Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Fatality Prevention in the Workplace Forum Fatality Prevention in the Workplace Forum Leadership/Organizational Attributes Breakout – Best Practice Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation

Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Best Practices- Top Executive Management Leadership Leadership involvement in investigations and follow up 2.High Risk Activity Management Senior management involvement in HRA management 3.EHS Capex/OOPS Program EHS Capex Program OOPS- Out of Process Situations 4.Safety Conversation Employee engagement process 5.Reducing Risk Through Pre-task Hazard Assessment

Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Executive Management Leadership – SIF Oversight Hank Schmulling, Duke-Energy 3

Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Executive Management Leadership - SIF Oversight Leadership Involvement in serious injury/fatality investigations & follow – up to implement corrective actions that reduce / eliminate the risk of recurrence. Trigger: Life altering injury, fatality, catastrophic events Process: Incident investigation begins immediately (RCA) Executive review team visits site within 2 weeks of incident Review completed investigation report Review interim and long term corrective actions recommended Determine application to other lines of business with the company Develop communications plan for sharing lessons learned Conduct periodic reviews of status of corrective actions with BU executive In addition, Senior Executive (EVP, COO, CEO) visits site of event initially and 6 months after event to increase active, visible leadership Source: Duke Energy 1

Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Reducing Risk Through Pre-task Hazard Assessment Roger F. Evans CSP, CHMM, GE Energy 5

Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Reducing risk thru Pre-Task Hazard Assessments/Pre-Job Briefs Taking a few minutes prior to performing any task, to identify potential hazards and steps necessary for avoiding them Hazard – Hazard identification is a critical element for incident prevention, however if no formal process exists, most employees will not take the time to perform such a review prior to each new task every day. Triggering Event – Many employees sometimes seem to perform their work to “git er dun”, without taking the time to conduct a risk assessment. Although they never intend to experience an incident, many local factors can come into play resulting in human error, leading to an event. 4 The Pre-Task Hazard Assessment Increases Safety Awareness thus decreasing operational risk!

Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Reducing risk thru Pre-Task Hazard Assessments/Pre-Job Briefs 7 Best Practice Before performing work, supervisors and workers meet to discuss the assigned task, its objectives, and its hazards to clearly understand what to accomplish and what to avoid. The briefing is a structured, risk-based review of the work activity from a human performance perspective to enhance the workers’ situation awareness (mental model) prior to starting the work. A Pre Task Hazard Assessment/Brief provides the opportunity to:  Ensure understanding of the scope, limits, precautions, hazards and responsibilities in completing the task.  Provide a forum to ask questions and raise concerns.  Use operating experience to identify error precursors and flawed defenses.

Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Leadership Current Focus/Emphasis Areas 1.Enhancing Metrics 2.Communicating/Messaging 3.Enhancing career development 4.Prioritizing fatality prevention 5.Utilizing field presence/interface 6.Developing risk-based/ data-based decisions 7.Using perception surveys New/ “Outside The Box” Emphasis Areas 1.Safety/Leadership integrated in engineering and business curricula 2.Safety in strategic decision making, planning process 3.How to preserve “corporate memory” 4.“Safety Capital” allocation 5.Risk tolerance screening 8

Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Management Systems 9 Solid Management Systems Majority already have this in place Continuous Improvement Opportunities Strength of Defense Matrix Europe seems to be the best at risk identification; partially regulatory driven Video of pre-job review Short service worker practice Gaps To Be Filled Should FSI prevention have its own management system Define and effectively use FSI leading indicators Incorporate human factors Error proofing, literacy, training and qualifications, and fitness for duty Safety considerations and strategic level decision making Many facilities at firms do not have management systems

Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Metrics Current Metrics Traditional lagging Serious injury tracking Corrective Action Preventive Action Tracking (CAPA) Serious event focus Fatality assessments Proposed Metrics Identify precursors Employees observing the risk Potential severity incident rates(ranking the incidents) Measuring Engagement Classifying Risks Using raw numbers, not the rates Wellness indicators 10