1. All rights reserved © B&W Pantex 2008 Janice N. Tolk, Ph.D., P.E. Richard S. Hartley, Ph.D., P.E. This presentation was produced under contract number DE-AC04-00AL66620 with

2. All rights reserved © B&W Pantex 2008 Background and Motivation Objectives Methodology and Progress Expected Outcome Summary Next Steps 2

3. All rights reserved © B&W Pantex 2008 Pantex Plant engages in high hazard operations Explosives manufacture and testing Nuclear weapon assembly and disassembly Protective force operations Pantex Plant began Highly Reliable Organization (HRO) journey in 2007 Heavy emphasis on organizational culture and leadership in HRO training All managers at the Plant trained (  500) EFCOG Group on Safety Culture Pantex Plant took a lead role in 2008 Pantex Plant continues with new EFCOG group in 2010 Pantex committed to be a lead Plant in safety culture assessments Safety culture is a foundation of HROs Provides feedback as to effectiveness of HRO 3

4. All rights reserved © B&W Pantex 2008 HRO Practice #3 Foster a strong culture of reliability HRO Practice #4 Learn and adapt as an organization HRO Practice #2 Reduce system variability HRO Practice #1 Manage the system, not the parts Knowledge of Systems Knowledge of Variation Knowledge of Psychology Knowledge of Knowledge 4

5. All rights reserved © B&W Pantex 2008 Deeply held attitudes and values of organization that drive safety-related behaviors Similar to personality in an individual Slow to change and difficult to measure May vary across organizational levels and groups Sub-Cultures 5 Section level Department level Division level Plant level

6. All rights reserved © B&W Pantex 2008 6 leaders walking-the-talk Balance and alignment between underlying assumptions and espoused values indicates leaders walking-the-talk employees buying-into safety culture Balance and alignment between espoused values and artifacts or behaviors indicates employees buying-into safety culture Adapted from Schein, Organizational Culture and Leadership, 2004 Underlying Assumptions Espoused Beliefs and Values Artifacts and Behaviors Becoming an HRO Becoming an HRO Desire to be an HRO Desire to be an HRO

7. All rights reserved © B&W Pantex 2008 Define a safety culture model that fits the context of Pantex Plant operations Develop a Pantex-specific survey instrument to assess safety culture Pilot test to verify instrument design Administer in Applied Technology Division to all employees Analyze data to identify current performance levels, empirical relationships between culture dimensions, and gaps across employee groups Develop action plan with metrics Offer for plant-wide deployment 7

8. All rights reserved © B&W Pantex 2008 8 Schein, Organizational Culture and Leadership, 2004 Underlying Assumptions Espoused Beliefs and Values Artifacts and Behaviors Below the surface Determine by interviewing leadership Determine by observing work Misalignment hints at deeper underlying assumptions keeping the organization from attaining its desired balance between production and safety Underlying assumptions must be understood to properly interpret artifacts and to create change

9. All rights reserved © B&W Pantex 2008 Developed class of culture lines of inquiry that would provide feedback on Pantex HRO Researched numerous survey instruments and guides recommended by EFCOG Determined outside experts in survey design and analysis would achieve a better response and more accurate results Contracted with Texas Tech University to design and deliver a survey and conduct follow up interviews 9

10. All rights reserved © B&W Pantex 2008 TTU performed literature review, observed multiple operations, interviewed employees to inform survey development Interviewed bargaining unit employees Interviewed exempt employees Interviewed Applied Technology Safety Team Will perform additional process observations, document review, and focus groups to further understand results and develop action plans for improvement 10

11. All rights reserved © B&W Pantex 2008 Applied Technology Division Approximately 160 people in 4 departments Operations HE Engineering and Physics HE Manufacturing Materials and Analytical Services Facility Management Flat organization with four layers Division Manager Department Manager Section Manager Employees 11

12. All rights reserved © B&W Pantex 2008 Common themes (Singer et al,. 2002, p. 113) Commitment to safety articulated at the highest levels of the organization and translated into shared values, beliefs, and behavioral norms at all levels. Necessary resources, incentives, and rewards provided by the organization to allow this commitment to occur. Safety is valued as the primary priority, even at the expense of “production” or “efficiency”; personnel are rewarded for erring on the side of safety even if they turn out to be wrong. Communication between workers and across organizational levels is frequent and candid. Unsafe acts are rare despite high levels of production. There is an openness about errors and problems, and they are reported when they do occur. Organizational learning is valued; the response to a problem focuses on improving system. 12

13. All rights reserved © B&W Pantex 2008 Management commitment Managerial actions Employee commitment Employee involvement Perceived risks Required work pace Beliefs about accident causation factors (systems thinking) Job-induced stress Safety communications Quality of safety procedures Safety training Quality of physical work arrangements Effectiveness of safety personnel Feedback and learning mechanisms Safety procedure adherence (behaviors) Safety outcomes Demographics Space for additional comments 13

14. All rights reserved © B&W Pantex 2008 Developed based on Literature review (SCART, IAEA guidelines for self assessment, safety culture models from other industries) Process observations Feedback from Applied Technology safety team, scientists, and engineers Cross-walked to Pantex HRO Practices Provides feedback on effectiveness of Pantex HRO 14

15. All rights reserved © B&W Pantex 2008 InputsProcessOutcomes 15 Learning Process for Safety Shared Accountability for Safety Safety Outcomes Management Commitment to Safety Job Design for Safety

16. All rights reserved © B&W Pantex 2008 Inputs 16 Management Commitment to SafetyJob Design for Safety Sufficient resources for safetyEmployee autonomy Responsive leadership for safetyQuality of process standardization Personalized leadership for safetyJob Motivation Organizational respect for the individualSafety training adequacy Environmental turbulence

17. All rights reserved © B&W Pantex 2008 Process Outcomes 17 Shared Accountability for SafetyLearning Processes for Safety Quality of safety proceduresSystems thinking Employee ownership of safetyOpenness toward mistakes Overall Perceptions of Systems SafetyOverall effectiveness of safety management system Likelihood of accidents/events Historical DataEvent/incident and near-miss rates Effectiveness of Safety PersonnelSafety officer and union steward

18. All rights reserved © B&W Pantex 2008 Approximately 170 questions related to safety culture inputs and processes Five questions related to safety outcomes Four demographic questions One free response field Estimated time to complete = 20-40 minutes 18

19. All rights reserved © B&W Pantex 2008 Group administration in Applied Technology Division by Section and job function Trained TTU personnel will administer to ensure anonymity Pilot testing TTU graduate students Applied Technology Safety Team B&W Pantex senior staff 19

20. All rights reserved © B&W Pantex 2008 Full scale data collection May-June Analysis and action plan formation June – September Verify factor structure and psychometric properties Assess within-group agreement and between-group differences Evaluate gaps across organizational groups and relationships between variables Meetings, focus groups, process observations, and/or document review to understand findings and formulate action plans Deliver to entire Plant population next fiscal year 20

21. All rights reserved © B&W Pantex 2008 Better understanding of the current safety culture within the Applied Technology Division and specific areas of strength and weakness across groups Identification of specific means of improving safety culture within and across groups Improved safety culture both within and across groups (long-term) Improved organizational reliability (long-term) 21

22. All rights reserved © B&W Pantex 2008 B&W Pantex continues on leading edge of safety improvements throughout DOE  Integrated Management BBS HPI CFA HRO Safety culture assessment and improvement  feedback to effectiveness of Pantex HRO B&W Pantex approach to HRO and safety culture consistent with DOE HRO framework integrates HPI, BBS, VPP HRO Practices fully integrated with ISM Safety Culture assessment fully integrated with HRO Practices 22

23. All rights reserved © B&W Pantex 2008 Share safety culture methodology lessons learned with other sites and organizations Establish the expectations for healthy safety culture at Pantex Conduct safety culture assessment across the Plant Periodically (every two years) re-evaluate safety culture to determine progress 23