comment on a significant idea that you gained from the material that you read.

Top management buy-in is essential to successful change depends on the OSH professional's ability sors, risk management or external vendors used in outcomes for any audit. Auditors strive to outline to get buy-in from all levels affected by them. Audit FIGURE 1 vehicle management/incident management. ways to conduct audits and gain top management results offer guidance on who, where, when and Work with key stakeholders to define the audit support. Top-down-driven change is important why a company needs to change. Sometimes they Using ANSI/ASSE Z15.1 as an Audit Guide scope, then communicate what topics will be cov- for safety management success in any safety area. can also guide how to change. ered in the audit and an overview of the process. When leaders support improvement and a strong Start building communication information (e.g., safety culture, employees benefit. This is especially Facilitating Buy-In External and Current process for Identify key stakeholder and audit team names and contact in- critical for fleet management because motor ve- The OSH professional should initiate garner- internal auditors managing fleet stakeholders formation). Develop a preaudit letter that contains hicle crashes are the leading source of death and ing support for improving fleet risk management an overview of the audit scope, process and docu- injury in the U.S. (BLS, 2017). before beginning the audit. The first step is to ments to be reviewed. Obtain key policies such as identify the key stakeholders. They may include motor vehicle safety policies, orientation training Fleet Audits the fleet manager, human resources, sales execu- Selection and Vehicle use (e.g., Types and number materials and vehicle schedule ahead of the audit Supervising drivers, whether commercial or oc- tives, drivers, supervisors, safety professionals, risk of vehicles acquisition of carrying items, casional company drivers, is a unique experience managers and external vendors managing parts of miles per year, type so that auditors can review the information and vehicles become familiar with the organization's basic fleet because the activity occurs outside of the regular the fleet program such as vehicle acquisition and of driving) safety process before the audit begins. scope of supervision. Once the driver leaves the maintenance. Engage key stakeholders early with yard, direct supervision ceases. The methods by the genuine intent to identify strengths and gaps Methods During the Audit which a supervisor can learn how well that em- in how they currently manage fleet risk. Ask open- Inspections, repair Incident reporting Driver qualification Opening Conference ployee performs, such as a toll-free number for ended questions and take time to learn what stake and maintenance and investigation Begin with an opening conference. This helps reporting feedback on the driver, or various tech- holders care about. Actively listen to their concerns provide focus to reduce scope-creep, which can nology devices that can be added to the vehicle to about vehicles and fleet program/process ele- waste valuable time during the audit. It also estab- collect data, may or may not be useful. ments. Seek to understand their unique challenges lishes expectations for outcomes (if not established Managing a fleet presents many risks that a good and identify whether high-influence stakeholders Performance before the audit) so adjustments can be made if fleet manager understands and manages. Recog- care about specific hot spots. Engaging high influ- Policies and evaluation (success Training and participants or clients have different ideas. nized responsibilities include vehicle selection and ence stakeholders is critical to champion improve- procedures acquisition, on-time delivery, proper maintenance ment and initiate momentum. Reinforce that the An effect metrics) communication Audit Checklist of equipment, customer and employee satisfaction. ultimate goal of an audit is to identify strengths and tive audit Use a checklist to guide document reviews and Managing fleet risks is not the same as managing gaps to drive continuous improvement tailored to begins with lead structured interviews. Checklists provide a sys- the day-to-day operations of a fleet. It requires a fit their specific concerns and needs. Finally, en- planning, tematic approach to confirming the effectiveness of good understanding of risk and liabilities as well as courage the fleet manager to build relationships systems currently in place to manage fleet expo- road and driving hazards. It requires an understand- with high-influence stakeholders within their or- communi- sures. Examples of fleet interview questions are: ing of supervisory techniques, training, evaluation ganization. These individuals are respected, so cation and Sample Focus Group Questions . Have policies and procedures been established of reports of incidents and ways to mitigate them. actively engaging these key influencers drives sus- ANSI/ASSE Z15-2012, Safe Practices for Motor defining 1) Is fleet safety a part of your safety strategic plan? How is it to address fleet safety? tainable improvement and will make the fleet pro- documented/demonstrated to the workforce? .Has the policy been communicated to staff at Vehicle Operations, is a great tool for developing a gram owner's job much easier down the road. the audit 2) Are there formal, annual fleet safety and health goals for the all levels? comprehensive set of fleet policies and procedures. scope. acility? Describe. 3) Are there safety performance objectives for reaching these . Does senior management actively support the The 2017 update to ANSI/ASSE Z15 has been ap- Managing Fleet vs. Managing Fleet Risk proved. The authors recommend reviewing the Fleets may be managed internally by a fleet goals for yourself and your direct reports? Describe. policy? How is this demonstrated? Has a fleet safety action plan been established? standard and determining how concepts may be manager, externally by a management company, 4) What was the fleet safety program's performance for the last eporting period? Has it been communicated to all relevant staff? applied effectively to enhance fleet management. through a combination of both or they may not be 5) What priority do you give to fleet safety and what do you think Is a named senior director responsible for fleet Section 3.2.1 of the standard lists the elements of a actively managed at all. Identify how vehicles are supervisors/employees give to it? Pay on commission basis: any afety? good fleet safety manual. The final element listed is selected and acquired, and who makes decisions. impact on fleet safety? .Are staff members, who are responsible for program management audits. Next, seek to understand how other aspects of the 6) How are fleet safety issues communicated to the workforce? drivers, held accountable for fleet safety perfor- Figure 1 (p. 32) depicts topics from the standard fleet are managed. Finally, explore whether and How does the employee get involved? Describe or give examples. mance? that should be included in a fleet program audit. how fleet risk is managed. 7) Effectiveness of current fleet safety training? 8) Do you or your direct reports participate in the fleet safety .Have policies/procedures been developed to In addition, regular supervisory audits should oc- program? How and how often? address owner/operator or leased drivers? De- cur ad hoc throughout the work week, month and Overview of Fleet Safety Audit Process 9) What fleet topics have you covered in toolbox talks in the past scribe. year. Articles that provide additional resources are An effective audit begins with planning, com- year? Describe how you track topics covered in monthly safety .Do new drivers receive training about fleet available in ASSE's Safety, Health and Environ- munication and defining the audit scope. Deci- meetings and toolbox talks. 10) What is working well in fleet safety? What do you think has safety policy and defensive driving prior to driving mental Body of Knowledge. sions must be made on the following: Audits not only offer an idea of compliance, they .auditors: internal or external resources not worked so well? on company business? Document who is respon 11) What types of unsafe driving behaviors are being reported or sible for conducting training and describe driver also provide insight to support other program ele- audit scope: observed by "driver's alert" notification calls and during behind-the- orientation program elements. ments, such as recruitment/hiring, orientation and 1) motor vehicle operations to be evaluated: all wheel observations? Give examples and why they are occurring . Do new drivers complete a ride-along with a training, vehicle maintenance, and maintaining and types of vehicles across the corporation, regulated 12) How does your company ensure that vehicles are in safe manager/supervisor or designee as part of orienta- reporting incident rates to the management level. vehicles (e.g., commercial vehicles, property or condition? What kinds of deficiencies are identified in vehicle tion? Is behind-the-wheel instruction provided for For regulated fleets that fall under Federal Motor passenger), nonregulated vehicles (e.g., passenger inspections? How do defects get corrected? Give examples and Carrier Safety Administration (FMCSA) regulations, vehicles used for sales, service/installation or other why they are occurring. weak driving skill areas? .Do drivers receive updates that communicate audits may be used to determine a company's level business use) and nonowned vehicle operation; 13) Effectiveness of current vehicle incident investigation/root cause analysis? Give examples of some recent ones, top fleet loss trends for driver programs, vehicle losses and safe- of compliance with new rules. Audits help determine 2) business units to be evaluated: evaluate how trends for this location. y awareness? the current level of compliance with regulations so a business unit manages fleet safety across regions 14) Do you observe employees driving, loading vehicle, leaving .Are motor vehicle report records pulled for employers can correct issues to ensure that noncom- or contrast with other divisions or business units; for route, use of seat belts and mobile equipment use; coach them drivers? If so, how is the data used? pliance does not affect the ability to perform work. 3) domestic or global operations; to improve, praise and recognize positive safety actions? .Are safety meetings held periodically that in- The importance of audits is clear. How they are .identify key stakeholders: executive champion, 15) Describe the resources you have to address fleet safety. clude fleet topics provided for drivers? Cite exam- conducted and whether they produce the necessary safety, fleet managers, operations, drivers, supervi- ples and meeting frequency. www.asse.org FEBRUARY 2018 ProfessionalSafety 31 32 ProfessionalSafety FEBRUARY 2018 www.asse.org-Does training focus on organization-specic incident causes (e.g., backing left turns, following too closely, intersections)? What is the policy for mobile device use? 01s a training program specific to distracted drivs ing employed? -Is a driver improvement program employed when remedial training is required? Records Review Onssite records review involves validating that the organization has adequate records to support motor vehicle safety policy elements in the area of driver selection, driver training management support, route management, vehicle inspection/ maintenance and how accidents are reported and investigated. The focus of a records review will vary depending on whether the audit is being conduct- ed on regulated vehicles or nonregulated vehicles. 'Regulated vehicles have required documents to maintain for driver qualication, hours of ser- vice, vehicle maintenance/investigation, drug and alcohol testing and roadside violations. Record res views for regulated eets are more comprehensive and involve evaluation of required documents to comply with FMCSA regulations 'The nonregulated eet review will not have required records but should rely on best practices as outlined in ANSI/ASSE 215.1, Safe Practices of Motor Vehicle Operations. Does this type of eet have eet safety management systems established to: address driver selection, highrisk driver man agement, training on defensive driving techniques, distracted driving, behind-the-wheel coaching new hire/refresher/remedial training, vehicle selec- tion/maintenance, journey management, incident investigation and management leadership? 'Records review involves gathering supporting documents and a systematic review of documents to gain an understanding of the level of compliance to standards and adequacy of risk controls. -Identify safety metrics established to measure effectiveness of the motor vehicle safety manage ment process. Examples include: 1) Commonly seen lagging indicators: crashes per million miles, preventable crash rate, trending of incident costs for auto liability/property damage, Bryear cost for injuries caused by motor vehicle crashes (gathered from the workers' compensation carrier). 2) Commonly seen leading indicators: percentv age of drivers trained and type; behind-the-wheel, coaching computer-based, hazards perception training, telematics events coached, benchmarks established for selected telematics events such as harsh braking events, seat belt use, speeding clo- sure time on corrective action plans established from motor vehicle investigation. Conducting Interviews, Focus Groups & Discussions With Drivers Interviews are a form of verification strategies that play a key role in conducting effective eet assessments. The assessment team must under stand not only what programs are in place, but also how ncli they are implemented and under- stood by management and drivers. Focus groups provide an excellent modality to verify integration and effectiveness of written programs and policies. Reviewers need to exercise professional judgment in determining the exact number of samples or in terviews to take, as well as the method of sampling or types of interview questions. This will be based on the criticality of the element to the location and risk or potential impact of noncompliance. Schedule interviews with various individuals at all levels. Focus groups are useful to gain an under~ standing of how managers, supervisors or drivers view the current safety and claims management process (see sidebar for sample questions). Man- agement and supervisor questions should focus on how fleet safety accountability is handled at the lo- cal level, safety initiatives and specic actions that contribute to eet safety implementation. Typi- cally, separate focus groups are held for manage ers, supervisors and drivers. Management team interviews should be conducted in small groups or onesonsone. Group interviews are effective for both supervisors and drivers, Post Incident Procedures When evaluating postsincident procedures, the auditor will determine whether the organization has a standardized incident reporting procedure, forms and instructions for drivers, dispatch, super- visors and internal claims staff. Obtain copies of incident logs and 10 to 20 recent incident reports. Another option is to ask to see the past 12 months' incident reports. When reviewing reports, evalu- ate the effectiveness of the investigation, whether comprehensive information is included in the re- port (e.g., root cause), and whether information in the report matches the description in the incident log. Evaluate whether information gathered meets what is outlined in company procedures. Next, determine what the organization does with the data. ls data simply reported to the insur ance carrier or thirdsparty administrator to pay the claims and repair the vehicles? Or, is data used to conduct loss analysis to identify incident trends and root causes, and develop corrective and pre ventive action plans? Can the organization demon strate how the management team gets information on incidents? An effective post-incident analysis response will include scheduled management re- ports on crash trends, root causes identied, initial actions taken and crash countermeasures devel- oped and communicated. Closing Conference It is important to share initial findings with the organization during a closing conference. Prepare a brief presentation to highlight: ogoal of assessment; oactivities completed during the audit (e.g., nums ber of perception surveys completed, interviews with management team and drivers, programs/ documents reviewed, number of vehicles surveyed); www.asse.org FEBRUARthHB Pmlsulnmlsnrry as When con- ducting a fleet audit, it is useful to begin by under- standing the busi- ness chal- lenges at a high level. oidentified strengths and opportunities (begin with strengths and best practices); oreview next steps, report preparation, timeline, meeting to review the report and corrective or pre ventive actions required or strategy planning. The audit report should provide details of assess ment observations and findings. The report outlines a professional opinion of how well the organiza tion is complying with regulations (where FMCSA applies) and its policy standards. In addition, the report identies policy gaps and adequacy of risk controls, examines how the company uses incident investigation causal information, key trends for loss data and issues, and develops recommendations. Recommendations should be prioritized by level of importance. Work with the client to validate re- port distribution and schedule a follow-up meeting to review the report and develop tactical plans and strategies for corrective and preventive actions. Slmple Audit Techniques When conducting a fleet audit, many techniques can be practiced to improve information gathering and positively impact interviews, It is useful to begin by understanding the business challenges at a high level. Interviewing is an essential skill for auditors, as they seek to understand how eets and eet risk are managed. When possible, interviews should be conducted in a comfortable setting. Posture should be relaxed and open. Leaning forward and making eye contact (if culturally appropriate) helps put the interviewee at ease. Ask openended questions that cannot be answered with a simple yes or no. Listen actively and quietly. Avoid the urge to share per- sonal stories: this interview is about the eet. Take a moment to reect and ask follow-up questions when further detail is needed. Moments of silence are okay and allow the other individual to gather their thoughts. Take photos during the interview. These may be used during the closing meeting to show others how conclusions were drawn and will teach them to see what you see. These can provide coaching moments when the auditor can facilitate commitment and engagement. Supervisory Audits Auditing is far too often left to a safety ofcial to determine the level of compliance within an organization. It may be conducted annually with signicant investment of time and effort to report ndings and make corrections. By the nature of their position, however, su- pervisors are charged to be an auditor. When su- pervising a large commercial eet, it is crucial for supervisors of professional drivers to incorporate auditing techniques into their daily schedule. Do- ing so helps manage the fleet as weli as manage the regulatory compliance as noted. Auditing at the supervisory level also presents the eet manager with a long list of leading in dicators of safety. For example, if we agree that poor maintenance can lead to increased stopping distance, loss of steering and tire blowouts, then failure to complete adequate pretrip inspections 3' Plnlminmliaiety FEBRUARY 2013 wwwasse.arg should be an early indicator that an incident may result from one of these maintenance issues. If we know that drivers who fail to wear seat belts have an increased risk of injury during a crash, monitor ing for seat belt use on a daily basis can result in the desired rate of use and help prevent injuries. This is where rapid continuous auditing and monis toling (RCAM) can help, Supervisors assess organiza tional risk on a consistent, ongoing basis to determine whether the required procedures and rules are be ing followed, Recognize that supervisors are always pressed for time. In regulated eets, supervisors fear an auditing process as it may uncover their decien cies, as well as amuse the company to citations and fines from a regulatory body such as FMCSA. Add to this the fact that, ly nature of their role, eet supervi- sors wersee personnel who they rarely interact with and it becomes clear why the unnamed driver super- visor rrught fear the auditing process. Safety depart- ments can help by doing the following: 1) Educate driver supervisors on all company man- dates required by written policies and procedures. 2) Ensure that the supervisor understands the discipline process outlined in company policy 3) Train driver supervisors in DOT/FMCSA regs ulations that affect their staff and department. 4) Provide the supervisor with basic background on any safety issue that they may not fully comprehend. The Supervisor's Job Supervisors have a mission to ensure that work is completed safely and efficiently. This requires them to be a mentor, coach, facilitator and motiva- tor, among other roles, because a first-line super- visor is the key. Any good supervisor knows that employees will complete required tasks out of de- sire to be rewarded for doing the right thing or out of fear of being punished for not toeing the line. Implementing both successfuliy may be difcult; this is where success lies. RCAM should be performed each day with focus on an array of driver performance. It is important that supervisors use different techniques to corn duct audits and monitoring, as the surprise factor adds an important element to promote compliance to the desired performance, Take seat belt use as an example. A company has a specific requirement that drivers wear a seat belt, as required by law. During vehicle selection, the company used ANSI/ASSE 2151 section 6.1, Vev hicle Acquisition, and determined that vehicles will be equipped with orange visible safety belts. Section 7.2.1 of the standard requires the employer to \"ana- lyze the casual and connibuting factors\" that inu- ence the outcome or severity. Lack of belt use can contribute to increased injury to the driver. Auditing these two standards, one prior to and one after an incident, does not affect the outcome of a particular incident; however, it can affect future incidents. The supervisor must make an impact now, and ensure that the seat belt is worn as often as practis cal to help reduce injury severity. How can slhe do this, knowing that his/her primary interaction with a driver may take place inside of a driver room? Safety Management Peer-Reviewed Drive Excellence Auditing Fleet Safety Process to Manage Risk By Nancy J. Bendickson, Brian Hammer and Peggy E. Ross A uditing: The word can scare the most sea- soned safety professional. The fear of finding the unknown has kept many people from per- forming the necessary task of reviewing and examin- ing the policies and procedures put in place to keep people safe. Compare this to not IN BRIEF seeing a doctor for fear of the diagnosis. enough fire extinguishers or whether safety meet- .Learn why fleet audits are An audit is defined as a systematic, ings were conducted. An inspection is another tool important and how to man- methodical review of safety policies, to evaluate things and behaviors. An inspection age a fleet-focused audit procedures, rules and regulations. The provides a snapshot of current conditions but does process goal is to determine how current sys- not validate whether systems and procedures are .Explore the scope of an tems are working and whether they can working properly and if not, why they are not. audit and identify elements be improved through revision, rework- When performed correctly, audits provide an as- of a comprehensive fleet ing or revocation. An audit is not simply: sessment of the overall management system in place audit. .a checklist; to manage the fleet and fleet risk. Audits may be for- .Define a comprehensive . an inspection; mal or informal, and may be conducted by external fleet audit process that may .a discipline tool; or internal auditors. An example of an informal audit be used to identify findings .something done on an ad hoc basis. is one performed routinely by a supervisor with over- that help drive change and A checklist is a tool, often used dur- sight responsibilities. By design, formal audits yield a develop effective corrective ing an audit to ensure that the auditor final written work product that should be reviewed and preventive actions. remembers everything s/he needs to by those held accountable for policy implementation. assess. For example, a checklist may be Once language is agreed on, the report should guide used to determine whether the site has corrective and preventive action plans. Nancy J. Bendickson, CSP, CDS, ARM, ALCM, is a senior con- Administrator. He was also selected as the Transportation Practice sultant, casualty risk control for Aon Global Risk Consulting, where Specialty SPY. Hammer is a professional member of ASSE's Quad she has worked for more than 21 years. She has been in the safety Cities Chapter, and serves on the ANSI/ASSE Z15.1, Safe Practices for field for 36 years, having previously worked at Cargill and Minne- Motor Vehicle Operations committee and the Z15 Subcommittee for sota Safety Council. Bendickson is a professional member of ASSE's Autonomous Vehicles. Northwest Chapter, Administrator of the Society's Transportation Practice Specialty and past co-lead of the Distracted Driving Commit- Peggy E. Ross, R.N., M.S., CSP, COHN-S/CM, CPE, is a corpo- tee. She was named Transportation Practice Specialty Safety Profes- rate environment, health and safety manager for Baxter Healthcare, sional of the Year (SPY) in 2005 and 2010, as well as ASSE's Council where she has worked since 2002. She has worked in the occupa on Practices and Standards SPY in 2010. tional health, safety and ergonomic fields for more than 25 years. Ross serves on the ANSI/ASSE Z15.1 Safe Practices for Motor Vehicle Brian Hammer, MPA, CDS, is a senior transportation consultant Operations committee, and is acting chair of the ASSE Standards for Nationwide Insurance, where he has worked since 2007. Prior to Development Committee. Ross holds an M.S. in Occupational Safety SHOTBY DAVE/E+/GETTY IMAGES that he was safety manager for Yellow Roadway, and he is a 20-year and Health from Columbia Southern University and is a professional retired law enforcement officer. Hammer has been involved with member of ASSE's Northeastern Illinois Chapter. ASSE for 12 years, having served as Transportation Practice Specialty 30 ProfessionalSafety FEBRUARY 2018 www.asse.org