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					EFCOG/DOE Safety
Culture Task Status

   John McDonald (EFCOG)




                           1
Task Team Mission

   Based on industry experience the desire for a strong
    safety culture within DOE has been established
   Safety culture is a top ISMS priority
   Goal: Take ISMS to level of excellence
   EFCOG/DOE ISMS Safety Culture Task Team (The
    Team) was formed to address this issue
   Deliverables:
       Consensus set of safety culture principles
       Implementation practices to positively influence change
   References: VPP, HPI, 2004-1, ISMS, HRO, INPO,
    IAEA, NRC

                                                                  2
Schein’s organizational model   3
Task Team Safety Culture Definition

 A safety culture is an organization’s values
 and behaviors, modeled by its leaders, and
 internalized by its members, that serve to
 make safe performance of work the
 overriding priority to protect the public,
 workers, and the environment.




                                                4
Safety Culture and ISMS




                          5
Task Team Vision Statement


 DOE and its contractors are leaders in
 achieving ISM excellence and a strong safety
 culture. Through ISM, the principles and
 attributes of a strong safety culture are
 communicated, understood, embraced, and
 continually reinforced. As a result, mission
 critical parameters show continuous
 improvement.

                                            6
Task Team Members
Executive Sponsors:                Department of Energy Participants:
  David Amerine, Parsons            Earl Carnes, DOE HSS
  Glenn Podonsky, DOE HSS           Dae Chung, DOE EM
Project Co-Chairs:                   David Compton, DOE HSS
  John McDonald, CH2M HILL          Ali Ghovanlou, DOE HSS
  Pat Worthington, DOE HSS          Bill Roege, DOE HSS
Contractors Participants:            Frank Russo, NNSA
  Norm Barker, Energy Solutions     Jim McConnell, NNSA
  Todd Conklin, LANL              Other Participants:
  Frank McCoy, WGI                  George Mortensen, INPO
  Joe Midgett, Bechtel              Douglas Minnema, DNFSB Staff
  Jim Tarpinian, Battelle           Wayne Frazier, NASA
  Gail Walden, Fluor              Additional Support Personnel:
  David Zeff, B & W                 Bill Rigot, SRNS
  Bob Brandhuber, Sandia            Rick Hartley, B & W
                                     Roy Schepens, Parsons
                                     Kent Fortenberry, Parsons


                                                                        7
Case for Change

   ISMS has been an effective process for improving
    overall performance
   Culture is a key factor in significant events
   Culture recognized as driver of multiple industry
    improvements
   Strong positive correlation between mission and
    safety performance
   Correlation between cultural maturity and
    organizational performance
   DOE data identifies culture elements as significant
    aspects of events

                                                          8
                 All DOE vs. Federal Worker
4.0
                     TRC and DART Rates
3.5        Contractor
              ISM                                              FED ISM
3.0
            Approved                                           Approved
2.5
                             All DOE TRC
2.0

1.5

1.0                      All DOE DART
0.5

 0
      93    94   95     96    97   98   98   00 01   02   03   04   05    06   07

           ISM has had a positive impact on DOE performance


                                                                                    9
10
                            Barrier Analysis
Triggering                                                                           “Defense in Depth Model”
  Event                          Management                                Managing the Risk of Organizational Accidents,
                                   Barriers                                          Dr. James Reason, 1977

                                              Organizational
                                                 Barriers

                                                                    Programmatic
                                                                       Barriers

                                                                                             Individual
                                                                                              Barriers




              Latent Organizational
                  Weaknesses:                                                                               Significant Event
           Poorly written procedures,
         Failed or non-existent Barriers,
             Ineffective Management

                                                    Active Errors:
                                                  Weak Skills, Failed or
                                                  non-existent barriers

                                                                                                                     74
                                                                                                                     11
Improvements in Safety for Each Stage of Safety Culture Maturity
Accident Rates for Individual Accidents

 Susceptibility for Systems Accidents




                                                                                  Transition to next higher
                                                                                     safety culture level
                   or




                                           Stage #1:        Stage #2:               Stage #3:
                                          Compliance   Conduct of Operations   Learning Organization




                                          Management                                               Leadership

                                                                                                                12
Safety Culture and Commercial Nuclear Performance Improvement


                  U.S. Commercial Nuclear Industry
                   -- Number of Significant Events

                    Safety Culture Performance Objectives
                    & Criteria inserted into INPO Plant Evaluation process

                                                        Preliminary INPO Safety Culture
                                                        Principles Issued,
                                                        Final Version issued December 2004
                                              Davis-Besse Event




      “A major contributor to the U.S. industry’s safety success is our collective approach to sharing
      insights, experience, tools and talent. Highlighted as an industry goal nearly 29 years ago, this
      cooperation has become a reality and one of the many things that make this industry unique. “
                                                                 James O. Ellis – President and CEO, INPO


                                                                                                            13
Safety Culture and DOE Events
(2002-2007)
   120
   100
    80
    60
    40
    20
     0
                                                      Type A/B
         C




                             O



                                        W
                 Fl




                                                      Findings
         om




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                                        or
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                                r



                                           k
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                                 si
                     D




                                            Co
                                   gh
             itm



                        ow




                                              nt
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                en



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                                                  l
                                                                 14
Team Key Activities

   Review industry experience to identify key
    safety culture attributes
   Verify adequacy of existing ISMS Guiding
    Principles related to these attributes
   Emphasize practices to effectively implement
    ISMS safety culture attributes to improve
    performance
   Application to DOE and contractors

                                               15
Building “Concentric Commitment”
          Safety Culture Task Force


               ISM Champions


             EFCOG Leadership

      Contractor Community Leadership


     Stakeholders/Beneficiaries/Workforce

                                            16
Task Team Path Forward
Action                                          Date/Status
EFCOG Contractor Workshop                        complete
Present Status at DOE ISMS Champions Workshop    complete
Path Forward and Resource Documents Drafted      complete
Task Team Meeting                                complete
Team Approve Resource Documents                   11/08
Issue Resource Documents for Voluntary Use        11/08
Resolve/Consolidate Comments                     12/09
Issue Final Recommendation                         2/10
Periodic EFCOG Board Updates                    On-going
Periodic DOE Senior Management Updates          On-going
Periodic DNFSB Briefings                        On-going



                                                              17
Safety Culture Focus Areas

   Leadership
   Employee/Worker Engagement
   Organizational Learning




                                 18
Leadership

   Demonstrated safety leadership
   Clear expectations and accountability
   Management engagement and time in field
   Conservative decision making
   Staff recruitment, selection, retention, &
    development




                                                 19
Employee/Worker Engagement

   Personal commitment to everyone’s safety
   Participation in work planning and improvement
   Mindful of hazards and controls
   Teamwork and mutual respect
   Trust




                                                     20
Organizational Learning

   Open communication/raising issues in an
    environment free from retribution
   Reporting errors and problems
   Questioning attitude
   Effective resolution of reported problems
   Performance monitoring through multiple means
   Use of operational experience



                                                21
ISMS Continuous Improvement Thru Improved Safety Culture

 Integrated Safety Management System (DOE M 450.4-1)
 Guiding Principles
       •Line Management Responsible for Safety
       •Clear Roles and Responsibilities
       •Competence Commensurate with Responsibility
       •Balanced Priorities
       •Identification of Standards & Requirements
       •Hazard Controls Tailored to Work being Performed
       •Operational Authorization


 Supplemental Safety Culture Elements
       •Individual Attitude responsible for Safety
       •Operational Excellence
       •Oversight of Performance Assurance
       •Organizational Learning for Performance Improvement




                                  SAFETY CULTURE FOCUS AREAS                  Assess Safety Culture
 Apply safety culture
 improvement tools to                    •LEADERSHIP                          Focus Areas and
                                         •EMPLOYEE/WORKER ENGAGEMENT          associated safety
 areas for improvement
                                         •ORGANIZATIONAL LEARNING             culture attributes




         TOOLS TO IMPROVE                                          TOOLS TO ASSESS
 (i.e., VPP, BBS, Training, HPI, Coaching and                 (i.e., Performance Metrics, Interviews,
      Mentoring, Leadership Development)                               Surveys, Observations,
                                                                 Assessment Criteria, Workshops)




                                                                                                        22
Assessment Considerations

   TASK TEAM ATTRIBUTE/ISMS CROSSWALK
   INITIAL ASSESSMENT CONSIDERATIONS
   SURVEY CONSIDERATIONS
   INTERVIEWS
   DOCUMENTATION REVIEW
   PERFORMANCE INDICATORS
   CULTURE ASSESSMENT LESSONS LEARNED
   POST ASSSESSMENT CONSIDERATIONS


                                         23
Changing Behavior to Change Culture




                                      24
Tools to Improve Safety Culture
   SENIOR MANAGEMENT COMMITMENT
   EXPECTATIONS IDENTIFIED AND COMMUNICATED
   ISMS TRAINING
   LINE MANAGEMENT TIME IN THE FIELD
   COACHING AND MENTORING
   BEHAVIOR CHANGE
   VOLUNTARY PROTECTION PROGRAM (VPP)
   SIX SIGMA LEARNING TOOLS
   PROBLEM IDENTIFICATION PROCESS
   HUMAN PERFORMANCE IMPROVEMENT (HPI)
   HUMAN RESOURCE PROCESSES



                                               25
Path Forward/Summary

   One year use to December 31, 2009
   Handouts describing assessment and tools to improve
    will be distributed at November EFCOG ISMS WG mtg
   DOE needs to take the lead to review, understand,
    and implement the guiding principles within their
    organizations and contractor processes
   Contractors should review, understand, and implement
   The Team to make final recommendation after one
    year, comment resolution, and stakeholder reviews



                                                       26

				
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