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Page 49
Suggested Citation:"Appendix A - 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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Page 49
Page 50
Suggested Citation:"Appendix A - 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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Page 50
Page 51
Suggested Citation:"Appendix A - 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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Page 51
Page 52
Suggested Citation:"Appendix A - 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.
×
Page 52
Page 53
Suggested Citation:"Appendix A - 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.
×
Page 53
Page 54
Suggested Citation:"Appendix A - 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.
×
Page 54
Page 55
Suggested Citation:"Appendix A - 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.
×
Page 55
Page 56
Suggested Citation:"Appendix A - 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.
×
Page 56
Page 57
Suggested Citation:"Appendix A - 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.
×
Page 57
Page 58
Suggested Citation:"Appendix A - 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.
×
Page 58
Page 59
Suggested Citation:"Appendix A - 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.
×
Page 59
Page 60
Suggested Citation:"Appendix A - 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.
×
Page 60
Page 61
Suggested Citation:"Appendix A - 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.
×
Page 61
Page 62
Suggested Citation:"Appendix A - 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.
×
Page 62
Page 63
Suggested Citation:"Appendix A - 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.
×
Page 63
Page 64
Suggested Citation:"Appendix A - 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.
×
Page 64
Page 65
Suggested Citation:"Appendix A - 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.
×
Page 65
Page 66
Suggested Citation:"Appendix A - 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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Page 67
Suggested Citation:"Appendix A - 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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Page 68
Suggested Citation:"Appendix A - 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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Page 69
Suggested Citation:"Appendix A - 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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Page 69

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

50 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Email to Potential Participants From: Gabriel B. Dadi, Ph.D., PE To: Members of AASHTO Standing Committee on Maintenance Members and North American Association of Transportation Safety & Health Officials (NAATSHO) Subject: NCHRP Project 20-05/Synthesis Topic 53-02: Practices to Motivate Safe Behaviors SURVEY REQUEST Dear AASHTO Committee on Maintenance (COM) or NAATSHO Member, The Transportation Research Board (TRB), through the National Cooperative Highway Research Program (NCHRP), under the sponsorship of the American Association of State Highway and Transportation Officials (AASHTO), and in cooperation with the Federal Highway Administration (FHWA) is preparing a synthesis report on Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews. The purpose of this questionnaire is to identify DOT use, evaluation, and perceptions of safety incentive/disincentive programs in managing employee safety. The results of the survey will be incorporated into a synthesis of highway practice, with the intent of helping DOTs evaluate and improve their safety management practices. This survey is being sent to each DOT for distribution to applicable employees. If you are not the appropriate person at your agency to complete this questionnaire, please forward this request to the correct person. A PDF of the questionnaire is attached for you to see what the questions are to best determine who should respond for your agency. To complete the survey, please use the link at the end of this email. Please compete and submit this survey by Friday May 13th if possible at the link below. We estimate that it should take no more than 15 minutes to complete. If you have any questions or problems with operation or access to the questionnaire, please contact me, the project principal investigator, Dr. Gabe Dadi. Thank you for your time and expertise in completing this questionnaire. https://survey.alchemer.com/s3/6787923/NCHRP-Synthesis-53-02-Practices-to-Motivate-Safe- Behaviors-with-Highway-Construction-and-Maintenance-Crews Best, Gabriel B. Dadi, Ph.D., PE W.L. Raymond and R.E. Shaver Chair Associate Professor Department of Civil Engineering University of Kentucky

Survey Questionnaire 51   NCHRP Synthesis 53-02 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews 1) Contact Information* First Name: Last Name: Title: Email: Phone Number: 2) Please select your state department of transportation (DOT) from the drop-down list. * Alabama Alaska Arizona Arkansas California Colorado Connecticut Delaware Florida Georgia Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky

52 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Louisiana Maine Maryland Massachusetts Michigan Minnesota Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York North Carolina North Dakota Ohio Oklahoma Oregon Pennsylvania Rhode Island South Carolina South Dakota Tennessee Texas Utah Vermont Virginia Washington West Virginia

Survey Questionnaire 53   Wisconsin Wyoming 3) What division do you work for within your agency? Human Resources Employee/Occupational Safety Management/Finance Other - Write In: 4) Does your DOT have a formal incentive/disincentive program for safety-related behaviors? *if yes, skip to Question 5a Yes No 5) Does your DOT have an informal incentive/disincentive program for safety-related behaviors? *if yes, skip to Question 5c Yes No 5a. Does your incentive/disincentive program entail training requirements? Yes No 5b. Please send written policies and/or procedures relating to the formal safety incentive/disincentive program that you’d be willing to share to the Principal Investigator, Gabe Dadi.

54 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews 1-3 years >3-5 years >5-10 years >10 years 6a. Does your DOT recognize any of the following behaviors through an informal or formal incentive/disincentive program? 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) Participating in developing and improving the safety program Yes No Yes No Yes No Yes No Yes No Instructing new employees on safety procedures Yes No Yes No Yes No Yes No Yes No 5c. Approximately how many years has your DOT been using any of the incentives/disincentives noted previously? Less than a year

Survey Questionnaire 55   Suggesting improvements to safety procedures Yes No Yes No Yes No Yes No Yes No Submitting near miss reports Yes No Yes No Yes No Yes No Yes No Reporting safety violations Yes No Yes No Yes No Yes No Yes No Using correct safety actions or work practices Yes No Yes No Yes No Yes No Yes No Using equipment and PPE safely Yes No Yes No Yes No Yes No Yes No Suggesting improvements to personal protective equipment (PPE) Yes No Yes No Yes No Yes No Yes No

56 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Obtaining safety goals or objectives individually Yes No Yes No Yes No Yes No Yes No Obtaining safety goals or objectives as a crew Yes No Yes No Yes No Yes No Yes No Obtaining safety goals or objectives as a district/region Yes No Yes No Yes No Yes No Yes No Obtaining safety goals or objectives as a DOT Yes No Yes No Yes No Yes No Yes No 6b. Does your DOT recognize any of the following behaviors through an informal or formal incentive/disincentive program? 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) Participating in developing and Yes Yes Yes

Survey Questionnaire 57   improving the safety program No No No Instructing new employees on safety procedures Yes No Yes No Yes No Suggesting improvements to safety procedures Yes No Yes No Yes No Submitting near miss reports Yes No Yes No Yes No Reporting safety violations Yes No Yes No Yes No Using correct safety actions or work practices Yes No Yes No Yes No

58 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews No No No Suggesting improvements to personal protective equipment (PPE) Yes No Yes No Yes No Obtaining safety goals or objectives individually Yes No Yes No Yes No Obtaining safety goals or objectives as a crew Yes No Yes No Yes No Obtaining safety goals or objectives as a district/region Yes No Yes No Yes No Obtaining safety goals or objectives as a DOT Yes No Yes No Yes No Using equipment and PPE safely Yes Yes Yes

Survey Questionnaire 59   6c. Does your DOT recognize any of the following behaviors through an informal or formal incentive/disincentive program? 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) Participating in developing and improving the safety program Yes No Yes No Yes No Instructing new employees on safety procedures Yes No Yes No Yes No Suggesting improvements to safety procedures Yes No Yes No Yes No Submitting near miss reports Yes No Yes No Yes No

60 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Reporting safety violations Yes No Yes No Yes No Using correct safety actions or work practices Yes No Yes No Yes No Using equipment and PPE safely Yes No Yes No Yes No Suggesting improvements to personal protective equipment (PPE) Yes No Yes No Yes No Obtaining safety goals or objectives individually Yes No Yes No Yes No Obtaining safety goals or objectives as a crew Yes No Yes No Yes No

Survey Questionnaire 61   Obtaining safety goals or objectives as a district/region Yes No Yes No Yes No Obtaining safety goals or objectives as a DOT Yes No Yes No Yes No 6d. Does your DOT recognize any of the following behaviors through an informal or formal incentive/disincentive program? Do you track, measure, or recognize this behavior? Participating in developing and improving the safety program Yes No Instructing new employees on safety procedures Yes No

62 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Suggesting improvements to safety procedures Yes No Submitting near miss reports Yes No Reporting safety violations Yes No Using correct safety actions or work practices Yes No Using equipment and PPE safely Yes No Suggesting improvements to personal protective equipment (PPE) Yes No

Survey Questionnaire 63   Obtaining safety goals or objectives individually Yes No Obtaining safety goals or objectives as a crew Yes No Obtaining safety goals or objectives as a district/region Yes No Obtaining safety goals or objectives as a DOT Yes No

7. What are some types and frequency (or milestones) of rewards, recognition, or disincentives used by your DOT in regard to safety behaviors? N/A As needed Daily Weekly Monthly Quarterly Annually Other Financial reward through additional compensation of a bonus system Financial reward or disincentive through additional paid time-off or furlough Financial reward or disincentive through performance evaluations affecting raises

Prizes (e.g., hats, plaques, trophies, apparel, event tickets, etc.) Meals (i.e., on site food services) Recognition in a distributed newsletter or other form of written communication Corrective actions in a distributed newsletter or other form of written communication Recognition/appreciation through verbal communication

Recognition/appreciation through written communication Corrective action through verbal communication Disciplinary action Special assignments Promotion/advancement Training/education

Survey Questionnaire 67   8. Does your organization have a defined process for selecting safety incentives? Yes No Unsure 9. What are the source(s) of funding for the rewards used to incentivize safe behaviors? Select all that apply. State (Highway Fund) Federal Combination of State and Federal sources Discretionary Other - Write In: 10. Are there restrictions on the sources of funding used to incentivize safe behaviors? Yes No Unsure If yes, please provide any additional detail on the restrictions in place. 11. Does your DOT employ the use of any of these other safety improvement strategies? Select all that apply. Safety Awareness/Hazard Recognition Training Safety Reminders Safety Stand Downs Safety Training Safety Accountability Good Catch Programs Leadership Training Other -

68 Practices to Motivate Safe Behaviors with Highway Construction and Maintenance Crews Analysis of performance metrics (e.g., OSHA recordable incident rate) Analysis of workers’ compensation claims Analysis of incentives/disincentives for employees Based on value (costs vs. benefits) Documented change in worker safety behavior Informal, anecdotal evaluation Other - 13. What strategies has your DOT implemented to create a program to motivate safe behaviors? Select all that apply. Formation of oversight team Communication plans/advertisement of program Collective bargaining Employee engagement Pilot program in region or district Employee suggestion or other feedback mechanism Dedicated staff to managing the program Other - 14. What challenges has your DOT experienced with implementing a program to motivate safe behaviors? Select all that apply. Lack of funding Lack of staffing support for program Lack of employee buy-in Declining program momentum Other duties/program have higher priority Lack of perceived benefit Poor morale Lack of executive/leadership support Difficult to administer regularly and fairly Lack of time to implement program Other - 12. How do you evaluate your DOT’s approach to motivate safe behaviors? Select all that apply. No Evaluation is made

Survey Questionnaire 69   15. How is your DOT management (by management level) involved in your program to motivate safe behaviors? Select all that apply. Day-to-Day Participation Participation at Regular Frequency (i.e., weekly, monthly, or quarterly) Attending Awards Ceremonies Employee Recognition Meetings At time of safety incident First line supervisor Second line supervisor District/Region Manager Central Office Program Manager Executive 16. Would you be willing to participate in a follow-up interview? Yes No Thank You!

Next: Appendix B - Survey Results »
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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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