Best Practices: Safety Culture. Aria Behrouzi PD Committee Member NAYGN

Transcription

1 Best Practices: Safety Culture Aria Behrouzi PD Committee Member NAYGN

2 Safety Culture Dr. G. Kenneth Koves 2013 May 12 Grand Hyatt Hotel Washington DC, USA

3 Agenda What is safety culture? Why is it important? Just in Case

4 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.

5 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.

6 What Safety Culture is NOT Industrial safety alone Safety Conscious Work Environment (SCWE) alone Radiological safety alone Nuclear safety alone Security alone Production alone

7 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)

8 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

9 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 Profitability Production Reliability Safety

10 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

11 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

12 Ken Koves QUESTIONS/ THANK YOU

13 SEMS A JOURNEY OF LEARNING & CONTINOUS IMPROVEMENT NAYGN May 12 14, 2013 Washington DC Charlie Williams Center for Offshore Safety

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15 Safety & Environmental Management Systems What are the elements of SEMS? Leadership Safety and Environmental Information Hazard Analysis Management of Change Operating Procedures Safe Work Practices Training Mechanical Integrity Pre-Start-Up Review Emergency Response and Control Incident Investigation Audit Records and Documentation

16 SEMS Purpose Goal: Safe & Reliable Operations / Operational Integrity SEMS is a key mechanism to reduce the likelihood of major incidents SEMS Technical Standards / Safe Work Practices and Operating Procedures Operating Skills and Processes / + Knowledge + + Decision Making Safety Values / Human behaviors

17 Bow Tie Approach Major Hazard Threat Top Event Consequence Prevention Barriers Mitigation Barriers

18 Operator / Contractor Interfaces

19 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

20 COS SEMS Toolkit Audit Protocol Checklist Compliance Readiness Worksheet Operator-Contractor Letter Templates Audit Guidance Document

21 SEMS Audit Protocol Checklist 13 sections that corresponds with API RP 75 & 30 CFR 250 Subpart S (SEMS) 5 Audit Question (b) RP (c) Has a management representative been appointed that is responsible for establishing, implementing and maintaining the SEMS? [Specifically you, through your management, must:] (b) Appoint management representatives who are responsible for establishing, implementing and maintaining an effective SEMS program. [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.

22 Accreditation & Certification 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

23 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

24 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

25 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 III - Learning frm SPI s - Learning frm Incidents - Begin Culture/Behavior Phase IV - Continuously Assess Effectiveness - Sustained Continuous Improvement - Supporting Safety Culture & Behaviors - Skills & Competencies - Sustained Effective Defined Leadership Engagement -- Systems to Maintain, Enhance, and Sustain Capability

26 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 4. Integrity - Genuinely caring for others, a sense of unity, a common interests and responsibilities - 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

27 Thank You Questions

28 Safety Culture: Best Practices Patricia Williams, CSP

29 Engineers & Culture 29

30 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

31 Culture as a concept in organizational life has come to be accepted, but there is still a strong divide between: 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. 31

32 Assessing Culture: Perception is reality 32

33 OK, so you re an engineer, a scientist, a (fill in the blank) So how can you possibly assess anything about culture? 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 33

34 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 -

35 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 35

36 Differences - Safety Culture Assessment Method & Traditional Assessments Focus on human and organizational issues. Emphasis on perceptions and influence of perceptions on safety performance. Use of multiple methods provides convergent validity. 36

37 Safety Culture Model Schein model of culture Artifacts Claimed values Basic assumptions Stages of safety culture development Compliance Performance Process 37

38 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 38

39 Multiple Methods for Behavioral Measurement Multiple tools, providing quantitative and qualitative data, assess each behavior systematically and objectively. 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. 39

40 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. 40

41 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 41

42 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

43 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

44 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

45 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 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 45

46 Questions?

47 Break 3:30 to 4 p.m.