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3700
Appendix T1 Safety
Observation Procedure |
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1.0
Purpose
By
defining the process used in making Safety Observations
(SO), this procedure
implements the Safety Observation Program described in the ES&H Manual Chapter 3700
Safety Observation Program.
2.0
Scope
Since
the Jefferson Lab SO
Program, an integral part of the lab’s Integrated
Safety Management System (ISMS), is a lab-wide program, this procedure
applies to all laboratory organizations.
Because
effective use of the SO Program
requires training, this procedure is
not to be used by managers until they have received Safety Management
Leadership training available from the Environmental, Safety, Health, and
Quality (ESH&Q) Division.
3.0
Responsibilities
All Levels of
Management
- Conduct SOs
- Document SOs
- Review SO data
- Use SO data
reviews as part of their continuous improvement process
4.0
Process Steps
4.1
Planning
4.1.1
The plan includes:
·
When,
where and for how long the SO Session
will be (typically 30 to 60 minute per session)
·
What
operations will be observed
·
Will
the observation be done alone or with others
4.1.2
Scheduling of Sessions
Laboratory
policy is
that SOs are conducted with the following frequencies:
|
Supervisors/Team Leaders |
1
Observation/Week (1
Hr/Week, 1-2 Areas) |
|
Managers |
1 Observation/Week (1 Hr/Week, 1-2 Areas) |
|
Associate Directors (AD) &
Department Heads |
2
Observation/Month (2
Hr/Month, 1-2 Areas) |
|
Directorate |
1
Observation/Month (1
Hr/Month, 1-2 Areas) |
If
this policy
is followed, commitments to Department of Energy (DOE) will be met. Although managers on vacation or other travel
are not expected to “catch up” when they return, they are expected to plan
ahead and conduct observations prior to their absence to maintain the required
frequencies. In addition, SO “burnout” is
a concern. Especially in small work
groups employees
may be engaged too often (more than one time per week). Managers may find that conversations are
becoming repetitious and frustrating – a sign of burn out. Management should review these situations and
bring them to the attention of the AD-ESH&Q to make appropriate adjustments
to the required frequencies.
The
time of day and week should be varied and generally unannounced. Coverage of organizations should be complete
and reasonably uniform.
4.1.3
Types of sessions
4.1.3.1 Solo
and Joint
SOs may be
carried out by a single manager or with a peer in his organization.
4.1.3.2 Tiered[1]
Tiered observations involve two or at most three managers from
various levels within an organizational unit.
4.1.3.3 Cross1
Cross
observations involve two or at most three managers from different
organizations.
4.2
Perform SO
4.2.1
Observe people and observations
in the workplace
·
Loosely
guided by the SO
plan observe for a short time (no more than a few minutes).
·
Formulate
a question or comment.
4.2.2
Dedicate time to SO
Focusing
solely on conducting the SO maintains
concentration, improves the quality of the observations and sends the message
to all employees
that this is an important activity.
4.2.3
Notes
It is not necessary to take notes in the “field”, but
it is OK to do so. However, recognize that note
taking during a conversation with an employee may
make that employee
nervous. Explain that any notes are
non-attributable; workers are not identified when the observation is
recorded. There is a “Safety
Observation Form” that is designed to assist in the observation and can be
used to record information.
4.2.4
Focus on Behavior and Actions
Focus on the safety behavior and actions of employees
rather than on unsafe
conditions. Unsafe acts
are almost always behind unsafe
conditions. While elimination of unsafe acts
is the key to improved safety performance, it is not always easy to determine
what the underlying unsafe acts
are from observation of unsafe
conditions, and caution is required to avoid drawing unjustified
conclusions.
It
is usually simple to correct an unsafe
condition, but doing so leaves the underlying causes in place. These can re-generate unsafe
conditions and expose workers to potential injury.
4.2.5
Talk with Employee
This
conversation is the core of the SO Program.
·
To
avoid creating a potential for injury engage the observed employee
without startling, distracting or surprising him/her.
·
Discuss
safe and unsafe behavior.
·
In
the case of unsafe behavior the goal is a constructive dialog that results in
worker recognition of the need to modify behavior.
·
The
goal is persuasion and agreement rather than enforcement.
In
rare cases it may be necessary to terminate the SO process:
·
If
an employee
is observed in a repeated, flagrant, or willful violation of clear safety rules
and procedures,
management must use the Stop-Work Process as described in ESH Manual Chapter 3330 Appendix
T2 Stop Work for Safety Procedure to initiate a Stop-Work
Order.
·
For
situations involving hazards of less magnitude the suspend work
process (also described in ESH Manual Chapter 3330
Appendix T1 Suspend Work for Safety Procedure) is the appropriate response.
·
It
may be incumbent on management to take disciplinary action. This is outside the scope of the SO
process. The Human Resource Department
should be consulted for more information.
4.3
Follow-up
There
are many cases in which safety issues identified in SO Sessions are resolved on the spot, and no further action is indicated. In many other cases, the follow-up/actions
remain with the employees. As the SO process focuses primarily on safety behavior,
this is appropriate. However, there will
also be many issues requiring correction of unsafe acts, improved tools and procedures,
or additional training, which will require action and follow-up by
management. In any case, unless
follow-up action actually occurs, some of the power of the SO process will be lost. Consequently, the “Safety
Observation Reports” web application contains a feature that
notifies ESH&Q staff of issues that need follow-up. These issues are then forwarded to the
Division Safety Officer and safety
warden to track follow-up in a timely way.
4.4
Document SO Session
The
principal benefits of SO come from the direct, face-to-face
communication about safety issues between management and employees. But to get the full benefits of the program,
it is necessary to document the SO and collect, aggregate and analyze the
data. This facilitates an understanding
of safety behavior patterns in the organization and allows broader
conclusions than are possible from individual observations.
The SO data
represent the laboratory’s best set of leading safety performance indicators.
4.4.1
Document
each SO Session using the web-based data
entry tool.
4.4.2
Below
is an illustration of a completed SO Report done
using the web-based tool.
4.5
Review Data
4.5.1
Short-term
Managers at all levels review and
discuss the data from the SO with their staffs
at least monthly. This ensures that staff members are familiar with the nature
and the severity of the unsafe acts
and behaviors in their organization.
This permits appropriate management and staff response to trends and
problems, and demonstrates management’s commitment to the SO program.
4.5.2 Long-term
SO data are
collected and presented in ways that enable management to review and analyze
findings to gain deeper understanding of the safety issues and safety behavior
patterns in their organizations. These
analysis tools are available at https://www1.jlab.org/mis/apps/ehs/safety_observations/reports.cfm
5.0
References
ES&H Manual Chapter 3700
Safety Observation Program
ES&H Manual Chapter
3700 Appendix T2 Safety Observation Report Procedure
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ISSUING
AUTHORITY |
APPENDIX AUTHOR |
APPROVAL
DATE |
EFFECTIVE
DATE |
EXPIRATION
DATE |
REV. |
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ESH&Q Division |
11/19/08 |
11/19/08 |
11/19/11 |
0 |
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