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3/23/2018
1
Getting to the Core of Your Safety
Program
Ryan Davis
Outline
Certification of Recognition (COR) in Canada
How incentives may affect stakeholdersHow COR maintenance may affect performanceHow to improve
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Learning Outcomes
At the end of this session, you will be able to:
1. Identify concerns in your own program(s).
2. Implement changes to programs to control incentives.
3. Examine and assess readiness to move to an HSMS.
COR In Canada
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COR in Canada
Established in 1989, through PIR
34 Certifying Partners in Canada29 Audit Tools Evaluated
COR Audit Tools
Practical Loss Control Leadership
Bird, Germaine, Clark
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0123456789
101112131415161718192021222324252627
AA
SP
AH
SA
AF
PA
…
AM
HS
A
AS
C
CC
SA
Enf
orm
WW
AA
AgS
afe
For
est…
go2h
r
Saf
ety…
MH
SA
AC
SA
AF
PA
SC
SA
BC
CS
A
Saf
ety…
CS
AM
MH
CA
NB
CS
A
NS
CS
A
HC
SA
S
NS
NY
MS
A
IHS
A
SA
SM
NL
CS
A
COR Audit Tools
COR Auditing - Methods
Health, Safety and Environmental Management Systems Auditing, 2nd Edition
Shematek, MacLean, Lineen
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56% 34% 10%
COR Auditing - Verification
COR Auditing - Scoring
All or Nothing (A/N)
(0, 10) or (10)
49% = 0 points
65% = 10 points
Range
(0-10)
49% = 5 points
65% = 7 points
Both based on evidence or ‘positive indicators’
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COR Auditing - Scoring
50%
4%
46%
A/NRangeBoth
COR Auditing - Scoring
>50% per element* +
> 80% overall* =
Certification!
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Studies on COR
Studies on COR
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Studies on COR
Studies on COR
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Studies on COR
Studies on COR
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Studies on COR
Incentives
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Sumo Wrestling
Entrenched in Japanese culture
Tournaments involve 15 matches
Winning record guarantees moving up
Sumo Wrestling
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7:7 8:6
80% 20%
Sumo Wrestling
Sumo Wrestling
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Sumo Wrestling - Rematch
7:7 8:6
40% 60%
Teachers in Chicago Public School
Policy change in 1996
Based on standardized tests
Had access to tests before submission
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Teachers in Chicago Public School
Findings suggested that ~5% of teachers cheated
Teachers in Chicago Public School
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Claims Suppression in Manitoba
Principal Findings:
> 5 day LTI: ~30% not reported
Misreporting LTI: ~14 – 35%
Awareness of claims suppression: ~36%
Claims Suppression in Manitoba
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Principal Findings:
“Participants saw what they considered the inherent incentivesin the experience rating system as the foundation for aggressive claims management, incentive systems tied to no time loss injuries and, the use of third party claims administrators.”
- Prism Economics and Analysis, 2013
Claims Suppression in Manitoba
Incentives in COR
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COR In Canada
Often a pre-bid requirement
COR is a COR
50% of COR tools exclusively A/N scoring
Incentives - Employers
External
COR required to bidWCB rebates>80% = Standard met
Internal
ConsistencyIncreased productionReduced Risk
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Incentives – Safety Professionals
Consultants
Get paidRepeat businessOut-of-scope work
Employees
BonusesJob securitySocial pressure
How COR may affect programs
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1. Measurement (Tool Itself)
2. Scoring Variance (A/N vs. Range)
3. Maintenance (Audit Cycle)
How COR may affect programs
Policy & Interview Exercise
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According to Shematek, et. al.:
“Probably the single most revealing component of the HSE audit information collection process is the audit in interview.”
- Shematek, MacLean, Lineen, 2016
Interviews
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Presentation Policy
Presentation Policy
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Presentation Policy
Each technique may be used to score a single concept:
Does it exist?
Do employees know about it?
Is it available?
COR Auditing - Verification
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52% 17% 31%
COR Auditing - Verification
Scoring Scenarios
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For records, points historically awarded on>50% positive indicators
Example - Monthly meetings:6/12 = full points5/12 = no points
Scoring Scenario
Company AMet Audit Standard
Records = 50% positiveGiven score: 80% (262/328)Actual score: 63% (207/328)
Company BFailed to meet standard
Records = 49% positiveGiven score: 66% (218/328)Actual score: 83% (272/328)
328 Pts Available, 110 points based on ‘records’
Scoring Scenario
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(Re) Certification• 80% Required*
Maintenance Year 1• 60% Required
Maintenance Year 2• 60% Required
COR Audit Cycle
80%60%60%80%60%60%80%
Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 Year 7
COR Audit Cycle
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How COR may affect programs:
1. Measurement
2. Scoring Variance
3. Maintenance
How to improve
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“The better you get,the better you’d better get.”
- Getting Things Done, David Allen
External Stakeholders
WCB
Proactive element incentivesHigher rebatesRequire continual improvement
Certifying Partners
Alternative toolsAuditor workshopsRequire continual improvement
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Safety Professionals
Externally
Auditor selectionWork with CPsTie safety performance to business outcomes
Internally
Automate / OrganizeMeasure moreConsider readiness to move to an HSMS
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COR and CSA Z1000 Comparison
ACSA COR AuditSection 8
8.1 Formal Orientation
8.2 Confirmation of Completion
8.3 Certification Verification
8.4 Refresher Training
8.5 Job Specific Training
8.6 Supervisory Training
CSA Z1000-14Section 4.4.4.2a) be provided to all, based on their dutiesb) be conducted by competent persons;c) be based on principles of adult
learning;d) address differing levels of
responsibility, ability, language, and literacy;
e) consider participants’ culture and diversity;
f) include timely refresher sessions;g) include participants’ evaluationh) be evaluated and modifiedi) be documented.
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Conclusion
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Focus future research in 3 areas:
1. ongoing monitoring of program effectiveness;
2. investigate how certification facilitates change in OHS practices; and
3. assessment of audit tools to improve and incorporate evolving OHS best practices.
- McLeod, et. al., 2015
Thank you!
Ryan Davis
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ACSA Stakeholder Audit Tool Engagement Meeting
63
Survey - How could we improve Audit Tool?
Simplified questions Detailed questions Explanation of scoring Add range scoring Remove A/N scoring Combine elements Simplify guidelines Provideexamples Other (please specify)0.00%
10.00%
20.00%
30.00%
40.00%
50.00%
60.00%
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Summary of Changes
Element Weighting
Scoring
Notes Requirements
COR Audit Cycles
65
ACSA Sections1 Health & Safety Policy2 Hazard Assessment3 SWP4 SJP5 Rules6 PPE7 Preventative Maintenance8 Training9 Inspections10 Investigations11 ERP12 Stats13 Legislation
Partnerships Sections
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1 Management Commitment
2 Hazard Identification
3 Hazard Control
4 Inspections
5 Training
6 Emergency Response
7 Investigations
8 Program Administration
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Element Weighting
67
# Element Min Max
1 Management Commitment 15 20
2 Hazard Identification 15 20
3 Hazard Control 15 20
4 Inspections 5 15
5 Training 10 15
6 Emergency Response 5 15
7 Investigations 5 15
8 Program Administration 5 15
Proposed Weightings – CP Tool
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# Element Proactive Balanced Operational Reactive
1 Management Commitment 20 15 20 15
2 Hazard Identification 20 15 15 15
3 Hazard Control 20 15 15 15
4 Inspections 10 15 15 5
5 Training 10 10 15 5
6 Emergency Response 5 10 5 15
7 Investigations 5 10 5 15
8 Program Administration 10 10 10 15
100 100 100 100
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Proposed Weightings – ACSA Tool
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# ACSA Weight Partners Ref. Weighting1 Health & Safety Policy 10 1 10%5 Rules 5 1 5%
13 Legislation 5 1 5%2 Hazard Assessment 15 2 15%3 SWP 4 3 4.0%4 SJP 4 3 4.0%6 PPE 3 3 3%7 Preventative Maintenance 4 3 4%9 Inspections 15 4 15%8 Training 15 5 15%11 ERP 5 6 5%10 Investigations 5 7 5%12 Stats 10 8 10%
100 100%
COR Auditing - Verification
52% 17% 31%
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Scoring
All or Nothing:• 70% Positive Indicators required• 50% for first year only
Range:• Adding Range scoring for quantifiable verification
o (e.g. records, interviews)
• Rounding rules must be included by CP
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Notes Requirements
Complete justification including ‘positive indicators’ for all questions.
Examples may include:
“20/25 (80%) of the hazard assessments reviewed identified health hazards in the assessments. Examples included exposure to fumes while welding…”
“Meeting minutes reviewed confirmed that 9/12 (75%) of the required monthly safety meetings took place per the ABC Construction Inc. policy.”
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