Use of Safety Management Systems in Managing Highway Maintenance Worker Safety (2022)

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58 A P P E N D I X A Survey Questionnaire

Survey Questionnaire 59   Email to Potential Participants From: Gabriel B. Dadi, Ph.D., PE To: Members of AASHTO Standing Committee on Maintenance Members and North American Association of Transportation Safety & Health Officials (NAATSHO) Subject: NCHRP Project 20-05/Synthesis Topic 52-09: “Use of Safety Management Systems in Managing Highway Maintenance Worker Safety” Dear AASHTO Committee on Maintenance (COM) or NAATSHO Member, The Transportation Research Board (TRB), through the National Cooperative Highway Research Program (NCHRP), under the sponsorship of the American Association of State Highway and Transportation Officials (AASHTO), and in cooperation with the Federal Highway Administration (FHWA) is preparing a synthesis report on Use of Safety Management Systems (SMS) in Managing Highway Maintenance Worker Safety. The purpose of this questionnaire is to identify DOT use, evaluation, and perceptions of SMSs in managing employee safety. Even if your DOT does not currently or has never used a SMS, this survey wants to gather your experience. The results of the survey will be incorporated into a synthesis of highway practice, with the intent of helping DOTs evaluate and improve their safety management practices. This survey is being sent to each DOT for distribution to applicable employees. If you are not the appropriate person at your agency to complete this questionnaire, please forward this request to the correct person. The questionnaire is attached as a PDF to help in that determination, but please use the survey link to complete the questionnaire. Please complete and submit the survey at the following link by Friday, February 19th. We estimate that it should take no more than 20 minutes to complete. https://survey.alchemer.com/s3/6115812/NCHRP-Synthesis-52-09-Use-of-Safety-Management-Systems- in-Managing-Highway-Maintenance-Worker-Safety If you have any questions or problems with operation or access to the questionnaire, please contact me, the project principal investigator, Dr. Gabe Dadi. Thank you for your time and expertise in completing this questionnaire! Best, Gabriel B. Dadi, Ph.D., PE W.L. Raymond and R.E. Shaver Chair Associate Professor Department of Civil Engineering University of Kentucky

60 Use of Safety Management Systems in Managing Highway Maintenance Worker Safety SMS Survey Questionnaire NCHRP Synthesis 52-09: “Use of Safety Management Systems in Managing Highway Maintenance Worker Safety” Dear Department of Transportation Representative, The Transportation Research Board (TRB), through the National Cooperative Highway Research Program (NCHRP), under the sponsorship of the American Association of State Highway and Transportation Officials (AASHTO), and in cooperation with the Federal Highway Administration (FHWA) is preparing a synthesis report on Use of Safety Management Systems (SMS) in Managing Highway Maintenance Worker Safety. The purpose of this questionnaire is to identify state DOT use, evaluation, and perceptions of SMSs in managing employee safety. The results of the survey will be incorporated into a synthesis of highway practice, with the intent of helping DOTs evaluate and improve their safety management practices. This survey is being sent to each DOT for distribution to applicable employees. If you are not the appropriate person at your agency to complete this questionnaire, please forward this request to the correct person. Please complete and submit this survey by Friday, February 19th. We estimate that it should take no more than 20 minutes to complete. If you have any questions or problems with operation or access to the questionnaire, please contact me, the project principal investigator, Dr. Gabe Dadi, at gabe.dadi@uky.edu. Thank you for your time and expertise in completing this questionnaire! NCHRP Synthesis 52-09 Demographic Information Does your DOT currently use, or has it previously used, a safety management system (SMS) to record, manage, and analyze safety-related data with your maintenance employees? If one of the following answers is no, jump to Q24.

Survey Questionnaire 61   (1) Please enter the following information: Name: Title: Email: Phone Number: (2) What department of transportation (DOT) do you work for? Alabama Alaska Arizona Arkansas California Colorado Connecticut Delaware Florida Georgia Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky

62 Use of Safety Management Systems in Managing Highway Maintenance Worker Safety Louisiana Maine Maryland Massachusetts Michigan Minnesota Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York North Carolina North Dakota Ohio Oklahoma Oregon Pennsylvania Puerto Rico Rhode Island South Carolina

Survey Questionnaire 63   South Dakota Tennessee Texas Utah Vermont Virginia Washington West Virginia Wisconsin Wyoming (3) What division do you work for within your agency? Human Resources Employee Safety Management/Finance Maintenance Other - Write In: (4) What is an approximate number of the maintenance employees in your DOT? Less than 1,000 1,000-4,999 5,000-9,999 More than 10,000

64 Use of Safety Management Systems in Managing Highway Maintenance Worker Safety (5) For the purpose of this survey, safety management systems (SMSs) allow a DOT to electronically report, manage, control, and audit issues related to employee safety. SMSs allow safety and health divisions in DOTs to become more agile, effective, and knowledgeable about the safety of employees. SMSs could be a commercial product, an in- house developed system, or even an Excel spreadsheet. Does your DOT currently use, or has it previously used, a safety management system (SMS) to record, manage, and analyze safety-related data with your maintenance employees? Yes No Safety Management System (SMS) Questions (6) Approximately how many years has your DOT been using an SMS? Less than a year 1-3 years > 3-5 years > 5-10 years > 10 years (7) How was your SMS developed? In-house Commercial product customized for your DOT Commercial product purchased off the shelf (i.e. as-is EHS software) Other - Write In:

Survey Questionnaire 65   The contents of the SMS Executive management support for safety and the SMS Goals for the SMS Roles and responsibilities for data entry Roles and responsibilities for data management Roles and responsibilities for corrective actions To my knowledge, no policy manual documents SMSs Other - Write In: (9) Which of the following components, elements, or characteristics of an SMS are in your system? Select all that apply. Management Leadership Worksite Analysis Hazard Identification Hazard Prevention and Control Safety and Health Training and Competence Employee Engagement Evaluation and Continuous Improvement Reporting, Documentation, and Archiving Other - Write In: (10) What operational characteristics are in your SMS? Select all that apply. Uses Excel spreadsheets Integrates data management systems (8) What is included in the written language of your DOT’s policy manual(s) regarding SMSs? Please check all that apply.

66 Use of Safety Management Systems in Managing Highway Maintenance Worker Safety Single point of access (i.e. one log-in portal) Other - Write In: (11) What information can be recorded, tracked, or available within your SMS? Select all that apply. Incident Occurrence Incident Investigations Behavior Observations Near Misses Toolbox Talks/Pre-Job Briefings Training Records Training Guides Policy Manuals Other - Write In: (12) How is data entered into the SMS? Select all that apply. Through a mobile app Through a web-based portal Through a Microsoft Excel spreadsheet or similar software Data collected on paper and then manually entered into electronic system Data collected on paper and then scanned to a PDF Data collected on paper and archived Other - Write In: An enterprise-wide system

Survey Questionnaire 67   Maintenance Worker Maintenance Superintendent/Supervisor or equivalent Safety Coordinator/Safety Manager or equivalent Safety Executive or equivalent Maintenance Engineer/Manager or equivalent Other - Write In: (14) How does your DOT retain the safety data? Select all that apply. Kept within the SMS infrastructure Exported to CSV, PDF, or other electronic records Printed for hard-copy records Other - Write In: (15) What types of safety-related reports are generated? Select all that apply. OSHA 300 logs ISO 45001 certifications Training records Behavior observation reports Incident investigation reports Workers’ compensation reports Other - Write In: (13) Who is responsible for the data entered into the SMS? Select all that apply.

68 Use of Safety Management Systems in Managing Highway Maintenance Worker Safety Once per day A few times per week Once per week Once per month After an incident occurs Other - Write In: (17) How often is the SMS accessed by those responsible to manage safety with its information? Multiple times per day Once per day A few times per week Once per week Once per month After an incident occurs Other - Write In: (18) How is the maintenance worker safety information used for improvement? Select all that apply. Information posted for employees to see and self-address Information provided to Safety Coordinator/Safety Manager Information provided to Safety Coordinator/Safety Manager with responsibility for corrective actions Information provided to Maintenance Engineer/Manager Information provided to Maintenance Engineer/Manager with responsibility for corrective actions (16) How often is the SMS accessed by those responsible for data entry? Multiple times per day

Survey Questionnaire 69   Information is collected as a requirement. The information is not used for any action. Other - Write In: (19) What benefit(s) has your agency realized through your use of an SMS? Select all that apply. Improved health and safety performance according to lagging indicators (e.g. TRIR, DART, etc.) Improved health and safety performance according to leading indicators (e.g. participation in safety committees, etc.) Reduced costs associated with accidents and incidents Improved worker relations and morale Improved business efficiencies relating health and safety Lower insurance premiums Improved regulatory compliance documentation Improved organizational and social responsibility Other - Write In: (20) What barriers has your agency encountered in your use of an SMS? Select all that apply. Cost for system development Cost for system maintenance Time for data entry Time to access, interpret, and make decisions from results Accuracy of results Building internal support Integrating into operational procedures Other - Write In:

70 Use of Safety Management Systems in Managing Highway Maintenance Worker Safety (21) Considering the costs and benefits of the SMS, what level of future use is planned in your agency? Will expand use of the SMS Will continue current use of the SMS Will not renew or continue current use of the SMS Previously used SMS but stopped due to lack of value Previously used SMS but stopped due to lack of funds (22) Who is responsible for following up on safety actions from the SMS information? Maintenance workers themselves Maintenance Superintendent/Supervisor or equivalent Safety Coordinator/Safety Manager or equivalent Safety Executive or equivalent Maintenance Engineer/Manager or equivalent There is no formal assigned responsibility based on job description Other - Write In: (23) What division, branch, or equivalent is responsible for monitoring and managing the safety of maintenance workers in your DOT? Human Resources or equivalent Employee Safety and Health or equivalent Management/Finance or equivalent Maintenance/Operations or equivalent Other - Write In:

Survey Questionnaire 71   Non-SMS Safety Management Questions (24) What is included in the written language of your DOT’s policy manual(s) regarding collecting maintenance worker safety information? Please check all that apply. The information to be collected Executive management support for safety Goals for the safety program Roles and responsibilities for data collection Roles and responsibilities for data management Roles and responsibilities for corrective actions To my knowledge, no policy manual documents procedures around collecting maintenance worker safety information Other - Write In: (25) Which of the following safety elements does your DOT evaluate in regards to its maintenance crews? Select all that apply. Management Leadership Worksite Analysis Hazard Identification Hazard Prevention and Control Safety and Health Training and Competence Employee Engagement Evaluation and Continuous Improvement Reporting, Documentation, and Archiving Other - Write In:

72 Use of Safety Management Systems in Managing Highway Maintenance Worker Safety (26) What maintenance worker safety information do you collect data on? Select all that apply. Incident Occurrence Incident Investigations Behavior Observations Near Misses Toolbox Talks/Pre-Job Briefings Training Records Other - Write In: (27) How do you capture maintenance worker safety information? Select all that apply. Through a mobile app Through a web-based portal Through a Microsoft Excel spreadsheet or similar software Data collected on paper and then manually entered into electronic system Data collected on paper and then scanned to a PDF Data collected on paper and archived Other - Write In: (28) Who is responsible for collecting maintenance worker safety information? Select all that apply. Maintenance worker Maintenance Superintendent/Supervisor or equivalent Safety Coordinator/Safety Manager or equivalent

Survey Questionnaire 73   Safety Executive or equivalent Maintenance Engineer/Manager or equivalent Other - Write In: (29) How does your DOT retain the data? Select all that apply. Saved as a CSV, PDF, or other electronic records Printed for hard-copy records Other - Write In: (30) What types of safety-related reports are generated? Select all that apply. OSHA 300 logs ISO 45001 certifications Training records Behavior observation reports Incident investigation reports Workers’ compensation reports Other - Write In: (31) How often is maintenance worker safety information data collected? Multiple times per day Once per day A few times per week Once per week

74 Use of Safety Management Systems in Managing Highway Maintenance Worker Safety Once per month After an incident occurs Other - Write In: (32) How often is maintenance worker safety information accessed by those responsible to manage safety? Multiple times per day Once per day A few times per week Once per week Once per month After an incident occurs Other - Write In: (33) How is the maintenance worker safety information used for improvement? Select all that apply. Information posted for employees to see and self-address Information provided to Safety Coordinator/Safety Manager Information provided to Safety Coordinator/Safety Manager with responsibility for corrective actions Information provided to Maintenance Engineer/Manager Information provided to Maintenance Engineer/Manager with responsibility for corrective actions Information is collected as a requirement. The information is not used for any action. Other - Write In:

Survey Questionnaire 75   (34) What benefit(s) has your agency realized through collecting maintenance worker safety information? Select all that apply. Improved health and safety performance according to lagging indicators (e.g. TRIR, DART, etc.) Improved health and safety performance according to leading indicators (e.g. participation in safety committees, etc.) Reduced costs associated with accidents and incidents Improved worker relations and morale Improved business efficiencies relating health and safety Lower insurance premiums Improved regulatory compliance documentation Improved organizational and social responsibility Other - Write In: (35) What barriers has your agency encountered in collecting maintenance worker safety information? Select all that apply. Cost for system development Cost for system maintenance Time for data entry Time to access, interpret, and make decisions from results Accuracy of results Building internal support Integrating into operational procedures Other - Write In:

76 Use of Safety Management Systems in Managing Highway Maintenance Worker Safety Will expand procedures Will continue current procedures Will reduce/limit current procedures due to lack of value Will reduce/limit current procedures due to lack of funding (37) Who is responsible for following up on safety actions from the maintenance worker safety information? Maintenance workers themselves Maintenance Superintendent/Supervisor or equivalent Safety Coordinator/Safety Manager or equivalent Safety Executive or equivalent Maintenance Engineer/Manager or equivalent There is no formal assigned responsibility based on job description Other - Write In: (38) What division, branch, or equivalent is responsible for monitoring and managing the safety of maintenance workers in your DOT? Human Resources or equivalent Employee Safety and Health or equivalent Management/Finance or equivalent Maintenance/Operations or equivalent Other - Write In: (36) Considering costs and benefits, what level of future use is planned with your current procedures in regards to collecting maintenance worker safety information in your agency?

Survey Questionnaire 77   correspondence to determine stakeholders who should participate in the case study, a phone interview approximately one hour in length, with minor follow-up to finalize case details, and a review of the case study prior to submission. Yes No Thank you for taking our survey. Your response is very important to us. (39) Would you be willing to participate in a follow-up phone interview for the development of a case study? The case study interviews would include preliminary