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Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews (2023)

Chapter: Appendix D - DOT Safety Incentive/Disincentive Policies

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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
×
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
×
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
×
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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Suggested Citation:"Appendix D - DOT Safety Incentive/Disincentive Policies." National Research Council. 2023. Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. Washington, DC: The National Academies Press. doi: 10.17226/27176.
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169   A P P E N D I X D DOT Safety Incentive/Disincentive Policies Employee Safety Recognition Program ITD Strategic Goal: Make ITD Safer In support of this strategic goal, ITD wishes to encourage employee safety by recognizing and rewarding repeatable safe behaviors that set an example for others. This program will further promote a safety culture and recognize both long-term safe habits as well as recognize instances of safe behavior. 5-Year Milestone Medallions Award Criteria • An employee must receive higher than “Achieves” on their annual performance evaluation safety goal for five consecutive years. • Cannot have had a Safety incident resulting in written warning or greater • Subsequent medallions will be awarded for every 5 cumulative years or greater than “Achieves” on the performance evaluation safety goal. • If the employee does not receive higher than “Achieves” on the performance evaluation safety goal they will lose one year of safety milestone medallion eligibility. For example, they would receive their five-year award in their sixth year. Distribution and Management • The Employee Safety and Risk Management office will determine eligibility for milestone medallions and provide rosters to the appropriate Division/Districts. • The Employee Safety and Risk Management Office will order medallions through the Headquarters purchasing office. • The Employee Safety and Risk Management office will disperse the medallions to the Safety Compliance Officers for their District’s personnel. • District Safety Officers will coordinate with the District Engineer to determine the appropriate time/location for awarding medallions. • The Employee Safety and Risk Manager will coordinate HQ Executive Staff to determine the appropriate time/location for awarding medallions for HQ personnel. • Safety milestone medallions awards should be presented in a group setting.

170 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Distribution and Management • Coins have various designs which represent Divisions of Administration, Highways, Aeronautics, and Motor Vehicles. • Bronze Coin (more numerous): to be awarded by Maintenance Supervisors, Unit Supervisors, Operations/Resident Engineers and Safety Officers for more frequent on-the-spot examples of safe behaviors. • Silver Coin: to be awarded by Division Administrators, District Engineers and the Employee Safety and Risk Manager for more significant safe behaviors. • Gold Coin (least numerous): to be awarded only by ITD Executives. Any Executive may award gold coins for instances of exemplary safe behavior. This may result in presenting multiple coins if a group or team is to be recognized. How employees will be recognized? • The challenge coins are meant to generate conversations among employees about safe practices. Stories from recipients will also be shared with other employees via Transporter articles and Safety Shares at other meetings. District Safety Officers can help gather details on these instances or events. The Office of Communication staff will assist in promoting these achievements. Supervisors are encouraged to share the “why” with recipients and their groups. The recipient’s name and details of the awards should be forwarded to the district Safety Officers and Office of Communication staff for inclusion in Directors Communications and Transporter Articles. Acquisition of Medallions and Coins • Headquarters purchasing will procure all medallions and coins. • The Employee Safety and Risk Manager will control the inventory and manage the award program. • Cost of this program is considered to be de Minimis by the Department. Each coin costs between $6 and $7. Medallions cost $9. Neither the medallions nor the coins hold any intrinsic or street value. • ITD anticipates needing between 30 to 50 coins and 100 to 120 medallions per year. • Estimated annual cost of this program not to exceed $1500. See attached examples of coins and medallions Challenge Coins (one time recognition): Award Criteria • Any employee may receive a coin for exhibiting safe behavior. • Any employee or group of employees may be recognized for performing a hazardous activity in a safe manner.

DOT Safety Incentive/Disincentive Policies 171   *The term Districts includes the six MDOT Districts plus the Jackson Complex (field crews, specialty crews, shop and lab groups). SAFETY EXCELLENCE PROGRAM The MDOT Workplace Safety Program expects employees to take responsibility for their safety and that of others by using safe practices to eliminate and manage hazardous conditions in order to prevent accidents, injuries and illnesses within the workplace. Through recognition of employees who exceed expectations embracing safety within the workplace, we hope to honor their efforts while encouraging others through example. Purpose The purpose of the Safety Excellence Program is to recognize exemplary contributions that employees make in fostering a culture of health and safety in the workplace. Safety is a commitment and requires effort. Our goal is to distinguish those individuals who collectively put forth extraordinary effort in achieving and maintaining a safe workplace. Grouped Categories of Employees and Nominations The Safety Excellence Program recognizes groups of employees primarily working in the field that collectively make a commitment to value their safety and the safety of their coworkers within their District* by exhibiting safe behaviors and possessing a safety attitude and disposition. Groups of employees fall into one of three categories. From each category, nominations may be made by the selection committee annually. A nomination is not required from each category. Nominated groups receive a Certificate of Safety Excellence and are considered for the District* Safety Excellence Award. Category 1 – County Maintenance consists of Maintenance county crews working within each of the District* Maintenance Areas. One county crew from each Maintenance Area may be nominated for the District* Safety Excellence Award. For example, District 1 has four Maintenance Areas; a nominee from each Maintenance Area may be considered for the District 1 Safety Excellence Award. Category 2 – Construction consists of project offices and labs within a District*. Up to one of these will be nominated by the selection committee for the District* Safety Excellence Award. For example, of the five project offices and one lab in District 1, one of these groups may receive the Category 2 nomination for the District 1 Safety Excellence Award. Category 3 – Specialty Maintenance consists of specialty crews or shops within the District*. Up to one of these groups may be nominated by the selection committee for the District* Safety Excellence Award. For example, of the specialty crews and shops in District 1, only one of these groups may receive the Category 3 nomination for the District 1 Safety Excellence Award. Once nominations from the three categories have been deliberated, the selection committee selects from the nominations an overall recipient for the District*Safety Excellence Award. The recipient of the District*Safety Excellence Award receives a plaque; all nominees receive a certificate. The Safety Excellence Awards are given annually. The Construction Safety Excellence Certificate recipients are recognized at the annual Construction Conference. Maintenance Safety Excellence Certificate recipients are recognized at the annual Maintenance Meeting. The District*Safety Excellence Award will be awarded at the appropriate annual meeting or conference, depending on the program from which the overall winner represents. For example, if the category 3 nominee in District 1 is the overall District*Safety Excellence Award recipient, they will be awarded at the annual Maintenance Meeting. Eligibility

172 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews *The term Districts includes the six MDOT Districts plus the Jackson Complex (field crews, specialty crews, shop and lab groups). Full-time permanent employees in the Maintenance and Construction Programs are eligible. Award Criteria All criteria must be met in order to be eligible for a nomination and award. Note: Criteria 1, 2 & 5 are subjective; criteria 3 & 4 are objective. The criteria are 1. Demonstrates a commitment to health and safety in the workplace. Commitment goes beyond the requirements of the employees’ job duties and is proactive and preventive. 2. Continuously improves health and safety in the workplace. For example, activities and actions are implemented to prevent injuries and illnesses, unsafe conditions or practices. Results are realized. 3. Knows and carefully follows agency policies, procedures and standards in all aspects regarding safety, including but not limited to a. Conducting morning safety huddles; conducting & documenting weekly safety meetings. b. Promptly reporting incidents, accidents and injuries (including completing B3 form accurately and completely) and promptly initiating corrective action(s) and follow-up. c. Promptly reporting attendance and completion of all safety training. d. Having the lowest number of preventable accidents and injuries; reporting and discussing near misses. e. Using and replacing all Personal Protective Equipment (PPE) when required. f. Promoting a work and service environment that is respectful and friendly and supports and promotes a commitment to safety. g. Completing before, during and after operations maintenance checks on equipment and reporting problems to the appropriate person in a timely manner. h. Submitting ways to address issues or ideas for improving safety in the workplace that will have a positive impact on the safety program. i. If implemented, scoring at least a 125 on the Facilities Safety Assessment. 4. Begins to correct observed safety deficiencies within 48 hours of observation. How long it takes to act on observed safety deficiencies is critical to the safety of employees. Most corrections will be achievable very quickly. Taking more than 48 hours to correct most deficiencies is a sign of weakness at managing risk. 5. Exhibits LEADERSHIP (Loyalty, Effort, Adherence, Dedication, Every day, Respect, Selfless Service, Honor, Integrity and Personal Courage). Safety Excellence Selection Committee The selection committee for nominations and awards consists of • Personnel Office Representative • Construction Program Representative • Maintenance Program Representative • Out-of-District Representative • District Equipment Manager • District Safety Officer • District Engineer or a Representative of the District Engineer The following score sheet should be used to determine nominations and overall award recipient. The maximum number of points a group can earn is 50. A group must score a minimum of 35 points to receive a nomination. The selection committee is not required to nominate in any of the three categories if the committee determines no group within a category exemplified safety excellence.

DOT Safety Incentive/Disincentive Policies 173   *The term Districts includes the six MDOT Districts plus the Jackson Complex (field crews, specialty crews, shop and lab groups). Documentation for Adjudication Documentation needed for the District* selection committee to fairly adjudicate groups of employees and make informed nominations and select the overall award recipient include, but is not limited to • Safety Meeting documentation for current period • B3 forms for the current period • Safety Training Attendance Sign-In Sheets • HR representation will present number of internal concerns and external complaints filed against the group in the past 12 months; no details about the reporting individual(s) are to be shared • Equipment Manager can provide information on vehicle and equipment inspection and reporting information • Facility Safety Assessments (if participate) • Any other documentation or anecdotal information that exhibits a commitment to safety

174 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews *The term Districts includes the six MDOT Districts plus the Jackson Complex (field crews, specialty crews, shop and lab groups). Criteria Description and Scoring Pts 1. Demonstrates a commitment to health and safety in the workplace Commitment goes beyond requirements of job duties; it’s proactive/preventive. (0-4 pts) 2. Continuously improves health and safety in the workplace Executes actions to prevent injury, illness, and unsafe conditions/practices. Results observed. (0-4 pts) 3. Knows and carefully follows agency policies, procedures and standards in all aspects regarding safety, including, but not limited to a. Conducting and documenting weekly safety meetings Documentation verified for l 12 months Conducted 52 wks = 3 pts; 48-51 wks = 2 pts; 45-47 wks = 1 pt; <45 wks = 0 pts b1. Prompt reporting of incidents and injuries Reported/verified by documentation, e.g., B3 form within 1 hr of incident = 3 points; zero points > 1 hr b2. Prompt initiation and follow-up of corrective action Review of Incident Investigation and B3 forms, etc. w/in 3 days=3 pts; w/in 1 week=2 pts; >1 week=0 pts b3. Completing B3 form accurately and completely Reports reviewed (e.g., random sample of 25%) 100% complete & accurate = 3 pts; <100% = 0 pts c. Prompt reporting of attendance and completion of all safety training Reported (and verified by documentation) within 2 days of training = 3 pts; w/in 1 wk of training = 1 pt; > 1 wk = 0 pts d1. Having lowest # of accidents & injuries based on # of employees within group # of B3 records and SO documentation: lowest = 3 pts; 2nd lowest = 2 pts; 3rd lowest = 1 pt; all others = 0 pts d2. Recognizing and discussing near misses regular dialog of near misses=3 pts; occasional =1 pt e. Using and replacing all Personal Protective Equipment (PPE) when required # injuries in past 12 months due to not using PPE 0 injuries = 3 points; 1 inj = 2 pts; 2 inj = 1 pt f. Promoting a work and service environment that is respectful and friendly and supports and promotes a commitment to safety # of internal concerns and external complaints filed against the group in the past 12 months 0 = 3 points; 1 = 2 points; 2 = 1 point; >2 = 0 pts g. Completing before/during/after operations maintenance checks on equipment and reporting problems to the appropriate person # of equipment breakdowns over the past 12 months due to operator error/oversight 0 breakdowns = 3 points; 1 = 2 pts; 2 = 1 pt h. Submitting ways to address issues or ideas for improving safety in the workplace that will have a positive impact on the safety program # of ideas/actions/projects initiated over past 12 months with a positive impact on safety 3 = 3 points; 2 = 2 pts; 1 = 1 pt i. If implemented, scoring at least a 125 on the Facilities Safety Assessment Top 3 locations recognized will score of ≥ 125 125-149 = 1 pt; 150-169 = 2 pts; 170-189 = 3 pts 4. Recognizes deficiencies and acts to correct these deficiencies quickly. Recognize deficiencies & corrects w/in 48 hrs = 3 pts; 49-96 hrs = 2 pts; 97 hrs-1 wk = 1 pt; > 1 week = 0 pts 5. Supervisor & Team Lead exhibits LEADERSHIP qualities among all members Loyalty, Effort, Adherence, Dedication, Every day, Respect, Selfless Service, Honor, Integrity, Personal Courage (0-3 pts) Total Points

DOT Safety Incentive/Disincentive Policies 175   MnDOT Safety Recognition Program Safety Recognition The Safety Recognition Program was established to recognize employees and work groups who have demonstrated Excellence in Workplace Safety. The program is available to recognize individuals and work teams that have achieved a high level of safety performance by incorporating safety into their daily operations. Any current MnDOT employee can nominate another employee or work team for Safety Recognition. Nominations may be made at any time of the year. To nominate an employee or work team 1. Review the categories below to determine the category of the recognition. 2. Complete the nomination form (PDF). 3. Submit the completed form to your District Engineer/Office Director for signature. 4. Send the signed form using one of the methods described below. a. Email (recommended) – Scan the completed/signed nomination form and attach it to an email b. Interoffice mail – Using interoffice mail, send the completed/signed nomination form to Terri Nygaard, Central Office, MS 110 Next Steps A Safety Recognition letter will be prepared for the Commissioner’s signature. Once signed, the letter will be sent to the person the nominator specified on the nomination form so the letter can be presented with the nominee-selected item. A copy of the Safety Recognition presentation letter and Nomination Form will be sent to the appropriate HR Unit for filing and entered in the SEMA4 honors and awards pane. Categories 1. Excellence in Safety Performance (Individual or Team) a. For consistently incorporating safety into all work activities, ensuring employee safety is the primary concern. b. For consistently seeking out and addressing unsafe conditions and hazards in order to avoid future incidents. c. Demonstrating extraordinary leadership in promoting workplace safety and strict adherence to MnDOT safety standards. 2. Proactive Safety – Creates a Positive Safety Culture a. Reports near-miss incidents, along with suggested corrective actions to prevent future near misses.

176 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews b. Ensures employees are trained and kept up to date on the latest safety policies and procedures. c. Promotes safe work behavior among peers, creating a safe work culture. d. Ensures that employees are provided with the tools and resources to work safely. 3. Safety Innovation a. For developing a District/Office or Statewide safety innovation. b. Continuously looks for ways to improve workplace safety by developing innovative ideas or methods that improve workplace safety. 10/28/20

DOT Safety Incentive/Disincentive Policies 177   Chapter L Recognition, Rules, and Enforcement PUB 445M (8-21) Manual for Employee Safety & Health 67 Chapter L – Recogni on, Rules, and Enforcement This chapter describes how PennDOT reinforces its commitment to providing a safe work environment, through established wri en safety rules and enforcement procedures, and employee recogni on. 1. Compliance with Safety Policies This sec on addresses awareness and compliance with safety policies. A. PennDOT working rules have been in place since 1980 and provide appropriate consequences for non compliance with safety rules. (1) Members of management are expected to comply with and enforce these rules. (2) All supervisors and employees are expected to comply with these policies. B. PennDOT’s injury and collision reports indicate that compliance with safety rules can prevent or reduce the severity of injuries and fleet accidents. Here are some examples: (1) Seat belts must always be worn when a vehicle is being operated and while occupying a sta onary vehicle within a work zone. Between 1970 and 2020, thirty two employees were killed in vehicle collisions and sixteen employees were not wearing a seat belt when they were killed. Due to our risk history, failure to wear seat belts must be considered a major work rule viola on in accordance with PennDOT’s working rules. EXCEPTION: If manufacturer recommenda ons on the use of seat belts and shoulder harnesses during opera ons differ from PennDOT policy. Seat belts and shoulder harnesses are to be worn in accordance with manufacturer recommenda ons when opera ng PennDOT vehicles and equipment. (2) Work zone protec on is required for all highway opera ons in accordance with Pub. 213 (Temporary Traffic Control Guidelines). Between 1970 and 2020, twenty two employees were killed by work zone intrusions. The failure to use required work zone protec on must be considered a major work rule viola on in accordance with PennDOT’s working rules. (3) A circle of safety must be completed every me a vehicle is moved. Backing vehicles must remain in gear while moving. Vehicles with inopera ve back up alarms must be taken out of service un l the alarm is in working condi on. Between 1970 and 2020, fourteen employees were killed by backing PennDOT vehicles, three were killed falling off vehicles/equipment, and three were killed due to disabled safety devices. The failure to follow these procedures must be considered a major work rule viola on in accordance with PennDOT’s working rules. Sec on Topic Page 1 Compliance with Safety Policies 67 2 Major and Minor Work Rule Viola ons 68 3 Discipline for Safety Viola ons 69 4 Safety Recogni on Program Currently Under Revision. 70 5 Training and Communica on 74 6 Program Review 74 7 Recordkeeping 74

178 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Chapter L Recognition, Rules, and Enforcement 68 Manual for Employee Safety & Health PUB 445M (8-21) (4) Employees are not permi ed to ride on vehicles and equipment unless specifically designed for the purpose of transpor ng employees. Only those personnel required to operate a piece of equipment and ac vely engaged in the opera on of that equipment are permi ed on that equipment while it is in mo on. (Employees are “ac vely engaged in the opera on of equipment” when that equipment is ac vely performing the specific func on it was designed to perform, such as a paver ac vely applying asphalt.) If ac ve engagement in the opera on of equipment is suspended briefly while the equipment is in mo on to reposi on, the personnel required to operate it may remain on it as long as the speed and configura on of the equipment and the posi oning of the employees are the same as when the equipment is ac vely performing its func on. a. During ac ve instruc on, a cer ed operator instructor or the foreman will be considered ac vely engaged in the opera on of equipment only on self propelled pavers, wideners, milling machines and stone chippers. No other equipment is designed with a rela vely safe place for the instructor to be on the equipment while it is in mo on. b. Only vehicles with an enclosed cab that are equipped with sea ng and a seat belt for each occupant are permi ed to be u lized to transport employees when they are not ac vely engaged in the opera on of equipment. A crew cab is one example of a vehicle permi ed for use to transport staff. c. Equipment shall not be used to transport other employees from one loca on to another for a ma er of convenience. If any employee is observed riding on equipment inappropriately, the employee(s) will be subject to disciplinary ac on. Employees shall follow the manufacturer’s equipment specific instruc ons for seat belt use even when equipment has ROPS. Rollover protec ve structures (ROPS) will be evaluated (if available from the manufacturer) when purchasing new equipment. Addi onal Seat Belt Use for Paint Trucks a. Operators and passengers shall wear seatbelts and shoulder harnesses (if equipped) whenever the pain ng vehicle travels to the next pain ng site at speeds exceeding 20 mph. Alternately, pain ng operators shall move to the cab and be secured by those safety belts and harnesses if the distance to the next job exceeds one mile. Operators must wear properly secured safety belts at their working sta ons if: i. They are not opera ng the controls while standing or ii. They can easily reach the controls while seated b. If employees are not ac vely engaged in the pain ng opera on and are traveling at speeds exceeding 20 mph, then the employee(s)/operator(s) are not permi ed to be in the back enclosed cab and shall reposi on to the front enclosed cab of the paint truck, supply truck or foreman vehicle for safety purposes and shall wear seat belts provided. (5) Any vehicle or unit of equipment that has been determined unsafe or illegal to operate, must be removed from service and repaired, in accordance with the Pub. 177 (Equipment Maintenance and Management Policies Manual). (6) Do not remove seat belts that are original equipment. (7) It will be the responsibility of the employees supervisor/manager to educate employees on the safe use of equipment with and without seat belts. (8) Daily safety talks must be provided to crew employees and the instruc ons must be related to the specific risks associated with the work opera on. (9) Employees must use a three point contact when moun ng and dismoun ng construc on vehicles and equipment. fi

DOT Safety Incentive/Disincentive Policies 179   Chapter L Recognition, Rules, and Enforcement PUB 445M (8-21) Manual for Employee Safety & Health 69 (10) Personal Protec ve Equipment (PPE) must be worn in accordance with Protocol 2. (11) Animals and pets shall not be brought to State government owned/leased property or vehicles for other than official purposes. Service dogs or other service animals used to guide or assist persons with disabili es are exempt (Protocol 2). 2. Major and Minor Work Rule Viola ons PennDOT has established work rules, which include safety rules. Listed below are defini ons of major and minor work rule viola ons, and examples of safety related viola ons, which fall under these defini ons. A. Minor Working Rule Viola ons Rule viola ons that have li le effect on the con nuity, efficiency, and safety of work, but which cannot be tolerated, may be termed minor rule viola ons. (1) Minor safety rule viola ons can result in either verbal or wri en warnings being entered in your record, as well as, a suspension or more stringent disciplinary ac on if they con nue a er verbal and wri en warnings. (2) Depending on the circumstances, a suspension or more stringent ac on may be taken even for the first offense. (3) Examples of minor safety related working rule viola ons include, but are not limited to: a. Failing to immediately report illness or injury occurring on the job to your supervisor. b. Refusing medical a en on when supervisor deems it necessary. c. Refusing to seek medical a en on for an injured employee who requests medical a en on. d. Using equipment for purposes other than its designed use. e. Commi ng or allowing minor viola ons of safety rules, including unsafe acts and failure to use personal protec ve equipment (PPE). B. Major Working Rule Viola ons Major offenses are any viola ons of PennDOT safety rules of such degree that con nued employment may not be desirable. These include willfully, deliberately, or repeatedly commi ng, or allowing others to commit, viola ons of PennDOT working rules and policies, and instances where there is evidence of disregard of proper safety prac ces and precau ons. (1) Major rule viola ons may subject an employee to immediate suspension or discharge without warning. (2) Examples of major safety related working rule viola ons include, but are not limited to: a. Failing to comply with proper work zone traffic controls. b. Failing to use seat belts. c. Opera ng any equipment in which the safety features have been removed or disabled. d. Viola ons of the policy prohibi ng employees from riding on vehicles and equipment. e. Having repeated injuries and/or eet/equipment accidents that resulted from a safety viola on. f. Figh ng (any employee directly involved). g. Possessing unauthorized firearms or other dangerous weapons on PennDOT premises or during working hours.

180 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Chapter L Recognition, Rules, and Enforcement 70 Manual for Employee Safety & Health PUB 445M (8-21) h. Bringing intoxicants or controlled substances to work; consuming intoxicants or using controlled substances on PennDOT premises; repor ng for duty under the influence of intoxicants or controlled substance; or supervisory personnel allowing any of the above. i. Opera ng PennDOT vehicles or equipment without a valid operator’s license, appropriate classifica on or cer ca on. j. Opera ng dead lined equipment. k. A emp ng to alter equipment, so that it is not in compliance with the original manufacturer’s build or PennDOT specifica ons and a empts to operate such equipment. l. Commi ng any other act that could endanger someone’s life or well being. 3. Discipline for Safety Viola ons A. As of December 28, 2012, PennDOT uses the charge of “Safety Viola on” for safety related infrac ons to ensure that these are treated appropriately and uniformly. The following examples of safety related infrac ons are not intended to be all encompassing. (1) Minor viola ons of safety rules, including unsafe acts commi ed while opera ng PennDOT equipment. (2) Any act which might endanger the safety or lives of others. (3) Willful, deliberate or repeated viola on of PennDOT safety rules, including instances where there is evidence of disregard of proper safety prac ces and precau ons while opera ng PennDOT equipment. (4) Failure to immediately report illness or injury occurring on the job to your supervisor. (5) Refusing medical a en on when supervisor deems it necessary. (6) Supervisor/manager refusing to seek medical a en on for an injured employee who requests medical a en on. (7) Using equipment for purposes other than its designed use. (8) Commi ng or allowing minor viola on of safety rules including unsafe acts and failure to use Personal Protec ve Equipment (PPE). (9) Failure to comply with proper work zone traffic controls. (10) Failure to use seatbelts. (11) Opera ng any equipment in which the safety features have been removed or disabled. Engaging in horseplay that could result in injury. (12) Running on stairs or in corridors in office buildings. B. A Pre Disciplinary Conference (PDC) will always be held when it is determined that a Safety Viola on occurred. Appropriate disciplinary ac on will be imposed a er evalua on of the inves ga on and PDC has occurred. Although many of the disciplinary ac ons issued under the charge of Safety Viola ons may be progressive in nature, all discipline will not necessarily be progressive, in that each level of discipline does not have to be imposed. The specific circumstances of each situa on will be taken into considera on when determining the appropriate disciplinary ac on, and the manager will con nue to follow all applicable contractual provisions and principles of due process and just cause. C. Ques ons related to this sec on should be directed to an Employee Rela ons Analyst. fi

DOT Safety Incentive/Disincentive Policies 181   Chapter L Recognition, Rules, and Enforcement PUB 445M (8-21) Manual for Employee Safety & Health 71 4. Safety Recogni on Program A. Policy (1) PennDOT encourages recogni on for employees who perform their job du es in a safe manner, as described in this sec on. (2) The administra on of the Safety Recogni on Program must be consistent with the guidelines contained in Management Direc ve 505.23, Employee Recogni on Programs. The total award value per recipient cannot exceed the maximum allowable amount per Fiscal Year (FY) for all recogni on programs, including non safety recogni on programs. (3) Awards may be presented to permanent employees, work crews, work groups or en re organiza ons on a semi annual or annual basis. (4) Light refreshments may be provided for safety recogni on ceremonies. B. The following awards will be considered for organiza ons with field opera ons. (1) Individual Employee Award a. Eligible employees must be presented the individual award, if they meet the following criteria, based on fiscal year sta s cs from July 1, 2002 to present. (Once an employee has an OSHA recordable work related injury or disciplinary ac on for a safety viola on, the number of years for the above criteria is reset to zero.) I. One year or more without an OSHA recordable work related injury, and; II. One year or more without disciplinary ac on for a safety viola on. b. Only permanent maintenance, construc on, survey, and bridge inspec on personnel who are assigned con nuous field duty, are eligible for the Individual Employee Award. c. The following list of classifica ons are eligible for this award. If Bureau/District/County employees’ classifica ons are not on the list below and they perform six months of con nuous field du es such as the classifica ons listed below, they may be considered for the Individual Employee Award. Engineering District Office Employees Automo ve Mechanic Bridge Inspec on Crane Technician Bridge Insptn Crane Tech Supervisor Custodial Worker 1, if assigned du es for yard work and/or snow removal Drill Operator 1 (District 3) Drill Operator 2 (District 3) Electrician (District 3) Electrician Foreman (District 3) Highway Foreman 3 Maintenance Repairman 1 Maintenance Repairman 2 Survey Technician Survey Technician Supervisor Transporta on Construc on Inspector Transporta on Construc on Inspec on Supervisor Transporta on Equipment Operator A Transporta on Equipment Operator B County Maintenance Employees Automo ve Equipment Foreman Semi Skilled Laborer Automo ve Mechanic Tradesman Helper Automo ve Mechanic Supervisor Transporta on Equipment Operator A Custodial Worker 1 and 2, if assigned du es for yard work and/or snow removal Transporta on Equipment Operator B Carpenter Transporta on Equipment Operator Specialist Diesel and Construc on Equipment Mechanic Transporta on Equipment Operator Equipment Body Repairer and Painter Trainee Highway Foreman 2 Tunnel Maintainer Highway Foreman 3 Tunnel Maintainer Supervisor Highway Maintenance Worker Wastewater Treatment Plant Operator Highway Sign Worker Wastewater Treatment Plant Supervisor Laborer Welder Maintenance Repairman 1 Maintenance Repairman 2 Mason Medium Voltage Electrician Medium Voltage Electrician Foreman

182 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Chapter L Recognition, Rules, and Enforcement 72 Manual for Employee Safety & Health PUB 445M (8-21) d. Maximum cost of awards during the achievement period is as follows: e. Award eligibility will be verified by the Accident Tracking System (ATS) County Coordinator and/or District Safety Coordinators (DSC) with coordina on from the respec ve County Manager and/or Assistant District Execu ve (ADE). The County or District Safety Commi ee will select a gi each year for the different award thresholds. (2) Organiza on Award for Mee ng Safety Goals a. District/County organiza ons that meet or exceed all of PennDOT’s organiza onal FY safety goals may be recognized on a yearly basis for that year’s accomplishments. b. Deputates/Bureaus with garage or field opera ons (to include Driver License Examiners) and incident rates may also provide an organiza on award if they meet or exceed PennDOT’s organiza onal FY goal. c. Maximum cost of awards during the achievement is as follows: d. Employee Safety Division will provide the end of the FY results. District Execu ves (DEs) and/or County Manager in coordina on with the District or County Safety Commi ee will select the type of gi for the organiza on. (3) Maintenance Organiza on Award a. The purpose of this award is to encourage and reward maintenance organiza ons that display an exemplary commitment to safety and safety improvement. Most personal injuries and vehicular accidents occur in the maintenance environment. That is why this program will focus on PennDOT County Maintenance Organiza ons and the Fleet Management Division. To reward those organiza ons, who by their safety records have demonstrated a commitment to safety, acknowledgements of con nuous improvement will be offered. b. The “acknowledgement” will be in the form of a piece of equipment or tooling that will serve to improve opera onal efficiencies and enhance safety. c. The highest level of acknowledgement includes a new goal that is being introduced for this award category: 1,000 consecu ve days without a disabling injury. Field Employees: $10.00 $15.00 $20.00 $25.00 $30.00 $50.00 1st Year 2nd Year 3rd Year 4th Year 5th through 9th Year 10th Year and therea er Organiza on Met PennDOT Safety Goal for Organiza on $10 per person in organiza on. Total amount should be used to purchase a unit gi which could include a plaque, pizza party, individual item, work area item, etc. Annually

DOT Safety Incentive/Disincentive Policies 183   Chapter L Recognition, Rules, and Enforcement PUB 445M (8-21) Manual for Employee Safety & Health 73 d. Maximum annual cost of awards during the achievement period is as follows: e. The reviews of improvement will be conducted at the end of the fiscal year, and a determina on will be made as to the organiza ons that have qualified for the Maintenance Organiza on Award. f. This award will be administered by the Employee Safety Division; however, the purchase and delivery of the award shall be the responsibility of the Fleet Management Division at the instruc on of the Employee Safety Division. g. The funds may be spent on mul ple items as long as the total does not exceed the thresholds established above. h. County Management should acknowledge the repair facili es through the equitable distribu on of these funds. The shop employees play a significant role in assis ng the county in reaching these goals. C. The following awards are op onal, as appropriate: (1) Work Crew Award a. Work crews assigned to an Assistant County Manager’s area, specialized crew, stockpile, or garage for a full summer or winter work cycle may be recognized twice a year based on the following criteria: I. En re summer and/or winter work crew goes without a OSHA recordable work related injury during that year’s summer (April 1–October 31) and/or winter (November 1–March 31) seasons, and; II. En re summer and/or winter work crew go without a preventable fleet/equipment accident during that year’s summer (April 1–October 31) and/or winter (November 1–March 31) seasons. b. Maximum cost of the Work Crew Award during the achievement period is as follows: April 1–October 31 $10 per person on work crew. Total amount should be used to purchase a unit gi which could include a plaque, pizza party, individual item, equipment for the stockpile, etc. November 1–March 31 $10 per person on work crew. Total amount should be used to purchase a unit gi which could include a plaque, pizza party, individual item, equipment for the stockpile, etc. Maintenance Organiza on Awards $2,500 in tools and/or equipment for all organiza ons that have met their fiscal year goal related to “OSHA recordable work related injury” or the “Fleet Accident” category and have no fatali es. $5,000 in tools and/or equipment for all organiza ons that have met their fiscal year goals in both the “OSHA recordable work related injury” and “Fleet Accident” categories and have no fatali es. $50,000 in equipment for all organiza ons that have met all goals, have no fatali es and have reached the 1,000 days goal. Annually Annually The year in which the goal of 1,000 consecu ve days without a disabling injury is reached

184 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Chapter L Recognition, Rules, and Enforcement 74 Manual for Employee Safety & Health PUB 445M (8-21) c. Award eligibility will be verified by the ATS County Coordinator and/or DSC with coordina on from the respec ve County Manager and/or ADE. The County or District Safety Commi ee will select a gi each year for the different award thresholds. (2) Safety Commi ee/Safety Work Group Award a. Safety commi ees or work groups who work on projects to improve the safety of employees and/or the public may be recognized each fiscal year based on the following criteria: I. Establish goals and objec ves which are met, and; II. Project has the poten al of making either a substan al reduc on in injuries/ accidents or contributes to crea ng a safety culture. b. Maximum cost of awards during the achievement period is annually $10 per person on team. Total amount should be used to purchase a unit gi which could include a plaque, pizza party, individual item, work area item, etc. c. Nomina ons will be submi ed by the commi ee to the respec ve DSC and reviewed by the District Safety Commi ee who will recommend selec on(s) to the DE and ADE for final approval. 5. Training and Communica on A. Safety Policy Manual Training (78SAFE000003) (1) This classroom training includes the distribu on of a copy of the Safety Policy Handbook (Pub 445) to all par cipants along with a presenta on of its contents. (2) This training is included in NEOP for all new employees and all employees a end this training when a new edi on of Pub 445 is released. (3) Training registra ons and comple on records must be maintained in LSO using the above course code. B. Work rules and the progressive disciplinary process are communicated to all employees in various trainings, such as NEOP and LAS. 6. Program Review A. This chapter will be reviewed annually to ensure that the informa on is current, adequate, and effec ve. B. Details of the annual review will be documented under Recordkeeping. 7. Recordkeeping A. Safety Policy Manual Training records will be maintained in LSO and accessible as evidence that safety rules and enforcement procedures have been communicated to employees. B. This chapter contains new and previously exis ng informa on as described in the table below. Content that is being introduced for the rst me in the Pub 445M, Manual for Employee Safety and Health (MESH) is iden fied as “original.” Sec on Content Intro Original, based on AIPP requirements for Element L 1 PPIM 10-028 Compliance with Safety Policies (Issued 3/11/02 and 7/2/10) 2 Pages 4-5 of Pub 445 (10 13) 3 PPIM 12-153 Discipline for Safety Violations (Issued 12/28/12) 4 PPIM 13-148 Safety Recognition Program (Issued 1/25/13, Effective 10/22/13) 5-7 Original, based on AIPP requirements for Element L fi

DOT Safety Incentive/Disincentive Policies 185   Engineering Safety Rewards Program 5/31/19 Purpose Statement: The purpose of the Engineering Safety Rewards Program is to provide an incentive for field employees that have been determined to not be at-fault or contributing to a vehicle or equipment accident, have not had a recordable injury/illness and completed all required training. The goal is to reduce the number of at- fault/contributing vehicle and equipment accidents and recordable injuries/illnesses, thereby reducing associated costs and lost work days. An at-fault/contributing accident is determined by SCDOT’s Fleet Safety Manager based off the accident report in the Risk Management System (RMIS). *Note: an employee does not have to be a driver/operator of the vehicle/equipment to be considered at fault or contributing (i.e. Spotter, etc.) A recordable injury/illness is defined by OSHA as one that requires medical attention beyond that of first aid. Recordable injuries/illnesses include: • death • loss of consciousness • days away from work • restricted activity or job transfer • medical treatment beyond first aid • significant work related injury or illness diagnosed by physician or licensed health care professional • work related case involving cancer, chronic irreversible disease, fractured or cracked bone, or punctured eardrum • needle stick or cut from contaminated sharp object • tuberculosis • standard threshold in one or both ears revealed by employee’s hearing test Eligible Employee: Engineering Band 7 and below employees exposed to job duty hazards (i.e. field work, working around machinery, equipment and the motoring public). Criteria: For monetary rewards, a minimum of 5 years without being considered at-fault or contributing to a vehicle or equipment accident, not having a work related recordable injury/illness, as well as completion of all required training. If criteria is not met, employee starts back at year 0. Milestone years are 5, 10, 20, 30, and 40. When employee reaches milestone year they receive milestone rewards: Year 5 - $50 + t-shirt Year 10 - $75 + polo shirt Year 20 - $100 + PFG shirt Year 30 - $150 + jacket Year 40 - $200 Non-milestone years 1-4, employee receives certificate/patch/lapel pin. Every year in between milestone years > 5 (i.e. years 6-9; 11-19; 21-29, etc.), employee receives t-shirt. For the kickoff year only, employees will receive the reward corresponding to the prior milestone year. For instance, if an employee of 18 years has not been considered at-fault or contributing to and accident, has not had a recordable injury or illness, and has completed all required training, the employee would receive $75 + a polo shirt. As another example, if an employee of 9 years has not been considered at-fault or contributing to an accident, has not had a recordable injury/illness, but has not completed a required training course (i.e. driver training refresher), they would not be eligible for the 9 year reward and would start back at year 0.

186 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Accidents and Reporting Chapter 2: Accidents and Reporting I. General ......................................................................................................................................2 II. Vehicle Policies and Procedures ..................................................................................................2 III. First Report of Injury................................................................................................................. IV. State Vehicle Accident Report (SD DOT Form 309, Appendix E)............................................. V. Accident/Incident/ Unsafe Condition (SD DOTForm 310, Appendix F).................................. VI. Safety Investigation (SD DOT Form 304, Appendix C) ............................................................. VII. Report of Property Damage or Loss (SD DOT Form 307, Appendix D) ................................... VIII. Claimants Report of Incident (SD DOT Form 311, Appendix G).............................................. IX. South Dakota Department of Transportation Safety Accountability Guidelines .........................

DOT Safety Incentive/Disincentive Policies 187   Accidents and Reporting 2.1 I. General A. It is up to each individual, and supervisor, to complete the proper forms and submit for each accident involved. B. Do not make any statement to anyone that you were at fault or liable for the accident when it involves an outside party. C. Reporting Accidents: 1. Report all vehicle accidents, personal injuries and liability occurrences in writing. ese reports are used to help determine causes, eliminate hazards, prevent reoccurrences and for insurance coverage purposes. 2. Fill-out the appropriate reports accurately, completely and promptly after the event. If exact damages or personal injuries cannot be determined soon after the accident, ll in the best estimate of this information that is available and submit the report. Update this information later if necessary . 3. All supervisors are responsible to see that employees working under their supervision understand the obligations and the reasons for lling out reports. 4. Verbally report all accidents to the supervisor on the same shift as the accident occurred. Complete written reports per guidelines for that form, within three to ve business days. 5. Employees who fail to report accidents or other property damage or loss within the limits established, shall be subject to disciplinary action as provided by the South Dakota Department of Transportation Safety Accountability Guidelines or Bureau of Human Resources rules and regulations. II. Vehicle Policies and Procedures A. Purpose: e purpose of this section is to establish procedures in reporting and handling information relative to vehicle accidents, incidents, unsafe conditions and property damage or loss . e provisions of this section shall supersede all previous procedures pertaining to these items. B. e following are procedures relative to accidents in connection with state or state leased vehicles and equipment: 1. Contact a law enforcement ocer if the event involves damage to private property. 2. Do not move the vehicle if the accident warrants contacting law enforcement until viewed by a police ocer, unless it is necessary for trac control or safety measures. If necessary to move vehicle prior to law enforcements arrival and employee is able to take pictures do so before moving vehicle.

188 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Accidents and Reporting Make no statement to anyone that you were at fault or liable for the accident. Make no statement concerning physical facts surrounding the accident except to a representative of Claims Associates, Inc., a law enforcement ocer or an authorized State representative. Do not speculate or guess. State only the facts as you know and remember them. Obtain the name, address and phone number of all persons involved in the accident as well as all witnesses . Obtain insurance information from the driver of any other vehicle involved. In the event of an accident involving a fatality, serious bodily injury or serious property damage, immediately contact your supervisor and Claims Associates, Inc., in Sioux Falls at (605) 333-9810 during business hours; after business hours call Claims Associates’ 24- hour emergency number at 1-888-430-2249. Notify the Division Director of Operations via email. Employees in safety sensitive positions or who are operating equipment that requires a commercial driver’s license (CDL) shall contact the Bureau of Human Resources by calling (605)773-3148 to request Post-Accident Testing in accordance with the Departments Alcohol and Drug use policy. e driver of any state vehicle that is involved in an accident must furnish sucient information to his supervisor to complete the State Vehicle Accident Report. C. State-owned vehicles are exempt from “proof of insurance” laws (SDCL 32-35-124), therefore, state-owned vehicles are not required to carry the insurance card. State-owned (Fleet 01) vehicles should carry the State of South Dakota Accident Notication Information card.

DOT Safety Incentive/Disincentive Policies 189   Accidents and Reporting 2.3 III. First Report of Injury A. e employee shall notify their supervisor as soon as possible, but no later than three (3) business days after the occurrence. B. First Report of Injury form is lled out and submitted electronically through the Bureau of Human Resources’ intranet site: https://apps.sd.gov/EB05FROI/eb05froi/default.aspx . e employee should electronically submit e First Report of Injury within three (3) business days of the occurrence. C. Employees should work with their supervisor or oce sta to complete the form on line. If assistance is needed in completing the form, contact the department’s BHR representative. D. Send all doctors’ forms and supporting documentation to the Bureau of Human Resources at: PMB 0141-2 Bureau of Human Resources ATTN: DOT HRS 500 East Capitol Pierre, SD 57501-5070 Or Fax to: 605-773-6947 IV. State Vehicle Accident Report (SD DOT Form 309, Appendix E) A. is form should be lled out within 5 business days of the occurrence. e following are the appropriate uses for the DOT Form 309 – “State Vehicle Accident Report”: 1. Accidents in which damages are caused to or by any vehicles or equipment owned by the state. 2. A “State Vehicle” is any vehicle or equipment with a license plate that is managed within EMS. 3. Do not use a State Vehicle Accident Report for personally owned vehicle accidents. B. Procedures: 1. Call law enforcement ocer if: a) Damage involves a private party b) ere is bodily injury c) ere is property damage where the owner has not been contacted 2. Do not move vehicles until the accident scene is viewed by a police ocer , unless it is necessary to move the vehicles for trac control or safety measures. Employee should take pictures of the scene in the event the vehicles need to be moved before law enforcement views the scene.

190 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Accidents and Reporting 3. e driver of any State vehicle that is involved in an accident must furnish information to his or her supervisor to complete the State Vehicle Accident Report. Obtain the following information from the driver of the vehicle involved in the accident with the State vehicle. Obtain this information by asking the person. Do not assume the police will have the information: a) Driver’s Full Name b) Driver’s Address c) Driver’s Date of Birth d) Driver’s Work Phone e) Driver’s Home Phone f) Full Name Owner of Vehicle g) Address of Owner of Vehicle h) Name of Employer of Driver i) Driver’s Drivers License No j) Vehicle Make and Year k) Vehicle License Plate Number and State l) Where Vehicle can be seen m) Name of Company Insuring Vehicle n) Address of Insurance Company o) Insurance Company Telephone p) Driver’s Complaint q) Damage Description to other vehicle 4. Obtain the following information from witnesses to the accident: a) Full Name b) Address c) Work Phone d) Home Phone 5. Also, write down the following information: a) Location of the Accident; be specic, give highway numbers, mile reference markers , street names, nearby business address and city, town or community. b) Date and time of accident. c) Description of damages to your State vehicle and the other person’s vehicle. If multiple pieces of equipment are damaged as a result of an event (Plow truck collision where the sander – RN100, truck – DT100 and wing – RR100, all receive damage) each piece of equipment shall be listed using the truck in the “Equipment ID or License Plate” field and the wing/sander in the “Additional State Vehicle” eld. If the damage was only to the sander, list the truck in the “Equipment ID or License Plate” field and the sander in the “Additional State Vehicle” eld note in the description no damage to the truck.

DOT Safety Incentive/Disincentive Policies 191   Accidents and Reporting d) Description of accident; state full details; making a diagram is a good idea to help you recall what happened. 6. When needed, contact your supervisor and request assistance, otherwise provide the information your supervisor needs. 7. e following individuals can receive full copies of the State Vehicle Accident Report: a) Fleet Manager b) Supervisor c) Fleet and Travel (Fleet 01 vehicles only) d) Safety Coordinator V. Accident /Incident/Unsafe Condition (SD DOT Form 310, Appendix F) e following are the appropriate uses for the DOT Form 310 – “Report of Accident, Incident, or Unsafe Condition (Non-State Automobile)”: To report occurrences, this may include an accident, injury or loss to any person, in which there is a possibility that an employee of the Department of Transportation or a DOT operation may be connected in any way. Employees use this to report all events not covered under State Vehicle Accidents. 3. State employees use this form to report all privately owned vehicles involved in accidents and incidents in the workplace. 4. Report any unsafe conditions existing in the workplace. 5. Do not give this form to claimants. Examples of Use: A Non-State employee visitor to a State oce slips on a patch of ice or a wet spot falls and receives injuries (accident). A State employee trimming trees cuts a branch that falls on someone’s car, denting it or breaking the windshield (accident). 3. State employee is driving private vehicle to state meeting and is involved in and accident (accident). 4. An electrical company employee working on State property installing telephone equipment nearly comes in contact with exposed live electrical wires (incident). 5. Loose steps at a building entrance or loose oor tiles (unsafe condition). Power equipment missing shield or belt guard (unsafe condition).

192 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Accidents and Reporting 2.6 VI. Safety Investigation (SD DOT Form 304, Appendix C) A. e amount of information gathered and documented on the DOT-Safety Investigation Form (DOT Form 304A) will depend on the incident. e form will be completed by the immediate supervisor of the employee(s) involved in the incident. If law enforcement does not investigate an accident and the accident involves a private party, the supervisor will only complete Step One on DOT Form 304A. Photographs taken at an accident site will remain on file with the supervisor and will not be distributed to third parties without the permission of the DOT Safety Coordinator (605.773.5059), the Oce of Risk Management (605.773.5879), law enforcement or Claims Associates (1.800.430.2249). B. Accident Investigations: Supervisors will seek out the facts contributing to accidents and/or injuries occurring within their group, determine the underlying causes of these accidents, and take the actions necessary to prevent the occurrence of similar accidents and/or injuries. It is the supervisor’s responsibility to ll out DOT 304 – “Safety Investigation Form” (Appendix C) within three business days and to conduct a thorough accident investigation in a timely manner. A copy of the DOT Safety Investigation Form is to be forwarded to the Department of Transportation Safety Coordinator and the Region Safety Committee Chairman prior to the next scheduled Safety Committee meeting. C. Steps to perform an Safety Investigation: 1. Investigate all accidents regardless of severity of injury or amount of property damage. e extent of the investigation depends on the outcome or potential outcome of the accident. An accident involving only rst aid or minor property damage does not have to be investigated as thoroughly as one resulting in death or extensive property damage, unless the potential outcome could have been disabling injury or death. 2. e individual with primary responsibility to complete the accident investigation is the immediate supervisor of the individual involved in the accident. Depending on the severity of the accident, the supervisor may require assistance from other sources such as the Safety Coordinator, Safety Committee Chairman, Regional or Area Engineer, Central Oce sta, outside safety professionals, etc. these individuals will act as advisers to the supervisor on accident investigations. The Safety Coordinator and the Safety Committee shall review the supervisor’s ndings and the adequacy of his or her investigation. 3. Supervisors can use the Accident Form Quick Reference Chart (Appendix J), and the DOT Accident Investigation Form as a guide when conducting an accident investigation.

DOT Safety Incentive/Disincentive Policies 193   Accidents and Reporting 2.7 4. Gather all information and determine the facts. When any accident, injury or safety related incident occurs, the supervisor shall conduct an in-depth investigation to collect all the facts related to the accident or incident. e investigation shall include the employee involved in the accident and the employees or individuals that have involvement in or knowledge of the accident. Conduct these interviews separately. In many instances, the supervisor and the employee involved in the accident will need to visit the accident scene. When conducting an accident investigation step back and look at the overall picture. Document only the facts and initial observations. Photographs or sketches of the accident scene may be used. If equipment is involved, review all maintenance. Review all safety guidelines, policies and procedures. Facts gathered during the accident investigation will determine whether the accident was Preventable or Non-Preventable. If, at the conclusion of the investigation, it is determined that an employee’s actions constitute a safety violation , supervisors shall take necessary action in accordance of the Department of Transportation Safety Accountability Guidelines. Both the employee involved and the supervisor should complete the accident report form. Serious accidents may also draw upon the experience of others such as the Safety Coordinator, Safety Committees, Central Oce Sta, outside agencies, etc. 5. Determine all the contributing factors: All accidents are composed of one or more contributing factors. ese factors can be broken down into three basic areas - direct causes, indirect causes and basic causes . Direct causes are those that directly caused the accident or injury. An example may be a pick-up backing into a post. Indirect causes are those unsafe conditions that are present in the workplace and/or unsafe actions employees perform . An example of an indirect cause may be a cracked mirror causing poor visibility prior to backing into a post. Generally, there are more than one or two indirect causes for every accident. Basic causes are poor management of safety policies or procedures, personal factors, or environmental factors. An example of a basic cause may be the employee hurrying to park the pick-up and failing to check behind the vehicle for the presence of obstacles, such as the post. e more causes and contributing factors for each accident that can be determined, the greater the likelihood of preventing future accidents. Again, the immediate supervisor will have primary responsibility for determining contributing factors, but the all who review the investigation report will aid in determining contributing factors. 6. Suggest corrective actions: After the causes and contributing factors have been determined, the supervisor should evaluate each cause and contributing factor to determine what corrective action could mitigate future events. Everyone who is involved with the accident investigation can play a role in suggesting corrective actions, with the supervisor making the nal decision. 7. Implementation of the corrective actions: Perhaps the most critical step is implementing the suggested corrective actions. If an accident investigation has been done perfectly up to this point, but no corrective actions are taken, thus no implementation is done then the accident is doomed to be repeated.

194 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Accidents and Reporting 2.8 D. South Dakota Department of Transportation’s Guide for Determining Preventability of Vehicular Accidents 1. PURPOSE OF THE GUIDE a) e intent of his guide is to assist the supervisor or designee in determining accident preventability. Use of this guide is encouraged as a means of establishing consistency in deciding the preventability and non-preventability of a vehicular accident. It cannot list all of the factors that may be involved in a given accident. However, it does cover aspects of the most common types of accidents and can serve as a guide for consideration of each accident. b) Whether or not the operator was issued a ticket for a violation does not directly enter into preventability. Legality may not necessarily dictate preventability. c) While a violation of the law is a clear-cut indication of the preventability of an accident, the absence of any violation does not make the accident non-preventable. Many steps that the driver can and must take to avoid an accident are beyond the requirements of the law. It is the extent to which the driver could and did take such steps that must be determined and evaluated. 2. NON-PREVENTABLE ACCIDENTS: a) When the supervisor, or designee, determines an accident as non-preventable, they are saying that an accident did occur, but the operator involved did everything reasonably expected to prevent the accident. b) Examples of Non-Preventable Accidents: a) Struck in Rear by Other Equipment (a) Operator's vehicle was legally and properly parked. (b) Operator was proceeding in his or her own designated trac lane at a safe and lawful speed. (c) Operator was stopped due to existing conditions or was stopped in compliance with a trac sign, a trac signal or the directions of a police ocer or other person legitimately controlling trac. (d) Operator was in proper position waiting to make a turn. b) Struck While Parked (a) Operator was properly parked in a location where parking was permitted. c) Equipment was protected by emergency warning devices as required by federal and state regulations, or if the operator was in the process of setting out or retrieving trac control devices. ese provisions shall apply to the use of 4-way ashers as emergency warning lights, or amber/white warning lights on equipment equipped with them. a) Struck in Rear by Other Equipment (a) Operator's vehicle was legally and properly parked. (b) Operator was proceeding in his or her own designated trac lane at a safe and lawful speed. (c) Operator was stopped in compliance with a trac sign, a trac signal or the directions of a police ocer or other person legitimately controlling trac.

DOT Safety Incentive/Disincentive Policies 195   Accidents and Reporting 2.9 (d) Operator was in proper position waiting to make a turn. b) Struck While Parked (a) Operator was properly parked in a location where parking was permitted. (b) Equipment was protected by emergency warning devices as required by federal and state regulations, or if the operator was in the process of setting out or retrieving trac control device. ese provisions shall apply to the use of 4-way ashers as emergency warning lights, or amber warning lights on equipment equipped with them. 3. PREVENTABLE ACCIDENTS: a) Accidents should be determined preventable any time the employee fails to do everything reasonably expected to prevent the accident. is does not mean that the accident is non-preventable merely because our operator is not the one primarily at fault. If the operator made a signicant contribution to the accident, which they could have been expected not to make, then the accident is preventable. b) Examples of Preventable Accidents: a) Accidents at Intersections (a) Operator failed to control speed so that a stop could have occurred within available sight distance. (b) Operator failed to check cross-trac and wait for it to clear before entering intersection. (c) Operator pulled out from a side street, in the face of oncoming trac. (d) Operator failed to clear side trac and collided with a person, vehicle or object while making a right or left turn. (e) Operator was issued a citation. (f) Operator disregarded trac or pedestrian signal or warning devices. b) Striking Other Equipment in Rear (a) Operator failed to maintain safe following distance and have his or her vehicle under control. (b) Operator failed to keep alert to trac conditions and slow down. (c) Operator failed to ascertain whether a vehicle ahead was moving slowly, stopped or slowing down for any reason. (d) Operator misjudged the rate of overtaking. (e) Operator failed to wait for a vehicle ahead to move into the clear before starting up. (f) Operator failed to leave sucient room for a passing vehicle to get safely back in line. c) Sideswipe and head-on Collisions (a) Operator was not entirely in the proper lane of travel. (b) Operator did not pull to his/her right and slow down or stop for a vehicle encroaching on his/her direction of travel when such action could have been taken without additional danger. d) Struck in Rear by Other Equipment

196 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Accidents and Reporting 2.10 (a) Operator was passing slower trac near an intersection and had to make a sudden stop. (b) Operator made a sudden stop to park, load or unload. (c) Vehicle was improperly parked. (d) Operator rolled back into vehicle behind while starting on grade. e) Failure to Yield Right of Way (a) Operator failed to yield right of way when it was necessary to avoid an accident. f) Backing Accident (a) Operator backed up when backing could have been avoided. (b) Operator backed into the ow of trac when such backing could have been avoided. (c) Operator failed to get out of a vehicle with an obstructed view to check the path of backward travel. (d) Operator depended solely on mirrors when it was practical to look behind. (e) Operator failed to periodically get out of a vehicle with an obstructed rear view to recheck conditions when backing. (f) Operator failed to sound the horn while backing in the vicinity of personnel. (g) Operator relied solely on a guide without checking surroundings. (h) A non-operational back up alarm contributed to the accident. g) Accident While Passing (a) Operator passed where the view of the road ahead was obstructed by a hill, curve, vegetation, trac, adverse weather condition, intersection, etc. (b) Operator attempted to pass in the face of closely approaching trac. (c) Operator pulled out in front of trac overtaking from the rear. h) Accidents While Being Passed (a) Operator failed to signal when pulling out from a curb. (b) Operator failed to check trac before pulling out from a curb. (c) Operator failed to look back to check trac when in a position where mirrors did not show trac conditions. (d) Operator attempted to pull out in a manner which forced other vehicle(s) to change speed or direction. (e) Operator failed to yield right-of-way to approaching trac. i) Pedestrian Accidents (a) Operator did not reduce speed in an area of heavy pedestrian trac. (b) Operator was not prepared to stop. (c) Operator failed to yield right-of-way to a pedestrian. j) Mechanical Defects Accidents (a) Operators should discover the defect while making a pre-trip inspection of the vehicle. (b) Operators should detect the defect during normal operation of the vehicle.

DOT Safety Incentive/Disincentive Policies 197   Accidents and Reporting 2.11 (c) Operator knowingly operated unsafe or unguarded equipment. k) All Types of Accidents (a) Operator was not operating at a speed consistent with the existing conditions of the road, weather, and trac. (b) Operator failed to control the speed so that he/she could stop within an assured clear distance. (c) Operator misjudged the available clearance. (d) Operator failed to yield the right-of-way to avoid an accident. (e) Operator inaccurately observed the existing condition. (f) Operator was in violation of Department operating rules or special instruction, the regulations of any Federal or State regulatory agency, or any applicable trac laws or ordinances. (g) Operator failed to exercise due caution in loading or unloading operations. (h) Operator improperly used light, ags, or other needed trac controls. (i) Accident was principally due to overloading. (j) Operator lost control of equipment (unless it was due to a non-preventable mechanical defect of the equipment). E. South Dakota Department of Transportation Guide for Determining Preventability of Injuries and Illness 1. PURPOSE OF THE GUIDE: Injuries on the job do not just happen! Injuries and work-related illnesses are generally the result of unsafe acts or conditions. Supervisors are responsible for the safety of the employees, the equipment, and the work place. By working together, employees and supervisors can prevent signicant numbers of injuries on the job by knowing how to recognize and check danger points for potential safety problems within their work areas. Injuries should be determined preventable at any time an individual fails to do everything reasonably expected to prevent the injury. is does not mean that the injury is non-preventable merely because the individual is not primarily at fault. If the individual made a signicant contribution to the injury, which they could have been expected not to make, then the injury is preventable. 2. PREVENTABLE INJURIES: a) Examples of Unsafe Acts and Conditions that Cause or Contribute to Preventable Injuries:

198 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Accidents and Reporting 2.12 a) Lack of Protective Clothing: e proper wearing of protective clothing and equipment will prevent numerous injuries. is includes wearing of hard hats, proper eye protection, ear protection, vests, respirators, etc. e Department provides most of these, as well as other items, and their use shall be required in accordance with established policies, regulations, procedures and general safety practices. Injuries resulting from failure to wear required or necessary protective clothing and equipment should be determined preventable if the failure contributed to the injury/illness. b) Operating Without Authority: is includes any unauthorized action such as jumping on a moving vehicle; operating equipment without permission; using hand or power tools, equipment or machinery for which the employee has not been trained; etc. c) Failure to Secure: is refers to tying down materials on a loaded vehicle; failure to lock or shut o switches, valves or doors; failure to shut o equipment when not in use; etc. d) Failure to Warn: is includes the failure of any employee to signal properly; failure to place warning signs, barricades, or other protective means within an area; failure to take any action necessary to let others know that there is a danger; etc. e) Operating at Unsafe Speeds: is includes actions such as driving an automobile, truck or other equipment above or below safe speeds for the conditions; feeding or supplying material into machinery too slowly or too rapidly; etc. f) By-Passing Safety Devices: is includes failure to lockout/tagout a piece of equipment being worked on; disconnecting, removing, plugging, or blocking any safety device; failure to inspect equipment or vehicles before operating; failure to keep vehicle/equipment safety features in good repair; ignoring signals or signs; etc. g) Using Unsafe Equipment: is includes using hand or power tools, equipment, or materials, which have become defective through wear and tear or abuse or are otherwise unsafe to use. It also includes using equipment in an unsafe manner, such as handling tools or objects improperly or insecurely, or using the wrong equipment for a particular job. h) Unsafe Loading: Unsafe loading of materials on a vehicle, conveyor, or other apparatus means loading over the safe load limit, loading too high, and overloading in such a way as to create a hazard to you, the equipment, or to others. It also refers to throwing materials instead of carrying or passing them properly; not getting help when necessary for heavy or awkward materials, etc. i) Unsafe Placing: Unsafe placing refers to placing hand or power tools, equipment, or other materials in such a position that they become a hazard or danger. e items could roll, fall, or become an obstruction in the work place, aisles, or other normal travel routes. It also refers to placing the hands in, on or between equipment, or at dangerous points of operation.

DOT Safety Incentive/Disincentive Policies 199   Accidents and Reporting 2.13 j) Taking Unsafe Position or Posture: (a) Lifting or carrying loads improperly; failure to use lifting belts when appropriate; (b) Lifting with the body in a twisted or awkward position; walking or working on unguarded areas; riding on tailgates, running boards, fenders, bumpers or vehicles; riding in precarious positions, such as in loader buckets, or in beds of trucks; (c) Entering enclosures that are unsafe because of gases, temperatures, or exposed power lines; (d) Failure to use proper methods of ascending or descending when working in high places; standing in the line of travel of falling or moving objects; (e) Taking a position that obstructs the free movement of others; etc. k) Working on Dangerous or Moving Equipment: is includes: (a) Oiling, cleaning, or adjusting equipment while it is in motion; (b) Working on electrically charged equipment without cutting the power and utilizing lockout/tagout procedures; (c) Getting on or o equipment while the equipment is in motion; (d) Welding or repairing equipment containing ammable or explosive substances without rst cleaning and venting; unnecessary handling of materials while the materials are moving on conveyors or are on other equipment; etc. l) Lack of Guards: (a) Power tools and equipment; (b) Hazardous places like platforms or scaolds where no guardrails are provided; (c) Power lines or explosive materials that are not fenced o (d) Other danger points that are not safeguarded m) Inadequate Guards: Often a hazard that is partially guarded is more dangerous than if there were no guard at all. e employee, seeing some sort of guard, may feel secure and fail to take precautions that would normally be taken if there were no guards at all. n) Defective: Equipment or materials that are worn, torn, cracked, broken, rusted, sharp, or splintered, need to be reported, repaired, replaced or removed from service. Buildings, machines, tools and equipment that are condemned or are in need of repair, need to be tagged as hazardous and corrected before the employee is allowed to use or enter them. If there is a question, contact the appropriate supervisor. o) Hazardous Arrangement: (a) Cluttering oors and work areas, improper layout of machines and other items used with the work area need to be corrected. Blocked aisles, re exits, unsafely stored or piled tools and materials need to be removed or corrected.

200 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Accidents and Reporting 2.14 (b) Overloading of platforms, storage bins or vehicles are common hazards. Inadequate drainage and disposal of waste materials can cause many hazards to employees and equipment within the work area. p) Improper Illumination: Insucient light or too much light for the work area can cause hazards. e arrangements of lighting systems that result in shadows are dangerous. Outside lighting is needed in yards, around buildings and in work zones for night protection for employees and safe movement of equipment. q) Unsafe Ventilation: Concentration of vapors, dust, gases, or fumes; unsuitable capacity, location or arrangement of ventilation systems that have insucient air changes; or impure air sources used for air changes can all add up to dangers to the employee and work area. NOTE: e above represents only a few of the many types of considerations in determining preventability vs. non-preventability. It is important to state all the various considerations that could apply. Considerations that have not been mentioned but are very important include common sense, adequate training for the job and a positive attitude toward safety. Supervisors and employees must make every eort to consider all of these factors in all aspects of work. VII. Report of Property Damage or Loss (SD DOT Form 307, Appendix D) is shall be used for the collection of damages caused by a third party to State property, including, but not limited to: State Trunk Highway System and State-owned buildings, DOT vehicles and equipment classes A -Z, guardrails, signs, etc. is form shall be completed in accordance with the DOT Policy “Reporting Property Damage by a ird Party.” VIII. Claimants Report of Incident (SD DOT Form 311, Appendix G) A. Claimant: 1. A person who is ling a claim against the State of South Dakota for damages lls out the DOT Form 311 - “Claimant’s Report of Accident Form” as soon after the accident happens as possible. 2. e claimant is responsible for completing the form and mailing it directly to Claims Associates, Inc., at the address given in the upper right-hand corner of the form. e claimant may return the completed form to the nearest DOT Oce. 3. Claimant’s forms are available at any of the regional oces or shops located throughout the state.

DOT Safety Incentive/Disincentive Policies 201   Accidents and Reporting 2.15 B. DOT Employee: 1. DOT Employees shall direct claimants to pick up a “Claimant’s Report of Accident Form” from a DOT area oce. Employee must sign their name and title in the box on the top left of the form before giving the form to the claimant. When directing the claimant to a DOT oce DO NOT make any statements as to fault or liability and make no promises as to what the insurance company may or may not provide in the way of settlement. 2. When a DOT employee gives a claimant, this form it is important that they go over the form with the claimant, stressing the importance of the claimant lling it out completely. Only answer questions the claimant has pertaining to lling out the form. Also, stress the importance of them signing the form and providing updated contact information, like a return address and phone number. 3. e DOT employee handing out the Claimant’s Report of Incident Form shall get as much information as possible from the claimant and ll out a State Vehicle Accident Report or an Accident, Incident, or Unsafe Condition Report to document the DOT’s record of the incident. Complete this report in a timely manner in HS50 to facilitate the closing of all claims. Once completed, the Safety Coordinator and the Oce of Risk Management need to be notied. IX. South Dakota Department of Transportation Safety Accountability Guidelines A. All employees of the South Dakota Department of Transportation are required to perform their duties in a safe manner aimed at preventing injuries and property or equipment damage throughout all DOT operations. Each employee must safely operate equipment, tools and materials and demonstrate an understanding of work rules and procedures for his/her areas of responsibility. Each employee is responsible for identifying and reporting hazards. Each employee shall fully cooperate and control hazards in all areas of DOT without fear of reprisal. Each Department of Transportation employee will have a Safety Accountability on his/her performance evaluation document. Safety performance shall be reviewed at the employee’s performance review if applicable to that employee’s position. B. When an accident, injury or safety related event occurs, the supervisor shall conduct an in- depth investigation to collect all of the facts related to the accident or incident when applicable. is investigation will involve supervisors, lead workers and other employees or individuals that have involvement in or knowledge about the accident or incident. Procedures on how to conduct an investigation are outlined in the DOT Safety Manual (Chapter 2, Part VI.C.). If at the conclusion of the investigation, it is determined that an employee’s actions constitute a safety violation further action will be taken according to these guidelines.

202 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Accidents and Reporting 2.16 C. Employees who violate SDDOT safety rules, standards, policies and regulations shall be subject to discipline up to and including termination. As in all disciplinary actions, each situation will be carefully evaluated. e particular step taken in the disciplinary process will depend on the severity of the violation, employee history, and regard to safety. e severity of the violation may be determined by the consequences to employees, consequences to other, and cost of damages. D. Actions taken may include: 1. Written Warning: a) Where an employee is not following safety guidelines which has a potential to result in injury to self or others, resulted in a minor injury to self or others, has the potential to result in damage to property, or resulted in minimal damage to property, a Verbal Warning may be used. In addition, the supervisor shall discuss with the employee the nature of the problem or violation. e supervisor is expected to clearly describe expectation and steps the employee must take to improve performance or resolve the problem. Any time a verbal warning is given, the supervisor must document the discussion. e supervisor should state who was warned, what the event was and when the event occurred as well as when the warning was given. b) e employee receiving a Written Warning will receive a written “Employee Safety Violation Notice” (DOT-302 Form, Appendix B). e employee will be given an opportunity to submit a statement if they do not agree with the description of the event. Documentation of the warning will be placed in the employee personnel le. In addition, the employee may be required to attend safety training related to the event. 2. Written Reprimand: a) Where an employee has received two Written Warnings over the last twenty-four months or if the infraction is more of a serious nature, a Written Reprimand may be used. e employee receiving a Written Reprimand will receive an “Employee Safety Violation Notice” (DOT-302 Form). e employee will be given an opportunity to submit a statement if they do not agree with the description of the incident. Documentation of the reprimand will be placed in the employee personnel le. In addition, the employee will be required to attend safety training related to the event. b) Prior to issuing a Written Reprimand, supervisors shall consult with the next level supervisor. e Human Resource Manager shall be contacted prior to providing an employee a written reprimand.

DOT Safety Incentive/Disincentive Policies 203   Accidents and Reporting 2.17 3. Suspension without Pay: a) Where a written warning or written reprimands have not had an impact, or where the violation shows careless disregard of the safety of self or others, or substantial damage to property, Suspension without Pay may be used. Suspension without pay may only be taken for just cause as outlined in ARSD 55:10:07:04. e employee receiving Suspension without Pay will receive a written notice. is notice will outline the basis for the intended action, a description of the event, and any prior safety-related violations. is notice also outlines the process for the employee to present reasons why the action (suspension without pay) should not be taken. b) Prior to issuing a Notice of Suspension without Pay, supervisors shall consult with upper level supervisors. e Human Resource Manager shall be contacted prior to providing an employee a Notice of Intended Suspension without Pay. Documentation of the violation will be placed in the employee personnel le. 4. Termination: a) Where Written Reprimands or Suspension without Pay have not had an impact or where the violation is a result of willful and intentional actions, careless disregard of the safety of self or others or substantial damage to state vehicle and/or state property, a Notice of Termination may be used. Termination may only be taken for just cause as outlined in ARSD 55:10:07:04. e employee will receive a written Notice of Termination. is notice will outline the basis for the intended action (termination), a description of the event, and any prior safety-related violations. is notice also outlines the process for the employee to present reasons why the termination action should not be taken. b) Prior to issuing a Notice of Termination, supervisors shall consult with upper level supervisors. Contact the Human Resource Manager prior to providing an employee a Notice of Intended Termination. Place “Documentation of Termination” in the employee personnel le.

204 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews E.E.O./AFFIRMATIVE ACTION EMPLOYER WEST VIRGINIA DIVISION OF HIGHWAYS COMMISSIONER’S SAFETY AWARDS PROGRAM 1996 (revised 2006) The Commissioner’s Annual Safety Awards Program began on January 1, 1996. The following criteria was established in 1996 and 1998 and revised in 2001 to only include District organizations. These guidelines have been established to better understand how winners will be selected. A. WHO 1. One County Maintenance Organization per District will be nominated. There will be one statewide award. Other finalists will receive special recognition. 2. Bridge Departments will compete Statewide. There will be one statewide winner. 3. Sign Departments will compete Statewide. There will be one statewide winner. 4. District Equipment Shops will compete Statewide. There will be one statewide winner. 5. Interstate, expressways, and corridor maintenance headquarters will compete statewide. There will be one statewide winner. 6. All district heavy maintenance detachments will compete statewide. There will be one statewide winner. This will include the central heavy maintenance rotomill and sealing crews. 7. Special safety award(s). Nominators will be expected to submit data and summary indicative of exceptional and/or exemplary performance. Candidates may include Construction, Administrative, Censforce, Buildings and Grounds, etc., personnel. The Central Heavy Maintenance Bridge Crews, the Equipment Division, and the Materials Division drill crews will compete in this category. B. WHAT 1. Category 1: There will be one county maintenance organization statewide winner. Other finalists will receive special recognition awards. 2. Categories 2 through 6: there will be one statewide winner per category. 3. Category 7: Award(s) presentation will be determined by submitted data and other information justifying award winner(s). 4. Statewide award winners will be presented with a plaque. Also, each individual will receive an appropriate award as determined by the Safety Committee.

DOT Safety Incentive/Disincentive Policies 205   2 C. 1. Records were maintained from January 1, 2005 through December 31, 2005. Winners will be determined by the Safety Awards Committee. 2. Awards ceremony will be scheduled by the Secretary or Commissioner’s office for presentations at the district or local organization’s location. D. HOW 1. Awards selection committee will be comprised of three individuals, generally District Engineers/Managers. Each year, a new committee member will be chosen from the Districts. Chairperson will be responsible for acquiring plaques and other awards materials and organizing award ceremonies. 2. A point system will be used to ascertain winners in categories 1 through 6. The point system is broken down as follows for employee personal injury in categories: i. Recordable Injury = 1 point (The day of injury does not count as lost time.) ii. Lost Time Injury = 2 points (This only applies when the employee does not return to work the following day due to injury.) iii. One additional point will be charged for every work day lost up to ten days. (example – 1 day = 1 point; 2 days = 2 points, 10 days = 10 points) EXAMPLES: Employee “A” is injured, but returns to work the day following the injury = 1 point (recordable injury. Employee “B” is injured and misses 3 days of work (not including day of injury) = 2 points (lost time injury) + 3 points (3 days missed) = 5 points total. 3. The point system is also broken down by WVDOH equipment damage and/or personal property damage by monetary value in categories: i. $0 - $299 = 1 point ii. $300 - $599 = 2 points iii. $600 - $999 = 3 points iv. $1,000 - $1,999 = 4 points v. $2,000 - $2,999 = 5 points vi. One additional point for every thousand dollars damage 4. The formula for determining the winner will be: (a) (b) (Damage + Injury) X 200,000 (c)Total Hours Worked = Rating a. Add the Damage and Injury points together b. Multiply total points from injury and/or damage by 200,000. The multiplier 200,000 is a universal standard used in this type of determination and is derived by calculating the hours worked by 100 employees for one year. This multiplier also remains constant when making quarterly evaluations for incident ratings. c. Divide the answer by the total yearly man hours worked by the organization. WHEN

206 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews 3 EXAMPLE (Points) X (standard) 8 x 200,000 = 1,600,000 = Rating 20,000 20,000 = 80.00 5. The goal of each organization should be able to achieve a zero rating during the Safety Program because the higher the rating the less opportunity there is to win. 6. In the event of a tie in the ratings, the winner will be determined by the organization with the most hours worked except in cases where a zero rating is achieved. 7. All organizations shall submit data for means of verification. Please include copies of the appropriate forms for verification, such as: 1. Claim Status Log (RL-309) – injuries 2. Report of Motor Vehicle Accident – vehicle accidents 3. Case with Days Away from Work (PI91-596) – injuries 4. Safety Performance Monitor Incidence Rates (printout) – injuries and total hours worked. 8. Each District Engineer/Manager or Division Director will appoint an employee to monitor his/her respective organization’s personal injury, vehicle and/or property damage. This individual will be responsible for ensuring the correct assessment of points previously outlined. 9. Other organization administrators may choose to appoint an employee who will be responsible for monitoring personal injury, vehicle, and/or property damage. This individual will also be responsible for ensuring the correct assessment of points as previously outlined. This will enable all interested organizations to participate and offer nominations for the Category 7: Special Safety Award(s). 10. Category 7 Special Safety Award Winners will be determined based on the information submitted that substantiates the nominees’ exemplary safety performances.

Abbreviations and acronyms used without de nitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FAST Fixing America’s Surface Transportation Act (2015) FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration GHSA Governors Highway Safety Association HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S. DOT United States Department of Transportation

Transportation Research Board 500 Fifth Street, NW Washington, DC 20001 ADDRESS SERVICE REQUESTED ISBN 978-0-309-69881-8 9 7 8 0 3 0 9 6 9 8 8 1 8 9 0 0 0 0

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In comparable private sectors, incentive and disincentive programs have effectively promoted safe behaviors by employees. However, state departments of transportation (DOTs) have unique limitations and restrictions on their ability to financially incentivize safe actions by highway construction and maintenance crews or, in some cases, implement corrective actions to disincentivize unsafe actions. While navigating these restrictions is difficult, some DOTs have implemented unique approaches in order to institute incentives, including monetary awards, certificates, personal protective equipment, meals, and more.

NCHRP Synthesis 608: Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews, from TRB's National Cooperative Highway Research Program, documents state DOTs practices regarding safety incentive and disincentive programs for highway construction and maintenance crews.

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