Zero Accident Techniques

CONSTRUCTION
INDUSTRY
INSTITUTE
ZERO ACCIDENT TECHNIQUES
Clemson University
Roger W. Liska
David Goodloe
Rana Sen
Source Document 86
January 1993
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ZERO ACCIDENT TECHNIQUES
by
Roger W. Liska
David Goodloe
Rana Sen
A Report to
The Construction Industry Institute
The University of Texas at Austin
Under the Guidance of the

Zero Accident Task Force
from
Clemson University
Clemson, South Carolina
January, 1993
© 1993 Construction Industry Institute™.
The University of Texas at Austin.
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TABLE OF CONTENTS
Executive Summary ............................................... i
Chapter I Introduction ..................................... 1

Purpose of Research ............................... 4
Chapter II Research Methodology ............................. 6

Phase One ......................................... 6
Phase Two ......................................... 9
Phase Three ....................................... 15
Phase Four ........................................ 17
Chapter III Review of Related Literature ..................... 22

Causes of Accidents ............................... 22
Accident Prevention ............................... 25
Attributes of Project Safety ...................... 27
Chapter IV Research Findings ................................ 45

Introduction ...................................... 45
General Findings .................................. 46
Objective Number One: Identify Techniques
Which Contribute to a Safe Project .............. 49
Objective Number Two: Develop Cause and Effect
Relationships Among Techniques, Results, and
Costs ........................................... 83
Chapter V Conclusions and Recommendations .................. 85

Conclusions ....................................... 85
Recommendations ................................... 92
Bibliography .................................................... 104
Appendix A ...................................................... 110

Construction Safety Questionnaire for
Owner Members
Construction Safety Questionnaire for
Contractor Members
Appendix B ...................................................... 122
Owner Manager Interview Questions
Contractor Manager Interview Questions
Contractor Supervisor Interview Questions
Contractor Worker Interview Questions
Owner Manager Time for Safety

Contractor Manager Time for Safety
Contractor Supervisor Time for Safety
Contractor Worker Time for Safety
Owner Manager Ranking of Safety Attributes

Contractor Manager Ranking of Safety Attributes
Contractor Supervisor Ranking of Safety Attributes
Contractor Worker Ranking of Safety Attributes
Owner Manager Evaluation of Contractor Safety

Program
Contractor Manager / Supervisor Evaluation of
Safety Program
Appendix C ...................................................... 205

Agenda
Appendix D ...................................................... 206

Instructions to Conduct Interviews
Research Interviewer Reminder Lists
Appendix E ...................................................... 212

Safety Attribute Checklist
Appendix F ...................................................... 231

Interview Logs
Appendix G ...................................................... 233

Closeout Checklist
Appendix H ...................................................... 236

Comprehensive Listing of Safety Techniques
Appendix I ...................................................... 263

Typical Responses: Three most effective safety
techniques used on a project.
Appendix J ...................................................... 270

Three Most Effective Safety Techniques:
Manager Responses
Supervisor Responses
Worker Responses
Appendix K ...................................................... 273
Time Spent on Safety Attributes by Project
Construction Manager
Construction Upper Supervision
Construction Lower Supervision
Construction Workers
Owner Managers
Appendix L ...................................................... 288

Time Spent on Safety Attributes by Project
Model Construction Crew
Appendix M ...................................................... 291

Time Spent on Safety
Average Time for Interview Groups
EXECUTIVE SUMMARY
This source document describes the results of the research conducted

to identify those techniques which have clearly proven to be successful in
achieving "safety excellence" with the goal of eliminating all accidents.
A second objective was to develop relative cause and effect relationships
among techniques, results and costs.
The research resulted in identifying eight safety-related techniques

which, if implemented in a quality manner within a total safety program,
will result in excellent project safety performance. Furthermore, of the
eight techniques, five of them: Pre-Project/Pre-Task Planning, Safety
Orientation/Training, Safety Incentives, Alcohol and Substance Abuse
Program, and Accident and Near Miss Investigation have the greatest impact,
in the order shown, on and attaining a zero or near zero accident project.
Chapter I of this document provides reasons why the construction

industry needs to become more aware of the need to develop and implement
effective safety programs comprised of those techniques which have proven
to result in excellent safety project performance. The National Safety
Council statistics have shown the construction industry experiences 20
percent of all traumatic occupational fatalities and 12 percent of the
total number of disabling injuries. Furthermore, workers' compensation
insurance costs in the United States have doubled between 1980 and 1987 and
i
are expected to increase 5 to 30 percent, depending on the state.
Safety performance and its improvement on construction sites has

received a great deal of attention since the implementation of the
Occupational Safety and Health Act (OSHA). Previous research has shown
that the development and implementation of safety programs comprised of
effective techniques reduces accidents, and thus, safety-related direct and
indirect costs.
Chapter II describes the research methodology for this study. The

research began with the identification of four (base) construction projects
where "safety excellence" had been achieved for the purpose of identifying
safety-related techniques (attributes) which had contributed to their
positive safety performance. Positive safety performance was defined as
having no lost workday cases for one or more strings of one million hours
for projects over one million work hours or no lost workday cases for
projects under one million work hours. In addition, the owner and/or
contractor of each of the four projects had to be a CII member.
Once the base projects were identified, general information about

them, including safety performance, was obtained using specially designed
forms. In addition, an extensive literature search was conducted to obtain
information on known techniques which contribute to safe projects.
The next activity was to develop interview protocol and survey

instruments which were used on the base projects. The levels of project
personnel that were interviewed were owner managers,
ii
contractor managers, supervisors (upper and lower), and craft workers. For
each level, a series of four survey forms were developed. These forms were
used in the interview process to identify what safety-related techniques
were present on the project, the degree of awareness of each, and the
approximate amount of time spent on the applicable ones by those
interviewed.
After completing the interviews on the first project, the survey forms
were refined. The revised forms were used on the subsequent projects. In
addition, because of the large amount of data obtained from the interview
process for any one project, it was decided to develop an attribute
checklist, the purpose of which was to summarize all the information in a
useable format.
To validate the findings from the base projects, it was decided to

select an additional 30 projects on which to conduct the same interview
process. The criterion used in the selection process was that the projects
should have had 200,000 hours worked and the contractor and/or owner must
be a CII member. Each company that nominated one or more projects were
asked to appoint a person to conduct the interviews and send that person to
a one day training session. After the needed number of projects were
identified, two training sessions were held for the project interviewers.
These individuals were provided the needed survey forms and other
information required to effectively conduct the interviews in a timely
manner.
As the results of the various project interviews were being received

and reviewed, four decisions were made that would impact
iii
the balance of the research to ensure its timely and successful completion.
First, it was decided the results obtained from two of the four survey
forms would not be used since the responses were based solely on the
perception of the personnel interviewed and this fact may or may not result
in accurately identifying those safety-related techniques which were
actually present. The results from these forms, however, are reflected in
the findings of this study. The remaining two survey forms consisted of
the one used to conduct the major portion of the interview for the purpose
of identifying the safety-related techniques and the form used to obtain
the approximate amount of time spent on safety activities.
The second decision was to examine more closely the responses to the
question, "What are the three most effective safety techniques being used
on this project?" The next decision was to establish a "model"
construction project crew for the purpose of being able to more effectively
analyze the time-related data. The model crew would consist of 1 manager,
2 upper level and 7 lower level supervisors and 90 workers.
Finally, the attribute checklist was revised to make it more useable

and rename it the "Comprehensive List of Safety Techniques for Construction
Projects." This list consists of 127 techniques and another 43 sub-
techniques for a total of 170 items which are known to contribute to a safe
project.
Chapter III presents a review of construction safety literature with

the objective of obtaining a comprehensive list of safety attributes. The
chapter begins with an overview of the
iv
causes of accidents and the prevention of them through the development and
implementation of an effective safety program.
To better understand the effects a safety program has on improving

project safety performance, one must first identify the various attributes
of which it is comprised. As part of the literature review for this
research project, it was decided to identify those safety attributes which
had already been determined to be ones which contribute to safe projects
based on previous research. The following three resources were examined:
Construction Industry Institute Safety Task Force 85-13 safety guidelines
for subcontractors, Associated General Contractors of America safety
guidelines, and Associated Builders and Contractors Safety Training and
Education Process (STEP).
The balance of the chapter presents an in depth review of each of the

three above noted resources. Based on these, the researchers developed a
comprehensive list of safety attributes to serve as the basis of the
development of the survey forms. This list included the following
attributes: management commitment to safety, safety policies and
procedures, safety responsibility and accountability, awareness of safety
statistics, safety budget, safety goals and objectives, safety meetings,
pre-job planning for safety, new employee safety orientation, safety rules,
safety inspections, safety training other than orientation, accident
investigation, audits, alcohol and substance abuse program, and safety
record keeping.
Chapter IV presents the findings from the research. Of the
v
initial 4 base projects and 30 additional projects selected, data from a
total of 27 projects (which includes the base projects) was obtained.
However, since 2 of the projects had not accumulated 200,000 work hours at
the time of the data collection, they were not included in the final
analysis since they did not meet the selection criteria. The projects
ranged in size from approximately 200,000 to 6,800,000 work hours. There
was one commercial, two heavy civil, and the balance were industrial
projects. In addition, 8 were union, 13 non-union, and 4 merit shop
projects.
The 25 projects had varying levels of safety performance as measured

by the lost workday incidence rates and the recordable incidence rates.
The lost workday incidence rates ranged from 0.00 to 4.37 with the average
being 0.26. The recordable incidence rates ranged from 0.80 to 41.33 with
the average being 3.93. These compare to the 1990 construction industry
averages of 6.70 and 14.2, respectively.
The first research objective as mentioned in the beginning of the

Executive Summary was attained by developing three separate prioritized
safety technique lists from the results of the three data basis: 170 item
technique list, three most effective safety techniques question, and time
spent on safety information. Using the three lists, a final prioritized
list was developed based on how many of the lists on which each technique
appeared and relative priority on each list.
To develop the first prioritized list based on the 170 safety

techniques and sub-techniques, the distinction between lost workday
vi
incidence rates for the 25 projects was made by dividing the projects into
the following categories:
Zero zero lost workday incidence rate
Rated lost workday incidence rate greater than zero

and less than or equal to one
Mark lost workday incidence rate greater than one
Exemplary Zero and Rated project incidence rates combined
Of the 25 projects, 8 were classified as zero, 9 as rated, and 8 as mark.

Combining the zero and rated there were 17 exemplary projects.
The next task was to calculate the level of existence of each

technique and sub-technique on each project. This was accomplished by
calculating the percent of affirmative responses to all the questions on
the interview survey form. The responses of contractor managers,
supervisors and workers were combined in making the calculation. Responses
from owner managers were not used since there were varying levels of
involvement by them on the projects.
Each technique and sub-technique corresponds to one or more of the

questions on the interview survey form. Furthermore, the number of
questions corresponding to each technique or sub-technique may differ by
personnel level. The final percentage of those interviewed who
acknowledged the existence of the specific technique or sub-technique was
obtained by calculating the mean of the percentages for the affirmative
responses to the question(s) related to each technique or sub-technique.
Once the percentages were compiled by project, the next task
vii
was to develop a similar list but by the project's lost workday incidence
rate classifications. To determine the level of significance of any one
technique or sub-technique to safety performance as measured by the lost
workday incidence rate, a "Significance Factor" was derived. It is equal
to the difference in the percentages between those of the exemplary
projects and those of the mark projects. The Significance Factor is a
relative percentage to be used only to discriminate among all techniques
and sub-techniques as to their relative impact on safety performance.
Once all the Significance Factors were calculated, the next step was
to identify those techniques and sub-techniques which had a Significance
Factor of 14 or more. A list of 37 resulted from this task. This list was
than refined and a final prioritized list of 11 techniques was derived to
be used as one of the three to reach the conclusions in this study.
The second prioritized list to be developed was based on the responses

to the question, "What are the three most effective safety techniques being
used on this project." Over 1000 responses to the question were obtained.
Many of them were similar and many different. So as to be able to more
effectively analyze the responses, it was decided to place them in groups
based on commonality of the response. Each group was related to a specific
safety technique. Most of these techniques were also included in the list
of 170 identified in the first part of the findings.
The next step was to develop a prioritized list of the techniques by

lost workday incidence project classifications. This
viii
was accomplished by first calculating the percent of those interviewed on
each project who identified one of the techniques as contributing to the
overall project safety. These percentages were then combined by project
classification to arrive at the final ones. Finally, the differences in
percentages between the exemplary and mark projects by technique were
determined. The greater the difference, in a positive sense, the greater
the positive impact the technique had on safety performance. The list was
refined and a final one developed to serve as the second in the series of
three to arrive at the final conclusion of this research.
The third prioritized list was based on the results obtained from the
time-related survey form and the model construction crew scenario. The
times obtained were first summarized for each personnel level interviewed
and the average number of hours per year per person by project were
calculated. The next step was to determine the average number of hours per
year spent on safety by the model construction crew for each project. The
results for each project were then mathematically combined into the four
lost workday incidence project classifications by technique. Finally, the
differences in the times of the exemplary and mark projects were
calculated. It, again should be noted, these differences are only an
indication of the relative importance of the techniques to safety
performance.
From the list of time differences a prioritized list of safety

techniques was developed. Some of the similar items were combined and a
final prioritized list resulted which served as the third
ix
list in arriving at the final prioritized list of techniques which result
in safety excellence.
Relative to the second research objective stated at the beginning of

this Executive Summary, the level of effort required to attain the first
objective combined with the limited available resources resulted in no work
being performed on it.
Chapter V presents the conclusions and recommendations from the

research. The final prioritized list of safety techniques was derived from
the three previously developed ones based on the number of lists each
technique appears and in what position on each list. In other words, the
greater the number of lists a technique appears on and the closer to the
top of any one list it is, the higher the priority it will have on the
final list.
Using the previously stated rational, an initial list was developed.

It was noted, however, that some of the techniques in the list were unique
and some overlap or have common elements. It was decided to place those
which were common as sub-techniques under one major heading so as to result
in a final prioritized list of eight techniques: safety pre-project/pre-
task planning, safety training/orientation, safety incentives, alcohol and
substance abuse program, accident and near miss investigation, record
keeping and follow up, safety meetings, personal protective equipment.
Upon closer examination of the list of eight techniques, it was found

the last three were common or required elements of construction safety
programs and, therefore, not considered to be so unique in terms of the
current state-of-the-art of safety
x
programs. As a result of this, the final prioritized list of zero accident
safety techniques consisted of the first five from the list of eight: pre-
project/pre-task planning, safety training/orientation, safety incentives,
alcohol and substance abuse program, and accident and near miss
investigation.
The recommendations begin by identifying three prerequisites to the

successful implementation of safety techniques: management commitment,
owner involvement, empowerment of all employees. Those considerations
obtained from the research that were critical to the successful
implementation of the various identified safety techniques are presented
and discussed in some detail. Finally, recommendations for future research
on construction safety techniques are presented.
xi
Chapter I
Introduction
The construction industry in the United States accounts for

approximately 10% of the GNP with an annual dollar volume of about $450
billion (U.S. Bureau of the Census, 1991). Five percent of the nation's
workforce is employed in the construction industry (Hislop, 1991) and yet
that 5 percent experiences a disproportionate 20 percent of all traumatic
occupational fatalities and 12 percent of the total number of disabling
injuries (National Safety Council, 1991). This corresponds to 6 to 10
facilities on construction sites every working day throughout the United
States (Hislop, 1991). Tables 1.1 and 1.2 (National Safety Council, 1991)
further illustrates the scope of the problem.
Studies indicate that between 1980 and 1987, workers' compensation

insurance costs in the United States doubled (Business Roundtable, 1991).
The upward trend continued in 1988, 1989, and 1990, and in 1991 it is
projected that the workers' compensation insurance premiums will increase
from 5 to 30 percent, depending on the state. Construction contractors,
depending on their Experience Modification Rates, are paying 10 to 20
percent of their direct labor cost for workers' compensation premiums and
this amount usually exceeds their profit margin. The same study also
indicates that it is not uncommon for contractors with poor safety
performance to pay twice the premium costs as compared to those who
1
2
have good safety records. The study further states that in 1979, $300
billion worth of construction was performed of which industrial, utility,
and commercial sectors accounted for $137 billion. Accident costs were a
significant 6.5 percent of the $137 billion or $8.9 billion. At the same
time the cost of workers' compensation insurance was $2.74 billion.
By 1989, the industrial, utility, and commercial segment of the

construction industry accounted for $245 billion of a $445 billion dollar
industry. The accident costs, driven by increases in medical costs,
litigation, and ballooning insurance costs, rose to 17.1 billion dollars
per year, and the annual cost of workers' compensation insurance to the
industry reached $5.26 billion. Coupled with these direct costs are
indirect costs which must also be considered. Estimates of the ratio
between indirect and direct costs vary from about 1 to 1 to 20 to 1. The
ratio varies greatly with the extent of the accident and is not necessarily
linked to the severity of the injury (Hinze, 1991).
Safety performance and its improvement on construction sites has

received a great deal of attention since the implementation of the
Occupational Safety and Health Act (OSHA) (Laufer & Ledbetter, 1986).
Research has shown that the development and implementation of effective
safety programs reduces accidents (Smith, Roth, 1991). Project safety is
an issue which is supported by everyone in concept. Unfortunately, when it
comes to spending time and money on safety, many people do not feel it is
vital to the success of their projects. This stems from the failure of
many to recognize
3
that the effective implementation of project safety techniques can reduce
job accidents and directly or indirectly reduce project costs (Hinze and
Raboud, 1988).
Those contractors who would benefit most from an effective safety

program are those having annual business volumes of less than $25 million.
A study performed by Fetridge (1991) noted that these size contractors
experience the majority of accidents. Furthermore, most of these smaller
contractors do not have effective safety programs, and in many cases none
at all (Hinze, Harrison, 1981).
There are four factors - financial pressure, regulatory and

legislative pressure, media and goodwill - that motivate management to
develop and implement an effective safety program (Geyer, 1991). While
regulatory pressures inspire some to launch effective safety programs, most
companies respond by the promise of the financial rewards. It is essential
that contractors and owners devote the needed resources for the development
and implementation of techniques with the goal of attaining a zero accident
project.
Purpose of Research
In view of the consistently poor safety performance of the

construction industry, research is needed to identify those safety
techniques which have clearly proven to be successful in achieving
excellence in project safety. To meet this need, the Construction Industry
Institute formed the Zero Accident Task Force. The task force identified
the following specific objectives for the research
4
with the purpose of convincing management (owners and contractors) of the
value of an effective safety program on the total cost and human impact of
accidents:
1. Identify those techniques which contribute to a safe project.
2. Develop cause and effect relationships among techniques, results, and

costs.
The research will provide a proven body of knowledge which should reveal
that the Zero Accident level of safety performance is achievable and how to
achieve this level through the implementation of those proven techniques
that make a difference.
5
Chapter II
Research Methodology
To accomplish the objectives of this study, the research was divided

into a number of phases, each consisting of a series of tasks. The balance
of this chapter describes each phase in detail.
Phase One
The Zero Accident Task Force (ZATF) research began with the
identification of four construction projects where "safety excellence" had
been achieved for the purpose of identifying safety-related techniques
which attributed to the positive safety performance. The criteria used to
make the selections were as follows:
1. The project owner and/or contractor is a member to CII.
2. For projects over 1 million work hours, the duration should be 12

or more months with one or more strings of 1 million hours worked
without a lost workday case.
3. For projects under 1 million work-hours, the minimum work-hours

worked is 200,000 and no lost workday cases.
4. The projects should be active when the research visits are

conducted.
It should be noted that there are many terms utilized by the

construction industry and others for lost workday cases. Some of the more
common ones are lost workday cases with days away from work, lost time
injuries, lost time cases, and lost workday injuries. For the purpose of
this study lost workday cases will be
6
used along with lost workday incidence rate. In addition the terms
recordable cases and recordable incidence rate will also be used in the
narration and in the figures.
For this study, the initial four projects will be referred to as "base
projects." Table 2.1 provides some descriptive information for each
including the lost workday rates as provided by project management at the
time the research was conducted.
In terms of contractual responsibilities, the four base projects were

divided into two categories as noted below:
1. projects that were being managed by a construction

manager and construction work being performed by
prime contractors, and
7
2. projects where project management and construction
work were being performed by a general contractor
with additional work being performed by subcontractors.
For the purpose of the balance of this document the word "contractor" will
be used when referring to the general contractor or construction manager
and sub or prime contractors.
Also during this phase two questionnaires (Construction Safety

Questionnaire for Owner Member and Construction Safety Questionnaire for
Contractor Member) were developed respectively for the owners and general
contractors or construction managers of the four base projects. The
purpose of these questionnaires (appendix A) was to obtain initial
information, including safety-related, for the base projects. The
requested data included the following:
1. company demographics,
2. employee profiles,
3. company policies and procedures,
4. safety programs and manuals,
5. training program descriptions and materials,
6. safety history, and
7. sub or prime contractor information, etc.
An extensive literature search was also initiated during this phase to

obtain information on known techniques which contribute to safe projects.
The key topics researched were: attributes of construction safety,
construction safety programs, and the management of construction safety.
The results of the literature search can be found in Chapter III of this
document.
8
Phase Two
The initial task during this phase was to mail to Construction Safety
Questionnaire for Owner Member and Construction Safety Questionnaire for
Contractor Member developed in phase one to the contractor representatives
of the four base projects. Once they were completed and returned the
information was compiled and assimilated for future use in the study.
The literature search was completed during this phase and resulted in
a list of safety-related attributes which would form the basis of all the
research survey forms. The reader is referred to Chapter III for the list.
The next task was to develop the interview protocol and survey
instruments. First, decisions had to be made regarding whom to interview
during the site visits relative to the contractors' and owner's
organizations. For those projects which had a general - subcontractor
contractual relationship, it was decided that personnel at the manager,
supervisor (upper and lower), and craftworker (referred to as worker for
the purpose of this research) levels from the general contractor's and two
subcontractor's organizations would be interviewed. For those projects
with a construction manager (CM) - prime contractor contractual
relationship, the same levels of personnel would be interviewed, if
available, in the CM and two prime contractors organizations.
In addition, the onsite manager(s) from the owner's organization would

be interviewed. In order to obtain
9
comprehensive data, a sizeable cross-section of personnel had to be
interviewed. However, in view of time constraints in conducting the
interviews and administering the other survey forms, an optimal number from
each personnel level was identified as shown in Figures 2.1 and 2.2.
Wherever there was more than one person from any level, the individuals
were to be selected on a random basis that were available when needed. To
maintain confidentiality, it was decided to code the various survey forms.
It was also decided that wherever possible all interviews on each

project were to be conducted within a two to three day period. However, it
was also recognized that the interviewers should have enough flexibility to
accommodate the routine and needs of the project personnel. Finally, the
interviews were to be conducted in a location free from interruptions and
excessive noise.
Next, survey forms were developed by the research team based on input
and review from the members of the Zero Accident Task Force. Care was
taken not to ask for information already received from the initial owner
member and contractor member safety questionnaires. There were four series
of survey forms developed.
Form Series Number One: The first series of forms were to be used in
the actual face-to-face oral interview for the purpose of identifying the
safety techniques which existed on the project. Four formats of the
interview form were developed. One for each of the three levels of
contractor personnel and one for the owner personnel. To identify them
every one of the forms had the words, "Interview Questions" as part of its
title along with who the form
10
Owner Organization - Construction-Related Personnel On Site
- Highest level manager overseeing the construction

- Designated safety person overseeing construction
- Two lower-tier managers
General Contractor
- Highest level manager on site

- Designated safety person on site
- Two upper level supervisors
- Two lower level supervisors
- Five craft workers
Two Subcontractors - For Each Subcontractor

- One upper level supervisor
- One lower level supervisor
- Two craft workers
Figure 2.1 - Categories and Numbers of Personnel to be Interviewed

For General - Subcontractor Projects
11
Owner Organization - Construction-Related Personnel On Site
- Highest level manager overseeing construction

- Designated safety person overseeing construction
- Two lower-tier managers
Construction Manager

- One other upper-level manager on site
- Two superintendents on site
Two Prime Contractors - For Each Prime Contractor

- Two upper-level supervisors
- Two lower-level supervisors
- Five craft workers
Figure 2.2 - Categories and Numbers of Persons to be Interviewed

For CM - Prime Projects
12
was to be used with (i.e. owner manager, contractor manager, contractor
supervisor, and contractor worker).
The questions contained in all the forms were based on the safety
attributes that were identified in the literature search that can be found
at the end of Chapter III of this document. Most of the questions elicited
closed-ended responses. Some open-ended questions were included to not
only obtain clearer explanations of certain safety attributes but also to
get specific personal opinions of the respondents regarding project safety
performance. The length of the interview questionnaire varied by personnel
level with the manager's being the longest and worker the shortest. The
variation in the number of questions followed from the fact that
supervisors and workers were not expected to be as knowledgeable of all the
construction safety techniques because of their respective position on the
project.
Form Series Number Two: The purpose of the second series of survey
forms were to obtain the perceived relative importance of those interviewed
of the safety attributes which were identified from the literature search.
There were four different formats of the form developed, one for each
personnel level interviewed in the owner's and contractor's organization
similar to those involved in the personal interviews. Each form had the
words, "Ranking of Safety Attributes" in its title along with who the form
was to be administered to (i.e. owner manager, contractor manager, etc.).
Each of these four forms were identical, even though they did not need to
be. The attributes were placed in a random order in the list. The
interviewee was asked to place the list in priority order by placing a one
in front of the attribute they felt was most
13
important to a safe project, the number two in front of the second most
important and so forth until every attribute was identified by its own
number.
Form Series Number Three: The third series of survey forms were to
obtain the estimated time spent on the various safety attributes for which
time could be assigned. One form for each of the three contractor
personnel levels and one for the owner level was developed. This series of
forms had the words, "Time for Safety" in all formats along with the level
of personnel the specific format was to be administered to. For each
attribute the interviewee was to estimate the amount of time he or she
spent within a specific time frame (day, week, month, year, or project) and
the quantity placed on the form.
Form Series Number Four: The last series of survey forms were to
obtain an evaluation of the safety program that was in place on the
project. One format was developed for the owner manager and one to be used
for the contractor manager and supervisor level personnel. Because of the
limited overall awareness of the worker of all the aspects of the safety
program, it was decided not to develop a format for this personnel level.
As for the other forms, the title of the form had some common words
("Evaluation of Contractor Safety Program") and the level of personnel it
was to be administered to so as to differentiate it from other forms.
Since one of the purposes of the base project interviews was to pilot
test the various survey forms, it was anticipated they would be revised for
the future interviews conducted for this research
14
and therefore are not included in this document. However, the reader can
find the revised forms in appendix B.
Phase Three
In this phase a number of crucial tasks were performed beginning with

establishing the dates for the various project visits and providing
training to the two graduate assistants on interviewing techniques.
The first visit began with a meeting with the relevant project
personnel at the job site to review the interview process and provide them
with a broad perspective of the research study. In addition, a specific
person on the project was designated as the research teams's contact and
the one responsible for arranging to obtain the people who would be
interviewed as designated by the team within the various personnel levels.
Although the research team consisted of three people, the project

director and two graduate students, on the first site visit the project
director conducted all the interviews the first two days while the
graduate assistants observed and conducted a few of the interviews while
being observed by the project director as a part of the interview training
process. By the end of the second day the graduate assistants were ready
to conduct their own interviews. It was then possible to overlap the
various interviews and thus save considerable time. At the end of each
day, the research team met to review, compile, and organize the interview
data of that day. In addition, planning was done for the following
15
day's activities to eliminate any problems encountered the previous day.
The typical interview occurred as follows:
1. Introductions took place and the interviewee was provided

an overview of the research project and the importance of
their role in it. He/she was also informed the interview
would take about an hour and that it would consist of both
oral and written components. Finally, the interviewee was
asked to be as candid as possible since their responses
would be kept confidential.
2. The interview began with the oral part. Using the

appropriate "Interview Questions" form each question was
asked and response noted by the interviewer. If the
response was unclear, the interviewee was asked the
question again or asked to explain their response.
3. The next part of the oral interview focused on the

"Time for Safety" survey form. Using the appropriate
form, the interviewer asked for the amount of
time the interviewee spent on each safety activity
(attribute). At times clarification had to be
provided to the interviewee in terms of what a
specific attribute included.
4. The next part of the interview consisted of having

the interviewee complete the "Ranking of Safety
Attributes" and "Evaluation of Safety Program"
survey forms. The worker level personnel
16
were not asked to complete the "Evaluation of Safety
Program" form. The interviewer reviewed the instructions
on both forms to clear up any confusion. The interviewee
was not observed when the forms were being completed. When
the completed forms were returned, they were closely checked
to see that they were completed correctly. If not, the
interviewee was informed of their mistake and
asked to complete the form again.
5. All survey forms were completed at the time of the

interview for the worker and supervisor
personnel level. Because of the demands on their
time, some of the managerial level personnel
took the last two forms and completed them at a
later time and returned them to the research
team before they left the project site.
After completing the interviews on the first site, all the data was
compiled and assimilated. A meeting was then held with the ZATF for the
purpose of reviewing the data. As a result of this meeting the survey
forms were refined. These revised forms were used on the subsequent base
projects.
Phase Four
During this phase, site visits were made to the balance of the base
projects using the revised survey forms but following the same interview
technique as described above. The data collected was
17
then compiled and final tabulations completed. Missing data was obtained
by following up with the designated project representatives through phone
calls and letters. The Paradox database and Quattro Pro spreadsheet
software packages were used to compile and tabulate the data. Another
meeting was held with the ZATF where the findings from the four base
projects were reviewed. Because of the large amount of data, it was
decided to develop an attribute checklist which would be completed
utilizing all the information obtained from all the interviews for any one
project.
To validate the findings from the base projects and obtain additional
attribute-related data, the ZATF decided to select an additional 30
projects on which to conduct the same interview process. The criterion
used in the selection process was that the projects should have had 200,000
hours worked and the contractor and/or owner must be a CII member. It was
also decided by the ZATF that each company that nominated one or more
projects would also be asked to appoint a person to conduct the interviews
and send that person to a one day training session. Letters were sent out
to all CII members requesting them to nominate projects. Based on the
responses, the ZATF selected the additional 30 projects.
Company representatives from the selected projects were then invited

to attend one of the two training sessions conducted by the research team.
Besides providing training in the interview process, the research team
shared their experiences from the base projects. Each project
representative was provided with the following items:
18
1. agenda for the training session (appendix C);
2. overview of the ZATF research project;
3. document entitled, "Instructions to Conduct Interviews"

(appendix D);
4. one copy each of all the survey forms (appendix A and B)

including the Safety Attribute Checklist (appendix E). This
same information was also provided on a Word Perfect 5.1
formatted disk;
5. Interview Log forms (appendix F) which could be used to

schedule interviews and keep track of the codes used for
the various survey forms;
6. document entitled, "Closeout Checklist" (appendix G) which

was to be used by the interviewee to verify that he/she
had included all the data required for the research.
The representatives were instructed to return the completed survey

forms and other requested information by a specific date.
The data returned from the first eight of the thirty projects was
compiled and presented at a meeting of the ZATF. To begin to focus on
meeting the research objectives, it was decided to develop a list of
project safety techniques based on the construction safety attributes
identified from the results of the research conducted to date.
At the same meeting it was also decided to examine more closely the
responses to the question on the oral interview form, "What are the three
most effective safety techniques being used on this project?"
In addition, the information being obtained from the time-related

survey needed to be examined in the context of a model
19
construction project crew mix. For the purposes of the research the model
crew would consist of 1 manager, 2 upper level and 7 lower level
supervisors and 90 workers.
After the majority of the data was received from the other projects,
the ZATF had another meeting to review summaries of the information. A
decision was made at this meeting not to use the results from the "Ranking
of Safety Attributes" and "Evaluation of Contractor Safety Program" survey
forms since the responses were based on the perception of the personnel
interviewed. And this fact may or may not result in accurately identifying
those safety-related techniques which were actually present on the project
site.
However, it was noted that acquiring this type of information would be

useful to the management of any project to provide them with information
about the importance of safety to their project personnel and the level of
awareness of the personnel of the various components of the project safety
program.
The ZATF also decided, based on the information gathered to date, to

revise the attribute checklist to make it more useable and rename it the
"Comprehensive List of Safety Techniques for Construction Projects." This
list consists of 127 techniques and another 43 sub-techniques for a total
of 170 items. The purpose of the sub-techniques is to identify one or more
aspects of certain techniques that were found through the research to
positively impact safety performance. For instance one of the techniques
the research found to have a positive impact on safety performance was
"Handbook of Project Safety Rules". Further investigation also resulted in
identifying a sub-technique of "Separate Book for Project Safety Rules and
Procedures" to positively impact safety.
Therefore, the ZATF decided to use the results of the
20
following data in its research findings:
1. One hundred and seventy safety techniques and sub-

techniques which were found to exist on project sites with
excellent safety records.
2. The responses to the question, "What are the three

most effective safety techniques being used on this
project?"
3. Average hours per year spent on specific time-related

safety techniques by a model construction crew.
Finally, because of comments received from the project representatives

involved in the research and the useability as a standard of the identified
safety techniques, the ZATF decided to develop a self-assessment process as
one of the products of the research. This process, which mirrors that used
in this research, including many of the survey forms, could be used by any
owner or contractor to determine whether or not those techniques which have
been determined to result in a project with an excellent safety record
exist on their project(s).
21
Chapter III
Review of Related Literature
Safety can be viewed in the most basic terms as the prevention of

accidents (Heinrich, 1941). Within the industrial private sector,
construction has the highest incidents rates which measure frequency of
accidents. The Bureau of Labor Statistics (1992) published the rates for
the industries of construction, agriculture, mining and manufacturing
within the United States as shown in Table 3.1. The incidence rates are
for 100 full-time workers and include all sub-classifications. The
construction classification, for example, included general building
contractors, heavy construction and special contractors. The data shows
higher rates in construction than the other three industries. An
additional insight into this information comes from Fetridge (1991) who
writes that seventy-five percent of all construction completed in the
United States is by privately held companies, most with less than $25
million in annual work. While no direct evidence exists to say that the
companies performing this level of work have seventy-five percent of the
accidents, the above numbers do suggest that more attention be given to
improving the safety of these companies.
Causes of Accidents
Before one can embark on effectively and efficiently improving safety

of the project site by developing and implementing safety-
22
Table 3.1 Occupational Injury and Incidence Rates by Industry
Year
Industry 1987 1988 1989 1990 1991
Construction
Total Cases 14.7 14.6 14.3 14.2 13.0
Lost Workday Cases 6.8 6.8 6.8 6.7 6.1
Lost Workdays 135.8 142.2 143.3 147.9 148.1
Agriculture
Total Cases 11.2 10.9 10.9 11.6 10.8
Lost Workdays 94.1 101.8 100.9 112.2 108.3
Mining
Total Cases 8.5 8.6 8.5 8.3 7.4
Lost Workdays 144.0 152.1 137.2 119.5 129.6
Manufacturing
Total Cases 11.9 13.1 13.1 13.2 12.7
Lost Workdays 95.5 107.4 113.0 120.7 121.5
23
related techniques, one must first understand how accidents are caused.
Heinrich (1959) performed pioneering research on the conditions and
circumstances that caused industrial accidents and developed an accident
cause-analysis theory, better known as the "domino theory". The accident
sequence in this approach is represented as a series of dominos, and
focuses on the unsafe act or condition (see Figure 3.1). If the sequence
is interrupted by removing the domino representing the unsafe act or
condition, the consequent accident will not happen.
Social --> Fault of --> Unsafe --> Accident --> Injury

Environment Person Act or or Loss
Condition
Figure 3.1 Heinrich's Domino Theory (Heinrich, 1959)
Heinrich's theory was highly criticized by some safety experts because

it emphasized the immediate cause(s) of accidents. Modern day experts
believe Heinrich's model neglects an important aspect of accident causation
and prevention: management practice (Stanton and Willenbrock, 1990).
Looking at unsafe acts and conditions means looking at only symptoms and
not causes. To effect permanent improvement the root causes must be dealt
with and these causes often relate to the management system (Peterson,
1978).
The modified Domino is illustrated in Figure 3.2 (Widner, 1973). In

this representation, the "Basic Causes" domino refers to factors such as a
lack of motivation to work safely and other
24
factors such as uncorrected hazards - factors over which management has a
great deal of control. Each of the dominos in this sequence serves as an
opportunity for intervening action but the greatest potential for accident
prevention is the first domino. When the Domino Theory is presented in
this manner, management control is seen as the most important factor in the
accident sequence (Stanton and Willenbrock, 1990).
Lack of --> Basic --> Immediate --> Undesired --> Injury

Control Cause(s) Cause(s) Event or Loss
Figure 3.2 Domino Theory Updated (Widner, 1973)
Accident Prevention
Accident prevention construction sites can be accomplished by

implementing an effective safety program (Smith, Roth, 1991). Hinze and
Harrison (1981) write that even though an effective safety program is the
traditional method for improving safety performance, small firms have
safety programs which are informal and unwritten. Research on utility
contractors (Hinze, Abudl-Baki, 1981) showed that 55 percent of small firms
(less than $500,000 annual volume) had a written safety program compared to
84 percent of large firms (greater than $15,000,000 annual volume). Use of
safety programs in small construction companies may not be prevalent;
however, safety program implementation is the preferred method of accident
prevention.
25
Some of the principle reasons for having an effective safety program
are:
1. moral and legal obligations to provide a safe place to

work free from recognized hazards,
2. economic reasons of insurance premiums and the hidden, or

indirect costs of accidents,
3. awareness by clients and contractors of the impact of

safety performance on overall project costs, and
4. adverse effects on contractor's reputation and an

unfavorable image for the client (ABC, 1990).
Geyer (1991) sites a study by the Center for Risk Management and Insurance
which indicates that comprehensive safety programs enhance overall work
performance.
Other studies indicate that safety should be managed like any other
company function. Management should direct the safety effort by
establishing achievable goals and by planning, organizing, and controlling
to achieve them (Peterson, 1971). An analysis of fatalities showed that 90
percent of construction deaths were preventable and in 70 percent of cases
positive action by management could have saved lives (Manning, 1990).
Studies also indicate that the hazard control process depends on a
management information system that generates timely information about
safety problems and identifies weak areas (Stanton and Willenbrock, 1990).
Managers who use such a system feel they obtain the following benefits
(Reynolds, 1988):
1. Managers are able to explore more options and bring more

relevant data to bear on the problem, thus resulting in
more effective and efficient decisions.
26
2. Managers are able to make more factual and convincing
recommendations.
3. Managers are able to reach decisions and implement

recommendations sooner.
Attributes of Project Safety
Alexander Cohen (1977) reported the factors or items within successful

safety programs. The report reviewed the findings of eight separate
research projects conducted between 1967 and 1977 on the safety programs
for manufacturing industries. The major components found were management
commitment, hazard control, safety training, safety motivation, employee
support, inspection and communications, accident investigations and record
keeping, composition of the workforce, safety committee and safety rules.
Only the core ideas that improve safety program effectiveness were
available and not the actual organization of the safety programs.
To better understand the effects a safety program has on improving

safety performance, one must first identify the various attributes of which
it is comprised. Webster"s New Collegiate Dictionary defines "attribute"
as an inherent characteristic. As part of the literature review for this
research project, it was decided to identify those safety attributes which
had already been determined to be ones which contribute to safe projects
based on previous research. The following three resources were examined:
Construction Industry Institute Safety Task Force 85-13 safety guidelines
for subcontractors, Associated General Contractors of
27
America safety guidelines, and Associated Builders and Contractors Safety
Training and Education Process (STEP). Each of these major resources
includes a list of major attributes. Under each major attribute is
information which describes each one in detail. Each detailed description,
in essence, will provide the user with many sub-attributes. Noted below
are the major attributes associated with each resource.
CII Safety Task Force Guidelines
Task Force 85-13 was organized by CII to conduct research on

subcontractor safety as influenced by general contractors on large and
medium and small size projects. The construction safety attributes as
identified by the CII Task Force are noted in the following paragraphs
(Construction Industry Institute Safety Taskforce, 1991).
A formal written safety program. A written safety program need not be

extensive, but should at least include the following items:
1. A management policy statement setting the broad guidelines

within which the program will operate and giving validity
to the program. It also indicates management commitment.
2. A listing of safety goals and objectives of the company

and a method of measuring effectiveness.
3. Outline of responsibilities for managers, supervisors,

safety representatives, and the craftworkers.
4. Written procedures for safety activities which should
28
include a comprehensive list of all safe work permits
required.
5. Procedures for compliance with hazard communication

standards.
Safety handbook for employees. The handbook should contain the

management's safety policy statement and the safety responsibilities of
supervisors and craftworkers. Important safety procedures may also be
included. The first page may be perforated and used as a receipt showing
that the employee received and signed for the handbook.
Orientation of new employees. Each employee should be given a safety

orientation prior to beginning work on the project. The orientation should
address the following:
1. clarification of the safety responsibilities for

contractor, subcontractor employees and all construction
site personnel including visitors,
2. clarification of safety expectations of the employees,
3. explanation of the safety rules of the company and also of

the owner/client rules, if any,
4. location of first aid facilities and how they are to be

utilized,
5. procedures for reporting accidents and injuries,
6. information about tool box meetings and emphasizing that

attendance is mandatory,
7. use of personal protective equipment, which is mandatory

when specified for a particular work assignment, and
8. procedures for reporting unsafe acts or conditions to the

immediate supervisors so that corrective actions could be
taken.
Enforcement procedures for safety rules. These procedures
29
should be in writing and should be enforced equally among all project
personnel. There should be a written notice when a safety violation occurs
at the project site. Disciplinary records should be kept on file until the
job is completed and then placed in the employee's personnel file.
Tool box/safety meetings. On some safety subjects, tool box meetings

are the primary source of safety training for employees. They should
conform to the following guidelines:
1. The meetings should be conducted weekly and should last

for at least 15 to 20 minutes.
2. The subject material to be discussed should be typed,

reproduced and distributed to each supervisor conducting
the tool box meetings.
3. The meeting should be held at a predetermined time and

location and active participation of all workers should be
encouraged.
4. The project manager, superintendent and/or safety

representative(s) should regularly attend these meetings
to audit and visually display their support for safety.
Safety inspections and audits. Job safety inspections are visible

signs to employees that safety is working and that management is committed
to safety. This process needs to have well defined objectives and
designated participants as follows:
1. Job managers should make a safety audit of the work area

at least once each week using an inspection guide.
2. All safety personnel should make daily inspections of the

work area.
30
3. Job supervisors should make regular inspections of their
work area for the specific purpose of correcting unsafe
acts or hazardous conditions.
4. When an outside agent, such as an OSHA inspector or

insurance company representative are conducting official
safety inspections, he/she should be accompanied by the
project manager/superintendent and/or safety
representative(s).
5. Safety inspections should make use of detailed checklists

and/or standard forms.
Accident investigation procedures. Accident investigation and

reporting are crucial for effective safety performance. Corrective action
should be taken as soon as possible after the investigation is complete.
Near misses or incidents that do not result in personal injury or property
damage should also be investigated. Reports of the investigation should be
distributed and findings communicated to all employees so that the same
unsafe conditions and/or acts could be prevented in the future.
Work permits. Permits are major means of communication and are

essential for orderly and safe work. The different types of permits are as
follows:
1. safe work permits for work of any type in designated

operating areas, other than flame or spark producing work,
2. hot work permit for flame or spark generation in certain

areas,
3. excavation permit for excavating, drilling, etc.,
4. confined space entry permit for entry into areas or

enclosures with limited access or
31
egress, poor ventilation and which may contain or produce a
hazardous atmosphere,
5. crane permits for work to be done in near proximity to

overhead lines,
6. lock out/tag out permits such as for work to be performed

on some electrical equipment or confined space entry,
7. smoking permit for smoking in designated areas, and
8. permit to lift workers in a cage for crane-supported

work platform(s).
Use of personal protective equipment. The construction company is

responsible for providing the appropriate personal protective equipment for
hazardous conditions that are encountered. The company should also train
employees in the proper use and maintenance of personal protective
equipment.
Hazard communication standards. The construction company must have a

written hazard communication program with responsible persons identified
for the administration of it. Material Safety Data Sheets must be made
available to all employees and must be kept on site at easily accessible
and known locations. All containers must be labeled showing the hazard
warning.
Record keeping. Records are required to support the safety activities

of the construction company for both control and audit purposes. Records
to be maintained should include the following:
1. log of first aid cases,

2. accident investigation reports,
3. OSHA 200 logs,
4. minutes of safety toolbox meetings,
32
5. records of safety inspections,
6. training records of all personnel, and
7. equipment inspection records.
First aid/medical services. The project should have adequate medical

and first aid services available on site. Treatment of injuries and
packaging of injured parties for transport should be of the highest
concern.
Substance abuse program. This program should address the following:
1. management policy statement regarding illegal substances,

2. employee notification procedure,
3. definition of company and project premises,
4. procedure for searches and inspections,
5. pre-hire screening procedure, including consent forms,
6. description of how the policy will be enforced and how
violators will be treated,
7. description of supervisory responsibilities, indicating
what the supervisor must and must not do in the program,
8. employee assistance program,
9. post-accident drug screening procedure,
10. testing for cause and at random, and
11. list of substances for which testing is generally
conducted.
Project emergency plan. The project emergency plan should identify

the different types of emergencies. The plan should specify procedures to
follow in the case of an emergency.
Contractor safety coordinator. One employee of the company
33
should be designated as the project safety coordinator. This person would
have the responsibility for coordinating the safety activities on the
project for his/her company. Depending on the project size this person's
responsibilities could be full time. The safety coordinator should be able
to take prompt corrective action and should have the authority of stopping
work if needed.
Associated General Contractors of America Guidelines
The following information describes the construction safety attributes

as established by the Associated General Contractors of America in their
guide for generating a basic company safety program (Associated General
Contractors of America, 1990).
Management commitment. When top management acknowledges the

significance of construction site safety, priorities will be established
which will filter down through middle management to all employees. The
following aspects need to be considered:
1. A construction company should have a written safety

policy. It portrays corporate commitment.
2. Management needs to make specific assignments to all

employees. It would be useful to put these assignments
in writing. The safety assignments must also be
understood by all employees.
Safety planning. When a company plans for construction it should make

safety an integral part of the planning process. Specific safety rules
should be established for safe work practices. Safety planning should also
include emergency procedures to minimize the impact of accidents if they
occur.
34
Internal communication. Communication is essential for good safety
performance. Safety policies and procedures should be produced in written
form and disseminated to all employees. Communication through the
management personnel would also lend credence to safety commitment.
Training. Safety training is of great help in improving project

safety performance. It is necessary to have training for specific tasks as
well as general training in accident avoidance and prevention. Weekly tool
box talks are an effective training method. Written records should be kept
of the topics covered in those meetings, including the times, dates and
locations of the "talks" and employee attendance. Safety related aspects
should be addressed every time a supervisor provides task instructions to
craftworkers.
New employee orientation. A new employee is defined as any person new

to the company, or to a particular job site, or to a specific crew, or to
a particular task or process. The supervisor or designated person should
distribute safety materials to new employees and make necessary
clarifications regarding safety policies and procedures. The new employees
should be required to sign a verification of the orientation provided. The
items to be covered in the safety orientation include:
1. description of task(s) to be performed,
2. explanation of proper use of required personal protective

equipment,
3. identification of hazards, off limit areas and pertinent

safety regulations, and
35
4. follow-up procedures to make sure that safety policies and
rules are understood.
On-site inspections. Regular safety inspections should be an assigned

duty of in-house safety personnel. Supervisors should be required to
observe, identify, and correct safety hazards. Sometimes the insurance
carrier may also conduct inspections.
Accident investigations. Every accident should be investigated, even

incidents without injuries. Supervisors should be required to investigate
all accidents. Standard forms should be used to report results of all
investigations. Any accident report should contain the following:
1. information about employee(s) involved in the accident,

including name(s), address(es), social security number(s),
etc.,
2. job site information such as address, weather conditions,

etc.,
3. description of how the accident occurred, who was injured,

and where,
4. names of eyewitnesses and their statements,
5. list of safety rules that were in effect and were not

followed,
6. probable primary and secondary causes of the accident,
7. corrective actions to prevent further recurrence of

similar incidents.
Disciplinary procedures. Safety performance would not improve without

enforcement of safety rules through established disciplinary procedures.
Violations should be dealt with a firm,
36
fair, and consistent manner. An enforcement system should include
warnings, layoffs, and dismissal for those who do not comply. Field
supervisors should be authorized to enforce safety policies as it pertains
to the crews.
Incentive programs. This is an effective way to show management

commitment to safety. Incentives can be in the form of informal
recognition or more elaborate awards such as recognition lunches and
monetary awards. If safety performance is made part of the evaluation
process for promotions and bonuses, then all employees will make safety a
part of their work priority.
Record keeping. Accurate record keeping is important for future

references and making improvements in safety performance. The Occupational
Safety and Health Act requires each employer to maintain a log of
recordable, occupational injuries and illnesses. This log must be made
available for review during OSHA inspections and should also be posted for
public viewing. Records should also be kept of employee training, safety
materials received and monitoring test results. All employees have the
right to access to their medical records along with monitoring and test
results.
Hazard communication. Government regulations require construction

companies to have a specific written hazard communication program, develop
a hazardous chemical list, collect material safety data sheets, label
chemical containers and train employees.
Drug and alcohol program. Construction companies should implement a

drug and alcohol control program on project sites to prevent accidents
resulting from employees working under the
37
influence of drugs and/or alcohol. Federal contracts over $25,000 require
prime contractors to implement a Drug-Free Workplace Policy. Any such
program developed by a company should also be reviewed by legal counsel.
Working with regulatory agencies. Various regulatory agencies are

charged with enforcing workplace safety and health laws. Construction
companies should be aware of their responsibilities in regard to dealing
with compliance officers and inspectors on project sites.
Associated Builders and Contractors Guidelines
The Associated Builders and Contractors has developed a Safety Training

and Education Process (STEP) where they have addressed eighteen key
attributes of construction safety. Each of the attributes have certain
descriptors which help in clarifying them. (Associated Builders and
Contractors, 1991).
Management commitment. Management commitment is manifested in many

ways and especially through participation in the company safety program.
Further actions by management to make its commitment visible include:
1. setting objectives for safety performance,

2. requiring feedback on the safety program,
3. budgeting and providing necessary funds for safety, and
4. making safety a part of company-wide performance appraisals.
Management policy statement on safety. This policy statement should

be in writing and should be known to all employees. It should be part of
the safety manual of the company. The policy
38
statement emphasizes management approach and should set the limits for the
safety program. It would have special significance if it is signed by the
Chief Executive Officer of the company.
Responsibility for safety defined. The safety responsibilities should

be defined for all personnel levels in the company and should be in
writing. The safety manual should provide a list of all the
responsibilities for the various levels of personnel. Operating
supervisors should be assigned the key safety responsibilities.
Experience Modification Rate or Loss Ratio. Experience Modification

Rate (EMR) is a standard measure of the safety performance of any
construction company. The Loss Ratio (LR) is equal to the Workers
Compensation benefits and expenses paid in a year (total incurred losses)
divided by the Workers Compensation premiums paid for during the year. A
company's safety performance is commendable if its EMR/LR has decreased
over each of the past three years and the current year's EMR is below 0.85
or LR is 40 percent or less. Management should also receive reports and be
aware of the costs of accidents and the impact of the EMR/LR on the
company.
Safety budget. For effective safety performance an annual safety

budget should be established based on planned programs. Estimates should
be made on percentage of savings contributed by the safety program. The
operating personnel should be made aware of the safety budget.
Safety program goal setting. Goals and objectives should be set to be

achieved through effective implementation of the safety program and
strategies should be developed to accomplish the goals.
39
To make further improvements, feedback is required from those responsible
for achieving results. Both long term and short term goals should be
established. Audits need to be conducted to measure safety performance on
the project.
Management-supervisory meetings. It is important that weekly meetings

are held by management with supervisors where safety-related matters are on
the agenda. Management should provide the supervisors with an overview of
the safety activities for the week and review the safety performance of the
week before. Serious accidents also need to be reviewed and corrective
actions should be discussed to prevent such occurrence in the future.
Pre-planning for job site safety. Safety performance cannot be

improved without pre-planning and it should be made an essential
requirement. Checklists should be used by supervisors to assure that all
exposures are considered during pre-planning. Necessary equipment should
be provided and precautions taken prior to the start of any job to prevent
any problems, rather than dealing with them when they have been
encountered. Job site supervisors should also be trained in planning for
safety.
New employee orientation. Formal orientation should be provided to

all new or transferred employees. Records should be maintained of all such
orientations showing the date, the names of those attending, and the items
covered. The orientation should include information on safety rules, major
hazards of the job to be performed, and personal protective equipment to be
used. The management's concern for safe job performance should be
stressed.
40
Employees should be required to sign an acknowledgement of understanding.
Safety rules. Safety rules should be published and all employees

should be made aware of all rules. The rules should be concise and easy to
understand and should be reviewed and updated on a regular basis. The
rules should be enforced equally among all employees.
Safety toolbox meetings. Safety toolbox meetings should be held

weekly by supervisors. Records should be kept on attendance and topics
presented. Employee participation should be encouraged. Occasional
management attendance is necessary.
Inspections. Weekly job site inspections should be conducted by

supervisors. They should be trained to make these inspections. Checklists
should be used to make sure that critical items haven't been missed.
Reports should be submitted on the results of the inspections with findings
classified based on seriousness. Target dates should be established for
corrective action with follow-up.
Training supervision. Companies should have in-house training

facilities or arrange for effective outside training sources to provide
training to supervisors. The following areas should be stressed during
training:
1. conducting meetings,
2. supervisory safety duties,
3. accident investigations,
4. job analysis,
5. job safety planning, and
6. how-to-train craftworkers.
41
Accident investigation. The company needs to investigate all
accidents including near misses. The immediate supervisor should be vested
with this responsibility. All supervisors need to be trained in the
techniques of accident investigation. Reports should be compiled on all
accidents that exceed a set cost and management should review all "serious"
accidents. Consequently, the basic causes of the accidents need to be
determined. The information learned should be shared with personnel on all
other job sites. A follow-up system should be in place to assure that
corrective actions are taken.
Use of personal protective equipment (PPE). The company should

analyze the need for PPE and then should train the employees in its use and
maintenance. The company needs to make sure that only approved PPE is used
and provide the employees with all PPE. The employees should be aware of
the discipline consequences of not using PPE. Annual audits need to be
conducted of the program.
Performance audit. Performance standards need to be set to measure

performance. To improve safety performance, audits are to be made at least
semiannually to determine if safety work is effective. The performance
rating should become a part of the overall rating for all supervisors. The
results of the rating should be communicated to the supervisors and the
strong points as well as the shortcomings need to be discussed
individually.
Substance abuse policy. The substance abuse policy should contain

strict rules regarding drug and alcohol use. The company needs to conduct
drug testing during pre-hire and post accident
42
stages and also for cause. Complete records of testing and counseling need
to be kept. The company should have an employee assistance program.
Record keeping. The company should maintain records of at least the

following items:
1. inspections,
2. training,
3. indoctrinations,
4. accident investigations,
5. first aid treatment,
6. OSHA log - Form 200,
7. hazard communication program, and
8. employee absences.
Conclusion
Based on the information gathered from the literature search presented

in this chapter, the researchers developed a comprehensive list of safety
attributes which are common to most safety programs. This list was the
basis for the development of the interview survey forms and the subsequent
safety attribute checklist. The list is as follows:
1. Management commitment to safety

2. Safety policies and procedures
3. Safety responsibility and accountability
4. Awareness of safety statistics
5. Safety budget
6. Safety goals and objectives
7. Safety meetings
8. Pre-job planning for safety
43
9. New employee safety orientation
10. Safety rules
11. Safety inspections
12. Safety training other than orientation
13. Accident investigation
14. Audits
15. Substance and alcohol abuse
16. Safety record keeping
44
Chapter IV
Research Findings
Introduction
The results in this chapter will be presented as they relate to the

overall project and then to the two specific objectives established for the
research which are:
1. Identify those techniques which contribute to a safe

project.
2. Develop cause and effect relationships among techniques,

results, and costs.
The reader will first find the general findings followed by the
specific findings and any related discussion for each objective. It should
be noted, however, that the two research objectives are related in that
both include those safety techniques which contribute to a safe project.
The reader should note that the results from the below mentioned survey
forms are reflected in the findings of this report but are not contained in
this document since they were not directly used to arrive at the
conclusions and recommendations contained in Chapter V: Construction
Safety Questionnaires for Owner and Contractor Members, Interview
Questionnaires for the various levels of personnel surveyed, Ranking of
Safety Attributes, Evaluation of Contractor Safety Program, and Safety
Attribute Checklists.
45
General Findings
Of the initial 4 base projects and 30 additional projects selected by

the ZATF, data from a total of 27 projects (including the base projects)
was obtained. However, since 2 of the projects (No. 5 and No. 26) had not
accumulated 200,000 work hours at the time of the data collection, they
were judged to be unacceptable as per the selection criteria established by
the ZATF. Therefore, research findings presented in this chapter do not
include data from these two projects. All other data shown is as of June
1, 1992. A specific date had to be established because most of the data
changes over time.
In terms of the number and categories of individuals who were

interviewed on the various projects, the ideal situation as presented in
Figures 2.1 and 2.2 were not realized in some cases due to schedule
conflicts, persons being assigned to other projects, and similar reasons.
In these cases the interviewers selected other people who were in a
position similar to that of the person(s) originally selected. Figure 4.1
is a summary showing the total number of individuals in the various
personnel categories who were administered the different survey forms.
Figure 4.2 presents a summary of the projects involved in the study

along with specific information including type, size, workhours complete
and safety statistics. The 25 projects had varying levels of safety
performance as measured by the lost workday incidence rates and the
recordable incidence rates. The projects had an average lost workday
incidence rate of 0.26 and an
46
47
average recordable incidence rate of 3.93. The construction industry
national averages for 1990 are 6.7 and 14.2 respectively as shown in Table
3.1. It was hoped by the ZATF that some of the projects provided by CII
members would have had safety records worse than the national OSHA
statistics. It is understandable, however, that organizations would not
desire to have any of their projects having poor safety records included in
any type of research project.
Even though all of the projects had lost workday and recordable
incidence rates well below the national average distinctions did exist
between those projects having exemplary safety records and those having
above average ones as will be seen later in this chapter. Lost workday
incidence rates ranged from 0.00 to 4.37 and recordable incidence rates
ranged from 0.80 to 41.33.
Objective No. One: Identify Those Techniques Which Contribute to a Safe

Project
This section of the chapter will present the findings from various
research tasks by subsection. The findings contained in the various
subsections are based on data obtained from the "Interview Questions" and
"Time for Safety" survey forms. These findings will be used to reach
conclusions and recommendations presented in Chapter V.
Safety Technique List
To begin the task of developing a prioritized list of proven safety

techniques which result in excellent safety performance, a
49
distinction was made between lost workday incidence rates for the 25
projects. In other words, the projects were divided into categories based
on their lost workday incidence rates. The following classifications are
used:
Zero Zero lost workday incidence rate
Rated Lost workday incidence rate greater than zero

and less than or equal to one
Mark Lost workday incidence rate greater than one
Exemplary Lost workday incidence rates of Zero and Rated

classified projects combined
Figure 4.3 shows that eight (8) projects had lost workday incidence
rates of 0, nine (9) projects had lost workday incidence rates greater than
zero but less than or equal to one, and eight (8) projects had lost workday
incidence rates greater than one. This figure also indicates the breakdown
of number of projects in various workhours complete and labor
classifications.
Figure 4.4 is a summary of the project data sorted by decreasing

safety performance as measured by lost workday incidence rates. In
addition, at the bottom of the figure, the reader will find for the four
major project classifications the following information:
1. Average lost workday and recordable incidence rates

2. Total workhours
3. Total number of contractor personnel interviewed by level
As mentioned in Chapter II, the ZATF derived a comprehensive listing

of 127 safety techniques and 43 sub-techniques for construction projects
from responses to the "Interview Questions"
50
FIGURE 4.3
CLASSIFICATIONS BY PROJECT NUMBER

June 1, 1992
Lost Time Incident Rate Classifications
Classification Quantity Project Number

ZERO 8 2, 11, 13, 14, 19, 22, 24, 27
RATED 9 1, 3, 4, 7, 8, 12, 16, 17, 25
MARK 8 6, 9, 10, 15, 18, 20, 21, 23
EXEMPLARY 17 1, 2, 3, 4, 7, 8, 11, 12, 13, 14, 16,
17, 19, 22, 24, 25, 27
"Workhours Complete" Classifications

180K to 400K 5 9, 18, 20, 26, 27
400K to 800K 5 6, 10, 17, 19, 21
800K to 1200K 4 8, 11, 13, 24
1200K to 2000K 4 1, 14, 15, 25
More than 2000K 2 2, 3, 4, 7, 12, 16, 23
Labor Classifications

UNION 8 6, 7, 11, 13, 15, 19, 21, 23
NON-UNION 13 1, 2, 4, 8, 9, 10, 14, 16, 17, 18, 20,
24, 27
MERIT 4 3, 12, 22, 25
Notes:
1. 27 projects provided data for this research. Projects no. 5 and

no. 26 were not used in the data analysis because 2000,000
workhours had not been completed.
51
52
survey forms. Refer to Figure 4.6 for the techniques and sub-techniques.
Each technique and sub-technique corresponds to one or more of the
questions contained in the "Interview Questions" survey forms. The
responses of contractor managers, supervisors and workers are taken
collectively to indicate the level of existence of a technique or sub-
technique on a project. Responses from owner managers were not used since
there were varying levels of involvement by them in the projects. It
should also be noted that the contractor personnel surveyed were not only
from large construction companies but also smaller ones such as
subcontractor organizations.
The measure used (0 to 100) represents the percentage of those

interviewed who acknowledged the existence of the specific technique or
sub-technique by answering affirmatively to all those questions which
relate to the specific one. The higher the number (percentage) the
stronger the indication (or significance) the technique or sub-technique
existed. It should be noted that there are not an equal number of
questions related to each technique and sub-technique. Furthermore, the
number of questions corresponding to each technique or sub-technique may
differ by personnel level.
The following example illustrates how the percentage of existence for

a specific project safety technique or sub-technique was calculated. One
of the techniques is "Having a safety committee." The corresponding
question in the manager interview questionnaire is "Does your company have
a project safety committee?" For the supervisors and workers the following
question
53
is asked, "Are you aware of the existence of any project safety committee?"
The computer program considers only the closed ended questions. The
response to each closed ended question could be "yes", or "no", or "don't
know", or "not applicable" depending on the type of question asked. For
this example, the response could be either "yes" or "no". Suppose for a
specific project six managers, eight supervisors, and ten workers were
interviewed. For the above noted question, all the managers replied "yes"
as did six supervisors and five workers. The balance of the supervisors
and workers responded with a "no". The total number of respondents is,
therefore, equal to 24, of which 17 replied with a "yes". The degree of
existence is equal to (17/24) x 100 = 70.83 percent.
The final percentage calculated for any one technique or sub-technique

is nothing more than the mean of the responses to the question(s) related
to each one. Weighted averages were not used even though the number of
individuals interviewed in any one level wasn't the same. The reason for
this is the researchers were attempting to determine the level of awareness
of the existence of any one technique or sub-technique as the measure of
significance and not the degree of awareness by personnel level.
Figure 4.5 presents one page of the comprehensive listing of safety

techniques and sub-techniques for all the construction research projects.
Note that the projects are sorted by decreasing project safety performance.
For each project the number of contractor personnel interviewed by level is
presented along with a total. Also the total hours worked, lost workday
incidence rate and recordable incidence rate are noted. Following this
information are the percentages indicating the degree of existence
54
55
of each safety technique and sub-technique. As the reader can see for
Project No. 14, 84.62 percent of those interviewed indicated that funds are
allocated for safety on their project (Technique 01.03.00). On the other
hand, for Project No. 27, only 40 percent indicated that the owner
participates in project safety committee meetings (Sub-Technique 01.08.02).
The entire listing for all the projects can be found in appendix H.
Once all the information was compiled by project, the next task was to
develop a similar list but by the project's lost workday incidence rate
classifications. Figure 4.6 is the comprehensive list of safety techniques
and sub-techniques for the construction projects grouped by their safety
performance classifications: zero, rated, exemplary, and mark. Also noted
in this figure is information on the number of contractor respondents,
hours worked, and safety statistics for each classification. The numbers
in each column are the means of the percentages for the corresponding
technique and sub-techniques for all projects falling within the specific
classification. For example, for Technique 01.02.00, Project Safety Goals
and Objectives Developed, 92.4 percent of those responding positively to
those questions corresponding to this technique on all the "Zero
Classification" projects acknowledged this occurred. While 84.2 percent of
those responding positively to the same questions on "Mark Classification"
projects indicated this technique existed or occurred.
The reader should keep in mind that the numbers which occur under the
"Exemplary" column are averages of the zero and rated
56
57
58
59
60
61
62
63
64
65
66
classified projects and not averages of the respective numbers in the
"Zero" and "Rated" columns in Figure 4.6.
To determine the level of significance of any one technique or sub-

technique to safety performance as measured by the lost workday incidence
rate, a "Significance Factor" was derived. It is equal to the difference
in the percentages between those of the exemplary projects and those of the
mark projects. For example for Sub-technique 01.05.01, Regular Meetings of
the Corporate Safety Committee, the Significance Factor would be 90.2 -
81.8 = 8.4. This number gives the reader some idea of how strong the
existence of this sub-technique is in attributing to excellent safety
performance. It should be noted here that excellent safety performance is
defined as that which is occurring on projects which have a lost workday
incidence rate of 1 or less.
The Significance Factor is a relative percentage and should only be

used to discriminate among all techniques and sub-techniques as to their
relative impact on safety performance. The reader will note that many of
the Significance Factors are in the negative range which means they existed
more on mark projects than exemplary ones and in turn indicate the
respective techniques and sub-techniques do not impact safety performance
in a positive sense.
The user of this information must keep in mind how these numbers were
derived. Issues such as being provided inaccurate information during the
interviews, lack of awareness by the interviewee of the existence of the
technique or sub-technique, and
67
personal opinions and prejudice can effect the final percentages along with
whether they are positive or negative. In addition, just the existence of
any one technique, in itself, does not mean it has a positive effect on
safety performance. If the technique or sub-technique is not carried out
in a quality manner it can have little to no effect on safety performance.
An example of this would be safety meetings. If they are not adequately
planned, conducted, and followed up on, they can leave a negative safety-
related message to the participants.
Using the list in Figure 4.6, those techniques and sub-techniques

which had a Significance Factor of 14 or more were considered by the
research team and ZATF to have the most positive impact on project safety
performance. The reader should note that those sub-techniques which were
personnel-related and had a Significance Factor greater than 14 were left
off the list. For example, Sub-technique 11.05.01, Milestone Incentives
Received by Workers, which had a significance factor of 15.2 was not
included in the list. There were a total of eight of these types of sub-
techniques and all of them are related to safety incentives. These sub-
techniques were not included because the results of the literature search
and project interviews indicated that for safety incentive programs to have
the greatest positive impact, participation of all levels of contractor
personnel is a must. However, the reader can quickly summarize from Figure
4.6 that spot incentives are most effective when given to the workers as
are milestone incentives. In the case of end of project and cents per
68
hour incentives, all levels of contractor personnel should be included.
Thirty-seven techniques and sub-techniques (with the exception of the

eight personnel-related ones) met the criteria of having a Significance
Factor greater than 14. The final list is shown in Figure 4.7. The reader
should note, however, that all techniques and sub-techniques contained in
Figure 4.6, if carried out in a quality manner, will result in improved
project safety performance.
As the reader can clearly see, there are many items contained in the
list of 37 techniques and sub-techniques which are common such as those
relating to drug and alcohol screening and those relating to incentives.
Therefore, the list can be shortened and placed in a priority order so as
to be more useable, along with the other findings from this research, to
determine those attributes which have a positive effect on safety
performance.
To shorten the list those techniques which were common were placed
together under a main heading. The main headings selected generally were
safety techniques themselves or stages of a construction project. Figure
4.8 shows the results of this reclassification process. The reader should
note that under any main heading the techniques have been placed in the
order they appeared in Figure 4.7. Also, the significance factor has been
placed next to each technique.
In order to arrive at a final prioritized list of the major techniques

shown in Figure 4.8, the significance factors for the various techniques
under each major heading were summed. The next
69
70
Figure 4.8 - Reclassification of Safety Techniques
Note: Beside each technique is shown its significance factor
Alcohol/Substance Abuse Program - Total of Significance

Factors = 209.3
- Done (screening) at random - 46.8

- Substance/alcohol abuse policy administered to all
employees on project - 30.1
- Post-accident screening - 29.3
- Screening done for alcohol - 28.0
- Lower tier contractors required to have substance/alcohol
abuse program - 22.8
- Screening done for cause - 20.3
- Screening done for drugs - 17.1
- Substance/alcohol abuse program developed for
project - 14.9
Safety Incentives - Total of Significance Factors = 172.2
- End of project awarded by construction co. - 54.7

- Cents per hour awarded by construction co. - 35.4
- Spot incentives awarded by construction co. - 26.6
- Milestone incentives awarded by construction co. - 19.7
- Other incentives - 18.1
- Written incentive program includes project safety - 17.7
Pre-project Planning - Total of Significance Factors = 159.6
- Lower tier contractors required to conduct safety

audits - 31.7
- Inspection for contraband - 36.7
- Contractors on the job prequalified based on safety
records - 23.3
- Project emergency plan generated - 19.6
- Knowledge of worker's compensation premium - 16.9
- Knowledge of lower tier contractor's EMR - 15.7
- Construction company has corporate safety
committee - 15.7
Employee Hiring - Total of Significance Factors = 122.9
- Pre-placement physical screening done - 34.4

- Pre-hire screening done to match job requirements - 33.4
- Past safety performance used to select supervisors - 24.3
- Past safety performance used to select managers - 15.5
- Complete physical screening done off site - 15.3
71
Figure 4.8 - continued
Safety Training/Orientation - Total of Significance

Factors = 108.9
- Owner involved in new employee safety orientation - 26.0

- Video taped presentation made during safety
orientation - 25.6
- Face to face presentation made during safety
orientation - 25.6
- supervisors receive formal safety training on the
project - 16.0
- Workers receive formal safety training on the
project - 15.7
Record Keeping and Followup - Total of Significance

Factors = 74.1
- Review of OSHA records of lower tier contractors - 25.7

- Exposure hours reported to home office - 24.9
- Records kept of danger tag/locks - 23.5
Accident and Near Miss Investigation - Total of Significance

Factors = 72.7
- Near misses reported to home office - 43.0

- Project accident review team established for all accidents
and near misses - 15.5
- Investigation of near misses done - 14.2
72
step was to compare the various totals and place the list in priority order
as shown below along with the totals of the respective significance
factors.
1. Alcohol/Substance Abuse Program - 209.3

2. Incentives - 172.2
3. Pre-project Planning - 159.6
4. Employee Hiring - 122.9
5. Safety Training/Orientation - 108.9
6. Record Keeping and Followup - 74.1
7. Accident and Near Miss Investigation - 72.7
For the heading, Employee Hiring, the technique Pre-placement Physical

Screening Done, was not included in the totals because of possible
ramifications as a result of the new American with Disabilities Act.
The seven items above will also be presented in Figure 5.1 in Chapter
V.
Three Most Effective Project Safety Techniques
The next phase of the research findings focused on the responses to

one of the questions contained in the oral interview survey form: What are
the three most effective safety techniques on this project? As would be
expected there were over 1000 responses to this question. Many of them
were different and many similar. So as to be able to more effectively
analyze the responses, it was decided to place them in groups based on
commonality of the response. The final grouping can be found in
73
appendix I. For purposes of analysis, the group heading or technique will
be used to present the findings.
Figure 4.9 is a summary of the responses from the various levels of

contractor employees and a composite for each safety technique expressed in
both number of responses and percent of total. The list has been placed in
order of largest response to smallest. Therefore, those techniques near
the top of the list contribute the most to positive safety performance
according to those persons interviewed.
Figure 4.10 provides the same kind of information as the previous

figure but presents it for all contractor employees, owner employees and a
composite. Using this figure the reader is able to differentiate the
opinion of the owner representatives from those of the contractors.
Figure 4.11 presents the percentage responses to each technique by the

Exemplary and Mark Project Classifications for only the contractor
personnel. It also provides the differences in the percentages between the
exemplary and mark projects by technique. The greater the difference, in
a positive sense, between the exemplary and mark projects, the greater the
positive impact the technique has on safety performance. The reader can
find the breakdown of this information by contractor personnel level in
Appendix J.
Based on the information contained in the last column of Figure 4.11,

another list comprised of those safety techniques the
74
75
76
77
majority of which have a positive percentage and thus positively impact
safety performance can be developed and is shown below:
1. Fall Protection
2. Pre-project/pre-task planning
3. Safety person/personnel
4. Safety training
5. Personal protective equipment
6. Safety incentives
7. Attitude
8. Coordination
9. Fire protection
10. Orientation
11. Accountability/responsibility
12. Safety goals
13. Discipline
14. Substance/alcohol abuse program
The reader should note the last two items above either have a 0 or a
very small (< -1.0%) composite rating in Figure 4.10. Substance and
alcohol abuse program was added because the researchers felt that a
rounding error in the mathematical calculations could have placed it in the
negative range. Furthermore, it is a technique which the findings from the
previous discussed phase of the research showed is very important to the
project safety performance.
Items No. 1 and No. 5 are closely related in that fall protection is
a form of personal protective equipment. Therefore, the two will be
combined.
78
Items 7, 8, and 13 are attributes or techniques which affect safe
performance but cannot be classified as specific safety techniques. They,
in fact, are a part, in one way or another, of all the other techniques.
Therefore, they will be removed from the list.
It was found during the interview process that most of the respondents
thought orientation was a form of training. Therefore, these two will be
combined and referred to as safety training/orientation. As a result of
these changes, the above noted list will now be revised and shown below.
It will also appear in Figure 5.1.
1. Pre-project/task planning
2. Safety person/personnel
3. Safety training/orientation
4. Personal protection equipment/fall protection
5. Safety incentives
6. Fire protection
7. Accountability/Responsibility
8. Safety goals
9. Alcohol/substance abuse program
Time for Safety
The findings for time spent on various safety activities are based on
the results obtained from the administration of the "Time for Safety"
survey forms used in the oral interview process and the model construction
crew comprised of 1 manager, 2 upper level and 7 lower level supervisors
and 90 workers. The model construction crew was derived as a way of
establishing a standard for the purpose of making time-related comparisons
among projects and to
79
develop a final prioritized list, by time spent, of the various safety
activities or techniques.
The times obtained from the survey forms were first summarized for
each personnel level for both the contractor's and owner's organizations by
project and the average number of hours per year per person by project
calculated as shown in appendix K. The average is nothing more than a mean
by personnel level per project. The interview personnel group,
Construction Supervisors, was divided into two subgroups. Upper
supervision includes superintendents and general foremen. Lower
supervision includes foremen and craft foremen. This was done so as to
obtain accurate times to be incorporated into the model construction crew.
Using the average time per year per person for each personnel level by
project, the next step was to determine the average number of hours per
year spent on safety by the model construction crew for each project. This
information is shown in appendix L.
The next activity was to combine the average times for the model
construction crews for the various projects into the four different project
classifications (zero, rated, exemplary, and mark) and calculate an average
time in hour per year for the model construction crew for each
classification by technique as shown in Figure 4.12. It should be noted
that the times shown in Figure 4.12 do not include the data from Projects
Nos. 14 and 20 because they represented the highest and lowest values in
the averaging process.
The reader will also note that the final column in Figure 4.12 shows
the differences in times of the exemplary and mark projects. These
differences are an indication of the relative importance of
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81
the techniques to positive safety performance. Those resulting in a
positive percentage placed in a priority listing are noted below:

2. Safety meetings
3. Safety training participation
4. Periodic project safety orientations
5. Accident/near miss investigations
8. Safety records
9. Safety budget
For the same reason as given in the previous section of this chapter,
it was decided to combine safety training participation with periodic
project safety orientations. The revised list would then be as follows:

2. Safety meetings
3. Safety training/orientation
4. Accident/near miss investigation
7. Safety records
8. Safety budget
Finally it must be noted that the specific times presented in any of

the figures in this section are based purely on the information given to
the interviewer and thus are only rough estimates. Therefore, the times
themselves should not be used in any types of calculations to develop total
project safety costs.
82
The times do, however, provide an indication of the relative importance of
the various attributes or techniques to safety performance. Some other
time-related summaries based on the research are contained in appendix M
for the information of the reader only.
Objective Two: Develop Cause and Effect Relationships Among Techniques,

Results, and Costs
The second specific objective of the research was to determine if

those techniques found to have a positive effect on safety performance in
some way were related and their individual and composite effect on safety
from a standpoint of both costs and results (reduced accidents). Because
of the scope of work required to attain the first objective, resources were
not available to perform any work on this objective. However, a few points
need to be made concerning this objective based on the results of the
research.
From the discussion presented in an earlier section in this chapter,

170 techniques and sub-techniques were identified that have a positive
effect on safety performance. As the reader can quickly conclude when
looking at the list, many of the techniques and sub-techniques are related
and can be combined into similar groups such as Incentive Program. It was
also shown in the previous sections of this chapter that other techniques
surfaced as important from the time-related data and the answers to the
question," What are the three most effective safety techniques on this
project." With so many different techniques (even after combining similar
ones) and with a limited amount of resources to
83
support the entire research project, it was not possible to begin on the
second part to study cause and effect relationships among techniques.
In terms of results, the research findings for the first objective has
shown that there are specific techniques which, if implemented in a quality
manner, will result in improved safety performance and thus reduced lost
workday incidence rates. This issue will be further discussed in the next
chapter.
The issue of costs as related to only time spent on safety was

considered during the research process, but only from a standpoint of
estimates and not actual. Because of this, the findings from the time-
related research can only be used to establish relative importances of the
various cost-related techniques as was previously discussed in the Time for
Safety section of this chapter. Therefore, the information should not be
used to make any cost-related decisions such as determining the cost of the
safety techniques to include in a project estimate.
Furthermore, the researchers found that most of the companies did not
keep detailed records of safety-related costs. The only way to obtain
credible cost information of each technique or a combination of them is
through a formal cost accounting system. Companies would first have to
either design such a system or revise their existing one so it includes all
safety-related activities. Then the costs associated with personnel time,
equipment and material would have to be captured, combined and analyzed
similar to a cost control program for a project.
84
Chapter V
Conclusions and Recommendations
This chapter will first present the conclusions from the findings
discussed in Chapter IV. Besides developing and presenting a final
prioritized list of safety techniques which exist on projects with
excellent safety performance, this section of the chapter will also present
some information on what are the more important considerations or aspects
of each technique. The second part of this chapter will include
recommendations not only pertaining to the objective of this research but
also for future studies on construction safety.
Conclusions
The prioritized list of safety techniques which result in excellent

safety performance will be developed from the three lists presented in
Chapter IV. These lists have been combined and presented in Figure 5.1.
Since the three lists were derived based on different criteria, there
is no statistical way to assign values to each technique and develop a
mathematical relationship among the techniques or lists of techniques with
the objective of developing a final list. However, just the fact that any
one safety technique appears in more than one list, in itself, can be used
as the basis of establishing a final list in a priority order.
Because some techniques will only appear on one list, some on two
lists, and a few on all three lists, a family of priorities
85
Figure 5.1 - Comparison of Three Technique Lists
Techniques From:
Priority Technique Technique Time
List Question Survey
1 Alcohol/Substance Pre-Project/Task Pre-Job Safety

Abuse Program Safety Planning Planning
2 Safety Safety Person/ Safety Meetings

Incentives Personnel
3 Pre-project Safety Training Safety Training

Safety Planning
4 Employee Hiring Personal Protect. Accident/Near

Equipment Miss Invest.
5 Safety Training/ Safety Safety Policies/

Orientation Incentives Procedures
6 Recordkeeping & Fire Protection Safety Goals &

Followup Objectives
7 Accident/Near Miss Accountability/ Safety Records

Investigation Responsibility
8 - Safety Goals Safety Budget
9 - Alcohol/Substance -
Abuse Program
86
will be established based on how many times any one technique appears.
Within any one family classification, an attempt will be made to prioritize
the techniques based on what positions they appear in their respective
list(s). The family priority classification would be more reliable than
the individual technique classification within any one family.
The first priority family classification will consist of the

techniques which appear on all three lists. By examining Figure 5.1, Pre-
Planning and Safety Training/Orientation meet this requirement. Pre-
planning whether it is project, job, or task, is first in the last two
lists and third in the first one. Therefore, it will be given the highest
priority within its family. The technique, Safety Training is not rated as
high as Pre-Planning in any of the lists. Therefore, it will become the
second highest priority in the family classification.
The second priority family classification will consist of the

techniques which appear on two of the lists. These are Alcohol/Substance
Abuse Program, Safety Incentives, Accident/Near Miss Investigation, Record
keeping and Followup and Safety Goals. The first highest technique in this
family will be Safety Incentives. It appears on two lists in the number 2
and 5 positions. Close behind is Alcohol and Substance Abuse Program.
This technique also appears on two lists, but in the number 1 and 9
positions. The only reason it is being placed in the second position is
because when one considers both lists, Safety Incentives has a higher
overall position than Alcohol and Substance
87
Abuse Program.
The technique, Accident/Near Miss Investigation also appears on two

lists in the number 4 and 7 positions. For the same reason as noted above
for the first and second techniques, this one will be the third technique
in the family. The next technique which appears on two lists is Record
Keeping and Followup. This one occupies the number 6 and 7 positions.
This will therefore become the fourth technique in the family. Finally,
Safety Goals appears in the number 6 and 8 positions. Therefore it can be
listed in the fifth position in the second family classification.
All the other techniques only appear on one list. Therefore they are
all included in the third family classification. To place them in priority
within their family one would list them in the order they fall on their
respective list and combine the three lists in a final prioritized list as
noted below:
1. Safety Person/Personnel & Safety Meetings

2. Personal Protection Equipment
3. Employee Hiring and Safety Policies and Procedures
4. Fire Protection
5. Accountability/Responsibility
6. Safety Budget
The reason some of the techniques appear together is because they have the
same positions on their respective list.
Combining this development effort would lead to the list shown in

Figure 5.2.
88
Figure 5.2 - Safety Technique Families
Family Number Techniques
1 Safety Pre-project/Pre-Task Planning

Safety Training/Orientation
2 Safety Incentives
Alcohol & Substance Abuse Program
Accident/Near Miss Investigation
Record Keeping & Followup
Safety Goals
3 Safety Policies/Procedures
and Safety Meetings
Personal Protective Equipment
Hiring Employees
and Safety Person/Personnel
Fire Protection Program
Accountability/Responsibility
Safety Budget
A close examination of Figure 5.2 results in the fact that some of the
techniques are uniquely identifiable as different from the others and some
overlap. For instance, Alcohol and Substance Abuse Program can stand alone
as can Safety Training/Orientation. On the other hand, Safety Pre-Planning
includes most, if not all, of the other techniques. For example Safety
Goals are usually established as part of the planning activity. Therefore,
it follows that those techniques which usually are accomplished during the
pre-project planning stage should be included under the technique Pre-
planning.
Another factor to consider is that some of the techniques are required

by law such as under the Occupational Safety and Health Act and others are
performed solely on a volunteer basis. As for
89
most laws, the stated requirements are minimums one must adhere to. But
that doesn't mean one can't place more effort into the task. For instance,
OSHA requires safety training. But it doesn't state all the specific
types, who should specifically be trained by personnel level, and the exact
duration of each training session. Therefore when placing techniques that
are required by law in a priority order one must be careful to recognize
that even if it is not number one it is still required as part of all
safety programs. The same holds for safety techniques that aren't on the
list. The only thing the priority ranking shows is a relative relationship
with the other techniques as to their overall impact on positive safety
performance.
Based on the above discussion the following is the final prioritized

list including all those safety techniques noted in Figure 5.2:
Prioritized List of Safety Techniques

That Result in Safety Excellence
1. Safety Pre-Project/Pre-Task Planning

- Safety Goals
- Safety Person/Personnel
- Hiring Employees
- Safety Policies and Procedures
- Fire Protection Program
- Accountability/Responsibility
- Safety Budget
2. Safety Training/Orientation
3. Safety Incentives
4. Alcohol and Substance Abuse Program
5. Accident and Near Miss Investigation
6. Record Keeping and Followup
7. Safety Meetings
8. Personal Protective Equipment
Upon closer examination of the list of eight techniques, items 6

through 8 are common (and in most cases OSHA required) elements of safety
programs and if carried out in a quality manner will have a positive impact
on project performance. Because of their commonality, the researchers
decided to refine the above list to include only the top five techniques.
Furthermore, since so many different items fall under Safety Pre-
Project/Pre-Task Planning, it was further decided to not limit the list of
sub-techniques shown. However, owner and contractor management should
ensure the sub-techniques contained in the above list are included in the
planning process.
In conclusion, the techniques noted below are those that make the
difference between an excellent project safety program, one which can and
does achieve near zero accidents, and those projects that are not as good.
Zero Accident Safety Techniques
1. Pre-Project/Pre-Task Planning
2. Safety Training/Orientation
3. Safety Incentives
4. Alcohol and Substance Abuse Program
5. Accident and Near Miss Investigation
The priorities given are based on the research conducted for this
project and can be used with confidence to select those
91
techniques which have proven to have the greatest impact on safety
performance. The reader should note that even though most of the projects
utilized for the research are considered large, personnel from both large
and small contractors were interviewed. From this fact, one can quickly
come to the conclusion that the results of this study not only pertain to
large projects and contractors but also to medium and small size ones. And
as pointed out in Chapter III, the smaller contractor will benefit the most
in implementing the techniques.
Recommendations
The research has identified over one hundred techniques and sub-
techniques which positively impact safety performance. As was discussed
earlier, some of these techniques are unique and others overlap. An
effective comprehensive safety program should include all of them plus all
those required by law in order to realize zero accident projects and
reduced direct and indirect safety-related costs thus resulting in a higher
profit margin and a more effective competitive position in the construction
market place. This section of the chapter will present some
recommendations pertaining to the eight major safety techniques presented
in the Prioritized List of Safety Techniques noted above along with three
important prerequisites to the successful implementation of them.
Prerequisites to Successful Implementation of the Safety Techniques
Management Commitment
The development and successful implementation of the eight major

techniques, and any others for that matter, must begin with
management commitment. Management commitment is not just saying that the
techniques will occur. Commitment means identifying and devoting the
needed resources to each technique so they are carried out in a quality
manner. Furthermore, management must actively participate in each
technique to the degree possible. Doing this serves as a model for other
employees and says that safety is critically important on this project.
Finally, management must keep the issue of the importance of working safely
visible to all employees at all times. This can be accomplished by talking
about safety at all project-related meetings, requiring safety training,
posting safety notices and posters on bulletin boards, and implementing
employee incentive programs for safe performance.
Owner Involvement
The second prerequisite that the research showed attributed to

excellent safety performance is the involvement of the owner in not only
pre-project planning including financially supporting the contractor's
safety program but also in the day-to-day project safety activities. To
the extent possible, the owner, through their project representative(s),
should participate with the contractor in all the project safety activities
including but not limited to new employee orientation, safety meetings,
audits and accident investigations, training, incentive and other safety-
related programs.
Empowering All Employees
The third prerequisite to safe project performance is empowering every

employee to be able to stop work if he or she
observes an unsafe condition or behavior. This of course needs to occur in
a formalized manner. Every company needs to establish its own procedures
on how this will be carried out. For example, the employee, after stopping
the work, should report his or her actions to the immediate supervisor so
appropriate corrections can be made. And finally, the empowering process
must be managed so tasks aren't being stopped for no reason but to bring
attention to the employee stopping the work.
Consideration in Implementing the Major Safety Techniques
The successful implementation of any program, activity, or technique

can require a varying degree of time and other resources depending upon the
complexity of the technique. For example, the planning for, conducting,
and following up on a tool box talk does not require as much time and
energy as does developing, conducting, monitoring, and evaluating an
alcohol and substance abuse program. It will be the responsibility of
those who will develop and manage the technique to first learn about it
from others who have had successful experiences with it, develop it to fit
the specific company and/or project(s), effectively and efficiently monitor
it, and on a regular basis assess the results and make any needed changes.
There has been a lot of previous information published which describes the
aspects of most safety techniques, which together makeup the safety
program. Some of these have been presented in Chapter III of this
document.
Therefore, the purpose of this section of the chapter is not to provide

a detailed description on how to go about implementing all
94
the safety techniques, but to provide the reader with the most important
aspects of those techniques which have been found to result in excellent
safety performance. These aspects need to be a part of their respective
technique to result in it having the most positive effect on project
safety.
Safety Pre-Planning
There are two parts to this technique: pre-project and pre-task.
Pre-Project Planning
During this stage of the project the foundation is laid for the
project safety program. All the ingredients of the safety program will be
identified and resources dedicated to seeing that the program is carried
out in an effective and efficient manner. It is critical that all parties
to the project be involved, to the extent possible, in the planning phase.
The following are critical items which the research showed need to be part
of the safety planning process:
- Contractor Prequalification: the owner should have a

program to select the general contractor (or construction
manager) and the general contractor (or construction
manager) should have one to select sub- and other
lower tier contractors (or primes and lower tier
contractors). These might be one in the same program
for the entire project or some of the requirements will
be the same. Use past safety statistics and EMR as
part of the requirements.
- Establish safety goals such as zero lost time accidents.
- Allocate needed funding for safety.
- Establish safety policies and procedures which include
all the safety techniques being implemented.
- Establish safety rules which would include all legal
requirements such as those under OSHA, EPA, and others
which pertain to the project and especially for
personal protective equipment including Fall Protection.
- Develop the following programs: Safety Incentive, Alcohol
and Substance Abuse and Employee Assistance, Safety
Training (including New Employee Orientation), Fire
Protection Plan, Project Emergency Plan, Accident/Near
Miss Investigation, Safety Audit/Followup.
- Establish a record keeping/followup system which includes
safety statistics, workers' compensation related
data, certification of personnel, safety training,
danger tags/locks, hours of exposure to contaminates,
and safety inspections and audits.
- Identify full time project safety person and support
personnel.
- Contractor to develop a corporate safety committee.
- Establish an employee screening/hiring process which
includes checking and hiring based on past safety
performance especially for managers and supervisors.
Also complete physical examinations should be required
before placing the employee on the project.
96
- Provide written safety responsibilities for managers,
supervisors and workers.
- Establish a formal accountability system which includes
discipline.
- Establish a controlled project entrance/exit and inspect
for contraband.
- Develop and provide a project safety manual and employee
safety handbook.
- Conduct a hazard analysis of the project site.
Pre-Task Planning
Pre-task planning refers to the activity of identifying work place

hazards before beginning to perform work for the day or in a new work
environment during the day. The crew supervisor (foreman) should, as part
of making the daily work assignments, discuss with the crew members the
various potential safety hazards that might be encountered and how to
recognize, avoid, or prevent them from causing accidents.
It is important when conducting pre-task planning that the necessary

time is taken to identify possible hazards. The amount of time will depend
on the work environment, the potential hazards involved, and crew
considerations such as size, craft makeup and type of work being performed.
As part of pre-task planning, the crew may need to conduct a jobsite
inspection to ensure they have identified all the potential hazards. If
this is the case, time must be devoted to this activity.
Besides devoting the necessary time to pre-task planning, the foreman

must involve the crew members in the activity. It is a known fact that
involving people in the solution of a problem will
first have them take ownership of it and secondly, motivate them to solve
it. Everyone of the crew members have a stake in the safety of their
fellow workers and, of course, themselves. And because of this, each crew
member has some level of awareness of the safety hazards of the work they
are performing, the tools and equipment they are using, and the environment
in which the work is being performed. Unfortunately, any one crew member
may not be aware of all the possible hazards, whereas others are. For this
reason it is critical that everyone of the crew members are asked to
participate in any pre-task hazard analysis.
When conducting a pre-task hazard analysis, some of the items which

need to be discussed relate to:
1. Location of work activity.

2. Type of work to be performed.
3. Number of workers in available space.
4. Types of tools needed and their safe use.
5. Types of heavy equipment needed and their safe use.
6. Use of special equipment such as scaffolding, lifts, etc.
7. Types of personal protective equipment required.
8. Skills and knowledge of crew members to perform work.
9. Working with hazardous materials.
10. Working in hazardous environments.
11. Required preliminary activities such as lockout/tagout.
12. Recognition of the need for safe behavior.
13. Other items peculiar to site and/or type of work.
Finally, keep in mind, that when relocating to a new work site, the
pre-task hazard analysis described above should be repeated.
98
Safety Orientation/Training
Safety training can be divided into two parts: orientation and formal
safety training during the project.
Orientation
There should be a new employee orientation program. It should be a

project policy that all new employees and others coming onto the project
for the first time (i.e. vendor representatives, visitors, etc.) be
required to participate in the orientation session. The sessions should be
conducted jointly between the contractor and owner (or at the minimum the
owner should participate to some extent). The session should not only
incorporate the use of video tape but should also involve some face-to-face
training.
There should also be other orientations, especially before placing

workers in environments which have hazards unlike those in their daily work
assignments. One example would be when the construction workers have to
perform work within the owner's operations.
Formal Project Training
A formal project safety training program should be developed. This

training program is not on-the-job training in that it takes place after
normal working hours either on or off the project site. This training can
be combined with other formal types such as craft training or stand alone
as its own program such as one on Hazard Communication. It is critical
that not only workers receive
training but also all levels of supervision. Managerial level personnel
should also receive formal training in appropriate topics.
Safety Incentives
There should be a formal safety incentive program. Either have a

separate program or include safe performance as part of a more
comprehensive project incentive program such as one that included time,
quality and safety.
All project employees should be able to participate in the program

including supervisors and managers. Incentives should be awarded during
and at the completion of the project. The following types of incentives
should be awarded:
1. Cents per hour of safe performance

2. Financial spot
3. Financial and nonfinancial milestone
4. End of project bonus
Alcohol and Substance Abuse Program
A formal alcohol and substance abuse policy should be developed for

the project. The policy should be applicable to all project site employees
no matter whom their employer. In addition each contractor should have a
formal alcohol and substance abuse program, including providing employee
assistance.
The policy should state that screening be done for both alcohol and
drugs. The screening should be done at hiring (before being placed on the
job), for cause (post-accident), and randomly.
100
As part of the design of the program, the developer(s) need to become
familiar with the legal considerations which vary by state.
Accident and Near-Miss Investigation
As noted during the planning stage, an accident and near miss

investigation process should be established and become part of the formal
safety policies and procedures for the project (i.e. apply to all
contractors). The research indicated the following are critical components
of the program:
1. Establish a project accident review team for all

accidents and near misses.
2. Investigate all near misses (not just accidents).
3. Report all near misses to the contractor's home office
(not just accidents).
Record Keeping and Follow-up
A formal safety record keeping program should exist on the project and
for every contractor. The program should include:
1. Records kept of danger tags/locks, certification of

personnel, training and safety inspections/audits, and
hours of exposure to hazardous environments.
2. Copies of the records should be sent to the contractor's

home office.
3. All safety records of lower tier contractors should be

reviewed on a regular basis.
Safety Meetings
Safety meetings should be conducted on a regular basis and involve all
project personnel. There should be tool box talks at least once a week
involving all workers and, at the minimum field
supervisors. It would also be beneficial for other levels of the
contractor's personnel to be involved and even owner representatives. In
addition, there should be safety meetings for project supervisors and
managers held by the individual companies and for the project as a whole.
Owner representatives should be involved with some of these meetings,
especially those with the contractor managers. It is up to each company
and/or project management to determine how often the meetings should be
held and the subject matter of them. These meetings should be well planned
(have an agenda), be conducted in an effective and efficient manner, and
followup action (such as taking corrective action on an unsafe condition)
occur in a timely manner.
Safety should be an item of discussion at all meetings especially at

weekly project progress review ones. One way of demonstrating the
importance of safety is to place it as the first item on all meeting
agendas.
Personal Protection Equipment
This technique is one required by law. All workers must be provided

with or be required to have and wear the appropriate protective equipment
for the job being performed and environment in which they are working. The
research indicated that fall protection was especially critical. A 100%
fall protection requirement is an effective means of protecting employees
from the number one cause of fatalities in construction. However, all
personal protective equipment is necessary for positive safety performance.
It is important that the contractor stay abreast of the improvements

being made in the equipment and utilize the most
102
effective type(s) possible for any hazard and/or environment. It is not
good enough to try to get by with requiring the minimum in personal
protective equipment.
Future Research Recommendations
There are two areas in which future research could take place
pertaining to safety techniques which would benefit both the owner and
contractor. The first would be a more detailed study of any one and/or a
combination of the techniques to determine cause and effect relationships.
The other study would determine the actual costs of developing and
implementing one or more of the techniques and attempt to determine the
financial benefit.
Both of these projects would have to be project oriented and begin

when the planning starts for the project and continue throughout a major
portion of it so as to obtain a sufficient amount of data to arrive at
statistically significant conclusions.
103
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108
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109
APPENDIX A
CII ZERO ACCIDENT TASK FORCE
CONSTRUCTION SAFETY QUESTIONNAIRE FOR OWNER MEMBERS
Company Name _________________________________________________________
Street Address _______________________________________________________
P.O. Box _______________________ City ________________________________
State ___________________________ Zip ________________________________
Contact Name _________________________________________________________
Telephone Number _____________________________________________________
Fax Number ___________________________________________________________

1. Please provide information that best describes your firm's type of
contractor work:
Commercial _____%
Heavy Industrial _____%
Specialty _____%
General Construction _____%
Other _____%
Open Shop _____%

Union Shop _____%
Merit Shop _____%
(Both Union & Open) _____%
Engineering Only _____%

Construction Only _____%
Engineering/Construction _____%
Management
Lump Sum _____%
Cost-plus Fee _____%
Other _____%
INSTRUCTIONS FOR THE FOLLOWING QUESTIONS:

The following questions pertain to the owner's involvement with their
construction and maintenance contractors. For some of the questions it may
be that there is a mixed response. An example would be if some contractors
are required to have a safety program and some aren't. In these cases,
respond to the question using percentages. Be sure the percentage for any
category sums to 100. If the information is not available, leave responses
blank.
2. If you keep such records, provide the average Workers' Compensation

Experience Modification Rate of the constructors you hired for the
years indicated.
______ ______ ______ __________

1990 1989 1988 Don't Know
110
3. If you know, what are the average OSHA incidence rates for the
contractors you hired to execute your work for the years indicated.
1990 1989 1988 Don't Know
Recordable Rate ______ ______ ______ __________

Lost Workday Rate ______ ______ ______ __________
4. Using information from all the contractors' OSHA 200 forms, please
provide average injury/illness data for the last three years (for the
contractor's field employees only).
Construction Work 1990 1989 1988
No. of manhours worked ____ ____ ____
No. of restricted workday
cases(column 2-OSHA 200) ____ ____ ____
No. of cases involving lost
workdays(column 3-Osha 200) ____ ____ ____
No. of cases defined as
recordable but w/o lost
workdays(column 6-OSHA 200) ____ ____ ____
No. of fatalities ____ ____ ____
Total OSHA Recordable Rate ____ ____ ____

Total OSHA Lost Workday Rate ____ ____ ____
Maintenance Work

5. On what percent of your contractor performed construction and

maintenance projects do you have safety performance guidelines for
them? ___________%
Does your contractor selection guidelines include the following

criteria and if so, what are the upper limits, and what were they for
this project?
Yes Upper Limit This Project
Experience Modification Rate (EMR) _____ ___________ ____________
Total Recordable Rate (TRR) _____ ___________ ____________
Total Lost Workday Rate (TLWR) _____ ___________ ____________
6. Do you have a published Contractor Safety and Health Guideline or

Policy?
Yes _____% NO _____%
111
7. Do you require the contractors you hire to have a written safety
program?
Yes _____% NO _____%
If yes, are there specific requirements as to what the program must

contain?
Yes _____ NO _____
If yes, please list

_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
8. Do you have in place a "safe work" or " hazardous work" permit system
at all your site and/or facilities?
Yes _____% NO _____%
9. Do you have a safety orientation program for construction contractor

employees entering all your facilities to perform work?
Yes _____% NO _____%
If so, which of the methods listed below do you use?
_____ Stand-up Presentation or Discussion

_____ Video Tape
_____ Combination of Video and Discussion
_____ General Orientation
_____ Unit or Facility-Specific Orientation
_____ Other (please list)
____________________________________________________________
______________________________________________________________________
10. Do you, as an owner, perform routine, formal safety inspections/audits
at all your contractor sites?
Yes _____% NO _____% At this site? _____
Frequency: (check all that apply)

_____ Daily
_____ Weekly
_____ Monthly
_____ All of the above
_____ Other (please List)
___________________________________________________________
______________________________________________________________________
11. Do you require all your contractors to have a formal accident
investigation and reporting procedure?
Yes _____% NO _____% For this Project? ______
If yes, do you participate on the accident investigation program of

all your contractors?
Yes _____% NO _____% At this Project? ______

112
Typically, what is the title of the highest level person in your
company who would receive an Accident Investigation report on a
construction contract employee? _________________________________
For this project? _______________________________________________
What level of incidents do you require investigation and reporting at

all your sites? For this project? (Check all that apply)
_______ Near misses _______

_______ First-aid Cases _______
_______ Recordable Cases _______
_______ Lost Workday Cases _______
12. Do you include safety specific guidelines and requirements in all your
contract documents?
Yes _____% NO _____% For this Project? _________
If yes, please list _____________________________________________

_________________________________________________________________
_________________________________________________________________
13. Do you discuss construction safety management with all contractors
during bid and pre-award meetings?
Yes _____% NO _____% For this Project? _______
14. Do you require all the subcontractors of all the general contractors
you hire to meet the same safety criteria as the general?
Do you require historical safety performance information of all

subcontractors be included with the general contractors bid proposals?
If yes, what type of specific information?_______________________

_________________________________________________________________
_________________________________________________________________
15. Do you require all your contractors to submit a monthly safety
performance report?
16. Do you require all your contractors to have an on-site safety

representative assigned to the job?

17. Do you, as an owner, provide an on-site safety professional on all
your projects?
Always ____ Sometimes ____ Never ____
For this project? ______
113
If sometimes, what governs your decision to use a professional? (check
all that apply)
_____ Size of Job

_____ High Hazard Job or Operation
_____ Special Cases Only
_____ Decision based on Complexity and Identified Risks of Project
18. Do you provide or participate in the safety awareness training of all

your contractor's employees?
19. Do you require all the contractors you hire to have a substance abuse
policy that provides some level of testing in a predominate number of
facilities / projects or jobs?
If yes, does it include: (check all that apply)
_____ Pre-hire Testing

_____ Random
_____ Testing for Cause
_____ Open Shop Site

_____ Merit Shop Site
_____ Union Sites
20. Do you financially support all your contractors' safety efforts at

your sites?
RWL:pbd
2-26-91
114
CII ZERO ACCIDENT TASK FORCE
CONSTRUCTION SAFETY QUESTIONNAIRE FOR CONTRACTOR MEMBERS
Company Name _________________________________________________________
Street Address _______________________________________________________
P.O. Box ___________________________ City ____________________________
State _______________________________ Zip ____________________________
Contact Name _________________________________________________________
Telephone Number _____________________________________________________
Fax Number ___________________________________________________________
1. Please provide information that best describe your firm's type of

work:
Commercial _____%
Heavy Industrial _____%
Specialty _____%
General Construction _____%
Other _____%
Total 100%
Open Shop _____%

Union Shop _____%
Merit Shop (both
Union & Open) _____%
Total 100%
Engineering Only _____%

Construction Only _____%
Engineering/Construction
Management _____%
Lump Sum _____%
Cost-plus Fee _____%
Other _____%
Total 100%
2. Are you 100% self-insured? Yes _____ No _____
3. If not 100% self-insured, are you self insured up to a certain level?
Yes _____ No _____
If yes, what is the level? __________________
4. List your firm's Workers' Compensation Experience Modification Rates

for the following years:
______ ______ ______

1989 1988 1987
115
5. Please indicate the type of workers' compensation Experience Rating
System your firm uses.
Interstate _______________
Intrastate _______________
Monopolistic State Fund _______________
Total _______________
This Project _______________
Current number of field employees: _______________

Average number of employees in firm: 1990 _______________
1989 _______________
1988 _______________
6. Using information from your OSHA 200 form, please provide
injury/illness data for the last three years for your firm - field
employees only.
Construction Work 1990 1989 1988

workdays(column 3-Osha 200) ____ ____ ____

Maintenance Work

7. Are you acting as a CM on this project? Yes ___ NO ___

If you are acting as a CM for the project, are you responsible for
job site safety?
Yes ____ NO _____
If yes, to what extent?__________________________________________

_________________________________________________________________
116
8. Do you have a written company safety program or operational safety
plan?
Yes No
A. For your own employees? ____ ____
B. For your subcontractors? ____ ____
If No on B, do you require subcontractors to have their own safety

program that you review prior to awarding work to them?
Yes ____ NO _____
9. Do you have a structured classroom safety training program for

newly hired or promoted first line supervisors?
Yes ____ NO _____
10. Do you have formal structured pre-work assignment Safety Orientation

program for new hires?
Yes ____ NO _____
If yes, does it include instruction on the following:
Yes No
Company Safety Policy ____ ____
Company Safety Rules, Procedures ____ ____
Incorporating Clients Safety Rules and Regulations ____ ____
Safety Meeting Attendance ____ ____
Work Hazard Reporting ____ ____
Injury Reporting ____ ____
Personal Protective Equipment ____ ____
Housekeeping ____ ____
Fire Protection ____ ____
Driving Safety ____ ____
First Aid ____ ____
Electrician Safety ____ ____
Rigging Safety ____ ____
MSDS/Hazard Communication ____ ____
Other (Identify) _____________ ____ ____
11. Do you conduct formal field safety inspection or audits on jobs in

progress?
Yes ____ NO _____
If yes, indicate who conducts the inspections/audits and the

frequency on this project?
_________________________________________________________________
_________________________________________________________________
12. Does your insurance carrier inspect the project?
Yes ____ NO _____
117
13. Do you require Organized safety meetings:
Yes Frequency NO
A. For Supervisors? ____ _________ ____

B. For your own employees? ____ _________ ____
C. For Subcontractors employees? ____ _________ ____
14. Do you have formal company investigation and reporting procedures

for accidents involving your employees?
Yes No
A. Near misses _____ _____
B. Recordable Cases _____ _____
C. Lost Workday Cases _____ _____
D. First-aid Cases _____ _____
Are the accident reports circulated to top

company management? _____ _____
What is the title of the highest level person in your company that
would receive accident reports?
_______________________________
15. Do you require subcontractors to conduct investigation and report

results to you on accidents involving their employees?
Yes ____ NO _____
16. In what format are accident records and accident summaries kept?
No. Monthly Quarterly Annually

A. Accident summary for
entire company? ____ ________ _________ ________
B. Accidents Totaled by
projects?
____ ________ _________ ________
C. Accidents totals by
superintendent?
____ ________ _________ ________
D. Accident subtotaled
by foreman? ____ ________ _________ ________
17. Do you keep records on the costs of each accident? How often are
these cost reported?
No. Monthly Quarterly Annually

A. Costs totaled? ____ ________ _________ ________
B. Costs totaled by
projects? ____ ________ _________ ________
C. Subtotaled by
Superintendent? ____ ________ _________ ________
D. Subtotaled by
Foreman? ____ ________ __________ ________
118
18. Do you have an alcohol and substance abuse program that requires some
level of testing?
Yes ____ NO _____
Check all that apply: All Jobs Some Jobs
Prehire testing ________ _________

Random testing ________ _________
For Cause testing ________ _________
Open-shop Sites ________ _________

Merit Sites ________ _________
Union Sites ________ _________
Who is included in the testing? _________________________________

_________________________________________________________________
_________________________________________________________________
Are subcontractors included in the testing?
Yes ____ NO _____
If yes, what types of drugs are screened for?
List major ones: _______________________________________________

_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
Other (indicate) ________________________________________________

_________________________________________________________________
19. Is it company policy to have personnel on all job sites who are
certified to administer first aid treatment?
Certification Type?
Red Cross _____
Fire Dept. _____
Other _____
20. Is safety a criteria in performance (including promotion and pay

raises) evaluation of: (check all that apply)
Craftsmen _____
Foremen _____
Supervisors _____
Superintendents _____
Site Managers _____
21. Do you track individual safety records of the following personnel?

Yes No
Foremen _____ _____
Supervisors _____ _____
Superintendents _____ _____
Site Managers _____ _____
119
22. Who has responsibility for safety on your project job sites?
Safety Supervisor _____

Personnel Department _____
RCM/Superintendent _____
Foremen _____
Other (list) _____
23. Do you track injury rates/Workers Compensation Claims?
Yes ____ NO _____
Using the following abbreviations, indicate how you report/track them.
Injuries - I, Claims - C, Dollars - $, Lost Prevention Activities - LP
By department? Yes_____; Monthly _____ Quarterly _____ Annually _____
By Project? Yes_____; Monthly _____ Quarterly _____ Annually _____
By Supervisor? Yes_____; Monthly _____ Quarterly _____ Annually _____
By Employee? Yes_____; Monthly _____ Quarterly _____ Annually _____
24. What steps do you take to ensure compliance with these rules?
Pre-Job - _______________________________________________________
_________________________________________________________________
During Job - ____________________________________________________

_________________________________________________________________
When incidents occur - __________________________________________

_________________________________________________________________
25. Do you have any organized, written safety recognition or other

motivational programs for safety?
Yes ____ NO _____
Explain _________________________________________________________
_________________________________________________________________
_________________________________________________________________
120
26. Do you have a safety incentive program?
Yes ____ NO _____
If yes, describe its components:

_________________________________________________________________
_________________________________________________________________
27. For this project, provide the following:
Client: _________________________________________________________
Engineer:________________________________________________________
Contractor: ____________________________________________________
Location:________________________________________________________
Date of Start of Field Construction: ____________________________
Mechanical Completion: __________________________________________
Project Description: ____________________________________________

_________________________________________________________________
Contract Type ______________________________________________
Grassroots/Revamp/Maintenance: _____________________________
Direct Hire _____% Subcontract ______%
Project Cost: (Total Incurred Cost) _____________________________
Project Manhours Cumulative: ____________________________________
Project Manhours Completed to Date (Provide both hour and calendar

date): __________________________________________________________
Project Safety Record:
A. Fatalities _______________________
B. Lost time Case ___________________ Incidence Rate: _________
(with lost days)
C. Restricted Workday Cases _________ Incidence Rate: _________
D. Medical Only Cases _______________ Incidence Rate: _________
E. OSHA Recordable Cases ____________
F. Number of W. C. Claims ___________
G. Workers Compensation Total Incurred Losses (TIL) _______________
H. Workers Compensation Premium (PR) ___________________________
I. Workers Compensation Loss Ratio (TIL/PR) ______________________
121
APPENDIX B
OWNER MANAGER
INTERVIEW QUESTIONS
Revised 12-7-91
1. Overview
1.0 What is your current job position?

__________________________________________
__________________________________________
2.0 How long have you been on this job site? ___________
3.0 Did you receive any safety training or

orientation for this project? Yes No
4.0 What percent of your time, on average, do

you spend on contractor safety activities
versus your other responsibilities? __________%
5.0 Do you view yourself as being reactive or

proactive in your contractor's safety
program? Reactive
Proactive
6.0 Are you familiar with the Business

Roundtable A3 Report, Improving
Construction Safety Performance? Yes No
7.0 Does schedule ever influence how much

safety is done on this project? Yes No DK
8.0 Did safety planning create an environment

that positively influenced cost, quality,
and schedule? Yes No DK
8.1 Was this planning a joint effort with your

company and the contractor? Yes No DK NA
9.0 Of all pre-planning activities

(scheduling, quality, material laydown,
etc.) what percent of the time is spent on
safety related matters. __________%
10.0 Have you ever shut down a job on this

project due to safety reasons? Yes No
122
2. Management Commitment
1.0 Do you feel that your company management

from the CEO down is committed to safety? Yes No
1.1 If so, what evidence exists to support

that feeling? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
2.0 Does your company produce newsletters,

videos, etc. to help facilitate a safe
project? Yes No Dk
3. Safety-Related Policies and Procedures
1.0 Does your company have written policies

and procedures for contractor safety on
this project?
(GET A COPY OF THE WRITTEN POLICIES) Yes No DK
2.0 Are the policies and procedures a part of

the contract documents? Yes No Dk
4. Responsibility, Accountability, and Discipline for Job-Site

Safety
1.0 How does your company hold the contractor

accountable for jobsite safety? None
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
1.1 Is this documented? Yes No DK NA
2.0 Does your company require the contractor

to designate a person to coordinate safety
on the site? Yes No DK
123
3.0 Are your company employees held
responsible in any way for contractor job-
site safety? Yes No DK
4.0 Does your company provide designated

company personnel to handle safety-related
matters? Yes No DK
5.0 Are safety rules enforced the same for

both company and contractor employees? Yes No DK
6.0 Does your company hold an individual

accountable for the safe actions and
behavior of their employees? Yes No DK
5. EMR and Other Safety-Related Statistics
Do you know the following information

about your contractor on this project:
1.0 OSHA recordable incident rate? Yes No
2.0 OSHA lost work day incident rate? Yes No
3.0 Your contractor's EMRs? Yes No
3.1 What is the EMR? __________ NA
4.0 The other contractors' EMRs? Yes No
5.0 Most frequent injuries requiring first

aid? Yes No
6. Safety Budget
1.0 Does your company provide a budget for

safety on this project? Yes No Dk
2.0 Do you or someone else in your company

monitor and/or capture costs related to
safety (i.e. cost of safety program,
safety meetings, etc.)? Yes No
3.0 Does anyone in your company review the

contractor's estimate to ensure it
includes money for safety? Yes No DK
124
4.0 Does your company financially support the
contractor's safety-related efforts? Yes No DK
7. Safety Program Goal Setting
1.0 Does your company get involved in

establishing safety-related goals for the
project? Yes No Dk
2.0 Does your company require a formal site

safety program from the contractor? Yes No DK
8. Safety Meetings
1.0 Does your company participate in safety-

related meetings with the contractor's
personnel (supervisors, craftspersons,
others)? Yes No DK
1.1 If so, which ones? None NA

__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
9. Pre-planning for Job Site Safety
1.0 Does your company get involved in pre-

construction safety-related activities? Yes No DK
2.0 Does your company require the use of

permit systems for hazardous activities? Yes No DK
3.0 Does your company control access to the

site? Yes No DK
4.0 Does your company provide any safety-

related incentives? Yes No DK
125
4.1 If so, describe. None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
10. New Employee Orientation
1.0 Is your company involved in new employee

orientation activities of the contractor? Yes No DK
11. Safety Rules
1.0 Does your company have safety rules which

the contractor is required to follow? Yes No DK
2.0 Does your company ensure the contractor is

following the rules? Yes No DK
3.0 Who in your company has the authority to

make changes to safety rules? None
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
12. Safety Inspections
1.0 Does your company require regular jobsite

inspections? Yes No DK
1.1 Is your company regularly involved in

these inspections? Yes No DK NA
1.2 Who from your company is involved in these

regular inspections? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
126
2.0 Are standard reports made for future
planning and corrective actions? Yes No DK
2.1 Does management review the completed

forms? Yes No DK NA
3.0 Does your company review the results of

the contractor's in-house inspections? Yes No DK
13. Safety Training
1.0 Is your company involved in safety

training for construction personnel? Yes No DK

to conduct safety training? Yes No DK
14. Accident Investigation
1.0 When an accident occurs on the

construction site does your company get
involved? Yes No DK
1.1 Is this documented in a policy statement? Yes No DK NA
2.0 Does your company track near misses? Yes No DK

to report safety incidents and follow up
investigations? Yes No DK
4.0 Does your company become involved in the

follow up activities? Yes No DK
5.0 Is the information learned from past

accidents used on future projects? Yes No DK
5.1 Is this information made available to
other contractors used by your company? Yes No DK NA
15. Safety Performance Audits
1.0 Does your company conduct regular jobsite

safety audits? Yes No DK
127
1.1 Who within your company conducts job site
audits? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
2.0 Does your company require contractors to

perform their own audits? Yes No DK
2.1 If so, does your company review these

audits? Yes No DK NA
16. Substance and Alcohol Abuse
1.0 Does your company have a substance and

alcohol abuse policy which the contractor
must adopt? Yes No DK

to have a substance and alcohol abuse
policy? Yes No DK
2.1 Does your company provide input to their

policy? Yes No DK NA
3.0 Is your company involved in carrying out

the day-to-day substance and alcohol abuse
policy of the contractor? Yes No DK
4.0 Does your company conduct and/or require

inspections for contraband? Yes No DK
17. Record Keeping

to maintain any safety records? Yes No DK
128
1.1 If so, what records are required? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
1.2 Are these records reviewed by management? Yes No DK NA
1.3 Are actions taken if the records are not

completed? Yes No DK NA
2.0 Does your company get involved in the

contractor's responsibility to maintain
OSHA safety records? Yes No DK
18. Contractor Pre-qualification
1.0 Does your company have any pre-qualifying

safety-related conditions for contractors? Yes No DK
1.1 Are these conditions a part of inclusion

on a bidders list? Yes No DK NA
1.2 Are these conditions a part of the

contract documents? Yes No DK NA
2.0 Does your company have a policy for

qualification of lower tier contractors? Yes No DK
19. Safety Performance Evaluation
1.0 Is the project's safety performance and/or

your personal safety performance included
as part of your performance evaluation? Yes No DK
2.0 Does your company evaluate the safety
performance of your contractors? Yes No DK
129
3.0 How could safety performance be improved
for both contractors and their contractors
on this project? None
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
4.0 Does your company reward safety

suggestions and improvements of contractor
personnel? Yes No DK
20. Other
1.0 What are the three most effective safety

techniques used on this project? None
1. _______________________________________
_______________________________________
_______________________________________
2. _______________________________________
_______________________________________
_______________________________________
3. _______________________________________
_______________________________________
_______________________________________
2.0 Do you feel that good communications

exists on this project? Yes No
3.0 Do you feel that good project coordination

4.0 Do you feel that good employee motivation

5.0 Is there anything else that has not been

asked that you feel contributed to safety
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
130
CONTRACTOR MANAGER
INTERVIEW QUESTIONS
Revised 12-7-91
1. Overview

__________________________________________
__________________________________________
2.0 How long have you been on this jobsite? ___________
3.0 Did you receive any safety training or

orientation for this project? Yes No
4.0 What percent of your time, on an average,

do you spend on safety activities versus
your other activities? __________%
5.0 Does schedule ever have priority over how

much safety is done on this project? Yes No DK
6.0 Did safety planning create an environment

that positively influenced cost, quality,
and schedule? Yes No DK
6.1 Was this planning a joint effort with your

company and the Owner? Yes No DK NA


1.0 Do you feel that your company from the CEO

on down is committed to safety? Yes No
131
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
2.0 Is there a member of top management

assigned the overall responsibility for
company safety? Yes No DK
3.0 Is there a full time safety director on

this project? Yes No DK
4.0 Is there a full time designated person for

safety on this project? Yes No DK
5.0 Does the Owner actively participate in

your company's safety program? Yes No DK
5.1 Is the participation reactive or pro-

active? Reactive
Pro-active
NA
6.0 Is safety performance discussed in project

progress review meetings? Yes No DK
7.0 Does your company have a corporate safety

committee? Yes No DK
7.1 Does the corporate safety committee meet

regularly? Yes No DK NA
8.0 Does your company have a corporate fire

prevention committee? Yes No DK
8.1 Does the corporate fire prevention

committee meet regularly? Yes No DK NA
9.0 Does your company have a project safety

9.1 Are you or have you been a member of this

committee? Yes No DK NA
132
9.2 Does the project safety committee meet
9.3 Does the Owner participate? Yes No DK NA
9.4 Do other contractors participate? Yes No DK NA
10.0 Does your company have a project fire


10.2 Does this project fire prevention

committee meet regularly? Yes No DK NA
11.0 Does your company have a safety and fire

protection agreement with the Owner? Yes No DK
12.0 Does your company recognize safety

suggestions of employees? Yes No DK

suggestions of other contractors? Yes No DK
Are the following items used on the

jobsite to communicate safety information:
14.0 bulletin boards? Yes No DK

14.1 posters? Yes No DK
14.2 newsletters? Yes No DK

policies and procedures manual? Yes No DK
2.0 Does your company have a project specific

policies and procedures safety manual?
(GET A COPY OF THE MANUAL) Yes No DK
133
2.1 Do the policies and procedures include
definitions of responsibility and
accountability? Yes No DK NA
3.0 Are disciplinary actions a part of your

safety policies and procedures? Yes No DK
3.1 If so, are different levels of discipline

used? Yes No DK NA
4.0 Does your company have policies and

procedures for pre-placement physicals for
employees? Yes No DK
4.1 Is this a complete physical by a doctor or

a partial physical by medical personnel? Complete
Partial
NA
4.2 Is this physical done onsite or offsite? Onsite

Offsite
NA
5.0 During hiring, do you or someone else in

your company check to see if the person
can do the job for which the person is
being hired? Yes No DK
Is safety criteria used to select:
6.0 Managers? Yes No DK

6.1 Supervisors? Yes No DK
7.0 Does your company have a probationary

period for new employees? Yes No DK
8.0 Does your company have a policy and

procedures for personal protective
equipment use and enforcement for this
project? Yes No DK
9.0 Does your company have a medical

surveillance policy for truck drivers,
crane operators, painters, insulators,
etc. (i.e. 'fit for duty')? Yes No DK

working in confined spaces? Yes No DK
134
11.0 Does your company have a danger tag and
lock out policy and procedures? Yes No DK

procedures for hazardous material handling
and communication (MSDS)? Yes No DK

procedures to monitor the OSHA compliance
records of other contractors? Yes No DK

Safety
Are the following personnel held

accountable for safety on this project:

1.2 Craftworkers? Yes No DK
Are the safety responsibilities written

for the following personnel on this
project:
(GET A COPY OF THE RESPONSIBILITIES)

2.2 Craftworkers? Yes No DK
3.0 Are warnings issued for safety violations? Yes No DK
3.1 Are they written, verbal or both? Written

Verbal
Both
NA
Who of the following issue these warnings:
3.2 First line supervision (foreman)? Yes No DK NA

3.3 Second line supervision (supervisor)? Yes No DK NA
3.4 Third line supervision (superintendent)? Yes No DK NA
3.5 Safety director (department)? Yes No DK NA
4.0 Are the other contractors hired by your

company required to comply with project
safety rules? Yes No DK
135
5.0 Are other contractors hired by your
company held accountable for their safety? Yes No DK
6.0 Does your company require each

subcontractor to designate a person to
coordinate safety on the job site? Yes No DK

company held accountable for the safety of
their lower tier contractors? Yes No DK
1.0 Are project losses due to accidents that

are covered by Worker's Compensation
measured against premiums paid? Yes No DK
Do you know the following information

about the project:
2.0 OSHA recordable incident rate? Yes No
3.0 OSHA lost work day incident rate? Yes No
4.0 Do you know your company's EMR? Yes No
4.1 What is the EMR? __________ NA
5.0 Other contractors' EMRs? Yes No
6.0 The most frequent injuries requiring first

aid? Yes No
6. Safety Budget
1.0 Does your company use a budget to allocate

resources and management time for safety? Yes No DK
1.1 What percentage of the project's budget is

for safety? __________% NA
2.0 Does your company track any costs related

to implementing and administering your
safety program during the project? Yes No DK
136
3.0 Is the budget of other contractors hired
by your company reviewed to ensure funds
are included for safety? Yes No DK
4.0 Is the Owner involved in your safety

budget? Yes No DK
5.0 Does your company track the costs of

accidents? Yes No DK
6.0 Do you or someone else report the costs of

accidents to top management? Yes No
Do you know the average costs of the following:
7.0 accidents with injury? Yes No

7.1 accidents without injury? Yes No
8.0 Does your company track the costs of other

safety related activities other than
accidents or near misses? Yes No DK
8.1 If so, which ones? None NA

__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
1.0 Does your company have safety related

goals for this project? Yes No DK
2.0 Did the Owner provide any input to

establish the safety goals for this
project? Yes No DK
3.0 What are the safety goals for this

project? None
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
137
4.0 Are safety performance goals communicated
to employees? Yes No DK
5.0 Does the Owner require a site safety

program? Yes No DK
8. Safety-Related Meetings
For all safety related meetings:
1.0 Is an agenda made? Yes No DK

1.1 Are minutes taken? Yes No DK
1.2 Are the minutes distributed? Yes No DK
2.0 Are tool box or gang box meetings held? Yes No DK
2.1 Are these meetings held weekly? Yes No DK NA
2.2 Is an agenda made for the meetings? Yes No DK NA
2.3 Is attendance taken? Yes No DK NA
3.0 Does anyone in you company attend the

safety meetings of the other contractors
it hires? Yes No DK
4.0 Are other contractors required to

participate regularly in your safety
meetings? Yes No DK
5.0 Are safety meetings held regularly on this

project for supervisors only? Yes No DK
9. Pre-planning for Job-Site Safety

procedure for conducting a hazards
analysis? Yes No DK

procedures for job site emergencies? Yes No DK
3.0 Did your company develop the project

emergency plan? Yes No DK
138
3.1 Was the project emergency plan coordinated
to meet state and local requirements? Yes No DK NA
4.0 Are medical facilities available on the

jobsite? Yes No DK
4.1 Are the onsite medical facilities provided

by your company, the Owner, or both? Company
Owner
Both
NA
4.2 Are the onsite medical facilities

contracted? Yes No DK NA
5.0 Are designated medical facilities

available offsite? Yes No DK
5.1 Are these offsite facilities contracted? Yes No DK NA
6.0 Are the telephone numbers and contacts for

emergency needs posted on the jobsite? Yes No DK
7.0 Are procedures defined for the control and

disposal of hazardous materials? Yes No DK
8.0 Does your company have a certification

plan for different work activities? Yes No DK
8.1 Are records maintained and scheduling done

for recertification? Yes No DK NA
9.0 Who provides the equipment and personnel

for fire and rescue? None
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
10.0 Are injured employees escorted to the

medical facilities by your company
personnel? Yes No DK
11.0 Does your company conduct a post-injury

follow up? Yes No DK
139
12.0 Does your company have a work permit
system? Yes No DK
13.0 Is there a formal written incentive

program that includes safety for this
project? Yes No DK
(GET A COPY OF THE INCENTIVE PROGRAM)
14.0 Does your company provide the incentives? Yes No DK
14.1 Were safety incentive awards of money

given? Yes No DK NA
14.2 Were other safety incentive awards given? Yes No DK NA
14.3 If so, what were they?

__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
15.0 Are spot incentive awards given? Yes No DK
Which of the following personnel receive

the spot awards:
15.1 Managers? Yes No DK NA

15.2 Supervisors? Yes No DK NA
15.3 Craftworkers? Yes No DK NA
16.0 Are milestone incentive awards given? Yes No DK

the milestone awards:
17.0 Are end of project incentive awards given? Yes No DK
140
the end of project awards:

18.0 Are cents per hour worked safely incentive

awards given? Yes No DK

the cents per hour worked safely awards:

1.0 Are new employees given an orientation? Yes No DK

1.1 Is the orientation face-to-face, video
taped or both? Face-to-face
Video
Both
NA
1.2 Is the Owner involved in the orientation? Yes No DK NA
1.3 Who is responsible for the orientation? None NA

__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
2.0 Are handouts and documents such as safety

handbooks given to employees? Yes No DK
2.1 Are employees required to sign an

acknowledgement of receipt and
understanding? Yes No DK NA
3.0 Does the orientation include information

about disciplinary policies? Yes No DK
141
about injury reporting and insurance claim
requirements? Yes No DK

about safety meetings (e.g. tool box
meetings, safety review meetings) Yes No DK

about jobsite fire prevention? Yes No DK
7.0 Does your company have different

orientation programs for different levels
of personnel? Yes No DK
8.0 Does the safety orientation occur before

the employee goes to the work area? Yes No DK
9.0 Do other orientations occur during the

project? Yes No
9.1 If so, what are they? None NA

__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
11. Safety Rules
1.0 Does this project have a set of project

safety rules which all contractors must
follow? Yes No DK
1.1 Did your company develop the project

safety rules? Yes No DK NA
1.2 Are the rules provided in an employee

handbook? Yes No DK NA
(GET A COPY OF THE HANDBOOK)
1.3 Is the handbook different than the safety

manual of policies and procedures? Yes No DK NA
142
2.0 Is the Owner required to comply with the
safety rules of the project? Yes No DK
3.0 Does your company require other

contractors it hires to follow the project
1.0 Prior to the start of this project was a

hazard analysis conducted? Yes No DK
1.1 Were you involved in this hazard analysis? Yes No DK NA
2.0 Prior to the start of specific jobs are

inspections made for hazards? Yes No DK
Who of the following are involved in the

inspections for hazards:
2.1 Foremen? Yes No DK NA

2.3 Superintendents? Yes No DK NA
3.0 Are regular safety inspections of the

jobsite made during the project? Yes No DK
3.1 Who does these inspections? None NA

__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
These inspections are made how frequently:

3.2 Daily? Yes No DK NA
3.3 Weekly? Yes No DK NA
3.4 Monthly? Yes No DK NA
3.5 As Needed? Yes No DK NA
3.6 Are standard forms used for the

inspections? Yes No DK NA
143
4.0 Does your company conduct regular safety
inspections of the contractors it hires? Yes No DK

contractors you hire on this project to
perform their own regular safety
inspections? Yes No DK
5.1 Is your company involved in those

13. Safety Training
1.0 Have you received any safety training

other than orientation while working on
1.1 Was this formal training in a classroom? Yes No DK NA
1.2 List the types of training you have

received on this project? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
2.0 Have your supervisors received any safety

training other than orientation while
working on this project? Yes No DK
2.2 List the types of training your

supervisors have received on this project? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
3.0 Have your craftworkers received any safety

144
3.2 List the types of training your

craftworkers have received on this
project? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
4.0 Have other contractors you hired received

any safety training other than orientation
while working on this project? Yes No DK
4.2 List the types of training other

contractors you hired have received on
this project? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
14. Accident Investigations

procedures for this project to investigate
accidents and near misses? Yes No DK
1.1 Are documented witness statements a part

of the procedure? Yes No DK NA
Are investigations made of:
2.0 accidents with injury? Yes No DK

2.1 accidents without injury? Yes No DK
2.2 near misses? Yes No DK
2.3 first aid cases? Yes No DK
2.4 exposure hours? Yes No DK
2.5 property damage? Yes No DK
145
3.0 Have you ever been involved in an accident
investigation? Yes No
Are any of the following responsible for

reviewing investigation reports:
4.0 line management? Yes No DK

4.1 top site management? Yes No DK
4.2 safety department? Yes No DK
5.0 After accidents and near misses are the

training records of supervisors and
employees reviewed for verification? Yes No DK
6.0 After accidents and near misses are

supervisors and employees talked with? Yes No DK
7.0 Is a project accident review team

established to review all accidents and
near-misses? Yes No DK
7.1 Do other contractors you hire participate

in the project accident review team? Yes No DK NA
7.2 Are the accident findings communicated to

employees and other contractors you hire? Yes No DK NA
Are any of the following items required to

be reported to the home office:

8.3 first aid cases? Yes No DK
8.4 exposure hours? Yes No DK
8.5 property damage? Yes No DK
9.0 Does your company have a light duty
policy? Yes No DK
146
Do you require other contractors you hire
to report:
10.0 accidents with injury? Yes No

10.1 accidents without injury? Yes No
10.2 near misses? Yes No
10.3 first aid cases? Yes No
10.4 exposure hours? Yes No
10.5 property damage? Yes No

safety audits on this project? Yes No DK
2.0 Are other contractors you hire included in

your company's safety audits? Yes No DK
3.0 Are other contractors you hire required to

perform their own safety audits? Yes No DK
Are regular audits conducted on this

project by:
4.0 Owner representatives? Yes No DK

4.1 a project management team? Yes No DK
4.2 a corporate management team? Yes No DK
4.3 insurance company representatives? Yes No DK
4.4 consultants? Yes No DK
5.0 Have you ever been on an audit team? Yes No
1.0 Does the Owner have a substance abuse

policy which your company and the other
contractors you hire must adopt?
(GET A COPY OF THE POLICY) Yes No DK
1.1 If so, is it to be adopted in total or in

part? Total
In-Part
NA
2.0 Does your company administer the substance

abuse policy for employees on this
project? Yes No DK
147
3.0 Is substance abuse screening done for all
3.1 Is screening for alcohol done? Yes No DK NA
3.2 Is screening for drugs done? Yes No DK NA
Is screening done for the following

situations:
3.3 during pre-hire? Yes No NA

3.4 for cause? Yes No NA
3.5 randomly? Yes No NA
3.6 post-accident? Yes No NA
3.7 If an employee tests positive, what is the
policy of the company? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
4.0 Does your company have an employee

assistance program for this project? Yes No DK
5.0 Does your company conduct inspections for

contraband? Yes No DK
6.0 Does your company require the contractors

it hires to have a substance and alcohol
abuse policy? Yes No DK
6.1 Does your company provide input to their

6.2 Does your company ensure that the

contractors it hires adhere to their own
17. Record Keeping

procedures for keeping written records? Yes No DK
148
1.1 Are they distributed to the appropriate
personnel? Yes No DK NA
2.0 Are records kept of safety training? Yes No DK
3.0 Does your company review OSHA records of

other contractors it hires? Yes No DK
4.0 Are reports written and critiques

generated for jobsite emergency drills? Yes No DK
5.0 Does your company have a formal record

keeping and numbering system for control
of danger tags and locks? Yes No DK
1.0 Is there a pre-qualification program that

includes safety for other contractors
hired by your company on this project? Yes No DK
(GET A COPY OF THE PROGRAM)
1.1 Is the program reviewed and updated on a

regular basis? Yes No DK NA
2.0 Is a pre-qualification safety

questionnaire used?
(GET A COPY OF THE QUESTIONNAIRE) Yes No DK
3.0 Are safety reviews and pre-qualification

required for the lower tier contractors of
the contractors hired by your company? Yes No DK
4.0 Does the Owner participate in the direct

selection of other contractors? Yes No DK
5.0 Is the selection of other contractors for

this project made by the A & E or by your
company? Contractor
A & E
6.0 Are safety provisions part of the contract
between your company and the Owner? Yes No DK

between your company and other contractors
you hire? Yes No DK
149
between the contractors you hire and their
lower tier contractors? Yes No DK
1.0 Do you have a written job description? Yes No
1.1 Is safety a part of your job description? Yes No DK NA
2.0 Is your safety performance evaluated on a

regular basis? Yes No
2.1 Were the results of your evaluation

communicated to you? Yes No NA
2.2 Was this communication verbal or written? Verbal

Written
NA
3.0 Do supervisors have a written job

description? Yes No DK
3.1 Is safety a part of their job description? Yes No DK NA
4.0 Do you evaluate your supervisors safety

performance on a regular basis? Yes No DK
4.1 Do you communicate the evaluation results

to your supervisors? Yes No NA
4.2 Is this communication verbal or written? Verbal

Written
NA
5.0 Do craftworkers have a written job

6.0 Are craftworkers safety performance

evaluated on a regular basis? Yes No DK
6.1 Do you communicate the evaluation results

to your employees? Yes No NA
6.2 Is this communication verbal or written? Verbal

Written
NA
150
7.0 Does your company conduct a review of
improvements of safety performance on the
job site? Yes No DK
8.0 Does your company measure the safety

performance of the other contractors it
hires? Yes No DK
8.1 If so, how is it done? None NA

__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
9.0 Is the safety performance of the other

contractors you hire reported to the
Owner? Yes No DK
Is safety performance reviewed and

published for:
10.0 the company? Yes No DK

10.1 departments and/or divisions? Yes No DK
10.2 site managers? Yes No DK
10.3 supervisors? Yes No DK
20. Other
1.0 Has this project had any OSHA or other

state and federal safety inspections? Yes No DK
1.1 Has this project had an EPA inspection? Yes No DK
1.2 Were there any employee complaints? Yes No DK
1.3 Was your company cited? Yes No DK
If so, which of the following indicates

the degree of seriousness:
1.4 Minimum? Yes No DK

1.5 Serious? Yes No DK
1.6 Willful? Yes No DK
151
1. _______________________________________
_______________________________________
_______________________________________
2. _______________________________________
_______________________________________
_______________________________________
3. _______________________________________
_______________________________________
_______________________________________
3.0 Do you feel that effective communications

exist on this project? Yes No DK
4.0 Do you feel that this project was well

coordinated? Yes No DK
5.0 Do you feel that employees were motivated

on this project? Yes No DK
6.0 Are there any other safety related

activities that include Owner
representatives involvement? None
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________

__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
152
CONTRACTOR SUPERVISOR
INTERVIEW QUESTIONS
Revised 12-7-91
1. Overview

__________________________________________
__________________________________________
2.0 How long have you been on this job site? ___________

you spend on safety activities versus your
other responsibilities? __________%




from the CEO on down is committed to
safety? Yes No DK

__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
2.0 Is a full time safety person from your

company assigned to this project? Yes No DK
3.0 Does the Owner actively participate in

your company's project safety program? Yes No DK
153
4.0 Is safety performance discussed in project
progress review meetings? Yes No DK


committee? Yes No NA



committee? Yes No NA
6.2 Does the project fire prevention committee

meet regularly? Yes No DK NA

suggestions of employees? Yes No DK

suggestions of other contractors? Yes No DK



policies and procedures manual? Yes No DK
154
policies and procedures safety manual? Yes No DK NA
2.1 Do the policies and procedures include

definitions of responsibility and
accountability? Yes No DK NA
3.0 Are disciplinary actions a part of the

safety policies and procedures? Yes No DK
3.1 If so, are different levels of discipline

used? Yes No DK NA
4.0 Does your company have a pre-employment

physical policy for employees? Yes No DK
4.1 Is this a complete physical by a doctor or

a partial physical by medical personnel? Complete
Partial
NA
4.2 Is this physical done onsite or offsite? Onsite

Offsite
NA
5.0 Was your safety record a consideration in

your selection as a supervisor? Yes No DK
6.0 Is personal protective equipment used and

enforced on this project? Yes No DK

working in confined spaces? Yes No DK
8.0 Does your company have a danger tag and

lock out policy? Yes No DK
procedure for hazardous material handling
and communication (MSDS)? Yes No DK

Safety
1.0 Are you held accountable for safety in

your company? Yes No DK
2.0 Are warnings issued for safety violations? Yes No DK
155
2.1 Are they written, verbal or both? Written
Verbal
Both
NA
2.2 Do you issue these warnings? Yes No NA

company required to comply with project

company held accountable for their safety? Yes No
NO QUESTIONS FOR THIS SECTION.
6. Safety Budget
1.0 Are you aware if money for safety is in

the project budget? Yes No
2.0 Do you monitor and/or capture any costs

related to safety? Yes No
1.0 Are you aware of the safety related goals

for this project? Yes No
2.0 Are you responsible for communicating the

goals? Yes No
1.0 Are tool box or gang box meetings held? Yes No

1.2 Is an agenda made for the meeting? Yes No NA
1.3 Is attendance taken? Yes No NA
156
2.0 Do you regularly attend safety meetings of
other contractors hired by your company? Yes No NA
3.0 Are safety meetings held regularly on this

project for supervisors only? Yes No DK

procedure for conducting a hazards
analysis? Yes No DK

procedures for jobsite emergencies? Yes No DK
3.0 Are medical facilities available on the

jobsite? Yes No DK
4.0 Are designated medical facilities

available off the jobsite? Yes No DK

emergency needs posted on the jobsite? Yes No DK
6.0 Are procedures defined for the control and

disposal of hazardous materials? Yes No DK
7.0 Are site personnel certified for different

work activities? Yes No DK
7.1 Are records maintained and scheduling done

for recertification? Yes No DK NA

project? Yes No DK
9.0 What safety incentives were given or
awarded? None
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
157
9.1 Were these incentives given to individuals
crews, or both? Individuals
Crews
Both
NA
9.2 On what basis are these incentives

awarded? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
1.0 When you joined your company did you

receive an orientation? Yes No
1.1 Was the orientation face-to-face, video

taped or both? Face-to-face
Video
Both
NA
2.0 Are handouts and documents such as safety

handbooks given to employees? Yes No
2.1 Are employees required to sign an

understanding? Yes No NA
3.0 Did the orientation include information

about disciplinary policies? Yes No DK

about injury reporting and insurance
claims requirements? Yes No DK

about safety meetings (e.g. toolbox
meetings, safety review meetings, etc.)? Yes No DK

about jobsite fire prevention? Yes No DK
158
7.0 Does your company have different
orientation programs for different levels
of personnel? Yes No DK
8.0 Do other orientations occur during the

project? Yes No DK
11. Safety Rules
1.0 Does this project have a set of project

safety rules which all contractors must
follow? Yes No DK
1.1 Are they provided in an employee handbook? Yes No DK NA
2.0 Is the Owner of the project required to

comply with the safety rules of the
project? Yes No DK

contractors it hires to follow the project
safety rules? Yes No DK NA
1.0 Prior to the start of the project, was an

inspection made of the site for hazards? Yes No DK
1.1 Were you involved in these inspections? Yes No NA
2.0 Prior to the start of specific jobs are

inspections made for hazards? Yes No DK
2.1 Are you involved in these inspections? Yes No NA
3.0 Are regular safety inspections of the

jobsite made during the project? Yes No DK
3.1 Do you participate in these inspections? Yes No NA
3.2 Are standard forms used for the

4.0 Are you involved in safety inspections of

the contractors hired by your company? Yes No NA
159
13. Safety Training


__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
2.0 Have your employees received any safety

2.2 List the types of training your employees

have received on this project? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________


of the procedure? Yes No DK NA
Are investigations made of:

160
4.0 Are accident findings communicated to


policy? Yes No DK
6.0 Are the accidents of other contractors

hired by your company investigated on this
project? Yes No DK
1.0 Does your company conduct jobsite safety

audits regularly on this project? Yes No DK

company included in your company's safety
audits? Yes No DK NA
3.0 Have you ever been on an audit team? Yes No
1.0 Is there a policy for substance abuse

screening for employees on this project? Yes No
1.1 Does it include screening during pre-hire? Yes No NA
1.2 Does it include screening for cause? Yes No NA
1.3 Does it include random screening? Yes No NA
1.4 Does it include post-accident screening? Yes No NA

assistance program for this project? Yes No
3.0 Does your company conduct inspections for

contraband? Yes No DK
161
17. Record Keeping
1.0 Are you aware of the safety record keeping

requirements for this project? Yes No DK
1.1 Do you review and/or prepare safety

records for this project? Yes No DK NA
1.0 Does your company have a pre-qualification

program that includes safety for the
contractors it hires on this project? Yes No DK NA
1.0 Do you have a written job description? Yes No DK
2.0 Does your supervisor evaluate your safety

performance on a regular basis? Yes No

communicated to you? Yes No Na

Written
NA
3.0 Do your employees have a written job

4.0 Do you evaluate your employees' safety

performance on a regular basis? Yes No DK
4.1 Do you communicate the results of your

evaluation to your employees? Yes No NA

Written
NA
162
5.0 Have you ever recommended safety
improvements on the jobsite? Yes No
20. Other

1. _______________________________________
_______________________________________
_______________________________________
2. _______________________________________
_______________________________________
_______________________________________
3. _______________________________________
_______________________________________
_______________________________________




____________________________________________________________
____________________________________________________________
____________________________________________________________
____________________________________________________________
163
CONTRACTOR WORKER
INTERVIEW QUESTIONS
Revised 12-7-91
1. Overview

__________________________________________
__________________________________________
2.0 How long have you been on this jobsite? ___________

you spend on safety activities versus your
other responsibilities? __________%




from the CEO on down is committed to
safety? Yes No

__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________

164



3.2 Does the project fire prevention committee

meet regularly? Yes No DK NA



or corporate policies and procedures
safety manual? Yes No DK
1.1 Does the manual include definitions of

responsibility and accountability? Yes No DK NA
2.0 Are you aware of your company having a

disciplinary policy? Yes No
2.1 Are different levels of discipline used? Yes No DK NA
3.0 Is personal protective equipment used and

enforced on this project? Yes No

policy for working in confined spaces? Yes No

danger tag and lock out policy? Yes No
165
policy and procedures for hazardous
material handling and communications
(MSDS)? Yes No

Safety
1.0 Are you held accountable for your safety

actions? Yes No DK
2.0 Are you issued warnings for safety

violations? Yes No
2.1 Are they written, verbal, or both? Written

Verbal
Both
NA
2.2 Does your immediate supervisor issue these

warnings? Yes No NA
6. Safety Budget
1.0 Are you aware if money for safety is in

the project budget? Yes No
1.0 Are you aware of your company's safety

goals for this project? Yes No
1.0 Are tool box or gang box meetings held? Yes No DK
1.2 Is attendance taken? Yes No DK NA
166

jobsite emergency policy and procedures? Yes No
2.0 Before you start a job do you discuss the

recognition, avoidance, and prevention of
hazards? Yes No
3.0 Are medical facilities available onsite? Yes No
4.0 Are medical facilities available off the

jobsite? Yes No

emergency needs posted on the jobsite? Yes No

project? Yes No DK
7.0 What safety incentives were given or

awarded? None
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
7.1 Were these incentives given to

individuals, crews, or both? Individuals
Crews
Both
NA
7.2 On what basis are these incentives

awarded? None NA
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
167
1.0 When you joined your company, did you

receive any orientation? Yes No
1.1 Was the orientation face-to-face, video

taped, or both? Face-to-face
Video
Both
NA
2.0 Were handouts and documents such as safety

handbooks given to you? Yes No
2.1 Were you required to sign an

understanding? Yes No
3.0 Did the orientation make you aware of

disciplinary policies? Yes No

about injury reporting and insurance
claims requirements? Yes No

about jobsite fire prevention? Yes No

about safety meetings (e.g. toolbox
meetings, safety review meetings, etc.)? Yes No
11. Safety Rules
1.0 Are there safety rules for this project

which all contractors must follow? Yes No
1.1 Are the rules provided in an employee
handbook? Yes No DK NA
1.0 Are safety inspections done regularly by

company personnel during the project? Yes No DK
2.0 Have you ever been a member of an

inspection team? Yes No
168
13. Safety Training


__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________


of the procedures? Yes No DK NA

3.0 Are accident findings communicated to


policy? Yes No DK

safety audits? Yes No DK
2.0 Have you ever been involved in a safety

audit? Yes No
169
1.0 Is there a policy for substance abuse

screening for employees on this project? Yes No DK
1.1 Does it include screening during pre-hire? Yes No NA
1.2 Does it include screening for cause? Yes No NA
1.3 Does it include random screening? Yes No NA
1.4 Does it include post-accident screening? Yes No NA

assistance program for this project? Yes No
17. Record Keeping
1.0 Are you aware of the safety records kept

for this project? Yes No
1.1 Are you involved in keeping and

maintaining any of the records? Yes No NA
18. Contractor Pre-Qualification
1.0 Do you have a written job description? Yes No DK
2.0 Does your supervisor evaluate your safety

performance on a regular basis? Yes No

communicated to you? Yes No NA

Written
NA
170
3.0 Have you ever provided recommendations for
safety performance improvement on the
jobsite? Yes No
20. Other

1. _______________________________________
_______________________________________
_______________________________________
2. _______________________________________
_______________________________________
_______________________________________
3. _______________________________________
_______________________________________
_______________________________________




__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
171
OWNER MANAGER
TIME FOR SAFETY
To complete this survey form follow the instructions noted below:
a. For each item, please indicate in the corresponding blank

space provided, the approximate number of hours spent by you
on doing what is described on this project. If no hours are
spent on a particular activity please put a zero on the
corresponding blank.
b. Then circle the appropriate choices corresponding to each

line item. These choices specify the time period over which
the number of hours are spent by you on this project.
1. Development of safety policies and procedures with the

contractor.
Hours: Weekly Monthly Yearly

_________ Once during the project
2. Involvement with the contractor in planning budget for

safety.

3. Development of safety goals and objectives with the

contractor.

4. Communication of company safety philosophy to contractor and

other project personnel.
5. Attend contractor safety meetings, such as tool box

meetings,etc.

172
6. Involvement with the contractor in pre-job planning for
safety, such as hazards analysis, reviewing the site for
hazards, etc.

7. Attend contractor new employee safety orientation.

8. Attend periodic contractor safety refresher orientation

during employment.

9. Involvement with the contractor in developing project safety

rules.

10. Involvement with the contractor in safety inspections.
11. Participation in contractor safety training, such as formal

classroom training, emergency drills, etc.

12. Involvement with the contractor in accident and near miss

investigations.

173
13. Involvement with the contractor in the case management of
injured workers' return to the job site, e.g. offsite
visits, insurance claims, doctor conferences, etc.

14. Keeping and maintaining contractor safety related records.

15. Involvement with the contractor in conducting safety audits.

16. Involvement with the contractor in testing for substance and

alcohol abuse.

17. Involvement with the contractor in other safety related

activities such as daily exercise periods, etc.
Items Hours Choices
i. _______________ _________ Weekly Monthly Yearly

_______________ Once during the project
ii. _______________ _________ Weekly Monthly Yearly

iii. _______________ _________ Weekly Monthly Yearly

iv. _______________ _________ Weekly Monthly Yearly
174
CONTRACTOR MANAGER
TIME FOR SAFETY


1. Development of safety policies and procedures.

2. Involvement in planning budget for safety.

3. Development of safety goals and objectives.

4. Communication of company safety philosophy to project

personnel.

5. Attend safety meetings, such as tool box meetings, etc.

175
6. Involvement in pre-job planning for safety, such as hazards
analysis, reviewing the site for hazards, etc.

7. Attend new employee safety orientation.

8. Attend periodic safety refresher orientation during

employment.

9. Involvement in developing project safety rules.

10. Involvement in safety inspections.
11. Participation in safety training, such as formal classroom

training, emergency drills, etc.

12. Involvement in accident and near miss investigations.

176
13. Involvement the case management of injured workers' return
to the job site, e.g. offsite visits, insurance claims,
doctor conferences, etc.

14. Keeping and maintaining safety related records.

15. Involvement in conducting safety audits.

16. Involvement in testing for substance and alcohol abuse.

17. Involvement in other safety related activities such as daily

exercise periods, etc.
Items Hours Choices




177
TIME FOR SAFETY


1. Reading and reviewing safety policies and procedures.






employment.

178
6.Involvement in safety inspections.



9. Involvement the case management of injured workers' return

to the job site, e.g. offsite visits, insurance claims,
doctor conferences, etc.

10. Keeping and maintaining safety related records.

11. Involvement in safety audits.


179
Items Hours Choices




180
CONTRACTOR WORKER
TIME FOR SAFETY







employment.

5. Involvement in safety inspections.
181


8. Involvement in safety audits.



Items Hours Choices




182
OWNER MANAGER
RANKING OF SAFETY ATTRIBUTES
1. First read all 16 items listed below.

2. Then rank the items on a scale of 1 to 16 with regards to
how important you feel they are towards safety on this
project.
3. Mark the most important item '1',the second most important
item '2', the third most important item '3', and so on until
you have used all 16 numbers.
______ Management commitment to contractor safety
______ Contractor safety policies and procedures
______ Project safety responsibilities of the owner
______ Awareness of Experience Modification Rate (EMR) and

other safety related statistics of the contractor
______ Contractor safety budget
______ Establishment of safety goals and objectives with the

contractor
______ Contractor safety meetings
______ Pre-job planning for safety with contractor
______ Contractor new employee safety orientation
______ Contractor safety rules
______ Safety inspections with contractor
______ Safety training for contractor supervision
______ Accident and near miss investigations
______ Contractor safety performance audits
______ Testing for substance and alcohol abuse
______ Record keeping
183
CONTRACTOR MANAGER

project.
3. Mark the most important item '1', the second most important
item '2', the third most important item '3' and so on until
______ Management commitment to safety
______ Safety policies and procedures
______ Project safety responsibilities
______ Awareness of Experience Modification Rate (EMR) and

other safety related statistics
______ Safety budget
______ Safety goals and objectives
______ Safety meetings
______ Pre-job planning for safety
______ New employee safety orientation
______ Safety rules

______ Safety inspections
______ Safety training
______ Safety performance audits
184

project.
______ Awareness of Experience Modification Rate (EMR) and other

safety related statistics
______ Safety rules

185
CONTRACTOR WORKER

project.
______ Awareness of Experience Modification Rate (EMR) and other

safety related statistics
______ Safety rules

186
OWNER MANAGER
EVALUATION OF CONTRACTOR SAFETY PROGRAM
To complete this survey form, follow the instructions noted

below:
1. For each major heading first read all the choices listed
under it.
2. After reading the list of items, go back and circle all the
letters opposite the choices which best describe what is
happening on this project.
3. Then go to the next major heading and repeat the process
until you have completed the entire survey form.
I. MANAGEMENT COMMITMENT TO SAFETY
a. Management participates in the contractor's safety

program.
b. Management sets objectives for project safety.
c. Feedback on contractor's safety program is required by
management.
d. Management wants and supports safety but does not
actively participate.
e. Management provides and budgets funds for contractor
safety activities.
f. Management provides funds for contractor safety
activities when needed.
g. Safety is a part of contractor performance appraisals.
h. Management has a hands off policy towards contractor
safety.
i. Management leaves safety to the contractor.
j. Do not know if management is committed to safety.
187
II. CONTRACTOR SAFETY POLICIES AND PROCEDURES
a. Written contractor safety policies and procedures exist

and are known.
b. Contractor safety policies and procedures are known.
c. Contractor safety policies and procedures are enforced by
the contract documents.
d. A copy of the contractor safety policies and procedures
is a part of the contract documents.
e. The contractor safety policies and procedures emphasizes
interaction with the contractor management.
f. The contractor safety policies and procedures are signed
by the Chief Executive Officer.
g. The safety policies and procedures are not known.
h. Safety policies and procedures do not exist.
III. PROJECT SAFETY RESPONSIBILITIES
a. Contractor responsibilities for safety are clearly

defined.
b. Assignment of contractor responsibilities for safety are
required for all levels of the project.
c. Contractor responsibilities for safety are in writing.
d. Contractor responsibilities for safety are part of the
contract documents.
e. A safety coordinator is responsible for project safety.
f. Interaction between the safety coordinator and the
contractor safety personnel exists.
g. Contractor responsibilities for safety are not in
writing.
h. Responsibilities for safety within the company have not
been defined
i. Knowledge of the contractor personnel responsible for
safety does not exist.
IV. AWARENESS OF EXPERIENCE MODIFICATION RATE (EMR)
a. Prequalification of the contractors is done using EMR.

b. The contractor EMR for previous three years is known.
c. The contractor EMR for the previous year is known.
d. The contractor EMR is unknown.
188
V. SAFETY BUDGET
a. A copy of the contractor's safety budget is required as

part of contract documents.
b. Incentives are provided to augment the contractor's
safety budget.
c. Knowledge of the contractor's safety budget exists.
d. Knowledge of the contractor's safety budget does not
exist.
VI. SAFETY GOALS AND OBJECTIVES
a. A strategy is developed with the contractor to accomplish

the written goals and objectives that are set by the
contractor safety program.
b. Written goals and objectives for the project are set by
the contractor safety program.
c. Audits to measure contractor safety performance are done
jointly with the contractor.
d. The results of the contractor safety program are reviewed
with the contractor on a regular basis.
e. The results of the contractor safety program are reviewed
with the contractor at least once during the project
duration.
f. Informal goals for the project are set for accomplishment
through the contractor safety program.
g. No safety goals and objectives are set for the project.
VII. SAFETY RELATED MEETINGS
a. The owner provides input to contractor supervisor

meetings and toolbox talks.
b. The owner participates in contractor supervisor meetings
and toolbox talks.
c. Copies of the minutes of contractor supervisor meetings
and toolbox talks are provided to the owner.
d. A schedule of contractor meetings with supervisors and
toolbox talks are provided to the owner.
e. No information of contractor meetings regarding safety
for employees and supervisors is required by the owner.
189
VIII. PRE-JOB PLANNING FOR SAFETY
a. Owner participates with the contractor in pre-project

planning as required by the contract documents.
b. A copy of the contractor pre-project planning for safety
is required by the contract documents.
c. A copy of the contractor pre-project planning regarding
safety is provided by the contractor.
d. Owner provides feedback to the contractor regarding the
pre-project planning for safety.
e. No pre-project planning is done regarding safety.
IX. SAFETY RULES
a. Written safety rules exist for contractor.

b. Safety rules are concise and easy to understand.
c. Safety rules are updated on a regular basis.
d. Contractor employees are known to be aware of the safety
rules.
e. Copies of the safety rules are given to the contractor.
f. Reports are obtained from the contractor on safety rule
violations.
g. General safety rules exist but are not updated.
h. Safety rules are enforced most of the time.
i. Safety rules do not exist.
190
X. NEW EMPLOYEE SAFETY ORIENTATION
a. A formal safety orientation program is in effect for all

new contractor employees.
b. The safety orientation for contractor employees includes
information on safety rules, major hazards of the job to
be performed and personal protective equipment to be
used.
c. A copy of safety rules and policies is made available to
owner and contractor employees.
d. Feedback and recommendations are given to the contractor
about their safety orientation meetings.
e. Job safety requirements are stressed.
f. Contractor employee safety orientation meetings are
attended.
g. A record is maintained showing dates and items covered
for each person.
h. A record is kept that shows the items covered.
i. Each employee signs the safety orientation record.
j. General records are kept on contractor employees' safety
orientation.
k. No information is obtained from the contractor regarding
their employee safety orientation.
l. No safety orientation is given to owner and contractor
employees.
XI. USE OF PERSONAL PROTECTIVE EQUIPMENT (PPE)
a. Use of the appropriate PPE by contractor employees is

enforced.
b. Use of the appropriate PPE by contractor employees is
required.
c. Training of contractor employees in the use of PPE is
required.
d. PPE requirements for all job site activities are known.
e. The use of PPE by contractor employees on the job site is
observed.
f. Knowledge of the contractor's requirements or use of PPE
does not exist.
191
XII. ACCIDENT INVESTIGATION
a. Reports of contractor accident investigations are

required for all accidents.
b. Reports of contractor accident investigations are
required for all major accidents.
c. Participation takes place with the contractor to develop
corrective action plans for accident prevention.
d. Infrequent inquiries are made regarding the contractor
accident investigations.
e. Contractor reporting of accident investigations is not
required.
XIII. SAFETY TRAINING
a. Contractor safety training meetings are attended by

owner's representatives.
b. Knowledge exists of the content of the contractor safety
training programs.
c. Feedback is provided to the contractor on the content of
the safety training programs.
d. Awareness exists of the contractor safety training
programs.
e. Knowledge of the contractor safety training programs does
not exist.
192
XIV. SAFETY PERFORMANCE AUDITS (VERIFICATION, DOUBLE-CHECK,
CONFIRMATION)
a. Audits are made a least semi-annually to determine the

contractor safety performance level.
b. Annual audits are made to determine the contractor safety
performance level.
c. Standards exist for measuring performance in all areas.
d. Standards exist for measuring performance for more than
half the areas.
e. A rating is given to each area audited.
f. The performance rating is part of the overall evaluation
of the contractor.
g. The results of the audit are discussed with the
contractor.
h. Feedback is provided to the contractor on the results of
the audits.
i. The evaluation of the contractor safety performance is
subjective.
j. Audits of contractor safety performance are not done.
XV. RECORD KEEPING
a. Copies of contractor records are kept for OSHA Log 200.

b. Copies of contractor records are kept for accident
investigations.
c. Copies of contractor records are kept for safety
inspections.
d. Copies of contractor records are kept for first aid
treatments.
e. Copies of contractor records are kept for safety
orientation.
f. Copies of contractor records are kept for hazard
communication program (HAZCOM).
g. Copies of contractor records are kept for employee
absences.
h. Records are not kept on safety related activities.
193
XVI. TESTING FOR SUBSTANCE AND ALCOHOL ABUSE
a. The contractor substance and alcohol abuse policy

conforms to owner requirements.
b. A written contractor substance and alcohol abuse policy
is a prequalification requirement.
c. A contractor substance and alcohol abuse policy is
required and enforced.
d. A copy of the contractor substance and alcohol abuse
policy is required.
e. A contractor substance and alcohol abuse policy is
required but not enforced.
f. A contractor substance and alcohol abuse policy is not
required.
XVII. SAFETY INSPECTIONS
a. Reports of the contractor job site safety inspections are

required on a weekly basis.
b. Reports of the contractor job site safety inspections are
required on a monthly basis.
c. Follow-up of the contractor job site safety inspections
is done to ensure that corrective action is taken.
d. Infrequent inquiries are made regarding the contractor
job site safety inspections.
e. Reporting of the contractor job site safety inspections
is not required.
In the space below, please provide any comments that you may have
about this survey form.
194
CONTRACTOR MANAGER / SUPERVISOR
EVALUATION OF SAFETY PROGRAM
To complete this survey form, follow the instructions noted

below:
1. Beneath each major heading first read all the choices

listed.
2. After reading the list of items, go back and circle all the
letters opposite the choices which best describe what is
happening on this project.
3. Then go to the next major heading and repeat the process
until you have completed the entire survey form.
I. MANAGEMENT COMMITMENT TO SAFETY
a. Management participates in the safety program.

b. Management wants and supports safety but does not
participate.
c. Management sets objectives for safety.
d. Management requires feedback on the safety program.
e. Necessary funds are budgeted and provided by the
management.
f. Safety is a part of the company-wide performance
appraisals.
g. Management leaves safety to the safety co-ordinator or
supervisory personnel.
h. Safety is not part of the budget.
i. Management has a hands-off approach towards safety.
j. Do not know if management is committed to safety.
195
II. SAFETY POLICIES AND PROCEDURES
a. Written safety policies and procedures exists.

b. Safety policies and procedures are signed by the Chief
Executive Officer.
c. Safety policies and procedures are known to all
employees.
d. Safety policies and procedures set safety program
objectives.
e. Safety policies and procedures authorizes loss
prevention activities.
f. Safety policies and procedures emphasizes a management
approach.
g. Safety policies and procedures exists but are not known
by employees.
h. Safety policies and procedures have not been explained
to employees but are posted.
i. No safety policies and procedures exists.
j. Information is unknown.
III. PROJECT SAFETY RESPONSIBILITIES
a. Responsibilities for safety are defined for all levels

of the company.
b. Responsibilities for safety are known by all personnel.
c. Responsibilities for safety are in writing and are part
of safety manual.
d. Supervisors have key safety responsibilities.
e. The safety co-ordinator has full responsibility for
results of the safety program.
f. Supervisors rely on the safety co-ordinator to perform
safety activities.
g. Responsibilities for safety are defined but are not in
writing.
h. Responsibilities for safety are not defined within the
company.
i. Information is unknown.
196
IV. AWARENESS OF EXPERIENCE MODIFICATION RATE (EMR)
a. Management is aware of the effect the EMR has on

insurance costs.
b. Company EMR has decreased each of the past 3 years and
the current year is below 0.85.
c. Company EMR has decreased each of the past 3 years and
the current year is between 1.0 and 0.85.
d. Company EMR has decreased 2 of the past 3 years.
e. Company EMR is unknown.
f. Company EMR has increased each of the past 3 years.
g. Information is unknown.
V. SAFETY BUDGET
a. An annual project safety budget is established.

b. The safety budget is based on planned programs.
c. An annual safety allocation is established but not
necessarily based on planned activities.
d. The budget items are adjusted based on previous year's
expenses.
e. Safety budget estimates are made on savings contributed
by safety program.
f. Money is taken from general funds as needed for safety.
g. Operating personnel are aware of safety budget.
h. No safety budget exists.
197
VI. SAFETY GOALS AND OBJECTIVES
a. Safety goals and objectives are set to be achieved

through the safety program (based on needs or
problems).
b. The safety goals and objectives are published.
c. A strategy is developed to accomplish the safety goals.
d. Feedback from those responsible for achieving results is
required.
e. Audits are made frequently to measure performance.
f. Both long term and short term safety goals are
considered.
g. Informal safety goals are established.
h. The results of safety goals and objectives are discussed
at least annually.
i. No safety goals and objectives are established.
VII. MANAGEMENT AND SUPERVISION MEETINGS ON SAFETY
a. Weekly meetings are held by management with supervisors

where safety is on the agenda.
b. Monthly meetings are held by management with supervisors
where safety is on the agenda.
c. Management gives an overview of safety activities.
d. Supervisors give a status report on job site safety
activities.
e. Information is given to supervisors on safety.
f. Serious accidents are reviewed by supervisors and
management.
g. Occasional meetings are held by management with
supervisors where safety is on the agenda.
h. No meetings are held by management with supervisors by
management where safety is on the agenda.
198
VIII. PRE-JOB PLANNING FOR SAFETY
a. Pre-job planning for safety is required for all jobs.

b. Job-site supervisors are trained in planning for safety.
c. A check-list is used as a guide by the supervisors to
ensure that all hazards are considered.
d. Necessary safety equipment is provided prior to the job
start-up.
e. Necessary safety precautions are taken prior to job
start-up.
f. Pre-job planning for safety is required for most jobs.
g. Safety equipment is provided when needed.
h. Safety precautions are used when needed.
i. Minimal pre-job planning for safety is done.
j. No pre-job planning for safety is done.
k. No check-list is used in pre-job planning.
l. Training in pre-job safety planning is not required.
m. Information is unknown.
IX. NEW EMPLOYEE SAFETY ORIENTATION
a. A formal safety orientation program is in effect for all

new or transferred employees.
b. A record is maintained showing the date, the person
getting orientation and the items covered.
c. The orientation includes information on safety rules,
major exposures of the job to be performed and personal
protective equipment to be used.
d. Management concern for safe job performance is stressed.
e. Each employee signs the record sheet.
f. The orientation is given to employees but no record is
maintained of the items covered.
g. No safety orientation is given to a new employee.
h. Information is unknown.
199
X. SAFETY RULES
a. Safety rules are published.

b. Safety rules are posted at work sites.
c. All employees are made aware of the safety rules.
d. The safety rules are concise and easy to understand.
e. Safety rules are enforced equally among all employees.
f. The safety rules are updated on a regular basis.
g. The safety rules are enforced most of the time.
h. The safety rules are enforced most of the time by
supervisors.
i. The safety rules have not been updated within past two
years.
j. Some general safety rules exist.
k. No safety rules exist.
l. Information is unknown.
XI. SAFETY TOOL BOX MEETINGS
a. Supervisor holds meetings weekly.

b. Supervisor holds meetings monthly.
c. Safety co-ordinator or management holds meetings less
than once a month.
d. Records are kept on attendance and the topics discussed.
e. All employees attend the meetings.
f. Management attends the meetings occasionally.
g. No meetings are held with employees.
h. Information is unknown.
200
XII. SAFETY INSPECTIONS
a. Weekly job site inspections are made by the site

supervisor.
b. Monthly job site inspections are made by a company
representative.
c. Critical items based for each job are identified and are
checked.
d. A report is submitted on the results of the inspection.
e. Items found are classified according to seriousness.
f. Target dates are set for corrective action with follow
up.
g. Supervisors are trained to make safety inspections.
h. Informal job site inspections are made occasionally by
the supervisor.
i. No safety inspection reports are submitted.
j. No inspections are made.
k. Information is unknown.
XIII. SAFETY TRAINING
a. Supervisors receive training in how to conduct safety

meetings.
b. Supervisors receive training in supervisory duties.
c. Supervisors receive training in accident investigation.
d. Supervisors and workers receive training in job analysis.
e. Supervisors receive training in job safety planning.
f. Supervisors receive training in `how-to-train'.
g. Supervisors and workers receive training in inspections.
h. Company has in-house facilities for training or has a
good out of house training source.
i. Some supervisors are sent to training courses outside
the company.
j. Workers are given training by the company or outside the
company.
k. The company has no training for supervisors.
l. No training for workers is provided.
201
XIV. ACCIDENT INVESTIGATION
a. All accidents including near misses, are investigated

by the immediate supervisor.
b. Reports are compiled on all accidents that exceed a
minimal cost.
c. Informal accident investigations are made with no written
report.
d. All supervisors are trained in the techniques of accident
investigation.
e. Some supervisors are trained in how to investigate
accidents.
f. The safety person makes most investigations.
g. Management reviews all serious accidents.
h. The basic causes of all accidents are determined.
i. Information learned from accident investigations is
shared with all other job sites.
j. Information learned from accident investigations is not
shared with other job sites.
k. A follow-up system is used to ensure that corrective
action is taken.
l. Accidents are not investigated to determine the causes.
XV. USE OF PERSONAL PROTECTIVE EQUIPMENT (PPE)
a. Analysis is done to determine PPE needs.

b. Employees are informed about PPE requirements for each
job.
c. PPE is provided for employees, except shoes.
d. Employees are trained in the use and maintenance of PPE.
e. Only certified PPE is used.
f. Employees are aware of disciplinary consequences for not
using PPE.
g. Annual reviews are made of the PPE program.
h. PPE is provided and its use is encouraged.
j. Some training is given in the use and maintenance of PPE.
k. Use of PPE is left to the discretion of each employee,
and as a result, is rarely used.
l. Information is unknown.
202
XVI. SAFETY PERFORMANCE AUDITS (VERIFICATION, DOUBLE-CHECK,
CONFIRMATION)
a. Audits are made at least semi-annually to determine if

the safety program is effective.
b. Annual audits are made to determine the level of safety
performance.
c. The results of the performance audit are discussed with
individual supervisors.
d. A subjective evaluation is made of safety activities to
judge if they are effective.
e. Standards exist for measuring performance in all areas.
f. Standards exist for measuring performance in more than
half of the areas.
g. The safety performance rating is a part of the overall
rating of supervisors.
h. No audit is made of safety performance.
XVII. TESTING FOR SUBSTANCE AND ALCOHOL ABUSE
a. The company policy contains strict rules, regarding

substance and alcohol use.
b. The company policy discusses substance and alcohol abuse.
c. Company does drug testing for pre-hire, post accident and
for noticeable causes.
d. Supervisors are trained in hazards of substance and
alcohol abuse on the job.
e. The company keeps complete counseling and testing
records.
f. The company has an Employee Assistance Program.
g. Company has a substance and alcohol abuse policy but
makes no effort to enforce it.
h. Company has no policy regarding substance and alcohol
abuse.
203
XVIII. RECORD KEEPING
a. Records are kept on safety inspections.

b. Records are kept on safety training.
c. Records are kept on safety orientation.
d. Records are kept on accident investigations.
e. Records are kept on first aid treatments.
f. Records are kept on hazard communication program
(HAZCOM).
g. Records are kept on employee absences.
h. OSHA log 200 is maintained according to OSHA
requirements.
i. No records are kept on safety related activities.
In the space below, please provide any comments that you may have
about this form.
204
APPENDIX C
AGENDA FOR ZERO ACCIDENT TASKFORCE

INTERVIEWER TRAINING SESSION
I. Welcome and Introduction - 8:00 AM - 8:15 AM
II. Purpose of Session - 8:15 AM - 8:30 AM
III. Overview and Purpose of Research Project - 8:30 AM - 9:30 AM

(including initial findings)
IV. Description of Research Methodology - 9:30 AM - 10:00 AM
V. Role of the Interviewer - 10:00 AM - 10:30 AM
VI. How to Conduct Interviews - 10:30 AM - 11:30 AM
VII. Lunch - 11:30 AM - 12:30 AM
VIII. Followup Activities After Interviews - 12:30 AM - 1:00 PM
IX. Interviewer Material Packet Discussion - 1:00 PM - 2:00 PM
X. Final Instructions and Questions - 2:00 PM - 3:00 PM
XI. Adjourn
205
APPENDIX D
INSTRUCTIONS TO CONDUCT INTERVIEWS
The following is an overview of the various steps to be followed in

conducting the interviews to gather the needed research data.
Various individuals at various levels within the general or prime

contractor's, CM's (if applicable), and owner's companies must be
interviewed in accordance with the attached reminder lists.
Planning the Interviews
There are various forms used in this research. Noted below is a listing of
them:
1. Construction Safety Questionnaire for Owner Members

2. Construction Safety Questionnaire for Contractor Members
3. Owner Manager Interview Questions
4. Contractor Manager Interview Questions
5. Contractor Supervisor Interview Questions
6. Contractor Worker Interview Questions
7. Owner Manager Time for Safety
8. Contractor Manager Time for Safety
9. Contractor Supervisor Time for Safety
10. Contractor Worker Time for Safety
11. Owner Manager Ranking of Safety Attributes
12. Contractor Manager Ranking of Safety Attributes
13. Contractor Supervisor Ranking of Safety Attributes
14. Contractor Worker Ranking of Safety Attributes
15. Owner Manager Evaluation of Contractor Safety Program
16. Contractor Manager/Supervisor Evaluation of Safety Program
17. Safety Attribute Checklist
Relative to the first two forms, give the appropriate one to the highest
level on-site manager of the owner's and highest level on-site manger of
the contractor's (General of CM) organizations to complete. Provide them
with a sufficient amount of time so as to be able to provide complete
answers. This usually will take about a week.
As for the other forms, you will need to duplicate the needed quantity of
each. The attached reminder lists will help you determine the exact number
of copies required for each form. Forms 3-16 will be used in the interview
process.
Wherever possible all the interviews should be conducted within a two to

three day period. Each interview will take about one hour.
The interview process will be both written and oral as noted herein. Have
all forms available along with a sufficient number of pencils. The
interview process should be conducted on the jobsite and in a place free
from interruptions and excessive noise. The
206
most effective place would be in a job trailer or building adjacent to the
construction operations.
The people to be interviewed, and number of individuals from each personnel

level, are noted on the attached reminder lists. When there is more than
one person from any level, the individuals should be randomly selected.
That is, don't use only workers who you feel are safety conscious or who
are all electricians. The people you select should be available when they
are needed. You may want to develop an interview schedule so that all
those people being interviewed will be aware of when they will be needed.
Don't try to overlap the interviews so that you have people waiting. It is
possible to overlap the written and oral components so that while you are
beginning a new interview, the previous interviewee is completing the
written survey forms.
Wherever possible, conduct all parts of the interview while the interviewee
is with you. On rare occasions, and only for the upper managers, you could
allow individuals to take the written portion of the interview documents
with them so they can complete them at a more convenient time.
You may also want to make available to the interviewees a brief description
of the research project (copies have been made available to each
interviewer).
Conducting the Interviews
Noted below are the steps you follow in conducting the interview:
1. Introduce yourself and tell the interviewee a little about the

research project and their role in it.
2. Inform the person the interview will take about one hour and
will consist of written and oral components.
3. Important: Tell the person it is important that they be as

candid as possible. Their responses will be kept strictly
confidential.
4. Begin with the oral part of the interview. Using the

appropriate form titled "Interview Questions" ask the
questions on the form and insert the interviewee's response.
On closed-ended questions, circle the appropriate response.
The choices will vary with the question and will include
"Yes", "No", DK (Don't Know), and NA (Not Applicable). On
open-ended questions, neatly, write their response in the
space provided. Be very careful not to overly abbreviate or
to change the wording of the person's response. For those
questions that ask "Who", use the title rather than the name
of the person. If you are unclear of the response, ask the
person to either state it again or help you better understand
it or clarify it. Do not make any marks in the margins or
anywhere
207
else on the forms. For open-ended questions that are not asked,
circle the word "none", otherwise the term "no response' will be
interpreted. Be sure all questions are answered and marked
accordingly.
5. After completing the "Interview Questions" form the next part

of the oral interview will be related to the time the person
spends on the various activities listed in the appropriate
form titled "Time for Safety". Follow the directions on the
form. Tell the interviewee to give you the best answer or
estimate he or she can. You may need to explain in more
specifics what the activities consist of if the person is or
seems to be confused.
6. The next part of the interview is written in that it consists

of the interviewer completing one or two survey forms. The
manager and supervisor levels in both the owner's and
contractor's organization will complete two forms and the
workers, one form. For the worker level interviewees, have
them complete the one page form "Ranking of Safety
Attributes". Go over the instructions with them to be sure
they understand them. For the supervisor and manager level
interviewees, have them first complete the one page form
"Ranking of Safety Attributes". Once they have completed
that, have them complete the appropriate form titled,
"Evaluation of Safety Program". Review the directions for
both forms with the interviewees to clear up any confusion.
NOTE: When the completed forms are returned to you,

immediately check to see that they were completed correctly.
If not, return the same form to the interviewee and instruct
them to do so. You will need to explain what they did wrong
and what they should have done.
Some of the interview forms ask for copies of policies,

programs, handbooks, etc. Please make every attempt to obtain
one copy and ship them with the completed forms.
Post Interview Activity
After you have completed all interviews and have all the completed forms
from both the oral and written components, complete the Safety Attributes
Checklist which is a summary of the various items identified through the
interview process. Use a "+" sign to indicate the attribute exits, a "-"
sign if it doesn't and a "NA" if the response is not applicable for the
project. One checklist should be completed for each project.
Once the checklist has been completed, package up all the forms and other
documentation. Use the "Closeout Checklist" form to be sure all items are
included in the shipment. Send the completed forms and other documentation
to the research center whose address is noted below. Also provide any
comments you have about
208
any of the forms or research method as a whole.
Questions and Shipping Information
If you have any questions, please call:
Roger Liska at 803-656-3917
Ship all completed forms to:
Roger Liska, Head

Department of Construction Science and Management
124 Lee Hall
Box 340507
Clemson, SC 29634-0507
Thank you and Good Luck.
209
CII - ZERO ACCIDENT TASKFORCE
RESEARCH INTERVIEWER REMINDER LIST FOR
GENERAL - SUBCONTRACTOR PROJECTS
For each project, follow the below noted protocol in who to interview in
the various organizations and which forms to use. For any one
organization, a specific level of employee may not exist. For instance,
there may not be a designated full time safety person on site. If this is
the case, interviews are not needed. Do not substitute other interviews
from those noted below.
OWNER ORGANIZATION - CONSTRUCTION-RELATED PERSONNEL ON SITE
Highest level manager overseeing construction - Use four "Owner

Manager-Related" titled forms.
Designated full time safety person - Use four "Owner Manager-
Related" titled forms.
Two lower-level managers - Use four "Owner Manager-Related" titled
forms.
GENERAL CONTRACTOR
Highest level manager on site - Use four "Contractor-Related

Manager" titled forms.
Designated full time safety person on site - Use four "Contractor
Two upper level supervisors on site - Use four "Contractor
Supervisor-Related" titled forms.
Two first line supervisors on site - Use four "Contractor
Five craftspersons on site - Use three "Contractor Worker-Related"
titled forms.
TWO SUBCONTRACTORS - FOR EACH SUBCONTRACTOR
Highest level manager on site - Use four "Contractor Manager-

Designated full time safety person on site - Use four "Contractor-
One upper level supervisor on site - Use four "Contractor
One first line supervisor on site - Use four "Contractor
Two craftspersons on site - Use three "Contractor Worker-Related"
titled forms.
210
CII - ZERO ACCIDENT TASKFORCE
RESEARCH INTERVIEWER REMINDER LIST FOR
CM - PRIME TYPE PROJECTS
For each project, follow the below noted protocol in who to interview in
the various organizations and which forms to use. For any one
organization, a specific level of employee may not exist. For instance,
there may not be a designated full time safety director in one of the
organizations. If this is the case, interviews are not needed. Do not
substitute other interviews from those noted below.
OWNER ORGANIZATION - CONSTRUCTION-RELATED PERSONNEL ON SITE
Highest level manager overseeing construction - Use four "Owner

Designated full time safety person - Use four "Owner-Related"
titled forms.
Two lower-level managers - Use four "Owner-Related" titled forms.
CONSTRUCTION MANAGER
Highest level manager on site - Use four "Contractor Manager-

One other upper level manager on site - Use four "Contractor
Two superintendents on site - Use four "Contractor Supervisor-
TWO PRIME CONTRACTORS - FOR EACH PRIME CONTRACTOR
Highest level manager on site - Use four "Contractor-Related

Two upper level supervisors on site - Use four "Contractor
Two first line supervisor on site - Use four "Contractor
Five craftspersons on site - Use three "Contractor Worker-Related"
titled forms.
211
Appendix E
212
213
214
215
216
217
218
219
220
221
222
223
224
225
226
227
228
229
230
Appendix F
231
232
APPENDIX G
CONSTRUCTION INDUSTRY INSTITUTE

ZERO ACCIDENT TASK FORCE
CLOSEOUT CHECKLIST
233
234
235
Appendix H
236
237
238
239
240
241
242
243
244
245
246
247
248
249
250
251
252
253
254
255
256
257
258
259
260
261
262
Appendix I
TYPICAL RESPONSES TO THE QUESTION:
"What are the three most effective safety techniques used on this
project?"
Safety techniques are listed alphabetically.
Accountability/Responsibility
- Responsibility and accountability for employees, supervisors,

the line organization and all people
- Incident reports
- Recording system
Attitude
- Safety attitude by craftworkers, management, people,

individuals
- Brother's keeper
- Commonsense
- Awareness for safety by supervisor, group
- Commitment and support by management, owner and employee
- Priority and emphasis
- Involvement by company, foremen and crafts
- Motivation
- Philosophy
- Concern by people in charge
- Watching out for others
- Individual pride in ownership
- Team moral
- Environment of safety
- Staying alert
- Think before you act
- Taking the time to be safe
- Not pushed for schedule
Communication
- Communications, including with training, through supervision,

between crews, as a network and through meetings
- Safety signs
- Bulletin boards
- Posters
- Bulletins, handouts and safety grams
- Newsletters and corporate periodicals
- Suggestion box
- Discussions
- Review and response to suggestions
263
- Asking for input and involvement from everyone
- Safety contest
- Constant reviewing
- High management visibility
- Programs for safety observations and awareness
- Foremen video of crews
- Safety recall interviews
- Constant outflow of safety information to field
- Right-to-know law
- General safety questions and answers
- Statistics to review trends
- Work by example
- Having a ground man to keep an eye on overhead work
Coordination
- Safety committee
- Safety team
- Teamwork
- Cooperation between employees of different contractors
- Buddy system
- Corrective actions
- Program visibility
- Supervision interfacing with Safety
- Involving all employees with safety
- Working at reasonable pace and control
- Confronting safety issues
- Never rushed to get a job done
Discipline
- Disciplinary actions
- Strict safety enforcement including:
safety glasses, fall protection, equipment for safety, crane
signaling techniques, standard practices, rules, procedure
for scaffold use, hard hat use, and lockout policy
- Reprimand procedure and system
- Termination or suspensions
- Strict adherence to site policies regarding safety
- Safety violation program
- Zero tolerance for defects
- Verbal safety warnings
- Written safety warnings
- Uniform enforcement without exception
- Safety supervisors's notices to subcontractors
- Safety citations
- No beards and long hair
264
Fall Protection
- 100% tie off

- 100% fall protection
- Tie off
- Fall protection
- Safety harnesses
- Full body harness used at all times six feet above the ground
- Safety belt use and policies
- Safety cables
- Safety nets
- Lifelines
- Fall protection policy
- Tie off policy, requirements and procedures
- Ladder tie off
- Securing and holding ladder
- Sturdy ladders
- Know what you are tied off to
Fire Protection
- Firewatch
- Fire blankets
- Fire extinguisher
- Fire prevention
- Fire planning activities
- Knowledge of fire equipment
Safety Goals
- Personal safety goals

- Setting safety goals
- Safety tours and goal setting
Housekeeping
- Housekeeping
- Clean jobsite
- Cleaning work area - before and after
- Company commitment to clean jobsite
- Cleanliness of jobsite mandatory
Hazard Protection
- Barricading
- Covered floor openings
- Flagging around holes and caution tape
- Handrails, toeboards and guard rails
265
- Rigging policies
- Adequate lighting on project
- Evacuation alarm
- Backup alarms on equipment
- Shoring of trenches
- Seat belt used required
- Hazard material and waste planning, awareness and equipment
- Monitors set up for area awareness
- Respirator use
- Breathing equipment
- Confined space requirements
- Gas testing and monitoring
- Testing for breathing apparatus done regularly
- Material Safety Data Sheets
- Rebar protection
- Ground fault protection
- Extension cords
- Scaffolds, including wetting before dismantling
- Dust suppression and containment
- Proper equipment storage
- Flagman on equipment
- Radiation work permit
Incentives
- Incentive and awards programs

- Reward
- Recognition
- Milestone program
- Incentives including:
monthly, money, safety,
- Safety awards
- Safety bucks
- Bonus bucks
- Coupon book
- Gifts
- Safety breakfast
- Lunches
- Safety crew of the month
Inspections/Audits
- Inspections including safety, regular, frequent, daily, site,

spot, jobsite, by safety representative, walk-arounds, walk
through of plant site,
- Audits including safety, weekly
- Inspections teams regularly review jobsite
- Walkthroughs
- Safety observation
- Site surveillance
266
- Walk through inspections with client which includes operations
- Walk through inspection with follow-up
- Daily observations (walk arounds by safety team)
- Daily monitoring of each building
- Safety inspections of cars, personal safety gear, tools and
equipment
Meetings
- Safety meetings including: with training

- Toolbox meetings including: daily
- Gangbox meetings
- Crew meetings
- Morning safety meetings
- Foremen safety meetings
- Supervisors safety meetings
- Safety proctor meetings
- Safety committee meetings
- Steward's safety meetings
- Weekly safety meetings including: with crew
- Monthly meetings
- Quarterly safety meetings
- Mass safety meetings before project begins
- Weekly subcontractor meetings where section of time is set
aside for safety
- Subcontractor coordination meetings
- Subcontractor/supervisor meetings
- Follow-up on tool box meetings
Orientation
- Orientation including: initial, by CM/Owner, pre-hire, of

construction manager
- New employee orientation
- Learning from orientation
- MSDS orientation
- Four part orientation
- Specific craft orientation given by superintendent, general
foreman and foreman
Other
- Client support
- Owner commitment to safety
- Owner safety involvement
- Cooperation of owner in meeting safety standards
- Making safety programs part of contract
- Safety program in contract
- First aid trailer on site to handle minor emergencies
- First aid program with EMT
267
- Onsite first aid
- Accident investigations
- Accident investigation allows for correction and prevention
- Investigation of all violation and/or injuries
- Carefully chosen crew mixes
- Empowerment
- Supervision
- Engineering
- Longevity of site - evergreen
- Front end loading
Pre-project/Pre-task Planning
- TSTI (Total Safety Task Instruction)

- STA (Safety Task Assignment)
- Planning ahead
- Pre-job review
- Pre-planning for safety
- Pre-planning special activities
- Activity planning
- Reviewing the job for safety hazards before starting work
- Availability of resources
- Lockout and tagout procedures
- Permits
- New work assignment permits
- Safe work permits before working in existing plant
- Open flame permits
- Project safety action plan
- Safety programs
- Initial safety program
- Comprehensive program addresses known potentials and concerns
- "On Target" program
- Policies and procedures on site
- Itemized safety procedures
- Strict rules
- Material handling and lifting
- Stretcher basket kept on scaffold
Personal Protective Equipment
- Personal protective equipment

- Safety equipment
- Proper safety equipment
- Safety glasses
- Eye protection
- Hard hats
- Head protection
- Life jackets
- Steel toe boots
- Face shield
268
- Ear plugs
- Safety gloves
- Double eye protection rule
- Personal protection policy
- Needed equipment is provided
- Safety equipment at all times
- Manlift instead of ladder
Safety Person/Personnel
- Full time safety person or people

- Safety person on site
- Safety person on site with authority to remove people from
site
- Safety manager on site full time, both shifts
- Requirement for safety professional
- Lots of safety supervisors
- So many safety people walking around
- Safety director
- Having an overbearing safety director
- Safety men pointing out how things could be done safely
- On site safety coordinator for all subs to used for their
needs
- New man from each area to act as safety man for the day
Substance and Alcohol Abuse
- Drug screening
- Drug testing
- Drug program
Training
- Training
- Education
- Training films
- Training videos
- Safety training
- Specific safety training
- Safety observation training
- Supervisor safety training
- Four part contractor training
- Winter safety training
- Hazards training
- Update training
- Hands-on training
- Jig lift training
- Lock out/ tag out training
- Confined work area training
269
Appendix J
270
271
272
Appendix K
273
274
275
276
277
278
279
280
281
282
283
284
285
286
287
Appendix L
288
289
290
Appendix M
291
292

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CONSTRUCTION

ZERO ACCIDENT TECHNIQUES

Under the Guidance of the

The University of Texas at Austin.

Printed in the United States of America.

Executive Summary ............................................... i

Chapter I Introduction ..................................... 1

Chapter II Research Methodology ............................. 6

Chapter III Review of Related Literature ..................... 22

Chapter IV Research Findings ................................ 45

Chapter V Conclusions and Recommendations .................. 85

Bibliography .................................................... 104

Appendix A ...................................................... 110

Owner Manager Time for Safety

Owner Manager Ranking of Safety Attributes

Owner Manager Evaluation of Contractor Safety

Appendix C ...................................................... 205

Appendix D ...................................................... 206

Appendix E ...................................................... 212

Appendix F ...................................................... 231

Appendix G ...................................................... 233

Appendix H ...................................................... 236

Appendix I ...................................................... 263

Appendix J ...................................................... 270

Appendix L ...................................................... 288

Appendix M ...................................................... 291

This source document describes the results of the research conducted

The research resulted in identifying eight safety-related techniques

Chapter I of this document provides reasons why the construction

Safety performance and its improvement on construction sites has

Chapter II describes the research methodology for this study. The

Once the base projects were identified, general information about

The next activity was to develop interview protocol and survey

To validate the findings from the base projects, it was decided to

As the results of the various project interviews were being received

Finally, the attribute checklist was revised to make it more useable

Chapter III presents a review of construction safety literature with

To better understand the effects a safety program has on improving

The balance of the chapter presents an in depth review of each of the

Chapter IV presents the findings from the research. Of the

The 25 projects had varying levels of safety performance as measured

The first research objective as mentioned in the beginning of the

To develop the first prioritized list based on the 170 safety

Zero zero lost workday incidence rate

Rated lost workday incidence rate greater than zero

Mark lost workday incidence rate greater than one

Exemplary Zero and Rated project incidence rates combined

Of the 25 projects, 8 were classified as zero, 9 as rated, and 8 as mark.

The next task was to calculate the level of existence of each

Each technique and sub-technique corresponds to one or more of the

Once the percentages were compiled by project, the next task

The second prioritized list to be developed was based on the responses

The next step was to develop a prioritized list of the techniques by

From the list of time differences a prioritized list of safety

Relative to the second research objective stated at the beginning of

Chapter V presents the conclusions and recommendations from the

Using the previously stated rational, an initial list was developed.

Upon closer examination of the list of eight techniques, it was found

The recommendations begin by identifying three prerequisites to the

The construction industry in the United States accounts for

Studies indicate that between 1980 and 1987, workers' compensation

By 1989, the industrial, utility, and commercial segment of the

Safety performance and its improvement on construction sites has