Behavior Based Safety

Gary Peacock
Safety Consultant
Ohio BWC
Objectives
The benefits of behavior-based systems.
The basic principles of how to motivate
safe behavior.
A companys readiness for behavior-based
safety.
Compare and contrast the different
behavior-based systems on the market
today.
Why Safety Programs Do Not
Work:

Safety is a priority, not a value!
Safety is not managed in the
same manner as production,
quality, and cost issues!
Safety is not driven through
continuous improvement!


Fallacies or Realities in
Safety Fables?
Conditions cause accidents!
Enforcing rules improves safety!
Safety professionals can keep workers
safe!
Low accident rates indicate safety
programs are working well!
Investigating to find the root cause of
accidents will improve safety!
Awareness training improves safety!
Rewards improve safety!
Core Elements in Successful
Safety Programs
A culture that says safety is
important around here!
A tight accountability system!
An excellent tool for collecting data on the quality
of a companys safety management system
A scientific way to understand why people behave
the way they do when it comes to safety
Properly applied, an effective next step towards
creating a truly pro-active safety culture where
loss prevention is a core value
Conceptually easy to understand but often hard to
implement and sustain
Behavior Based Safety: What Is It?

Only about observation and feedback
Concerned only about the behaviors of line employees
A substitution for traditional risk management techniques
About cheating & manipulating people & aversive control
A focus on incident rates without a focus on behavior
A process that does not need employee involvement
Behavior Based Safety: What It Is Not!
Obstacles To Success:
Poorly Maintained Facilities
Top-down Management Practices
Poor Planning/Execution
Inadequate Training
Keys to Success:
Meaningful Employee
Empowerment
Designing a Well Planned and
Supported BBS Process
Managing BBS Process with
Integrity


Turn & Talk
What kinds of injuries
and accidents are
common at your
workplace?
What percentage of these accidents
are a result of:
Unsafe conditions, OSHA violations,
dangerous equipment? _____%
Unsafe actions, at-risk behaviors, poor
decisions? _____%
What percentage of these accidents
are a result of:
Unsafe conditions, OSHA violations,
dangerous equipment? 6%
Unsafe actions, at-risk behaviors, poor
decisions? 94%

Therefore, compliance is
necessary but not sufficient for
great safety.

Safety is about people, and
behavior is the challenge.

Traditional Safety
Fewer
Accidents
Safety
Training
Policies
Slogans
Safety
Meetings
Contests
&
Awards
Committees
& Councils
R
e
p
r
i
m
a
n
d
s
R
e
g
u
l
a
t
i
o
n
s
Behavior Based Safety
Safety
Activities
Fewer at-risk
Behaviors
Fewer
Accidents
What Behavior-based is...
Safe People vs
Safe Places
Injuries Equal
Management Errors
Behavior
Management
Measure Behaviors
vs Results
Observation &
Feedback
Positive
Reinforcement
Organizational Performance Model
Great
Performance
Systems
Behaviors
Climate
Systems
Accountability

Communication

Decision Making

Measurement
Orientation

Training

Employment

Auditing
Behaviors
Honesty and
Integrity

Ask for help
without taking
responsibility

Recognition

Observation
and feedback

Trust

Listen with
empathy
Climate Variables
Confidence/trust
Interest in people
Understanding
problems
Training/helping
Teaching to solve
problems
Much information
Approachability
Recognition
- Rensis Likert
Turn & Talk
What is the primary
purpose of a
supervisor?
What is the most
effective way to
motivate people?


Activators (what needs to be done)
Competencies (how it needs to be done)
Consequences (what happens if it is done)

Human Behavior is a function of :
Human behavior is both:

Observable

Measurable
therefore
Behavior can be managed !
Attitudes


Are inside a persons head -
therefore they are not
observable or measurable

Attitudes can be changed by
changing behaviors

however
ABC Model
Antecedents
(trigger behavior)

Behavior
(human performance)

Consequences
(either reinforce or punish behavior)

Definitions:
Activators: A person, place,
thing or event that happens
before a behavior takes place
that encourages you to
perform that behavior.

Activators only set the stage
for behavior or performance -
they dont control it.
Some examples of activators


Behavior: Any directly measurable
thing that a person does, including
speaking, acting, and performing
physical functions.


Definitions:
Some examples of behavior:
Definitions:
Consequences: Events that follow
behaviors.
Consequences increase or decrease the
probability that the behaviors will occur
again in the future.
Oh please let it be Bob!
If you dont send in that
payment well take you to
court
Behavioral Model
B = f (c)
Antecedents
Behaviors
Consequences
Some example of Consequences:
Consequences - How would you view
them?
Sunbathing
Aggressive Drivers

Positive Reinforcement (R+)
("Do this & you'll be rewarded")

Negative Reinforcement (R-)
("Do this or else you'll be penalized")

Punishment (P)
("If you do this, you'll be penalized")

Extinction (E)
("Ignore it and it'll go away")
Only 4 Types of Consequences:
Behavior
Consequences Influence
Behaviors Based Upon
Individual Perceptions of:
Timing - immediate or future

Consistency - certain or uncertain
Significance - positive
or negative

{
Magnitude - large or
small
I mpact - personal or
other
Consequences need to be ...
Soon vs Delayed
Certain
vs
Uncertain
Positive vs Negative
Personal
vs
Organizational
Both Positive (R+) &
Negative (R-) Reinforcement
Can Increase Behavior
R+ : any consequence that follows a behavior
and increases the probability that the behavior
will occur more often in the future - You get
something you want

R- : a consequence that strengthens any
behavior that reduces or terminates the
behavior - You escape or avoid something you
dont want

39
Good safety
suggestion Joe! Keep
bringing em up!
R+
R-
One more report like
this and youre outa
here!!
40
P
e
r
f
o
r
m
a
n
c
e

Time
R+
The effects of positive
reinforcement
41
P
e
r
f
o
r
m
a
n
c
e

Time
P
The effects of
punishment
Why is one sign often ignored, the other
one often followed?

To create conditions that encourage
people to collaborate because they want
to

not because they have to
Lets do
it!!
The Behavior Based Safety Challenge:
Performance
Motivation
Motivation Model
Ability
Performance
Motivation
Selection -
Can they do it
Training -
Do they know
how
Motivation Model
Ability
Performance
Motivation
Job Climate -
Boss & Peer relationships,
Work environment
Selection -
Can they do it
Training -
Do they know
how
Motivation Model
Ability
The Job Itself -
Any fun, challenge
Performance
Motivation
Job Motivational
Factors
Achievement, Promotion,
Recognition, Responsibility
Job Climate -
Boss & Peer relationships,
Work environment
Selection -
Can they do it
Training -
Do they know
how
Motivation Model
Ability
The Job Itself -
Any fun, challenge
Performance
Motivation
Union -
Norms,
Pressures
Peer Groups -
Norms, Pressures
Job Motivational
Factors
Achievement, Promotion,
Recognition, Responsibility
Job Climate -
Boss & Peer relationships,
Work environment
Selection -
Can they do it
Training -
Do they know
how
Motivation Model
Ability
Accident Causation
DOTS Model

Logical
decision in
his/her
situation
Workstatn
design
Incompble
displays/
Controls or job
design
Capacity with
Load in a
State
Decision to err
Traps
Overload or
mismatch
Human
Error
Acc or
incidt
Injury
or
loss
Systems
Failure
Causation
Model
D O T S
Perceived low
probability
Peer pressure
Measures of the boss
Perceived priorities
of mgt

Of the incident
occurring

Of a loss resulting
Logical
decision
in his/her
situation
Perceived
low
probability
Decision
to Err
S
Causation Model
D
O T S
Natural endowment
Physical capability
Knowledge skill
Drugs / alcohol
Information
processing
Environment
Worry / stress
Fatigue
LCUs
Capacity


with


Load


in a


State
Overload
or a
Mismatch
Causation Model
D O T S
Size, force,
feel, repetition
reach
Stereotypes,
Human capabilities,
Expectations,
Inconsistencies
Workstation or
Job design
Incompatible
displays or
controls
Traps
Causation Model
D O T S
Lack of Policy / Guidelines / Practices
Poorly defined responsibility
No authority to act
Little accountability or measurement
No analysis of incidents
No orientation of new / transferred staff
Lack of clear SOPs / Standards
Systems Causes
Causation Model
D O T S

Traps
Overload or
mismatch
Human
Error
Acc or
incidt
Injury
or
loss
Systems
Failure
Decision to
Err
Causation Model
D O T S
Benefits
of
Behavior-based Approaches
Average Reduction
of Injury Frequency
Implementation of BBS
After 1 year 34%
After 2 years 44%
After 3 years 61%
After 4 years 71%
Safety Intervention Strategies
(By NSC)
Approach # of Studies # of Subjects Reduction %

Behavior Based 7 2,444 59.6%
Ergonomics 3 n/a 51.6%
Engineering Change 4 n/a 29.0%
Problem Solving 1 76 20.0%
Govt Action 2 2 18.3%
Mgt. Audits 4 n/a 17.0%
Stress Management 2 1,300 15.0%
Poster Campaign 2 6,100 14.0%
Personnel Selection 26 19,177 3.7%
Near-miss Reports 2 n/a 0%
Why Implement BBS?
Safety is about people.
Compliance is not sufficient.
Consequences drive behavior.
Motivating
Performance Feedback

Why Implement BBS?
Truly proactive
Broad awareness
Deep Involvement
Proven effective
Transcends workplace safety
Three Essential Questions
What behaviors are being observed?
Why are those behaviors present?
Now What will be done to correct the system
deficiencies?
BBS Features
Strengths / Weaknesses
Peer to peer observation
Supervisory observation
Behavior audit
Snapshot
Software support
Customized behavior inventories
General behavior inventories
Emphasis on skilled coaching and feedback
Roles and Responsibilities
Workers
Observers / Supervisors
Safety Staff
Managers
Safety Involvement Team
Are You Ready
for
Behavior-Based Safety?
Safety Culture Wheel
0
4
8
12
Leadership
Syst ems & Processes
Involvement Organizat ional St yle
Measurement &
Account abilit y
The ESPM Culture Wheel
Rate Each Statement on a Scale from
0 to 3
0= Weakness
1=Some aspects covered
2=Could be improved
3=Strength
Leadership
Leadership commitment to safety is active,
visible, and lively
A clear and inspiring vision has been
established for safe performance
Safety is viewed and treated as a line
management responsibility
Safety is clearly perceived as an
organizational value on the same level
with productivity and quality
Systems & Processes
Supervisors and workers partner to find
and correct systems causes of incidents
Communication systems are abundant,
effective and flow well in all directions
Training systems deliberately and
systematically create competency for the
right people at the right time
Safe operating procedures and policies are
clearly defined and communicated
Involvement
Workers are skilled at problem solving and
decision making
Labor and management work together to
address safety systems issues
Team orientation achieves involvement
and cooperation
Innovation, participation and suggestions
are encouraged at all levels
Organizational Style
Trust and openness are the norm
Positive reinforcement is used regularly
Bureaucratic obstacles are removed
There is formal and informal recognition
for great performance at all levels
Measurement and Accountability
All levels of the organization have safety
goals and process responsibilities clearly
defined
The process of achieving results is a key
safety measure
Performance reviews include
accountability for safe performance at all
levels
Supervision is accountable to perform
safety observations and feedback
How Do You Deal with Safety?
Leader
culture that strongly values & supports EHS
continuous improvement

Follower
compliance minded
view safety as a legal responsibility with little or no value

Gambler
lack knowledge, resources, will to even achieve compliance
manage safety with eyes closed and fingers crossed
How Is Your Organization Managed?
Safety must be in harmony with the way the
organization is managed
Do we want production and safety?
Do we want production with safety?
Do we want safe production?
Goal: Efficient production which maximizes profit

Integrated or artificially introduced program?
How we do business - a state of mind that must become an
integral part of each and every procedure in the company

Behavior Based Safety
Three major sub-systems to deal with:
The physical, the managerial, the behavioral

Identifying critical at-risk behaviors and the systems
that support them

At-Risk Behavior
normal human behavior
people reacting to their environment

Deal with the causes of the at-risk behavior, not the
behavior
change the environment that leads to the at-risk behavior

There is no one right way to achieve safe production in
an organization. For a safety system to be effective
it must fit the organizations culture and it must:
Force supervisory performance
Involve middle management
Have top mgt. visibly showing their
commitment
Have employee participation
Be flexible
Be perceived as positive
Dan Petersen

Are You Ready?
LEADERSHIP
Organization needs to be fundamentally prepared for it
Success = taking on and resolving central organizational issues

Major change initiative for most companies
Change
not easy
often resisted w/ vigor and ingenuity
failed change efforts create skepticism, cynicism and apathy

Whether in production, quality, or safety the ultimate
responsibility rests with leadership.

Are You Ready?
SYSTEMS

Basic systems must be in place:
Safety - AI, hazard recognition, recordkeeping, etc
Management - decision-making, inventory, budgeting, etc
Facilities/Equipment - design, maintenance, etc

If BBS is not integrated as a system it is likely to
burn-out
Are You Ready?
INVOLVEMENT

Engaging and sustaining employee involvement is the
driving mechanism

When employee involvement is not adequately
engaged, BBS becomes just another program

Management involvement is crucial
often subvert implementation by not understanding BBS
principles
Are You Ready?
ORGANIZATIONAL STYLE

Must be functioning at a high level of effectiveness or
be willing to address obstacles to high level
functioning

Effective organizational functioning includes:
Communication
Trust and credibility between management and workers
Respect
Vision
Are You Ready?
MEASUREMENT & ACCOUNTABILITY

What gets measured gets done

Clearly defined roles and responsibilities at every
level
Accountability v Responsibility

Performance v Results

Safety Director - a lot of responsibility, very little
authority
Not everyone is responsible for safety until they are held
accountable
People? Time? Facilities? Outcome?

Perception Survey
100 yes/no opinion oriented questions
Pencil & paper survey
Anonymous responses
All
Maximize size of group
30 min Lunch room
Auditorium
Percent positive response in
21 safety related categories
By location by level
Structured Interviews
Facilitated group discussion
2 safety process questions
Confidential
Focus groups of 10-12
people (25% of pop.)
Representing the whole
organization
Segregate mgmt &
labor
75 min per
group
Private
conference area
with ample room
and table to write
Ranked list of improvement
recommendations

System strengths
System weaknesses
Recommendations
Next steps
EXECUTIVE
SUMMARY
Deliverable
Assessment
Process
Sample
Survey
The Ohio Division ofSafety & Hygiene
PERCEPTION SURVEY
PART 1
A. Enter your work location: B. Enter your shift: _____________
(Example: production, office, etc.)
___________________________
C. Circle your job function: D. Enter years with company: ____
Line worker, supervisor, or manager
___________________________
PART 2
Y N 1. Do you feel you received adequate
job training?
Y N 2. Do supervisors discuss
accidents and injuries with employees
involved?
Y N 3. Is discipline usually assessed when
operating procedures are violated?
Y N 4. Would a safety incentive program
cause you to work more safely?
Y N 5. Do you perceive the major cause of
accidents to be unsafe conditions?
Y N 6. Does your company actively
encourage employees to work safely?
Y N 7. Is safety considered important by
management?
Y N 8. Are supervisors more concerned
about their safety record than about
accident prevention?
Y N 9. Do you think penalties should be
assessed for safety and health violations?
Y N 10. Have you used the safety
involvement teams to get action on a
complaint or hazard which concerned
you?
Y N 11. Is high hazard equipment
inspected more thoroughly than other
equipment?
Y N 12. Is the amount of safety training given
to supervisors adequate?
Y N 13. Have you been asked to perform
any operations which you felt were
unsafe?
Y N 14. Are records kept of potential
hazards found during violations?
Y N 15. Are employees influenced by your
companys efforts to promote safety?
Y N 16. Are employees provided
information on such things as cost,
frequency, type and cause of accidents?
Y N 17. Does your company deal
effectively with problems caused by
alcohol or drug abuse?
Y N 18. Are unscheduled inspections of
operations made?
Y N 19. Is off-the-job safety a part of your
companys safety program?
Y N 20. Does management insist upon
proper medical attention for injured
employees?
Y N 21. Are safe operating procedures
regularly reviewed with employees?
Y N 22. Are you interested in how your
companys safety record compares with
other companies in your industry?
Y N 23. Does your company hire
employees who do not have the
physical ability to safely perform
assigned duties?
Y N 24. Do your co-workers support the
companys safety program?
Y N 25. Do supervisors pay adequate
attention to safety matters?
Y N 26. Is safe work behavior recognized
by supervisors?
Y N 27. Do employees participate in the
development of safe work practices?
0
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Survey Results
Safety Observation Process
Step 1: PLAN where and when to make
observations and recall what to look for
Step 2: OBSERVE worker behavior for
safe and at-risk performance
Step 3: COACH for improved performance
by positively reinforcing or redirecting
Step 4: RECORD what was observed,
why it occurred, and now what will be
done
Step 1: PLAN
Determine a time and place to observe
Review the Observation Memory Jog-R
(Tab 6)
Review Feedback and Coaching Tips
(Tab 7)
Step 2: OBSERVE
Snapshots of behavior
Allow no distractions
Observe people and surroundings
Stop any at-risk behavior immediately
Stop observing after 30 seconds or at-risk
behavior is observed, which ever comes
first
Step 3: COACH
Provide positive reinforcement (R+)
if safe
Coach by shaping behavior
if at-risk
Ignore what you saw
Discipline
Step 4: RECORD
Anonymous, specific, timely
Safe and At-Risk behaviors on Memory
Jog-R
What, Why, Now What
Take Action

Observation Exercises
Continuous Improvement
Data Compilation
Safety Involvement Team
Problem solving
Implement solutions
Successful?
Ohio BWC
BBS Software Demo
OBSERVATION
Reactive Behavior
Personal Protective Equipment
Specific Job Risks
Tools and Equipment
Safe Work Practices
Ergonomics
Reactive Behavior
Adjusting PPE
Changing position / Turning away
Stopping work / Attaching safe guards
Rearranging job
Personal Protective Equipment
Head gear
Eye protection and face shielding
Hearing protection
Respiratory protection
Arm and hand covering
Foot and leg protection
Specific Job Risks
Strike against or caught
Line of fire
Fall, slip hazard
Contact hot, chemical or electric
Inhale or swallow hazardous substance
Tools and Equipment
Wrong for the job
Used incorrectly
In need of repair or maintenance
Clutter & poor housekeeping
Safe Work Practices
Not defined
Not known or understood
Ignored or done poorly
Not compatible with task
Ergonomics
Forceful exertions
Awkward postures
High repetition
Long duration w/o rest
Coaching and Feedback
for the skilled observer
Positive Reinforcement
Give praise
Explain why this behavior is right and/or
safe
Encourage continued behavior
Shaping Behavior
Communicate the behavior you saw
Check for understanding of the job
Coach for improved performance
Contract for safe behavior
Coaching Tips
Use I vs. You language
Appeal to others interests and goals
Reflect feelings or emotions that go
beyond the words
Set limits to clarify expectations
Talk about the behavior, not the person

Coaching Tips Continued
Keep calm
Dont personalize emotion of others
Move to problem solving
Focus on interests rather than position
Find common ground