1. Safety & Health Management System Training
Lesson 2 – Management Leadership

2. Safety Health Management System (SHMS) Webinar Series
In this series of webinars developed under the Susan Harwood Grant, you will learn:
Lesson 1 - OSHA and the Importance of Having a Safety Health Management System (SHMS)
Lesson 2 – Management Commitment & Leadership
Lesson 3 – Worksite Analysis
Lesson 4 – Hazard Prevention & Control
Lesson 5 – Safety & Health Training

3. Lesson 2 Contents Objectives Management Commitment
Safety and Health Policy
Goals and Objectives
Employee Participation
Management Review

4. Objectives Learn how to achieve support of management.
Learn the five main elements of management leadership in implementing a SHMS:
Safety & Health policy
Management commitment
Employee participation
Setting goals and objectives
Management review
Worksite Analysis
An examination of the worksite to identify existing hazards and conditions where new hazards might be created.

5. Management Commitment
Ultimate responsibility for the effectiveness of your SHMS rest with top management
Top management demonstrates its commitment by:
Ensuring that business is conducted in a safe and healthy way
Providing financial, staff and organizational resources
Visibly participating
Holding employees accountable for their responsibilities

6. Poll Question #1 #1 POLL QUESTION
What are the top three requirements for implementing an effective SHMS?
Answer:
Management Commitment

7. Management Commitment
Exercise
Instructions: Read the scenario below and determine whether or not Cozy Heating and Coolng (CHC) has adequate top management commitment to safety and health.
Scenario: The Sales Manager (Jim South) at CHC had been trying for weeks to secure a new industrial client for heating and air conditioning services. The potential client called unexpectedly and asked to visit a job site to observe CHC technicians at work. Jim gladly agreed and rushed to meet him at a nearby location. At the job site, the potential client asked Jim if there were any personal protective equipment (PPE) requirements prior to proceeding to the work area. Jim, eager to make the sale, responded that the two of them were not subject to any requirements for PPE, as they were simply going to observe.

8. Management Commitment
Exercise
The two proceeded to the roof of the building where the CHC technicians were servicing air handling units very close to the edge of the roof (less than 6 feet). The potential client noticed they were wearing safety glasses and safety harnesses that were appropriately secured to an anchor point. Jim walked over to them and asked if they would unlock their lockout devices on the air handling unit so the potential client could observe their completed work. The potential client suddenly indicated that he had a meeting with a competitor of CHC.

9. Poll Question #2 #2 POLL QUESTION:
Question: Does Jim South show a strong or poor commitment to safety and health in this example?
Strong
He’s trying
Poor

10. Management Commitment
Answer: Jim demonstrates a poor commitment to safety and health based on the these behaviors:
He proceeded to the work area with a potential client without determining the required PPE. Although he and the potential client were not conducting the work themselves, they were entering a potentially hazardous area and were responsible for following all safety work practices and policies.

11. Management Commitment
He proceeded to the work area, located near the edge of the roof, without appropriate fall protection. Either he was unaware of the dangers of working close to the roof edge, or he chose not to follow safe work practices.
He asked the technicians to remove their lockout devices from the air handling unit without ensuring that the servicing was complete. Equipment is required to be isolated from energy sources, or "locked out", during servicing or maintenance to prevent unexpected energization during servicing. Locks must remain in place until maintenance or servicing has been completed.

12. Management Commitment
Roles and Responsibilities - All persons involved with the SHMS should have clear assigned roles and responsibilities.
An example:
Top Management
SHMS Coordinator
Line Management
Employees

13. Management Commitment
Top Management
Has responsibilities such as authorizing the safety and Health policy
Ensuring the SHMS is properly implemented
SHMS Coordinator
Has responsibilities such as monitoring the overall operation of the SHMS
Reviewing the legal requirements and dissemination the information to relevant staff
Developing appropriate safe work procedures and practices

14. Management Commitment
Line Management
Has the responsibilities such as implementing and enforcing safe work procedures and practices
Be a good example
Employees
Have responsibilities of following safe work procedures and reporting unsafe conditions

15. Management Commitment
Documentation and Communication
Document and communicate in a variety of methods that reflects your organization (language barriers, disabilities, etc.)
Written safety and health procedures - Identify job positions rather than employee names to prevent frequent updates.
Job descriptions - Include specific safety and health responsibilities within job descriptions.

16. Poll Question #3 POLL QUESTION:
Only managers and employees with specifically defined roles and duties are responsible for the successful implementation of the SHMS.
True
False
Answer:
False, Regardless of who is assigned specific roles and duties in the SHMS, everyone in the organization is responsible for the successful implementation of the SHMS

17. Management Commitment
Scenario 1
Ben Smith of the CHC Company signed and issued the safety and health policy as revised by Mary White.
He also recognized the importance of assigning clear responsibilities for safety and health after losing a potential new client.
Mary White was named as the Safety & Health (S & H) Coordinator in addition to her role as HR Manager.
Her safety and health responsibilities include overseeing the implementation of the SHMS and disseminating safety and health regulations to the CHC Management Team.

18. Management Commitment
Scenario 1, cont.
The Management Team is responsible for ensuring that safety and health policies and procedures are effectively implemented, communicated and enforced in their departments.
All employees are expected to follow the safety and health policies and procedures.
To ensure that these responsibilities were clearly understood, all job descriptions at CHC were updated to reflect these responsibilities and were reviewed and signed by the employees.

19. Management Commitment
Your organization should assign clear responsibilities for the SHMS while promoting the idea that everyone is involved in safety and health.
Assigning responsibilities ensures there is accountability and clarifies roles.

20. Management Commitment
Below is a strategy to consider when you assign responsibilities for your organization:
Identify the positions that ensure the SHMS is properly implemented, undergoes periodic reviews, and appropriate actions are taken where necessary.
Identify the positions that oversee the SHMS and develop appropriate safe work procedures and practices.
Identify the positions that review the legal requirements and disseminate the information to relevant personnel.
Identify the positions that implement and enforce safe work procedures and practices.
Identify employee responsibilities.
Document the responsibilities and communicate to employees in a method that is clear and effective in your organization.

21. Management Commitment
Two ways to establish accountability:
Job performance evaluations
Systems for enforcing safety rules
Include a set of relevant safety and health performance criteria, employee will be evaluated on how safely they are working among other criteria pertinent to their job

22. Management Commitment
System for enforcing safety rules
Safety procedures and practices are effective only if they are enforced.
SHMS should describe a system for enforcing safety rules, such as disciplinary action, so that employees understand the consequences of not following these rules.
Supervisors and managers must recognize the important function of enforcing safety rules.

23. Poll Question #4 #4 POLL QUESTION:
Which of the following is a way management can hold employees accountable for safety and health in the workplace?
A. Include safety and health goals within employee job performance evaluations and awarding salary increases based in part on reaching these goals. B. Provide adequate financial resources for employee participation. C. Enforce rules designed to protect the safety and health of employees. D. A and C, only E. A, B and C

24. Management Commitment
Scenario 2
CHC takes disciplinary action. Following the implementation of the new safety and health policy and the defined safety and health responsibilities, Mary White called a meeting with Jim South, the Sales Manager. She told him that one of his Sales Account Representatives, Mark Rebell, has been seen walking through construction job sites with customers without the proper hard hat or safety shoes. Because Jim must follow these safety rules as well as enforce them, Mary asked him to speak directly with Mark about this unsafe act.

25. Management Commitment
Scenario 2, cont.
She reminded him of the new disciplinary policy with respect to not following company safety rules:
The first instance is a verbal warning,
The second instance is a written warning, and
The third instance is termination.
Jim South agreed and left immediately to provide the verbal warning to Mark Rebell, realizing that he, himself, had committed a similar unsafe act only days ago.

26. Safety & Health Policy Safety and health policy is:
A required component of an SHMS
Defines your company’s commitment to the management system
Describes the organization’s mission, core values and belief about safety and health
Informs the external public of the organization’s commitment to address safety and health concerns
Strive for continual improvement in this area

27. Safety & Health Policy
A strong safety and health culture is the result of:
Positive workplace attitudes
Involvement and buy-in
Safety and health improvement goals
Policies and procedures
Training
Responsibility and accountability
Used consistently and effectively = strong safety and health culture
Positive workplace attitudes – from the president to the newest hire.
Involvement and buy-in of all members of the workforce.
Mutual, meaningful, and measurable safety and health improvement goals.
Policies and procedures that serve as reference tools, rather than obscure rules.
Personnel training at all levels within the organization.
Responsibility and accountability throughout the organization.
When these criteria are consistently and effectively aimed at accident reduction, a positive safety and health culture is created.

28. Safety & Health Policy
When developing your safety and health policy consider including the following elements:
Management commitment toward safety and health
Management commitment towards protection of employees

29. Safety & Health Policy Commitment to continual improvement
Commitment to compliance with safety and health regulations
Commitment to effective employee participation
Effective employee participation = one where employees actively demonstrate willingness and desire to work safely

30. Safety & Health Policy
Once your policy is written and is ready to implement follow these guidelines:
Obtain approval and signature from top management
Document policy in visible and accessible format
Communicate policy to all employees
Review policy periodically to ensure its relevancy

31. Poll Question #5 #5 POLL QUESTION:
What element(s) should be included in a safety and health policy?
A. Commitment to employee participation B. Compliance with safety and health regulations C. Quantifiable goals and their due dates D. A and B, only E. A, B and C

32. Safety & Health Policy Exercise
Instructions: Mary White has drafted the safety and health policy provided below. Does her draft policy meet all of the elements listed in the checklist on the left?
Draft CHC Policy: The CHC Company is committed to the safety and health of our employees and our community. We will strive to comply with federal, state and local occupational safety and health regulations. We will communicate our policies, procedures and goals to all employees to ensure a safe and healthful working environment.

33. Safety & Health Policy Exercise
Revised CHC Policy: The CHC Company is committed to the safety and health of our employees and our community. We will strive to comply with federal, state and local occupational safety and health regulations and to continually improve our safety and health performance. We promote employee participation in these efforts and will communicate our policies, procedures and goals to all employees to ensure a safe and healthful working environment.

34. Safety & Health Policy
Strategy to consider when you develop and implement a safety and health policy:
Involve top management, safety committee or safety team
Review existing policies (business or environmental) that have a standard template that can be used
Develop policy content based on required elements
Document the policy according to your current document control system
Communicate the policy to all employees in an accessible format

35. Safety & Health Policy – Examples
Company XYZ is committed to minimizing risks in the workplace to protect our employees and our neighbors.
Our commitment is supported by management and is the responsibility of each employee at Company XYZ.
We will implement our commitment through our safety and health management system to ensure continual improvement, to provide employee education and training, to comply with applicable regulations, and to institutionalize the value of safety and health throughout our company.

36. Goals & Objectives Part of its overall management planning process.
Each of the models mentioned requires setting S & H goals and objectives
Are valuable benchmarks in which to measure actual S & H performance to determine if improvements have been made.

37. Goals & Objectives
Goals refer to a larger, more general target that an organization desires to achieve. (example)
Objectives refer to the specific steps that will be taken to achieve the stated goal. (example)
Once established communicate them.

38. Poll Question #6 #6 POLL QUESTION: Well-written goals are
(A) Goals and objectives are different words for the same thing.
(B) An objective refers to a larger, more general target than a goal.
(C) Objectives refer to the specific steps that will be taken to reach the goal.
(D) Goals refer to the specific steps that will be taken to reach the objective.
(E) B and D
Answer:
C is Correct
A goal refers to a larger, more general target; while objectives refer to the specific steps taken to achieve a goal.

39. Goals & Objectives Establishing Goals and Objectives
Should be a joint effort between your organization's management and employees
Should be challenging, yet attainable
Should also be stated in quantifiable terms so that progress toward achieving them can be measured

40. Goals & Objectives
Difficult to attain goal: Company ABC will reduce its lost workday injuries down to zero in the first year of implementing the SHMS.
More attainable goal: Company ABC will reduce its lost workday injuries by 50% in the first two years of implementing the SHMS.
A more realistic goal + specific objectives to reach that goal = success
Although it may be admirable and desirable to establish a goal for zero injuries, it may be difficult to attain in the first year of your SHMS. It may be wiser to establish a more attainable goal such as reducing lost workday injuries by a certain percentage and establishing very specific objectives to reach that goal.

41. Goals & Objectives Example 2 (Measurability)
Non-measurable goal: Company XYZ will operate more safely by the end of the year.
Measurable goal: Company XYZ will reduce eye injuries by 50% in the manufacturing area by the end of the year.
Establishing measurable goals in your company will allow you to track your progress

42. Goals & Objectives
Goals and objectives should be developed following a comprehensive worksite analysis.
Establishing priorities for S & H can be difficult because all reductions in hazards are regarded as improvements in performance.
Consider focusing on the goals that achieve the greatest improvement in the S& H performance rather than setting goals for every issue identified.

43. Goals & Objectives Prioritization Strategies
Establishing priorities for safety and health can be difficult because all reductions in hazards are regarded as improvements in performance.
Some organizations develop a ranking process to determine which goals to act on first.
Occurs after the organization has conducted a comprehensive worksite analysis.

44. Goals & Objectives
Examples of criteria to utilize for ranking schemes include:
Likelihood or potential of the hazard occurring (very likely, unlikely, etc.)
Severity of the hazard (death, serious physical harm, etc.)
Frequency of the hazard (once per day, once per shift, etc.)
Number of employees exposed to the hazard (1,5,10, etc.)

45. Ranking Method for Hazards - Example
Likelihood of Hazard
Severity Of
Hazard
Frequency
Exposure
(a)
Total
Score
Hazard: Noise in facility is greater than 85 dB
(time-weighted average)
Very likely during manufacturing operations
Possible
Hearing
Loss
Continuously during manufacturing operations 10
Scores: 5 3 16
(a) Exposure = Number of employees

46. Ranking Method for Hazards - Example
Each of the four criteria is rated from 0 to 5 based on the amount of risk the hazard poses.
Individual values are added across to obtain a final score for the hazard.
If you have many hazards to prioritize:
Focus on ones whose scores meet or exceed a certain value.
For example, any score over 12 warrants a high priority.
Keep in mind that your ranking scheme and scoring benchmarks are developed by your organization. (There is no federal or standard method for doing this.)

47. Goals & Objectives
Scenario – CHC tries to Establish Goals and Objectives
During CHC’s first Safety Improvement Team (SIT) meeting, they decided to recommend safety and health goals and objectives to management. They realized that they needed more data before they could effectively set a goal and objectives. The following action items were established:
Mary White will bring the following workplace injury and illness data to the next meeting: the number of OSHA recordable accidents that have occurred over the past 3 years, and a breakdown of the types of accidents that have occurred over the past 3 years.
The SIT will conduct a worksite safety analysis to identify hazards in the workplace and areas that require immediate improvement.
The SIT will return to the task of establishing goals and objectives after the worksite analysis is complete (covered in Lesson 3).

48. Employee Participation
Value of Employee Participation
SHMS is effective only if all employees become involved and feel a responsibility for safety and health at your organization
Performing work safely is a daily activity for everyone rather than a separate, occasional activity for teams and committees
Employee participation in the SHMS goes beyond the employee right to notify managers of hazardous conditions

49. Employee Participation
Management – best way to encourage employees is to:
Become involved
Visibly participate
Provide the necessary time and resources for employees to participate
Quick Fact
During a VPP audit, OSHA conducts formal interviews with an established percentage of your employees to gauge employee awareness of and involvement in safety and health concerns at your facility.
Talking directly with employees is the best way to determine their involvement and emphasizes their importance in making the safety and health program work.

50. Employee Participation
What benefits do employees bring to your SHMS?
Employees know and understand the hazards of the work they perform.
Can provide possibly overlooked suggestions for improvement.
Well-trained employees can ensure that new employees are properly informed of workplace hazards during on-the-job training.
Top management support generally leads employees to minimize unsafe acts and therefore prevent accidents.

51. Poll Question #7 #7 POLL QUESTION:
How can your company benefit from employee participation in the SHMS?
A. Employee involvement in the SHMS generally leads to safer work practices and fewer accidents. B. Knowledgeable employees can help train and inform new employees about workplace hazards. C. Employees can provide excellent suggestions for improvements to the SHMS. D. B and C, only E. A, B and C.

52. Employee Participation
You can involve employees by asking them to:
Participate in accident or incident investigations.
Conduct workplace or departmental safety and health inspections.
Develop and/or evaluate written safety procedures.
Participate in safety and health committees.
Assist in safety training of other employees.
Eliminate Barriers
Top management must “walk the talk”
Allow employees to attend meetings or training sessions

53. Employee Participation
Scenario CHC Focuses on Employee Participation
Mary White has organized a safety committee to gain employee involvement in the implementation of the SHMS. The committee consists of four service technicians, the Operations Assistant, the Sales Manager and Mary White. The meetings are scheduled the first Friday of every month at 7:30 am.
President Ben Smith attended the first meeting to show his support and the value he places on the committee’s efforts. Mary White presented the first agenda item—to decide the name of this committee. After interesting discussions, the committee decided to be named the Safety Improvement Team (SIT). For the remainder of the meeting, the SIT discussed their role in the SHMS and the specific responsibilities that they will have going forward.

54. Management Review
Requires a periodic management review process to ensure the system is functioning as intended and is adapting to changing circumstances.
Review will help determine:
Changes are needed to improve worker protection
The organization's safety and health performance is continuously improving.
Quick Fact
Management review involves the global assessment of the company's SHMS.
It does not involve routine, assigned tasks such as reviewing workplace accident or illness reports and developing corrective actions.
However, management review does include evaluating trends of workplace injuries and illnesses and determining if the corrective actions are effectively reducing accidents.

55. Management Review
It's important to document your management review process, as you answer the following questions.
Is your SHMS suitable, adequate and effective?
Review the status of the SHMS goals and objectives.
Review workplace injuries and illnesses or other safety performance measures.
Are your S&H policy, goals and objectives and other SHMS elements still relevant?

56. Management Review
Each of the models for SHMS requires that a management review be conducted at a determined interval.
The organization sets this interval based on organizational needs and structure.
Some management reviews are conducted every 6 months.

57. Management Review
Management review will be conducted after your SHMS has been implemented for some period of time.
This important component of management leadership will be revisited at relevant points throughout the rest of the series.

58. Poll Question #8 #8 POLL QUESTION:
The purpose of management review is to determine if
A. the SHMS is suitable, adequate and effective.
B. elements of the SHMS have become outdated and need modification.
C. the organization's safety and health performance is continuously improving.
D. A and B, only
E. A, B and C

59. Conclusion
This is the end of Lesson 2, please take the post-test and complete the lesson evaluation form.
Sign up for Lesson 3 and subsequent lessons.
In order to get your certificate of completion for this series, you must complete all 5 lessons.

60. This course, funded by an OSHA-sponsored Susan Harwood grant, is designed to assist small and medium sized businesses in developing and implementing an effective safety and health management system.
This material was produced under grant SH F-24 from the Occupational Safety Health Administration, U.S. Department of Labor. It does not necessarily reflect the views and policies of the U.S. Department of Labor, nor does mention of trade names, commercial products, or organizations imply endorsement by the U.S. Government.