Sustain

Reaching That Higher Level of

Safety Program Maturity

Presented by:

Paul Esposito, CIH, CSP

President, STAR Consultants

Paul.esposito@starconsultants.net

Presented at:

ASSE - Denver - 2014

2

STAR> Overview

STAR has been in business since 1997

Safety Through Accountability and Recognition

STAR specialized is

Culture

Management Systems

Risk Assessments

Leading Metric sand

Strategic Planning

HSE Coaching

Paul Esposito is a CIH and CSP, with over 34 years of

experience.

During 2007-2012, Mr. Esposito had been a VP with ESIS, a

global leader in HSE Consulting worldwide, leading their

Management Systems and Assessments Practice..

3

Copyright

Copyright and Use Restrictions

This presentation (materials) is copyrighted by Paul A. Esposito and

STAR, exclusion of the Attachments. Other than the exceptions listed

below, no part of these materials may be reproduced, stored in a

retrieval system, or transmitted in any form or by any means without

prior consent of the copyright holder. Students may reproduce the

material for internal, non-commercial purposes. Unauthorized copying

of the presentation, or any use of the material through modification,

merging, or inclusion with other printed material as a commercial

product to be resold is prohibited. Any internal use must acknowledge

the origin of the document and the STAR and Paul A. Esposito

copyright.

License granted to ASSE for reproduction.

4

Objectives

1 - Understanding the five levels of safety

program maturity

2 - Understanding and learning new

methodologies on how to drive sustainability

into your safety program elements

3 - Understanding how to identify and use

leading indicators and metrics, employee

engagement and integration to drive safety

throughout your organization.

4 - Develop a leading scorecard for safety

5

Safety Program Maturity

Historically, safety began as a means of

controlling Risk!

Lloyd’s of London

Experience, Standards, Guidelines, etc.

As cultures and societies advanced

Expanded past property to

Personnel, community and other resources and

stakeholders

6

Frank Bird Jr.

Founder International Loss Control Institute

(ILCI)

Helped Create the

International Safety Rating System (ISRS)

20 Elements

Audit scoring 0 – 100%

“Safety Management is the Management of Safety”

7

DuPont - Bradley

8

Focuses on

“stopping the

bleeding”

Wait for

“lessons

learned”

Focus on

“Blame”

Led by Safety

Focus on meeting

compliance

requirements

Developing Programs,

policy, strategy and

resources

Individual

Accountability

Safety as a Priority

Supervisor is “Key

Person”

Training is the

Answer

Safety Committee

Systematize

Programs into

Processes

Institutionalize

Data Collection

Accountability at

Line Management

to Leading

Metrics

Risk-based focus

Employee

Involvement

Individual

Recognition

Injury Avoidance

/ Prevention

Management

Commitment

Employee

Engagement

Behavior Based –

Active Caring

Communication

Safety as a Value

Organization and

Resources

Limiting error

effects

Risk Based

Metrics

Risk Avoidance is

the Goal

Wellness at Home

and at Work

Integrate Safety

into day-to-day

business operations

Continuous

Improvement

Safety as a

Business Value

Organizational

Accountability

2-Compliance

(Proactive)

1-Compliance

(Reactive)

3-Management

Systems Focus

5-Sustainability

4-Culture and Human

Performance

Today’s Thinking = 5 Levels

Key

Metri

cs:

Incidence rates Exposures (Hazardous

conditions)

Systems

Risks

Recognitions

Culture

Behavior

Engagement

Values

Stakeholders

9

Compliance (Level 1 and 2)

Reactive

Wait for things to happenIncidents

Citations

Goals

Objectives

Improvement initiatives

Investigations blame employees

Counsel and re-train

Accountability without authority

A safety department responsibility

Proactive

Are we in compliance

audits

Do we stay in compliance

Inspections

Investigations update

procedures

Resource fixes

Focus on “0” accidents

Compliance

(Proactive)

Compliance

(Reactive)

Management

Systems Focus

Sustainability

Culture and Human

Performance

10

Management Systems (Level 3)> Deming Learning:

Dr. W Edwards Deming’s quality principles (Plan-

Do-Check-Act),

Measuring and testing to predict typical results. Inputs + Process + Outputs

• By inspecting the inputs and the process more, the outputs

can be better predicted, and inspected less.

Rather than use mass inspection

• Look for cause-effect relationship (basis for root cause

determination)

• i.e., Which processes could improve to better control

variance or deviations?

Answers “Why? and How?”, not just “What?” 10

Compliance

(Proactive)

Compliance

(Reactive)

Management

Systems Focus

Sustainability

Culture and Human

Performance

11

Plan – Do – Check – Act (Level 3)

Where is Behavior Observation in this

hierarchy?

Plan?

Do?

Check?

Act?

12

Plan – Do – Check – Act (Level 3)

Where is Behavior Observation in this

hierarchy?

Plan?

Do?

Check?

Act?

The “Value” of

Behavior

Observations is in

its ability to

influence the other

Elements of a

Management

System

13

Process and Systems (Level 3)Plan

Hazard and risk analysis, risk reduction targets

Focus on substitution, engineering and elimination

control selection

S&H accountability at the department Level

DoWritten procedures, train, employee consultation and

Involvement, control verification

Recognition

Check Inspect (and observe), investigate to root cause,

track, analyze trends (not just injury and illness)

ActRecognized as a management function, fully invested

14

Culture (Level 4)

Management Commitment

Leadership and Motivation

Resources

Employee Engagement

Maturing past involvement

Communication

Closed loop, three way, top down and bottom up

Organization

Authority, responsibility and accountability match

Each part of the organization plays a role in EHS

Compliance

(Proactive)

Compliance

(Reactive)

Management

Systems Focus

Sustainability

Culture and Human

Performance

15

Measuring Safety Performance: > Paradigm Shift

Actions

Actions are measurable

and become KPIs

Recognition tied to

Performance

Program (System)

Improvements become

Targets, not just “0”.

Integrated with LSS

efforts

Outcomes

Risk Reduction to

influence incident

reduction

Control emphasis more

engineering, substitution

and elimination

Less at-risk Behaviors

Improved conformance to

critical risk controls

Employee Engagement

and Recognition

Management Accountability to Both Actions and Outcomes

16

Sustainability (Level 5)

Risk Avoidance

Wellness

Balanced Metrics

Sense of Community

Continuous improvements

Organizational Accountability

Safety Integrated into Business

Compliance

(Proactive)

Compliance

(Reactive)

Management

Systems Focus

Sustainability

Culture and Human

Performance

17

Key Metrics = Validation

Incidence Rates

Exposures and Hazardous Conditions

Systems, Risks, Recognitions

Culture, Behavior, Engagement

Values, Stakeholders

Key

Metri

cs:

Incidence rates Exposures (Hazardous

conditions)

Systems

Risks

Recognitions

Culture

Behavior

Engagement

Values

Stakeholders

18

Maturity Path Exercise

Using the attached Maturity Path Form

Complete Levels 1 and 2, then let’s compare

notes

Complete the Level 1 and 2 Verification Metrics,

let’s compare

19

Level 1 and 2 Metrics

Level 1 Level 2

Injury rates are

measured.

Personal Protective Equipment (PPE)

required locations are inventoried and

PPE is assigned. PPE use is measured.

Illness rates are

measured.

The inspection program measures repeat

findings.

Training attendance is measured.

Significant Hazards are inventoried

Incidence and LT Rates approach

industry average.

20

Level 3 Metrics

Management Systems assessments score each element or safety

program. Scores help determine improvement initiatives.

Closure rates for Management Systems improvement action

plans are measured.

The number of employee recognitions are measured.

Risk Reductions are measured.

The number of new engineering, substitution or elimination action

plans are measured.

The "reduction of people required to wear PPE" is measured as

an output of risk reduction.

Incidence and LT Rates are below industry average.

21

Level 4 Metrics

Perception surveys measure employee satisfaction and

management commitment.

Conformance rates for safe vs. at risk behaviors are

measured.

Training is verified through exams. Exams measure

learning.

Team recognitions are measured.

Closure rates for all safety action plans are measured by

department.

Incidence and LT Rates are approaching 1.0.

22

Level 5 Metrics

Risk improvement strategies are measured.

Values are measured.

Customer / stakeholder satisfaction is measured.

Incidence and LT Rates are consistently below

1.0.

23

How to Eat an Elephant?

24

Paradigm Shift

Consider “Risk Reduction” vs. “0” Injuries

25

Risk Avoidance: Hierarchy of

Controls

Most

Effective

Protective

Measure

Examples

Elimination or

Substitution

• Eliminate human interaction

• Eliminate pinch points (increase clearance)

• Automated materials handling (robots, conveyors,

etc.)

• Replace with less toxic compound

• Replace/eliminate a reaction step, etc.

Engineering

Controls

• Re-Design

• Tools

• Barriers

• Interlocks

• Presence sensing devices (light curtains, safety

mats, etc.)

• Two hand controls, etc.

Least

Effective

26

ProtectiveMeasure Examples

Administrative

Training, Procedures, and

Awareness Means

• Safe work procedures

• Safety inspections

• Training

• Lights, beacons, and strobes

• Computer warnings

• Worker rotation

• Signs and Labels

• Beepers, horns and sirens, etc.

Personal Protective

Equipment (PPE)

• Ear plugs, gloves, respirators,

• Safety Glasses, face shields, etc.

Risk Avoidance: Hierarchy of

Controls

Most

Effective

Least

Effective

27

Strategic Goals and Objectives

Hazard Analysis

Inspection

Investigation

Ownership

Accountability

RecognitionBehavior

Culture

Systems

Risk

Reduction

Critical To Safety

(CTS)

28

Hazard Analysis/Risk Assessment

29

Inspections

30

Inspection Metrics

31

Investigations

32

Investigation Metrics

33

Accountability

34

Accountability

Hold everyone, especially line-management,

accountable for meeting responsibilities

Accept ultimate responsibility for S&H at the

facility

Apply to all levels of staff to be effective

Sustain credibility with consistent

expectations

Source: [TED 8.4 CPTR III, II.C.2.a; Appendix E,

Section I.D; Appendix F 4.2.3].

35

Motivation

Workers

Involvement

Ownership

Respect

Feedback

Recognition

Positive/negative

4 (10)/1

Skills training

Managers

Achieving

goals/accountability

Bonus

Advancement /

promotions

Skills training

36

Actual Target

ESH Rew ards & Recognitions 50 30

Awarded

Who w as Recognized for w hat? (Describe below or attach copy):

Media Used to Deliver:Date Delivered:

ESH PM Report Topics

Suggested Starting Point:

Leading Metrics

Set Targets, Use Multiple Metrics, Achieve and

Reward Greens

ESH PM Report Topics

Actual Target Actual Target Actual Target Actual Target

Current Program Risk Assessment

Changes to Controls0 20 0 5 5% 30% 20% 15%

Monthly Safety Review - Incidents 0 10 10 5 5% 10% 10% 30%

Monthly Inspections/Discrepancies

high risk control conformance20 10 5 20 85% 90% 93% 95%

Monthly Observations (Optional)

conformance or % safe operations50 10 20 0 95% 90% 93% 95%

Communication by Supervisors

(ESH ToolBox)10 20 5 10 5% 30%

ESH Action Plan Status 5 20 5% 0%

# of Events # of Changes

Identified/Needed

Closure Rate

(From Date Closed)

Effectiveness

(Control Type or

conformance)

36

If only one metric

37

Recognition

38

“Eliminate slogans, exhortations, targets for the work force asking for zero.”

- W. Edwards Deming, Point 10/14

Today’s Situation

Currently, many accountability and

recognition programs measure and reward

incidence rates, i.e., achieving “0”

accidents

39

Recognition

Why focus on “0” accidents for recognition is

not recommended?

Drives underreporting and lack of learning

One of the worst communicated goals of all time

Provide a safe and healthful workplace …

emphasizing (measuring and rewarding risk reduction

and continuous improvement of safety programs)

40

Recognition

Why implement a recognition program?

Incentive to do work safety

Awareness to do the right thing

Positive participation

Doing the right thing

… change “incentive” to

“recognition”

41

Recognition Programs

Tied to proactive involvement

Hazard Identification, Inspections, Incident Analysis,

Suggestions

Tied to achieving commitments (objectives)

“Safe” Conformance rates

– Especially critical to safety (CTS)

Action Plan Volume and Closure

Engineering, substitution and elimination

Based on both the individual and team

Threshold based

Minimize reliance on incidence rates

42

Objectives

√ 1 - Understanding the five levels of safety

program maturity

√ 2 - Understanding and learning new

methodologies on how to drive sustainability

into your safety program elements

√ 3 - Understanding how to identify and use

leading indicators and metrics, employee

engagement and integration to drive safety

throughout your organization.

√ 4 - Develop a leading scorecard for safety

Risk Reduction Metrics

43

ReferencesMaturity

http://www.dupont.com/products-and-services/consulting-services-process-

technologies/operation-risk-management-consulting/uses-and-

applications/bradley-curve.html

http://www.topves.nl/helpful-things-for-safety.html

Culture“Analyzing Safety System Effectiveness” Dan Petersen. Van Nostrand Reinhold, Third

Edition, 1996.

Esposito, P. “Evaluating Management Systems – A Different Kind of Thinking”.

Industrial Safety and Hygiene News, September 2001.

Incentives http://ehstoday.com/safety/incentives/osha-incentive-underreporting-injuries/

MetricsEsposito, P. “Selling Safety to Management Using Metrics”, June 2002, Industrial

Hygiene and Safety News.

Dan Petersen “The Safety Scorecard: Occupational Hazards Magazine, May 2001.

American Industrial Hygiene Association "Industrial Hygiene Performance Measure

Handbook", published in May 2001.

Occupational Risk Assessment Strategies: Presented by Paul Esposito at ASSE

National Conferences and Seminarfest.

Human error: INPO: http://www.inpo.info/