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

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


1
Safety and Health Program Assessment Worksheet
OSHA Form 33Jim Barkley OSHCON Consultant
Manager
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.

3
WHAT IS THE FORM 33?
  • The Form 33 is an evaluation tool used by OSHA
    Consultation to assess an employers total safety
    and health management system when we perform Full
    Service -Comprehensive consultation visits.

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 SH Program attributes that the Form 33
    contains are the same attributes that VPP
    applicants must also successfully develop.

5
History
  • First assessment worksheet was developed in 1984
  • Evolved with the inception of OSHAs 1989 Safety
    and Health Program Management Guidelines -
    Originally four Categories with 22, then 25
    elements.
  • Current 58 attribute form launched in 2001.

6
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

7
Rating 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

8
Rating 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.

9
Concept of an Organizational Safety and Health
System
  • Operational Component
  • Managerial Component
  • Cultural Component

10
Operational Component
  • Nineteen (19) Assessment Items
  • Concerns system output regarding workplace
    hazards and violations (unsafe and unhealthful
    conditions and activities)
  • Two (2) Sub-Components
  • Hazard Anticipation Detection (Items 1-10)
  • Hazard Prevention Control (Items 11-19)

11
Managerial Component
  • Twenty (20) Assessment Items
  • Concerns effect of traditional managerial
    functions
  • Planning
  • Controlling
  • Communicating
  • Three (3) Sub-Components
  • Planning Evaluation (Items 20-25)
  • Administration Supervision (Items 26-33)
  • Safety Health Training (Items 34-39)
  • Directing
  • Staff Development
  • Motivating
  • Organizing
  • Staffing
  • Coordinating

12
Cultural Component
  • Nineteen (19) Assessment Items
  • Concerns values and principles mutually held by
    members of an organization
  • Two (2) Sub-Components
  • Management Leadership (Items 40-49)
  • Employee Participation (Items 50-58)
  • (Management leadership is needed to initiate
    change toward an improved safety and health
    culture, and employee participation is necessary
    to nurture and grow that culture.)

13
All Three Components Are Interrelated
  • O

M
C
14
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.

15
Sources of Rating Cues
  • Observations and Measurements
  • Interviews of employees and management at all
    levels
  • Review of Documents and Record keeping

16
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

17
Multiple Cues Are Considered And Weighed Together
  • Initial Cue
  • Supporting Cues
  • Conflicting or Contradictory Cues

18
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.

19
Using Cues to Score Attributes
20
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 its 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.

21
Examples of Positive Cues
  • Employees know what an MSDS is.
  • Has all the MSDSs organized in a binder.
  • Facility exhibits good housekeeping.
  • Has stack of sign-in sheets for past safety
    meetings.
  • Has a safety committee.

22
Examples of Better Positive Cues
  • Safety responsibilities built into every job
    description.
  • Formal annual review of all JHA/JSAs.
  • Created a matrix chart to show whos first aid
    card, certification, hearing test, etc., is due
    when.
  • Meeting minimum OSHA requirements gets you 2s.
  • Exceeding minimum OSHA requirements gets you 3s.

23
Analysis Of SH 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.

24
Bottom-Up Assessment
Cultural Component Management Leadership
Employee Participation

Managerial Component Planning and Evaluation
Administration and Supervision and Safety
Health Training

Operational Component Hazard Anticipation and
Detection and Hazard Prevention and Control
25
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.

26
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.

27
Hazard to System Linkage
28
Linking A Hazard to the Operational Component
Hazard Found Damaged ladder in use. Could be due
to breakdown in one of the following
29
Linking an Operational Failure to the Managerial
Component
30
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 hes 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 SH
    responsibilities.

31
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.

32
Linking a Managerial Failure to the Cultural
Component
  • During interviews of employees and supervisors we
    find that
  • 41, Top Management considers SH 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

33
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.

34
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.

35
  • Realistically, back on Slide 28, we may have
    found that in addition to the Inspections, we had
    issues with other Operational Component
    Attributes.

36
Hazard Found Damaged ladder in use. Could be due
to breakdown in one of the following
37
  • Likewise, any of the other Managerial
    Component Attributes from Slide 30 could have
    been found to be inadequate or ineffective.

38
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 hes 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 SH
    responsibilities.

39
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 Maddens confusing play
    diagrams, or an air traffic controllers screen.
    It can get that complicated.

40
Finished Product
  • The 58 Attributes are so interrelated, that I
    equate them to 58 marbles in a small bowl You
    cant 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.

41
The Pitch!
  • Try the Form 33 at your workplace and see if
    it doesnt help your safety program look better.
    If it doesnt, you havent lost anything.
  • But I think it will make a difference in the
    way you identify program problems, and solve them
    more effectively.

42
QUESTIONS?
  • Jim Barkley, OSHCON Consultant Manager
  • 210-593-0070 ext 700
  • james.barkley_at_tdi.state.tx.us
  • Fax 210-593-0103

43
I. Operational ComponentA. Hazard Anticipation
Detection
44
Item 1. A comprehensive, baseline hazard survey
has been conducted within the past five (5) years.
  • Purpose To determine if the organization,
    through site inspection and analysis, has
    developed a reasonably complete inventory of the
    S H hazards existing at a certain time, to
    serve as the basis for subsequent action planning
    and priority setting.

45
Item 2. Effective safety and health
self-inspections are performed regularly.
  • Purpose To determine if personnel in the
    organization are performing effective S H
    inspections on a regular basis.

46
Item 3. Effective surveillance of established
hazard controls is conducted.
  • Purpose To determine if the organization
    exercises ongoing diligence to detect situations
    in which previously established safety and health
    controls have become missing, defective,
    deficient, improperly applied or otherwise
    inadequate.

47
Item 4. An effective hazard reporting system
exists.
  • Purpose To determine if the organization has
    policies and procedures that operate to
    effectively confirm employee knowledge of hazard
    existence in order to facilitate planning and
    prompt hazard correction.

48
Item 5. Change analysis is performed whenever a
change in facilities, equipment, materials, or
processes occurs.
  • Purpose To determine if the organization has
    effective policies and procedures that result in
    advance detection of potential hazards associated
    with planned or anticipated changes in the
    workplace.

49
Item 6. Accidents are investigated for root
causes.
  • Purpose To determine if the organization
    investigates accidents to identify underlying
    causes so that corrective action can be taken to
    prevent recurrence.

50
Item 7. Material Safety Data Sheets are used to
reveal potential hazards associated with chemical
products in the workplace.
  • Purpose To determine if the organization is
    effectively utilizing the information contained
    in Material Safety Data Sheets to detect existing
    or potential hazards.

51
Item 8. Effective job hazard analysis is
performed.
  • Purpose To determine if the organization
    conducts systematic, job specific analyses to
    detect conditions and work practices that may
    lead to worker injury or illness.

52
Item 9. Expert hazard analysis is performed.
  • Purpose To determine if the organization seeks
    competent advice and assistance when the
    expertise needed to perform effective surveys,
    review, and analyses for workplace hazard
    detection is lacking internally.

53
Item 10. Incidents are investigated for root
causes.
  • Purpose To determine if the organization
    investigates S H incidents to identify
    underlying causes so that corrective action can
    be taken to prevent accidents that have the same
    underlying causes.

54
I. Operational ComponentA. Hazard
Anticipation DetectionB. Hazard Prevention and
Control
55
Item 11. Feasible engineering controls are in
place.
  • Purpose To determine if the organization
    identifies and employs engineering methods to
    eliminate or control workplace hazards.

56
Item 12. Effective safety and health rules and
work practices are in place.
  • Purpose To determine if the organization has
    established general workplace rules and specific
    work practices that prescribe safe and healthful
    behaviors and task performance methods.

57
Item 13. Applicable OSHA-mandated programs are
effectively in place.
  • Purpose To determine if the organization has
    effectively implemented program management
    requirements in applicable OSHA standards.

58
Item 14. Personal protective equipment is
effectively used.
  • Purpose To determine if the organization ensures
    effective use of personal protective equipment.

59
Item 15. Housekeeping is properly maintained.
  • Purpose To determine if the organization
    maintains housekeeping at a level that avoids the
    creation of workplace hazards.

60
Item 16. The organization is prepared for
emergency situations.
  • Purpose To determine if the organization is
    prepared for those foreseeable emergency events
    that could result in injuries or illnesses in the
    workplace and/or adjacent community.

61
Item 17. The organization has an effective plan
for providing competent emergency medical care to
employees and others present at the site.
  • Purpose To determine if the organization has
    established procedures that ensure timely access
    to emergency medical care.

62
Item 18. Effective preventive maintenance is
performed.
  • Purpose To determine if the organization
    maintains facilities and equipment in a manner
    that precludes the creation of physical hazards
    and avoids the hazardous working conditions often
    associated with emergency repairs.

63
Item 19. An effective procedure for tracking
hazard corrections is in place.
  • Purpose To determine if the organization
    monitors timely correction of identified hazards.

64
II. Managerial ComponentA. Planning Evaluation
65
Item 20. Workplace injury/illness data are
effectively analyzed.
  • Purpose To determine if the organization uses
    injury and illness data to aid hazard detection
    activities and to set safety and health
    priorities.

66
Item 21. Hazard incidence data are effectively
analyzed.
  • Purpose To determine if the organization uses
    hazard incidence data to set safety and health
    priorities.

67
Item 22. A safety and health goal and supporting
objectives exist.
  • Purpose To determine if the organization has
    established a clear purpose and direction for its
    safety and health management function.

68
Item 23. An action plan designed to accomplish
the organizations safety and health objectives
is in place.
  • Purpose To determine if the organization has
    established specific actions with performance
    time frames to achieve its safety and health
    objectives.

69
Item 24. A review of in-place OSHA-mandated
programs is conducted at least annually.
  • Purpose To determine if the organization
    periodically assesses the management aspects of
    its OSHA-mandated programs.

70
Item 25. A review of the overall safety and
health management system is conducted at least
annually.
  • Purpose To determine if the organization
    periodically audits the management aspects of its
    overall safety and health system, determining
    progress achieved toward its safety and health
    objectives, and identifying needed changes or
    improvements.

71
II. Managerial Component A. Planning
Evaluation B. Administration
Supervision
72
Item 26. Safety and health program tasks are each
specifically assigned to a person or position for
performance or coordination.
  • Purpose To determine if the essential safety and
    health responsibilities are identified and
    assigned to appropriate personnel.

73
Item 27. Each assignment of safety and health
responsibility is clearly communicated.
  • Purpose To determine if individuals in the
    organization are aware of and understand their
    assigned safety and health responsibilities.

74
Item 28. An accountability mechanism is included
with each assignment of safety and health
responsibility.
  • Purpose To determine if persons making
    assignments of safety and health responsibilities
    and personnel receiving such assignments have a
    mutual understanding of how and when performance
    will be evaluated.

75
Item 29. Individuals with assigned safety and
health responsibilities have the necessary
knowledge, skills, and timely information to
perform their duties.
  • Purpose To determine if the organizations
    personnel have the understanding, skill and
    current information needed to effectively perform
    their safety and health responsibilities.

76
Item 30. Individuals with assigned safety and
health responsibilities have the authority to
perform their duties.
  • Purpose To determine if the organization's
    personnel have adequate authority to perform
    their safety and health responsibilities
    effectively.

77
Item 31. Individuals with assigned safety and
health responsibilities have the resources to
perform their duties.
  • Purpose To determine if the organizations
    personnel have the necessary resources to perform
    their safety and health responsibilities
    effectively.

78
Item 32. Organizational policies promote the
performance of safety and health responsibilities.
  • Purpose To determine if the organizations
    personnel are provided positive incentive for
    performance of their safety and health
    responsibilities.

79
Item 33. Organizational policies result in
correction of non-performance of safety and
health responsibilities.
  • Purpose To determine if the organizations
    personnel are provided disincentives for failure
    to perform their assigned safety and health
    responsibilities.

80
II. Managerial Component A. Planning
Evaluation B. Administration
Supervision C. Safety Health Training
81
Item 34. Employees receive appropriate safety and
health training.
  • Purpose To determine if the organizations
    personnel are provided appropriate training to
    ensure that they have the necessary knowledge and
    skill to perform their assigned safety and health
    responsibilities.

82
Item 35. New employee orientation includes
applicable safety and health information.
  • Purpose To determine if the organization
    provides appropriate education and training in
    safety and health protection for new employees
    who are assuming new duties.

83
Item 36. Supervisors receive appropriate safety
and health training.
  • Purpose To determine if the organization trains
    supervisors to understand, recognize, and prevent
    or control safety and health hazards affecting
    their operations and personnel, and to take
    prompt and appropriate action in response to
    emergencies.

84
Item 37. Supervisors receive training that covers
the supervisory aspects of their safety and
health responsibilities.
  • Purpose To determine if the organization
    provides supervisory training that addresses the
    supervisors safety and health management
    responsibilities as well as information on
    hazards.

85
Item 38. Safety and health training is provided
to managers.
  • Purpose To determine if the organization
    provides an appropriate level of safety and
    health education and training for its managers.

86
Item 39. Relevant safety and health aspects are
integrated into management training.
  • Purpose To determine if the organization
    educates its managers to understand the way and
    the extent to which effective safety and health
    protection impacts overall business
    effectiveness, so that managers will be more
    likely to ensure that the necessary safety and
    health management systems operate as needed.

87
III. Cultural Component A. Management
Leadership
88
Item 40. Top management policy establishes clear
priority for safety and health.
  • Purpose To determine if the organization has an
    established policy, emanating from top
    management, that sets worker safety and health as
    an organizational priority.

89
Item 41. Top management considers safety and
health to be a line function rather than a
staff function.
  • Purpose To determine if the organization has
    established safety and health performance as an
    operational responsibility.

90
Item 42. Top management provides competent safety
and health staff assistance to line managers and
supervisors, as appropriate.
  • Purpose To determine if the organization
    provides appropriate staff guidance and
    assistance to managers and supervisors relative
    to their safety and health responsibilities.

91
Item 43. Managers personally follow safety and
health rules.
  • Purpose To determine if the organizations
    managers set a visible leadership example by
    strict adherence to established safety and health
    rules.

92
Item 44. Managers delegate the authority
necessary for personnel to carry out their
assigned safety and health responsibilities
effectively.
  • Purpose To determine if the organizations
    managers demonstrate safety and health
    leadership, promote a culture of safety and
    health in the organization, and support effective
    operation of the safety and health management
    system by delegating adequate authority for
    personnel to perform their safety and health
    responsibilities.

93
Item 45. Managers allocate the resources needed
to properly support the organizations safety and
health system.
  • Purpose To determine if the organizations
    managers demonstrate safety and health
    leadership, promote a culture of safety and
    health in the organization, and support effective
    operation of the safety and health management
    system by allocating needed resources.

94
Item 46. Managers ensure that appropriate safety
and health training is provided.
  • Purpose To determine if the organizations
    managers demonstrate safety and health
    leadership, promote a culture of safety and
    health in the organization, and support effective
    operation of the safety and health management
    system by ensuring that appropriate safety and
    health education and training is provided to
    workers, supervisors, and managers.

95
Item 47. Managers support fair and effective
policies that promote safety and health
performance.
  • Purpose To determine if the organizations
    managers demonstrate safety and health
    leadership, promote a culture of safety and
    health in the organization, and support effective
    operation of the safety and health management
    system by establishing and adhering to reward and
    disciplinary policies for safety and health
    performance.

96
Item 48. Top management is involved in the
planning and evaluation of safety and health
performance.
  • Purpose To determine if the organizations top
    managers personally track performance in safety
    and health protection to demonstrate visible
    management leadership.

97
Item 49. Top management values employee
involvement and participation in safety and
health issues.
  • Purpose To determine if the organizations top
    managers solicit and respect employee input
    regarding workplace safety and health issues, and
    encourage voluntary participation in the
    organizations safety and health system.

98
III. Cultural Component A. Management
Leadership B. Employee Participation
99
Item 50. There is an effective process to involve
employees in safety and health issues.
  • Purpose To determine if there is an established
    organizational process that is known, trusted,
    and used by employees to provide input regarding
    safety and health issues.

100
Item 51. Employees are involved in organizational
decision-making in regard to safety and health
policy.
  • Purpose To determine if employees of the
    organization influence policy decisions affecting
    their safety and health.

101
Item 52. Employees are involved in organizational
decision-making in regard to the allocation of
safety and health resources.
  • Purpose To determine if employees of the
    organization influence the allocation of
    resources affecting their safety and health.

102
Item 53. Employees are involved in organizational
decision-making in regard to safety and health
training.
  • Purpose To determine if employees of the
    organization influence training decisions
    affecting their safety and health.

103
Item 54. Employees participate in hazard
detection activities.
  • Purpose To determine if employees of the
    organization are actively engaged in hazard
    detection activities.

104
Item 55. Employees participate in hazard
prevention and control activities.
  • Purpose To determine if employees of the
    organization are actively engaged in hazard
    prevention and control activities.

105
Item 56. Employees participate in the safety and
health training of co-workers.
  • Purpose To determine if employees of the
    organization are actively engaged in the delivery
    of safety and health training.

106
Item 57. Employees participate in safety and
health planning activities.
  • Purpose To determine if employees of the
    organization are actively engaged in setting the
    safety and health goal and objectives of the
    workplace.

107
Item 58. Employees participate in the evaluation
of safety and health performance.
  • Purpose To determine if employees of the
    organization are actively engaged in reviews and
    audits of safety and health performance.
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