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

Chapter: Chapter 3 - Results of the Survey Questionnaire

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Suggested Citation:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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:"Chapter 3 - Results of the Survey Questionnaire." 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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11   As noted in Chapter 1, an online survey questionnaire was built in Alchemer and distributed by email to the membership of the AASHTO Committee on Maintenance (COM) and the North American Association of Transportation Safety and Health Officials (NAATSHO). The survey was sent to 50 state DOTs and received 40 responses, resulting in an 80% response rate (Fig- ure 1.1). Appendix B contains the individualized survey results collected in Alchemer. This chapter reports on the results from the survey questions in aggregate. Demographic Information The survey began by seeking to understand who was responding to the survey in terms of their role within the DOT. Figure 3.1 shows that the majority (55%) of survey respondents are housed within the employee or occupational safety divisions within their respective DOTs. The other respondents represent the Other category (22%), Human Resources (18%), or Management/ Finance (5%). The Other category write-in responses included Division of Safety, Maintenance, Occupational Safety/Insurance Program, Operations, Office of Chief Engineer, and Office of Homeland Security and Occupational Safety. Formal Incentive/Disincentive Program Respondents were then asked whether or not their DOT had a formal incentive or disincentive program for safety-related behaviors. However, prior to the question, all survey respondents were presented with definitions of formal and informal incentive and disincentive programs. The statement, as written in the survey body, is provided as follows: For the purposes of this survey, a formal incentive/disincentive program is defined as a structured, written DOT policy that seeks to motivate employees to engage in safe behaviors by way of providing positive rewards and/or recognition or negative consequences and/or disciplinary action. An informal incentive/disincentive program is defined as non-policy, non-metric-based approaches to motivate employees to engage in safe behaviors by way of providing positive rewards and/or recognition or negative consequences and/or disciplinary action. With those definitions provided, 67% of the responding DOTs did not have a formal incentive and disincentive program, while 33% did have a formal incentive and disincentive program (see Figure 3.2). Informal Incentive/Disincentive Program Following the existence of a formal incentive or disincentive program, a question sought to identify whether an informal incentive or disincentive program existed within specific DOTs. Fifty-five percent of DOTs did not have an informal incentive or disincentive program for safety-related behaviors, with 45% of responding DOTs noting that they do have an informal C H A P T E R   3 Results of the Survey Questionnaire

12 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews incentive or disincentive program (see Figure 3.3). In total, 13 DOTs have a formal incentive or disincentive program, and 18 DOTs have an informal incentive or disincentive program of the 40 DOTs that participated in the survey. Training Requirements From the previous questions on the existence of a formal or informal incentive or disincentive program, 23 DOTs noted that they had either one or the other integrated into their safety program. Those DOTs were asked if their program outlined training requirements for effective deployment and evaluation of the incentive or disincentive program. Sixty-one percent noted that they did have training requirements outlined for their safety incentive or disincentive program (see Figure 3.4). Years of Use Most of the 23 DOTs with either a formal or informal safety incentive or disincentive pro- gram had said program in place for many years. Figure 3.5 shows that 52% of these DOTs had their program in use for 10 or more years, while 13% have had their program for 5–10 years, Employee/Occupational Safety 55% Other - Write In22% Human Resources 18% Management/Finance 5% Figure 3.1. Respondent breakdown by division, N 5 40. No 67% Yes 33% Figure 3.2. Existence of a formal incentive/disincentive program, N 5 40.

Results of the Survey Questionnaire 13   No 55% Yes 45% Figure 3.3. Existence of an informal incentive/disincentive program, N 5 40. Yes 61% No 39% Figure 3.4. Existence of training requirements for incentive/ disincentive program, N 5 23. Less than a year 4% 1-3 years 22% 3-5 years 9% 5-10 years 13% >10 years 52% Figure 3.5. Years of use with incentive/disincentive program, N 5 23.

14 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews 9% have had their program for 3–5 years, 22% have had their program for 1–3 years, and 4% have had their program for less than a year. Safety Behaviors Recognized Based on the responses to the existence of a formal or informal safety incentive or disincentive program, the survey respondents were divided into one of four tracks to understand to what degree safety behaviors were measured, rewarded, or recognized. The four categories were (1) DOTs with a formal and with an informal safety incentive or disincentive program, (2) DOTs with a formal but not an informal safety incentive or disincentive program, (3) DOTs without a formal but with an informal safety incentive or disincentive program, and (4) DOTs without a formal and without an informal safety incentive or disincentive program. The responses for each of the four categories follow in subsequent sections. Prior to the results of the four categories, the aggregate results are presented in Table 3.1 to give a holistic and national perspective on the types of behaviors tracked and whether or not they are formally or informally incentivized. Do you track, measure, or recognize this behavior? Are there informal incentives associated with this behavior? (not policy, not written) Are there formal incentives associated with this behavior? (structured, written policy) Are there informal disincentives associated with this behavior? (not policy, not written) Are there formal disincentives associated with this behavior? (structured, written policy) Number of “Yes” Responses Maximum is: N = 37 N = 18 N = 11 N = 18 N = 11 Participating in developing and improving the safety program 18 8 8 2 3 Instructing new employees on safety procedures 23 5 6 6 4 Suggesting improvements to safety procedures 23 8 7 1 1 Submitting near-miss reports 20 5 5 2 3 Reporting safety violations 17 4 3 3 3 Using correct safety actions or work practices 23 9 7 7 7 Using equipment and personal protective equipment (PPE) safely 25 9 7 7 8 Suggesting improvements to PPE 17 6 3 1 1 Obtaining safety goals or objectives individually 14 8 7 2 3 Obtaining safety goals or objectives as a crew 19 9 5 3 3 Obtaining safety goals or objectives as a district/region 20 8 6 4 3 Obtaining safety goals or objectives as a DOT 18 6 2 2 2 Note: Three respondents left the question blank. Table 3.1. Safety behaviors recognized for DOTs, N 5 37.

Results of the Survey Questionnaire 15   For DOTs with a Formal and an Informal Incentive/Disincentive Program Eight DOTs noted the existence of both a formal and an informal safety incentive or dis- incentive program. This section outlines the results of a question on a series of safety behaviors in terms of whether their DOT tracks, measures, or recognizes each individual behavior, and whether there are informal or formal incentives or disincentives for the practice or lack of prac- tice of each safety behavior. The results are presented in Table 3.2 both as counts and as a percentage of the total in each safety behavior. Many of the safety behaviors noted are tracked, measured, and recognized by the respond- ing DOTs, with all behaviors having more DOTs tracking them than not. The one exception is “obtaining safety goals or objectives as a DOT,” which received an equal number of “yes” and “no” responses (4 and 4). In terms of specific safety behaviors, this group of DOTs frequently tracks instructing new employees on safety behaviors, using equipment and personal protective equipment (PPE) safely, and obtaining safety goals or objectives as a crew. Do you track, measure, or recognize this behavior? Are there informal incentives associated with this behavior? (not policy, not written) Are there formal incentives associated with this behavior? (structured, written policy) Are there informal disincentives associated with this behavior? (not policy, not written) Are there formal disincentives associated with this behavior? (structured, written policy) Number of “Yes” Responses Maximum is N = 8 Participating in developing and improving the safety program 6 3 6 1 2 Instructing new employees on safety procedures 7 3 5 3 4 Suggesting improvements to safety procedures 5 4 5 1 1 Submitting near-miss reports 5 3 4 2 3 Reporting safety violations 5 2 3 2 3 Using correct safety actions or work practices 6 5 6 4 6 Using equipment and PPE safely 7 5 5 4 6 Suggesting improvements to personal protective equipment (PPE) 6 4 3 1 1 Obtaining safety goals or objectives individually 5 4 5 2 3 Obtaining safety goals or objectives as a crew 7 5 4 3 3 Obtaining safety goals or objectives as a district/region 6 5 4 4 3 Obtaining safety goals or objectives as a DOT 4 3 2 2 2 Table 3.2. Safety behaviors recognized for DOTs with a formal and an informal incentive/disincentive program, N 5 8.

16 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews For DOTs with a Formal and without an Informal Incentive/Disincentive Program The second group explored specific safety behaviors for DOTs that had a formal but not an informal safety incentive or disincentive program. Only three DOTs noted this type of arrangement in their overall occupational safety programs. The results of the question, whether those specific safety behaviors are tracked, measured, or recognized and whether there are formal incentives or disincentives, can be seen in Table 3.3. In this grouping of DOTs, few safety behaviors have a formal disincentive associated with the performance or lack of performance of such behaviors. The only behaviors noted as having a disincentive were not participating in the development and improvement of the safety program, not using correct safety actions or work practices, and not using equipment and PPE safely. Conversely, there was no formal incentive for reporting safety violations, suggesting improvements to PPE, and obtaining safety goals or objectives as a DOT. Some of these may avoid the unintended consequences of incentivizing underreporting or not reporting incidents. All of the DOTs in this Do you track, measure, or recognize this behavior? Are there formal incentives associated with this behavior? (structured, written policy) Are there formal disincentives associated with this behavior? (structured, written policy) Number of “Yes” Responses Maximum is N = 3 Participating in developing and improving the safety program 2 2 1 Instructing new employees on safety procedures 3 1 0 Suggesting improvements to safety procedures 2 2 0 Submitting near-miss reports 2 1 0 Reporting safety violations 2 0 0 Using correct safety actions or work practices 2 1 1 Using equipment and PPE safely 3 2 2 Suggesting improvements to personal protective equipment (PPE) 1 0 0 Obtaining safety goals or objectives individually 2 2 0 Obtaining safety goals or objectives as a crew 2 1 0 Obtaining safety goals or objectives as a district/region 3 2 0 Obtaining safety goals or objectives as a DOT 2 0 0 Table 3.3. Safety behaviors recognized for DOTs with a formal and without an informal incentive/disincentive program, N 5 3.

Results of the Survey Questionnaire 17   grouping track, measure, or recognize employees who instruct new employees on safety procedures, use equipment and PPE safely, and obtain safety goals or objectives as a district/region. For DOTs without a Formal but with an Informal Incentive/Disincentive Program DOTs that do not have a formal safety incentive or disincentive program but do have an informal safety incentive or disincentive program are reported in this section. There were 10 DOTs responding to the survey with this breakdown of their safety program. Specific safety behaviors that are tracked, measured, or recognized, and whether there are formal incentives or disincentives for these behaviors, are reported in Table 3.4. A few of these DOTs have informal disincentives for some of the specific safety behaviors included in the survey. The only informal disincentives noted were for not participating in devel- oping and improving the safety program, not instructing new employees on safety procedures, Do you track, measure, or recognize this behavior? Are there informal incentives associated with this behavior? (not policy, not written) Are there informal disincentives associated with this behavior? (not policy, not written) Number of “Yes” Responses Maximum is N = 10 Participating in developing and improving the safety program 5 5 1 Instructing new employees on safety procedures 6 2 3 Suggesting improvements to safety procedures 7 4 0 Submitting near-miss reports 8 2 0 Reporting safety violations 5 2 1 Using correct safety actions or work practices 6 4 3 Using equipment and PPE safely 6 4 3 Suggesting improvements to personal protective equipment (PPE) 5 2 0 Obtaining safety goals or objectives individually 4 4 0 Obtaining safety goals or objectives as a crew 4 4 0 Obtaining safety goals or objectives as a district/region 6 3 0 Obtaining safety goals or objectives as a DOT 7 3 0 Table 3.4. Safety behaviors recognized for DOTs without a formal and with an informal incentive/disincentive program, N 5 10.

18 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews not reporting safety violations, not using correct safety actions or work practices, or not using equipment and PPE safely. In terms of tracking and measuring specific safety behaviors within this group, submitting near-miss reports, suggesting improvements to safety procedures, and obtaining safety goals or objectives as a DOT were most frequently noted as being tracked and measured. The only safety outcomes that had more DOTs not track or measure than DOTs that did track or measure them were obtaining safety goals or objectives individually and obtaining safety goals or objectives as a crew. For DOTs without a Formal or an Informal Incentive/Disincentive Program The final grouping represents DOTs without a formal or an informal safety incentive and disincentive program. Given the lack of incentives or disincentives, these DOTs were asked whether the specific safety behaviors were tracked or measured. The results of the question are seen in Table 3.5. Fifteen DOTs fit in this grouping. For the prescribed specific safety behaviors, this grouping had fewer items noted as being tracked, measured, or recognized compared to the other groups described in this chapter. Only suggesting improvements to safety procedures, using correct safety actions or work practices, and Do you track, measure, or recognize this behavior? Number of “Yes” Responses Maximum is N = 15 Participating in developing and improving the safety program 5 Instructing new employees on safety procedures 7 Suggesting improvements to safety procedures 9 Submitting near-miss reports 5 Reporting safety violations 5 Using correct safety actions or work practices 9 Using equipment and PPE safely 9 Suggesting improvements to personal protective equipment (PPE) 5 Obtaining safety goals or objectives individually 3 Obtaining safety goals or objectives as a crew 6 Obtaining safety goals or objectives as a district/region 5 Obtaining safety goals or objectives as a DOT 5 Table 3.5. Safety behaviors recognized for DOTs without a formal and without an informal incentive/disincentive program, N 5 15.

Results of the Survey Questionnaire 19   using equipment and PPE safely received more DOTs tracking and measuring than DOTs that do not track or measure them. There is also not a specific safety behavior that a strong majority of DOTs in this group track or measure. The highest percentage of DOT tracking and measuring is for suggesting improvements to safety procedures, using correct safety actions or work practices, and using equipment and PPE safely, which all resulted in 60% of respondents in this group track- ing or measuring and 40% of respondents in this group not tracking or measuring. Defined Process for Selecting Incentives Beyond safety behaviors, survey respondents were asked whether their DOT has a defined pro- cess for selecting what safety incentives are used in their safety programs. Thirty-seven DOTs responded to this question, with a majority (76%) not having a process for incentive selection (see Figure 3.6). Only seven DOTs noted that they did have a process for incentive selection. Types and Frequency of Rewards, Recognition, or Disincentives A secondary objective of this synthesis was to identify the types and frequencies of rewards, recognition, or disincentives. Table 3.6 presents the results of 40 DOTs in terms of what incentives and disincentives are utilized as well as their frequency. A strong majority of the incentives or disincentives are only used as needed (37%) or not at all (44%), determined from the answers of 40 respondents to 14 incentives/disincentives (560 pos- sible answers). There are several offered annually (8%), and a few offered monthly (2%) and quarterly (1%). Responses were also received for daily (1%) and weekly (<1%). The most frequently utilized incentives and disincentives noted were corrective action through verbal communication (78%), disciplinary action (85%), recognition in a distributed newsletter or other written communication (75%), recognition/appreciation through verbal communication (85%), and training/education (73%). In terms of incentives and disincentives that were noted as being frequently used at some level of regularity (i.e., more than “as needed”), prizes such as hats, plaques, trophies, apparel, Yes 19% No 76% Unsure 5% Figure 3.6. Existence of a defined process for selecting safety incentives, N 5 37.

20 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews event tickets, and so forth had 13 DOTs noting that they are used annually. Seven DOTs noted recognition in a distributed newsletter or other written communication as an annual incentive. Finally, a financial reward or disincentive through performance evaluations affecting raises was noted by five DOTs as being used annually. In total, the following safety incentives have been noted by DOTs as being used: • Financial reward as a bonus • Financial reward as paid time off • Financial reward through raises via performance evaluations N/A As needed Daily Weekly Monthly Quarterly Annually Other Number of Affirmative Responses Maximum N= 40 Financial reward through additional compensation of a bonus system 32 1 0 0 0 1 3 0 Financial reward or disincentive through additional paid time-off or furlough 34 2 0 0 0 0 1 0 Financial reward or disincentive through performance evaluations affecting raises 30 2 0 0 0 0 5 0 Prizes (e.g., hats, plaques, trophies, apparel, event tickets) 13 12 0 0 0 0 13 0 Meals (e.g., on-site food services) 25 6 0 0 0 2 3 0 Recognition in a distributed newsletter or other written communication 12 16 0 0 4 3 7 0 Corrective actions in a distributed newsletter or other written communication 21 11 0 0 4 0 1 1 Recognition/appreciation through verbal communication 4 26 2 0 1 2 3 0 Recognition/appreciation through written communication 8 24 0 0 2 0 1 0 Corrective action through verbal communication 5 29 1 0 0 0 1 0 Disciplinary action 4 29 2 0 0 0 2 1 Special assignments 21 16 0 0 0 0 0 0 Promotion/advancement 27 9 0 0 0 0 0 0 Training/education 9 23 1 1 1 0 3 0 Total Responses 245 206 6 1 12 8 43 2 Note: N/A = no answer. Table 3.6. Types and frequencies of incentives and disincentives used, N 5 40.

Results of the Survey Questionnaire 21   • Hats, plaques, trophies, apparel, event tickets, stickers, and other prizes • Meals • Written recognition • Verbal recognition Sources of Funding Funding is a significant consideration for DOTs in creating and sustaining an incentive and disincentive program. Specific DOT approaches to sourcing funds for their programs can be found in the case examples in Chapter 4. In the survey, respondents were asked to identify the types of funding sources used for safety incentives, and the results are displayed in Figure 3.7. Thirty-one DOTs responded to this question, with the highest responses being discretionary funds (36%) followed by Other (32%), state (highway fund) (26%), a combination of state and federal funds (13%), and federal only (3%) funds. The write-in responses for the Other category include conference funds not used for conferences, Director’s discretion, workers’ compen- sation premium incentives for maintaining an ERTW (early return-to-work) program, and Operations/human resources (HR) budget. Restrictions on Funding The survey also asked whether there were any restrictions on these funds used for incen- tives. While the survey only asked for a yes or no response to the existence of funding restric- tions, some more details on restrictions were gleaned and reported in the case examples in Chapter 4. Fifty-two percent of respondents noted the existence of restrictions on funding used for incentives, while only 9% of respondents noted that there were no restrictions. Another 39% of respondents were unsure whether the funds used for safety incentives had restrictions (see Figure 3.8). 36% 32% 26% 13% 3% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Discretionary Other - Write In State (Highway Fund) Combination of State and Federal sources Federal Pe rc en t Figure 3.7. Sources of funding for incentive program, N 5 31.

22 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Respondents were also asked to provide an open-ended description of the types of restrictions on their funding. Their responses are copied in the following: • Budget. • Director must approve. • Agency has a set pool of funds used for “spot bonuses” which are the funds that would be accessed for a monetary, safety-related, incentive. • $11 max. item per employee. • Legislative (two respondents). • Must be aligned with State Law/Administrative Code/Legislative Requirements/etc. • State and federal funds may not be used on incentives. We currently use unspent funds from conference registrations. We are looking into requesting incentives from consultants and contractors if they are approved resources. • State statutes require that incentives not have a monetary value (can’t be resold). • Budget as well as gift amounts for employees. • Purchasing of incentives [has] to be in line with state regulations governing purchases. • Currently we give safety awards for 6 different tiers and each tier has a specified dollar amount allowed for the award. • The DOT has had a rough few years with the decrease in mineral royalties. Budgets are being cut due to this. Safety is a part of each employees’ yearly evaluation that does play into raises, so no specific safety bonuses or funds are allocated to safety incentives. • State Division of Financial Services limits our incentives to de minimis rewards. We chose safety coins and medallions. Other Motivational Strategies This project also sought to identify what other safety motivational strategies are used by DOTs to improve occupational safety. Figure 3.9 presents the results of a survey question on what other motivational strategies are used. Ninety-four percent of respondents use safety training to improve safety, followed by safety reminders (83%), safety awareness/hazard recognition training (78%), leadership training (67%), safety stand-downs (56%), safety accountability (44%), good catch programs (17%), and Other (11%). The write-in responses for the “other” category include leading indicators program, monthly safety meetings, regular leadership-level updates, and safety teams/committees. Yes 52% No 9% Unsure 39% Figure 3.8. Existence of restrictions on sources of funding for incentives, N 5 33.

Results of the Survey Questionnaire 23   Evaluation of Program The survey also asked respondents how their DOTs evaluate the success of their safety incentive or disincentive programs. Figure 3.10 shows the results of this question. Most DOTs evaluate success based on an analysis of performance metrics (e.g., OSHA recordable incident rate) (64%) and an analysis of workers’ compensation claims (64%). Some DOTs also evaluate through an informal or anecdotal evaluation (47%) or documented changes in workers’ safety behavior (31%). 94% 83% 78% 67% 56% 44% 17% 11% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Sa fe ty tr ai ni ng Sa fe ty re m in de rs Sa fe ty a w ar en es s/ ha za rd re co gn iti on tr ai ni ng Le ad er sh ip tr ai ni ng Sa fe ty st an d- do w ns Sa fe ty a cc ou nt ab ili ty G oo d ca tc h pr og ra m s O th er – w rit e in Pe rc en t Figure 3.9. Other safety improvement strategies used, N 5 36. 64% 64% 47% 31% 14% 14% 14% 6% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% A na ly si s o f p er fo rm an ce m et ric s (e .g ., O SH A re co rd ab le in ci de nt ra te ) A na ly si s o f w or ke rs ’ c om pe ns at io n cl ai m s In fo rm al , a ne cd ot al e va lu at io n D oc um en te d ch an ge in w or ke r sa fe ty b eh av io r N o ev al ua tio n is m ad e A na ly si s o f i nc en tiv es /d is in ce nt iv es fo r e m pl oy ee s B as ed o n va lu e (c os ts v s. be ne fit s) O th er – w rit e in Pe rc en t Figure 3.10. Evaluation strategies used for incentive program, N 5 36.

24 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews A few DOTs analyze the incentives/disincentives for employees (14%) and evaluate them based on costs and benefits (14%). An additional 14% of respondents noted that no evaluation was made. One of the two DOTs that specified Other provided a write-in response of field safety reviews to measure the success of their safety incentives. Implementation Strategies Along with funding, implementation strategies are another potential challenge for a safety incentive or disincentive program. Survey respondents were asked what implementation strate- gies were used by their DOTs, and the results are presented in Figure 3.11. Most DOTs engaged their employees in the process (85%) or used employee suggestions or other feedback mecha- nisms (74%) to implement their safety incentive or disincentive programs successfully. Some also communicated and advertised the program (41%), provided dedicated staff to manage the program (38%), piloted the programs in a region or district (35%), formed an oversight team (15%), or involved collective bargaining (12%). Write-in responses represented 12% of survey respondents to this question and included items such as using an active JHA/JSA (job hazard analysis/job safety analysis) program and safety professionals in each district to facilitate the program. Implementation Challenges The implementation strategies noted in the previous section can still lead to implementation challenges. Survey respondents were asked about challenges encountered in their safety incentive programs (see Figure 3.12). The most frequently noted challenge was a lack of employee buy-in (59%), followed by other duties/programs having a higher priority (53%) and a lack of fund- ing (44%). The implementation challenges noted by the fewest number of survey respondents were poor morale (29%), lack of time to implement the program (24%), and declining program momentum (15%). The write-in option was selected by 18% of survey respondents. Some write-in 85% 74% 41% 38% 35% 15% 12% 12% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Em pl oy ee e ng ag em en t Em pl oy ee su gg es tio n or o th er fe ed ba ck m ec ha ni sm C om m un ic at io n pl an s/ ad ve rti se m en t o f p ro gr am D ed ic at ed st af f t o m an ag in g th e pr og ra m Pi lo t p ro gr am in re gi on o r d is tri ct Fo rm at io n of o ve rs ig ht te am C ol le ct iv e ba rg ai ni ng O th er – w rit e in Pe rc en t Figure 3.11. Implementation strategies used for incentive program, N 5 34.

Results of the Survey Questionnaire 25   responses were challenges defining leading indicators for incentives, lack of standards, legisla- tive blocks, safety coordinator positions turning over quickly, and pandemic disruption and morale issues. Management Involvement While incentives are directed toward field-level employees, management plays a significant role in the overall safety incentive program. DOTs were asked how frequently certain levels of management participate in the safety incentive program, as seen in Table 3.7. 59% 53% 44% 38% 35% 35% 32% 29% 24% 18% 15% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% La ck o f e m pl oy ee b uy -in O th er d ut ie s/ pr og ra m h av e hi gh er pr io rit y La ck o f f un di ng La ck o f s ta ff in g su pp or t f or pr og ra m La ck o f p er ce iv ed b en ef it D iff ic ul t t o ad m in is te r r eg ul ar ly a nd fa irl y La ck o f e xe cu tiv e/ le ad er sh ip su pp or t Po or m or al e La ck o f t im e to im pl em en t p ro gr am O th er – w rit e in D ec lin in g pr og ra m m om en tu m Pe rc en t Figure 3.12. Implementation challenges encountered with incentive programs, N 5 34. Day-to-Day Participation Participation at Regular Frequency (e.g., weekly, monthly, or quarterly) Attending Awards Ceremonies Employee Recognition Meetings At Time of Safety Incident Responses/ As a Percentage Responses/ As a Percentage Responses/ As a Percentage Responses/ As a Percentage Responses/ As a Percentage First-line supervisor 28 32% 15 17% 12 14% 10 12% 22 25% Second-line supervisor 15 21% 17 24% 14 19% 13 18% 13 18% District/region manager 4 6% 19 26% 18 25% 14 19% 17 24% Central office program manager 6 10% 15 24% 19 30% 12 19% 11 18% Executive 12% 9 18% 19 39% 10 20% 10 20% Total responses As a percentage of total 54 15.7% 75 21.9% 82 23.9% 59 17.2% 73 21.3% Table 3.7. Level of management involvement in incentive program, N 5 40.

26 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews First-line supervisors are most often involved daily (32%) and during a safety incident (25%). Second-line supervisors are typically involved at some regular frequency, such as weekly, monthly, or quarterly (24%). District or Regional Managers are also most often involved at regular frequencies such as weekly, monthly, or quarterly (26%). Central Office Program Managers most often participate at awards ceremonies (30%) or at a regular frequency (24%). Finally, executives at DOTs primarily participate in awards ceremonies (39%), according to survey respondents. Written Policies and Procedures Survey respondents were given the option to upload or comment on any written policies that their DOT has. Seven safety incentive and disincentive program documents were uploaded from Idaho, Mississippi, Minnesota, Pennsylvania, South Carolina, South Dakota, and West Virginia. These items are included in Appendix D.

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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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