The Evolution of Safety Auditing

There are many ways that safety programs are audited and evaluated. There are some that are internal to the organization or site and there are others that are used external. Some companies use the idea of intra-site auditing where safety people from other sites perform a documented audit on another site. Year-over-year there are rotations among all the sites. The other choice is the organization chooses to hire an external auditor on a contract to perform these evaluations. There are also opportunities to leverage the organization’s loss prevention or insurance company to assist with performing or coordinating audits.

As a safety professional, it is easy to enter a site an find multiple unsafe behaviors or conditions. From a strictly technical standpoint, there are always opportunities for improvement. The reason an audit should be conducted is to get an idea of where the total compliance attitude sits on the organizational scale. Getting lost in the trees and forgetting that the forrest exists does not create benefit.

Regardless of how an audit is performed, there are some basic items about an audit that gives indications about the performance of the audit team, the site behavior, and the organizational culture. I have created a scaled list of how an audit should give insight to the organizational compliance.

Poor performance = few findings. High complexity

When a site is still developing the audit should be focused on big ticket items like: creating a lockout program, training employees on hazard communication, performing personal protective equipment surveys, and creating written programs. Inundating the site with lists and lists of detailed items is not helpful in this phase. They should be focused on simply developing programs. It is the idea that something is better than nothing. The natural cycle of continuous improvement will help the details become addressed.

Medium Performance = high findings, low complexity

When a site has become the typical performing organization, the transition begins to see more punch list style items. Depending on the overall performance of the site, this will drive the number of those items. The major items of program creation are gone. In their place is a list of items that need to be completed to enhance compliance such as labeling specific bottles, updating placards, and

Good performance = Few findings, low complexity

One of the best auditors I know has three categories of findings that he creates as part of his process:

Nonconformities are findings where the program is not implemented or not followed

Deficiencies are where the program is in place but there are elements that are not up to the standard

Opportunities for Improvement are where the auditor finds ways that the program can be improved and is fully in compliance.

A good performing plant will be mostly focused on the opportunities for improvement. The complexity will be low, there will be minimal findings, and the goal is to keep the momentum rolling. The site has many good aspects of the program, but even a good program can go bad if it does not seek continuous improvement.

Overall, the process of auditing is value added when it is properly scoped, controlled, and helps create improvement in the process. The sake of auditing for auditing sake is overall a losing prospect. The audit program should have a governing policy and process that should be followed. There should be a defined outcome and mission statement for the audit. It is through planning and a focus on improvement that the audit program brings true value to a safety organization.

Safety: Behavior or Motivation

I was recently at my final residency. Part of this process was to complete my dissertation research plan. The discussion around my topic about safety was talking about the theory behind the process of safety psychology.

 
On a complete side note, I did learn that with a qualitative research plan the theory is really something that gets built into the process as the research is conducted and not as a basis like quantitative research.

 
Back on topic: One of the discussions in my group was if I was studying behavior or if I was studying motivation. This whole discussion turned my thoughts upside down. Since I first began in safety over twelve years ago, I have been told that changing people’s behaviors was the ultimate goal of the safety professional. What if for all this time, I really should have been seeking to create motivation not change behavior. Mind blown!

 
With this new way of looking at how safety should be integrated into a organizational culture, it begins with the most simple thought: why do people need motivation to be safe? The over simplified answer is that going home whole should be enough motivation for anyone. Yet national statistics show that there are still 4,500 people a year that never go home to their families at the end of the work day. There are still too many people needing medical attention just by going to work. The real answer is much more complicated and infinitely more varied.

 
When evaluating motivation for safety, I personally subscribe to the Mazlow’s Hierarchy model. I feel this explanation fits the Occam’s Razor approach of being the most simplified and easiest to understand. The hierarchy shows that safety is the second key motivator of people. The first motivation is physiological: food, shelter, warmth, etc. In modern society, this need is met by having a job and affording a place to live and food to eat. So, the motivation for someone to have a job to meet their physiological need is greater than their motivation for safety. In my experience, this holds to be generally true.

Looking deeper at the motivation of the workplace, the comparison of the major metrics of business is safety, quality, delivery, and cost. Employee’s get very different messages when it comes to these and how they are motivated among them.
For example:

The site is able to have zero quality defects for a day = A reason to celebrate and congratulate

The site is able to meet all production targets for a day = A reason to celebrate and congratulate

The site is able to meet all cost metrcs for a day = A reason to celebrate and congratulate

The site is able to have zero safety incidents for a day = An expectation of the job
Another Example:

An employee misses their quality target = They are disciplined which attacks the physiological need.

An employee misses their production target = They are disciplined which attacks the physiological need.

An employee misses their cost target = They are disciplined which attacks the physiological need.

An employee misses their safety target = Probably nothing happens. They have found a work around to potentially help compensate for quality, production, or cost. They are seeking the most primal motivation of the physiological need.

Additionally with safety, the unsafe action statistically will not lead to an immediate injury. Someone could perform an unsafe act multiple times that would not lead to a direct injury. The more the act is performed, the more the individual becomes accepting of the risk. Ultimately though, risk will create a hazard and potentially an injury.

 
All that said to simply summarize that this whole time I have been wanting to change behaviors when really I need to be seeking to create motivation. As a safety professional or as a supervisor or as a manager, what can we do to create the motivation for our team to go home injury free? There is no simple answer. There is no silver bullet approach. Even though it is not all about behavior, there are cultural components and norm setting that has to occur to create that motivation for the team.

 
So here is a closing thought exercise: Look at the way your team is motivated and the systems that are in place to motivate, what behaviors and culture is it creating?