INTRODUCTION TO

BEHAVIORAL-BASED SAFETY

GROUP 5

AÑIZ, JENNIELOU A
BANADA, LORENZ M.
DUMPIT, JULLY ANN C.
GUSTILO, BENAZER B.
INTRODUCTION
A Behavior-Based Safety (BBS) is a process through which work groups can
identify, measure and change their behaviors.
It is a process that applies the principles of the Antecedent Behavior Consequence
(ABC) behavior model. This assumes that all behaviors have one or more antecedents or
activators or prompts which initiate the behavior and one or more consequences that
either encourage or discourage repetition of the behavior.

WHY USE BEHAVIORAL-BASED SAFETY?

In 1951, Heinrich reported that about 90% of all accidents were caused by “unsafe
behavior” by workers. Subsequent studies by DuPont (1956) confirmed Heinrich’s
contention. Traditional engineering and management approaches to counter this, such as
automation, procedure compliance, administrative controls and OSHA type standards
and rules were successful in reducing the number of accidents significantly. There was
however, a persistence of incidents and accidents that kept rates at a level that was still
disturbing to customers, managers, and workers.
The process focuses on observing and correcting behaviors, not attitudes, that are
critical to safety. Employee behavior is measurable; attitudes are not. But Behavior-
Based Safety can affect attitudes. Behavior-Based Safety is successful because it fully
engages the entire workforce. Adopting a Behavior-Based Safety process further protects
a company’s most valuable resource – its employees – while having a positive impact on
productivity.
 Safer work environment
 Frequency and severity of injuries decreases
 Safe behaviors increase, and at-risk behaviors decrease
 Employee participation in Total Safety Culture increases
 Reporting of near-misses increases
 Acceptance of responsibility and accountability for safety increases
Reinforcement
Reinforcement occurs when a consequence that follows a behavior makes it more
likely that the behavior will occur again in the future. Therefore, a reinforcing consequence
is one that causes behavior to occur more frequently.
We can increase performance through negative and positive reinforcement.

 Negative simply means taking away something. A lot of what we do is to avoid

something, so we behave to get rid of the thing we don’t want.
  Positive means adding something. In work settings it is less common to see
individuals working under positive reinforcement conditions; however, it is
preferable. Positive reinforcement leads to durable behavior change, and happier
employees!
Feedback
Feedback is information given to an individual or a group about their behavior and
its impact and is one of the most important communication tools in helping people stay
healthy and safe. Feedback can take many shapes and forms, and generally in a work
setting feedback is a combination of positive and constructive information.

 Positive feedback can act as a consequence that increases behavior

(reinforcement). It should be specific in pinpointing the exact behaviors that
warrant positive praise. If individuals receive feedback telling them that they are
doing ‘the right thing’, then they will most likely increase that behavior, provided
the feedback is specific and genuine.
 Constructive feedback refers to when clear non-judgmental instructions are
given to the individual on what behaviors they need to change to reach the
desired behaviors. When delivering constructive feedback, remember:
- Constructive feedback should be used as a tool to teach and learn the
correct way to complete a task or ‘do’ a behavior.
- It should be viewed as a training mechanism, and if delivered correctly,
employees should want to receive constructive feedback.
Goal Setting
Research into motivation and behavior change tells us that setting goals leads to
better results and that ‘what gets measured gets done’. Safety should always be at the
core of goal setting: saying ‘Do it by Friday but do it safely’ rather than ‘Do it safely but do
it by Friday’ puts the emphasis on safety as the most important factor, not the deadline.
Most research shows that when goal setting is matched with feedback in a
systematic way, the target behavior change is even more likely to occur. Setting a goal
acts as an antecedent that specifies what goal-directed behavior should occur, and
feedback acts as a reinforcer – the goal sets off the behavior and the feedback reinforces
the behavior. Behavior-based safety interventions reinforce safe behavior via one-to-one,
group and site-wide feedback.
NOTE:
Using feedback in conjunction with goal setting provides a clear objective for the
individual, so a combination of goal setting and frequent feedback produces maximal
behavior change.

ESTABLISHING A BEHAVIOR BASED SAFETY PROCESS

1. BBS Readiness
All aspects of BBS may not work in every organization. There is plenty of
resistance to programs that promise big benefits but only result in more paperwork,
less progress and a mountain of wasted time for safety teams. Although it's no magic
bullet for injury prevention, there is data to prove that as observations go up, injuries
go down. The question is: "Will it work for your company?" The promises of BBS
results are not empty ones, but your company has to be ready.
 However, like any other prevention program, the conditions need to be right.
Management support, effective management systems and company culture are keys
to determining whether or not a company is ready for a transition to BBS.
Five conditions that increase the likelihood of success:
• Safety Leadership
• Established Integrated Safety Management System
• Employee Empowerment and Participation in Safety
• Organization’s Safety Culture
• Measurement and Accountability

 Safety Leadership
Leadership must be active, visible and genuine in their commitment to injury
and illness prevention. It is helpful for senior management to articulate a clear and
inspiring vision that injury-free performance is the only acceptable goal.

 Established Integrated Safety Management System

In order for BBS to be effective, an integrated safety management system
needs to be in place. This includes minimum compliance, accident investigation,
self-assessments, safety and health training program and record keeping systems.

 Employee Empowerment and Participation in Safety

Employee empowerment and involvement enhance safety innovation,
ownership and results. Labor/management cooperation serves as a catalyst for
success. Without employee participation and involvement BBS won’t get off the
ground.

 Organization’s Safety Culture

A positive social climate of trust, openness and respect for individuals is an
intangible of organizational life that dramatically affects worker performance. In
companies low on trust, BBS is resisted because it symbolizes another way to
oppress the worker.

 Measurement and Accountability

What gets measured gets done. Clearly defined responsibilities at every
level of the organization the start points for top performance. When performance
evaluations include safe and at-risk behaviors, strategies can be developed to
focus on real threats to worker safety.

2. Setting up the BBS Process

BBS processes should be tailored to the work and management
environment where they function. Initial work in setting up a BBS process should
include management, workers and the union at your facility. A major player is the
“champion” who has the responsibility for initially driving the process forward and
guiding initial training and the initial selection of the steering committee.
Establishing a Steering Committee (SC)
 The steering committee is selected from a group of qualified employees,
preferably volunteers, representing each distinct group, team, etc. of the
organization.
The SC must compose of:
Management Champion/Sponsor
Facilitator
Data Administrator
Data Manager
Recording Secretary
Communicator
 The Function of the SC
Basic responsibilities of the SC are:
 Develop the at-risk behaviors inventory
 Participate in the training and coaching of observers to provide for
mentoring the observer process
 Design the Observation Process
 Analyze the observation data
 Build Action Plans to respond to the leading indicators seen in the data
 Ensure communication with observers is maintained
 Ensure BBS is promoted and communicated to all organizational levels.

3. Identifying At-Risk Behaviors

A very important step is the development of a list of at risk behaviors. This inventory
is supported by list of definitions and examples of critical behaviors based on
information extracted from injury reports, interviews and observation of ongoing task
native to a site’s work environment. This inventory of behaviors, customized for your
facility, is the basic tool of observation. The observation data will ultimately be used
to develop plans for risk reduction. Customizing the inventory is also critical in
promoting acceptance and ownership of the process by the employees.

Resources utilized for extraction of critical behaviors

 Accident/ Incident Reports
 Job Safety Analysis, Job Hazard Analysis, and PPE Assessment
 Tasks Observation
 Employee Interviews
 Brainstorming

BEHAVIOR BASED SAFETY PROCESS

STEP 1.0: Identify the behaviors critical to obtaining required safety performance

In this step, the behaviors that the workers need to perform to achieve the desired
safety performance are identified. Behaviors expected of workers, supervisors and
management should be identified. There can be a number of sources of possible required
behaviors: learning experience reports, incident investigations, individuals who actually
perform the work, first aid/ injury records and details, incident and inspection trends.

Behaviors should be described as specifically as possible. Behavior descriptions

should meet the following criteria:

 Measurable
 Active
 Reliable
 Controllable
 Observable
 Specific
STEP 2.0: Communicate the behaviors and how they are performed correctly to all
employees

In this step the required behaviors and how to them safely is communicated clearly
to all workers. It is important to the success of a BBS process that all participants receive
a clear, easily understood, communication. Weekly/ monthly safety meetings provide a
good forum for this to happen.
STEP 3.0: Observe the work force and record safe/ unsafe behaviors. Intervene with
workers to give positive reinforcement when safe behaviors are observed. Provide
coaching/ correction when at risk behaviors are observed

In this step workers who have received the proper training in how to: perform
observations, interact with the workers observed to provide feedback/ correction/
coaching, and go out into the workplace to observe the workers. Individuals providing this
training should have a good understanding of the ABC Behavior Model and the BBS
Process.

Factors to be considered when performing an observation:

 consider observing work where the higher risk hazards, or the experience of the
workers may be a factor;
 avoid interfering with the work activities;
 do observations in two person teams;
 complete the observation report away from the work area;
 examine the work area for access/ egress, housekeeping.

STEP 4.0: Collect and record observation data

In this step the results of the observations are collected from the observation forms
and recorded in a data collection/ analysis system. This can be manual or electronic. An
electronic system is the better option because it can also provide an ability to analyze the
observation results.

STEP 5.0: Summarize and analyze observation data

In this step the observation results recorded in step 4.0 are summarized and
analyzed. Observation data should be summarized into a format that will be simple to
interpret and enable extraction of behavior performance data. During the analysis it is
important to review the observation data for quality and consistency. Problems with either
can lead to invalid data. The frequency at which the data is summarized and analyzed is
at the choice of the work group. Some suggested summaries are:

 Overall % Acceptable for all behaviors

 % Acceptable for each separate behavior
 Observation comments
 Tend Chart- Overall % Acceptable or all behaviors plotted over time
 Trend Chart- % Acceptable for each behavior plotted over time
 Observation and Intervention activity data- # observations performed for each
behavior
 Charts showing correlation between behaviors and incidents.

STEP 6.0: Communicate observation data and analysis results to all employees

In this step the results of the observation, the summarized data, the data analysis and
any changes to Antecedents, Consequences or Conditions are communicated to the
employees. It is essential that this communication happen. It ensures that the workers
are kept informed of the results of the observations and changes that may be happening.
This should encourage their continued participation.

STEP 7.0: Provide recognition or celebrate when safe behavior improvements

occur
 In this step the appropriate recognition of the workers or celebrations happen when
the desired, or improvements in behavior performance occurs. Often this is not done and
the workers may get the impression that no one cares that the behaviors are being done
safely. This step is very important to provide the positive reinforcement to the workers for
performing the behavior safely.

STEP 8.0: Change behaviors to be observed or change activators or change

consequences as appropriate

In this step any changes to Antecedents to, or Consequences of, the behavior
resulting from the ABC analysis are also made in this step. The changes should be
properly recorded in all relevant BBS documentation.

To help with problem solving the following can be considered:

 Improvement opportunities can be identified through observation, intervention and

root cause trends
 Positive intervention techniques present the best opportunity for improvement
 Use knowledge and experience of others to assist
 Management system failures can typically account for 85% of an acceptable behavior

Improvement strategies can include:

 Consider impact on existing safety program

 Obtain necessary support and resources
 May require changes to behavior based training
 Monitor implementation and evaluate impact on behaviors

STEP 9.0: Communicate any changes to workforce

In this step any changes made in step 8.0 are communicated to the work force. If the
changes are going to be made it is essential that all the work force know what they are
so they can change their behaviors accordingly.

CRITICAL BEHAVIOR ANALYSIS TOOL

After forming your design team for the Behavior-Based Safety implementation
process, use the Critical Behavior Analysis Tool to help you identify why the at-risk
behaviors occur. The goal of the process is to encourage safe behaviors that are self-
reinforcing. By encouraging self-reinforcing safe behaviors, you will greatly reduce the
potential for accidents. Don’t expect changes in your company’s safety culture to happen
overnight or by the end of the week. You should, however, expect some positive changes
reasonably soon when you use this tool.

Why does the Critical Behavior Analysis process work?

Employees
Because it teaches employees how to perform their job duties safely. Once
involved in this process, employees take ownership of it and support safe
behaviors with minimal peer pressure or direct supervision.
Positive Reinforcement
Focuses on doing the right things correctly.
Rewards the appropriate behaviors.
 Increases recurrence of the appropriate behaviors.

Behavior Input
Gives information regarding the behaviors.
Reminds us of what the rules and procedures require.
Raises awareness of accident and injury prevention.
Strengthens the safety culture of the company.

Behaviors are what we do in response to an encouragement to act. How we

respond depends on many factors.
Critical Behaviors are those behaviors that put workers at risk for injuries and
other losses. When critical behaviors are undertaken without appropriate safe guards,
they become At-Risk Behaviors.
When we observe an at-risk behavior, we make assumptions as to why it is
occurring. The truth is, we really don’t know why until we go further into the critical
behavior analysis.

Bad Habit Inadequate Training

Peer Pressure Confusing Procedures
No Supervision Imperfect Memories
Time/Pressure Lack of Accountability
Poor Communication Poor Ergonomic Job Design

CRITICAL BEHAVIOR ANALYSIS

A stimulus plus a reward drives our behaviors. The stimulus occurs before the
behavior, and the reward occurs after the behavior.

Stimulus Behavior Reward

Stimulus Reward

Directs Motivates
Behavior
Behavior

Example: Thirst is a feeling (the stimulus) that stimulates drinking a glass

of water (the behavior), ending in the satisfaction of not being thirsty (the reward).
Stimulus - The driver and the trigger for us to initiate the behavior. A stimulus can
be any form of communication, training or thought. As in the example above, the
feeling of thirst is the stimulus to drink a glass of water.
Reward – Reward is the consequence of the behavior. Together, the stimulus and
the reward drive us to either repeat or not to repeat behaviors. The reward,
 especially its quality, is the strongest factor when we consider why the behavior
occurs. It also plays a role in determining our behavior. As in the example above,
the satisfaction of not being thirsty is the reward that would result from drinking the
glass of water.
Qualities of the Reward
Reward qualities have these three characteristics:
1. Positive (+) or Negative - Positive rewards support the recurrence of a
behavior. E.g. Positive rewards can include job satisfaction, recognition,
bonuses, an easier way to do a task, or peer support. Negative rewards
tend to discourage the recurrence of a behavior. Examples of negative
rewards are a reprimand, an injury, extra work, and criticism.
2. The timing of the reward being Now (N) or Later (L). Rewards that occur
immediately after the behavior have more impact on the behavior’s
recurrence. E.g. We are more likely to repeat the behavior if the reward’s
quality is positive and Now. Negative rewards occurring Later do less to
discourage an at-risk behavior.
3. The Certainty (C) or Uncertainty (U) of getting the reward. Are we
certain to get a reward each time we perform the behavior? If the Positive
reward is certain to occur, there is more encouragement to repeat the
behavior. E.g. refilling your car’s gas tank. In the case of an at-risk
behavior, if the negative reward is uncertain to occur, there is more
encouragement to repeat the at-risk behavior and less encouragement to
repeat the desired behavior.
These three reward characteristics can be combined to give different reward
qualities. The following two reward qualities have more impact on the recurrence of the
behavior than other combinations of the reward characteristics.

 +NC: Rewards with Positive (+), Now and Certain qualities encourage the
recurrence of the behavior.
This is the desired reward quality to encourage and maintain safe behaviors.
Example: Immediate positive feedback to an employee who is performing a
desired behavior.
This same reward quality can also encourage the recurrence of an at-risk
behavior.
Example: Not following safety procedures in order to finish a task much
quicker. If the +NC reward qualities are experienced as a result of the at-risk
behavior, then it is encouraged to recur.

 – NC: Rewards with Negative (-), Now and Certain qualities discourage
behaviors.
This reward quality can help eliminate at-risk behaviors.
Example: Knowing that you may suffer an injury or be immediately
reprimanded if you perform an unsafe act.
Also, care should be given not to provide rewards with -NC qualities to any
desired behavior because, as mentioned above, these rewards decrease the
behavior!
Note that the absence of a negative reward also encourages behavior to recur,
such as when we “Got by with it”
 or, “Didn’t get caught this time.”
MAKING THE CRITICAL BEHAVIOR ANALYSIS PROCESS WORK
Use the following steps to identify the at-risk behavior and why it is occurring.
Step 1: Identify the at-risk behavior.
At-Risk Behavior: An employee not wearing safety glasses when they are
required to be worn

Too General Better Description

1.Not Wearing PPE 1.Not wearing safety glasses when

required

2.Bad position 2.Bending at the waste when picking up

sacks

3.Not following safety 3.Not using fall protection when required

glasses

Step 2: List the stimulus. Remember the stimulus occurs before the behavior.

At-Risk Behavior: An employee not wearing safety glasses when they

are required to be worn

Stimulus

1. In a hurry takes too much time to find

safety glasses
2. Not always available
3. Damaged glasses
4. Knowledge that rules are not always
enforced

Step 3: List the reward. Remember, rewards occur after the behavior.

At-Risk Behavior: An employee not wearing safety glasses when they

are required to be worn

Stimulus Rewards

1. In a hurry takes too much time to find 1. Injury

safety glasses
2. Not always available 2. Get in trouble
3. Damaged glasses 3. Nothing happens
4. Knowledge that rules are not always 4. Get through
enforced quicker without
safety glasses
5. More comfortable
without safety
glasses

Note: The length of the reward list does not have to match the length of the stimulus
list. Keep the stimulus and the rewards as separate and independent lists.
Step 4: Evaluate the reward qualities. As noted earlier, the rewards on the list
will have different qualities. Rewards with Positive, Now and Certain (+NC)
qualities support the recurrence of the at-risk behavior.

At-Risk Behavior: An employee not wearing safety glasses when they

are required to be worn

Quality of rewards

Stimulus Reward +/- N/L C/U

1. In a hurry takes 1. Injury - L U

too much time
to find safety
glasses
2. Get in - L U
trouble
2. Not always
available

3. Damaged 3. Nothing + N C
glasses happens

4. Knowledge + L C
that rules are 4. Get through
not always quicker
enforced without
safety
glasses + N C

5. More
comfortable
without
safety
glasses

Step 5: Develop an action plan to eliminate the reward qualities driving the
undesired behavior. These will be the +NC qualities.

At-Risk Behavior: An employee not wearing safety glasses when they are
required to be worn

Quality of rewards

Stimulus Reward +/- N/L C/U

1. In a hurry takes 1. Injury - L U

too much time to
find safety
glasses
2. Get in trouble - L U
2. Not always
available
 3. Damaged 3. Nothing + N C
glasses happens

4. Knowledge that
+ L C
rules are not
4. Get through
always enforced
quicker without
safety glasses

+ N C
5. More
comfortable
without safety
glasses

If you develop a Critical Behavior Analysis process, you will be able to:
Identify the at-risk behaviors
Eliminate the stimuli directing at-risk behaviors
Provide appropriate rewards that encourage desired behaviors
An effective Critical Behavior Analysis process will help encourage self-
reinforcing safe behaviors, which will reduce the potential for accidents.

BEHAVIOR BASED SAFETY IMPLEMENTATION STEPS

Step 100.0: Present concepts of BBS to company management and obtain their
commitment. Set up a BBS Steering Team.

A strong Steering Team is essential to the success of BBS. The membership will
depend on the size and organization. To emphasize the importance and value of BBS to
an organization it is recommended that the team be led by a sensor management team
member.

The Steering Team provides the drive for, and steers, BBS implementation. The
team will also review the observation and intervention data and contribute to the
development of any required improvement strategies. At work sites that have a joint
Health and Safety Committee the steering team can be aligned with the team. Members
drawn from management, supervision and workers, should have as many (as possible)
of the following characteristics:

 Natural leader
 Respected by others
 Interest in Behavior management
 Committed to safety improvement
 Strong interpersonal skills
 Good coaching skills
 Able to commit required time
 Good communication skills
 Able to provide resources to the process
Each company will have to customize the basic material to fit their own organization as
the success of BBS is dependent on the quality of a company’s Environment, health and
safety management system, leadership, commitment and culture. Companies need to
make BBS “fit in” so it is complementary to their safety initiatives and not an add on.

Step 110.0: Steering Team receives orientation in BBS including review of the BBS
process and the Antecedent/Behavior/Consequence Behavior Model and Analysis.

Once the Steering Team members have been selected they need to receive
training in Behavior Based Safety. The training should include the following elements not
specific to behaviors-problem solving, root causation, trend analysis. This will help them
with their review of the observation and intervention of data and development of any
required improvement strategies.

Step 120.0: Select employees to be observers.

Observers perform an important role in the successful implementation of BBS.

Observers should be chosen from employees with as many as possible following
characteristics:

 Respected by peers
 Interest in safety improvement
 Interest in BBS
 Good people skills
 able to provide positive reinforcement for safe behaviors
 able to provide coaching/correction for unsafe behaviors
 able to interact with co-workers

Step 130.0: Train observers.

The observers play a key role in the BBS process.

The process relies on them to provide the behavior performance observations that
are used to identify which behaviors are being done safely and which are not. Some
important training elements are:

 ensure they know when the critical behaviors are being performed acceptably and
when they are not. It can be damaging to the observation process if an observer
suggests to a worker they are doing the behavior wrongly when they are not.
 Observation and intervention techniques
 Observation recording techniques
 Observation sequence: interrupt the workers or not, etc.

Issues for observers

One of the toughest things to overcome when implementing a BBS process is to improve
observers interpersonal and intervention skills. It can be extremely difficult for a worker to
observe a fellow worker and then intervene (positively or negatively). Observer training
needs to have a strong component that helps observers to improve their intervention skills
and their confidence in performing observations.

Another issue is when the observer is a person who holds a position or authority
i.e. foreman, supervisor, manager, etc. They have a difficult time as the natural tendency
is for them to revert to their authority position to correct an observed “at risk” behavior or
situation. BBS will not be successful if it is perceived as just another program to get
compliance.
Step 140.0: Set up an observation data recording tool.

Steering teams can help the implementation by establishing some form of

electronic tool to record and analyze the observation data. A tool that is user friendly and
allows the observers to easily enter their data is most desirable. A spread sheet workbook
with pre-formatted reports/charts or a database with pre-formatted reports/charts are
suggested alternatives.