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)

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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%

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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

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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

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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

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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

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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.

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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.

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A Generic BehavioralChecklist Guides Observations

A Generic BehavioralChecklist Guides Observations

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Percent Safe by Behavioral Category Can be Graphed

Percent Safe by Behavioral Category Can be Graphed

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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

Topic 3:Self-Management

Topic 3:Self-Management

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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

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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

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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

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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

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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

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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:_______________________________________________________________________________________________________________________________________________________________________________________________________________________________

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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%

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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

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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)

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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

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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.

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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?

47

Performance Enhancement Concept:Eliminate High-Risk Driving,

and Improve All Driving!

SAFE

Generalized ImprovementUnsafe

Extremes

UNSAFE

Increasing Effectiveness