ABS 188-2012 GUIDANCE NOTES ON SAFETY CULTURE AND LEADING INDICATORS OF SAFETY《安全文化和安全前导指标指南评注》.pdf

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1、 Guidance Notes on Safety Culture and Leading Indicators of Safety GUIDANCE NOTES ON SAFETY CULTURE AND LEADING INDICATORS OF SAFETY JANUARY 2012 (Updated February 2014 see next page) American Bureau of Shipping Incorporated by Act of Legislature of the State of New York 1862 Copyright 2012 American

2、 Bureau of Shipping ABS Plaza 16855 Northchase Drive Houston, TX 77060 USA Updates February 2014 consolidation includes: January 2012 version plus Corrigenda/Editorials ABSGUIDANCE NOTES ON SAFETY CULTURE AND LEADING INDICATORS OF SAFETY .2012 iii Foreword Foreword The mission of ABS is to serve the

3、 public interest, as well as the needs of its clients, by promoting the security of life, property, and the natural environment. The importance of the development of a positive safety culture has been recognized for some time, particularly in large-scale systems where the consequences of losses can

4、be severe. In safety-critical systems, the use of leading indicators has been proposed to identify areas of weakness in advance of adverse events, affording the possibility of taking action to avoid losses. This is in contrast to lagging indicators, such as numbers of accidents or incidents, which g

5、ive indications of past performance. Based on work with ABS clients, these Guidance Notes provide guidance on the self-assessment of a marine organizations Safety Culture, and the development of a Leading Indicators Program. These Guidance Notes are applicable to all cargo-carrying commercial vessel

6、s. Guidance is provided in the form of questionnaires, datasheets, techniques of analysis, and worked examples. These Guidance Notes become effective on the first day of the month of publication. Users are advised to check periodically on the ABS website www.eagle.org to verify that this version of

7、these Guidance Notes is the most current. We welcome your feedback. Comments or suggestions can be sent electronically by email to rsdeagle.org. iv ABSGUIDANCE NOTES ON SAFETY CULTURE AND LEADING INDICATORS OF SAFETY .2011 Table of Contents GUIDANCE NOTES ON SAFETY CULTURE AND LEADING INDICATORS OF

8、SAFETY CONTENTS CHAPTER 1 Introduction 1 Section 1 General 2 CHAPTER 2 Safety Culture . 8 Section 1 Safety Factors 10 Section 2 Administering the Survey . 12 Section 3 Analyzing the Responses 15 CHAPTER 3 Leading Indicators of Safety . 22 Section 1 The Leading Indicators Program . 24 Section 2 Safet

9、y Metrics 26 Section 3 Safety Performance Data. 30 Section 4 Identifying Objective Leading Indicators 32 Section 5 Identifying Subjective Leading Indicators 40 CHAPTER 4 Next Step . 43 Section 1 Interpreting the Results 45 Section 2 Presenting the Findings . 47 Section 3 Utilizing the Findings 50 AP

10、PENDIX 1 Shipboard Safety Culture Questionnaire . 57 APPENDIX 2 Shoreside Safety Culture Questionnaire 60 APPENDIX 3 Questionnaires and Safety Factors 63 APPENDIX 4 Safety Performance Datasheets 68 APPENDIX 5 Electronic Distribution . 73 APPENDIX 6 References 75 ABSGUIDANCE NOTES ON SAFETY CULTURE A

11、ND LEADING INDICATORS OF SAFETY .2012 1 Chapter 1: Introduction CHAPTER 1 Introduction CONTENTS SECTION 1 General 2 1 Purpose . 2 2 Background . 2 2.1 Safety Performance . 2 2.2 Safety Culture 2 2.3 Lagging Indicators of Safety 3 2.4 Leading Indicators of Safety 3 2.5 Key Performance Indicators 3 3

12、The ABS Safety Culture and Leading Indicators Model . 3 4 Scope of the Guidance Notes . 4 5 Contents of the Guidance Notes . 5 6 Definitions . 5 FIGURE 1 The ABS Safety Culture and Leading Indicators Model . 4 2 ABSGUIDANCE NOTES ON SAFETY CULTURE AND LEADING INDICATORS OF SAFETY .2012 Section 1: Ge

13、neral CHAPTER 1 Introduction SECTION 1 General 1 Purpose This document has been developed with the objective of improving safety performance in the management and operation of cargo-carrying commercial vessels. ABS provides this guidance in recognition of the beneficial effect that a positive safety

14、 culture can have on safety performance, and the part played by leading indicators in guiding action to improve safety performance. This document provides: i) Guidance to maritime organizations on the survey and assessment of their organizational safety culture, both onshore and at sea. ii) A proces

15、s for identifying an organizations leading indicators of safety performance. Leading indicators are safety metrics associated with safety performance. Tracking and improving these metrics may help to maintain and improve safety performance. The results from the survey, and/or any leading indicators,

16、 can be incorporated into the organizations ongoing continual improvement program. 2 Background 2.1 Safety Performance The goal of the International Safety Management (ISM) Code, and of Safety Management Systems (SMSs) is the attainment of peak safety performance (i.e., no operational incidents, no

17、personal injuries, and no harm to the environment), but the maritime industry is still some way from achieving this goal. Tools such as the ISM Code and SMSs undoubtedly aid compliance with regulation, but they do not necessarily improve safety culture. There is a general recognition in the industry

18、 that encouraging safe working practices does not require more rules, regulations, and procedures. Instead, the industry needs a better understanding of the social and organizational factors that foster professionalism in the seafarer in routine and emergency situations. 2.2 Safety Culture Original

19、attempts to improve workplace safety, or to minimize risks, focused on the technical and engineering aspects of a system. The focus widened as the role of human error became clear and broadened even further with the publication of the report into the Chernobyl disaster (UNSCEAR, 1988). This report i

20、dentified the absence of a safety culture as the major contributor to the disaster, and defined safety culture as “That assembly of characteristics and attitudes in organizations and individuals which establishes that, as an overriding priority, nuclear plant safety issues receive the attention warr

21、anted by their significance”. Subsequent reports into other major disasters produced similar findings. They too recognized the impact of safety culture on the outcome of safety performance, noting that most operational incidents are not solely the result of human error, technical failures, or enviro

22、nmental factors. Often there are more systemic organizational or managerial flaws (e.g., a fatal combination of failure of management, employees not performing their duties, and a breakdown in documented systems). Chapter 1 Introduction Section 1 General 1-1 ABSGUIDANCE NOTES ON SAFETY CULTURE AND L

23、EADING INDICATORS OF SAFETY .2012 3 In all hazardous industries, it is now accepted good practice to have in place an SMS and to institutionalize safe working practices and attitudes through the development of a positive safety culture. There is a close relationship between an organizations safety c

24、ulture and an SMS. An effective SMS has to take into account all factors that impact safety including the human and organizational; and conversely, the safety culture influences the way in which the SMS is implemented. Consequently, the assessment of safety culture and the SMS are complementary. 2.3

25、 Lagging Indicators of Safety Safety performance has traditionally been measured by after the loss type of measurements such as accident and injury rates, incidents, and dollar costs. Lagging indicators characteristically: Identify trends in past performance Assess outcomes and occurrences Have a lo

26、ng history of use, and so are an accepted standard Are easy to calculate In the aftermath of catastrophes, it is common to find prior indicators, missed signals, and dismissed alerts which, if they have been appropriately managed at the time, may have averted the disaster. 2.4 Leading Indicators of

27、Safety Over the past couple of decades, improved safety performance has been associated with a number of measurable activities in various industries, opening up the possibility that some of these metrics may be leading indicators for safety performance. Examples of metrics for these activities are s

28、ize of safety budget, safety audit scores, number of safety inspections, number of safety meetings involving management, etc. Leading indicators are safety culture metrics that are associated with, and precede, an undesirable/unexpected consequence such as an operational incident, near miss or perso

29、nal injury. They can: Reveal areas of weakness in advance of adverse events Be associated with proactive activities that identify hazards Aid risk assessment and management Leading Indicators are the most important safety culture metrics for the organization as they correlate with the organizations

30、safety performance. ABS has developed a method for identifying potential leading indicators for improving safety performance. 2.5 Key Performance Indicators Leading indicators are frequently confused with key performance indicators (KPIs). KPIs are strongly associated with organizational peak perfor

31、mance which may, or may not, be safety-related. Examples of KPIs are: budgetary control per vessel, dry-docking planning performance, and vessel availability (Sleire, 1982). KPIs may be leading or lagging indicators. In contrast, leading indicators are always associated with safety. 3 The ABS Safety

32、 Culture and Leading Indicators Model The central premise of the ABS Model, shown in 1-1/Figure 1, “The ABS Safety Culture and Leading Indicators Model”, is that improvements in organizational safety culture can lead to enhanced safety performance. The first step is an assessment of the existing saf

33、ety culture to identify areas of strength, weaknesses of defenses, and opportunities for improvement against operational incidents, personal injuries, etc. This can be done using the ABS safety culture questionnaires supplied in these Guidance Notes in Appendices 1 and 2. Details of how to administe

34、r the survey and conduct the analysis are supplied in Chapter 2. The findings may reveal strengths which can be built upon, and any weaknesses that need rectifying. Chapter 4, Section 3 provides suggestions for utilizing the results in the organizations continual improvement program. Chapter 1 Intro

35、duction Section 1 General 1-1 4 ABSGUIDANCE NOTES ON SAFETY CULTURE AND LEADING INDICATORS OF SAFETY .2012 FIGURE 1 The ABS Safety Culture and Leading Indicators Model The ABS Model also incorporates a process for identifying an organizations potential leading indicators of safety. There are two way

36、s of conducting this process: i) By the identification of objective leading indicators. This is done by correlating safety culture metrics with safety performance data. This is the preferred approach because of its objectivity; because it utilizes metrics that the organization has collected; and it

37、does not require a survey of the workforce, which can be time-consuming. This can be done at three levels: At the Organizational level Across Business Units Across the Fleet ii) By the identification of subjective leading indicators from a safety culture survey. These indicators are based on the val

38、ues, attitudes, and observations of employees. This method may identify potentially beneficial safety culture metrics not yet tracked by the organization. This approach may be used when the organization lacks sufficient metrics to use the objective leading indicators process. There are a number of c

39、riteria for undertaking a Leading Indicators Program, and for each type of assessment. For example, to undertake the organizational level analysis, the organization must have been collecting safety metrics for at least five years. The criteria are discussed fully in the appropriate sections. 4 Scope

40、 of the Guidance Notes The focus of these Guidance Notes is on the self-assessment of an organizations safety culture and the identification of that organizations potential leading indicators of safety (i.e., a set of safety metrics that are correlated with safety performance in that organization.)

41、Guidance is also provided on utilizing the findings as part of an organizations ongoing continual improvement program. Chapter 1 Introduction Section 1 General 1-1 ABSGUIDANCE NOTES ON SAFETY CULTURE AND LEADING INDICATORS OF SAFETY .2012 5 5 Contents of the Guidance Notes These Guidance Notes are o

42、rganized as follows: Chapter 2: Safety Culture Section 1 Safety Factors defines the safety factors (aspects of safety culture) such as communication and mutual trust, used in the assessment of safety culture in the ABS survey. Section 2 Administering the Survey outlines the planning and preparation

43、to be undertaken. Section 3 Analyzing the Responses describes the data analysis to be done, with a worked example. Chapter 3: Leading Indicators of Safety Section 1 The Leading Indicators Program provides background information about leading indicator of safety assessments. Section 2 Safety Metrics

44、describes and categorizes the metrics used in the Leading Indicators Program. Section 3 Safety Performance Data describes and categorizes the safety performance data used in the Leading Indicators Program. Section 4 Identifying Objective Leading Indicators, presents the data analysis (correlation of

45、 safety metrics with safety performance data), with worked examples. Section 5 Identifying Subjective Leading Indicators, presents the data analysis (correlation of survey results with safety performance data), with a worked example. Chapter 4: Next Step Section 1 Interpreting the Results discusses

46、how to interpret the results obtained from the safety culture survey and from the leading indicators exercises. Section 2 Presenting the Findings presents basic information about presentation formats. Section 3 Utilizing the Findings provides guidance on interpreting the results and including them i

47、n a continual improvement program. Appendices Appendix 1 Presents the shipboard safety culture questionnaire. Appendix 2 Presents the shoreside safety culture questionnaire. Appendix 3 Presents the questionnaires categorized by safety factors, and the questions per safety factor. Appendix 4 Presents

48、 the safety performance datasheets used the in Leading Indicators assessments. Appendix 5 Provides summary guidance on how to distribute the safety culture survey electronically. 6 Definitions These definitions were used in the development and piloting of the safety culture survey and Leading Indica

49、tors Program described in these Guidance Notes. Accidents: Undesired events that result in personal injury. Conditions of Class: The number of deficiencies identified, or recommendations made, by the classification societys surveyor on a vessel. Conditions of Class (Frequencies): The total number of conditions of class multiplied by 100, divided by the number of port calls of that vessel in the last year. Data Sub-Setting: The reduction of large datasets to subsets that are more manageable and/or contain only the data th