Behavioural Safety Observations / Unique Identifier: / 32-407
Revision: / 0
Page: / 1 of 9
/ Procedure
Title: / Behavioural Safety Observations / Unique Identifier: / 32-407
Document Type: / EPC
Revision: / 0
Total pages: / 9
Revision date: / 1 April 2011
Document Classification / Controlled Disclosure
Content Page
1Introduction
2Behavioural Safety Observations
3 Supporting Clauses
4 Authorisation
5 Revisions
6 Development team
1.Introduction
Behavioural SafetyObservations are an essential tool within the SHE management process. This procedure describes how a“behavioural safety observation” process needs to be set up and executed, and what the minimum requirements are that all divisions and business units shall comply with. In addition, each division shall develop divisional(Level 2 procedures) and where required business units may develop (Level 3procedures), describing in more detail their specific processes and requirements.
2.Behavioural Safety Observations
2.1 Objective
The objective of behavioural safety observations is to assess and address the actual safe and unsafe behaviours of people in the workplace; as well as workplace conditions - which are caused by the actions or non-actions of employees, contractors or their supervisors.
These observation interventions will provide management with a clear picture of the current health and safety culture in the various workplaces, which is reflected in the actual behaviours and conditions versus the expected safety requirements.
The intent of the behavioural observation process is for management to be visible in the workplace, and for them to
-recognise and encourage positive behaviours so that they are sustained
-immediately address and correct unsafe behaviours and conditions
-provide a two-way communication channel to discuss health and safety achievements and concerns with employees, contractors and visitors
By deploying an observation process, that addresses employee’s behaviours (positive and negative) systematically and in a positive, structured framework; a safer and healthier workplace culture can be instilled in the organisation, which will result in improved health and safety performance.
2.2 Training and support
In order to conduct behavioural safety observations effectively, it is advisable that observers go through the appropriate behavioural observation training.
-For middle managers and senior managers, Safety Management Audit Technique (SMAT) training is recommended.
-For front line supervision, Safety Training Observation Program(STOPTM) training is recommended, in particular in a plant environment. In Distribution and Transmission Divisions, Supervisors will also use SMAT.
The competency to provide this training shall reside within each division.
2.3 Frequency and scheduling of observations
A layered observation schedule shall be designed for each business unit, with appropriate frequencies, depending on risks in the area and the function of the observer. The following principles should be adopted when designing a schedule:
-The business units need to be divided in area’s of appropriate size, so that a behavioural observation tour can be completed in 30 to 45 minutes (excluding travel and waiting time). For businesses that mainly operate with teams in the field, rather than in a plant environment, the schedule may be designed based on work teams to be observed, rather than on physical areas.
-All line managers, as well as SHE managers and SHE practitionersshould be assigned as lead observers to take part in the process. Typically the observation frequency will depend on the seniority of the observer, i.e. the more senior managers will do fewer observations than area managers and front line managers. The lead observer is responsible to plan and execute the observation as described in 2.4.
-High risk areas need to be scheduled with a higher frequency than low risk areas.
-It is advisable to build rotation into the schedule so that areas are observed by different observers each period. Usually managers will be scheduled in such a way that they visit different areas, where front line supervisors would observe mainly in their own areas.
-In cases where observers are absent from work due to legitimate reasons for example leave, illness or training they can be temporarily removed from schedule
The following minimum frequencies need to be adopted for the different organisational layers.
Group / Role of observer / Frequency of observationsLine / Executive and Senior General Management / No formal frequency, however it is strongly recommended that they include a regular safety observation tour as part of their scheduled business unit visit (4-6 times per year).
Senior Non-Operational Management (e.g. HR, Finance,etc.) / Quarterly
Senior Operational Management (e.g. Power Station Manager, Engineering manager, etc.) Non-Operational Middle Management / Monthly
Operational middle management (e.g. Maintenance manager, Operations manager, Project manager, Field Service manager, etc.) / Twice per month
Operational area and front line management (i.e. supervisors, Field Service Centre manager) / Weekly
SHE / SHE Managers / Monthly
SHE Practitioners / Weekly
The role of SHE Representatives in this process and frequency of their observations in the schedule, need to be agreed in the business unit.
The observation schedule must be communicated broadly within the unit, so that everyone is aware of the process and requirements. However detailed timing of each observation tour can be left to the discretion of the lead observer.
A process must be implemented whereby adherence to the schedule is monitored and reported to both the business unit’s management team and Corporate Sustainability. A minimum adherence target needs to be established, and appropriate corrective action needs to be taken by the business unit manager when the target is not achieved.
2.4Process steps
For each observation tour triggered by the schedule, the following process steps must be followed.
a) Form a team
The schedule shall identify the lead observer. It is advised to conduct behavioural safety observations preferably with two people, and a maximum of three. The second person can be for instance a supervisor of the area being observed, a colleague, an expert, a SHE professional or SHE representative. Including a second person in the team elevates the quality of the observation process, allows for one-on-one coaching and increases the learning opportunity. However when the team is too big this could be perceived as intimidating by the people in the area.
b) Plan the behavioural observation tour
The lead observer identified in the schedule shall take the initiative to schedule the observation tour and to invite a second observer accordingly.
c) Conduct the behavioural observation tour
The observation team shall proceed to the area where the observation is scheduled to take place. The team will specifically look for people and observe the activities taking place. Several observation categories need to be considered when looking at people in action:
-Reactions of people
-Positions of people
-Personal Protective Equipment
-Tools and equipment
-Procedures and Housekeeping
Observers will compliment positive behaviours and correct unsafe behaviours and conditions, by applying the steps learned in the “Safety Management Audit” (SMAT) training:
Steps to approach an employee working safely
- Observe, decide and stop the action in a safe way
- Make a positive comment on what you see, focusing on the fact that the employee takes care of their own health and safety
- Engage the employee in a conversation about the job and its health and safety aspects. Ask if the employee has any other health and safety concerns. Obtain agreement for ongoing safe behaviour.
- Thank the employee
Steps to approach an employee working unsafely
- Observe, decide and stop the unsafe act in a safe way
- Make a comment on something positive
- Discuss the unsafe act:
-Focus on possible consequences of the behaviour
-Discuss safer ways of doing the job
- Obtain agreement and commitment from employee to continue working safely
- Engage the employee in a conversation about the job and its health and safety aspects. Ask if the employee has any other safety concerns
- Thank the employee
When the observation areas are sized appropriately, the observation tour should take about 30-40 minutes (excluding travel and waiting time), including conversations with 4-8 people.
d) Document the behavioural observation
Within the division, the appropriate divisional or business unitbehavioural observationprocedure shall describe what form needs to be used to capture observation information. Typical elements of an observation form:
-Date of the observation
-Observation leader and team member(s)
-Duration of the observation tour
-Number of people observed working safely
-Number of unsafe actions observed
-Type of unsafe actions (categories)
-Further recommendations and actions required
Where applicable, STOPTM cards can be used to capture observation data.
It is advisable not to fill in such form while still in the area, in order not to intimidate people, and in order not to detract focus - which is talking to people about their behaviours and their impact on safety. In essence, the observation tour should be short enough so as not to forget the essential information.
e) Follow-up action close out
During observation tours recommendations and actions may be generated, or actions maybe initiated by the appropriate committee as a result of observation data analysis. A process shall be put in place to ensure actions are agreed upon, responsibilities and timelines are assigned, actions are logged in a follow up system where action status is visible, and overdue actions are highlighted and addressed appropriately.
f) Records Management
Individual observation forms can be routed or distributed within the unit as deemed appropriate by the business unit leader. The individual reports can be either collected in a central file, or captured in a data collection system so that they remain available for quality checks and data analysis. Standard record retention policies apply to these documents.
Observation data collected during observation rounds must be captured in an appropriate system to allow further analysis of trends and thereby identify underlying, systemic issues that should be addressed.
2.5Analysis of Observation Data
Data collected during observation rounds shall be translated into measures and analysed on a regular basis (at least quarterly), and reviewed in the appropriate management committee to identify trends and systemic issues that should be addressed. Typically such measures are “leading” indicators for future safety performance.
Examples of data analysis and measures
-Observation schedule adherence (% to plan) and trends
-Unsafe act index (number of unsafe acts versus number of people observed or versus number of observation hours) and trends
-Summary and prioritisation of observation categories (Pareto diagram)
It is recommended that a control group be established – for instance the safety professionals - and plot their data separate from the line management data. This allows a quality check on the data, as we expect data of both groups to trend similarly.
When adherence to schedule is unsatisfactory and when recurring unsafe observations or ‘negative’ trends are identified through this analysis, line management should develop appropriate actions to ensure continuous improvement.
2.6Reporting requirements
As part of the monthly reporting, the following indicators need to be reported to Corporate Sustainability:
-Observation schedule adherence (% to plan), indicating the number of behavioural safety observations completed expressed as a percentage of the number of behavioural safety observations planned.
Monthly reporting should commence as from the effective date of this procedure. A hundred percent compliance to reporting requirements is expected after one year from the effective date of this procedure.
2.7 Communication
The observation process and schedule shall be communicated to all employees. This communication should promote the positive intent of the process: increasing safety awareness through two-way communication, clarifying expectations, recognising positive behaviours, correcting behaviours and conditions that could lead to injuries.
The results of safety observations, data analysis and actions taken shall be communicated on a regular basis to employees.
3. Supporting Clauses
Index of Supporting Clauses
3.1Scope......
3.2Normative/Informative References......
3.3Definitions......
3.4Abbreviations......
3.5Roles and Responsibilities......
3.6Process for monitoring......
3.7Related/Supporting Documents......
3.1Scope
3.1.1Purpose
This standard provides mandatory requirements and advisory guidance for managing and conducting behavioural safety observations.
3.1.2Applicability
This procedureshall apply throughout Eskom Holdings Limited, its divisions, subsidiaries and entities wherein Eskom has a controlling interest.
3.2Normative/Informative References
Parties using this standard shall apply the most recent edition of the documents listed below.
3.2.1Normative
ISO9001:2000Quality Management Systems
OHS Act Section 14Occupational Health and Safety Act; Act 85 of 1993
32-94Eskom SHE Policy
3.2.2Informative
Not Applicable
3.3Definitions
Behavioural safety observationsA scheduled tour in a designated area, where the observer(s) look at
people at work, to notice safe and unsafe behaviours. The potential consequences of these acts are discussed with the individuals concerned, and immediate corrective action is taken when needed. Information and actions resulting from the observations must be captured for further analysis and action.
Lead observerThe manager or supervisor who is assigned to conduct a behavioural observation, according to an agreed schedule.
3.4Abbreviations
SMATSafety Management Audit Technique
STOPTMSafety Training Observation Programme
SHESafety, Health and Environment
3.5Roles and Responsibilities
The Divisional Managing Director shall
-ensurethat an appropriate Level 2 document is developed, implemented (within the first six months after the effective date of this procedure) and maintained, that supports the intent of this Level 1 procedure, and to which all business units within that division shall comply. The Level 2 document shall specify in more detail how the behavioural process will be designed, taking the specific business context into account.
-ensure that business units value the behavioural observation process and extract value by executing it with the right level of quality
The Business Unit leader (e.g. Power Station Manager, Grid Manager,Regional General Manger, etc.) shall
-ensure that a local behavioural observation procedure (a level 3 procedure) is developed (if required)and process is set up in alignment with the Level 1 and 2 procedure
-ensure all line managers participate in the process as observers
-ensure observers are properly trained in observation techniques such as SMAT or STOPTM
-monitor the quality of the observation process
-ensure reports and trends are reviewed regularly and actions are triggered when needed
-ensure resulting actions are followed up and closed out promptly
The SHE managers or assigned SHE practitioner shall
-establish and maintain an up-to-date observation schedule, covering all area’s in the unit
-develop an appropriate observation form to capture relevant data
-develop and maintain a data collection system
-analyse data and report on measures and trends to the management team
-report data monthly to Corporate Sustainability (see 2.6)
-monitor the overall quality of the observation process
3.6 Process for monitoring
Compliance with the requirements of this procedure is to be audited by the business unit, at least annually, as part of an internal review process.
All records shall be audited by CTAD or any person appointed to do so, on its behalf, at the discretion of CTAD and at a frequency determined by it. Focus areas of such monitoring process will include (amongst others): development and compliance to observation schedules, data recorded and reported, corrective actions implemented.
The SHE manager or assigned SHE practitioner is responsible to report the statistical data monthly to Corporate Sustainability.
3.7 Related Documents
Not applicable.
4Authorisation
This document has been seen and accepted by:Name / Designation
PJ Maroga / Chief Executive
I du Plessis / Acting Finance Director
BA Dames / Chief Officer (Generation and Generation Primary Energy Divisions)
MM Ntsokolo / Managing Director (Transmission Division)
A Noah / Managing Director (Distribution Division)
JA Dladla / Managing Director (Office of the Chief Executive )
E Johnson / Chief Officer (Network and Customer Services)
Dr SJ Lennon / Managing Director (Corporate Services Division)
E Pule / Acting Managing Director (Human Resources Division)
B Conradie
M Koko / (Acting) Managing Director (Enterprises Division)
(Acting) Managing Director (Engineering)
K Lakmeeharan
P Dukashe / (Acting) Managing Director for System Operator
(Acting) Managing Director (Nuclear)
T Govender / Managing Director (Generation Division)
V Nemukula / Acting Managing Director (Primary Energy Division)
5Revisions
Date / Rev. / Remarks1 April 2008 / 0 / New procedure
6Development team
Kedi LedwabaSeniorRisk Control Advisor, Corporate Sustainability
Karen Terblanche Senior Risk Control Advisor, Corporate Sustainability
SN MiddelSenior Risk Control Advisor, Corporate Sustainability
Kerseri PatherOccupational Health and Safety Manager, Corporate Sustainability
Controlled Disclosure