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 behaviorbased 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!

Behavior Based Safety: What Is It?

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 It Is Not!

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

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

R
e
p
r
i
m
a
n
d
s

Safety
Training

Policies

Slogans

Fewer
Accidents

Safety
Meetings

Contests
&
Awards

Committees
& Councils

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
Behavior
Management
Observation &
Feedback

Injuries Equal
Management Errors
Measure Behaviors
vs Results
Positive
Reinforcement

Organizational Performance
Model
Systems

Behaviors
Great
Performance

Climate

Systems
Accountability

Orientation

Communication

Training

Decision Making

Employment

Measurement

Auditing

Behaviors
Honesty

Integrity

and

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?

Human Behavior is a function of :

Activators (what needs to be done )

Competencies (how it needs to be done)

Consequences (what happens if it is done)

Human behavior is both:

Observable

Measurable
therefore

Behavior can be managed !

Attitudes
Are inside a persons head

-therefore they are not

observable or measurable
however

Attitudes can be changed

by changing behaviors

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

Some examples of activators

Definitions:

Behavior: Any directly measurable

thing that a person does, including
speaking, acting, and performing
physical functions.

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
Antecedents
Behaviors
Consequences

B = f (c)

Some example of Consequences:

Consequences - How would you view

them?

Sunbathing

Aggressive Drivers

Only 4 Types of
Consequences:
Positive Reinforcement (R+)
("Do this & you'll be rewarded")

Negative

Behavior

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")

Consequences Influence
Behaviors Based Upon
Individual Perceptions of:

Significance - positive
or negative

Magnitude - large or
small

Impact -

personal or

other

Timing - immediate or future

Consistency - certain or uncertain

Consequences need to be ...

Soon vs Delayed

Certain

Personal

vs
Uncertain

vs
Organizational

Positive vs Negative

Both Positive (R+) &

Negative (R-)
Reinforcement Can
Behavior
R+ Increase
: 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

R+

Good safety
suggestion Joe!
Keep bringing
em up!

One more report

like this and youre
outa here!!

R39

P
e
r
f
o
r
m
a
n
c
e

R+

The effects of positive

reinforcement

Time

40

P
e
r
f
o
r
m
a
n
c
e

P
The effects of
punishment

Time

41

Why is one sign often ignored, the other

one often followed?

The Behavior Based Safety Challenge:

To create conditions that encourage
people to collaborate because they want
Lets do
to
it!!

not because they have to

Motivation Model

Ability

Motivation

Performance

Motivation Model
Selection Can they do it

Training Do they know

how

Ability

Motivation

Performance

Motivation Model
Selection Can they do it

Job Climate -

Training -

Boss & Peer relationships,

Work environment

Do they know
how

Ability

Motivation

Performance

Motivation Model
Selection Can they do it

Job Climate -

Training -

Boss & Peer relationships,

Work environment

Do they know
how

Ability
The Job Itself Any fun, challenge

Job Motivational
Factors
Achievement, Promotion,
Recognition, Responsibility

Motivation

Performance

Motivation Model
Selection Can they do it

Job Climate -

Training -

Boss & Peer relationships,

Work environment

Do they know
how

Ability
The Job Itself Any fun, challenge

Job Motivational
Factors
Achievement, Promotion,
Recognition, Responsibility

Motivation

Peer Groups Norms, Pressures

Union Norms,
Pressures

Performance

Accident Causation
DOTS Model

D O T S
Logical
decision in
his/her
situation

Causation
Model

Decision to err

Perceived low
probability
Capacity with
Load in a
State
Incompble
displays/
Controls or job
design
Workstatn
design

Overload or
mismatch

Traps

Human
Error

Acc or
incidt

Systems
Failure

Injury
or
loss

D O T S
S

Peer
Peerpressure
pressure
Measures
Measuresof
ofthe
theboss
boss
Perceived
Perceivedpriorities
priorities
of
of mgt
mgt

Causation Model

Logical
Logical
decision
decision
in
in his/her
his/her
situation
situation

D
Decision
ecision
to
to Err
Err

Of the incident
occurring
Of a loss resulting

Perceived
low
probability

D O T S Causation Model
Natural
Natural endowment
endowment
Physical
Physical capability
capability
Knowledge
Knowledge skill
skill
Drugs
Drugs // alcohol
alcohol
Information
Information
processing
processing
Environment
Environment
Worry
Worry // stress
stress
Fatigue
Fatigue
LCUs
LCUs

Capacity
Capacity
with
with
Load
Load
in
in aa
State
State

O
Overload
verload
or
or aa
Mismatch
Mismatch

D O T S
Size,
Size, force,
force,
feel,
feel, repetition
repetition
reach
reach

Causation Model
Workstation
Workstation or
or
Job
Job design
design

TTraps
raps
Stereotypes,
Human capabilities,
Expectations,
Inconsistencies

Incompatible
displays or
controls

D O T S

Causation Model

Systems Causes

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

D O T S Causation Model
Decision to
Err

O
Overload
verload or
or
mismatch
mismatch

TTraps
raps

Human
Human
Error
Error

Acc
Acc or
or
incidt
incidt

S
Systems
ystems
Failure
Failure

Injury
Injury
or
or
loss
loss

Benefits
of
Behavior-based Approaches

Average Reduction
of Injury Frequency
Implementation of BBS

After 1 year
After 2 years
After 3 years
After 4 years

34%
44%
61%
71%

Safety Intervention Strategies

(By NSC)
Approach

# of Studies

Behavior Based
Ergonomics
Engineering Change
Problem Solving
Govt Action
Mgt. Audits
Stress Management
Poster Campaign
Personnel Selection
Near-miss Reports

7
3
4
1
2
4
2
2
26
2

# of Subjects
2,444
n/a
n/a
76
2
n/a
1,300
6,100
19,177
n/a

Reduction %
59.6%
51.6%
29.0%
20.0%
18.3%
17.0%
15.0%
14.0%
3.7%
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

Leadership
12
8
Measurement &
Accountability

Systems & Processes

Organizational Style

Involvement

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

Follower

culture that strongly values & supports EHS

continuous improvement

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

Major change initiative for most companies

Success = taking on and resolving central organizational

issues

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

Assessment
Process

People?

Time?

Facilities?

Outcome?

All
Maximize size of group

30 min

Lunch room
Auditorium

Percent positive response in

21 safety related categories
By location by level

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

Perception Survey
100 yes/no opinion oriented questions
Pencil & paper survey
Anonymous responses

Structured Interviews
Facilitated group discussion
2 safety process questions
Confidential

EXECUTIVE
SUMMARY

Deliverable

System strengths
System weaknesses
Recommendations
Next steps

Sample
Survey

The Ohio Division of Safety & Hygiene

PERCEPTION SURVEY
PART 1
A. Enter your work location:
(Example: production, office, etc.)

B. Enter your shift: _____________

___________________________
C. Circle your job function:
Line worker, supervisor, or manager

D. Enter years with company: ____

___________________________

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?

Stres s

M anagem ent C redibility

Supervisor

Safety C lim ate

Em ploy ee T raining

Support for Safety

Manager

Superv is or T raining

O perating Proc edures

Safety C onc erns

20

D is c ipline

R ec ognition for Perform anc e

Aw arenes s Program s

Inv olv em ent of Em ploy ees

Ins pec tions

H az ard C orrec tion

G oals for Safety Perform anc e

N ew Em ploy ees

C om m unic ation

Attitude T ow ard Safety

Alc ohol/D rug Abus e

Q uality of Superv is ion

Ac c ident Inv es tigation

% P o sitiv e R espo nses

Survey Results
120

100

80

60

40

Employee

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