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SPE 86623

Cultural Maturity Model: Health and Safety Improvement through Involvement


Mark Fleming, Assistant Professor, Saint Mary's University, Halifax, Nova Scotia, Canada.
Scott Meakin, Senior TLM advisor, Petro-Canada, East Coast, St Johns Newfoundland, Canada.

Copyright 2004, Society of Petroleum Engineers Inc.


passenger rail transportation (Ladbrook Grove and Clapham
This paper was prepared for presentation at The Seventh SPE International Conference on Junction). The surprising thing about these investigations is
Health, Safety, and Environment in Oil and Gas Exploration and Production held in Calgary,
Alberta, Canada, 2931 March 2004. that they all concluded that systems broke down
This paper was selected for presentation by an SPE Program Committee following review of
catastrophically, despite the use of complex engineering and
information contained in a proposal submitted by the author(s). Contents of the paper, as technical safeguards. These disasters were not primarily
presented, have not been reviewed by the Society of Petroleum Engineers and are subject to
correction by the author(s). The material, as presented, does not necessarily reflect any caused by engineering failure, but by the action or inaction of
position of the Society of Petroleum Engineers, its officers, or members. Papers presented at
SPE meetings are subject to publication review by Editorial Committees of the Society of
the people running the system. The causes in each case were
Petroleum Engineers. Electronic reproduction, distribution, or storage of any part of this paper malpractices that had corrupted large parts of the socio-
for commercial purposes without the written consent of the Society of Petroleum Engineers is
prohibited. Permission to reproduce in print is restricted to a proposal of not more than 300 technical system p2173.
words; illustrations may not be copied. The proposal must contain conspicuous In parallel with the wider recognition of the importance of
acknowledgment of where and by whom the paper was presented. Write Librarian, SPE, P.O.
Box 833836, Richardson, TX 75083-3836, U.S.A., fax 01-972-952-9435. psychological aspects of safety, the concept of organisational
safety culture came to the fore. The term safety culture was
Abstract introduced by International Atomic Energy Agency in their
Petroleum companies increasingly recognize the importance of report on the Chernobyl nuclear power plant disaster in 1986
the cultural aspects of health and safety management. This is where the errors and violations of the operating procedures
due in part to the conclusion that a poor safety culture which contributed to the accident were seen by some as being
contributed to a number of disasters. Many Petroleum evidence of a poor safety culture at the plant3. Safety culture
companies have measured their safety culture in order to has been described as the most important theoretical
identify improvements. Questionnaires are commonly used, development in health and safety research in recent decades4.
as they are an efficient method to collect large data sets that Although the importance of safety culture is widely accepted,
can be analyzed statistically. Unfortunately, safety culture there is still little agreement about what is meant by the term.
surveys have limitations; for example, they provide little To an extent, safety culture has been a victim of its own
assistance in identifying interventions to address areas of success, because the explosion of interest in safety culture has
concern. A potential solution to this limitation is the use of a led to a range of conceptualisations, nearly one for each
maturity or evolutionary framework. In the UK the offshore research team working in the area. A recent review of the
oil industry and the Health and Safety Executive research literature identified 16 separate safety culture
commissioned a study to develop a health and safety maturity definitions5. The issue is further confused by the related
framework1. The study produced a cultural maturity model concept of safety climate. It appears that those who
based on capability maturity models used in the software introduced the term safety culture ignored the earlier concept
industry. This framework is similar to Westrums three level of safety climate described by Zohar6. Once the concept of
safety maturity model2. These and other models were used as safety culture became popular in the early 1990s the question
the basis of a Canadian cultural maturity model. This model of its relationship with safety climate arose. Over the last
consists of 5 levels of maturity (Documenting, Controlling, decade several attempts have been made to distinguish
Engaging, Participating and Institutionalizing) and 10 between the two terms (see Cox and Flin7), but safety climate
elements. This paper describes the development of the model is still often used interchangeably with safety culture.
and the results of a cultural maturity project conducted in The Advisory Committee on the Safety of Nuclear
Petro-Canadas East Coast Operations. Installations (ACSNI) produced the most widely accepted and
comprehensive safety culture definition. They defined safety
Introduction culture as the product of individual and group values,
High hazard organisations (e.g. petrochemical, aviation, attitudes, perceptions, competencies, and patterns of
medicine) increasingly recognise the importance of the behaviour that determine commitment to, and the style and
cultural aspects of safety management. This is due in part to proficiency of, an organisation's health and safety
the findings from investigations into major disasters in the management. Organisations with a positive safety culture are
petrochemical industry (e.g. Piper Alpha) and other industries characterized by communications founded on mutual trust, by
such as nuclear power (e.g. Three Mile Island and Chernobyl), shared perceptions of the importance of safety and by the
marine transportation (Exxon Valdese and Zeebrugge) and efficacy of preventive measures8 p23. That is to say safety
culture consists of values, attitudes, perceptions, competencies
2 SPE 86623

and behaviour of the people that makeup the organisation. In with non-accident group reporting more positive perceptions.
an organisation with a positive safety culture there are high In the UK offshore oil and gas industry Mearns, Flin, Fleming
levels of trust, people agree that safety is important and that and Gordon11 found that accident and non-accident
safety management systems are effective. This definition respondents differed in their assessment of safety measures
implies that a poor safety culture would be one where people and on seven of the ten safety attitude factors, for example
do not trust each other, do not share the perception that safety speaking up about safety and supervisor commitment to
is important nor that preventative measures are effective. safety. Lees3 survey of 5198 nuclear power plant employees,
Safety culture influences workers (or groups of workers) found that accident and non-accident groups differed on 17 of
view of the world (i.e. what is important and how they the 19 safety climate factors measured. In a follow up survey
interpret new information) and is stable over time. It can be Lee and Harrison13 of 683 nuclear power employees on three
likened to the personality of the organisation. Safety culture sites they found that 24 of the 28 factors from their
transcends the organisational members that share the culture, questionnaire were linked to accident performance. Research
as it is the things that are passed on and endure. In essence studies in other industrial domains14 have also linked safety
safety culture is independent of people who are currently part climate to safety performance.
of the organisation, the culture will exist after all these people All of these studies take the individual as their unit of
have left. New members of the organisation informally learn analysis and therefore have examined how individual attitudes
the safety culture, through observation, social feedback and are linked to individual accident involvement. The extent to
trail and error. which this indicates anything about organisational factors is
The utility of the safety culture concept depends upon the questionable. There is a need to use the organisation as the
extent to which it is related to health and safety outcomes. An unit of analysis rather than individuals. A study conducted by
organisations safety culture may influence both the likelihood Simard and Marchand15 randomly selected 258 plants from 20
of an organisational accident occurring and the occupational manufacturing industries in Quebec, Canada. One hundred of
accident rate. Fortunately organisational accidents do not the 258 agreed to participate in the study. The plants were
occur frequently and therefore only limited research has been split into high and low accident plants on the basis of their
conducted to investigate the link between safety culture and accident rate relative to their industry average. Data were
organisational accidents. The evidence that links safety collected through a battery of 13 questionnaires completed by
culture with organisational accidents comes from senior managers, middle managers, worker representatives and
investigations into major disasters. As mentioned above, first line supervisors. They found that the development of the
many recent investigations into major disasters have a safety management system and supervisor safety leadership
remarkable similarity in that they identify deficiencies in the differentiated between high and low accident organisations.
safety culture as the underlying cause of the disasters. While this is an interesting study frontline workers were not
The safety culture concept originated from the surveyed. A recent study conducted in the UK offshore oil
investigation into the Chernobyl nuclear disaster and it is clear and gas industry by Mearns, Whitaker, Flin, Gordon and
that safety culture inadequacies have contributed to other OConnor16 compared differences between 13 installations on
disasters, such as Piper Alpha and the recent Space shuttle self-completion questionnaires. Rank correlations were used
disaster. While these high profile incidents have focused to examine the relationship between company accident data
attention on safety culture there is a need for more scientific and factors on the Offshore Safety Questionnaire. They found
evidence of the importance of safety culture. significant negative correlations between accident rates and
The two main sources of evidence that provide support for health surveillance and promotion and safety auditing.
the validity of safety culture, are the analysis of accidents and The above indicates that there have been numerous studies
questionnaire studies. If safety culture influences accident demonstrating the link between self-report accident rates and
rates then it should be possible to identify safety culture safety attitudes. Taken together there is convincing evidence
factors that contributed to the cause of accidents. A review of for the validity of the safety culture concept.
142 accidents in two different sectors (Steel industry and The above studies used self-completion questionnaires to
Medicine) revealed that between 35-40% of accident causes measure safety culture and safety climate. Questionnaires
could be attributed to organisational factors and of these a appeal to researchers because they enable them to reach a
third were directly attributable to employee attitudes9. large number of respondents in an efficient manner and
Although the author separates organisational factors into questionnaires produce data that can be analyzed statistically.
structure, strategy and goals and safety culture all of these In contrast, the information produced by questionnaire surveys
would be included in the definition of safety culture used here. are often less helpful to managers of the organisation
This study provides good evidence that safety culture is a participating in the survey. Company managers can be
causal factor in individual accidents. overwhelmed with the amount of data produced and often the
Numerous studies10 11 have linked accidents to safety information is presented in scientific language. In addition, it
attitude questionnaire responses, with lower accident rates is difficult to know what a good result is and to identify
associated with positive attitudes. The majority of studies interventions to address areas of concern. The difficulties of
have adopted a similar methodology of comparing the safety climate/ culture surveys was succinctly put by an oil
responses of individuals who self-report accident involvement industry manager, when he said: Safety climate surveys are a
with those who report no accident involvement. Brown and bit like describing the water to a drowning man, they tell you
Holmes12 using the instrument developed by Zohar6 found that how bad things are but do not help you to solve the problem.
accident and non-accident groups differed in their perceptions,
SPE 86623 3

Developing the Cultural Maturity Model (CMM) An extensive literature review was conducted to develop a
The limitation of safety climate surveys highlight the need for new cultural maturity model. The literature review included
a solution focused approach to safety culture measurement and publications describing capability maturity models, safety
improvement. There is a need for a developmental framework maturity models, existing cultural maturity models and general
that enables organizations to locate their safety culture on a safety culture literature. The results were used to develop an
maturity continuum. This framework should also provide initial draft CMM. This model was disseminated to a range of
guidance on what organizations need to do to move along this industry representatives, academics and regulators in order to
maturity continuum. Recently a number of these frameworks generate debate and criticism. These discussions highlighted
have been developed. For example, the UK HSE and the the need for some indication of the improvement process.
STEP change initiative commissioned a research project to Usefully the STEP change behavioral issues task group report
produce a framework to assist the oil industry to make better Changing Minds21 provided a potential solution as they had
use of the results from safety culture research conducted in the integrated their maturity model into a Total Quality
offshore oil industry, (see Fleming1). This project produced a Management (TQM) framework. This involved including the
five-stage cultural maturity model by reviewing safety culture Assess, Plan, Implement and Monitor stages of the
models such as the three-stage safety culture model developed continuous improvement process. This addition illustrates the
by Dupont17 and capability maturity models developed in the improvement process, as organizations need to assess their
software industry. The three levels in the Dupont model are current safety culture, use the results to develop an action plan,
dependant, independent and interdependent. Dupont used implement the plan and monitor implementation.
this model to assess their maturity using a safety audit Organizations repeat the process at regular intervals to
methodology. The capability maturity concept developed by continually improve.
the Software Engineering Institute (SEI), is used as a
mechanism to improve the way software is developed18. The Figure 1 Cultural Maturity Model
five levels of the software capability maturity are Initial,
Cultural maturity model
Repeatable, Defined, Managed and Optimizing. Software
capability model uses objective indicators to establish the level Documenting Controlling Engaging Participating Institutionalising
of maturity, but the cultural model commissioned by the HSE
did not provide a similar diagnostic tool.
Interestingly the model produced by the HSE
commissioned research appears to be similar to a safety
maturity framework used by Shell international. This model is
based on a safety framework developed by Westrum19 in 1988.
In his model companies could be classified into three levels of
maturity Pathological, Calculative and Generative. This
model was further developed by Hudson20 to produce a five
stage model by introducing reactive and proactive stages. This Level 1 Level 2
model forms the basis for Shell Internationals safety culture Level 3
Level 4
Level 5
assessment tool called Hearts and Minds. This proprietary
tool consists of 16 elements. The measurement process
involves employees reading statements describing different
levels of maturity for each of the 16 elements. Employees The CMM presented in Figure 1 is adapted from the model
select the element that matches their assessment of the culture presented in the Changing Minds guide. The model consists
at their location. of five developmental stages. An organization can improve
The three safety culture models (Shell, Dupont and HSE) their safety culture by assessing their current level of maturity
all attempt to place an organization or a site on safety maturity and removing the weaknesses identified, while maintaining
continuum in order to identify the actions required to move to their strengths. This is a sequential model and therefore
the next level of maturity. The similarity of the Hearts and organizations cannot jump levels. More importantly
minds model and the HSE model is striking and surprising interventions that are appropriate for an organization at level 4
since they were developed in isolation from each other. The may not be appropriate for an organization at level 2 and vice
independent development of similar models gives confidence versa. For example, an employee led behavior modification
in the validity of the concept. Both of these models appear to program may be very successful in organization trying to
address the limitations of safety climate surveys, but they are move from level 3 to level 4, but the same program may fail
proprietary models so organizations cannot use them freely. completely in an organization at level 1.
In addition, there is no published information on the reliability
and validity of these models or their associated measurement Cultural maturity elements. Safety culture consists of a
instruments. Therefore there is a need to develop a new model number of factors or elements. It was therefore important to
that is available for organizations and academic institutions, so capture these elements in the current framework. There are a
that this concept can be independently tested and evaluated. number of sources of information to identify the main safety
The cultural maturity model described in this paper was culture elements; these include comparisons between high and
developed to fulfill these needs. low accident companies and safety climate surveys. Since
safety culture is associated with occupational accidents then
4 SPE 86623

organisations that have a lower accident rate than similar - Statement selection/ card sorting.
organisations are also likely to have a positive safety culture. Irrespective of the method used to present the statements to
ACSNI (1993) conducted a comprehensive review of participants, they select the statement that they believe best
empirical research into differences between high and low describes their culture. Each participants selection is
accident organisations. individually recorded. If a questionnaire is used participants
Evidence of the features of a positive safety culture is also circle the appropriate statement, if a data projector is used then
provided by the results of questionnaire surveys that have participant vote for their selection and if card sorting is used
linked responses with either self-report accidents or company then they select the appropriate card and record their choice on
accident data. Combining the results of the low accident a separate sheet. Once their selection has been recorded then
organisation and safety culture reviews produced the safety they are presented with the statements for the next element.
culture elements listed in Table 1. These features or elements Once the measurement exercise is completed participants
were consolidated to produce the ten elements of the cultural provide more detail about the safety culture within their
maturity model. Table 1 summarizes the features of a positive organisation. Participants work through each of the ten
safety culture identified by previous research and lists the elements by firstly identifying their organisations strengths
safety culture element designed to measure this feature. for each element. They then identify areas for improvement
and the practical actions that could be taken to improve the
Table 1: Developing the safety culture elements
safety culture and move to the next level of maturity.
Features of a positive Ten elements of the
Cultural maturity case study
safety culture cultural maturity model
The cultural maturity measurement and improvement process
- Visibility of management
High levels of management was implemented within Petro-Canadas East Cost Operations
commitment
safety concern, involvement in late 2002 and early 2003.
- Supervisor visible
and commitment Petro-Canadas experience provides an excellent example
commitment
Safety prioritised over profits of how an organisation can assess its cultural maturity,
- Production pressures identify actions and develop new structures and programs to
and production
Good organisational learning - Organizational learning implement these actions. The cultural maturity assessment
Frequent informal safety process produces a large amount of qualitative data.
- Job and safety Qualitative information provides a rich picture of the safety
communication
communication culture, but it can be difficult to communicate to others. When
Good job communication
Good plant design, working - Human and physical external consultants undertake the cultural maturity
conditions and house keeping resources assessment, they develop an in-depth understanding of the
Confidence in safety rules, organisations safety culture. Unfortunately this
- Rules and procedures
procedures and measures understanding remains with the consultants as the organisation
Trust in workforce to manage relies solely on the consultants report, which has by its nature
- Trust levels
risk less depth. This case study is particularly interesting since
Satisfaction with training - Training internal consultants (employees) undertook the assessment
High levels of employee process, with guidance from an external academic. The
participation in safety central role played by internal consultants in the project was
Acceptance of personal vital to its success, as they developed a deep understanding of
- Workforce involvement
responsibility for safety the issues and used this knowledge to drive the improvement
Willingness to speak up about process. Since Petro-Canada does not separate safety from
safety health, this project involved assessing their health and safety
culture as opposed to their safety culture. This broader focus
involved developing statements to measure participants
Establishing level of cultural maturity
attitudes to both health and safety and not just safety.
An organisations level of maturity is determined on the basis
This measurement and improvement process consists of
of employee perceptions of the ten safety culture elements.
four stages, including:
One method for establishing the level of cultural maturity is an
- a senior management workshop,
employee focus group or workshop. The workshop usually
- training internal facilitators
consists of between seven and twelve participants who are all
- 34 safety culture workshops
at the same level of seniority. This workshop commences with
- identification and the implementation of actions to
a measurement exercise to establish participants perception of
improve the safety culture.
the level of maturity on each of the ten elements. This
The project commenced with a senior management
involves presenting participants with statements describing the
presentation, to explain the process, outline likely results and
five levels of maturity for each of the ten elements.
the types of interventions required to improve. This
Participants are presented with one element at a time. There
presentation highlighted both the benefits and the risks
are a number of different ways to present the statements to the
involved in this type of measurement exercise. It was
participants, including:
important for the management team to give their informed
- Questionnaires,
support to the project, as they are ultimately responsible for
- Data projector with electronic voting
implementing the resulting action plan. Once the senior
SPE 86623 5

management team approved the project internal facilitators significance is the participation of employees and contractors,
attended a one and a half day training workshop. The and full participation by all functional groups including
facilitator training session provided facilitators with: operations, engineering, business services etc. Involving all
- an overview of safety culture theory and the employees in the measurement process demonstrates a
background to the cultural maturity model, significant commitment to health and safety, as the workshops
- an understanding of the importance of safety culture alone required over 1000 hours of employee time, since each
and the link to illness and injuries, one lasted over three hours.
- the mechanics of how to run the workshop, Participants safety culture statement selections provided a
- the skills to facilitate the discussion, quantitative measure of their health and safety attitudes. The
- the strategies to assist them in handling difficult individual ratings of the safety culture were entered into a
questions and how to avoid trying to solve problems database, by giving the statement selected a score from 1 to 5
raised during the session. corresponding to the level of maturity it described. Since the
At the end of the training session each facilitator had an cultural maturity model is a developmental framework it is
opportunity to practice facilitating a group and they received important to be confident that a specific level of maturity has
feedback on their performance. been achieved. This is a challenge when establishing culture
Onshore workshops were scheduled in collaboration with maturity since health and safety culture consists of attitudes
each department to facilitate maximum participation. Onshore and beliefs, which vary between members of the organisation.
employees and contractors were invited to participate in a It is therefore not appropriate to select the average level of
safety culture workshop scheduled for a specific time and maturity, as half the participants may have judged the maturity
location. Offshore worker workshops were scheduled to to lower than the average. The level of maturity for each
coincide with a planned onshore training event. element was determined by identifying the highest level of
Each safety culture workshop consisted of 10-12 maturity, which two thirds of participants (67%) had indicated
participants from the similar occupational groups and the same that that level of maturity had been achieved (i.e. they selected
level of seniority. Employees at different levels of seniority that level or a higher level of maturity).
were not included in the same group as this may hinder frank The qualitative analysis of comments captured during the
and open discussion. The workshop commenced with an workshop involved grouping the comments under broad
introduction about the process and the rationale for the cultural headings. A large amount of information was produced, since
maturity exercise. Participants were informed of the ground there were 34 groups, producing at least 5 pages of comments
rules for the session including confidentiality, how the each. The groups generated over 400 strengths and identified
information produced would be used, importance of respecting over 700 actions for improvement, which is an average 20.6
other participants and the timescale between the workshop, for each group. There was a lot of commonality among the
receiving feedback and actions taken. The latter point was groups, so the transcripts were analysed to identify common
important because there was going to be a time delay between themes. The transcripts were initially summarised by
the workshops and actions taking effect on the ground and it occupational group (e.g. maintenance). The occupational
was important to manage expectations. summaries were then analysed to identify common themes
Following the introductions the participants undertook the across the organisation to produce an overall summary. The
cultural maturity assessment exercise. This involved qualitative analysis produced 28 strengths and 37
individually presenting participants with ten sets of statements opportunities for improvement. To ensure the accuracy of the
corresponding to the safety culture elements. Each set of qualitative analysis, two people separately coded the
safety culture elements consisted of five statements; one for transcripts and then compared their results. There was a high
each level of maturity described in figure 1. Participants read degree of agreement and any differences were resolved
each of the five statements and then independently selected the through discussion.
statement that in their opinion was the closest description of The results of the cultural maturity assessment provided
their experience of working at their current position. Once further evidence that Petro-Canadas East Coast Operations
they had selected the statement they recorded their answer and has a positive health and safety culture. Participants
moved onto the next set of statements. identified numerous strengths providing Petro-Canada a solid
On completion of the measurement exercise individual platform to build towards their corporate objective of creating
responses were collected and the results displayed to the a zero harm environment. The fact the Petro-Canada chose to
group. The group then, through an open dialogue forum, undertake this exercise was often cited as evidence of the
provided more information about the current health and safety positive culture. Having said that the participants also
culture within Petro-Canada. They identified strengths and identified a number of weaknesses and actions that could be
opportunities for improvement and practical steps required to taken to further improve the culture. These actions have been
move to the next level of maturity for each element. The prioritised and are currently part of a strategic implementation
facilitator captured the comments made on a flip chart and plan.
sought feedback from the group about the accuracy of the Initially it was anticipated that there would be differences
facilitators summary. The information captured on the flip between the onshore and offshore workgroup in their
charts was transcribed for future synthesis and analysis. assessment of the health and safety culture. In reality the two
In total, 340 people participated in cultural maturity groups had remarkably similar assessments of the culture.
workshops. These consisted of 96 offshore workers and 244 Both onshore and offshore participants rated the level of
onshore personnel, which was a participation rate of 92%. Of maturity to be the same for all but one element, organisational
6 SPE 86623

learning, where the onshore participants gave higher ratings on a full review of its Environment, Health and Safety
than the offshore group. strategy, including best practices, and is focusing on the areas
The comments made by onshore and offshore personnel of leadership, people, systems, and processes to implement
were also remarkably similar. For example, onshore and their short and long term improvement plans and actions. In
offshore employees assessments of the visibility of addition, Petro-Canadas East Coast Operations plans to re-
management commitment to safety were remarkably similar. assess its cultural maturity in 2005 to measure progress against
The following are examples of behaviours that offshore those improvement actions.
participants identified as being indicative of management
commitment to safety: Conclusion
- Managers attend health and safety meetings. The cultural maturity concept is a new development in the
- Managers take action on clear-cut safety issues (e.g. safety culture literature. It offers promise, as it is a solution
shutting down for ice conditions) and easy to fix focused safety culture assessment process. In addition, the
issues. assessment process itself is part of health and safety culture
- Managers do not consistently follow through on improvement and is a mechanism for employee involvement.
actions identified in a perceived timely manner. The process also fills a current gap in the literature as it
- Managers do not always lead by example (e.g. incorporates both quantitative and qualitative safety culture
working over 12 hours per day). measurement.
The following are examples of behaviours that onshore Since the cultural maturity concept is relatively new there
participants identified as being indicative of management is limited research on the validity of any of the models
commitment to safety: currently being proposed. There is a need to assess the
- Commitment to health and safety is demonstrated by relationship between the models in order to establish the
their response to high profile events, e.g. closing the extent to which they are describing the same things. Since all
building during snowstorms. the models imply that organisations can be placed on a
- Some managers demonstrate their commitment continuum from a poor safety culture to a positive culture,
through involvement in health and safety, e.g. office they should all be measuring the same thing. There is also a
inspections and seeking input on safety. need to test the reliability and validity of these newer
- On occasion health and safety issues appear to take measurement instruments. In addition this new model may
too long to be resolved and or addressed. provide an opportunity to develop more objective audit tools
- At times managers appear to be too busy to dedicate that can be used to assess the safety culture.
adequate attention to health and safety issues.
Onshore and offshore participants also identified similar References
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