Behavior-Based observation and feedback processes promote desired behaviors by introducing POSITIVE REINFORCEMENT for behaving safely. The positive reinforcement is provided through POSITIVE FEEDBACK. These programs are based on the ABC behavior model, as I explain below. The effectiveness of behavioral safety observation and feedback programs is dependent upon effective implementation.
Assess Cultural Maturity or Readiness
The first stage in the implementation is the assessment of an organization’s readiness to implement a behavior-based observation process. The term “cultural maturity” refers to the critical safety culture elements
- management commitment,
- TRUST,
- communication
These three (3) elements determine an organization’s readiness to implement a behavior-based observation process. Research suggests that organizations should select a behavior-based observation process that matches their level of “cultural maturity” because a mismatch is one reason why behavior-based observation processes fail. Therefore, it is important for organizations to establish that they are ready to implement a behavior-based observation process and to identify any potential problems they may encounter.
By identifying potential barriers before implementing the program, an organization will be able to manage these problems more effectively. For example, if a reorganization is likely to occur during the implementation of the program, then the program could be delayed until after the reorganization.
There are a number of ways of assessing cultural maturity, for example, conducting a safety climate survey or holding workforce workshops. Details about how to assess the level of cultural maturity are provided in the “Changing Minds” report, and readiness indicators are available.
Management and Workforce Support
Management and workforce ownership and support for the behavioral safety process are vital for the program’s success. An effective way of gaining support and ownership is to involve employees in the program. For individuals to be involved, they must feel that their views and opinions are essential and that they can make a difference. Therefore, employees must be able to influence the selection of the program type and how it will be implemented.
A particularly important group to involve is front-line supervisors, who can either facilitate or prevent observations from being conducted. In addition to involving employees in the program selection, they also need to be directly involved in managing the program. All employees can’t be involved in running the program; therefore, individuals who will be involved must be selected. Behavior-based observation and feedback processes are different in their approach to process management, with some using a single full-time co-ordination and others opting for a steering group.
Steering groups tend to be more common and are created by asking for volunteers. The selection of the steering group is critical, as it needs to contain respected staff members and be representative of the entire workforce.
Most Behavior-Based observation and feedback processes require frontline staff to conduct behavior safety observations on their colleagues. These individuals are usually referred to as OBSERVERS. In most instances, employees are asked to volunteer to become observers, but sometimes the entire workforce is trained, or specific groups (safety representatives or supervisors) are selected to participate.
Behavior-based observation and feedback processes training
Irrespective of whether a single coordinator or a steering group manages the process, training in behavioral safety techniques will be required. This training is likely to include input on the psychology underpinning behavioral safety, how to identify critical safety behaviors, and how to provide feedback, either face-to-face or to a group. The number of individuals trained and the depth of the training will depend on the specific program. Some programs train all staff, whereas others train a minority of employees. In addition to steering group training, observers require training in conducting observations and recording the information. The depth and level of training varies between providers. Some providers assess the quality of the observations by comparing their own observation of the situation with the trainee’s observation.
Specifying Critical Safety Behaviors
The majority of Behavior-Based observation and feedback processes develop a list of critical safety behaviors to be included on a checklist that observers complete. A range of techniques can be used to identify critical health and safety behaviors to include on the checklist.
Most Behavior-Based observation and feedback processes experts identify critical behaviors by analyzing previous accident reports. Having said this, some relied solely on previous accident reports as a source of behaviors. Most SMEs used additional information such as reviewing previous risk assessments, task risk assessments, audits, input from frontline staff and supervisors, and expert judgment. It is, therefore, recommended that several techniques be used to identify critical behaviors. Near-miss reports are essential for critical safety behaviors, as they may describe behaviors that nearly cause an injury.
CAUTION!
Relying solely on accident reports has the limitation that infrequent but critical health and safety behaviors may be excluded. Accident analysis only identifies behaviors that have led to an injury, thus excluding critical health behaviors with consequences that have not yet manifested themselves (e.g., exposure to asbestos) and behaviors that, due to chance, have not yet caused a recordable injury. In addition, the quality and level of detail provided by accident reports may not facilitate the identification of all the critical behaviors.
Establishing a Baseline
The final element in the implementation phase is establishing a baseline. This involves conducting initial observations to establish the current level of safe behaviors for the critical behaviors identified. A baseline is helpful as it allows feedback on the program’s success in changing behavior.
Observations
The first stage in the process is conducting observations. In general, peers conduct observations, but in some programs, they are conducted by superiors. Behavior-based observation and feedback processes vary in their approach to conducting observations and in how safe behavior is measured. In general, the observer is given a checklist with a list of behaviors and the observer has to indicate if the individual is safe or unsafe or if the behavior was not observed. The behaviors must be clearly described to enable the observer to judge whether someone behaves safely or unsafely.
Feedback
POSITIVE FEEDBACK is one of the most essential elements in the behavior-based observation and feedback processes, as this positive consequence is introduced to REINFORCE SAFE BEHAVIOR. There are two (2) main types of feedback:
- summative and
- formative
- Summative feedback provides the individual with information on their performance (e.g., “Excellent work Sam.”)
- Formative feedback provides information on how they can improve their performance (e.g., “The next time you conduct a risk assessment, try involving your team, as they are likely to have more knowledge of the practicalities of the job.”)
- Formative feedback needs to be delivered by someone perceived as CREDIBLE AND KNOWLEDGEABLE by the individual receiving the feedback.
- Summative feedback can be given in public or private.
- Formative should ONLY be given in private, or it may be perceived as a punishment.
Three (3) factors influence the impact of feedback, these are:
- Timing: Feedback should be timed to be useful and meaningful to the person receiving the feedback. Feedback tends to be most effective immediately after the behavior.
- Focus: The feedback should be specific and focus on the desired behavior
- Fit: The feedback should fit with the expectations of the person receiving the feedback.
Behavior-based observation and feedback processes vary in the type of feedback given. Some processes provide feedback to the individual at the time; others provide feedback to the group (e.g., presenting results graphically, and some provide both)
| Types of Feedback | ||
| Type | ||
| Mode | Summative | Formative |
| Face-to-Face |
Observer praises the person they observed for behaving safely | The observer highlights ways in which the observee could change their behavior |
| Graphical | The percentage of behaviors that were observed as safe are displayed publicly | It is not appropriate to provide formative feedback graphically |
Modify Environment
We MUST REMEMBER that the Behavior-based observation and feedback process may identify unsafe conditions or barriers (antecedents) to individuals behaving safely. Improvements to the environment or systems may be required in order to improve employees’ behavior. This information is collected and actions are taken to make improvements. Prompt feedback to staff about the status of unsafe conditions highlighted by the system is vital for sustained commitment to the program.
Review List of Critical Behaviors
The list of critical behaviors is revised periodically, new behaviors are added, and existing behaviors are replaced. A critical behavior can be removed from the list and replaced with a new behavior when it has reached “habit strength” (i.e., it is consistently observed as safe). Once the goals are achieved, another round of participative target setting is conducted. Participative target-setting sessions are generally held at regular intervals (e.g., quarterly).