Monica Haage, Senior Nuclear Safety Specialist, Freelance

Monica Haage, Senior Nuclear Safety Specialist, Freelance
Reflections on Culture for Safety & Security Monica Haage, Senior Nuclear Safety Specialist, Freelance

The “headache” to work with culture
Behaviour, artefacts Shared Values, Norms Shared Basic Assumptions Different levels Influence the organisational behaviours But also influence what we take for granted Sets the organisational ”auto- pilot”

Lessons Learned from Fukushima Daiichi Accident
Public/ government Licensee Regulatory body Lessons Learned: Individuals and organizations need to consciously and continuously question their own basic assumptions and their implications on actions that impact nuclear safety. “Are we safe?” Source: IAEA Fukushima Report Technical Volume 2, Section 2.6

Behaviour, artefacts Shared Values, Norms Shared Basic Assumptions Different levels Influence the organisational behaviours But also influence what we take for granted Sets the organisational ”auto- pilot” Strong and ambitious normative frameworks

IAEA Safety Standards GSR Part 2: Leadership and Management for Safety
Requirements on: Responsibility for Safety Leadership for Safety Management for Safety Culture for Safety Measurement, Assessment and Improvement GSR Part 2 is newly published (2016) and the regulators around the world is now adapting their regulations to the new requirements. Several of requirements are stressing the importance of safety culture in relations to leadership and management, and two req. is directly addressed to safety culture. Requirement 12: Fostering a culture for safety 5.1. All individuals in the organization shall contribute to fostering and sustaining a strong safety culture [1, 2]. 5.2. Senior managers and all other managers shall advocate and support the following: (a) A common understanding of safety and of safety culture, including: awareness of radiation risks and hazards relating to work and to the working environment; an understanding of the significance of radiation risks and hazards for safety; and a collective commitment to safety by teams and individuals; (b) Acceptance by individuals of personal accountability for their attitudes and conduct with regard to safety; 12 The capability of the organization to have a clear understanding and knowledge of the product or service to be supplied is sometimes termed an ‘informed customer’ capability. 15 (c) An organizational culture that supports and encourages trust, collaboration, consultation and communication; (d) The reporting of problems relating to technical, human and organizational factors and reporting of any deficiencies in structures, systems and components to avoid degradation of safety, including the timely acknowledgement of, and reporting back of, actions taken; (e) Measures to encourage a questioning and learning attitude at all levels in the organization and to discourage complacency with regard to safety; (f) The means by which the organization seeks to enhance safety and to foster and sustain a strong safety culture, and using a systemic approach (i.e. an approach relating to the system as a whole in which the interactions between technical, human and organizational factors are duly considered); (g) Safety oriented decision making in all activities; (h) The exchange of ideas between, and the combination of, safety culture and security culture. Requirement 14: Measurement, assessment and improvement of leadership for safety and safety culture 6.9. Senior management shall ensure that self-assessment of leadership for safety and of safety culture includes assessment at all organizational levels and for all functions in the organization. Senior management shall ensure that such self-assessment makes use of recognized experts in the assessment of leadership and of safety culture. 6.10. Senior management shall ensure that an independent assessment of leadership for safety and of safety culture is conducted for enhancement of the organizational culture for safety (i.e. the organizational culture as it relates to safety and as it fosters a strong safety culture in the organization). 6.11. The results of self-assessments and independent assessments of leadership for safety and of safety culture [1] shall be communicated at all levels in the organization. The results of such assessments shall be acted upon to foster and sustain a strong safety culture, to improve leadership for safety and to foster a learning attitude within the organization

IAEA Safety Standards GSR Part 2: Leadership and Management for Safety
Requirement 12: Fostering a culture for safety “Individuals in the organization, from senior management downwards, shall foster a strong safety culture. The management system and leadership for safety shall be such as to foster and sustain a strong safety culture”. Requirement 14: Measurement, assessment and improvement of leadership for safety and safety culture “Senior management shall regularly commission assessments of leadership for safety and safety culture in its own organization.” GSR Part 2 is newly published (2016) and the regulators around the world is now adapting their regulations to the new requirements. Several of requirements are stressing the importance of safety culture in relations to leadership and management, and two req. is directly addressed to safety culture. Requirement 12: Fostering a culture for safety 5.1. All individuals in the organization shall contribute to fostering and sustaining a strong safety culture [1, 2]. 5.2. Senior managers and all other managers shall advocate and support the following: (a) A common understanding of safety and of safety culture, including: awareness of radiation risks and hazards relating to work and to the working environment; an understanding of the significance of radiation risks and hazards for safety; and a collective commitment to safety by teams and individuals; (b) Acceptance by individuals of personal accountability for their attitudes and conduct with regard to safety; 12 The capability of the organization to have a clear understanding and knowledge of the product or service to be supplied is sometimes termed an ‘informed customer’ capability. 15 (c) An organizational culture that supports and encourages trust, collaboration, consultation and communication; (d) The reporting of problems relating to technical, human and organizational factors and reporting of any deficiencies in structures, systems and components to avoid degradation of safety, including the timely acknowledgement of, and reporting back of, actions taken; (e) Measures to encourage a questioning and learning attitude at all levels in the organization and to discourage complacency with regard to safety; (f) The means by which the organization seeks to enhance safety and to foster and sustain a strong safety culture, and using a systemic approach (i.e. an approach relating to the system as a whole in which the interactions between technical, human and organizational factors are duly considered); (g) Safety oriented decision making in all activities; (h) The exchange of ideas between, and the combination of, safety culture and security culture. Requirement 14: Measurement, assessment and improvement of leadership for safety and safety culture 6.9. Senior management shall ensure that self-assessment of leadership for safety and of safety culture includes assessment at all organizational levels and for all functions in the organization. Senior management shall ensure that such self-assessment makes use of recognized experts in the assessment of leadership and of safety culture. 6.10. Senior management shall ensure that an independent assessment of leadership for safety and of safety culture is conducted for enhancement of the organizational culture for safety (i.e. the organizational culture as it relates to safety and as it fosters a strong safety culture in the organization). 6.11. The results of self-assessments and independent assessments of leadership for safety and of safety culture [1] shall be communicated at all levels in the organization. The results of such assessments shall be acted upon to foster and sustain a strong safety culture, to improve leadership for safety and to foster a learning attitude within the organization

IAEA Safety Standard – Characteristics and Attributes for Strong Safety Culture
Safety Culture is that assembly of characteristics and attitudes in organizations and individuals which establishes that, as an overriding priority, protection and safety issues receives the attention warranted by their significance IAEA Safety Glossary (GS-G-3.1) 9

Safety is a clearly recognized value Attributes
High priority to safety: shown in documentation, communications and decision- making Safety is a primary consideration in the allocation of resources The strategic business importance of safety is reflected in business plan Individuals are convinced that safety and production go ‘hand in hand’ A proactive and long-term approach to safety issues is shown in decision-making Safety conscious behavior is socially accepted and supported (both formally and informally)

Accountability for safety is clear Attributes
Appropriate relationship with the regulatory body exists, which ensures that the accountability for safety remains with the licensee Roles and responsibilities are clearly defined and understood There is a high level of compliance with regulations and procedures Management delegates responsibilities with appropriate authority to enable accountabilities Ownership for safety is evident at all organizational levels and by all individuals

Safety is learning driven Attributes
A questioning attitude prevails at all organizational levels An open reporting of deviations and errors is encouraged Internal and external assessments, including self-assessments are used Organizational and operating experience (both internal and external to the facility) is used Learning is enabled through the ability to recognize and diagnose deviations, formulate and implement solutions and monitor the effects of corrective actions Safety performance indicators are tracked, trended, evaluated and acted upon There is a systematic development of staff competencies

Safety is integrated into all activities Attributes
Trust permeates the organization Consideration for all types of safety, including industrial and environmental safety and security, is evident Quality of documentation and procedures is good Quality of processes, from planning to implementation and review, is good Individuals have the necessary knowledge and understanding of the work processes Factors affecting work motivation and job satisfaction are considered Good working conditions exist with regards to time pressures, work load and stress Cross-functional and interdisciplinary cooperation and teamwork are present Housekeeping and material condition reflect commitment to excellence

Leadership for safety is clear Attributes
Senior management is clearly committed to safety Commitment to safety is evident at all management levels Visible leadership showing involvement of management in safety related activities Leadership skills are systematically developed Management assures that there is sufficient and competent staff Management seeks the active involvement of staff in improving safety Safety implications are considered in the change management process Management shows a continuous effort to strive for openness and good communications throughout the organization Management has the ability to resolve conflicts as necessary Relationships between management and staff are built on trust

NEA Green Booklet The Safety Culture of an Effective Nuclear Regulatory Body
Principle 1: Leadership for safety is to be demonstrated at all levels in the regulatory body Principle 2: All staff of the regulatory body have individual responsibility and accountability for exhibiting behaviours that set the standard for safety Principle 3: The culture of the regulatory body promotes safety, and facilitates co-operation and open communication Principle 4: Implementing a holistic approach to safety is ensured by working in a systematic manner Principle 5: Continuous improvement, learning and self-assessment are encouraged at all levels in the organisation NEA has published in the Green Booklet The Safety Culture of an Effective Nuclear Regulatory Body, five principles and 21 attributes for regulatory safety culture

NEA Green Booklet The Safety Culture of an Effective Nuclear Regulatory Body
Principles and attributes for the safety culture of an effective nuclear regulatory body Principle 1: Leadership for safety is to be demonstrated at all levels in the regulatory body Attributes: “Safety first” is a guiding principle in the regulatory body. All leaders throughout the regulatory body demonstrate a commitment to safety in their decisions and behaviours. Leaders create an environment for positive development of the safety culture. Leaders clearly define individual roles, responsibilities and authority. Leaders ensure that the necessary resources are available to meet the safety mission.

Principles and attributes for the safety culture of an effective nuclear regulatory body
Principle 2: All staff of the regulatory body have individual responsibility and accountability for exhibiting behaviours that set the standard for safety Attributes: Personal commitment to and accountability for safety from every staff member, at all levels of the organisation. A strong sense of collaboration and co-ordination of activities across the organisation. The need for moral courage and agility in doing the right thing.

Principle 3: The culture of the regulatory body promotes safety, and facilitates co-operation and open communication Attributes: Openness and transparency. Clear organisational commitment to co-operation. A questioning attitude, and mechanisms to raise differing opinions on regulatory decisions. Promotion of safety and associated knowledge.

Principle 4: Implementing a holistic approach to safety is ensured by working in a systematic manner Attributes: A healthy respect for the consequences of all actions and decisions taken by the regulatory body. Clear awareness of roles and responsibilities in relation to licensees. A clear regulatory framework. Proactivity, adaptability and a holistic approach. Recognition of the complexity of safety issues.

Principle 5: Continuous improvement, learning and self-assessment are encouraged at all levels in the organisation Attributes: Looking at ourselves in the mirror: safety culture self-assessment and peer reviews. Learning from experience, fostering exchanges and increasing knowledge. Knowledge management to build a healthy safety culture. Continuous improvement as a clear value of the regulatory body.

WANO Principles Traits of a Healthy Safety Culture
Principles, traits and attributes 1: Individual Commitment to Safety Individual Commitment to Safety Personal Accountability Questioning Attitude Safety Communication Management Commitment to Safety Leadership Accountability Decision-Making Respectful Work Environment Management Systems Continuous Learning Problem Identification and Resolution Environment for Raising Concerns Work Processes WANO has published 3 principles divided into 10 traits and 40 attributes

Principles 1: Individual Commitment to Safety Trait: Personal Accountability (PA) Attributes: PA.1 Standards: Individuals understand the importance of adhering to nuclear standards. All levels of the organisation exercise accountability for shortfalls in meeting these standards. PA.2 Job Ownership: Individuals understand and demonstrate personal responsibility for the behaviours and work practices that support nuclear safety. PA.3 Teamwork: Individuals and work groups communicate and coordinate their activities within and across organisational boundaries to ensure nuclear safety is maintained. WANO

Principles 1: Individual Commitment to Safety Trait: Questioning Attitude (QA) Attributes: QA.1 Nuclear is Recognised as Special and Unique: Individuals understand that complex technologies can fail in unpredictable ways. QA.2 Challenge the Unknown: Individuals stop when faced with uncertain conditions. Risks are evaluated and managed before work proceeds. QA.3 Challenge Assumptions: Individuals challenge assumptions and offer opposing views when they believe something is not correct. QA.4 Avoid Complacency: Individuals recognise and plan for the possibility of mistakes, latent issues and inherent risk, even while expecting successful outcomes.

Principles 1: Individual Commitment to Safety Trait: Safety Communication (CO) Attributes: CO.1 Work Process Communications: Individuals incorporate safety communications in work activities. CO.2 Bases for Decisions: Leaders ensure that the bases for operational and organisational decisions are communicated in a timely manner. CO.3 Free Flow of Information: Individuals communicate openly and candidly, both up, down and across the organisation and with oversight, audit and regulatory organisations. CO.4 Expectations: Leaders frequently communicate and reinforce the expectation that nuclear safety is the organisation’s overriding priority.

Principles 2: Management Commitment to Safety Trait: Leadership Accountability (LA) Attributes: LA.1 Resources: Leaders ensure that personnel, equipment, procedures and other resources are available and adequate to support nuclear safety. LA.2 Field Presence: Leaders are commonly seen in working areas of the plant observing, coaching and reinforcing standards and expectations. Deviations from standards and expectations are corrected promptly. LA.3 Incentives, Sanctions and Rewards: Leaders ensure incentives, sanctions and rewards are aligned with nuclear safety policies and reinforce behaviours and outcomes that reflect nuclear safety as the overriding priority. LA.4 Strategic Commitment to Safety: Leaders ensure plant priorities are aligned to reflect nuclear safety as the overriding priority. LA.5 Change Management: Leaders use a systematic process for evaluating and implementing change so that nuclear safety remains the overriding priority. LA.6 Roles, Responsibilities and Authorities: Leaders clearly define roles, responsibilities and authorities to help ensure nuclear safety. LA.7 Constant Examination: Leaders ensure that nuclear safety is constantly scrutinised through a variety of monitoring techniques, including assessments of nuclear safety culture. LA.8 Leader Behaviours: Leaders exhibit behaviours that set the standard for safety.

Principles 2: Management Commitment to Safety Trait: Decision Making (DM) Attributes: DM.1 Consistent Process: Individuals use a consistent, systematic approach to make decisions. Risk insights are incorporated, as appropriate. DM.2 Conservative Bias: Individuals use decision-making practices that emphasise prudent choices over those that are simply allowable. For example, a proposed action is determined to be safe before proceeding, rather than determined to be unsafe before stopping. DM.3 Free Flow of Information: Individuals communicate openly and candidly, both up, down and across the organisation and with oversight, audit and regulatory organisations.

Principles 2: Management Commitment to Safety Trait: Respectful Work Environment (WE) Attributes: WE.1 Respect is Evident: Everyone is treated with dignity and respect. WE.2 Opinions are Valued: Individuals are encouraged to voice concerns, provide suggestions and raise questions. Differing opinions are also encouraged and respected. WE.3 High Level of Trust: Trust is fostered among individuals and work groups throughout the organisation. WE.4 Conflict Resolution: Fair and objective methods are used to resolve conflicts.

Principles 3: Management Systems Trait: Continuous Learning (CL) Attributes: CL.1 Operating Experience: Relevant internal and external operating experience is systematically and effectively collected, evaluated and lessons learned are implemented in a timely manner by the organisation. CL.2 Self-Assessment: The organisation routinely conducts self-critical and objective assessments of its programmes, practices and performance. CL.3 Benchmarking: The organisation learns from other organisations in order to continuously improve knowledge, skills and safety performance CL.4 Training: High-quality training maintains a knowledgeable workforce and reinforces high standards for maintaining nuclear safety.

Principles 3: Management Systems Trait: Problem Identification and Resolution (PI) Attributes: PI.1 Identification: The organisation implements a corrective action programme with a low threshold for identifying issues. Individuals identify issues in a timely manner and in accordance with the programme expectations. PI.2 Evaluation: The organisation thoroughly evaluates issues to ensure that problem resolutions and solutions address causes and extents of conditions commensurate with their nuclear safety significance. PI.3 Resolution: The organisation takes effective corrective actions to address issues in a timely manner, commensurate with their nuclear safety significance. PI.4 Trending: The organisation periodically analyses information from the corrective action programme and other assessments in the aggregate to identify adverse trends or conditions.

Principles 3: Management Systems Trait: Environment for Raising Concerns (RC) Attributes: RC.1 SCWE Policy: The organisation implements a policy that supports individual rights and responsibilities to raise nuclear safety concerns, and does not tolerate harassment, intimidation, retaliation or discrimination for doing so. RC.2 Alternate Process for Raising Concerns: The organisation implements a process for raising and resolving concerns that is independent of line management influence. Nuclear safety issues may be raised in confidence and with an expectation that they be resolved in a timely and effective manner.

Principles 3: Management Systems Trait: Work Processes (WP) Attributes: WP.1 Work Management: The organisation implements a process of planning, controlling and executing work activities such that nuclear safety is the overriding priority. The process includes the identification and management of nuclear safety risk commensurate with the work to be performed. WP.2 Design Margins: The organisation operates and maintains equipment within design margins. Margins are carefully guarded and changed only through a systematic and rigorous process. Special attention is placed on maintaining fission product barriers, defence-in-depth and the operability and function of safety-related equipment. WP.3 Documentation: The organisation creates and maintains complete, accurate and up-to-date documentation. WP.4 Procedure Adherence: Individuals properly follow processes, procedures and work instructions.

Behaviour, artefacts Shared Values, Norms Shared Basic Assumptions Different levels Influence the organisational behaviours But also influence what we take for granted Sets the organisational ”auto-pilot” Strong and ambitious normative frameworks Important for Regulators and Licensees

Another of the 7 Lessons Learned
The regulatory body needs to acknowledge its role within the national nuclear system and the potential for its impact on the nuclear industry’s safety culture.

Systemic View of Interactions within the broader Sociotechnical System
Licensee Regulatory Body Universities Technical Support Organizations Standards Organizations Lobby Groups International Bodies Media Professional Associations Work Unions Waste Management Organizations Vendors Energy Markets Competing Energy Providers Interest Groups Legal Bodies Governmental Ministries

Enhanced Focus on Regulatory Safety Culture
The regulatory body profoundly impacts the licensee’s safety culture and its sense of responsibility for safety. OECD/Nuclear Energy Agency (NEA) publication - The Safety Culture of an Effective Nuclear Regulatory Body (2016) For this reason, it is paramount that the regulatory body not only consider safety culture as a matter of oversight, but also as a matter of self-reflection. Establishment of a new OECD/NEA Safety Culture Working Group under mandate of the Committee on Nuclear Regulatory Activities

Behaviour, artefacts Shared Values, Norms Shared Basic Assumptions Different levels Influence the organisational behaviours But also influence what we take for granted Sets the organisational ”auto-pilot” Strong and ambitious normative frameworks Important for Regulators and Licensees Challenge to work with proactively However it is rewarding and fun to work with the human side of nuclear safety – it is a learning journey. Enjoy the ride!

Keep it Simple – Three Domains to Balance
Structure: The systems, frameworks, infrastructure created to ensure a systematic approach to safety Progression: The enactment based on organizational learnings and evolved understandings Interrelationships: What happens between people, groups and organizations that shapes behaviours Green Tools Blue Tools Red Tools

Three Levels and Domains in Focus
Regulatory Body Licensee Structure: Requirement Structure: Management System Interrelationships: Regulator-Licensees, internal coordination Interrelationships: Leadership, collaboration/silos, openness Progression: Self-reflection and learning Progression: Continuous improvements, inquiring of the safety assumptions

Three Levels and Domains in Focus
Based Upon Source of cues Structure: Facts, knowledge, calculations, information Structure: Plans, event investigations, information gathering, performance, KPI, etc Interrelationships: Emotions, sensitivity, interpretation, socialization Interrelationships: Power dynamics, communication, leadership, accepted and not accepted behaviours, etc Progression: Wisdom, experiences, evolved understanding, exploration, lessons learned Progression: Response to peer-reviews/audits/assessments, repeatable events, long-term strategies, self-reflection (individual, group and organizational level), etc

Keep it Simple – Use Easy-to-Use Tools
Three domains to embrace and work with: Structure: The systems, frameworks, infrastructure created to ensure a systematic approach to safety Progression: The enactment based on organizational learnings and evolved understandings Interrelationships: What happens between people, groups and organizations that shapes behaviours Green Tools Blue Tools Red Tools

Organizational Culture

Safety & Security Requirements

Safety Security

Leadership Safety Security

Leadership Safety Security Management Culture for Safety

Contact Details Monica Haage Hjorttackegatan 23 211 33 Malmö Sweden
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