Safety and Health Program Assessment Worksheet OSHA Form 33 Jim Barkley OSHCON Consultant Manager.

Safety and Health Program Safety and Health Program Assessment WorksheetAssessment Worksheet

OSHA Form 33OSHA Form 33

Jim Barkley OSHCON Consultant ManagerJim Barkley OSHCON Consultant Manager

Form 33 Revised -- August 2007 2

Purpose

The intent of this presentation is to explain how OSHCON uses the Form 33, and show how employers might use it to measure and evaluate the strength and completeness of their safety and health programs.

Form 33 Revised -- August 2007 3

WHAT IS THE FORM 33?

The Form 33 is an evaluation tool used by OSHA Consultation to assess an employer’s total safety and health management system when we perform Full Service -Comprehensive consultation visits.

Form 33 Revised -- August 2007 4

Relation To SHARP & VPP

The Form 33, though completed for all consultations performed by OSHCON, has a critical scoring requirement for those companies vying for SHARP status.

The S&H Program attributes that the Form 33 contains are the same attributes that VPP applicants must also successfully develop.

Form 33 Revised -- August 2007 5

History

• First assessment worksheet was developed in 1984

• Evolved with the inception of OSHA’s 1989 Safety and Health Program Management Guidelines - Originally four Categories with 22, then 25 elements.

• Current 58 attribute form launched in 2001.

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Attribute Types

• Basic Items - 50 Attributes - Fundamental Building Blocks

• Stretch Items (*) - 8 Attributes - Attributes of Excellence - Operate Best When Basic Attributes are fully in Place

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Rating Values DefinedRating Values Defined

0: No discernible or meaningful indication that the item is even partially in place

1: Some portion or aspect is present although major improvement is needed

2: Item is largely in place with only minor improvements needed

3: Item is completely in place

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Rating Values DefinedRating Values Defined

NE:: Not Evaluated - Recognizes that comprehensive evaluations are often incremental processes.

NA:: Not Applicable – Recognizes that there are organizational differences between larger and very small workplaces.

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Concept of an Organizational Concept of an Organizational Safety and Health SystemSafety and Health System

Operational ComponentOperational ComponentManagerial ComponentManagerial ComponentCultural ComponentCultural Component

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Operational ComponentOperational Component

Nineteen (Nineteen (1919) Assessment Items) Assessment Items

Concerns system output regarding workplace Concerns system output regarding workplace hazardshazards and violations (unsafe and unhealthful and violations (unsafe and unhealthful conditions and activities)conditions and activities)

Two (Two (22) Sub-Components) Sub-Components Hazard Anticipation & Detection (Items 1-10)Hazard Anticipation & Detection (Items 1-10) Hazard Prevention & Control (Items 11-19)Hazard Prevention & Control (Items 11-19)

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Twenty (20) Assessment ItemsTwenty (20) Assessment Items

Concerns effect of traditional managerial functions:Concerns effect of traditional managerial functions: PlanningPlanning ControllingControlling CommunicatingCommunicating

Three (3) Sub-ComponentsThree (3) Sub-Components Planning & Evaluation (Items 20-25)Planning & Evaluation (Items 20-25) Administration & Supervision (Items 26-33)Administration & Supervision (Items 26-33) Safety & Health Training (Items 34-39)Safety & Health Training (Items 34-39)

Managerial ComponentManagerial Component

OrganizingOrganizing StaffingStaffing CoordinatingCoordinating

DirectingDirecting Staff DevelopmentStaff Development MotivatingMotivating

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Cultural ComponentCultural Component

Nineteen (Nineteen (1919) Assessment Items) Assessment ItemsConcerns values and principles mutually Concerns values and principles mutually

held by members of an organizationheld by members of an organizationTwo (Two (22) Sub-Components) Sub-Components

Management Leadership (Items 40-49)Management Leadership (Items 40-49)Employee ParticipationEmployee Participation (Items 50-58)(Items 50-58)

(Management leadership is needed to initiate change toward an (Management leadership is needed to initiate change toward an improved safety and health culture, and employee participation is improved safety and health culture, and employee participation is necessary to nurture and grow that culture.)necessary to nurture and grow that culture.)

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All Three Components Are Interrelated

O

M C

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A Systematic Method for Rating Attributes

• Incorporates the Concept of “Rating Cues” which are specific facts or perceptions that prompt and support the rating of a relevant attribute.

• Each attribute is worded as a positive statement.

• Each rating cue will operate either to CONFIRM or to NEGATE an attribute statement.

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Sources of Rating Cues

• Observations and Measurements

• Interviews of employees and management at all levels

• Review of Documents and Record keeping

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Cue Content

• Indication of the existence (or absence) of the Attribute

• Indication of the extent of the Attribute

• Indication of the actual effect of the Attribute

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Multiple Cues Are Considered And Weighed Together

• Initial Cue

• Supporting Cues

• Conflicting or Contradictory Cues

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“Effective” and “Effectively”

No two words carry more weight in our Safety and Health Program evaluations.

It is not enough to just have something in place, it must be EFFECTIVE.

Attributes that are only partially in place, or partially complete, or in place most of the time, are not 100% effective, and generate negative cues.

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Using Cues to Score Attributes

Rating Value

0 Eliminated by a Single Confirming (Positive) Cue

1 Requires a single Confirming cue and multiple Negating (Negative) cues

2 Requires multiple Confirming cues and only a few Negating cues

3 Eliminated by a single Negating cue

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Examples Of Negative Cues

Obviously, hazards and violations are negative cues. We would also include:

• Latest date on Safety Manual is 2002.• “Safety Man” is keeping the place really safe, but

it’s all up to him.• NEO very thorough, but occurs 1 month after hire.• Safety meetings not held when too busy. • Listed HAZCOM coordinator died 1 year ago.

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Examples of Positive Cues

• Employees know what an MSDS is.

• Has all the MSDS’s organized in a binder.

• Facility exhibits good housekeeping.

• Has stack of sign-in sheets for past safety meetings.

• Has a safety committee.

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Examples of Better Positive Cues

• Safety responsibilities built into every job description.

• Formal annual review of all JHA/JSA’s. • Created a matrix chart to show who’s first aid

card, certification, hearing test, etc., is due when.• Meeting minimum OSHA requirements gets you

2’s.• Exceeding minimum OSHA requirements gets

you 3’s.

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Analysis Of S&H Program

OSHCON is taught two ways to evaluate the Safety Program: Top-Down, and Bottom-Up Analysis.

Most Consultants prefer Bottom-Up Analysis because it starts with determination of hazard/no hazard, document/no document, positive response/negative response.

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Bottom-Up Assessment

Operational Component: Hazard Anticipation and Detection; and Hazard Prevention and Control

Cultural Component: Management Leadership & Employee Participation

Managerial Component: Planning and Evaluation; Administration and Supervision; and Safety & Health Training

^

^

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Bottom-Up Assessment

• This generally occurs during the physical walkthrough of the workplace. Employs primarily Observations, Measurements, and Employee Interviews

• Focuses on Hazards, Violations, and Program voids which are then linked to Operational Attribute(s) as negative cues.

• Positive cues are similarly linked to one or more Attributes.

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Bottom-Up Assessment

• Requires Analytical thinking to link Operational cues to Managerial and Cultural Attributes. You must identify the ROOT CAUSE, or you will be missing “The Gorilla” again.

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Hazard to System Linkage

Tier I Analysis

1. Link the Hazard to an Operational Component Failure

Tier II Analysis

2. Link the Operational Failure to a Managerial Component Failure

Tier III Analysis

3. Link the Managerial Failure to a Cultural Component Failure

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Linking A Hazard to the Operational Component

Att #2 Effective Inspections

Att #3 Effective Surveillance of Hazard Controls

Att #4 Effective Hazard Reporting

Att #12 Effective S&H Rules

Hazard Found: Damaged ladder in use. Could be due to breakdown in one of the following:

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Linking an Operational Failure to the Managerial Component

ADMINISTRATIVE & SUPERVISORY SUBCOMPONENTS

Assignment of Responsibility Attributes 26,27,28

Training of Responsible Person Attribute 29

Authority of Responsible Person

Attribute 30

Resources of Responsible Person

Attribute 31

Motivation of Responsible Person

Attributes 32,33

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What Is The Source of the Problem (Hazard) ?

(2) Inspection program exists but ladder is defective;• (26) An employee is designated to inspect ladders;• (27) Employee knows he is responsible for inspections;• (28) Employee has been told he’s accountable for the job;• (29) Employee has knowledge and skills to do effective

inspections;• (30) Employee has the authority to get the job done;• (31) Employee has the resources available to correct;• (32) Organizational policies promote the performance of

his S&H responsibilities.

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OPERATIONAL COMPONENT WEAKNESS….

Attribute #33 – Organizational policies do not result in correction of non-performance of safety and health responsibilities.

The company says it is tough on safety accountability but overlooks non-performance. No one has ever been disciplined.

Now we look for a link to the Cultural Component.

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Linking a Managerial Failure to the Cultural Component

During interviews of employees and supervisors we find that:

#41, “Top Management considers S&H to be a line rather than a staff function.” and

#50, “There is an effective process to involve employees in safety and health issues” both score low because…

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Linking a Managerial Failure to the Cultural Component

The Owner has difficulty truly relinquishing primary safety responsibilities to others. He likes to be in control. His running the company, and busy schedule are resulting in his overlooking of accountability issues.

What looked so good initially in the written Policies & Procedures Manual, is only in print – not fact.

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Linking a Managerial Failure to the Cultural Component

• Bottom-Up analysis of an individual hazard may not reveal a clear link to the Cultural Component

• Bottom-Up analysis of multiple hazards with common Managerial failures should provide much easier linkage to the Cultural Component.

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Realistically, back on Slide #28, we may have found that in addition to the Inspections, we had issues with other Operational Component Attributes.

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Hazard Found: Damaged ladder in use. Could be due to breakdown in one of the

following:

Att #2 Effective Inspections

Att #3 Effective Surveillance of Hazard Controls

Att #4 Effective Hazard Reporting

Att #12 Effective S&H Rules

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Likewise, any of the other Managerial Component Attributes from Slide 30 could have been found to be inadequate or ineffective.

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What Is The Source of the Problem (Hazard)? Slide 31

(2) Inspection program exists;• (26) An employee is designated to inspect ladders;• (27) Employee knows he is responsible for inspections;• (28) Employee has been told he’s accountable for the job;• (29) Employee has knowledge and skills to do effective

inspections;• (30) Employee has the authority to get the job done;• (31) Employee has the resources available to correct;• (32) Organizational policies promote the performance of

his S&H responsibilities.

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Finished Product

With multiple negative and positive cues for multiple Attributes, the finished analysis, if drawn on paper, might create so many Bottom-Up tracks crossing over each other that the analysis looks like one of John Madden’s confusing play diagrams, or an air traffic controller’s screen. It can get that complicated.

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Finished Product

The 58 Attributes are so interrelated, that I equate them to 58 marbles in a small bowl: You can’t move one, without causing several others around it to also move.

In this same manner, I have found that successful implementation of an action plan to enhance one Attribute, can indirectly result in various degrees of improvement for 2-5 other attributes.

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The Pitch!

Try the Form 33 at your workplace and see if it doesn’t help your safety program look better. If it doesn’t, you haven’t lost anything.

But I think it will make a difference in the way you identify program problems, and solve them more effectively.

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QUESTIONS?

Jim Barkley, OSHCON Consultant Manager

210-593-0070 ext 700

[email protected]

Fax 210-593-0103

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I. Operational ComponentI. Operational Component

A. Hazard Anticipation A. Hazard Anticipation && Detection Detection

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Item 1.Item 1. A comprehensive, baseline hazard A comprehensive, baseline hazard survey has been conducted within the past survey has been conducted within the past five (five (55) years.) years.

Purpose:Purpose: To determine if the organization, To determine if the organization, through site inspection and analysis, has through site inspection and analysis, has developed a reasonably complete inventory of developed a reasonably complete inventory of the the S & HS & H hazards existing at a certain time, hazards existing at a certain time, to serve as the basis for subsequent action to serve as the basis for subsequent action planning and priority setting.planning and priority setting.

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Item 2.Item 2. Effective safety and health self-Effective safety and health self-inspections are performed regularly.inspections are performed regularly.

Purpose:Purpose: To determine if personnel in the To determine if personnel in the organization are performing effective organization are performing effective S & HS & H inspections on a regular basis.inspections on a regular basis.

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Item 3.Item 3. Effective surveillance of Effective surveillance of established hazard controls established hazard controls is conducted.is conducted.

Purpose:Purpose: To determine if the organization To determine if the organization exercises ongoing diligence to detect exercises ongoing diligence to detect situations in which previously established situations in which previously established safety and health controls have become safety and health controls have become missing, defective, deficient, improperly missing, defective, deficient, improperly applied or otherwise inadequate.applied or otherwise inadequate.

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Item 4.Item 4. An effective hazard reporting An effective hazard reporting system exists.system exists.

Purpose:Purpose: To determine if the organization To determine if the organization has policies and procedures that operate to has policies and procedures that operate to effectively confirm employee knowledge of effectively confirm employee knowledge of hazard existence in order to facilitate hazard existence in order to facilitate planning and prompt hazard correction.planning and prompt hazard correction.

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Item 5.Item 5. Change analysis is performed Change analysis is performed whenever a change in facilities, equipment, whenever a change in facilities, equipment, materials, or processes occurs.materials, or processes occurs.

Purpose:Purpose: To determine if the organization To determine if the organization has effective policies and procedures that has effective policies and procedures that result in advance detection of potential result in advance detection of potential hazards associated with planned or hazards associated with planned or anticipated changes in the workplace.anticipated changes in the workplace.

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Item 6.Item 6. Accidents are investigated for Accidents are investigated for root causes.root causes.

Purpose:Purpose: To determine if the organization To determine if the organization investigates accidents to identify underlying investigates accidents to identify underlying causes so that corrective action can be taken causes so that corrective action can be taken to prevent recurrence.to prevent recurrence.

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Item 7.Item 7. Material Safety Data Sheets are Material Safety Data Sheets are used to reveal potential hazards used to reveal potential hazards associated with chemical products in the associated with chemical products in the workplace.workplace.

Purpose:Purpose: To determine if the organization is To determine if the organization is effectively utilizing the information contained effectively utilizing the information contained in Material Safety Data Sheets to detect in Material Safety Data Sheets to detect existing or potential hazards.existing or potential hazards.

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Item 8.Item 8. Effective job hazard analysis is Effective job hazard analysis is performed.performed.

Purpose:Purpose: To determine if the organization To determine if the organization conducts systematic, job specific analyses to conducts systematic, job specific analyses to detect conditions and work practices that may detect conditions and work practices that may lead to worker injury or illness.lead to worker injury or illness.

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Item 9.Item 9. Expert hazard analysis is Expert hazard analysis is performed.performed.

Purpose:Purpose: To determine if the organization To determine if the organization seeks competent advice and assistance when seeks competent advice and assistance when the expertise needed to perform effective the expertise needed to perform effective surveys, review, and analyses for workplace surveys, review, and analyses for workplace hazard detection is lacking internally.hazard detection is lacking internally.

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Item 10.Item 10. Incidents are investigated for Incidents are investigated for root causes.root causes.

Purpose:Purpose: To determine if the organization To determine if the organization investigatesinvestigates S & HS & H incidents to identify incidents to identify underlying causes so that corrective action underlying causes so that corrective action can be taken to prevent accidents that have can be taken to prevent accidents that have the same underlying causes.the same underlying causes.

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I. Operational ComponentI. Operational Component

A. Hazard Anticipation & Detection

B. Hazard Prevention and ControlB. Hazard Prevention and Control

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Item 11.Item 11. Feasible engineering controls Feasible engineering controls are in place.are in place.

Purpose:Purpose: To determine if the organization To determine if the organization identifies and employs engineering methods identifies and employs engineering methods to eliminate or control workplace hazards. to eliminate or control workplace hazards.

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Item 12.Item 12. Effective safety and health rules Effective safety and health rules and work practices are in place.and work practices are in place.

Purpose:Purpose: To determine if the organization has To determine if the organization has established general workplace rules and established general workplace rules and specific work practices that prescribe safe and specific work practices that prescribe safe and healthful behaviors and task performance healthful behaviors and task performance methods.methods.

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Item 13.Item 13. Applicable OSHA-mandated Applicable OSHA-mandated programs are effectively in place.programs are effectively in place.

Purpose:Purpose: To determine if the organization has To determine if the organization has effectively implemented program effectively implemented program management requirements in applicable management requirements in applicable OSHAOSHA standards. standards.

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Item 14.Item 14. Personal protective equipment Personal protective equipment is effectively used.is effectively used.

Purpose:Purpose: To determine if the organization To determine if the organization ensures effective use of personal protective ensures effective use of personal protective equipment.equipment.

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Item 15.Item 15. Housekeeping is properly Housekeeping is properly maintained.maintained.

Purpose:Purpose: To determine if the organization To determine if the organization maintains housekeeping at a level that avoids maintains housekeeping at a level that avoids the creation of workplace hazards.the creation of workplace hazards.

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Item 16.Item 16. The organization is prepared The organization is prepared for emergency situations.for emergency situations.

Purpose:Purpose: To determine if the organization is To determine if the organization is prepared for those foreseeable emergency prepared for those foreseeable emergency events that could result in injuries or illnesses events that could result in injuries or illnesses in the workplace and/or adjacent community.in the workplace and/or adjacent community.

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Item 17.Item 17. The organization has an The organization has an effective plan for providing competent effective plan for providing competent emergency medical care to employees emergency medical care to employees and others present at the site.and others present at the site.

Purpose:Purpose: To determine if the organization has To determine if the organization has established procedures that ensure timely established procedures that ensure timely access to emergency medical care.access to emergency medical care.

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Item 18.Item 18. Effective preventive maintenance Effective preventive maintenance is performed.is performed.

Purpose:Purpose: To determine if the organization To determine if the organization maintains facilities and equipment in a maintains facilities and equipment in a manner that precludes the creation of physical manner that precludes the creation of physical hazards and avoids the hazardous working hazards and avoids the hazardous working conditions often associated with emergency conditions often associated with emergency repairs.repairs.

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Item 19.Item 19. An effective procedure for An effective procedure for tracking hazard corrections is in place.tracking hazard corrections is in place.

Purpose:Purpose: To determine if the organization To determine if the organization monitors timely correction of identified monitors timely correction of identified hazards.hazards.

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II. Managerial ComponentII. Managerial Component

A. Planning A. Planning && Evaluation Evaluation

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Item 20.Item 20. Workplace injury/illness data Workplace injury/illness data are effectively analyzed.are effectively analyzed.

Purpose:Purpose: To determine if the organization uses To determine if the organization uses injury and illness data to aid hazard detection injury and illness data to aid hazard detection activities and to set safety and health prioritiesactivities and to set safety and health priorities ..

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Item 21.Item 21. Hazard incidence data are Hazard incidence data are effectively analyzed.effectively analyzed.

Purpose:Purpose: To determine if the organization To determine if the organization uses hazard incidence data to set safety and uses hazard incidence data to set safety and health priorities.health priorities.

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Item 22.Item 22. A safety and health goal and A safety and health goal and supporting objectives exist.supporting objectives exist.

Purpose:Purpose: To determine if the organization has To determine if the organization has established a clear purpose and direction for established a clear purpose and direction for its safety and health management function.its safety and health management function.

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Item 23.Item 23. An action plan designed to An action plan designed to accomplish the organization’s safety and accomplish the organization’s safety and health objectives is in place.health objectives is in place.

Purpose: Purpose: To determine if the organization has To determine if the organization has established specific actions with performance established specific actions with performance time frames to achieve its safety and health time frames to achieve its safety and health objectives.objectives.

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Item 24.Item 24. A review of in-place OSHA- A review of in-place OSHA-mandated programs is conducted at mandated programs is conducted at least annually.least annually.

Purpose:Purpose: To determine if the organization To determine if the organization periodically assesses the management aspects periodically assesses the management aspects of its of its OSHAOSHA-mandated programs.-mandated programs.

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Item 25.Item 25. A review of the overall safety and A review of the overall safety and health management system is conducted at health management system is conducted at least annually.least annually.

Purpose:Purpose: To determine if the organization To determine if the organization periodically audits the management aspects of periodically audits the management aspects of its overall safety and health system, its overall safety and health system, determining progress achieved toward its determining progress achieved toward its safety and health objectives, and identifying safety and health objectives, and identifying needed changes or improvements.needed changes or improvements.

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II. Managerial ComponentII. Managerial Component

A. Planning & Evaluation

B. Administration & SupervisionB. Administration & Supervision

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Item 26.Item 26. Safety and health program tasks Safety and health program tasks are each specifically assigned to a person are each specifically assigned to a person or position for performance or or position for performance or coordination.coordination.

Purpose:Purpose: To determine if the essential safety To determine if the essential safety and health responsibilities are identified and and health responsibilities are identified and assigned to appropriate personnel.assigned to appropriate personnel.

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Item 27.Item 27. Each assignment of safety and Each assignment of safety and health responsibility is clearly health responsibility is clearly communicated.communicated.

Purpose:Purpose: To determine if individuals in the To determine if individuals in the organization are aware of and understand their organization are aware of and understand their assigned safety and health responsibilities.assigned safety and health responsibilities.

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Item 28.Item 28. An accountability mechanism is An accountability mechanism is included with each assignment of safety included with each assignment of safety and health responsibility.and health responsibility.

Purpose:Purpose: To determine if persons making To determine if persons making assignments of safety and health assignments of safety and health responsibilities and personnel receiving such responsibilities and personnel receiving such assignments have a mutual understanding of assignments have a mutual understanding of how and when performance will be how and when performance will be evaluated.evaluated.

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Item 29.Item 29. Individuals with assigned safety Individuals with assigned safety and health responsibilities have the and health responsibilities have the necessary knowledge, skills, and timely necessary knowledge, skills, and timely information to perform their duties.information to perform their duties.

Purpose:Purpose: To determine if the organization’s To determine if the organization’s personnel have the understanding, skill and personnel have the understanding, skill and current information needed to effectively current information needed to effectively perform their safety and health perform their safety and health responsibilities.responsibilities.

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Item 30.Item 30. Individuals with assigned Individuals with assigned safety and health responsibilities have safety and health responsibilities have the authority to perform their duties.the authority to perform their duties.

Purpose:Purpose: To determine if the organization's To determine if the organization's personnel have adequate authority to perform personnel have adequate authority to perform their safety and health responsibilities their safety and health responsibilities effectively.effectively.

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Item 31.Item 31. Individuals with assigned Individuals with assigned safety and health responsibilities have safety and health responsibilities have the resources to perform their duties.the resources to perform their duties.

Purpose:Purpose: To determine if the organization’s To determine if the organization’s personnel have the necessary resources to personnel have the necessary resources to perform their safety and health perform their safety and health responsibilities effectively.responsibilities effectively.

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Item 32.Item 32. Organizational policies Organizational policies promote the performance of safety and promote the performance of safety and health responsibilities.health responsibilities.

Purpose:Purpose: To determine if the organization’s To determine if the organization’s personnel are provided positive incentive for personnel are provided positive incentive for performance of their safety and health performance of their safety and health responsibilities.responsibilities.

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Item 33Item 33. . Organizational policies result Organizational policies result in correction of non-performance of in correction of non-performance of safety and health responsibilities.safety and health responsibilities.

Purpose:Purpose: To determine if the organization’s To determine if the organization’s personnel are provided disincentives for personnel are provided disincentives for failure to perform their assigned safety and failure to perform their assigned safety and health responsibilities.health responsibilities.

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II. Managerial ComponentII. Managerial Component

A. Planning & Evaluation

B. Administration & Supervision

C. Safety & Health TrainingC. Safety & Health Training

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Item 34.Item 34. Employees receive appropriate Employees receive appropriate safety and health training.safety and health training.

Purpose:Purpose: To determine if the organization’s To determine if the organization’s personnel are provided appropriate training to personnel are provided appropriate training to ensure that they have the necessary ensure that they have the necessary knowledge and skill to perform their assigned knowledge and skill to perform their assigned safety and health responsibilities.safety and health responsibilities.

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Item 35.Item 35. New employee orientation New employee orientation includes applicable safety and health includes applicable safety and health information.information.

Purpose:Purpose: To determine if the organization To determine if the organization provides appropriate education and training provides appropriate education and training in safety and health protection for new in safety and health protection for new employees who are assuming new duties.employees who are assuming new duties.

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Item 36.Item 36. Supervisors receive appropriate Supervisors receive appropriate safety and health training.safety and health training.

Purpose:Purpose: To determine if the organization trains To determine if the organization trains supervisors to understand, recognize, and prevent supervisors to understand, recognize, and prevent or control safety and health hazards affecting or control safety and health hazards affecting their operations and personnel, and to take their operations and personnel, and to take prompt and appropriate action in response to prompt and appropriate action in response to emergencies.emergencies.

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Item 37.Item 37. Supervisors receive training Supervisors receive training that covers the supervisory aspects of that covers the supervisory aspects of their safety and health responsibilities.their safety and health responsibilities.

Purpose:Purpose: To determine if the organization To determine if the organization provides supervisory training that addresses provides supervisory training that addresses the supervisor’s safety and health management the supervisor’s safety and health management responsibilities as well as information on responsibilities as well as information on hazards.hazards.

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Item 38.Item 38. Safety and health training is Safety and health training is provided to managers.provided to managers.

Purpose:Purpose: To determine if the organization To determine if the organization provides an appropriate level of safety and provides an appropriate level of safety and health education and training for its health education and training for its managers.managers.

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Item 39.Item 39. Relevant safety and health Relevant safety and health aspects are integrated into management aspects are integrated into management training.training.

Purpose:Purpose: To determine if the organization To determine if the organization educates its managers to understand the way and educates its managers to understand the way and the extent to which effective safety and health the extent to which effective safety and health protection impacts overall business effectiveness, protection impacts overall business effectiveness, so that managers will be more likely to ensure so that managers will be more likely to ensure that the necessary safety and health management that the necessary safety and health management systems operate as needed.systems operate as needed.

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III. Cultural ComponentIII. Cultural Component

A. Management LeadershipA. Management Leadership

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Item 40.Item 40. Top management policy Top management policy establishes clear priority for safety and establishes clear priority for safety and health.health.

Purpose:Purpose: To determine if the organization has To determine if the organization has an established policy, emanating from top an established policy, emanating from top management, that sets worker safety and management, that sets worker safety and health as an organizational priority.health as an organizational priority.

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Item 41.Item 41. Top management considers Top management considers safety and health to be a safety and health to be a “line”“line” function function rather than a rather than a “staff”“staff” function. function.

Purpose: Purpose: To determine if the organization has To determine if the organization has established safety and health performance as established safety and health performance as an operational responsibility.an operational responsibility.

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Item 42.Item 42. Top management provides Top management provides competent safety and health staff assistance competent safety and health staff assistance to line managers and supervisors, as to line managers and supervisors, as appropriate.appropriate.

Purpose:Purpose: To determine if the organization To determine if the organization provides appropriate staff guidance and provides appropriate staff guidance and assistance to managers and supervisors relative assistance to managers and supervisors relative to their safety and health responsibilities.to their safety and health responsibilities.

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Item 43.Item 43. Managers personally follow Managers personally follow safety and health rules.safety and health rules.

Purpose: Purpose: To determine if the organization’s To determine if the organization’s managers set a visible leadership example by managers set a visible leadership example by strict adherence to established safety and health strict adherence to established safety and health rules.rules.

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Item 44.Item 44. Managers delegate the authority Managers delegate the authority necessary for personnel to carry out their necessary for personnel to carry out their assigned safety and health responsibilities assigned safety and health responsibilities effectively.effectively.

Purpose:Purpose: To determine if the organization’s To determine if the organization’s managers demonstrate safety and health leadership, managers demonstrate safety and health leadership, promote a culture of safety and health in the promote a culture of safety and health in the organization, and support effective operation of the organization, and support effective operation of the safety and health management system by delegating safety and health management system by delegating adequate authority for personnel to perform their adequate authority for personnel to perform their safety and health responsibilities.safety and health responsibilities.

Form 33 Revised -- August 2007 93

Item 45.Item 45. Managers allocate the resources Managers allocate the resources needed to properly support the needed to properly support the organization’s safety and health system.organization’s safety and health system.

Purpose: Purpose: To determine if the organization’s To determine if the organization’s managers demonstrate safety and health leadership, managers demonstrate safety and health leadership, promote a culture of safety and health in the promote a culture of safety and health in the organization, and support effective operation of the organization, and support effective operation of the safety and health management system by allocating safety and health management system by allocating needed resources.needed resources.

Form 33 Revised -- August 2007 94

Item 46.Item 46. Managers ensure that Managers ensure that appropriate safety and health training appropriate safety and health training is provided.is provided.

Purpose:Purpose: To determine if the organization’s To determine if the organization’s managers demonstrate safety and health leadership, managers demonstrate safety and health leadership, promote a culture of safety and health in the promote a culture of safety and health in the organization, and support effective operation of the organization, and support effective operation of the safety and health management system by ensuring that safety and health management system by ensuring that appropriate safety and health education and training is appropriate safety and health education and training is provided to workers, supervisors, and managers.provided to workers, supervisors, and managers.

Form 33 Revised -- August 2007 95

Item 47.Item 47. Managers support fair and Managers support fair and effective policies that promote safety and effective policies that promote safety and health performance.health performance.

Purpose:Purpose: To determine if the organization’s To determine if the organization’s managers demonstrate safety and health leadership, managers demonstrate safety and health leadership, promote a culture of safety and health in the promote a culture of safety and health in the organization, and support effective operation of the organization, and support effective operation of the safety and health management system by safety and health management system by establishing and adhering to reward and disciplinary establishing and adhering to reward and disciplinary policies for safety and health performance.policies for safety and health performance.

Form 33 Revised -- August 2007 96

Item 48.Item 48. Top management is involved in Top management is involved in the planning and evaluation of safety and the planning and evaluation of safety and health performance.health performance.

Purpose: Purpose: To determine if the organization’s To determine if the organization’s top managers personally track performance in top managers personally track performance in safety and health protection to demonstrate safety and health protection to demonstrate visible management leadership.visible management leadership.

Form 33 Revised -- August 2007 97

Item 49.Item 49. Top management values Top management values employee involvement and participation employee involvement and participation in safety and health issues.in safety and health issues.

Purpose:Purpose: To determine if the organization’s To determine if the organization’s top managers solicit and respect employee top managers solicit and respect employee input regarding workplace safety and health input regarding workplace safety and health issues, and encourage voluntary participation issues, and encourage voluntary participation in the organization’s safety and health system.in the organization’s safety and health system.

Form 33 Revised -- August 2007 98

III. Cultural ComponentIII. Cultural Component

A. Management Leadership

B. Employee Participation B. Employee Participation

Form 33 Revised -- August 2007 99

Item 50.Item 50. There is an effective process to There is an effective process to involve employees in safety and health involve employees in safety and health issues.issues.

Purpose: Purpose: To determine if there is an To determine if there is an established organizational process that is established organizational process that is known, trusted, and used by employees to known, trusted, and used by employees to provide input regarding safety and health provide input regarding safety and health issues.issues.

Form 33 Revised -- August 2007 100

Item 51.Item 51. Employees are involved in Employees are involved in organizational decision-making in organizational decision-making in regard to safety and health policy.regard to safety and health policy.

Purpose:Purpose: To determine if employees of the To determine if employees of the organization influence policy decisions organization influence policy decisions affecting their safety and health.affecting their safety and health.

Form 33 Revised -- August 2007 101

Item 52.Item 52. Employees are involved in Employees are involved in organizational decision-making in regard organizational decision-making in regard to the allocation of safety and health to the allocation of safety and health resources.resources.

Purpose:Purpose: To determine if employees of the To determine if employees of the organization influence the allocation of organization influence the allocation of resources affecting their safety and health.resources affecting their safety and health.

Form 33 Revised -- August 2007 102

Item 53.Item 53. Employees are involved in Employees are involved in organizational decision-making in organizational decision-making in regard to safety and health training.regard to safety and health training.

Purpose:Purpose: To determine if employees of the To determine if employees of the organization influence training decisions organization influence training decisions affecting their safety and health.affecting their safety and health.

Form 33 Revised -- August 2007 103

Item 54.Item 54. Employees participate in Employees participate in hazard detection activities.hazard detection activities.

Purpose:Purpose: To determine if employees of the To determine if employees of the organization are actively engaged in hazard organization are actively engaged in hazard detection activities.detection activities.

Form 33 Revised -- August 2007 104

Item 55.Item 55. Employees participate in Employees participate in hazard prevention and control hazard prevention and control activities.activities.

Purpose: Purpose: To determine if employees of the To determine if employees of the organization are actively engaged in hazard organization are actively engaged in hazard prevention and control activities.prevention and control activities.

Form 33 Revised -- August 2007 105

Item 56.Item 56. Employees participate in Employees participate in the safety and health training of co-the safety and health training of co-workers.workers.

Purpose: Purpose: To determine if employees of the To determine if employees of the organization are actively engaged in the organization are actively engaged in the delivery of safety and health training.delivery of safety and health training.

Form 33 Revised -- August 2007 106

Item 57.Item 57. Employees participate in Employees participate in safety and health planning activities.safety and health planning activities.

Purpose: Purpose: To determine if employees of the To determine if employees of the organization are actively engaged in setting organization are actively engaged in setting the safety and health goal and objectives of the safety and health goal and objectives of the workplace.the workplace.

Form 33 Revised -- August 2007 107

Item 58.Item 58. Employees participate in the Employees participate in the evaluation of safety and health evaluation of safety and health performance.performance.

Purpose: Purpose: To determine if employees of the To determine if employees of the organization are actively engaged in reviews organization are actively engaged in reviews and audits of safety and health performance.and audits of safety and health performance.