1. 1 Safety culture and oversight Dr. Frank Guldenmund, Safety & Security Science Group, Delft University of Technology, Delft, Netherlands

2. 2 Menu Introduction: the rail Culture matters: –Observation and perception –Edgar Schein’s model of culture –The development of culture Lessons for the regulator Humble inquiry (if time permits) Humble inquiries?

3. 3 Introduction

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13. 13 Moral It’s not about what you see, but about the meaning of it (for a group of people = culture)

14. 14 Another one… Collective behaviour ≠ culture

15. 15 Observation and perception. Or, what you see is NOT what you get

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19. 19 Moral Although people look at the very same things, they often perceive and interpret them differently

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21. 21 No-man’s hand

22. 22 The handshake Observation > Interpretation > Ascription (= meaning)

23. 23 Perception and ‘reality’

24. 24 Moral When perceptions (meanings) do not line up, (painful) misunderstandings might occur

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26. 26 Some explanations of picture Prayer before a meal; two people do not want to pray People thinking hard to solve some problem Difficult conversation A meeting about to begin A family that has just received a sad letter A meeting. Two women on the left are talking on the side about a mobile phone The person on the left just bought some bread and is offering a piece to everybody People looking for a solution to some problem. The guy on the left is hiding the important evidence and showing something unimportant to the others The man in the middle presides over the debate. One guy is not involved A religious ritual

27. 27 Again… 1.Observation 2.Interpretation 3.Ascription > meaning

28. 28 Moral Although various symbols (objects, actions, settings) might look superficial, they often are not. That is why they are considered ‘symbolic’, they stand for ‘something else’

29. 29 Edgar Schein’s culture model

30. 30 Layers of culture (following Schein)

31. 31 Layers of culture (Schein 2010)

32. 32 Espoused values? Ambitions (future) Intentions (good intentions) Politically correct answers (what you can/not say) Socially desirable answers (what you’re supposed to say) What people say or claim can be a reflection of what they are convinced of, but this doesn’t have to be the case…

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34. 34 Artifacts = espoused values ≠ basic assumptions (incongruence)

35. 35 Artifacts = espoused values = basic assumptions (congruence)

36. 36 Moral What we can observe does not offer a direct window on a culture (= shared meanings, basic assumptions). We need to go beyond observables and ‘espoused’ values to understand what truly bonds and moves people

37. 37 The development of culture

38. 38 Definition of culture “Culture is a fuzzy set of attitudes, beliefs, behavioural conventions, and basic assumptions and values that are shared by a group of people, and that influence each member’s behaviour and each member’s interpretations of the ‘meaning’ of other people’s behaviour” Spencer-Oatey, 2000

39. 39 Definitions of culture “Culture is a fuzzy set of attitudes, beliefs, behavioural conventions, and basic assumptions and values that are shared by a group of people, and that influence each member’s behaviour and each member’s interpretations of the ‘meaning’ of other people’s behaviour” Spencer-Oatey, 2000 and symbols…

40. 40 The social construction of culture

41. 41 Sensemaking What is going on around here?

42. 42 What do we think is going on around here? Exchanging

43. 43 Formalising Let’s establish what is going on around here

44. 44 Disseminating This is what is going on around here

45. 45 Reinforcing We all think that only this is going on around here

46. 46 Observation and sensemaking

47. 47 Moral: culture is the result of sensemaking and agreement DUCK!

48. 48 The process of influencing culture Have dialogue

49. 49 Lessons for the regulator

50. 50 Fukushima …it became accepted practice to resist regulatory pressure and cover up small- scale accidents. They were [also] stuck on probability of risk…

51. 51 Meaning What is the meaning of regulation for the regulated? What is made central in oversight: compliance (law, external) or safety (value, internal)?

52. 52 The regulator’s dilemmas Distance (regulatory capture) Fairness Independence (from government, from other stakeholders) Responsibility vs. accountability

53. 53 The regulatory body’s safety culture In promoting safety culture, a regulatory body should set a good example in its own performance. This means that: The regulatory body should be technically competent Set high safety standards for itself Conduct its dealings with operators in a professional manner (distance) Show good judgment in its regulatory decision (fairness) (NEA, 1999)

54. 54 The regulatory body’s safety culture In promoting safety culture, a regulatory body should set a good example in its own performance. This means that: The regulatory body should be technically competent Set high safety standards for itself Conduct its dealings with operators in a professional manner (distance) Show good judgment in its regulatory decision (fairness) (NEA, 1999)

55. 55 Effective independence … means that the regulatory body must be able to make decisions and perform its duties without undue pressure or constraints from the government, or organizations that either promote or are opposed to the particular regulated industry

56. 56 Regulatory capture Regulatory capture refers to ‘capturing’ influence with the staff or commission members of a regulatory agency, so that preferred policy outcomes of particular interest groups are implemented

57. 57 Fairness A system that encourages problem identification, reporting, and correction will operate most effectively when regulatory agencies use sound judgment to prioritize reported problems according to their safety significance. Plant operators will be more willing to disclose small problems—which can be caught and corrected before they become significant—when they understand that regulators will exercise their regulatory authority fairly

58. 58 Fairness A system that encourages problem identification, reporting, and correction will operate most effectively when regulatory agencies use sound judgment to prioritize reported problems according to their safety significance. Plant operators will be more willing to disclose small problems—which can be caught and corrected before they become significant—when they understand that regulators will exercise their regulatory authority fairly

59. 59 Humble inquiry

60. 60 The process of influencing culture Have dialogue

61. 61 Forms of verbal interaction Dialogue Discussion Debate

62. 62 Convincing versus dialogue Convincing What I see is true (and what you see, isn’t) Transfer of information (I tell you what to see, what to do) Them-or-us thinking Sending of messages (and not listening) Dialogue What you see is true for you (and I need to take account of that) Think together, meet (consensus) Sharing of each other’s reality, involvement (I’m interested in you) Conversation, dialogue (no discussion or debate)

63. 63 Humble inquiry

64. 64 A quote… “The world is becoming more technologically complex, interdependent, and culturally diverse, which makes the building of relationships more and more necessary to get things accomplished and, at the same time, more difficult. Relationships are the key to good communication; good communication is the key to successful task accomplishment; and Humble Inquiry, based on Here-and-now Humility, is the key to good relationships.”

65. 65 A quote… “The world is becoming more technologically complex, interdependent, and culturally diverse, which makes the building of relationships more and more necessary to get things accomplished and, at the same time, more difficult. Relationships are the key to good communication; good communication is the key to successful task accomplishment; and Humble Inquiry, based on Here-and-now Humility, is the key to good relationships.”

66. 66 Humble inquiry Humble Inquiry is the fine art of drawing someone out, of asking questions to which you do not already know the answer, of building a relationship based on curiosity and interest in the other Humble inquiry <> tell and do (> something bosses really love to do)

67. 67 Humility 1.Basic humility 2.Optional humility 3.Here-and-now humility

68. 68 Inquiry Humble Inquiry starts with the ‘proper’ attitude and is then supported by your choice of questions. These are not: Leading questions (self-interest) Rhetorical questions (no question) Embarrassing questions (bad for relationship) Statements in the form of questions (no question, not truly interested)

69. 69 Humble inquiry: other concepts ‘Shared space’ ‘Psychological safety’ ‘Safety voice’ Climate: safety/ organizational climate Log-in and log-out

70. 70 Frank Guldenmund, f.w.guldenmund@tudelft.nl Safety culture and oversight