Tracking Safety Leading Indicators to Improve DOT Employee Safety Performance (2025)
Chapter: Appendix A: Survey Questionnaire
APPENDIX A
Survey Questionnaire
Email to Potential Participants
| From: | Gabriel B. Dadi, Ph.D., PE |
| To: | Members of the North American Association of Transportation Safety & Health Officials (NAATSHO) |
| Subject: | NCHRP Project 20-05/Synthesis Topic 55-15: Safety Leading Indicators – Survey Request |
Dear Department of Transportation Representative,
The Transportation Research Board (TRB), through the National Cooperative Highway Research Program (NCHRP), under the sponsorship of the American Association of State Highway and Transportation Officials (AASHTO), and in cooperation with the Federal Highway Administration (FHWA) is preparing a synthesis report on Tracking Safety Leading Indicators to Improve DOT Employee Safety Performance.
The purpose of this questionnaire is to identify DOT use, frequency, and perceptions of safety leading indicators to improve employee safety performance. 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 (see attached questionnaire for an idea of the questions asked). DOT survey responses will be shown in the published synthesis report. However, the identity of survey respondents will remain anonymous.
Please compete and submit this survey by Friday January 19th. We estimate that it should take no more than 20 minutes to complete. If you have any questions or problems with operation or access to the questionnaire, please contact me, the project principal investigator, Dr. Gabe Dadi.
Thank you for your time and expertise in completing this questionnaire.
Survey Link
NCHRP Project 20-05/Topic 55-15 Safety Leading Indicators SURVEY LINK
Best,
Gabriel B. Dadi, Ph.D., PE
W.L. Raymond and R.E. Shaver Chair Associate Professor
Department of Civil Engineering
University of Kentucky
Demographic Information
(Reminder your name will not be published, but responses will be made available in Appendix B of the final report)
- Name:
- Title:
- Email:
- Phone Number:
- Select the responding Department of Transportation (DOT) (Note to panel: this will be a drop-down list)
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
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
Wisconsin
Wyoming
- What office is responsible for managing employee/occupational safety at the DOT?
Human Resources Employee/Occupational Safety Management/Finance Other ________
- Please select the most appropriate descriptors of the DOT.
Employees Staffed (Check all that apply): Permanent Temporary Consultant/CEI
Non-Management Staff Labor Representation: Union Non-Union Both
Non-Management Staff Hiring System: Civil Service/Hired Non-Civil Service/Appointed Both
Human Resource Type: HR within the DOT HR as a statewide agency Both
DOT Governance: Centralized DOT Semi-centralized DOT De-centralized DOT
OSHA Report Required: State Plan OSHA Federal Plan OSHA Both Neither (for public employees)
Definition of Safety Leading Indicators
For the purposes of this survey, safety leading indicators are “proactive and preventive measures that can shed light about the effectiveness of safety and health activities and reveal potential problems in a
safety and health program (OSHA)”. These would be in opposition to lagging indicators that are safety measures after an incident occurs such as a total recordable incidence rate (TRIR) and days away, restricted, or job transfer (DART).
When asked about documenting, using, or tracking of safety leading indicators, this means the measure(s) are documented regardless if on paper, through electronic means, or through a safety management system (SMS).
Safety Leading Indicator Use
- Does the DOT document safety leading indicators?
Yes No (if selected, skip to Q30)
- How long has the DOT documented safety leading indicators?
Less than a year 1 - < 3 years 3 - < 5 years 5 - < 10 years More than 10 years
- Of the following safety leading indicators, which does the DOT document and how frequently are they documented, used, or tracked?
| Types of safety leading indicators | Is Documented | As needed | Daily/Weekly | Monthly | Quarterly | Annually | Other |
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| Reporting of Near-Miss/Close Call | |
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| Use of Safety Committees | |
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| Supervisors Being Coached and Encouraged for Safety | |
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| Employee Perceptions of Just and Fair Safety Culture | |
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| Safety Leadership Training | |
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| Use of Toolbox Talks | |
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| Use of Safety Audits/Risk Assessments | |
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| WorkZone Traffic Control Training | |
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| First Aid/CPR Training | |
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| Use of Stretch and Flex Programs | |
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| Use of Wellness Programs | |
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| OSHA 10 Training | |
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| Communication of Safety Lessons Learned | |
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| Reporting of Vehicle Inspections | |
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| Reporting of Vehicle Operations | |
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| Participation and Buy-In of Leadership to Safety Activities | |
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| Existence of Agency Safety Champion | |
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| Tracking PPE Spending/Replacement | |
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| Investing in Safety Programs | |
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| Tracking Safety Training Logs | |
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| Other | |
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- Which of the following training programs are included for the DOT’s safety training program? Select all that apply.
Safety Leadership OSHA10 OSHA30 WorkZone Traffic Control First Aid/CPR Defensive Driving Other
- Which safety training programs does the DOT’s leadership participate in? Select all that apply.
Safety Leadership OSHA10 OSHA30 WorkZone Traffic Control First Aid/CPR Defensive Driving Other
- For the DOT’s safety training program, how are they delivered? Select all that apply.
Live, In-person
Synchronous (live), Virtual
Asynchronous, on-demand Virtual
Other
- Does the tracking and reporting requirements of safety leading indicators flow through to private contractors/consultants/CEI?
Yes, it is written in their contracts Yes, but it is not formally written in their contract No
Implementation and Results
- What method(s) does the DOT use to capture and document your safety leading indicators? Select all that apply.
Collected on paper and stored on paper
Collected on paper and stored electronically (e.g., scanned PDFs or data entered into a spreadsheet)
Collected through electronic safety management system (SMS)
Other
- How does the DOT use the data you capture from safety leading indicators? Select all that apply.
Visualize current state (i.e., through a dashboard)
Short-term changes (i.e., quarter to quarter changes)
Long-term changes (i.e., year to year changes)
Correlate leading indicators to lagging indicators (i.e., using the leading indicators to explain the DOT’s Total Recordable Incidence Rate (TRIR), Days Away, Restricted, or Transferred Rate (DART), Workers’ Comp Claims)
Other
Data is used as needed/requested
- Is the safety leading indicator data that the DOT collects analyzed to be used for improvements to the employee safety program (e.g., develop policy changes, invest in new safety equipment or technologies, etc.)?
Yes No Unsure
- Does the DOT communicate roles, responsibilities, and expectations for the following positions in regard to their participation in the documentation of safety leading indicators? Select all that apply.
Maintenance crews
Superintendents
District/region engineers
District/region safety managers
District/region leadership
Central office safety managers
Central office executive leadership
Other
No roles, responsibilities, or expectations are communicated
- Who uses the data that is documented from the safety leading indicators? Select all that apply.
Maintenance crews
Superintendents
District/region engineers
District/region safety managers
District/region leadership
Central office safety managers
Central office executive leadership
Other
Data is used as needed/requested
- What strategies has the DOT implemented to develop a safety leading indicators program? Select all that apply.
Formation of oversight team
Communication plans/advertisement of program
Included in collective bargaining agreement
Pilot the safety leading indicator program in region or district
Employee suggestion or other feedback mechanism
Dedicated staff to managing the program
Other
No implementation strategies have been used
- Has the DOT found any of the following implementation strategies to be successful?
Formation of oversight team
Communication plans/advertisement of program
Included in collective bargaining agreement
Pilot program in region or district
Employee suggestion or other feedback mechanism
Dedicated staff to managing the program
Other
- Does the DOT use any of the following incentives or disincentives within the safety leading indicator program? Select all that apply.
Financial rewards (i.e., bonuses, gift cards, additional paid-time off, etc.)
Prizes (e.g. plaques, trophies, apparel, meals, etc.)
Positive recognition from leadership (e.g., formally through newsletter highlights, award ceremonies or similar, or informal accolades verbally or at staff meetings, etc.)
Corrective actions (e.g., warnings, negative performance reviews imperiling pay increases, furloughs/suspensions, etc.)
Other
No incentives or disincentives are in current use
- What challenges has the DOT experienced with implementing a safety leading indicators program? Select all that apply.
Lack of funding
Lack of staffing support for program
Lack of employee buy-in/participation
Declining safety program momentum
Other duties/programs have higher priority
Lack of identified benefit
Poor morale
Other
No challenges have been experienced
- What benefits has the DOT realized since implementing the documentation of safety leading indicators?
Reduction in incident rates
Reduction in worker’s compensation claims
Increased employee engagement in safety
Improved morale around safety
Increased awareness of safety activities
Improved data for safety related decision-making
Other
No benefits have been realized
Written Policies and Procedures
- Does the DOT safety leading indicator program have written policies and procedures?
Yes No
- (If yes to Q28) Please upload or share link to the written policies and/or procedures relating to the safety leading indicator program.
Questions for DOTs that do not document leading indicators (i.e., responded “No” to Q10)
- Does the DOT have plans to document leading indicators?
Yes, within the next 2 years
Yes, within the next 5 years
Discussions are active
No current plans
- What barriers exist to documenting a safety leading indicators program?
Lack of funding
Lack of staffing support for program
Lack of employee buy-in/participation
Declining program momentum
Other duties/program have higher priority
Lack of identified benefit
Poor morale
Other
No barriers exist
- From the following list, please select the practice of these safety leading indicators that the DOT would like to document.
| Reporting of Near Miss/Close Call | Using of Safety Audits/Risk Assessments | Communicating of Safety Lessons Learned |
| Using of Safety Committees | Providing WorkZone Traffic Control Training | Reporting of Vehicle Inspections |
| Coaching and Encouragement of Supervisors to Promote Safety | Providing First Aid/CPR Training | Reporting of Vehicle Operations |
| Creating of Just and Fair Safety Culture | Using of Stretch and Flex Programs | Participation and Buy-In of Leadership to Safety Activities |
| Conducting Safety Leadership Training | Using of Wellness Programs | Existence of an Agency Safety Champion |
| Using Toolbox Talks | Providing OSHA 10 Training | Tracking PPE Spending/Replacement |
| Investing in Safety Programs | Tracking Safety Training Logs | Other |
The survey is complete. Thank you for your participation! This research project’s information can be found at the following link. The final publication will be posted there when available.
NCHRP Synthesis 20-05/55-15
