Human Factors and Behavioural Safety

Contents

Preface

xiv

1

Human behaviour and safety Definition of ‘behaviour’ The study of human behaviour Cognitive psychology Complexity of human behaviour Factors affecting human behaviour Elements and functions of human behaviour Attitude Motivation Perception Memory Personality Ancestry and social background Experience, intelligence, education and training Attitudes and behaviour Approaches to change The human factors issues Perception of risk Behavioural safety – what does it mean? Perception of risk and its influence on risk-taking behaviour Accident causation Principal behavioural causes of accidents Fault tree analysis Pre-accident and post-accident strategies Accident proneness Unsafe behaviour Conclusions Key points

1 1 1 2 3 3 3 3 7 14 15 17 22 23 24 25 26 27 28 29 33 38 38 42 46 46 47 47

2

Human sensory and perceptual processes Human sensory receptors Sensory perception and messages Perceptual processes The process of perception of danger Information processing Sensory defects Basic screening techniques Perception and the limitations of human performance Conclusions Key points

49 49 50 57 57 58 59 59 59 61 61 v

Contents

3

Organizations and groups Organization theory Features of organizations The survival of the organization Basic organizational structures Formal and informal groups within an organization Work groups Group dynamics Group behaviour Vulnerable groups Leadership as a feature of organizations Classical organization theory Management style The autocrat and the democrat Peer group pressures and norms Types of organizational communication Attitudes to safety and risk management Criteria for risk acceptability (tolerability) Organizational safety culture Health and safety organization Performance monitoring Corporate responsibility for safety The role of the supervisor Conclusions Key points

62 62 62 64 65 66 67 69 69 70 72 75 76 77 78 79 79 80 84 84 85 87 88 89 89

4

People factors What are human factors? The appropriate safety climate The individual differences in people Psychological, sociological and anthropological factors leading to individual differences Human limitations Degradation of human performance The relevance of human factors within the sociotechnical system Individual decision-making processes Individual change Human reliability and human reliability assessment The human causes of accidents The cause–accident–result sequence Human capability and safety – The legal situation Human capability and risk assessment Conclusions Key points

90 90 92 95 96 97 99 100 101 102 102 104 105 105 107 108 108

Perception of risk and human error Perception of risk Perceptual set

110 110 110

5

vi

Contents

Perceptual sensitization and defence Perception and sensory inputs Filtering and selectivity of perception Optimum bias Risk compensation (homeostasis) Cultural aspects of risk Social amplification of risk Communication of risk Risk perception and communication (HSE) Perceptual expectancy and stereotyping Information processing Skill-, rule- and knowledge-based behaviour Individual behaviour in the face of danger Human error Classification of human error Employee selection processes Use of system responses to help prevent human error A more simplistic approach to human error Contribution of human error to major catastrophes Conclusions Key points

111 111 113 114 114 115 115 116 116 119 120 122 124 125 128 131 132 133 134 135 135

6

Organizational control and human reliability The organizational environment Organizational factors Safety organization Organizational and individual goals Integration of organizational goals with those of the individual Systems organization and reliability Types of organization Management systems The reliability of organizational systems Resolving conflict and introducing change Workplace representation Safety Representatives and Safety Committees Health and safety committees Health and Safety (Consultation with Employees) Regulations 1996 Employment Rights Act 1996 Patterns of employment Home working Conclusions Key points

137 137 141 141 143 143 144 145 146 148 148 149 150 153 157 157 158 162 164 164

7

Improving human reliability The significance of personal factors Human reliability studies

166 166 167 vii

Contents

8

viii

Modelling approaches Analytical techniques Technique for human error rate probability (THERP) Scientific management The Hawthorne experiments (Social Man) Stimulus and programmed response Cognitive and learning styles and problem-solving Human reliability modelling Interpersonal relationship studies Motivation and reinforcement – Workplace incentive schemes Reward schemes The decision-making process Decision-making and the operator Benchmarking Benchmarking practice Rules of benchmarking A blame-free culture Personal error reporting System design and organization of work Performance monitoring and auditing Job satisfaction and appraisal schemes Job satisfaction and management style Job satisfaction and self-actualization Job safety standards Job safety analysis The benefits of improving human reliability Conclusion Key points

167 168 170 170 172 173 173 176 176 177 177 178 180 181 183 185 185 186 186 190 192 194 197 197 198 202 202 203

Ergonomic principles What is ergonomics? The scope of ergonomics Human engineering Areas of ergonomic study The man–machine interface The team approach to ergonomic studies The employee and work Environmental factors Principal areas of ergonomic study Design ergonomics Principles of interface design Interface design audit Task analysis and task design Anthropometry Anthropometric data Anthropometric design factors The legal requirements

204 204 205 205 206 206 207 208 211 211 212 214 216 218 219 219 220 222

Contents

‘Cranfield Man’ People and machines Prescribed and reportable diseases and conditions Display screen equipment – The risks Health and Safety (Display Screen Equipment) Regulations 1992 Display screen equipment workstation risk assessment Software ergonomics Work conditions, ergonomics and health Conclusion Key points

225 226 227 229 231 236 240 242 245 245

9

Ergonomics and human reliability Ergonomically designed interfaces and control systems Classical error and systems ergonomics Physical stressors and human reliability Fatigue and stress Manual handling Safe manual handling Manual handling risk assessment Manual Handling Operations Regulations 1992 Performance shaping factors Conclusions Key points

246 246 247 249 254 256 259 260 260 264 264 267

10

Principles of communication What is communication? The purpose of communication The communication process Forms of communication Communication within organizations Functions of communication The direction of communication The communications gap The provision of information Communication on health and safety issues Safety propaganda as a form of communication Communications failure Conclusions Key points

269 269 269 269 271 271 272 272 273 273 274 276 277 278 278

11

Verbal and nonverbal communication Verbal communication The art of plain talk Barriers to verbal communication Listening skills

279 279 281 281 282 ix

Contents

Questioning techniques Verbal communication on health and safety issues Meetings Nonverbal communication Conclusions Key points

283 285 286 288 289 290

12

Written communication Writing style Sentence construction Grammar Choice, economy and simplicity of words Importance of active words Structure and layout of written documents The preparation of reports Other forms of written communication Use of information technology Safety signs Conclusions Key points

291 291 292 292 292 293 293 294 297 298 299 300 300

13

Interpersonal skills The interrelationship between individuals and the influence of individual differences on relationships Important interpersonal skills Interpersonal relationships Theories of interpersonal relationships Communication and interpersonal skills Styles of management and leadership and their influences on the individual Assessing and controlling conflict Conflict resolution The conflict cycle Conflict resolution training The relationship between skills and accidents Conclusions Key points

301

Systematic training Education and training Systematic training Training objectives Health and safety training objectives The training process – Systematic training The learning method

316 316 317 318 319 320 324

14

x

301 302 303 306 307 308 310 311 311 313 314 314 314

Contents

15

16

17

Health and safety training and education Specific areas of training Training methods and techniques The training process: A model for health and safety Conclusions Key points

325 327 333 343 343 343

Presentation skills The purpose of a presentation Good communication Planning the presentation Use of the eyes, voice and body language to communicate effectively Effective use of visual aids Dealing with questions Securing audience participation Afterwards The presentation and the presenter The rules of verbal communication Conclusions Key points

346 346 347 347

Health and safety culture Cultural indicators Safety culture Establishing a safety culture Building and developing a safety culture Developing a safety culture A safety culture model The role of senior management Correlation between health and safety culture and health and safety performance Measurement techniques Questionnaire techniques Interviews and workshops Factors that promote a negative health and safety culture Conclusions Key points

354 354 355 357 358 361 362 363

Change and change management What is change? Change agents Multipurpose change agents Change as the frequent outcome of safety monitoring Change management

369 369 369 370 370 371

349 349 350 350 351 351 352 352 352

364 364 365 366 367 367 368

xi

Contents

18

xii

Planning change Organizational challenges Principles of change management Leadership A step-by-step approach Implementing change The value and use of feedback Problems and pitfalls: Barriers to change Standard observation and feedback process to change unsafe behaviour Suggestion schemes Conclusions Key points

371 372 372 374 374 375 377 377

Stress and stress management What is stress? Defining stress The autonomic system The General Adaptation Syndrome The evidence of stress Stress as opposed to ‘pressure’ – Positive and negative stress Ill-health effects associated with stress Classification of stressors Main sources of work stress Bullying and harassment at work Models of stress at work Personality and stress Women at work – Stress factors Responses to stress The states of the stress response Stress indicators The effects of stress on job performance Anxiety and depression Stress and atypical workers Violence at work Risk assessment – Factors for consideration Prevention and control strategies Work-related violence Occupational health initiatives Managing conflict Principal aspects of stress management Stress management action plans Stress at work and the civil law Stress at work and the criminal law Conclusions Key points

385 385 386 387 387 388

379 381 383 383

390 391 394 395 396 400 403 405 406 407 408 409 410 414 417 420 421 422 424 425 427 429 430 432 433 434

Contents

19

The behavioural safety approach Unsafe behaviour Setting the standards Behavioural safety training Behavioural safety programmes Behavioural safety and risk assessment Successful behavioural safety programmes The benefits Conclusions Key points

435 435 436 437 438 441 442 444 444 444

Glossary

446

Bibliography and further reading

461

Index

469

xiii

Preface

People at work have experience, expectations, ambitions and skills. The problem with people is that they are inconsistent, they make mistakes, forget things, don’t pay attention, don’t understand things quite correctly and get their priorities wrong. In some cases, they wilfully disregard the safety rules, putting themselves and others at risk. The last decade has seen considerable attention paid to the human factors aspects of health and safety at work. Much of this increased emphasis has been brought about as a result of the contribution of human failure to disasters, such as those at Bhopal in India, Moorgate, Kegworth and Longford, Victoria, South Australia, together with the Piper Alpha incident. ‘Human factors’ is an area of study concerned with people, the organizations they work for and the work they undertake. It is also concerned with communication systems within organizations and the training systems and procedures in operation, all of which are directed at preventing human error. This book is about human factors and the behavioural aspects of safety. It examines psychological factors such as attitude, motivation and perception, theories of accident causation and the relationship of human reliability to accidents, together with the increasingly significant areas of ergonomics and stress at work. One of the principal objectives of any organization is that of developing and promoting the right safety culture, an aspect which requires a significant human factors input if it is to be successful. This book looks at this aspect, along with important features in the development of a safety culture, such as communication, training and interpersonal skills. I should stress that this book is not written by a psychologist for psychologists! It is targeted at health and safety practitioners, HR managers, trainers and managers in general, who need to have a broad understanding of the subject, together with those studying for NEBOSH and other qualifications in occupational health and safety. I hope that all those who use this book will find it helpful. Jeremy Stranks 2006

xiv

1 Human behaviour and safety

Human behaviour has a direct influence on safety in many aspects of life – at work, in the home, on the road, in the air and at sea. Evidence drawn from past disasters, such as the incidents at Flixborough, Kegworth and Moorgate, and the Piper Alpha incident, indicate that failures in, or inappropriate, human behaviour were a significant contributory factor. What is meant, then, by behaviour?

Definition of ‘behaviour’ ‘Behaviour’ is variously defined as: •

how a person conducts himself;

•

the demeanour and manners of an individual;

•

an observable action of a person.

Behavioural sciences, therefore, are those sciences most concerned with the study of human and animal behaviour. This study allows the formation of general theories based upon the observation of specific events. The theories are subsequently used to explain observed events and, in some cases, to predict future events or outcomes. The causes of human behaviour are associated with attitude, personality, motivation and memory, together with those physical and mental characteristics which constitute a person and his environment.

The study of human behaviour Human behaviour is a wide area of study. The more significant areas of the study of human behaviour are outlined below.

Psychology This is the science that studies the behaviour of human beings and animals. As a science, it is firstly empirical. Behaviour can be observed, recorded and studied 1