Safety & health management

Introduction to the seven elements of effective

Safety & Health
Management
Accident
Investigation
Involvement

Evaluation

OR-OSHA 100
0201
Presented by
The Public Education Section
Oregon Occupational
Safety and Health Division (OR-OSHA)

Training
Hazard
Identification

Accountability
Commitment

Slide
One key to safety success Partner with Oregon OSHA Services!
OR-OSHA Services
OR-OSHA Services
Oregon OSHA offers a wide variety of safety and health services to employers and employees:
Oregon OSHA offers a wide variety of safety and health services to employers and employees:

Consultative Services (At all field offices)
Consultative Services (At all field offices)
* Offers no-cost on-site safety and health assistance to Oregon employers for help in recognizing
* Offers no-cost on-site safety and health assistance to Oregon employers for help in recognizing
and correcting safety and health problems in their workplaces; and
and correcting safety and health problems in their workplaces; and
* Provides consultations in safety, industrial hygiene, ergonomics, programs and business
* Provides consultations in safety, industrial hygiene, ergonomics, programs and business
assistance;
assistance;

Training (Portland, Salem Central, Eugene)
Training (Portland, Salem Central, Eugene)
* Conducts statewide training classes and workshops in a wide variety of safety and health
* Conducts statewide training classes and workshops in a wide variety of safety and health
subjects;
subjects;
* Conducts conferences, seminars and satellite (Oregon ED-Net), and on-site training; and
* Conducts conferences, seminars and satellite (Oregon ED-Net), and on-site training; and
* Provides assistance to companies in developing safety and health training programs;
* Provides assistance to companies in developing safety and health training programs;

Standards and Technical Resources (Salem Central)
Standards and Technical Resources (Salem Central)
* Provides technical advice on and interpretations of codes;
* Provides technical advice on and interpretations of codes;
* Provides copies of all OR-OSHA codes;
* Provides copies of all OR-OSHA codes;
* Publishes booklets, pamphlets, and other materials to assist in the implementation of safety and
* Publishes booklets, pamphlets, and other materials to assist in the implementation of safety and
health codes and programs; and
health codes and programs; and
* Operates a resource center containing books, topical files, technical periodicals, video and film
* Operates a resource center containing books, topical files, technical periodicals, video and film
lending library, and more than 200 technical data bases.
lending library, and more than 200 technical data bases.

Enforcement (At all field offices)
Enforcement (At all field offices)
* Offers pre-job conferences for construction employers;
* Offers pre-job conferences for construction employers;
* Provides abatement assistance to employers who have received citation, and compliance and
* Provides abatement assistance to employers who have received citation, and compliance and
technical assistance by phone; and
technical assistance by phone; and
* Inspects places of employment for occupational safety and health rule violations, and
* Inspects places of employment for occupational safety and health rule violations, and
investigates workplace safety and health complaints and accidents.
investigates workplace safety and health complaints and accidents.

Give
us
a
call

Salem Central Office
Portland Field Office
Salem Field Office
Eugene Field Office
Medford Field Office
Bend Field Office
Pendleton Field Office

Toll free number to OROSHA: 1 (800) 922-2689
Toll free number for training: 1 (888) 292-5247 option 2
Web Site: www.orosha.org

(503) 378-3272
(503) 229-5910
(503) 378-3274
(541) 686-7562
(541) 776-6030
(541) 388-6066
(541) 276-9175

This material is for training use only

Instructor notes: Briefly cover the four general service areas. Many employers consider Oregon
OSHA to be "one big intrusive regulatory box"… and they don't want anything to do with it. Ask
students to think of Oregon OSHA as four boxes…three of those boxes are solely concerned with
serving the public. By "partnering" with Oregon OSHA in these three areas, they will not have as
much anxiety when the enforcement box comes calling.
Also note the phone numbers and web site address at the bottom of the page.

OR-OSHA 100

Safety and Health Management - Instructor Guide

3


Welcome!

Understanding the big picture is critical to successfully managing a company’s safety and health
management program (system). The primary emphasis of the workshop is to address the seven core
elements of an effective safety and health system and those central issues that are critical to each
element’s proper management.
This course will also introduce you to the Safety and Health Achievement Recognition Program
(SHARP) and the Voluntary Protection Program (STAR)
To get the most out of this course, it’s important that everyone freely share their knowledge and
experience with the class, so don’t hesitate.

Goals

Slide

1. Understand the basics of a safety management system.
2. Identify the seven core elements of an effective safety and health program.
3. Describe the key processes in each program element.

Form Groups

Slide

Introductions
Elect a group leader
Select a spokesperson
Recorders

Page 1
Please Note: This material, or any other material used to inform employers of compliance requirements of Oregon OSHA standards
through simplification of the regulations should not be considered a substitute for any provisions of the Oregon Safe Employment Act or for
any standards issued by Oregon OSHA. The information in workbook is intended for classroom use only.
OR-OSHA 100


4


Instructor Notes:
Welcome students to the class.
How can you, as an employee or manager increase worker protection, cut business costs, enhance
productivity, and improve employee morale? One way is by doing a better job of managing the
safety and health program.
No matter how sophisticated your safety and health efforts, they can always be improved. No matter
how small your worksite, systematic methods for protecting workers can work for you.
The Oregon Occupational Safety and Health Division (OR-OSHA) is convinced that effective
management is the key to reducing the numbers and severity of workplace injuries and illnesses.
This means using proven methods to find and understand existing and potential hazards, and then
either preventing or controlling those hazards.
OR-OSHA's conviction is based on its experience in evaluating worksites during enforcement
inspections, consultation service site visits, and Voluntary Protection Programs (VPP) visits. We
have learned that a direct relationship exists between effective management and low numbers and
severity of injuries. We also credit good management with lower levels of work-related illness. A
well-managed safety and health program prevents or controls employee exposure to toxic substances
or other unhealthful conditions that can cause sickness.
Goals. Briefly review the course goals
Groups. Divide the class into groups. Ask group members to get acquainted, elect a group leader
and spokesperson. Everyone is a recorder. You may want each group to "name" itself and write the
name on a piece of card stock paper. Encourage them to be creative with their name.

OR-OSHA 100


5


Slide

The OR-OSHA Safety & Health Program Model
Seven Critical Components and Characteristics
1. Top Management Commitment
Management Leadership

Proactive Planning
Vision
Mission
Objectives

Strategies
Policies
Programs

Processes
Procedures
Plans

Rules
Reports

2. Labor & Management Accountability
Responsibility
Enforcement

Supervision
Compliance

Recognition

3. Employee Involvement
Communications

Safety & Health Committee

4. Hazard Identification & Control
Inspections

JHA

Maintenance

5. Incident/Accident Investigation
Causes

Corrections

6. Education and Training
Affect Attitudes

Change Behaviors

Improve Performance

7. Periodic Assessment, Analysis, Evaluation
Surveys

Interviews

Reports

Observations

Page 2
OR-OSHA 100


6


Instructor Notes:
Briefly overview the seven elements of the Oregon OSHA Safety and Health Program model. You
may want to ask the following questions while conducting this overview. Don't get stuck trying to
completely explain all aspects of each element here. You'll have ample opportunity to do that
throughout the course. The following is a summary of each element.
Element 1. COMMITMENT. A successful workplace safety and health program achieves and
maintains a safe, healthful workplace. To accomplish this goal, you’ll need to demonstrate your
commitment to safety and health with as much energy as you would to any other important part of
your business. What you say is important, but what you do is critical to your program’s success.
Showing commitment to a safe, healthful workplace links what you say with what you do.
Element 2. ACCOUNTABILITY. Accountability links responsibilities to consequences. As a
business owner or manager, you are responsible for making your business a successful one. “Passing
the buck” isn’t an option. When Harry Truman said, “The buck stops here,” he meant that he was
responsible for his decisions and he accepted the consequences that followed them.
Element 3. EMPLOYEE INVOLVEMENT. Effective safety and health programs involve
employees who have a stake in the program’s success. One of the best ways to involve employees is
through a safety committee: a group of employees — representing labor and management that is
responsible for promoting workplace safety and health. Employees can volunteer to be part of the
committee or their peers can elect them.
Element 4. HAZARD IDENTIFICATION. Before you can control hazards, you need to identify
where they are. There are many ways to identify hazards. If your business is a small one, you may be
able to walk around the workplace and look for them. On the other hand, if you work in a large
manufacturing plant — say you’re the safety director — you may need to do a comprehensive
workplace survey.
Element 5. ACCIDENT INVESTIGATION. Despite your best efforts, you may not be able to
prevent all workplace accidents and near-miss incidents. Many accidents and near-miss incidents
have preventable, but underlying, causes. Examples include unenforced policies, lack of supervision,
and inadequate training. By investigating all accidents and near-miss incidents, you reduce the
chance that they’ll happen again.
Element 6. EDUCATION and TRAINING. Your employees need to know about the workplace
hazards to which they may be exposed, how to recognize the hazards, and how to control their
exposure. The best way for them to gain this knowledge is through education and training.
Element 7. EVALUATION. At least once a year, take time to review your program’s strengths and
weaknesses. You might want to begin by gathering the information that will help you accomplish the
review.

OR-OSHA 100


7


Processes

The Safety Management System

Inputs

Slide

Outputs

Inputs - -Resources from other systems
Inputs Resources from other systems
Tools
Tools
Facilities
Facilities

Equipment
Equipment
People
People

Machinery
Machinery
Time
Time

Materials
Materials
Money
Money

Processes - -Using available resources
Processes Using available resources
Strategic and tactical safety planning
Strategic and tactical safety planning
Leading and managing
Leading and managing
Educating and training
Educating and training
Identifying, measuring, and analyzing data
Identifying, measuring, and analyzing data
Recognizing and rewarding performance
Recognizing and rewarding performance

Suggesting, and recommending improvements
Suggesting, and recommending improvements
Participating in safety committees, teams, project
Participating in safety committees, teams, project
Correcting hazards
Correcting hazards
Improving system weaknesses
Improving system weaknesses
Evaluating conditions, behaviors, systems, results
Evaluating conditions, behaviors, systems, results

Outputs - -Conditions, Behaviors, Results
Outputs Conditions, Behaviors, Results
Safe/Unsafe conditions
Safe/Unsafe conditions
Many/Few accidents
Many/Few accidents
High/Low morale, trust
High/Low morale, trust

Safe/Unsafe behaviors
Safe/Unsafe behaviors
High/Low costs/saving
High/Low costs/saving
High/Low productivity
High/Low productivity

Slide
“Every system is designed perfectly to produce what it’s producing”

What might be the result if a safety plan is poorly written or not
effectively implemented?
______________________________________________________________
_
______________________________________________________________
_
Where do we look for clues that safety system design and/or
implementation are flawed?
Page 3
______________________________________________________________
_

OR-OSHA 100

System Structure

8


Instructor Notes:
Explain that a safety and health "program" is actually a set of interrelated processes that work together
as a safety management "system". Discuss the inputs. Review the various processes. Students may
come up with others. Cover the outputs.
In an effective safety management system, what is the role and purpose of the safety
director?
Role - Says who we are. Consultant, communicator, advisor, advocate, educator, etc.
Purpose - Says what we intend to do. Identify hazards, recommend changes, help management do
safety, educate.
Function - unintentional outcome. Safety Committee may intend to help, but function to hurt the S&H
program if they are not properly educated/trained.
“Every system is designed perfectly to produce what it’s producing”
Another way to put this is…Garbage in - garbage out. This principle is extremely important. If your
safety program suffers from a high accident rate, it's because resources and/or one or more processes
are flawed. They might not be adequately written or carried out. You can't just blame accidents on a
lack of common sense.
What might be the result if a safety plan is poorly written or not effectively
implemented?
Either way, the outcomes are not going to be what you desired. If the plan is effectively developed, yet
poorly carried out, the outcomes are less than desired. If the written plan is flawed, but perfectly carried
out, outcomes will, again, not be desired.
Where do we look for clues that safety system design and/or implementation are
flawed?
You'll find clues in the outcomes of the system…the conditions, behaviors, activities that are general in
nature. If you discover an isolated condition, or incident, the system may not have failed. If the
conditions or behaviors are common, or if a condition or behavior is repeated, you can suspect system
failures.

OR-OSHA 100


9


1. Management Commitment
Slide
What motivates management to “do” safety?
Indicate the consequence below that motivates your employer.
Class Ranking

My company does safety primarily to…
1. Avoid Oregon OSHA penalties.
2. Reduce costs - increase profits
3. Keep employees safe

________
________
________

12
10
8
6
4
2

1

2

3

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

Slide
What is Top Management Commitment?
T_____________ M _______________ C ______________
Expression of leadership

What has management done to demonstrate commitment at
your workplace?
Time, money, communications = TMC
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
What can we do to get management commitment?
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
Page 4

OR-OSHA 100


10


Instructor Notes:
This can be a very revealing exercise. Employers "do" safety for a number of reasons.
• They may primarily be most concerned about fulfilling their legal obligation to comply with
OSHA law.
• They may be more concerned about fulfilling their fiscal obligations to stakeholders through the
prudent conduct of business…at a profit or within budget.
• The employer may primarily concerned about fulfilling their social obligations to employees and
community by keeping their corporate "family" safe and healthful.
• More than likely, the employer will be concerned about all these obligations, but, depending on
where the most perceived pressure to perform originates, will emphasize one of them.
Ask each student to place a check mark next to the reason they believe their employer makes a
commitment to safety. Remember, you may be "preaching to the choir." Don't be surprised if most
students make claim their employer is most concerned with the social obligation. Tally up the check
marks and make a bar graph to discover the class results of the survey.
What is commitment?
Expression of leadership. Time, money, concern/communications = TMC
Employers and employees work together to make safety and health a priority. Employer and employee
involvement and communication on workplace safety management commitment and employee
involvement?
What management behaviors indicate top management commitment?
Every proactive activity that takes time, money.
Selfless acts on the part of the employer.
What can we do to get top management commitment?
Provide useful information so that they “see” how important a proactive safety and health program is.
Many ways to provide useful information: quality recommendations, educating up, bringing in
experts, etc.

OR-OSHA 100


11


What do accidents cost your company?
Slide
Unseen costs
can sink the
ship!

Direct Insured Costs
“Just the tip of the iceberg”
Oregon average to close a claim = $10,000
1.Workers’ compensation premiums
2. Misc. medical expenses. Medical expenses include doctor fees, hospital
charges, the cost of medicines, future medical costs, and ambulance, helicopter,
and other emergency medical services.

Indirect - Uninsured, hidden Costs - Out of pocket
Oregon estimated average = $18,000
The NSC defines "employer costs" as the uninsured costs
incurred by employers and represents the money value of
time lost by uninjured workers. It includes time spent
investigating and reporting injuries, giving first aid,
production slowdowns, training of replacement workers,
and extra cost of overtime for uninjured workers.

Average direct and indirect accident costs
Average direct and indirect accident costs
Lost time injury:
Lost time injury:
Fatality:
Fatality:

Slide

$28,000
$28,000
$980,000
$980,000

Using National Safety Council average costs for
Using National Safety Council average costs for
2000, includes both direct and indirect costs,
2000, includes both direct and indirect costs,
excludes property damage.
excludes property damage.

Examples:

Direct to Indirect Accident Cost Ratios
Direct to Indirect Accident Cost Ratios
1. Time lost from work by injured employee.
Direct cost of claim
Ratio of indirect to
2. Lost time by fellow employees.
Direct cost of claim
Ratio of indirect to
direct costs
direct costs
3. Loss of efficiency due to break-up of crew.
4. Lost time by supervisor.
$0-2,999
4.5
$0-2,999
4.5
5. Training costs for new/replacement workers.
$3,000 - 4,999
1.6
$3,000 - 4,999
1.6
6. Damage to tools and equipment.
$5,000 - 9,999
1.2
$5,000 - 9,999
1.2
$10,000 or more
1.1
$10,000 or more
1.1
7. Time damaged equipment is out of service.
8. Loss of production for remainder of the day.
Studies show that the ratio of indirect to direct costs can
Studies show that the ratio of indirect to direct costs can
9. Damage from accident: fire, water, chemical, explosives, etc.
vary widely, from a high of 20:1 to a low of 1:1. Source:
vary widely, from a high of 20:1 to a low of 1:1. Source:
Business Roundtable, 1982.
Business Roundtable, 1982.
10. Failure to fill orders/meet deadlines.
11. Overhead costs while work was disrupted.
12. Other miscellaneous costs (over 100 other items may impact the employer).
13. Others? ____________________________________________

Unknown Costs -

OR-OSHA 100

- Iceberg

1. Human Tragedy
2. Morale
3. Reputation

Page 5
12


Instructor Notes:
Define and discuss direct, indirect and unknown costs. Note the average cost moves slightly above
and below $10,000 from year to year. In Oregon, it cost around $300,000 to close a fatality claim.
Review the National Safety Council (NSC) stats. Note also that the more "capital intensive" the
industry, the higher the average ratio. These are only rough estimates…may vary greatly. Ref.
www.nsc.org for more info on this.
It's also interesting to note that the more "capital intensive" a business is, the higher the ratio between
direct and indirect costs is likely to be. For instance, if there is a fatality at a large manufacturing
plant (large capital investment) that results in a production halt, the company may realize huge
indirect costs. Labor intensive business may realize ratios of 1:2 to 1:10. Capital intensive business
may realize ratios of 1:5 to 1:50 or higher.

OR-OSHA 100


13


To t
T
Ave oaalCl
Aveat l Cai
rra lam
gg
s
eeC ims: 2
ost : 5,
Cos: 256
t: $$ ,662
11 , 62
004
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,4 8
2

2000 Average Cost For Disabling Claims
By Event or Exposure
Slide

Event or Exposure
Leading to Injury (Partial list)

Struck against stationary object
Struck against moving object
Struck by, other
Struck by falling object
Struck by flying object
Caught in equipment or objects
Fall to lower level, all other
Fall down stair or step
Fall from floor, dock, ground level
Fall from ladder
Fall from stacked material, roof, scaffold
Fall from non-moving vehicle
Jump to lower level
Fall to same level, against objects
Bodily reaction, other
Loss of balance
Overexertion, all other
Lifting objects
Pulling, pushing objects
Holding, carrying, wielding objects
Repetitive motion
Contact with electrical current
Exposure to Traumatic Event
Highway Collisions
Struck by Vehicle
Fire
Explosion
Assault or Violent Act by person

CLAIMS
CLOSED

617
135
523
1,031
298
1,259
442
319
104
388
174
367
169
2,514
2,505
851
1,298
3,039
1,122
1,227
2,308
33
33
636
190
15
23
249

AVERAGE
COST($)

9,530
8,776
8,776
9,707
8,942
11,449
13,490
9,538
13,490
17,772
23,781
16,191
13,332
10,595
9,128
9,968
12,176
9,003
8,827
8,897
10,317
13,345
23,913
12,432
18,856
16,842
12,792
11,498

Notes: Table reflects estimated medical, timeloss, and partial permanent disability cost data for disabling claim
closure activity. Costs exclude PTD and fatal indemnity, vocational assistance, medical-only claim costs,
settlements, timeloss paid prior to claim denial and prior to settlement where claim was never closed, and
compensation modified on appeal. Source: Research and Analysis Section, Information Management Division,
DCBS.

Page 6
OR-OSHA 100


14


Instructor Notes:
This can be a very useful page for safety committee members. When making recommendations to
correct hazards, they can cite these averages. The higher the number of claims, the greater the
probability. Remember, these figures represent only direct costs. The new stats come out from
DCBS Research and Analysis Section in November each year.

OR-OSHA 100


15


$ A F E T Y P A Y S ! OSHA Advisor @ www.osha.gov
Estimated Costs of Occupational Injuries and Illnesses and Estimated Impact on a
Company's Profitability

Slide

Report for Year: 1999
Employer: XYZ Inc
Prepared by: I. B. Safe, Safety Coordinator, on January 28, 2000
The injury or illness selected:

Strain

Average Direct Cost:
Average Indirect Cost:
Estimated Total Cost:
The net profit margin for this company is
The ADDITIONAL sales necessary
- to cover Indirect Costs are:
- to cover Total Costs are:

$178,350
$326,975

Laceration


$5,945
$7,134
$13,079
4%

$AFETY PAYS is a tool developed
$AFETY PAYS is a tool developed
by OSHA to assist employers in
by OSHA to assist employers in
assessing the impact of occupational
assessing the impact of occupational
injuries and illnesses on their
injuries and illnesses on their
profitability. It uses a company's
profitability. It uses a company's
profit margin, the AVERAGE costs
profit margin, the AVERAGE costs
of an injury or illness, and an indirect
of an injury or illness, and an indirect
cost multiplier to project the amount
cost multiplier to project the amount
of sales a company would need to
of sales a company would need to
generate in order to cover those costs.
generate in order to cover those costs.
Since AVERAGES are used, the
Since AVERAGES are used, the
actual costs may be higher or lower.
actual costs may be higher or lower.
Costs used here do not reflect the
Costs used here do not reflect the
pain and suffering of injuries and
pain and suffering of injuries and
illnesses.
illnesses.
The cost of injury and illness data
The cost of injury and illness data
were provided to OSHA by Argonaut
were provided to
by Argonaut
Insurance Company and based on
Insurance Company and based on
53,000 claims for 1992-94.
53,000 claims for 1992-94.

$1,101
$4,954
$6,055
4%
$123,850
$151,375

Carpal Tunnel Syndrome


$8,305
$9,966
$18,271
4%
$249,150
$456,775

The TOTAL ADDITIONAL SALES required by these 3 incidents is estimated to be
between:

$551,350 and $935,125
The extent to which the employer ultimately pays the direct costs depends on the nature of the
employer's workers‘ compensation insurance policy. The employer always pays the indirect costs.
Page 71
OR-OSHA 100

- Safety Pays

16


Instructor Notes:
Instructor notes: This is a very nice software product that will allow you to estimate direct and indirect
costs, and the sales required to make up for the total accident costs. Visit this site yourself and
download the software to get familiar with it. It's a nice tool to estimate costs.

OR-OSHA 100


17


Proactive Vs. Reactive Approach to Safety & Health Management
Slide
They care
about me!

They don’t
care...

What's proactive? What's reactive?
_________________________________________

Proactive Programs

Reactive Programs

_________________________________________
_________________________________________
_________________________________________
_________________________________________

Slide

Proactive Approach - Goal: Prevent future injuries
What programs are emphasized?

__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________

Reactive Approach - Goal: Reduce injury costs
What programs are emphasized?
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________

In organizations, clients for the services provided by staff people are called line managers. Line
managers have to labor under the advice of staff groups, whether they like it or not. But any staff
function, by definition, has no direct authority over anything but its own time, its own internal staff,
and the nature of the service it offers. Peter Block, Flawless Consulting
Page 8
OR-OSHA 100

Safety and Health Management - Instructor Guide Reactive
- Proactive

18


Instructor Notes:
Ask the class to contrast proactive and reactive safety strategies and the unintended messages
management sends when they adopt one or the other.
Proactive programs: Accountability - Recognition/Discipline; Safety Committee - when effective;
Training - when done at all levels; Wellness; Incentive programs - appropriate behaviors; Accident
investigation - when root causes are effectively corrected. Examples will include all of the OSHA
mandated programs like hazard communication, confined space, ppe, safety committees, training,
discipline, recognition programs that reward desired behaviors, etc. These processes initiate before
an injury and their purpose is to prevent an injury or illness.
Proactive programs result in: Safe behaviors - improved results; hazards corrected, programs
improved, fewer accidents; Greater understanding, improved behaviors; Physical fitness, higher
morale; More frequent appropriate behaviors; Fewer accidents
Reactive programs: Examples will include accident investigation if it only places blame and
corrects surface causes. Others include early return to work, emergency first aid, discipline (if tied
to accidents), recognition programs ( if they reward accident-free work are reactive as they are likely
to produce pressures to withhold injury reports…the actual behavior being rewarded).
Emphasis in reactive programs only may result in: reduced per-injury costs; higher incidence of
blaming, increased number of accidents, lower morale, lower productivity.
Flawless consulting. You can mention this briefly as some students may not be familiar with the
terms "line" and "staff."

OR-OSHA 100


19


2. Accountability
Six essential elements of an effective accountability system
1. Established formal standards of behavior and performance.
Slide

• Programs, Policies, Plans, Processes, Procedures, Practices (the Six P's)

2. Resources provided to meet those standards.
• Physical = tools, equipment, materials, workstations, facilities
• Psychosocial = education, training, scheduling, culture

3. An effective system of measurement.
• Behaviors are observed and quantified
• Behaviors are detected and corrected before an injury
• Informal and formal observation procedures are used

4. Application of effective consequences.
• Soon - certain - significant - sincere
• Must change behavior in the desired direction

5. Appropriate application of discipline.
•
•
•
•

Discipline is based on fact not feeling
Consistent throughout the organization: top to bottom and laterally
Applied only only after it's determined management has met obligations to employee
Appropriate to the severity of the infraction and impact on the organization

6. Evaluation of the accountability system.
•
•
•
•

Examine the first five elements
Mandated by OAR 437, Division 1, Rule 765(6)(f)
Analysis/evaluation headed up by Safety committee, safety coordinator
Improvements headed up by line management

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
Page 9
OR-OSHA 100

- Accountability System

20


Instructor Notes:
Element one: These standards represent inputs to the system and also antecedents/activators of behavior.
Each employee must have a clear understanding of employer expectations, policies, rules.
Element two: Physical resources: The employer is accountable to the law to provide resources.
Emphasize the idea that the employer takes on a legal obligation to each employee to make sure they are
provided with safe tools, equipment, etc.
Psychosocial support: Discuss each of these points. The employer also has an obligation to provide a
"place of employment" free from known hazards….the broad definition of this requirement includes the
psychosocial environment. Psycho - Those workplace factors that affect each employee's knowledge,
feelings, and skills related to working safe. Social - How does the social climate or culture
support/hinder safe work. What leadership and management styles affect the climate/culture?
Element three: Discuss each of these points. Measurement may occur through informal/formal
observation. Usually the supervisor can do this daily. Other procedures are more formal…periodic
appraisals. It's important that whatever procedures are used, they are objective, based on fact, not
feeling, and they should measure behaviors over which employees have control such as complying with
safety rules, reporting injuries and hazards, warning others and other required behaviors. It's important
that the results of these measurements be used to fine-tune the safety management system.
Element four: Effective consequences will increase compliance behaviors. Discipline should occur
soon after it's determined that it's justified. It should be based on facts, not feeling. That means the
supervisor must be able to state what the employee did/didn't do and the safety rule policy that was
violated. Discipline needs to be meaningful to the employee…"it must make the point." If the discipline
is not perceived as significant, it will not affect/change behaviors. Discipline should be administered to
impress upon the employee that the supervisor is concerned for the employee's safety, not because it's
just policy. The employee is important…the company can't afford him or her getting injured. The
supervisor should not be administering discipline just to stay out of trouble him or herself. The motive
should be sincere, expressing genuine disapproval for the good of the employee and company.
Element five: The processes within this element may be the most difficult to successfully carry out
unless they are clearly spelled out in writing and insisted upon. For instance, when an accident
investigation is performed, the investigator may have the time to conduct interviews and uncover surface
causes, but sometimes they don't have the time or the expertise to determine the underlying safety
management system causes. In this case, the process should include the safety committee and/or
coordinator in uncovering root causes. If root causes are uncovered, then the question of discipline is
moot because the system failed the employee. The question of discipline may take weeks to determine.
Disciplining immediately after an accident ties the discipline to getting hurt. Careful analysis ties it to
behaviors and is more likely to result in a perception of fairness. Rule violations that could result in
serious physical harm or fatality may qualify for more significant consequences such as immediate
suspension or termination. It's appropriate that supervisors and managers who violate safety rules
receive more significant negative consequences because the behavior has the effect of revising a
perceived mandatory rule into a discretionary guideline, sets poor leadership example, and legally
"rewrites" the rule which places the employer in greater jeopardy of litigation should an accident occur.
Element six: The safety committee, by law, is authorized to evaluate the supervisor and employee
accountability system. This element (evaluation) should be included in every safety management
system.
OR-OSHA 100


21


Accountabilities

Slide

Managers and employees are responsible and accountable for key behaviors and performance.
Supervisors and managers are accountable to the law and obligated to employees to fulfill their
responsibilities. Employees are accountable to the employer and obligated to coworkers to fulfill their
responsibilities.

Employer

Comply with state and federal OSHA law
Provide resources for a safety and healthful workplace
Provide effective safety education and training
Provide adequate supervision
Provide positive and negative consequences

Employee
Comply with company safety policies, rules
Report injuries immediately
Report hazards as soon as possible

What’s
with that?

Slide
Why does the employer have more accountabilities than the
employee? Is that fair?
_____________________________________________________
_____________________________________________________
How are employees held accountable in your workplace?
_____________________________________________________
_____________________________________________________

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

When is a supervisor justified in disciplining?

_______________________________________________________________
Page 10
_______________________________________________________________
Hint: Look at employer accountabilities
OR-OSHA 100

- Accountabilities

22


Instructor Notes:
These activities and behaviors are very general summaries of more specific accountabilities detailed in
OR OSHA rules.
Managers are accountable to the law to comply with OROSHA law, provide resources, adequate training
and supervision, and enforce safety rules.
Employees must comply with the employer's safety standards, report injuries immediately, and report
hazards as soon as possible. Reporting hazards includes warning coworkers about hazards and unsafe
behaviors.
Notice that the employer is accountable to the law and the employee is accountable primarily to the
employer. The employer is obligated to the employee to carry out accountabilities. The employee is
obligated to everyone in the company to carry out their accountabilities.
Why does the employer have more accountabilities than the employee? Is that fair?
Yes, it's fair because the employer controls all aspects of the workplace while the worker generally (but
not always) controls only his or her personal behavior. We need to be held accountable only for those
responsibilities over which we have control. So, the first question we need to ask when considering
discipline is to ask if the person had control over the performance being measured.
How are employees held accountable in your workplace?
Ask for class input here.
When is a supervisor justified in disciplining?
Before pointing the finger of blame, make sure all obligations to the employee have been fulfilled. Has
the supervisor provided resources…safe employment and a safe place of employment? Has the
supervisor provided adequate training, supervision (defined as detecting and correcting hazards before
they injure), and enforcement.

OR-OSHA 100


23


3. Employee Involvement
Slide
Group exercise: Discuss ways your employer uses (or could use)
to increase involvement in the safety committee and other
activities.
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

Choose one of the above ideas and discuss those methods and
procedures that help ensure its success.
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

Page 11
OR-OSHA 100

- Involvement

24


Instructor Notes:
Group exercise: Discuss ways your employer uses (or could use) to increase
involvement in the safety committee and other activities.
Have groups discuss this question among themselves. Make sure they are recording what they
discuss in the workbook.
Choose one of the above ideas and discuss those methods and procedures that help
ensure its success.
Ask each group to describe to the class one of the ideas they discussed.
The best worker safety and health protection occurs where everyone at the worksite shares
responsibility for protection. For that to happen, all employees must know they are helping to shape
the program. Employees at all levels should be actively involved in finding and correcting safety and
health problems. This does not mean the employer gives up responsibility and authority. The
Occupational Safety and Health Act places responsibility for worker protection from occupational
hazards squarely on the employer. The wise employer, however, uses employees' unique knowledge
and experience to help find problems and resolve them successfully. OSHA Guidelines recommend
that employers:
Provide for and encourage employee involvement in the structure and operation of the
program and in decisions that affect their safety and health, so that they will commit their
insight and energy to achieving the safety and health program's goal and objectives.

OR-OSHA 100


25


Involvement in the Safety Committee

Slide

The safety committee has a definite role to play and important purposes to fulfill in
helping ensure successful employee involvement. Your “purpose” may be thought
of as what you intend to do. Your “role”describes who you are. If members of the
safety committee do not clearly understand their purposes and role, their wellintended actions may actually hurt the very system they are trying to help succeed.

What is the purpose of your safety committee?
Our safety committee intends to…
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________

What role does your safety committee play?
My safety committee performs the role of a/an…
__________________________________________________________________________

Slide
What can the safety committee do to increase employee involvement in
safety?
________________________________________________________________
_
________________________________________________________________
_
________________________________________________________________
_
What can the safety committee do to help the employer manage safety
programs?
________________________________________________________________
_
________________________________________________________________
_
Page 12
________________________________________________________________
_
OR-OSHA 100

- SC Purpose

26


Instructor Notes:

What is the purpose of your safety committee?
Our safety committee intends to…
Purpose statements explain "what we intend or actually do"
Of course you can summarize the rule…some of the ideas will include, identify hazards,
inspect, enforce (not an appropriate purpose), recommend, train, educate, advise, coordinate,
liaison, problem solve, etc.

What role does your safety committee play?
My safety committee performs the role of a/an…
Role statement explains "who we are" Don't let them say the "safety committee performs the role of a
safety committee."
Book answer is "consultant"

What can the safety committee do to increase employee involvement in
safety?
The safety committee (sc) needs to generate positive consequences. They need to help the employer
develop a culture that supports active participation in the safety committee. Some companies let it be
known that career advancement is enhanced by involvement. Other companies give sc members a
monthly bonus for active participation. There are many ways to develop positive consequences.
Remember, the members define what are positive and negative consequences.

What can the safety committee do to help the employer manage safety
programs?
They can, in addition to identifying and correcting hazards, critically evaluate and help the employer
improve the safety management system…improving written plans, processes, procedures, etc.

OR-OSHA 100


27


4. Hazard Identification & Control
What is a "hazard?" (Complete the sentence below.)
Slide

An

U
C

or

P
that could
cause an
or

I
I

to an
(Extra Credit)

and it’s

E

.

P

!

Slide
Hazard analysis is smart business!
What are the advantages of conducting hazard analysis vs. accident
investigation?
______________________________________________________________
_
______________________________________________________________
_
______________________________________________________________
_
Page 13
OR-OSHA 100

- Define Hazard

28


Instructor Notes:

What is a "hazard?"
A hazard is an "unsafe condition or practice that could cause injury or illness to an employee and it's
preventable."

What are the advantages of conducting hazard analysis vs. accident
investigation?
There's always less hurt to the employee and expense to the employer. The injury is mitigated and
injury claim costs are decreased. When management is able to effectively detect and correct
hazardous conditions and unsafe behaviors/practices before an injury occurs (this is the definition of
adequate supervision), it sends messages to employees that management is competent and they care.
The first message validates the employer's ability to manage and the second message addresses
leadership. If the employer relies on accident investigation, unintended and possibly invalid, but everpresent messages are sent…management is incompetent and doesn't care….they fail to protect
employees because they don't care…. Conducting hazard analysis is sound management policy.

OR-OSHA 100


29


What are the four categories of hazards in the workplace?
M_______________

E_______________

Slide

E_______________

P_______________

Hazardous conditions or unsafe work practices: Which results in more
accidents?
Slide
Any hazards or unsafe behaviors here?
_____________________________________________
_____________________________________________
_____________________________________________

_____________________________________________
_____________________________________________
_____________________________________________

_____________________________________________
_____________________________________________
_____________________________________________

Page 14
OR-OSHA 100


30


Instructor Notes:

What are the four categories of hazards in the workplace?
Ask class for answers, or if time does not allow, just give them the answers and ask for examples.
Materials, equipment (includes machinery), environment, and people. It's important to note that all
four categories may be seen as hazardous conditions. People can also engage in unsafe behaviors.
Any time an employee is distracted, mentally or physically incapable, or is otherwise unable to safely
perform, they may be considered hazardous conditions…"states of being."

Hazardous conditions or unsafe work practices: Which results in more
accidents?
Hazardous condition 3%
Unsafe behaviors 95%
Uncontrolled acts "acts of God" 2%
Have the class analyze the photos in the workbook and describe hazardous conditions and unsafe
behaviors they see. It's important to note that most conditions and behaviors work together in some
way to cause an accident. There's usually a link. For instance, a maintenance person may remove a
guard to perform maintenance. When maintenance is complete, the guard may not be replaced. An
unsafe behavior/practice creates a hazardous condition and a danger zone. Later, another employee
may engage in horseplay in the danger zone and is injured.

OR-OSHA 100


31


Hierarchy of Hazard Control Strategies
Slide
1. Engineering Controls - Remove or reduce the hazard
• Eliminates or reduces the severity of the hazard itself through initial design and redesign,
enclosure, substitution, replacement and other engineering changes.
• Major strengths: Eliminates the hazard itself. Does not rely solely on human behavior for
effectiveness.
• Major weakness: May not be feasible if controls present long-term financial hardship.
________________________________________________________________________
_
________________________________________________________________________
_
________________________________________________________________________
_

2. Management Controls - Remove or reduce the exposure
• Reduce the duration, frequency, and severity of exposure to hazards primarily through (1)
changes and work procedures and practices, and (2) scheduling, job rotation, breaks.
• Major weakness: Relies on (1) appropriate design and implementation of controls and (2)
appropriate employee behavior.
________________________________________________________________________
_
________________________________________________________________________
_
________________________________________________________________________
_

3. Personal protective equipment (PPE) - Put up a barrier
• Equipment for personal use that presents a barrier between worker and hazard.
• Major weakness: Relies on (1) appropriate design and implementation of controls (2)
appropriate employee behavior.
________________________________________________________________________
_
Page 15
________________________________________________________________________

OR-OSHA 100

- Controls

32


Instructor Notes:
Review each of the control strategies here. Ask the class to give examples of each in their
workplaces.
Hazard Prevention and Control
Appropriate controls. In designing a program of prevention and control, the ideal choice always is
prevention of employee exposure to a hazard. This means removing the hazard or preventing
exposure through engineering controls. Where complete removal of the hazard is not feasible, the
next best choice is complete enclosure. Where complete enclosure is not feasible, a combination of
partial enclosure, changing procedures and work schedules through effective management controls
is the next best choice. To supplement these controls, you may need to use personal protective
equipment (PPE) or temporary interim measures.
This hierarchy of controls is subject to some variation. There may be situations, for example, where
PPE is the primary means of hazard control, as in oxygen-deficient environments where respirators
are essential. Because every workplace has its unique characteristics, a careful hazard analysis is a
critical to decisions about controls.
Safe work practices and PPE place special responsibilities on the employees who use them.
Employees should be trained (and OSHA standards require that you provide training in specified
situations) to understand why they need these protections and how they can use these methods to
protect themselves and others. You should stress the seriousness of these protections in every
possible way, including, when necessary, the use of fair and consistent discipline.
Preventive maintenance. A good equipment maintenance program can keep engineering control
systems working as intended and can prevent ordinary non-hazardous equipment from becoming
hazardous.
Employee reports of hazards. A successful safety and health program finds and corrects problems
before any harm is done. Having many extra pairs of eyes to help you uncover hazards is the best
wayto do this. Provide one or more systems for employees to alert you to hazards, and guarantee that
employees who report hazards will be supported to do so. Employees will need to see timely and
appropriate responses to their reports. These responses are visible evidence of management's
commitment to worker safety and health and your desire for meaningful employee involvement.
Accident/incident investigation. Investigating accidents and incidents (these terms are defined in
Chapter IX) presents another opportunity to find hazards and design prevention and controls. For
each accident, there usually are several steps that must be taken to prevent future occurrences.
Injury and illness trend analysis. It is useful to review injuries and illnesses that have occurred over a
period of time, including those illnesses that do not appear to be occupationally related. Such an
analysis may reveal patterns or clusters that suggest common worksite causes or origins not apparent
when the cases first were recorded.

OR-OSHA 100


33


What control measures might work to correct these hazardous
conditions and unsafe behaviors?
Slide
Engineering controls
______________________________________________________
________________________________________________________________________
_
________________________________________________________________________
_
________________________________________________________________________
_
________________________________________________________________________
_

Management controls _____________________________________________________
________________________________________________________________________
_
________________________________________________________________________
_
________________________________________________________________________
_

PPE
Page
_____________________________________________________________________16
________________________________________________________________________

OR-OSHA 100


34


Instructor Notes:
Have groups come up with some engineering, management, ppe, and interim control measures that
would prevent the unsafe behaviors/conditions in the drawings displayed on this page.

OR-OSHA 100


35


5. Incident/Accident Investigation
Slide
What is an “accident?”
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________
Why do we “investigate” accidents?
_______________________________________________________________
_______________________________________________________________
_______________________________________________________________

What are the odds that a serious injury will occur?
Slide
Proctor & Gamble's Port
Ivory Study (1984)
H.W. Heinrich's Pyramid (1931)

Ponder this: Which one of the
incidents will result in my
injury or death?

1
Lost Work
Day Case

39
OSHA
Recordabl
e

292

Workers' Comp

730
First Aid Only
How does your perception of a particular hazard change with daily exposure
to that hazard?
_________________________________________________________________
_
OR-OSHA 100

- Accident
Safety and Health Management - Instructor Guide Defined

36


Instructor Notes:

What is an “accident?”
An accident is an unplanned, unwanted, unexpected event that causes an injury to an employee.
Accidents aren't always unplanned. Major construction projects plan for a number of injuries and
fatalities during the construction as part of the cost of doing business. Employers may do the same.

Why do we “investigate” accidents?
We "investigate" to fix the system, not the blame. It's important that we take a close look at the term
"investigate." What do you feel when you hear this word? What kind of reaction does it produce?
…positive or negative. Most students will express that the term causes a negative reaction.
Encourage students to think about changing the language in written and oral communications to
incident/accident "analysis" rather than "investigation" to better emphasize the idea that the purpose
of the process is to fix system weaknesses (root causes), not to place blame (personal flaws).

How does your perception of a particular hazard change with daily
exposure to that hazard?
The longer we are exposed to a given hazard, the more comfortable we become and the less it's
perceived as a hazard. Eventually, we don't pay much attention to it, and that's when we get hurt.
You can use an example of an unguarded table saw. The first time we use it, we're quite concerned
about the blade and are careful when we cut wood. However, days, weeks, months, later we might
be quite comfortable using the saw. We don't consider it to be a "big deal". Our mind is able to
wonder while we work…we don't pay attention…and we get distracted more easily….increasing the
probability of an accident. When an employee engages in unsafe behavior, it's usually not the first
time they done so.
These odds statistics are quite old and vary from among a number of studies. The most famous
study was conducted by W.H. Heinrich and published in 1931 in his text Industrial Accident
Prevention (currently out of print).
A study was conducted in 1984 at Procter and Gambles Port Ivory plant on Staten Island, N.Y. that
shows a remarkable relationship ship to Heinrich's original pyramid. The Port Ivory study reviewed
1,062 incidents that occurred in the plant from April 82 to April 84. They were classified according
to severity of outcome, a method similar to what Heinrich had done. (Ref: occupational Hazards,
Jan 02, The New Safety Pyramid, Dr. Richard Fulwiler, p. 50)

OR-OSHA 100


37


Slide

Why are some accident reports ineffective?

________________________________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________

Why might it be dangerous to assume someone has "common sense"?
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

Be ready when accidents happen

Slide

When a serious accident occurs in the workplace, everyone will be too busy dealing with the
emergency at hand to worry about putting together an investigation plan, so now... before the
accident occurs... is the time to develop effective accident investigation procedures. They should
include as a minimum procedures that:
1. Write a clear policy statement.
2. Identify those authorized to notify outside agencies (fire, police, etc.)
3. Designate those responsible to investigate accidents.

Accident
investigation
is
“fact-finding”
not
“fault-finding.”

4. Train all accident investigators.
5. Establish timetables for conducting the investigation and taking corrective action.
6. Identify those who will receive the report and take corrective action.

________________________________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________

Page 18
OR-OSHA 100


38


Instructor Notes:

Why are some accident reports ineffective?
They evaluate only for surface causes. They do not uncover root causes. Long term fixes that
prevent similar accidents do not get implemented.

Why might it be dangerous to assume someone has "common sense"?
There is no such thing as "common sense" because our own "personal sense" is something quite
unique…based on our unique education and experience. One person's good sense can be another
person's nonsense. When lack of "common sense" is used as an excuse for an accident, it quickly
places all "blame" on the employee. Consequently, no analysis or evaluation to uncover system
weaknesses occurs.

Be ready when accidents happen
Briefly cover the steps in developing a written accident investigation plan. If a well-written plan is
not developed then people may be unsure about their responsibilities when a serious injury occurs.
Consequently, the likelihood is greater that "blame" may surface into the process.

OR-OSHA 100


39


Weed out the causes of
injuries and illnesses

Strains
Direct Causes of
Injury/Illness

Burns
Cuts

Slide
Un
g

ua
rd
ed

m
ac
hi

Bro
ken
to

ne

ols

Chem
ical sp
ill

Defec
tive

PPE

Untrained
w

Conditions

orker

Lack of time
work
To much

Inadequate training
No discipline procedures
No orientation process
Inadequate training plan
No accountability policy

lay
sep
Hor

te
Crea

ard
a haz

Surface Causes
of the Accident

zard
e a ha
Ignor
st
Fail

ry
inju
port
o re

Fails to inspect

Behaviors

Fails to enforce
Fails to tr
ain

No recognition

Inadequate labeling procedures
Outdated Procedures
No recognition plan

No inspection policy

Root Causes of the
Accident
Page 19
OR-OSHA 100

- Accident
Safety and Health Management - Instructor Guide Weed

40


Instructor Notes:
The accident weed is an excellent way to train surface and root causes for accidents. Place the
overhead up as you discuss the next page in the workbook.

OR-OSHA 100


41


The causes of Injury, Illness and Accidents
1. Direct Cause of Injury
• The direct cause is always a harmful transfer of energy
• Energy may take the form of:

Slide

 Acoustic - excessive noise and vibration
 Chemical - corrosive, toxic, flammable, or reactive substances
 Electrical - low/high voltage, current
 Kinetic - energy transferred from impact
 Mechanical - associated with components that move
 Potential - involves "stored energy" in objects that are under pressure
 Radiant - ionizing and non-ionizing radiation
 Thermal - excessive heat, extreme cold.

Strains
Burns
Cuts

• Safety engineer attempt to eliminate or reduce sources of harmful energy
________________________________________________________________________
_
________________________________________________________________________
_
Un
g

ua
rd

ed

Br ok
en
Chemic

Defect

Conditions

ma
ch
in

e

tool
s

al spi
ll

ive PP
E

Untrained

worker

Lack of time
To much

work

2. Surface Causes of the Accident
Surface
Causes

y
epla
Hors

Create
Ignore

a haz

ard

ard
a haz

to
Fails

repo

ur y
rt inj

Fails to inspect

Behaviors
Fails to enforce
Fails to train

•
•
•
•
•

They are specific/unique hazardous conditions and/or unsafe actions
They may directly produce or indirectly contribute to the accident
They May exist/occur at any time and at any place in the organization
They may involve the actions of the victim and/or others
They may or may not be controllable by management

________________________________________________________________________
_
________________________________________________________________________
_
Inadequate training
No discipline procedures
No orientation process
Inadequate training plan
No accountability policy

No recognition

3. Root Causes of the Accident

Inadequate labeling procedures
Outdated Procedures

No recognition plan

No inspection policy

• Flaws in design and/or failure to carry out safety policies, programs, plans,
processes, procedures, practices (the 6-P's)
• They pre-exist surface causes
• They result in common and/or repeated hazards
• They are under control of management
• They can can occur any time and anywhere

Root Causes

________________________________________________________________________
Page 20
_
OR-OSHA 100

Safety and Health Management - Instructor Guide Causes
- Accident

42


Instructor Notes:
Discuss the attributes of the direct cause of injury, surface causes for the accident, and root causes for
the accidents.
Important points: Direct causes describe what caused the injury…it always describes the harmful
transfer of energy. Always results in tissue damage.
Surface causes: Those conditions and behaviors that directly cause the accident are close to the top of
the weed. Those that merely contribute, but do not directly cause the accident are located closer to
the bottom of the weed.
Root causes: Represent the system weaknesses that have failed the employee. When system
weaknesses exist, employees are "trapped" (according to Dan Petersen, Management Techniques,
ASSE) into performance errors.

OR-OSHA 100


43


The six-step process

Step 1 - Secure the accident scene
_________________________________________

Collect facts about what happened

Gather
information

Step 2 - _________________________________________

Slide
Analyze the
facts

Implement
Solutions

Develop the sequence of events
Step 3 - _________________________________________

Secure the scene
Determine the causes

Step 4 - _________________________________________

Collect data about what happened
Recommend improvements

Step 5 - _________________________________________

Develop the sequence of events
Write the report

Step 6 - _________________________________________
Determine the surface and root causes

Three levels of analysis

Develop
Slide corrective actions

1. Injury Analysis. Analyze the injury event to identify
Write and submit the report
direct cause of injury.
W

?
hy

the

• Laceration to right forearm from contacting rotating saw blade. (mechanical energy)
• Contusion from head impacting concrete floor. (kinetic energy)
• Burn injury to right lower leg from contact by battery acid. (chemical energy)

2. Event Analysis. Analyze each event to identify potential surface causes for the
accident. Look for a related specific hazardous conditions and employee behaviors that
directly caused or contributed to the accident.
W

?
hy

•
•
•
•
•
•

Unguarded saw blade. (condition)
Working at elevation without proper fall protection. (behavior)
Employee unaware of hazards associated with battery acid. (condition)
Weekly inspection of saws is not being regularly conducted. (behavior)
New employees are not trained on fall protection methods. (condition)
Supervisor is not administering corrective actions for unsafe behaviors. (behavior)

3. Systems Analysis. Analyze surface causes to identify related root causes: those
underlying management system design and implementation weaknesses that contributed to the
accident. Look for inadequate policies, programs, plans, processes, procedures and practices
affecting general conditions and behaviors.
?
hy
W

•
•
•
•

Inspection policy does not clearly specify responsibility by name or position. (design)
No fall protection training plan or process in place. (design)
Supervisors are not administering discipline when required. (implementation)
Safety is not being addressed during new employee orientation (implementation)

Page 21
OR-OSHA 100

- Accident
Safety and Health Management - Instructor Guide Analysis

44


Instructor Notes:

The six-step process
There are three general phases in the accident investigation process. In the first phase, the accident
scene is secured, if necessary, and facts are gathered at the scene and other locations about what
happened. In the second phase, the sequence of events is developed and each event is analyzed to see
if there are hazardous conditions or unsafe/inappropriate acts that occurred. In the third phase, we
take what we've learned to develop corrective actions and safety management system improvements.
Finally we write the report. OR-OSHA Course 102 has more information on this process.

Three levels of analysis
The initial analysis is conducted to determine the direct cause of injury.
Next, event analysis conducted to determine hazardous conditions and unsafe behaviors that may
have directly caused or contributed to the accident.
Finally, the conditions and behaviors are analyzed to determine if safety management system
weaknesses contributed in some way to the accident.

OR-OSHA 100


45


6. Training
Slide
Education tells Why
•
•
•
•

Builds the philosophical foundation
Transfers general knowledge
Explains natural and system consequences
Shapes attitudes

Training shows How
•
•
•
•

One form of education
Builds the specific knowledge base
Transfers initial skills
Shapes attitudes

Experience improves skills
• Increases insight, understanding
• Further develops expert skills
• Shapes attitudes

Accountability sustains behaviors
• Natural consequences - hurt or health
• System consequences - discipline, recognition, reward

Give examples of effective safety training.

Slide

______________________________________________________________
_
______________________________________________________________
_
How do you know safety training is effective?
______________________________________________________________
_
______________________________________________________________
“Safety training is worthless without accountability.”
“Safety training is worthless without accountability.”
_
Page 22
OR-OSHA 100

- Training Defined

46


Instructor Notes:
Briefly cover the bullets for education, training, and experience. Other info:
Can your employees explain every existing and potential hazard to which they are exposed? Do they
know how to protect themselves and their coworkers from these hazards? Can they tell you precisely
what they must do in the event of a fire or other emergency?
Training can help your employees develop the knowledge and skills they need to understand
workplace hazards and protect themselves. OR-OSHA considers safety and health training vital to
every workplace.
Safety and health education is most effective when integrated into your company's overall training in
performance requirements and job practices. It can range from the simple precautionary warnings
given new workers when they are first shown the job to more elaborate, formalized instruction.

Give examples of effective safety training.
Ask class to give examples of the types of safety training they conduct.
More info:
SOME COMMON TYPES OF SPECIALIZED TRAINING
Safety and Health Training for Managers. A good safety and health program is impossible without
support and understanding from the top. Training managers in their responsibilities is necessary to
ensure their continuing support and understanding.
Safety and Health Training for Supervisors. All employees should be involved in matters of safety
and health. However, workers often are promoted to supervisory positions without adequate
knowledge of how to train other employees in the safe and proper way to do the job.
Job Orientation. The format and extent of orientation training will depend on the complexity of
hazards and the work practices needed to control them.
Vehicular Safety. All workers operating a motor vehicle on the job should be trained in its safe
operation. Training in safe loading and unloading practices, safe speed in relation to varying
conditions, and proper vehicle maintenance has been found helpful in reducing work-related vehicle
injuries.
Personal Protective Equipment (PPE)
Supervisors and workers alike must be taught the proper selection, use, and maintenance of PPE.
Since PPE sometimes can be cumbersome, employees may need to be motivated to wear it in every
situation where protection is necessary.
Emergency Response. Train your employees to respond to emergency situations. Every employee at
every worksite needs to understand emergency telephone numbers and who may use them,
emergency exits and how they are marked, evacuation routes, and signals that alert employees to the
need to evacuate.
Periodic Safety and Health Training. At some worksites, complex work practices are necessary to
control hazards. Elsewhere, occupational injuries and illness are common. At such sites, it is
especially important that employees receive periodic safety and health training to refresh their
memories and to teach new methods of control.
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Safety training steps
Slide

1. Preparation
•
•
•
•

Choose a good location to train
Talk about what is going to be taught
Explain expectations and consequences
Explain why safe behavior is important - the natural and system consequences

2. Presentation
• Describe safety procedure/practice: general to specific
• Demonstrate safety procedure/practice: one step at a time
• Repeat steps if necessary and be patient
3. Involvement
• Ask worker to explain and perform procedure.
• Correct any errors immediately: address performance, not person.
• Practice until you and worker are confident.
4. Follow-up
•
•
•
•
•

Observe worker performing safety procedure/practice on the job.
Ask for, and give feedback: encourage questions.
Get commitment to use safe procedures.
Decrease observations over time as appropriate.
Evaluate the training: If you catch them doing it right…it’s been effective.

Slide

DOCUMENT TRAINING! Sample training certification for specific tasks

Trainee certification. I have received on-the-job training from the trainer listed below on those subjects below (or on
Trainee certification. I have received on-the-job training from the trainer listed below on those subjects below (or on
other side of sheet):
other side of sheet):
• List procedure(s), practice(s)____________________________________________________________________
• List procedure(s), practice(s)____________________________________________________________________
• List related policies, rules, accountabilities ________________________________________________________
• List related policies,
________________________________________________________
This training has provided me adequate opportunity to practice to determine and correct skill deficiencies. I understand that
This training has provided me adequate opportunity to practice to determine and correct skill deficiencies. I understand that
performing these procedures/practices safely is a condition of employment. I fully intend to comply with all safety and
performing these procedures/practices safely is a condition
operational requirements discussed. I understand that failure to comply with these requirements may result in progressive
operational requirements
discipline (or corrective actions) up to and including termination.
discipline (or corrective actions) up to and including termination.
___________________________________
___________________________________

_____________________
_____________________

(Trainee)
(Trainee)

(Date)
(Date)

Trainer certification. I have conducted on-the-job training on the subjects for the trainee(s) listed above. I have
Trainer certification. I have conducted on-the-job training on the subjects for the trainee(s) listed above. I have
explained procedures/practices and policies, answered all questions, observed practice, and tested each trainee individually.
explained procedures/practices and policies, answered all questions, observed practice, and tested each trainee individually.
I have determined that the trainee(s) listed above has/have adequate knowledge and skills to safety perform these
I have determined that the trainee(s) listed above has/have
procedures/practices.
procedures/practices.
___________________________________
___________________________________

_____________________
_____________________

(Trainer)
(Trainer)
OR-OSHA 100

- Training
Safety and Health Management - Instructor Guide docs

(Date)
(Date)

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48


Instructor Notes:
Cover each of the training steps with the class: More info:
CONDUCTING THE TRAINING
If employees are to learn and to improve, they must feel motivated. Here are some suggestions for
enhancing the success of your safety and health training:
• Prepare employees for training by putting them at ease. Recruit employees who show signs of
being good trainers of their coworkers.
• Prepare them to conduct this peer training.
• Explain the job or training topic. Determine how much your employees already know about it.
• Boost your employees' interest in training by helping them understand its benefits. For
example, training can reduce injuries and near-misses, and training can enhance productivity
and overall job performance, thereby improving the chance for advancement and other
rewards.
• Pace the instruction to the trainees' learning speed. Present the material clearly and patiently.
• Present only as much information in one session as your employees can master.
Have your employees perform each step of the operation and repeat your instructions and
explanations. Have them repeat a task until you are satisfied they know how to do it.
• Encourage employees to help each other by dividing the group into teacher/learner pairs or
practice pairs.
• Check frequently for correct performance during the initial practice period. Taper off on
surveillance as the trainees become more proficient.
• Encourage your employees to build the new skill into the way they work best, but caution them
not to change the newly learned procedure without first checking with you or their supervisor.

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7. Plan Evaluation
Slide
• Last and first phase of planning cycle
• Identify, analyze, evaluate all elements of the
program
Identify - “Is it present?” Yes/No. Inspect.
Analyze - “What does the policy, plan, procedure look like?”
Evaluate - Rate effectiveness. “Is it effective?” Judgment call.

• Use outside experts
• Primary safety committee responsibility - evaluate the safety and
health program
OAR 437- Division 1, Rule 0765(6) Hazard assessment and control.
• (d)(A) The safety committee shall assist the employer in evaluating the employer's
accident and illness prevention program, and shall make written recommendations to
improve the program where applicable.
• (f) Accountability. The safety committee shall evaluate the employer's accountability
system and make recommendations to implement supervisor and employee accountability
for safety and health.

• Establish procedures for change - an action plan
• Plan carefully - test it - study the results - adopt, abandon or revise

• Measure activity and results
• Supervisor, manager behaviors, performance
• Employee behaviors, performance

• Make effective recommendations
• Use facts and figures, not subjective hunches
• Contrast benefits of investment with high costs of inaction
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Instructor Notes:
Discuss each of the bullet items on this page. Ask class if they currently have some kind of safety
management system process that involves the safety committee in any way. More info:
EVALUATING YOUR SAFETY AND HEALTH PROGRAM
The scenario: Your safety and health program is in place. You have set your goal for the year and
clearly stated the objectives, procedures, and activities necessary to meet that goal. Responsibilities
have been defined and clearly assigned. Adequate authority and resources have been allocated. People
have been trained in their safety and health program roles, and they understand the consequences of
failing to perform their assignments.
The evaluation process is more than an inspection or an audit. Inspections are necessary to look at the
facility, the process, and the individual jobs in order to identify and then to eliminate or control any
hazards that may exist. Audits focus on program activities and seek to determine whether specific
objectives have been met. For example, if you are assessing employee participation by looking at the
activities of the safety committee, you will want to know if that committee met at the intervals
specified, and if most of the members attended each meeting.
1. 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.
2. 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.
3. 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.
Sample checklist on following pages:
Refer to and discuss the sample checklist. Ask the class if any of the students employ similar checklists
for evaluating the safety management system.
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SAFETY AND HEALTH MANAGEMENT PROGRAM EVALUATION
(Choose one) 5=Fully Met

3=Mostly Met

1=Partially Met

0=Not Present

ELEMENT 1 - MANAGEMENT COMMITMENT

Slide

____ 1. A written policy that sets a high priority for safety and health exists.
____ 2. A written safety and health goal and supporting objectives exist.
____ 3. The workplace safety and health policy is supported by management.
____ 4. Safety and health goals and objectives are supported by management.
____ 5. Management supports safety and health rules.
____ 6. Managers personally follow safety and health rules.
____ 7. Managers personally intervene in the safety behavior of others.
____ 8. Managers set a visible example of safety and health leadership.
____ 9. Managers participate in the safety and health training of employees.

ELEMENT 2 - ACCOUNTABILITY
____ 10. Management insists on compliance as demonstrated by effective enforcement of safety and health policies and
rules.
____ 11. Safety and health program tasks are each specifically assigned to a person or position for performance or
coordination.
____ 12. Each assignment of safety and health responsibility is clearly communicated.
____ 13. Individuals with assigned safety and health responsibilities have the necessary knowledge, skills, and timely
information to perform their duties.
____ 14. Individuals with assigned safety and health responsibilities have the authority to perform their duties.
____ 15. Individuals with assigned safety and health responsibilities have the resources to perform their duties.
____ 16. An accountability mechanism is included with each assignment of safety and health responsibility.
____ 17. Individuals are recognized and rewarded for meeting safety and health responsibilities.
____ 18. Individuals are disciplined for not meeting safety and health responsibilities.
____ 19. Supervisors know whether employees are meeting their safety and health responsibilities.

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ELEMENT 3 - EMPLOYEE INVOLVEMENT
____ 20. There is a process designed to involve employees in safety and health issues.
____ 21. Employees are aware of the safety and health involvement process at the workplace.
____ 22. Employees believe the process that involves them in safety and health issues is effective.
____ 23. The workplace safety and health policy is effectively communicated to employees.
____ 24. The workplace safety and health policy is supported by employees.
____ 25. Safety and health goals and supporting objectives are effectively communicated to employees.
____ 26. Safety and health goals and objectives are supported by employees.
____ 27. Employees use the hazard reporting system.
____ 28. Injury/Illness data analyses are reported to employees.
____ 29. Hazard control procedures are communicated to potentially affected employees.
____ 30. Employees are aware of how to obtain competent emergency medical care.

ELEMENT 4 – HAZARD IDENTIFICATION AND CONTROL
____ 31. A comprehensive baseline hazard survey has been conducted within the past five years.
____ 32. Effective job hazard analysis (JHA) is performed, as needed.
____ 33. Effective safety and health inspections are performed regularly.
____ 34. Effective surveillance of established hazard controls is conducted.
____ 35. An effective hazard reporting system exists.
____ 36. Change analysis is performed whenever a change in facilities, equipment, materials, or processes occurs.
____ 37. Expert hazard analysis is performed, as needed.
____ 38. Hazards are eliminated or controlled promptly.
____ 39. Hazard control procedures demonstrate a preference for engineering methods.
____ 40. Effective engineering controls are in place, as needed.
____ 41. Effective administrative controls are in place, as needed.
____ 42. Safety and health rules are written.

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OR-OSHA 100


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____ 43. Safe work practices are written.
____ 44. Personal protective equipment is effectively used as needed.
____ 45. Effective preventive and corrective maintenance is performed.
____ 46. Emergency equipment is well maintained.
____ 47. Engineered hazard controls are well maintained.
____ 48. Housekeeping is properly maintained.
____ 49. The organization is prepared for emergency situations.
____ 50. The organization has an effective plan for providing competent emergency medical care to employees and
others present on the site.
____ 51. An early-return-to-work program is in place at the facility.

ELEMENT 5 – INCIDENT / ACCIDENT INVESTIGATION
____ 52. Incidents/Accidents are investigated for root causes.
____ 53. Investigations are conducted to improve systems.
____ 54. Investigators are trained in procedures.
____ 55. Serious accidents/fatality investigations are conducted by teams.
____ 56. Analysis involves all interested parties.
____ 57. Disciplinary actions are not automatic tied to incidents/accidents.

ELEMENT 6 - TRAINING
____ 58. An organized safety an health training program exists.
____ 59. Employees receive safety and health training.
____ 60. Employee training covers hazards of the workplace.
____ 61. Employee safety and health training covers all OSHA-required subjects.
____ 62. Employee training covers the facility safety system.
____ 63. Appropriate safety and health training is provided to every employee.
____ 64. New employee orientation includes applicable safety and health information.

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OR-OSHA 100


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____ 65. Workplace safety and health policy is understood by employees.
____ 66. Safety and health goals and objectives are understood by employees.
____ 67. Employees periodically practice implementation of emergency plans.
____ 68. Employees are trained in the use of emergency equipment.
____ 69. Supervisors receive safety and health training.
____ 70. Supervisors receive all training required by OSHA standards.
____ 71. Supervisors are effectively trained on all applicable hazards.
____ 72. Supervisors are trained on all site-specific preventive measures and controls relevant to their needs and
supervisory responsibilities.
____ 73. Supervisor training covers the supervisory aspects of their safety and health responsibilities.
____ 74. Safety and health training is provided to managers, as appropriate.
____ 75. Managers are aware of all relevant safety and health training mandated by OSHA.
____ 76. Managers understand the organization's safety and health system.
____ 77. Relevant safety and health aspects are integrated into all management training.
____ 78. Relevant safety and health aspects are integrated into all management training.

ELEMENT 7 - PLAN EVALUATION
____ 79. Workplace injury/illness data are effectively analyzed.
____ 80. Safety and health training is regularly evaluated.
____ 81. Post-training knowledge and skills for safety and health are tested or evaluated.
____ 82. Hazard incidence data are effectively analyzed.
____ 83. Hazard controls are monitored to assure continued effectiveness.
____ 84. A review of in-place OSHA-mandated programs is conducted at least annually.
____ 85. A review of the overall safety and health management system is conducted at least annually.

Page 28
OR-OSHA 100


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Slide

Before you run, time to review
1. What is the criteria for management commitment?
___________________________________________________________________________
___________________________________________________________________________

2. T F Safety committees must evaluate accountability systems.

3. Effective safety committees perform the role of a ____________ not a ____________.
4. Engineering controls try to eliminate or reduce the ____________ itself. Management controls
attempt to reduce ____________ to the hazard by controlling behavior.
5. The purpose of effective incident/accident analysis is to fix the _________________.

6. Education increases _________________ while training improves ________________ .

7. Match the process on the left with goal statement on the right.
____ Identification

a. Determine what something looks like

____ Analysis

b. Determine if something is effective

____ Evaluation

c. Determine if something is present

Page 29
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Instructor notes:
For Level I training just use this final quiz as a review. In Level I training your students receive a
certificate or certification that they attended, not that they actually learned anything.
For Level II training, you are required to measure knowledge and/or skills. This quiz is one way to
measure knowledge. In Level II training students must pass a test of some kind to "pass" the course.
Typical methods of measurement include verbal, written exams and student demonstration.
1. What is the criteria for management commitment?
According to the text it's Time, Money and expressed Concern (TMC)
2. T F Safety committees must evaluate accountability systems. T
3. Effective safety committees perform the role of a ____________ not a ____________.
consultant, cop
4. Engineering controls try to eliminate or reduce the ____________ itself. Management controls
attempt to reduce ____________ to the hazard by controlling behavior.
hazard. exposure
5. The purpose of effective incident/accident analysis is to fix the _________________.
system
6. Education increases _________________ while training improves ________________ .
knowledge, skills
7. Match the process on the left with goal statement on the right.
____ Identification

a. Determine what something looks like

____ Analysis

b. Determine if something is effective

____ Evaluation

c. Determine if something is present

c, a, b

OR-OSHA 100


57


Additional Information
Instructor Notes: The additional
information is good reference
material for both student and
instructor. Reference it during the
course as you deem appropriate.

Page 31
OR-OSHA 100


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Strategic Map for Change and Continuous Improvement for
Safety and Health
The following strategic map describes major processes and milestones that need to be
implemented to successfully implement a change process for safety and health. This strategy is
intended to help you focus on the process rather than on individual tasks. It is common for most
sites to have a tendency to focus on the accomplishment of tasks, i.e., to train everyone on a
particular concern or topic or implement a new procedure for incident investigations. Sites that
maintain their focus on the larger process are far more successful. They can see the "forest"
from the "trees" and thus can make mid-course adjustments as needed. They never lose sight of
their intended goals, and tend not to get distracted or allow obstacles to interfere with their
mission. The process itself will take care of the task implementation and ensure that the
appropriate resources are provided and priorities are set.

Process Implementation Strategy:
1.Obtain Top Management "Buy-in" - This is the very first step that needs to be
accomplished. Top managers must be on board. If they are not, safety and health will compete
against core business issues such as production and profitability, a battle that will almost always
be lost. Management needs to understand the need for change and be willing to support it.
Showing the costs to the organization in terms of dollars (direct and indirect costs of accidents)
that are being lost, and the organizational costs (fear, lack of trust, feeling of being used, etc)
can be compelling reasons for doing something different. Because losses due to accidents are
bottom line costs to the organization, controlling these will more than pay for the needed
changes. In addition, as you are successful you will eliminate organizational barriers such as fear
and lack of trust – issues that typically get in the way of all of the organization's goals.
A safety and health
together due to the
people place a high
that are truly being

change process can very effectively drive change and bring an organization
ability to get buy-in from all levels. This stems from the fact that most
personal value on their own safety. They view the change efforts as things
done for them.

2.Continue Building "Buy-in" for the needed changes by building an alliance or partnership
between management, your union (if one exists), and employees. A compelling reason for the
change must be spelled out to everyone. People have to understand WHY they are being asked
to change what they normally do and what it will look like when they are successful. This needs
to be done upfront. If people get wind that something "is going down" and haven’t been formally
told anything, they will tend to naturally resist and opt out.
Identify key personnel to champion the change. These people must be visible and are the ones
to articulate the reasons for the changes. The reasons need to be compelling and motivational.
People frequently respond when they realize how many of their co-workers or subordinates are
being injured and that they may be next. Management and supervisors also respond when they
see the money being lost due to accidents and they realize that their actions toward safety truly
influence and define the employee safety culture.
3.Build Trust - Trusting is a critical part of accepting change and management needs to know
that this is the bigger picture, outside of all the details. Trust will occur as different levels within
the organization work together and begin to see success.

OR-OSHA 100


59

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