money.
• Are employees being recognized and possibly rewarded when they report hazards. Remember,
employee behavior reflect the consequences expected.
• Are reporting procedures simple? The less complicated, the more effective the response.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
37. ____ Change analysis is performed whenever a change in facilities, equipment,
materials, or processes occurs.
It's important to realize that any change in the workplace may introduce hazardous conditions and/or
unsafe work practices. A system must be in place to make sure that safety is considered in all phases of
the change process. Process Safety Management (PSM) guidelines can serve as an excellent guide in
developing such a system.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
38. ____ Hazards are eliminated or controlled promptly.
When hazards are reported, a system to promptly correct them must be in place. The longer it takes to
identify and correct hazards, the greater the probability of an accident. A successful system is usually
established when supervisors are effectively held directly accountable for making sure hazards are
corrected promptly.
The safety committee and management may develop a prioritized schedule detailing a time-frame for
correcting hazards. The more serious the hazard, the more quickly it would be corrected.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
39. ____ Hazard control procedures demonstrate a preference for engineering methods.
One effective strategy to eliminate or reduce hazards in the workplace is called the "Hierarchy of
Controls." The strategy includes three general methods:
• Engineering Controls. The best method is to eliminate the hazard. Although this is called an
"engineering" control, you do not have to be an engineer to successfully apply this method. Two
conditions must be present for an accident to occur; (1) the hazard, and (2) exposure to the hazard.
Engineering controls address the first condition. Hazards are "engineered out" through initial
design redesign, substitution, enclosure, etc. You are changing the "thing" (tool, equipment,
machinery, facility) to eliminate the hazard and don't have to manage the exposure.
• Management Controls. Also called "work practice" or "procedural" controls, this method
attempts to "manage out" the exposure to the hazard by designing safe work procedures. You are
changing the "things we do or don't do" (process, procedure, work schedule).
• Personal Protective Equipment. PPE sets up a barrier between the worker and the hazard. It does
not eliminate or reduce the hazard. This method is usually applied in conjunction with
administrative controls.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
40. ____ Effective engineering controls are in place, as needed.
Some ways to tell if your engineering controls are effective is to determine if they, (1) do not result in
less efficient operation of the equipment, (2) are able to prevent an injury or illness at all times, even
when the worker is distracted, (3) protect employees from environmental hazards.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
41. ____ Effective administrative controls are in place, as needed.
How do you know administrative controls are effective? Managers and workers are displaying
appropriate behaviors. Administrative controls change the way we do things in the workplace. They
include employee job rotations, exercise programs, procedural changes, breaks.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
42. ____ Safety and health rules are written.
The purpose of written safety and health rules is to clarify required safety behaviors to everyone in the
company. However, just having written safety rules does not in any way ensure that employees will
follow those rules.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
43. ____ Safe work practices are written.
Written safety policies, plans, and procedures address safe work practices. The Job Hazard Analysis
(JHA) is another document that details safe work practices.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
44. ____ Personal protective equipment is effectively used as needed.
In most companies, this item will require some work. Effective use, here, means 100 percent use.
Effective PPE use will not be obtained unless many safety systems are working properly.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
45. ____ Effective preventive and corrective maintenance is performed.
• Preventive maintenance program makes sure that tools, equipment and machinery operate
properly so that unexpected starts/stops or breakdowns do not occur.
• Corrective maintenance. Faulty equipment and machinery that could cause a serious injury or
fatality should be taken immediately out of service. Maintenance work orders that correct hazards
should be identified as unique from other work orders.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
46. ____ Emergency equipment is well maintained.
It's important that emergency equipment is adequate for the specific purpose intended. Fire
extinguishers, personal protective equipment, chemical spill containment equipment and materials,
and other emergency equipment should be inspected regularly and properly positioned.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
47. ____ Engineered hazard controls are well maintained.
Through adequate inspection and maintenance programs, existing hazard control systems are properly
maintained so that they eliminate or help reduce exposure to hazards that might cause injury or illness.
Ventilation systems, machine guards, enclosures, and guardrails are all examples of engineered hazard
controls.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
48. ____ Housekeeping is properly maintained.
Poor housekeeping is a very common cause of injuries and illness. Effective housekeeping is a daily
effort by everyone to make sure clutter is eliminated. Proper training, continual inspection, and quick
removal of clutter will help ensure the workplace is clean and organized.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
49. ____ The organization is prepared for emergency situations.
Depending on the nature of the work and location of the workplace, many different types of
emergencies might be possible. A comprehensive plan(s) must be developed to address all emergency
scenarios. The Company must make sure their emergency action plan or emergency response plan is in
place and exercised regularly. If the workplace contains confined spaces, an emergency rescue plan
may be required. If workers perform tasks at elevation, emergency rescue procedures should be in
place and trained.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
50. ____ The organization has an effective plan for providing competent emergency
medical care to employees and others present on the site.
Effective plans should always written and convey information about the importance of the program
and who is responsible for carrying out program responsibilities. Drills are essential.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
51. ____ An early-return-to-work program is in place at the facility.
Early-return-to-work is an important concept. The key here is that the employee returns to work as soon
as possible, and participates in "productive" work, not make-work. An effective program assigns healthprovider-approved light duties to employees. Some companies enlist the help of injured employees in
evaluating safety programs, conducting inspections, and problem solving. Whatever the employee does,
the nature of the work should not be perceived as punitive.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Total personal score for this element: __________________
Team's range of scores: Lowest
_____ Highest
_____
Other Questions to ask in this element:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
ELEMENT 5 - INCIDENT/ACCIDENT INVESTIGATION
52. ____ Incidents/Accidents are investigated for root causes.
When incidents and accidents are investigated (analyzed for cause...not blame) it's important that the
investigator uncovers the root causes which represent the underlying system weaknesses. Hazardous
conditions and unsafe behaviors are called the surface causes for the accident.
How do you know you're addressing root causes?
• Surface causes. Faulty tools, equipment, machinery, facilities, materials (things) in the
workplace, or worker/manager behaviors (things done or not done) you're describing surface
causes. Inappropriate/unsafe behaviors accomplished by specific individuals.
If you can point to a single person or thing in the workplace, it's probably a surface cause that directly
caused or contributed to the accident.
• System implementation root causes. The general failure of supervisors and managers to carry
out policies, plans, procedures, etc. These failures are clues that system design root causes exist.
• System design root causes. Inadequately written or missing policies, programs, plans, processes,
or procedures, you're addressing the system weaknesses the represent root causes.
• If you identify the following situations, you should first assume that system factors have
contributed to the accident.
 If you are pointing at a group of employees performing inappropriate/unsafe behaviors,
assume system weaknesses are contributing factors.
 If one individual has been performing inappropriate/unsafe behaviors repeatedly for a period
of time, assume system weaknesses.
 If you identify a number of tools, equipment, machines that are unsafe, you should assume
system weaknesses. or a number of things in the workplace,Only by addressing and
correcting system weaknesses will permanent improvement in the safety system exist.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
Total personal score for this element: __________________
Team's range of scores: Lowest
_____ Highest
_____
Other Questions to ask in this element:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
ELEMENT 6 - EDUCATION AND TRAINING
53. ____ An organized safety and health training program exists.
An organized program will include a written plan that informs and directs responsibilities. There are
many training program strategies. However, the most effective programs totally integrate safety into
operations training. Because safety is an important component of quality in the production process,
it's considered too important to be taught separately from operations. Line management is directly
involved in training safety procedures. Supervisors/trusted mentors train involved employees. It's
not delegated to a training staff. They know the company has high standards and insists (not
encourages) that all employees meet those standards. All this sends the message that safety is an
important line function.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
54. ____ Employees receive safety and health training.
Safety should be taught before an employee is exposed to any new hazard. Examples of appropriate
times to train include new employee orientation, change of job assignment, and new equipment,
materials or procedures. Strong training documentation is necessary the certifies employee
understanding, abilities, and skills.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
55. ____ Employee training covers hazards of the workplace.
New employee training needs to include the general hazards that might encountered during the course
of work. Once the new employee is assigned to a particular department, it's important that he or she
receive education and training about the specific hazards of the work station and area. Effective
training will give the employee the necessary knowledge so that they are able to detect, report, and
correct hazards. The JHA's developed are used in the training. (Element 32.)
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
56. ____ Employee safety and health training covers all OSHA-required subjects.
Reference OSHA Publication 2254, Training Requirements in OSHA Standards and Training
Guidelines, for more information about specific required training subjects.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
57. ____ Employee training covers the facility safety system.
All employees should be introduced to and have a sound understanding of the company's safety
system or program and the various elements within that system. They should be encouraged to make
suggestions for system improvement, and to be involved in safety committee activities.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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Evaluating Safety Management Systems
58. ____ Appropriate safety and health training is provided to every employee.
Each employee should be educated as well as trained. The purpose of safety education is primarily to
create a positive safety attitude. Effective training ensures the employee understand "why" the safety
rule, procedure, requirement is important. Safety training is concerned primarily with helping the
employee develop the needed abilities and skills to use safety equipment or perform a procedure.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
59. ____ New employee orientation includes applicable safety and health information.
Job security depends more on working safe (a professional behavior) than working fast. Safety policies,
programs, and rules are discussed. It's very important to explain why each safety rule is necessary. New
employees should be introduced to their safety committee representative during orientation.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
60. ____ Workplace safety and health policy is understood by employees.
The only real way to know if your employees understand safety and health policy is to question them
and observe them. Most/all employees should be able to answer questions to your satisfaction and be
observed complying with policy.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
61. ____ Safety and health goals and objectives are understood by employees.
Do employees participate in goal setting? Do they know what they are? Are employees involved in
carrying out objectives?
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
62. ____ Employees periodically practice implementation of emergency plans.
The following emergency plans are examples of those that should be practiced as often as required or
necessary. Examples. Emergency response plans (medical emergencies, fire, earthquake); chemical
release and evacuation; confined space rescue; and fall rescue.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
63. ____ Employees are trained in the use of emergency equipment.
Training should include demonstration to make sure all employees have the skills required to use the
equipment. Drills should be performed.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
64. ____ Supervisors receive safety and health training.
Management at all levels require safety and health education and training. In the most effective safety
systems, supervisors are expert in their knowledge of the hazards and safe procedures required in their
departments. Supervisors and managers need to be knowledgeable and skilled in managing safety
programs including recognition and corrective actions.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
65. ____ Supervisors receive all training required by OSHA standards.
Several OSHA Standards have mandatory training components. A partial list includes: Hazard
Communication; Forklift; and Confined space rescue.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
66. ____ Supervisors are effectively trained on all applicable hazards.
In the most effective safety systems, supervisors are expert in their knowledge of the hazards and safe
procedures required in their departments.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
67. ____ Supervisors are trained on all site-specific preventive measures and controls
relevant to their needs and supervisory responsibilities.
They have the requisite knowledge of preventive measures using effective control strategies. They also
have the skills to effectively eliminate or reduce hazards and unsafe behaviors.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
68. ____ Supervisor training covers the supervisory aspects of their safety and health
responsibilities.
Supervisors need training on OSHA regulations and site specific hazards. Supervisors need the
knowledge and organizational skills necessary to demonstrate effective safety management including
conducting training, safety meetings, inspecting, enforcing policy and rules, and correcting hazards and
unsafe actions. They demonstrate a tough-caring leadership approach by setting high standards and
insisting everyone meet those standards, including themselves.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
69. ____ Safety and health training is provided to managers, as appropriate.
Managers require appropriate education in occupational safety and health. Managers should understand
the means and methods to provide necessary resources to their supervisors.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
70. ____ Managers are aware of all relevant safety and health training mandated by
OSHA.
To evaluate this item you may want to administer a survey or interview a sample population of
managers.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
71. ____ Managers understand the organization's safety and health system.
To evaluate this item you may want to administer a survey or interview a sample population of
managers.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
© 1996-2006 OSHA Training Network www.oshatrain.org
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Evaluating Safety Management Systems
72. ____ Relevant safety and health aspects are integrated into all management
training.
Managers need to get the "big picture." They need to understand safety as a "profit center" activity, and
how to effectively support the safety system. They should receive education about the legal, fiscal and
moral obligations they have, as managers and leaders, to the law, stakeholders and society at large.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Total personal score for this element: __________________
Team's range of scores: Lowest
_____ Highest
_____
Other Questions to ask in this element:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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ELEMENT 7 - PERIODIC PROGRAM REVIEW
73. ____ Workplace injury/illness data are effectively analyzed.
The OSHA 300 log, safety committee minutes and baseline surveys all contain potentially valuable
statistical data. Each of these may be assessed to determine the presence/absence of hazards. They may
be analyzed to discover trends. They may be evaluated to determine effectiveness of related safety
systems.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
74. ____ Safety and health training is regularly evaluated.
At the conclusion of training, employee knowledge of the subject should be measured through oral or
written exams. Ability and skill is most effectively measured by requiring the employee to demonstrate
a task or procedure.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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75. ____ Post-training knowledge and skills for safety and health are tested or
evaluated.
Evaluation of safety training usually occurs through interviews and observation. Interviews and
surveys may be used to determine knowledge and attitudes. Observation is required to evaluate
employee skills and safety behaviors.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
76. ____ Hazard incidence data are effectively analyzed.
Incident reports, hazard reports, and inspection results provide a wealth of data about the types and
locations of hazardous conditions in the workplace. This data should be gathered and analyzed to
better reach conclusions about how to correct underlying system weaknesses.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
77. ____ Hazard controls are monitored to assure continued effectiveness.
In the most effective safety cultures, everyone is involved in monitoring hazard controls in the
workplace. It's not usually adequate to simply rely on the safety director or safety committee to
monitor hazard controls.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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78. ____ A review of in-place OSHA-mandated programs is conducted at least
annually.
You may want to consider using the services of expert third-party resources ( OSHA consultants,
insurer consultants) in conducting this compliance review.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
79. ____ A review of the overall safety and health management system is conducted at
least annually.
Effective management (organizing, planning, controlling, leading) requires frequent program review.
An effective program evaluation system does not wait until the end of the year before taking a look at
how the safety program is working.
Justification for rating: ___________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Ideas to take back: ______________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Total personal score for this element: __________________
Team's range of scores: Lowest
_____ Highest
_____
Other Questions to ask in this element:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
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PLAN
The Deming Cycle
ACT
“I told them they would capture markets the world over within five years. They beat
that prediction. Within four years, buyers all over the world were screaming for
Japanese products.” W. Edwards Deming
DO
STUDY
Step 1: Plan – Design the change or test
• Purpose: Take time to thoroughly plan the proposed change before it’s implemented.
• Pinpoint specific conditions, behaviors, results you expect to see as a result of the change.
• Plan to ensure successful transition as well as change.
____________________________________________________________________
____________________________________________________________________
Step 2: Do - Carry out the change or test
• Purpose: Implement the change or test it on a small scale.
• Educate, train, communicate the change…help everyone transition.
• Keep the change small to better measure variable.
____________________________________________________________________
____________________________________________________________________
Step 3: Study – Examine the effects or results of the change or test
• Purpose: To determine what was learned: what went right or wrong.
• Statistical process analysis, surveys, questionnaires, interviews
____________________________________________________________________
____________________________________________________________________
Step 4: Act – Adopt, abandon, or repeat the cycle
• Purpose: Incorporate what works into the system.
• Ask not only if we’re doing the right things, but ask if we’re
doing things right.
• If the result was not as intended, abandon the change or begin
the cycle again with the new knowledge gained.
____________________________________________________________________
____________________________________________________________________
We see safety as a building block, a foundation of a successful business. EHS is one of five critical measurements (customer
service, quality, asset management and cost are the others) that are part of a world-class operation. Those critical
measurements are taken daily, weekly, monthly and annually. Nagib Nasr, Moen Inc., Sanford N.C.
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Safety and Health Achievement
Recognition Program (SHARP)
SHARP is a recognition program which provides an incentive for employers to work with their
employees to develop and implement effective Injury and Illness Prevention Plans. SHARP is a program
of the OSHA.
Recognition
To promote effective safety and health management and to provide models for others to follow, SHARP
recognizes employers who implement effective Injury and Illness Prevention Plans. Recognition is
achieved by:
Encouraging employers to use OSHA consultation, technical, and training resources, and to involve their
employees in establishing effective Injury and Illness Prevention Plans.
Providing for public recognition of employers and employees as models who have worked together
successfully to establish effective Injury and Illness Prevention Plans. This includes awarding the
employer a SHARP certificate of achievement signed by the Administrator of OSHA, and using these
recognitions as models for other employers.
Program Requirements
Employers requesting initial pursuit of SHARP must agree to:
A comprehensive consultation, including a complete Injury and Illness Prevention Plan assessment and a
rating of the plan's effectiveness. The consultation must include all conditions and operations at the
establishment.
Involve employees in the development, operation, and improvement of all elements of the workplace
safety and health plan and in the decisions that affect their safety and health. This commonly is
accomplished through the safety committee process.
Work with the Consultation Program for a necessary time period after the date of the initial visit, during
which time the employer will commit resources to correct all identified safety and health hazards and
provide the Section with confirmation that all hazards have been corrected.
Implement all elements of an effective Injury and Illness Prevention Plan. The section will verify that all
of the requirements for SHARP recognition have been met (all hazards corrected, all elements of the
Injury and Illness Prevention Plan are in place and operating effectively). At this point, the Consultative
Services Section will recommend the employer receive the SHARP certificate of achievement.
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OSHA's Voluntary
Protection Program
What is a Voluntary Protection Program? Voluntary Protection Programs (VPP) recognize a select
group of facilities that have designed and implemented outstanding health and safety programs. VPP
promotes effective safety and health management. The VPP concept recognizes that enforcement alone can
never fully achieve the objectives of the Occupational Safety and Health Act. Good safety and health
managed by a site that goes beyond OSHA standards can protect workers more effectively than simple
compliance.
What is Star and Merit? Star participants meet all VPP requirements. Merit participants have
demonstrated the potential and willingness to achieve Star program status, and are implementing planned
steps to fully meet all Star requirements.
Will my program qualify? The VPP Program is open to any general industry that employs 11 or more
employees. VPP companies aren't expected to be perfect, but as a minimum must have a safety and health
management system (also referred to as a Safety and Health Program) that is functioning well. Additionally,
the applicant's three-year average total case incidence rate and three-year combined overall average injury
and illness lost workday case incidence rate must be at or below the rate for that industry.
How can I participate? You must submit a written application to OSHA. The application and program
guidelines are included in the VPP Pilot Information Guide. OSHA initially verifies that your company's
program meets the VPP Pilot criteria through review of your written application. If your company meets the
criteria, an on-site review of your program will be scheduled.
What happens then? If your company is approved, it's removed from routine scheduled inspection lists
for the duration of your participation. Employees lose none of their rights in this process and OSHA will
still investigate major accidents, valid formal employee complaints, and chemical spills.
What happens when OSHA comes on-site? VPP on-site inspections are different than compliance
inspections. OSHA safety specialists and industrial hygienists spend from two to four days (or more if
necessary) examining the worksite to evaluate the effectiveness of your systems for the prevention of
injuries and illnesses. Hazard identification is a very small part of the process. A thorough examination of
the written safety and health program is conducted to ensure that it's comprehensive in nature and provides
protection to employees against all hazards and potential hazards that may exist in the workplace.
For more information visit our web site at: www.osha.gov
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Let's Review!
3. Match the program/system component with the correct example.
____ Inputs
New employees complete initial safety orientation the first day of
work.
____ Process
Your analysis indicates only 50% compliance in wearing eye
protection.
____ Outputs
The mission statement addresses safety as a core value.
2. What's another way of saying "Every system is designed perfectly to produce what it
produces"?
_______________________________________________________________________________
3. (Circle one) Systems are characterized by independent interdependent processes.
4. (Check one) Which program/system component has the most influence on employee
performance?
____ Inputs - resources
____ Processes - procedures
____ Outputs - consequences
5. According to OAR 437, Div 1, Rule 765(6)(d), The safety committee shall assist the employer
in evaluating the employer's ___________________________________ program, and shall make
written ________________________ to improve the program where applicable.
6. What specific safety and health program is mentioned in OAR 437, Div. 1, Rule 765(f), as a
responsibility of the safety committee to evaluate?
______________________________________________________________________________
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Reference Materials
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Accountability: The Key to Compliance
Accountability = Responsibility + Measurement g Consequences
Evaluation Checklist. An effective accountability system is required to ensure compliance
with required employer safety standards. Here's a simple checklist your safety committee can use to
evaluate your organization's accountability system. (Works well, Needs Work, No Present)
1. Formal standards and expectations. Before employees can be held accountable,
management must design and communicate employee accountabilities.




Do clear safety policies, plans, processes, procedures, practices exist?
Are safety standards written in the primary language(s) of all employees?
Are safety policies and rules discussed with new employees at orientation?
Are safety policies and rules communicated adequately to employees?
2. Resources to meet/exceed expectations. Before management can hold employees
accountable, they must first fulfill their obligation to provide employees with the tools to perform
safely.
Physical Resources




Are tools, equipment, machinery and materials adequate in ensuring a safe workplace?
Are workstations designed to be ergonomically appropriate for the assigned worker?
Is adequate Personal Protective Equipment provided to employees?
Do temperature, chemical, noise, atmospheric and other environmental safety hazards
exist?
Psychosocial Support








Is adequate initial safety orientation training being provided?
Is adequate safety training on specific safety procedures being provided?
Is management providing adequate safety leadership through example?
Are workloads reasonable? (Employee has ability to complete work without undue
physical or psychological stress)
Are work shifts reasonable? (Does not produce excessive fatigue)
Is an Employee Assistance Program (EAP) available?
Do employees suffer any negative consequences from working safe?
Do positive working relationships exist between employees and supervisors?
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3. A system of measurement. It's important that behaviors are evaluated and measured to that
discipline is based on facts, not feelings.





Is an effective informal observation and feedback process being conducted, or…
Is a effective formal observation process in place?
Are the results of observations being tracked to improve the safety management system?
Do formal appraisals/reviews index safety performance?
Do employees have control over behaviors/results being measured?
4. Effective consequences. Without effective intervention, improvement in behaviors and
performance will not occur.






Is discipline for noncompliance expected?
Does discipline occur soon after justification is established?
Do employees know exactly what behaviors lead to discipline?
Are the motives for disciplining perceived as sincere?
Do disciplinary procedures change behavior/performance in the desired direction?
Is discipline progressively more significant for repeated noncompliance?
5. Appropriate application of Consequences. Appropriate intervention ensures
discipline is justified and perceived as fair.
 Does management first determine that their obligations to employees are have been fulfilled
before disciplining? (Clear expectations, resources, training, enforcement, example)
 Does discipline occur as a result of failure to comply with safety policies and rules (behaviors)
rather than "having an accident" (results)?
 Are employees automatically disqualified from safety recognition/rewards if they have an
accident?
 Is discipline consistently applied throughout the organization - top to bottom and across
functions?
 Is the purpose of discipline to improve performance rather than merely to punish?
 Is recognition occurring more often than discipline?
 Is discipline appropriate to the severity of the infraction?
 Is discipline appropriate to the negative impact the infraction has on the company?
6. Evaluation of the accountability system. This element is essential in continually
improving the accountability system.
 Is the safety committee evaluating the accountability system on a periodic/continuous
schedule?
 Are all processes within each of the accountability system elements evaluated?
 Does the safety committee submit the evaluation results to management?
 Does the safety committee develop and submit recommendations to improve the
accountability system?
 Does management respond to and implement safety committee recommendations?
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Recognition: The Key to Involvement
Recognition System Evaluation Checklist.
An effective recognition system is required to maximize involvement in safety. Here's a simple
checklist your safety committee can use to evaluate your organization's recognition system. (Y=Yes,
N=No)
1. Formal standards and expectations. It's important that policies and expectations are
clearly written and communicated to all employees.




Do written recognition/reward policies, plans, processes, procedures, practices exist?
Are safety r/r policies and procedures discussed with new employees at orientation?
Are safety r/r policies and procedures communicated adequately to employees?
Are r/r policies and procedures written in the primary language(s) of all employees?
2. Commitment and support. Equally important is that management commit resources and
support employee involvement. Employees must feel comfortable and believe they'll be recognized
and rewarded for their involvement.
 Is commitment and support addressed in the written recognition plan?
 Are employees provided adequate resources in support of their involvement.
 Are employees educated and trained so that they have the knowledge and skills required to
actively participate, make suggestions or otherwise contribute?
 Is adequate time provided for involvement in safety committees and other activities?
 Is management leadership evident through their involvement in safety?
 Are workloads reasonable? (Employees can get involved in safety without jeopardizing
other responsibilities)
 Do employees suffer any negative consequences as a result of their involvement?
 Does recognition occur more often than discipline?
3. A system of measurement. It's important that behaviors are evaluated and measured to
that discipline is based on facts, not feelings.






Is a measurement process addressed in the written recognition plan?
Is recognition criteria based on behaviors/activities over which employees have control?
Is recognition based solely on results/outcomes? (number of accidents, mod rate, etc)
Is measurement criteria clearly communicated and understood?
Do sustained performance of mandatory behaviors result in personal recognition?
Do voluntary behaviors result in personal recognition and reward?
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4. Effective consequences. Without effective consequences, improvement in behaviors and
performance will not occur.










Does recognition occur soon after the performance?
Is recognition/reward based on behaviors or luck?
Are games (safety bingo, drawings, etc) used to determine who gets recognize/rewarded?
Are first, best, most improved categories part of the recognition process?
Does the recognition/reward process include individual/group competition?
Are employees certain they will be recognized for professional performance?
Do employees know exactly what behaviors lead to recognition?
Are recognition and rewards considered significant/meaningful to employees?
Are the motives for recognition and rewards perceived as sincere?
Do recognition procedures actually result in changed behavior/performance in the desired
direction?
5. Appropriate application. Appropriate intervention ensures discipline is justified and
perceived as fair.
 Are recognition and reward contingent on individual behavior. (not next on the list, politics,
favoritism, etc)
 Does recognition/reward occur as a result of meeting/exceeding behavioral expectations rather
than "working accident free."
 Are employees automatically disqualified from safety recognition/rewards if they have an
accident?
 Are employees involved in determining criteria and recognition/rewards?
 Is the recognition/reward process consistently applied throughout the organization - top to
bottom and across functions?
 Is recognition occurring more often than discipline?
 Is recognition and reward appropriate to the positive impact on the organization?
 Do employees consider the recognition/reward process fair?
6. Evaluation of the accountability system. This element is essential in continually
improving the accountability system.
 Are the safety committee/safety coordinator evaluating the recognition system on a
periodic/continuous schedule?
 Are all procedures within each of the recognition system elements evaluated?
 Does the safety committee submit the evaluation results to management?
 Does the safety committee develop and submit recommendations to improve the recognition
system?
 Do safety committee recommendations for improvement include cost/benefit analysis?
 Does management respond to and implement safety committee recommendations in a timely
manner?
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OSHA's "$AFETY PAYS" Program
http://www.osha.gov/dts/osta/oshasoft/safetwb.html
OSHA's "$AFETY PAYS" program is interactive software developed by OSHA to assist employers in
assessing the impact of occupational injuries and illnesses (with Lost Work Days) on their
profitability. It uses a company's profit margin, the AVERAGE costs of an injury or illness, and an
indirect cost multiplier to project the amount of sales a company would need to generate in order to
cover those costs. The system:
• prompts users for information to do the analysis,
• offers choices from a set of Lost Work Day injuries and illnesses,
• links to definitions of those injuries and illnesses,
• writes a report of the costs and the sales needed to cover those costs,
• pulls up NotePad, so users can view and print their reports, and
• runs on monitors set for 640x480, or 800x600 with Small Font.
OSHA Hazard Awareness Advisor, Version 1.0
http://www.osha.gov/dts/osta/oshasoft/hazexp.html
OSHA's Hazard Awareness Advisor is powerful, interactive, expert software. It will help you
(especially, small businesses) identify and understand common occupational safety and health
hazards in your work place. It will ask you about activities, practices, materials, equipment, and
policies at your work place. Most questions have follow-up questions (depending upon your previous
answers). The Hazard Awareness Advisor uses your answers to determine the hazards that are likely
to be present. Then, it prepares a unique, customized report that briefly describes the likely hazards
and the OSHA standards which address those hazards. You can use this Advisor online, or download
it and run it in the Windows environment. The Hazard Awareness Advisor:
• asks questions about workplace activities, equipment, materials, etc.,
• analyzes your answers with expert decision-logic,
• alerts people in General Industry to common occupational hazards,
• explains briefly the nature of those hazards,
• points out applicable OSHA standards,
• identifies Consultation Offices for the user's state, and
• provides definitions of keywords and phrases via a "keyword" button.
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Safety and Health Management Systems eCAT
http://www.osha.gov/SLTC/safetyhealth_ecat/index.html
Does a safety and health program really make a difference? Definitely!
The best Safety and Health Programs involve every level of the organization, instilling a safety culture
that reduces accidents for workers and improves the bottom line for managers. When Safety and Health
are part of the organization and a way of life, everyone wins.
There are four crucial questions you should be asking. The detailed answers are found in the four
modules of this eCAT*.
eCATs are electronic Compliance Assistance Tools
They provide guidance information for developing a comprehensive safety and health program.
Although Safety and Health Programs are required by some states, there is no general OSHA
requirement for such a program. Therefore, this eCAT includes elements that go beyond specific OSHA
mandates, such as recommendations for good industry practice. eCATs do not create new OSHA
requirements.
Module 1 - Safety & Health Payoffs
An effective safety and health program makes all the difference in preventing injuries and illnesses
in the workplace.
Module 2 - Management System: Safety & Health Integration
If your team wants to reduce accidents, injuries, illnesses, and their related costs, everyone must
place as much emphasis on safety and health issues as they place on other core management issues,
such as production, sales, and quality control.
Module 3: Conducting a Safety & Health Checkup
Now that you've reviewed the components of a safety and health system, you can assess your
company’s safety and health system.
Module 4: Creating Change
If you completed the assessment in Module 3, you now have some idea how your workplace is
doing in implementing a safety and health system.
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Tools for a Safety and Health Program Assessment
INTRODUCTION
There are three basic methods for assessing safety and health program effectiveness. This discussion
will explain each of them. It also will provide more detailed information on how to use these tools to
evaluate each element and subsidiary component of a safety and health program.
The three basic methods for assessing safety and health program effectiveness are:
• Checking documentation of activity;
• Interviewing employees at all levels for knowledge, awareness, and perceptions; and
• Reviewing site conditions and, where hazards are found, finding the weaknesses in management
systems that allowed the hazards to occur or to be "uncontrolled."
Some elements of the safety and health program are best assessed using one of these methods. Others
lend themselves to assessment by two or all three methods.
Documentation
Checking documentation is a standard audit technique. It is particularly useful for understanding
whether the tracking of hazards to correction is effective. It can also be used to determine the quality of
certain activities, such as self-inspections or routine hazard analysis.
Inspection records can tell the evaluator whether serious hazards are being found, or whether the same
hazards are being found repeatedly. If serious hazards are not being found and accidents keep occurring,
there may be a need to train inspectors to look for different hazards. If the same hazards are being found
repeatedly, the problem may be more complicated. Perhaps the hazards are not being corrected. If so,
this would suggest a tracking problem or a problem in accountability for hazard correction.
If certain hazards recur repeatedly after being corrected, someone is not taking responsibility for
keeping those hazards under control. Either the responsibility is not clear, or those who are responsible
are not being held accountable.
Employee Interviews
Talking to randomly selected employees at all levels will provide a good indication of the quality of
employee training and of employee perceptions of the program. If safety and health training is
effective, employees will be able to tell you about the hazards they work with and how they protect
themselves and others by keeping those hazards controlled. Every employee should also be able to say
precisely what he or she is expected to do as part of the program. And all employees should know
where to go and the route to follow in an emergency.
Employee perceptions can provide other useful information. An employee's opinion of how easy it is to
report a hazard and get a response will tell you a lot about how well the hazard reporting system is
working. If employees indicate that the system for enforcing safety and health rules and safe work
practices is inconsistent or confusing, you will know that the system needs improvement.
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Interviews should not be limited to hourly employees. Much can be learned from talking with first-line
supervisors. It is also helpful to query line managers about their understanding of their safety and health
responsibilities.
Site Conditions and Root Causes of Hazards
Examining the conditions of the workplace can reveal existing hazards. But it can also provide
information about the breakdown of those management systems meant to prevent or control these
hazards.
Looking at conditions and practices is a well established technique for assessing the effectiveness of
safety and health programs. For example, let's say that in areas where PPE is required, you see large and
understandable signs communicating this requirement and all employees -- with no exceptions -wearing equipment properly. You have obtained valuable visual evidence that the PPE program is
working.
Another way to obtain information about safety and health program management is through root
analysis of observed hazards. This approach to hazards is much like the most sophisticated accident
investigation techniques, in which many contributing factors are located and corrected or controlled.
When evaluating each part of a worksite's safety and health program, use one or more of the above
methods, as appropriate.
The remainder of this discussion will identify the components found in each element of a quality safety
and health program and will describe useful ways to assess these components.
1. Assessing the Key Components of Leadership, Participation, and Line
Accountability
WORKSITE POLICY ON SAFE AND HEALTHFUL WORKING CONDITIONS
- Documentation
• If there is a written policy, does it clearly declare the priority of worker safety and health over
other organizational values, such as production?
- Interviews
• When asked, can employees at all levels express the worksite policy on worker safety and health?
• If the policy is written, can hourly employees tell you where they have seen it?
• Can employees at all levels explain the priority of worker safety and health over other
organizational values, as the policy intends?
- Site Conditions and Root Causes of Hazards
• Have injuries occurred because employees at any level did not understand the importance of
safety precautions in relation to other organizational values, such as production?
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GOAL AND OBJECTIVES FOR WORKER SAFETY AND HEALTH
- Documentation
• If there is a written goal for safety and health program, is it updated annually?
• If there are written objectives, such as an annual plan to reach that goal, are they clearly stated?
• If managers and supervisors have written objectives, do these documents include objectives for the
safety and health program?
- Interviews
• Do managers and supervisors have a clear idea of their objectives for worker safety and health?
• Do hourly employees understand the current objectives of the safety and health program?
• - Site Conditions and Root Causes of Hazards (Only helpful in a general sense.)
VISIBLE TOP MANAGEMENT LEADERSHIP
- Documentation
• Are there one or more written programs which involve top-level management in safety and health
activities? For example, top management can receive and sign off on inspection reports either after
each inspection or in a quarterly summary. These reports can then be posted for employees to see.
Top management can provide "open door" times each week or each month for employees to come
in to discuss safety and health concerns. Top management can reward the best safety suggestions
each month or at other specified intervals.
- Interviews
• Can hourly employees describe how management officials are involved in safety and health
activities?
• Do hourly employees perceive that managers and supervisors follow safety and health rules and
work practices, such as wearing appropriate personal protective equipment?
- Site Conditions and Root Causes of Hazards
• When employees are found not wearing required personal protective equipment or not following
safe work practices, have any of them said that managers or supervisors also did not follow these
rules?
EMPLOYEE PARTICIPATION
- Documentation
• Are there one or more written programs that provide for employee participation in decisions
affecting their safety and health?
• Is there documentation of these activities; for example, employee inspection reports, minutes of
joint employee-management or employee committee meetings?
• Is there written documentation of any management response to employee safety and health
program activities?
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• Does the documentation indicate that employee safety and health activities are meaningful and
substantive?
• Are there written guarantees of employee protection from harassment resulting from safety and
health program involvement?
- Interviews
• Are employees aware of ways they can participate in decisions affecting their safety and health?
• Do employees appear to take pride in the achievements of the worksite safety and health program?
• Are employees comfortable answering questions about safety and health programs and conditions
at the site?
• Do employees feel they have the support of management for their safety and health activities?
- Site Conditions and Root Causes of Hazards (Not applicable.)
ASSIGNMENT OF RESPONSIBILITY
- Documentation
• Are responsibilities written out so that they can be clearly understood?
- Interviews
• Do employees understand their own responsibilities and those of others?
- Site Conditions and Root Causes of Hazards
• Are hazards caused in part because no one was assigned the responsibility to control or prevent
them?
• Are hazards allowed to exist in part because someone in management did not have the clear
responsibility to hold a lower-level manager or supervisor accountable for carrying out assigned
responsibilities?
ADEQUATE AUTHORITY AND RESOURCES
- Documentation (Only generally applicable.)
- Interviews
• Do safety staff members or any other personnel with responsibilities for ensuring safe operation of
production equipment have the authority to shut down that equipment or to order maintenance or
parts?
• Do employees talk about not being able to get safety or health improvements because of cost?
• Do employees mention the need for more safety or health personnel or expert consultants?
- Site Conditions and Root Causes of Hazards
• Do recognized hazards go uncorrected because of lack of authority or resources?
• Do hazards go unrecognized because greater expertise is needed to diagnose them?
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ACCOUNTABILITY OF MANAGERS, SUPERVISORS, AND HOURLY EMPLOYEES
- Documentation
• Do performance evaluations for all line managers and supervisors include specific criteria relating
to safety and health protection?
• Is there documented evidence of employees at all levels being held accountable for safety and
health responsibilities, including safe work practices? Is accountability accomplished through
either performance evaluations affecting pay and/or promotions or disciplinary actions?
- Interviews
• When you ask employees what happens to people who violate safety and health rules or safe work
practices, do they indicate that rule breakers are clearly and consistently held accountable?
• Do hourly employees indicate that supervisors and managers genuinely care about meeting safety
and health responsibilities?
• When asked what happens when rules are broken, do hourly employees complain that supervisors
and managers do not follow rules and never are disciplined for infractions?
- Site Conditions and Root Causes of Hazards
• Are hazards occurring because employees, supervisors, and/or managers are not being held
accountable for their safety and health responsibilities?
• Are identified hazards not being corrected because those persons assigned the responsibility are
not being held accountable?
EVALUATION OF CONTRACTOR PROGRAMS
- Documentation
• Are there written policies for onsite contractors?
• Are contractor rates and safety and health programs reviewed before selection?
• Do contracts require the contractor to follow site safety and health rules?
• Are there means for removing a contractor who violates the rules?
- Interviews
• Do employees describe hazardous conditions created by contract employees?
• Are employees comfortable reporting hazards created by contractors?
• Do contract employees feel they are covered by the same, or the same quality, safety and health
program as regular site employees.
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Site Conditions and Root Causes of Hazards
• Do areas where contractors are working appear to be in the same condition as areas where
regular site employees are working? Better? Worse?
• Does the working relationship between site and contract employees appear cordial?
2. Assessing the Key Components of Worksite Analysis
COMPREHENSIVE SURVEYS, CHANGE ANALYSIS, ROUTINE HAZARD ANALYSIS
- Documentation
• Are there documents that provide comprehensive analysis of all potential safety and health
hazards of the worksite?
• Are there documents that provide both the analysis of potential safety and health hazards for
each new facility, equipment, material, or process and the means for eliminating or controlling
such hazards?
• Does documentation exist of the step-by-step analysis of the hazards in each part of each job, so
that you can clearly discern the evolution of decisions on safe work procedures?
• If complicated processes exist, with a potential for catastrophic impact from an accident but low
probability of such accident (as in nuclear power or chemical production), are there documents
analyzing the potential hazards in each part of the processes and the means to prevent or control
them?
• If there are processes with a potential for catastrophic impact from an accident but low
probability of an accident, have analyses such as "fault tree" or "what if?" been documented to
ensure enough back-up systems for worker protection in the event of multiple control failure?
- Interviews
• Do employees complain that new facilities, equipment, materials, or processes are hazardous?
• Do any employees say they have been involved in job safety analysis or process review and are
satisfied with the results?
• Does the safety and health staff indicate ignorance of existing or potential hazards at the
worksite?
• Does the occupational nurse/doctor or other health care provider understand the potential
occupational diseases and health effects in this worksite?
- Site Conditions and Root Causes of Hazards
• Have hazards appeared where no one in management realized there was potential for their
development?
• Where workers have faithfully followed job procedures, have accidents or near-misses occurred
because of hidden hazards?
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• Have hazards been discovered in the design of new facilities, equipment, materials, and processes
after use has begun?
• Have accidents or near-misses occurred when two or more failures in the hazard control system
occurred at the same time, surprising everyone?
REGULAR SITE SAFETY AND HEALTH INSPECTIONS
- Documentation
• If inspection reports are written, do they show that inspections are done on a regular basis?
• Do the hazards found indicate good ability to recognize those hazards typical of this industry?
• Are hazards found during inspections tracked to complete correction?
• What is the relationship between hazards uncovered during inspections and those implicated in
injuries or illness?
- Interviews
• Do employees indicate that they see inspections being conducted, and that these inspections
appear thorough?
- Site Conditions and Root Causes of Hazards
• Are the hazards discovered during accident investigations ones that should have been recognized
and corrected by the regular inspection process?
EMPLOYEE REPORTS OF HAZARDS
- Documentation
• Is the system for written reports being used frequently?
• Are valid hazards that have been reported by employees tracked to complete correction?
• Are the responses timely and adequate?
- Interviews
• Do employees know whom to contact and what to do if they see something they believe to be
hazardous to themselves or coworkers?
• Do employees think that responses to their reports of hazards are timely and adequate?
• Do employees say that sometimes when they report a hazard, they hear nothing further about it?
• Do any employees say that they or other workers are being harassed, officially or otherwise, for
reporting hazards?
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- Site Conditions and Root Causes of Hazards
• Are hazards ever found where employees could reasonably be expected to have previously
recognized and reported them?
• When hazards are found, is there evidence that employees had complained repeatedly but to no
avail?
ACCIDENT AND NEAR-MISS INVESTIGATIONS
- Documentation
• Do accident investigation reports show a thorough analysis of causes, rather than a tendency
automatically to blame the injured employee?
• Are near-misses (property damage or close calls) investigated using the same techniques as
accident investigations?
• Are hazards that are identified as contributing to accidents or near-misses tracked to correction?
- Interviews
• Do employees understand and accept the results of accident and near-miss investigations?
• Do employees mention a tendency on management's part to blame the injured employee?
• Do employees believe that all hazards contributing to accidents are corrected or controlled?
- Site Conditions and Root Causes of Hazards
• Are accidents sometimes caused at least partly by factors that might also have contributed to
previous near-misses that were not investigated or accidents that were too superficially
investigated?
INJURY AND ILLNESS PATTERN ANALYSIS
- Documentation
• In addition to the required OSHA log, are careful records kept of first aid injuries and/or illnesses
that might not immediately appear to be work-related?
• Is there any periodic, written analysis of the patterns of near-misses, injuries, and/or illnesses over
time, seeking previously unrecognized connections between them that indicate unrecognized
hazards needing correction or control?
• Looking at the OSHA 200 log and, where applicable, first aid logs, are there patterns of illness or
injury that should have been analyzed for previously undetected hazards?
• If there is an occupational nurse/doctor on the worksite, or if employees suffering from ordinary
illness are encouraged to see a nearby health care provider, are the lists of those visits analyzed for
clusters of illness that might be work-related?
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- Interviews
• Do employees mention illnesses or injuries that seem work-related to them but that have not been
analyzed for previously undetected hazards?
- Site Conditions and Root Causes of Hazards (Not generally applicable.)
3. Assessing the Key Components of Hazard Prevention and Control
APPROPRIATE USE OF ENGINEERING CONTROLS, WORK PRACTICES, PERSONAL
PROTECTIVE EQUIPMENT, AND ADMINISTRATIVE CONTROLS
- Documentation
• If there are documented comprehensive surveys, are they accompanied by a plan for systematic
prevention or control of hazards found?
• If there is a written plan, does it show that the best method of hazard protection was chosen?
• Are there written safe work procedures?
• If respirators are used, is there a written respirator program?
- Interviews
• Do employees say they have been trained in and have ready access to reliable, safe work
procedures?
• Do employees say they have difficulty accomplishing their work because of unwieldy controls
meant to protect them?
• Do employees ever mention personal protective equipment, work procedures, or engineering
controls as interfering with their ability to work safely?
• Do employees who use PPE understand why they use it and how to maintain it?
• Do employees who use PPE indicate that the rules for PPE use are consistently and fairly enforced?
• Do employees indicate that safe work procedures are fairly and consistently enforced?
- Site Conditions and Root Causes of Hazards
• Are controls meant to protect workers actually putting them at risk or not providing enough
protection?
• Are employees engaging in unsafe practices or creating unsafe conditions because rules and work
practices are not fairly and consistently enforced?
• Are employees in areas designated for PPE wearing it properly, with no exceptions?
• Are hazards that could feasibly be controlled through improved design being inadequately
controlled by other means?
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FACILITY AND EQUIPMENT PREVENTIVE MAINTENANCE
- Documentation
• Is there a preventive maintenance schedule that provides for timely maintenance of the facilities
and equipment?
• Is there a written or computerized record of performed maintenance that shows the schedule has
been followed?
• Do maintenance request records show a pattern of certain facilities or equipment needing repair or
breaking down before maintenance was scheduled or actually performed?
• Do any accident/incident investigations list facility or equipment breakdown as a major cause?
- Interviews
• Do employees mention difficulty with improperly functioning equipment or facilities in poor
repair?
• Do maintenance employees believe that the preventive maintenance system is working well?
• Do employees believe that hazard controls needing maintenance are properly cared for?
- Site Conditions and Root Causes of Hazards
• Is poor maintenance a frequent source of hazards?
• Are hazard controls in good working order?
• Does equipment appear to be in good working order?
ESTABLISHING A MEDICAL PROGRAM
- Documentation
• Are good, clear records kept of medical testing and assistance?
- Interviews
• Do employees say that test results were explained to them?
• Do employees feel that more first aid or CPR-trained personnel should be available?
• Are employees satisfied with the medical arrangements provided at the site or elsewhere?
• Does the occupational health care provider understand the potential hazards of the worksite, so
that occupational illness symptoms can be recognized?
- Site Conditions and Root Causes of Hazards
• Have further injuries or worsening of injuries occurred because proper medical assistance
(including trained first aid and CPR providers) was not readily available?
• Have occupational illnesses possibly gone undetected because no one with occupational health
specialty training reviewed employee symptoms as part of the medical program?
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EMERGENCY PLANNING AND PREPARATION
- Documentation
• Are there clearly written procedures for every likely emergency, with clear evacuation routes,
assembly points, and emergency telephone numbers?
- Interviews
• When asked about any kind of likely emergency, can employees tell you exactly what they are
supposed to do and where they are supposed to go?
- Site Conditions and Root Causes of Hazards
• Have hazards occurred during actual or simulated emergencies due to confusion about what to do?
• In larger worksites, are emergency evacuation routes clearly marked?
• Are emergency telephone numbers and fire alarms in prominent, easy to find locations?
4. Assessing the Key Components of Safety and Health Training
ENSURING THAT ALL EMPLOYEES UNDERSTAND HAZARDS
- Documentation
• Does the written training program include complete training for every employee in emergency
procedures and in all potential hazards to which employees may be exposed?
• Do training records show that every employee received the planned training?
• Do the written evaluations of training indicate that the training was successful, and that the
employees learned what was intended?
- Interviews
• Can employees tell you what hazards they are exposed to, why those hazards are a threat, and how
they can help protect themselves and others?
• If PPE is used, can employees explain why they use it and how to use and maintain it properly?
• Do employees feel that health and safety training is adequate?
- Site Conditions and Root Causes of Hazards
• Have employees been hurt or made ill by hazards of which they were completely unaware, or
whose dangers they did not understand, or from which they did not know how to protect
themselves?
• Have employees or rescue workers ever been endangered by employees not knowing what to do or
where to go in a given emergency situation?
• Are there hazards in the workplace that exist, at least in part, because one or more employees have
not received adequate hazard control training?
• Are there any instances of employees not wearing required PPE properly because they have not
received proper training? Or because they don't want to and the requirement is not enforced?
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ENSURING THAT SUPERVISORS UNDERSTAND THEIR RESPONSIBILITIES
- Documentation
• Do training records indicate that all supervisors have been trained in their responsibilities to
analyze work under their supervision for unrecognized hazards, to maintain physical protections,
and to reinforce employee training through performance feedback and, where necessary,
enforcement of safe work procedures and safety and health rules?
- Interviews
• Are supervisors aware of their responsibilities?
• Do employees confirm that supervisors are carrying out these duties?
- Site Conditions and Root Causes
• Has a supervisor's lack of understanding of safety and health responsibilities played a part in
creating hazardous activities or conditions?
ENSURING THAT MANAGERS UNDERSTAND THEIR SAFETY AND HEALTH
RESPONSIBILITIES
- Documentation
• Do training plans for managers include training in safety and health responsibilities?
• Do records indicate that all line managers have received this training?
- Interviews
• Do employees indicate that managers know and carry out their safety and health responsibilities?
- Site Conditions and Root Causes of Hazards
• Has an incomplete or inaccurate understanding by management of its safety and health
responsibilities played a part in the creation of hazardous activities or conditions?
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CONCLUSION
The key to a successful and efficient evaluation is to combine elements when using each
technique. First review the documentation available relating to each element. Then walk
through the worksite to observe how effectively what is on paper appears to be implemented.
While walking around, interview employees to verify that what you read and what you saw
reflects the state of the safety and health program.
Effective safety and health program evaluation is a dynamic process. If you see or hear about
aspects of the program not covered in your document review, ask to receive the documents, if
any, relating to these aspects. If the documents included program elements not visible during
your walk around the site and/or not known to employees, probe further. Utilizing this crosschecking technique should result in an effective, comprehensive evaluation of the worksite's
safety and health program.
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