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Behavioral Safety ManagementBehavioral Safety Management
Ronald R. KniplingJeffrey S. Hickman
E. Scott Geller
Presentation to the U.S. DOTHuman Factors Coordinating Committee
October 30, 2002
Ronald R. KniplingJeffrey S. Hickman
E. Scott Geller
Presentation to the U.S. DOTHuman Factors Coordinating Committee
October 30, 2002
2
TopicsTopics
1. Safety Management Overview
2. Behavior-Based Safety
3. Self-Management
4. On-Board Safety Monitoring
1. Safety Management Overview
2. Behavior-Based Safety
3. Self-Management
4. On-Board Safety Monitoring
Topic 1:Safety Management Overview
Topic 1:Safety Management Overview
TRB Synthesis Report on
Effective Motor Carrier Safety Management Techniques
TRB Synthesis Report onEffective Motor Carrier Safety
Management Techniques
4
TRB Commercial Truck & BusSafety Synthesis Program
(CTBSSP)
TRB Commercial Truck & BusSafety Synthesis Program
(CTBSSP)
• New TRB program funded by FMCSA• Managed under TRB Cooperative Research
Programs• Three initial projects selected by panel:
1. CMV Security
2. Safety Management
3. Highway/Heavy Vehicle Interaction
• New TRB program funded by FMCSA• Managed under TRB Cooperative Research
Programs• Three initial projects selected by panel:
1. CMV Security
2. Safety Management
3. Highway/Heavy Vehicle Interaction
5
Project RationaleProject Rationale
• Management science and safety science are mature disciplines.
• Carrier safety is one of five major FMCSA R&T focus areas.
• Carrier safety management review and synthesis will support FMCSA and industry-based initiatives.
• Management science and safety science are mature disciplines.
• Carrier safety is one of five major FMCSA R&T focus areas.
• Carrier safety management review and synthesis will support FMCSA and industry-based initiatives.
6
Information SourcesInformation Sources
• FMCSA
• TRB panels and committees
• Traffic safety organizations
• Industry trade associations
• Surveys:– Fleet safety managers– Other experts
• FMCSA
• TRB panels and committees
• Traffic safety organizations
• Industry trade associations
• Surveys:– Fleet safety managers– Other experts
7
Safety ManagementProblem Areas (“What”)
Safety ManagementProblem Areas (“What”)
• Unsafe driving behaviors
• HOS violations and fatigue
• Operational factors (e.g., scheduling, dispatching, loading delays)
• Driver health & wellness
• High-risk drivers (all causes combined)
• Vehicle maintenance
• Unsafe driving behaviors
• HOS violations and fatigue
• Operational factors (e.g., scheduling, dispatching, loading delays)
• Driver health & wellness
• High-risk drivers (all causes combined)
• Vehicle maintenance
8
Safety Management Methods (“How”)
Safety Management Methods (“How”)
• Driver recruiting and selection• Carrier-based training• Management-driver communications• Driver safety performance evaluation• Safety incentives• Behavior-based safety• On-board safety monitoring• Event data recorders
• Driver recruiting and selection• Carrier-based training• Management-driver communications• Driver safety performance evaluation• Safety incentives• Behavior-based safety• On-board safety monitoring• Event data recorders
9
Safety Management Methods (“How”) (Continued)
Safety Management Methods (“How”) (Continued)
• Accident investigation. Improved driver scheduling and dispatching
• Fatigue management programs• Carrier-based medical programs• Preventive maintenance and inspection• Advanced safety technologies• Industry-based safety standards and
certification.
• Accident investigation. Improved driver scheduling and dispatching
• Fatigue management programs• Carrier-based medical programs• Preventive maintenance and inspection• Advanced safety technologies• Industry-based safety standards and
certification.
10
Project ScheduleProject Schedule
• Final report:
– Draft due on Dec. 15, 2002.– Final due on March 15, 2003.
• Final report:
– Draft due on Dec. 15, 2002.– Final due on March 15, 2003.
11
Emerging ThemesEmerging Themes
• Safety management science and professionalism.
• Individual differences/high-risk drivers.
• Behavioral approaches to change.
• Safety management science and professionalism.
• Individual differences/high-risk drivers.
• Behavioral approaches to change.
Topic 2:Behavior-Based Safety
Topic 2:Behavior-Based Safety
Portions of this presentation were adapted from
E. Scott Geller’s
The Psychology of Safety Handbook (2001)
Portions of this presentation were adapted from
E. Scott Geller’s
The Psychology of Safety Handbook (2001)
13
Behavior-Based Safety (BBS)
Behavior-Based Safety (BBS)
•Method for changing industrial worker safety behaviors and outcomes
•Combines principles of:-Behavior modification-Quality management-Organization development
•Key elements:-Employee driven-Continuous improvement process
-Focuses on changing behavior, not accident/incidents
•Method for changing industrial worker safety behaviors and outcomes
•Combines principles of:-Behavior modification-Quality management-Organization development
•Key elements:-Employee driven-Continuous improvement process
-Focuses on changing behavior, not accident/incidents
14
BBS Track Record:BBS Track Record:
• Implemented at more than 1,000 sites worldwide
•90% of companies adopting BBS continue
•Average 5-year incident/accident reduction: 62%
• Implemented at more than 1,000 sites worldwide
•90% of companies adopting BBS continue
•Average 5-year incident/accident reduction: 62%
15
Total Safety CultureTotal Safety Culture
ENVIRONMENTENVIRONMENTEquipment, Tools, Machines,
Housekeeping, Climate, Management Systems
BEHAVIOR
Putting on PPE, Lifting properly, Following procedures,Locking out power, Cleaning up spills,
Sweeping floors, Coaching peers
PERSONPERSONKnowledge, Skills, Abilities,
Intelligence, Motives,Attitude, Personality SAFETYSAFETY
CULTURECULTURE
16
Focusing on Behaviors Can Reduce Injuries
Focusing on Behaviors Can Reduce Injuries
At-Risk Behavior
Near Miss
Minor Injury
Serious Injury
Fatality
17
The ABC Model Explains Why We Do What We Do
The ABC Model Explains Why We Do What We Do
ActivatorsActivators
ConsequencesConsequences
BBehaviorehaviorBBehaviorehaviorDirect
Motivate
18
The ABC ModelExplains Why People Speed
The ABC ModelExplains Why People Speed
SpeedingSpeedingBBehaviorehavior
AActivatorsctivatorsGuides or directs Guides or directs the behaviorthe behaviorGuides or directs Guides or directs the behaviorthe behavior
CConsequencesonsequencesMotivatesMotivatesfuture occurrencesfuture occurrencesof the behaviorof the behavior
MotivatesMotivatesfuture occurrencesfuture occurrencesof the behaviorof the behavior
LateLate
Open Open road road
Sports Sports car car
Sunny Sunny day day
EmergencyEmergency
No No CopsCops Others areOthers are
SpeedingSpeeding
Police Police car car
Drivers Drivers Education Education
Speed Speed limit signs limit signs
Wear & TearWear & Tear
WreckWreckTicketTicket
PersonalPersonalInjuryInjury
WasteWasteGasGas
SaveSaveTimeTime
Fun!Fun!
PropertyPropertyDamageDamage
19
Direction Alone May Not be Sufficient To Maintain Behavior
Direction Alone May Not be Sufficient To Maintain Behavior
20
Some Consequences AreMore Powerful Than OthersSome Consequences Are
More Powerful Than Others
The MOST effective consequences are:
• Certain There’s a high probability you’ll receive the consequence
• Soon The consequence occurs immediately after your behavior
• Significant The consequence is significant or meaningful to you
The MOST effective consequences are:
• Certain There’s a high probability you’ll receive the consequence
• Soon The consequence occurs immediately after your behavior
• Significant The consequence is significant or meaningful to you
21
Some Consequences Weigh More Than Others
Some Consequences Weigh More Than Others
Risky Behavior: You're late and you speed 20 MPH over limitConsequences: Save Time vs. Ticket
Save Time
Ticket
Unc
erta
in
Soon
Sign
ifica
nt
Soon
Cer
tain
Sign
ifica
nt
22
Identifying Problems and Potential Solutions
Identifying Problems and Potential Solutions
ABC Analysis helps us understand ABC Analysis helps us understand activators and consequences, and activators and consequences, and how they influence safety behavior.how they influence safety behavior.
23
Observation and Feedback Improves Safety-Related Behaviors
Observation and Feedback Improves Safety-Related Behaviors
• Employees observe one another
• Observer follows checklist ofcritical safety-related behaviors
• Observer provides feedback to the observee
• Observer and observee problem-solve to identify improvements.
• Employees observe one another
• Observer follows checklist ofcritical safety-related behaviors
• Observer provides feedback to the observee
• Observer and observee problem-solve to identify improvements.
24
Observation and Feedback Continued
Observation and Feedback Continued
• Collect and compile observation checklists
• Graph collected data
• Review resulting information periodicallywith all employees
• Analyze and discuss resultsto identify follow-up actions.
• Collect and compile observation checklists
• Graph collected data
• Review resulting information periodicallywith all employees
• Analyze and discuss resultsto identify follow-up actions.
25
A Generic BehavioralChecklist Guides Observations
A Generic BehavioralChecklist Guides Observations
26
Percent Safe by Behavioral Category Can be Graphed
Percent Safe by Behavioral Category Can be Graphed
27
Benefits of Observation and Feedback
Benefits of Observation and Feedback
• Heightened awareness• Receive recognition• Learn through feedback• Learn through
observation• Builds trust• Employees design and
led
• Heightened awareness• Receive recognition• Learn through feedback• Learn through
observation• Builds trust• Employees design and
led
• Increase commitment• Builds trust• Fosters communication• Anonymous and
confidential• Dynamic• Non-directive• Non-punitive
• Increase commitment• Builds trust• Fosters communication• Anonymous and
confidential• Dynamic• Non-directive• Non-punitive
29
Need for Self-ManagementNeed for Self-Management
• Employees who dislike feedback
• Employees with little oversight
• Solitary employees
• Dangerous situations
• Employees who dislike feedback
• Employees with little oversight
• Solitary employees
• Dangerous situations
30
Self-ManagementSelf-Management
• Individuals change their own behavior in agoal-directed fashion by: – Identifying antecedents and consequences of at-risk
behavior– Goal-setting– Social support– Observing and recording specific target behaviors.– Self-administrating rewards for personal
achievements
• Individuals change their own behavior in agoal-directed fashion by: – Identifying antecedents and consequences of at-risk
behavior– Goal-setting– Social support– Observing and recording specific target behaviors.– Self-administrating rewards for personal
achievements
31
MethodsMethods
• Participants--dedicated short-haul truck drivers– Pre-Behavior (n=21)--drivers completed a CBC
before leaving the terminal for the day– Post-Behavior (n=12)--drivers completed a CBC
after returning from their deliveries for the day
• Setting--trucking terminals in Eastern U.S.
• Instrumentation-TripMaster Data Recorder
• Participants--dedicated short-haul truck drivers– Pre-Behavior (n=21)--drivers completed a CBC
before leaving the terminal for the day– Post-Behavior (n=12)--drivers completed a CBC
after returning from their deliveries for the day
• Setting--trucking terminals in Eastern U.S.
• Instrumentation-TripMaster Data Recorder
32
Dependent VariablesDependent Variables
• Self-reported driving behaviors-information on actual behaviors (Post-Behavior), or behavioral intentions (Pre-Behavior)– Extreme braking– Speeding
• Participation-frequency of checklists received• Driving behaviors from instrumented vehicles
– Extreme braking– Speeding
• Self-reported driving behaviors-information on actual behaviors (Post-Behavior), or behavioral intentions (Pre-Behavior)– Extreme braking– Speeding
• Participation-frequency of checklists received• Driving behaviors from instrumented vehicles
– Extreme braking– Speeding
33
TrainingTraining
• Participants in the Post-Behavior and Pre-Behavior conditions received one, two-hour training session– Self-report questionnaire– Confidentiality & incentive/reward– Rationale for self-management
• Consequence-focused (Post-behavior)• Activator-focused (Pre-behavior)
– Goal setting using SMART• Self-rewards
– Use of a critical behavior checklist (CBC)• Group exercises
• Participants in the Post-Behavior and Pre-Behavior conditions received one, two-hour training session– Self-report questionnaire– Confidentiality & incentive/reward– Rationale for self-management
• Consequence-focused (Post-behavior)• Activator-focused (Pre-behavior)
– Goal setting using SMART• Self-rewards
– Use of a critical behavior checklist (CBC)• Group exercises
34
Reward/IncentiveReward/Incentive
• Drivers received $1.00 for each completed CBC
• A raffle was be held at the end of the project. The winner was selected from all the completed CBCs. Each winner received $50
• Drivers received $1.00 for each completed CBC
• A raffle was be held at the end of the project. The winner was selected from all the completed CBCs. Each winner received $50
35
Driving ChecklistDriving Checklist
Self-Management ChecklistCompleted before starting your shift for the dayDate:_________Driver #________________
_____% of the time I will drive today without Overspeeding (please estimate)#_____of times I will have an Extreme Braking incident today while driving (please estimate)
Comments:_______________________________________________________________________________________________________________________________________________________________________________________________________________________________
36
FeedbackFeedback
• At the beginning of each week, each driver received a sealed envelope with their individual driver number on it.
• At the beginning of each week, each driver received a sealed envelope with their individual driver number on it.
5.00
7.00
0.00
1.00
2.00
3.00
4.00
5.00
6.00
7.00
8.00
Self-Observed Computer
Fre
qu
en
cy
of
Ex
tre
me
Bra
kin
g I
nc
ide
nts
37
OverspeedingOverspeeding
0
1
2
3
4
5
6
7
8
9
Consecutive Weeks
Pe
rce
nta
ge
of
Dri
vin
g T
ime
Ov
ers
pe
ed
ing
Post-Behavior
Pre-Behavior
1 2 3 4 5 6 7 8 9 10 11 12
BASELINE INTERVENTION WITHDRAWAL
Mean=2.3% Mean=1.6%
Mean=2.5%
Mean=6.3%
Mean=4.6%
Mean=6.5%
38
Extreme BrakingExtreme Braking
0
2
4
6
8
10
12
14
16
18
20
Consecutive Weeks
Me
an
Fre
qu
en
cy
of
Ex
tre
me
Bra
kin
g In
cid
en
ts
Post-Behavior
Pre-Behavior
BASELINE INTERVENTION WITHDRAWAL
1 2 3 4 5 6 7 8 9 10 11 12
Mean=1.22 Mean=.44 Mean=.87
Mean=7.3
Mean=3.7
Mean=7.2
39
DiscussionDiscussion
• Results suggest the self-management intervention was responsible for behavior change– Not training– Not increased attention towards safety
• Small gains, big wins– Pre-Behavior
• Mean=1,669 total road hours/month– 11.7 less hours speeding/month (140 hours/year)– 16 less extreme braking incidents/month (192/year)
• Results suggest the self-management intervention was responsible for behavior change– Not training– Not increased attention towards safety
• Small gains, big wins– Pre-Behavior
• Mean=1,669 total road hours/month– 11.7 less hours speeding/month (140 hours/year)– 16 less extreme braking incidents/month (192/year)
40
Discussion con’tDiscussion con’t
• No long-term behavior change– No self-persuasion
• Not enough time• Incentive
– Extrinsic motivation– Intrinsic motivation
• No long-term behavior change– No self-persuasion
• Not enough time• Incentive
– Extrinsic motivation– Intrinsic motivation
Topic 4:
On-Board Safety Monitoring:
A Macroergonomicand Behavioral Safety View
Topic 4:
On-Board Safety Monitoring:
A Macroergonomicand Behavioral Safety View
42
MacroergonomicsMacroergonomics
• The study of the interface of the human to the job and organization.
• Focus: the job’s “sociotechnical” system and its effect on workers;e.g., motivation, job satisfaction, work culture, safety practices, and behavior.
• The study of the interface of the human to the job and organization.
• Focus: the job’s “sociotechnical” system and its effect on workers;e.g., motivation, job satisfaction, work culture, safety practices, and behavior.
43
On-Board Safety MonitoringOn-Board Safety Monitoring
• Goal: refine driver safety performance• OBSM applications include:
– Speed– Acceleration (longitudinal and lateral)– Forward Headway– Alertness (e.g., PERCLOS)– Lane tracking (performance correlate of
alertness) – Sleep (e.g., the actigraph).
• Goal: refine driver safety performance• OBSM applications include:
– Speed– Acceleration (longitudinal and lateral)– Forward Headway– Alertness (e.g., PERCLOS)– Lane tracking (performance correlate of
alertness) – Sleep (e.g., the actigraph).
44
On-Board Safety MonitoringChallenges
On-Board Safety MonitoringChallenges
• Challenge #1:Achieving driver acceptance
• Challenge #2:Avoiding compensatory risktaking.
• Challenge #1:Achieving driver acceptance
• Challenge #2:Avoiding compensatory risktaking.
45
Using OBSM Technologies forPerformance-Based Management
Using OBSM Technologies forPerformance-Based Management
• Develop, validate, refine, and demonstrate technologies.
• Benchmark levels of safe performance.
• Implement as part of comprehensive behavioral safety management program.
• Provide financial, social, and regulatory incentives for meeting benchmarks.
• I.e., integrate technology into the job!
• Develop, validate, refine, and demonstrate technologies.
• Benchmark levels of safe performance.
• Implement as part of comprehensive behavioral safety management program.
• Provide financial, social, and regulatory incentives for meeting benchmarks.
• I.e., integrate technology into the job!
46
Elements of aMonitoring System
Elements of aMonitoring System
• Measure• Sensor• Algorithm(s)• DVI
– Thresholded?[i.e., a warning]
– Continuous?– Summative?
• Driver training• Other activators
• Measure• Sensor• Algorithm(s)• DVI
– Thresholded?[i.e., a warning]
– Continuous?– Summative?
• Driver training• Other activators
• Consequences– Immediate?– Post-trip?– Career?– Life and health?
• Gov’t regulatory support?
• Consequences– Immediate?– Post-trip?– Career?– Life and health?
• Gov’t regulatory support?