best practices: safety culture - naygn.org · cos core functions • data collection, analysis and...
TRANSCRIPT
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Best Practices: Safety Culture
Aria Behrouzi
PD Committee Member
NAYGN
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Safety Culture
Dr. G. Kenneth Koves
2013 May 12
Grand Hyatt Hotel
Washington DC, USA
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Agenda
• What is safety culture?
• Why is it important?
• Just in Case
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What is Organizational Culture?
• First, a question
• ‘An empirically based abstraction’ – Schein 2010
• A construct or idea we create to characterize the functioning of multiple, complex, interacting systems, including the functioning of the interactions of the systems, based upon observation.
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It is Also
• ‘A pattern of shared basic assumptions learned by a group as it solved it problems to external adaptation and internal integration…’
– Schein 2010
• For example: National Commission on the BP Deepwater Horizon Oil Spill and Offshore Drilling: Preliminary Conclusions – Managerial – ‘No evidence at this time to suggest that there was a
conscious decision to sacrifice safety concerns to save money.’
• “It is the way we do things around here.”
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What Safety Culture is NOT
• Industrial safety – alone
• Safety Conscious Work Environment (SCWE) – alone
• Radiological safety – alone
• Nuclear safety – alone
• Security – alone
• Production – alone
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What is Safety Culture?
The core values and behaviors resulting from a collective commitment by leaders and
individuals to emphasize safety over competing goals to ensure protection of people and the
environment » (NRC Safety culture policy statement, March 2011)
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Why Take so Much Time with the Definition?
• Help you understand that
– Safety culture is not ‘physics’
– Measuring safety culture is not an ‘engineered activity’
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Why is it Important?
• Preliminary research indicating a -.3 correlation between a healthy culture and cost per megawatt hour
• Don’t fall for the suckers choice of safety vs. production
Production
Profitability
Reliability
Safety
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Why is it Important?
• Personally – Nuclear power plants take it very seriously
– Nuclear suppliers take it very seriously
• It should not be a negative perception to have a questioning attitude – Is this the right or safe way to do this?
– If there is no response, you have an obligation to escalate
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Just in Case
• Once in a while there are individuals or even organizations who just don’t get it
• You still have the responsibility to raise issues – Corrective Action Program
– Supervisor
– Employee Concerns Program
– Ombudsman
– Nuclear Oversight
– Nuclear Regulatory Commission
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NAYGN
May 12 – 14, 2013
Washington DC
SEMS
A JOURNEY OF
LEARNING & CONTINOUS
IMPROVEMENT
Charlie Williams
Center for Offshore Safety
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Safety & Environmental Management Systems
What are the elements of SEMS?
Leadership Mechanical Integrity
Safety and Environmental Information
Pre-Start-Up Review
Hazard Analysis Emergency Response and Control
Management of Change Incident Investigation
Operating Procedures Audit
Safe Work Practices Records and Documentation
Training
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SEMS is a key mechanism to reduce the likelihood of
major incidents
Goal: Safe & Reliable Operations / Operational Integrity
Technical Standards / Safe Work
Practices and Operating
Procedures
Skills and Knowledge
Safety Values / Human
behaviors + + +
SEMS
SEMS Purpose
Operating Processes /
Decision Making
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Bow Tie Approach
Top Event
Major Hazard
Threat Consequence
Prevention Barriers
Mitigation Barriers
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Operator / Contractor Interfaces
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COS Core Functions • Data Collection, Analysis and Reporting
• Industry information
• Lessons from major and high potential severity incidents
• Safety performance indicators
• Identify opportunities for improvement
• Assistance
• Create good practices
• Assist companies with COS programs
• Continuously improve safety performance and safety culture
• Improve and sustain industry skills and knowledge
• Outreach & Communication
• Annual Safety Forum
• Workshops
• Meetings (including key stakeholder interface)
• Publications
• Accreditation and Certification
• SEMS Audits
• Audit standards
• Accreditation of Audit Service Providers
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COS SEMS Toolkit
• Audit Protocol Checklist
• Compliance Readiness Worksheet
• Operator-Contractor Letter Templates
• Audit Guidance Document
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SEMS Audit Protocol Checklist
13 sections that corresponds with API RP 75 & 30 CFR 250 – Subpart S (SEMS)
5
Audit Question
Has a management representative been appointed that is responsible for establishing, implementing and maintaining the SEMS?
§250.1909(b)
[Specifically you, through your management, must:] (b) Appoint management representatives who are responsible for establishing, implementing and maintaining an effective SEMS program.
RP 75 1-1.2.2(c)
[This recommended practice is based on the following principles:] c. Management appoints specific representatives who will be responsible for establishing, implementing and maintaining the safety and environmental management program.
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• COS-2-01 Qualification & Competence Requirements
Audit Leads & Auditors
• COS-2-02 Training Program Requirements for Auditors
• COS-2-03 Certification to API RP 75
• COS-2-04 Accreditation of Audit Service Providers
• COS-2-05 Standardized Audit Report Form
Accreditation & Certification
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COS – SEMS II
• “…working with the COS workgroups on developing indicators to gauge industry OCS performance other stakeholders. …”
• COS-2-01, Qualification & Competence Requirements for Audit Teams & Auditors
• COS-2-03, Requirements for Third-party Auditing & Certification
• COS-2-04, Requirements for Accreditation of Audit Service Providers
• (ASPs) must be accredited by a BSEE-approved accreditation body (AB) .. Like COS
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COS Current Activities
• Leadership Site Engagement
• Safety Performance Indicators
• Improving Industry Learning Capability
• Verification of Contractor Skills & Knowledge
& Contractor SEMS Audits & Certification
• Performance Based SEMS
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SEMS - What’s Next
Phase I
- Audit Tools
- ASP & Auditor Tools
- Auditor & Tm
Capabilities
Phase II
- Learning frm
Audits
- SPI’S Defined
- Incident Defined
- Industry Begins
Reporting
Phase IV
- Continuously Assess Effectiveness
- Sustained Continuous Improvement
- Supporting Safety Culture & Behaviors
- Sustained Effective Leadership Engagement
-- Systems to Maintain, Enhance, and Sustain Capability
Phase III
- Learning frm SPI’s
- Learning frm Incidents
- Begin Culture/Behavior
- Skills & Competencies
Defined
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Key “Shared Beliefs and Values”
1. It CAN happen here, unless I (+We) do the right thing
- No ‘Normalization of deviance’, Risk mindfulness
2. Process discipline/There is a right way to do things
- Planning and control of work processes, Valuing expertise & experience
3. Esprit de Corps/I’m going to play my part in doing the right thing
- Genuinely caring for others, a sense of unity, a common interests and responsibilities
4. Integrity
- Acceptance of personal accountability, truthfulness,
5. We’re not there yet, but we CAN do better
- Problem Identification and resolution, reporting and follow up
6. Sharing with and learning from others is valuable
- Continuous learning
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Thank You
Questions
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Safety Culture: Best Practices
Patricia Williams, CSP
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Engineers & Culture
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“The one theme that runs through the conclusions we have reached is that the principal deficiencies in
commercial reactor safety today are not hardware problems, they are management problems.”
Three Mile Island A Report to the Commissioners
and the Public,
January 1980
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Those who want very abstract universal dimensions of culture that can be measured with surveys and questionnaires
and Those who want to study the nuances, details, and dynamics of
particular cultures by observation, interview, and intervention. Note: The first approach looks for general traits; the second
approach looks for general cultural processes.
Culture as a concept in organizational life has come to be accepted, but there is still a strong divide between:
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Assessing Culture:
Perception is reality
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OK, so you’re an engineer, a scientist, a (fill in the blank)
1. Listen, don’t judge 2. Follow the process 3. Let the evidence lead 4. Apply the model for analysis 5. Don’t forget – your subjects are human - (so are you) 6. And remember to enjoy the opportunity
So how can you possibly assess anything about culture?
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Safety Culture Can Be Observed
Walk the spaces
Talk to people
Observe attitudes, behaviors & conditions
Evaluate performance information
Watch work being done
Ask questions
Listen
34 -
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What is the basis for this method?
• Initial research on management & organizational factors
• Sponsored by the U.S. Nuclear Regulatory Commission
• Research team led by Dr. Sonja Haber, then of Brookhaven National Laboratory
• Subsequently extended via research sponsored by Canadian Nuclear Safety Commission & validated in other domains
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Differences - Safety Culture Assessment Method & Traditional Assessments
Focus on human and
organizational issues.
Use of multiple methods provides convergent validity.
Emphasis on perceptions
and influence of perceptions
on safety performance.
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Safety Culture Model
Schein model of culture
Artifacts
Claimed values
Basic assumptions
Stages of safety culture development
Compliance
Performance
Process
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Organizational Behaviors Impacting Safety Culture
Attention to Safety Communication Coordination of Work Decision-making Formalization Goal Setting/
Prioritization Organizational Culture Organizational Learning
Organizational Knowledge Performance Evaluation Performance Quality Personnel Selection Problem Identification Resource Allocation Roles & Responsibilities Time Urgency Training
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Multiple Methods for Behavioral Measurement
Functional Analysis Semi-Structured Interviews and Focus Groups
Behavioral Anchored Rating Scales (BARS) Behavioral Observations and Checklists Organizational and Safety Culture Survey
Goal is convergence of data.
Multiple tools, providing quantitative and qualitative data, assess each behavior systematically and objectively.
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References
• Haber, S.B. and Barriere, M.T. (1998). “Development of a regulatory organizational and management review method.” Research Report RSP-00600, Canadian Nuclear Safety Commission, Ottawa, Canada.
• Haber, S.B., O’Brien, J.N., Metlay, D.S., and Crouch, D.A. (1991). “Influences of Organizational Factors on Performance Reliability.” NUREG/CR-5538, U.S. Nuclear Regulatory Commission, Washington, D.C.
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Recurring Themes
• Committed workforce who believe in the mission and embrace safety
• Commitment to improving policies, procedures, and processes
• Multiple mechanisms for reporting problems and concerns
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Recurring Themes
• Management and technical staff have very different views on the work
• Technical staff are primarily concerned about whether the organization’s systems and culture supports them in doing quality work
• Too often technical staff feel that management is not interested in their opinions and that they could be penalized for speaking up
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Indicators of a Healthy Culture
• Effective Communication – multiple means, consistent message
• Employees feel valued and that their professional opinions matter
• Trust/respect up, down, and across the organization is evident
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Indicators of a Healthy Culture
• Everyone is encouraged and feels free to raise concerns, and they are addressed in a timely manner
• Roles, responsibilities, and expectations are clearly defined and understood
• Rewards and disciplinary actions are viewed as consistent and fair
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What I Have Learned
• It’s about people
• Leadership behaviors and actions matter
• What you don’t say is as important as what you say
• People’s perceptions drive their behavior
• It’s a journey – continue learning
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“I wish it would dawn upon engineers that, in order to be an engineer, it is not enough to be an engineer.” José Ortega y Gasset
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Questions?
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Break
3:30 to 4 p.m.