CORE Safety Safety Culture Enhancement Toolbox

1. return CORESafety Safety Culture Enhancement Toolbox Part A Inside Safety Culture Part B Assessing Safety Culture Part C Improving Safety Culture Part D Mining Case Studies Defining Safety Culture Getting Started Identifying Improvements Rio Tinto Minerals Safety Culture in context Launching the Survey Walking the Talk Alpha Natural Resources Changing Safety Culture Interviews & Workshops Making a Difference Luminant Enablers & Disablers Analysis & Conclusions Opening Minds NASA FAQ Learning to Learn Safety Culture & SHMS Feedback & The Way Forward Re-assessing Day-to-day Safety Culture

2. return Part A: Inside Safety Culture Defining Safety Culture What is a Culture? What is Safety Culture? What is a “Good” Safety Culture? What Safety Culture is Not Safety Culture in Context Safety Culture & National Culture Safety Culture & Corporate Culture Safety Culture in Mining A Model for Safety Culture in Mining Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers Enablers & Disablers Just Culture National Culture The Cost of Safety Hand & Glove: Safety Culture & SHMS Which Comes First? Safety Culture & SHMS Is Having an SHMS Enough?

3. return Part A: Inside Safety Culture Defining Safety Culture What is a Culture? What is Safety Culture? What is a “Good” Safety Culture? What Safety Culture is Not Safety Culture in Context Safety Culture & National Culture Safety Culture & Corporate Culture Safety Culture in Mining A Model for Safety Culture in Mining Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers Enablers & Disablers Just Culture National Culture The Cost of Safety Hand & Glove: Safety Culture & SHMS Which Comes First? Safety Culture & SHMS Is Having an SHMS Enough?

4. return Defining Safety Culture What is a Culture? What is Safety Culture? What is a “Good” Safety Culture? What Safety Culture is Not Culture has been called “the way of life for an entire society” Defining Culture Culture includes behavior, values, manners, dress, language, religion, rituals, games, norms of behavior such as law and morality, and systems of belief as well as aesthetic values, that are shared by a population and typically passed down from generation to generation. Organizational Culture Every organization has a culture, whether you recognize it or not. Your organizational culture (aka, company culture) plays a big role in determining what’s important and how you conduct business. It determines whether your workplace is casual/informal or conservative. It influences the tolerance for business risk. It affects the kind of people who are promoted. Have you ever known an employee who was truly out of step with the company culture? Organizational Culture & Behavior People behave the way they do because they interpret and make sense of their situation, define their own goals to serve their group or personal interests, and act accordingly. When the situation, goals and reinforcement mechanisms are shared, behaviors tend to be similar. As such, you could say: behavior is a function of culture, and in turn leadership behavior and established systems influence culture. This is important, since it means that culture can be modified, though such change can take a long time and require continuous effort and strong leadership. Culture strongly influences collective behavior. Much of our behavior and thinking is shaped by culture. This becomes very clear when one travels to a distant country and culture. People who opt to live in a different culture usually experience ‘culture shock’. Yet to the local people, everything is understandable and ‘normal’. It is just ‘the way it is’.

5. return Defining Safety Culture What is a Culture? What is Safety Culture? What is a “Good” Safety Culture? What Safety Culture is Not • Safety culture is the way that safety is perceived, valued & prioritized In an organization. • OverviewThis section aims at defining the concept of safety culture and its origins. • Safety Culture • The essence of safety culture resides in people’s beliefs about the Importance of safety, including what they think their co-workers, supervisors and leaders really believe about safety’s value. • It is demonstrated through attitudes, accepted norms and behaviors. It is about how things work and “the way things are done around here.” • The term safely culture was first applied in the aftermath of the Chernobyl nuclear reactor disaster in 1986. This nuclear power plant had safety management processes and trained operatives using clear procedures, but deficiencies in the attitudes to safety in the organization led to the world’s worst nuclear disaster. • Since then, the use of the safety culture concept has spread to other industries including oil and gas, chemical, rail, aviation, medical, and now mining. Safety culture represents the priority given to safety at all levels of your organization and reflects the real commitment to safety.

6. return Defining Safety Culture What is a Culture? What is Safety Culture? What is a “Good” Safety Culture? What Safety Culture is Not • Safety culture reflects the value of safety at all levelsin the organization and therefore influencesthe everyday management of safety. • Overview • Safety culture can range dramatically, some components positive and others less desirable. This section introduces some characteristics of ‘good’ and ‘not so good’ safety cultures. • What might you see people doing in a positive culture? • All employees identifying and resolving safety issues • People looking for opportunities to help others and intervene when needed • Reinforcement of safer, healthier behaviors by everyone • Employees accepting accountability for their own safety as well as the safety of others. • Employee openness to coaching and feedback • Desire to provide resources to improve safety & health • Willingness to share, communicate and learn • People are encouraged to raise issues and suggestions • Some traits of such a less desirable safety culture could include: • • Concerns about safety are consistently not addressed. • • No learning is achieved from safety incidents. • • Employees are reluctant to report incidents & injuries. • • No one is held accountable for their safety responsibilities. • • Safety management representation is kept out of key decision-making processes. • Sub-Cultures • What happens if managers, staff and workers do not share the same beliefs about safety, or where their behaviors are in opposition? These sub-cultures create concerns if management is out of touch with the culture of the workforce, or if employee behaviors change when supervision is diminished (do weekends or night shifts have a different feel?) • This is normally a symptom of another issue: • Is the culture one of compliance and penalty? • Are behaviors inconsistently reinforced? • Are management focused on outcomes rather than the process used to achieve those outcomes?

7. return Defining Safety Culture What is a Culture? What is Safety Culture? What is a “Good” Safety Culture? What Safety Culture is Not Safety culture is not something you can buy. Overview Culture is something an organization has, and will improve or damage depending on its actions. Organizational culture is like a company’s personality traits concerning hazards, risk and controls. What Safety Culture is Not • It is not something that people can easily “see” from inside an organization. It can be assessed, but this will take some organized effort, skills and methodology. • It is not a silver bullet for safety. If there are problems with safety, it’s not simply that people just have a bad mindset (negative ideas or attitudes towards safety), which they could be persuaded to change through appropriate communication or training. If there are problems with safety, it is also because the work environment and conditions trigger and reinforce the mindsets, attitudes and behaviors producing the safety problems. A Model for Mining S&H Excellence Culture is part of a broader picture of how safety excellence can happen. It one of 3 key components: culture, leadership and systems. It is important for mining companies to understand that each of these factors can be measured and managed. Safety culture is generated through the interactions between people and their environment, while conversely it influences these interactions. The primary interaction is between leaders and their staff. Safety culture improvement cannot be made independently of the work environment. Something will need to be simultaneously improved in the real environment as well, if safety and culture are to be successfully improved. Management is charged with establishing the right direction, vision and systems, which in turn will be reflected in the culture.

8. return Part A: Inside Safety Culture Defining Safety Culture What is a Culture? What is Safety Culture? What is a “Good” Safety Culture? What Safety Culture is Not Safety Culture in Context Safety Culture & National Culture Safety Culture & Corporate Culture Safety Culture in Mining A Model for Safety Culture in Mining Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers Enablers & Disablers Just Culture National Culture The Cost of Safety Hand & Glove: Safety Culture & SHMS Which Comes First? Safety Culture & SHMS Is Having an SHMS Enough?

9. return Safety Culture in Context Safety Culture & National Culture Safety Culture & Corporate Culture Safety Culture in Mining A Model for Safety Culture in Mining • Culture: “The collective programming of the mind which distinguishes the members of one group from another.” • Hofstede, 1980 • Overview • National, organizational and professional cultures significantly impact many aspects of work performance, including our attitudes and behavior regarding safety and health. This section focuses on national culture. • National Culture • National culture is influenced by many factors, including: history, religion, language, climate, geography, immigration, and cultural blending. • When considering what organizational culture your wish to develop, it is crucial to consider the broader cultural customs of your population • It is generally believed that Americans, tend to be independent thinkers, place a very high value on freedom, are heterogeneous in many respects (melting pot effect), believe in hard work, and are able to ‘get things done’, among many other attributes. • Hofstede’s research found that typically Anglo-Western cultures tend to be high in individualism, with less distinction between hierarchy, while many Asian and Latin cultures are collectivist and place much greater emphasis on rank and title.

10. return Safety Culture in Context Safety Culture & National Culture Safety Culture & Corporate Culture Safety Culture in Mining A Model for Safety Culture in Mining “The culture of an organization guides how its employees work, dress, make decisions, think, communicate and behave.” Hofstede, 1980 Overview Organizational (or company or corporate) culture significantly impacts work, including our beliefs, attitudes and behaviors. This is true of safety and health and especially true when an employee’s personal needs (for identity, power, money, satisfying relationships, meaningful work) are aligned with the company. This section addresses organizational culture. Organizational Culture Corporate culture is defined as the reflection of shared behaviors, beliefs and values regarding organizational goals, functions and procedures (Cooper, 2000). People do not always simply do what they are told, e.g., “work safely or don’t do the task.” They behave the way they do because of the perceived consequences that will occur for behaving that way. Organizations are perfectly designed to continue with the way that things are normally done in the local culture. If there are problems with safety(or any type of work performance) it may be because the behaviors producing the problem are continually reinforced, whether overtly or not. Managers and supervisors influence the behavior of others through their own actions (on inaction…). They can increase certain kinds of behavior (through positive & negative reinforcement) or reduce behaviors (through punishment or extinction) by the examples they set and the way they respond to worker concerns and suggestions. The best efforts to build safety and health systems and processes in an organization may be wasted if the corporate culture reflect a positive safety culture and lacks the cultural beliefs and behaviors to make them last.

11. return Safety Culture in Context Safety Culture & National Culture Safety Culture & Corporate Culture Safety Culture in Mining A Model for Safety Culture in Mining Safety culture is prerequisite for good safety performance in a number of industries and mining is no exception. Overview When assessing total injury rates, the U.S. mining industry is safer than many other industries including construction, agriculture, forestry, manufacturing; however, the industry continues to experience high severity incidents and disasters resulting in an above-average fatality rate. This section covers mining culture. Mining Culture Miners are special people. It takes a strong and in some ways audacious person to develop and work in a mine. Anecdotally, many characteristics have been offered to describe U.S. mining culture. Miners are: dependable, hard working, tough, self-assured, family-centered, outdoor-oriented, and risk-accepting, among other traits. We are all tolerant to risk, miners (both managers and workers) tend to be comfortable, to one degree or another with the risks associated with mining. Much of this can be attributed to mining history, the nature of mining hazards and more importantly because of their ability to work safely with these risks on a daily basis. Their experience of success creates a confidence in being able to do it again (people learn best from their direct experience). In addition, the sense of overcoming these challenges is reinforcing, building camaraderie amongst the team and ‘miners pride’. This can be a double-edged sword. It enables the industry to continue to produce the raw materials our country requires to grow and maintain our standard of living. However, comfort with, or acceptance of, risk can lead to negative outcomes the industry is trying hard to prevent. Our industry needs to understand how aspects of culture can be a threat and how they can be managed. It also needs to know the power of a strong and positive safety culture. Just as the focus of incident investigation is moving from worker error to systematic failure , the concept of safety culture considers the critical importance of management and individual actions regarding safety, based on their collective values, beliefs and behaviors.

12. return Safety Culture in Context Safety Culture & National Culture Safety Culture & Corporate Culture Safety Culture in Mining A Model for Safety Culture in Mining Researchers and safety practitioners have proposed numerous safety culture models in recent years. The following contains 14 dimensions on which a mining company can be defined and evaluated. “Everyone is accountable for their safety responsibilities” “Don’t trust good performance” Vigilance Accountability “I trust my supervisor, my supervisor trusts me” “No autopilot here. I think about change” Trust Adaptability “I report everything. It’s the right thing to do” “Mind on task, but thinking ahead” Reporting Awareness Leadership Communication “We always walk the talk, even under pressure” “Safety lives in conversation. We are our brother’s keeper” Competency Learning “Properly trained, always retained” “We learn from all incidents. Avoid second errors” Discipline Justice “Consequences for intentional unsafe acts” “I’m treated consistently fairly” Empowerment Engagement “I can change things here.” “I like what were doing. I’m a team member”

13. return Part A: Inside Safety Culture Defining Safety Culture What is a Culture? What is Safety Culture? What is a “Good” Safety Culture? What Safety Culture is Not Safety Culture in Context Safety Culture & National Culture Safety Culture & Corporate Culture Safety Culture in Mining A Model for Safety Culture in Mining Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers Enablers & Disablers Just Culture National Culture The Cost of Safety Hand & Glove: Safety Culture & SHMS Which Comes First? Safety Culture & SHMS Is Having an SHMS Enough?

14. return Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers It is easy to manage change when management changes… Overview This section illustrates the difficulty of changing habits and values, drawing from a life example. Jones’ Case Study Consider the Jones family. Every day, Mr. Jones drives his 4WD truck to work . Mrs. Jones takes the kids to school in her V6 sedan, and they leave the light and appliances on at home. They need to change, but they are not prepared for change. Why? Because the Jones family has compelling reasons for behaving the way they do. It is easy, comfortable, image-enhancing, consistent with their dreams, conforming with what their neighbors are doing. Over the years, they have established patterns of behavior, as well as a vision of life (values) in line with these behaviors. Their life conditions and their beliefs generate these behaviors. Conversely, their behaviors (and those of their neighbors) carry on their life conditions and confirm their vision of life. This is a very stable circle: if you try and change one component, say, a behavior, the other ones will pull it back to its initial state, just like a spring. So it is difficult to get a 4-person family to change, what about an organization of 400 or 4000? Why People Resist Change Habits: Some people have established patterns of behavior that make their job efficient and easier. Self-interest: Some people are mainly concerned with the implication of change on their own interests. Misunderstanding: Inadequate communication/information about the objectives of change. Different perception of the situation: Some employees may disagree on the pros and cons of the change. Low tolerance to change: Certain people are very focused on stability in their work. Low capacity for change: People would like to see change, but don’t believe it will ever happen. Other changes have failed. Click here to read more about how you can successfully manage change.

15. return Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers It is easy to manage change when management changes… Overview This section addresses way to improve change in your organization. Percentage of People Who Resist Change Every mining company is different, but research suggests that a relatively large percentage of employees in any company resist change to one extent of another. Understanding Resistance to Change Knowing why your employees resist change will make you a better ‘change agent’. Realize that organizations don't change, people do -- or they don't. If employees don't trust your leadership, don't buy the organization's vision, don't buy the rationale for change, and aren't involved in the planning, successful change will be difficult, regardless of the brilliant strategy. Large-scale organizational change usually triggers emotional reactions: denial, negativity, choice, tentative acceptance, commitment. Leadership should facilitate this emotional process to ensure the best chance of success. Communication: openness and transparency go a long way in helping to generate trust. Go beyond telling the truth when it's advantageous. Be proactive, share as much as possible: opportunities, risks, mistakes, potentials, failures. Invite people to work on these challenges together. Incremental change is linear and fairly predictable as it’s based on prior performance. Conversely, transformation is a redefinition of who you are and what you do. It's often unpredictable, illogical (demanding people and organizations change when they are the most successful), and not a valid indicator of future success. Past success may be your greatest obstacle.

16. return Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers • Before you can get to where you want to go – you need to know where you are. • Overview • This section addresses ways to improve identify culture in your organization. • Current Culture • There are many ways to sample and establish you organizational culture. This is a key part of the process to determine how best to facilitate a successful and sustainable culture change. • Confidential employee perception surveys are the subject of an entire section of this toolbox (See Section B) • What Is The Culture That Awaits? • Equally important as knowing where you are is knowing where you are aiming to get to. What does your ideal culture look like? What would you see people doing, what would people be saying, how would issues be identified and resolved? • What that culture looks like and how it should be defined is something that everyone can be involved with. Having the discussion alone might even be the catalyst for change. • Taking Control • In the past, many people in the mining industry believed that a strong, positive safety culture was desirable but not something that was within the realm of management to change . Today, we know that company culture’s can be improved, but to do so you must focus on the right management behaviors and have an intent and plan to enhance your organization’s culture.

17. return Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers • Managing any significant change within an organization, • and all the more so a cultural change, indicates a need • to follow certain steps. • Overview • This section addresses ways to improve change in your organization. • Leading Change: • Developing a clear vision, showing the direction of the • change and the underlying values. • Create a climate of change: establish a need or sense of purpose and urgency. • Share the vision with employee using clear communication. • Avoid roadblocks to the vision. • Empower employees to act and clear obstacles. Employees should feel trusted by management. • Wherever possible, involve employees in the process. • Organizing Change: • Build a coalition of driving forces. • Set the relevant human resources – people need time and space to work on the changes. • Set a plan and agenda, including short-term wins. • Coordinate activities. • Implement Change: • Implement intentions. Make visible change occur in operations as soon as possible. • This requires behavior change at all levels of the organization. • Start at the top and ensure employees below see it and feel it. • Consolidate Change: • Intentions are implemented and transformed with time. Allow enough of it. Be urgent, but patient. • Provide frequent updates about the change program. • Consolidate first outcomes and keep moving. • Don’t declare success with change until you are certain. • Secure short-term wins. • Anchor the change. If in doubt, look at senior leadership’s behavior. Did it change permanently? • Have follow-up program to ensure back sliding is minimized.

18. return Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers • Safety culture enablers are pervasive and enduring company characteristics that exert a positive influence on safety culture. • Respect (enough said…). • Confidence that management knows what it’s doing. • A personal safety vision communicated by supervisors. • Open door policy (bring it, good or bad). • Making good decisions in difficult times (pressure’s on). • Holding everyone accountable for his/her responsibilities. • Making the connection between leadership and culture. • Employees feel uncomfortable not being competent. • Safe producers get promoted. • Always thinking about what might go wrong. • Safety culture disablers are pre-existing and often immutable (short-term) company factors that hinder the maintenance or enhancement of a safety culture. • Inadequate organizational communication (are we ok?). • Inadequate interpersonal communication (don’t bother me). • Excessive change (personnel, frequent business initiatives). • Mergers or acquisitions without culture integration planning. • Excessive command and control management style. • Inconsistent approach to S&H management (flavor of month). • Labor-management unrest (work stoppages). • Inadequate resource parity between production and safety. • Fear of retribution (report and be damned). • No involvement of workers in S&H management policy. Enablers & disablers that are harder to influence: National culture, professional culture, local social culture, etc.

19. return Part A: Inside Safety Culture Defining Safety Culture What is a Culture? What is Safety Culture? What is a “Good” Safety Culture? What Safety Culture is Not Safety Culture in Context Safety Culture & National Culture Safety Culture & Corporate Culture Safety Culture in Mining A Model for Safety Culture in Mining Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers Enablers & Disablers Just Culture National Culture The Cost of Safety Hand & Glove: Safety Culture & SHMS Which Comes First? Safety Culture & SHMS Is Having an SHMS Enough?

20. return Enablers & Disablers Just Culture National Culture The Cost of Safety Under just culture conditions, individuals are not blamed for honest errors, but held accountable for willful violations and gross negligence. Summary In a just organizational culture, individuals are not blamed for 'honest errors', but are held accountable for willful violations and gross negligence. Discipline is fair and equitable. People are less willing to report their own errors and other safely problems or hazards if they are afraid of being punished or prosecuted. Employees’ perception of punishment prevents the management from being property informed of the actual risks. Managers are unable to make the right decisions in order to improve safely. However, a totally no-blame culture is neither feasible nor desirable. Most people desire some level of accountability when an incident occurs. In the mining industry, a ‘just culture’ is an atmosphere of trust and fairness in which people are encouraged, and even acknowledged for providing essential safety-related information, but in which they are also clear about where the line must be drawn between acceptable and unacceptable behavior. Consequences are consistent for a behavior regardless of the outcome observed. Therefore, a just culture supports learning about incidents, unsafe acts, and near miss incidents, in order to improve safety and health management through the improved recognition of safety situations and helps with the sharing of safety information. Consequently, a just culture can be regarded as an enabler and an indicator of (a good) safety culture.

21. return Enablers & Disablers Just Culture National Culture The Cost of Safety • The influence of national culture on safety attitudes • and behaviors can be positive and negative. • Summary • The Influence of national culture on safety attitudes and • behaviors can be both positive and negative. • National culture does influence the attitudes and behaviors of individual’s work. Corporate culture and professional habits cannot supersede entirely national cultural traits. Consequently, some features of a national culture can play a positive role towards safety culture, and some can play a • rather negative role. • According to G. Hofstede, a national culture can be characterized by the following dimensions: • Power distance and relationship to authority. • Management of uncertainty and relationship to rules. • Degree of individualism and group power on individuals. •  Degree of macho attitude and the importance of ‘face’. • Communication with management can be influenced by ‘power distance’. In countries characterized by a high power distance, it may be more difficult for a miner to speak up and voice concerns about the impact of a decision on safety, or to advise his/her supervisor that "I just made an interesting mistake, I think others can learn from my mistake”. • In countries with a high level of ‘uncertainty avoidance’, adherence to rules and procedures is a natural way of life. Employees will then lend to request comprehensive and detailed procedures and will be keen on following them. In countries with high uncertainty acceptance features, it may be difficult to get people to exactly follow the written procedures. • Developing a just culture may be influenced significantly by aspects of national culture such as social attitudes toward blame and punishment in response to human error.

22. return Enablers & Disablers Just Culture National Culture The Cost of Safety • A mining company’s financial circumstances are an important influence on the way resources are devoted to safety, and thus operate as an enabler (or disabler) for safety culture. • Summary • All organizations have limited resources to devote to • safety and must deal continually with the conflicting goals • of safety versus productivity and efficiency objectives, which ultimately determine profitability. • Financial health in any business will be influenced not only • by good management and internal efficiency, but by the external economic environment. A stated commitment to safety is necessary, but not sufficient to enable safety improvements. The commitment must be supported by appropriate resources of technology, equipment, training • and expertise, policies and systems that promote • operational safely. • One indicator of a positive safety culture is the extent to which these resources for safety are immune from an organization's financial situation, the commitment to safety should be consistent and visible regardless of any financial pressures facing the organization, whether internally or externally generated. • Is Safety a Priority or is Safety a Value? • What budgetary changes affecting safety are made when times are tough? For example, is some safety-related training seen as dispensable and is cut or postponed? •  To what extent are productivity or efficiency pressures increased at these times? For example, is 'cutting corners' encouraged or condoned more often? • Do management priorities, messages and most importantly their actions change from a focus on safety to other organizational goals, such as the 'bottom line'?

23. return Part A: Inside Safety Culture Defining Safety Culture What is a Culture? What is Safety Culture? What is a “Good” Safety Culture? What Safety Culture is Not Safety Culture in Context Safety Culture & National Culture Safety Culture & Corporate Culture Safety Culture in Mining A Model for Safety Culture in Mining Changing Safety Culture Why it’s Difficult to Change Culture Current Culture vs. Future Culture Steps for change Enablers & Disablers Enablers & Disablers Just Culture National Culture The Cost of Safety Hand & Glove: Safety Culture & SHMS Which Comes First? Safety Culture & SHMS Is Having an SHMS Enough?

24. return Hand & Glove: Safety Culture & SHMS Which Comes First? Safety Culture & SHMS Is Having an SHMS Enough? A strong safety culture is a strong enabler to ensure the SHMS works in practice. The reverse can also be true: implementing a good SHMS can be an enabler for safety culture. Overview This section emphasizes the importance of having a positive safety culture as well as an effective SHMS. Safety & Health Management System (SHMS) Safety management implies a systematic approach to managing safety, including the risk management, necessary organizational structure, competencies, accountabilities, policies and procedures. For more information on developing an effective SHMS, see the NMA S&H Management System Toolbox. Is a SHMS implementation enough to guarantee Safety? It is recognized that an effective SHMS is necessary for maintaining and improving safety in U.S. mining operations. However, it may not be adequate to guarantee adequate safety performance. We need only look outside our own industry to see examples of high-risk organizations with very good management systems who experienced spectacular losses owing to failures of the organizational culture or the leadership that drives the culture: NASA Challenger & Columbia Disasters “NASA organizational culture had as much to do with this accident as the foam.” Columbia Investigation Report Similar losses can been experienced by British Petroleum: “Absent a healthy safety culture, even the best safety management systems will be largely ineffective…” Baker Commission Report. 1986 2003 2005 2010

25. return Hand & Glove: Safety Culture & SHMS Which Comes First? Safety Culture & SHMS Is Having an SHMS Enough? SHMS works in practice. The reverse can also be true: implementing a good SHMS can be an enabler for safety culture. Implementing an SHMS & Culture: Which one First? There is no right answer to the question: “Which comes first?” The strength of treating safety culture and safety management in tandem is that the approach can sometimes translate or focus safety culture improvement needs into tangible improvements to the SHMS. An example of this is the parallel between the SHMS elements of incident reporting & investigation and safety culture attribute of organizational justice. You need your employees to report all incidents that occur so investigations can be conducted to understand where a failure in the system occurred (e.g., behavior, accountability, procedures, training, etc?). However, employees are less likely to report incidents if they fear there will be personal repercussions. If your organization has fair and equitable safety rules and disciplinary procedures, and you have let it be known that you are interested in fact-finding and not fault-finding relative to incidents, then employees are much more likely to report things that occur. An alternative approach is to retain some distance between the two areas. This still allows feedback on where a SHMS may not actually be working in practice (e.g., technical problem in the incident and error reporting systems that stops people from bothering to report incidents), while allowing an albeit fuzzier focus on deeper cultural issues that can be unearthed during safety culture surveys, e.g., regional differences in safety attitudes, or problems of mistrust between different mines or different layers in the organization (e.g., organizational staff believing an SHMS is just ‘for show’ or ‘to protect’ managers). 1986 2005 2010

26. return Hand & Glove: Safety Culture & SHMS Which Comes First? Safety Culture & SHMS Is Having an SHMS Enough? In Core Safety, the NMA SHMS, leadership and safety culture components are fully integrated , i.e., there are three elements within the SHMS – hand and glove. Overview This section describes the interdependency between safety and health management systems, culture and leadership. Linking the SHSM, Culture & Leadership The safety and health of any mining organization is the product of three elements: The quality and effectiveness of the management systems implemented to systematically address risk and S&H-related information. See the NMA S&H Management Systems Toolbox for more information. The safety culture which includes people’s shared values, attitudes, beliefs and behaviors about safety and health. Leadership , which is the driving force for developing/enhancing safety culture and a prerequisite for establishing the authority, accountability, resources and goals associated with and importance of safety and health management. See the NMA Leadership Toolbox for more information. The Three Fit Together Like Hand & Glove. The SHMS, culture and leadership are interdependent . Leadership creates the initiatives, drive and urgency to reach safety excellence. The systems supports the process to achieve safety excellence. The culture embodies the commitment to achieve safety excellence. 1986 2005 2010

27. return CORESafety Safety Culture Enhancement Toolbox Part A Inside Safety Culture Part B Assessing Safety Culture Part C Improving Safety Culture Part D Mining Case Studies Defining Safety Culture Getting Started Identifying Improvements Rio Tinto Minerals Safety Culture in context Launching the Survey Walking the Talk Alpha Natural Resources Changing Safety Culture Interviews & Workshops Making a Difference Luminant Enablers & Disablers Analysis & Conclusions Opening Minds NASA FAQ Learning to Learn Safety Culture & SHMS Feedback & The Way Forward Re-assessing Day-to-day Safety Culture

28. return Part B: Assessing Safety Culture Getting Started How Do You Measure Culture? Who Should Measure? Internal Buy-in Preparing the Launch Launching the Survey Survey Kickoff Questionnaire Familiarization Visits Additional Data Collection Interviews & Workshops Objectives Preparation Facilitation Who Should be Involved Analysis & Conclusions Data Triangulation & Analysis Safety Culture Overall Picture Making Sense of Analysis Outcomes Strengths & Weaknesses ‘Digesting’ period Way Forward Diagnosis Feedback Feedback & Way Forward Reporting the Findings Re-assessing When to Re-Assess Who Should Re-assess How Should You Re-assess

29. return Part B: Assessing Safety Culture Getting Started How Do You Measure Culture? Who Should Measure? Internal Buy-in Preparing the Launch Launching the Survey Survey Kickoff Questionnaire Familiarization Visits Additional Data Collection Interviews & Workshops Objectives Preparation Facilitation Who Should be Involved Analysis & Conclusions Data Triangulation & Analysis Safety Culture Overall Picture Making Sense of Analysis Outcomes Strengths & Weaknesses ‘Digesting’ period Way Forward Diagnosis Feedback Feedback & Way Forward Reporting the Findings Re-assessing When to Re-Assess Who Should Re-assess How Should You Re-assess

30. return Getting Started How Do You Measure Culture? Who Should Measure? Internal Buy-in Preparing the Launch What gets measured, gets managed, even culture Overview This section describes the overall purpose for conducting a safety culture assessment. Process The aim of the NMA Core Safety culture assessment tool is to describe how to measure an organization’s safety culture and identify the culture’s strengths and weaknesses to determine whether cultural changes are needed. The process involves: A pre-launch phase to prepare senior managers and employees for the assessment and obtain their support. Data collection phases, involving both questionnaire surveys (quantitative processes) and interviews, workshops, etc. (qualitative processes) depending on time and employee accessibility . Safety culture analysis phase. Diagnosis, feedback and way forward phase. Pre-launch of safety culture assessment Survey kickoff Familiarization visits Distribution of questionnaires Additional data collection Initial safety culture analysis & development of interview/workshop agenda Interviews with management Workshops and/or interviews with staff & workers Safety culture analysis Safety culture diagnosis Feedback & way forward

31. return Getting Started How Do You Measure Culture? Who Should Measure? Internal Buy-in Preparing the Launch • Safety culture assessment is a collaborative process between culture assessment experts and company management. • Overview • Since an organization’s safety culture is deeply rooted in its history and collective experience, attempts to measure and change it are difficult and require considerable time, efforts and resources. This section describes the overall purpose for conducting a safety culture assessment. • Two Assessment Approaches • There are two different approaches to conducting a culture assessment: • A mining company can conduct their own assessment; however, given the expertise required to develop an appropriate questionnaire and the need for confidentiality and objectivity, this approach may impose hurdles that undermine the utility of the assessment • Retain an external expert to assist management in • conducting the assessment. While this approach requires more resources, it will very likely yield much better results. • External Experts Are Useful For: • Contributing outside perspective. It is often easier for outsiders rather than insiders to identify subtle but important aspects of organizational culture, investigate the values and beliefs underlying day-to-day behaviors, appreciate past and present culture and challenge individual and organizational safety behaviors. • Providing expertise and experience necessary for conducting an effective assessment process, identifying strengths and weaknesses, and working with your company’s, management to identify the path forward base don the assessment results. • Company Personnel Are Useful For: • Providing the ‘inside’ information to measure the organization’s culture (e.g., opinions and experiences on risk awareness, safety behavior, and commitment to and involvement in safety). • Assisting the assessment team in data collection and validation (e.g., providing access to information and workshop participants). • Establishing a viable way forward. • Ensuring ‘ownership’ by company management of the process, findings and outcomes.

32. return Getting Started How Do You Measure Culture? Who Should Measure? Internal Buy-in Preparing the Launch • An internal champion ensures a successful safety • assessment process. • Overview • The presence and commitment of an ‘internal champion’, an enthusiastic supporter and defender of the safety culture assessment process and objectives , is desirable for ensuring a successful result. • The Champion’s Role • The champion plays an important role in supporting and promoting the assessment process by: • Acting as an interface between the external assessment team and company management, board of directors (as required) unions, staff and other stakeholders. • Setting the scene for the assessment campaign and assisting it along the way until the implementation of the action plan., and later with the re-assessment process. • Assisting the assessment team by making them aware of relevant information, such as recent incidents, re-organizations, or SHMS implementation. • Promoting the safety culture assessment campaign internally, in order to get as much ‘buy-in’ as possible from managers and staff. • Selecting a Champion • The champion can be selected from among the members of the safety team, human resources, or senior management. The champion should be well informed about the process, expected outputs, time scales and other critical aspects of the assessment.

33. return Getting Started How Do You Measure Culture? Who Should Measure? Internal Buy-in Preparing the Launch • Prior to launch of the assessment process, company management and the external assessment team should discuss and agree on details of the assessment process. • An internal champion ensures a successful safety • assessment process. • Scope • The scope of involvement in the assessment process will be dependent on factors such as the project timeframe and the availability of company management. At a minimum, the assessment should include representatives of the management group and line management and staff for each staff undergoing an assessment. Collecting a wide, representative range of views from all areas and levels of the company is important in order to: • Ensure that the assessment is an organizational safety culture assessment. • Enable the assessment team to compare and contrast the perceptions of different groups or sub-cultures, for example, to test whether managers do what they say they do, in the eyes of their workers. • Minimize any potential bias effects that may result when characteristics of an organization are being assessed through a sample of individuals nominated to interact with the assessment team. • Timeframe • The assessment team should define, with company management, an adequate time period in which to launch the assessment process, to avoid the impact of external and other factors, such as busy periods, overlap with other activities. • Confidentiality • An important aspect of preparation is to determine how confidentiality will be preserved. For example, how materials will be stored, used and reported, and who will participate in the data collection phase. It is important to determine: • All collected materials will be kept confidential and used only by the assessment team. • Collected information from the interviews and workshops will be summarized and reported in a way that does not identify any individual.

34. return Part B: Assessing Safety Culture Getting Started How Do You Measure Culture? Who Should Measure? Internal Buy-in Preparing the Launch Launching the Survey Survey Kickoff Questionnaire Familiarization Visits Additional Data Collection Interviews & Workshops Objectives Preparation Facilitation Who Should be Involved Analysis & Conclusions Data Triangulation & Analysis Safety Culture Overall Picture Making Sense of Analysis Outcomes Strengths & Weaknesses ‘Digesting’ period Way Forward Diagnosis Feedback Feedback & Way Forward Reporting the Findings Re-assessing When to Re-Assess Who Should Re-assess How Should You Re-assess

35. return Launching The Survey Survey Kickoff Questionnaire Familiarization visits Additional data collection • The survey kickoff marks the beginning of the safety • culture assessment process. • The launch starts with a presentation of the entire process to senior and middle managers, operational staff (either separately or jointly), and other stakeholders if required (e.g., unions). Further presentations to separate working groups can also be planned if necessary to motivate staff and ensure their active participation. • The kickoff presentations should introduce the assessment team to company management and personnel and should cover: • The purpose and intended outcomes of the assessment. • The process involved, including how information will be collected, analyzed and used. • The requirements of survey participants and the importance of their contributions. • Confidentiality terms. These must be explained to all participants who will be involved in the data gathering phase. • Any questions or concerns raised by personnel. • The presentation must capture the interest of the participants to ensure their commitment. It is an opportunity to 'sell' the project to those who will be giving their time to participate. It is thus important to promote the benefits to employees of a good Safety Culture, and to alleviate any concerns ('threats') they may perceive. • The survey kickoff is followed by the distribution of the safety culture questionnaire and other data gathering • processes, as discussed in the following sections.

36. return Launching The Survey Survey Kickoff Questionnaire Familiarization visits Additional data collection Data Collection: The Safety Culture Questionnaire Design The safety culture questionnaire is a set of statements that respondents are asked to agree or disagree with by marking their choice on a pre-determined scale (e.g., 5-point scale, Yes/No, etc.). The questionnaire can contain as few as 10 and as many as 100 statements, normally in random order. The format may vary depending on which expert is designing the survey. The questionnaire should be designed to elicit responses on a variety of topics that indicate how the company approaches and manages safety, leadership and culture. Language The questionnaire should be available in English, but can be translated into the local language of the company if necessary. If this option is chosen, it is recommended that the questionnaire then be translated back into English to ensure the translation is as accurate as possible. Distribution The questionnaire can be distributed either by dissemination of hard-copies in person (preferred method) or by electronic means. In-person distribution and completion is preferred to minimize the potential for comparison of answers among respondents. The questionnaire should only be completed once by each individual in the organization and personnel should have access to only those sections that concern them. Promotion & Sample Size To ensure the validity of the questionnaire data it is important to have a representative sample size (at least 30% of the identified target groups, and ideally 50 - 90%.). Therefore, the launch of the questionnaire should be combined with the familiarization visits to the different mines and support facilities (by the external assessment team) to explain the purpose of the survey and promote it. The 'champion' should also help distribute the questionnaires and help oversee completion and collection. Management support and encouragement are extremely valuable during this phase. Collection Once completed, the questionnaire are returned directly to the assessment team.

37. return Launching The Survey Survey Kickoff Questionnaire Familiarization visits Additional data collection • Data Collection: Familiarization Visits • While extensive observations may be useful for determining safety behaviors and investigating the way an organization manages safety, it is often costly and time-consuming to conduct this activity. Still, visits with company mines and • related operations facilities are very useful. • Objectives •  The main objectives of familiarization visits are to: • provide the assessment team with a general impression • of the climate and operational environment of the company; and, • enable the assessment team to interact with mining • company personnel during their day-to-day activities. • This process helps, the assessment team to become familiar with the working environment of the company and make observations that can be followed up on and explored • further in interviews and workshops. It also allows the team • to establish a rapport with company personnel, which is of general benefit in subsequent information sharing stages. • Locations •  In order to gather information on a range of safety culture issues, enablers, constraints and opportunities for • improvement, the assessment team should visit different mines (plus mills, prep plants, refineries, smelters, etc.) of the company. • Expertise • Familiarization visits are generally conducted by a mixed team, consisting of: •  those with operational expertise - to assist with understanding the technical aspects of the observed activity; and •  external experts from the assessment learn – who contribute an 'outsider' perspective and the experience and expertise to assess observed behaviors in terms of safety culture elements.

38. return Launching The Survey Survey Kickoff Questionnaire Familiarization visits Additional data collection • Data Collection: Additional Sources of Information • Broader Cultural Factors • When assessing a mining company’s safety culture, the assessment learn must have an understanding of, and empathy with, the entire local environment in which the company operates. As Hofstede notes, “ .. people in other countries may think, feel, and act very differently from yourself, even when confronted with basic problems of safety...” The assessment • team can conduct external literature and document reviews • and website reviews, for instance, to access relevant information. Reading about the historical background of the company may also assist in understanding the culture. • Safety Culture Information • Specific information about a company’s safety culture can be gained from a number of sources to complement data obtained through the questionnaires and familiarization visits: • The company website. The content and the way the • Information is presented conveys information about where • the company's areas of interest lie. • Safety programs and initiatives in place at the company, indicating the level of commitment to safety. • Documented policies and procedures. • Internal publications outlining details of the organizational structure, mission statement, etc. • Incident reports, incident summary and other safety indicators. While the culture questionnaire identifies whether the company has tools in place to learn (e.g., reporting systems. incident analysis, feedback and communication channels), the quality and effectiveness of this learning process is difficult to assess without observing the outcomes. • An examination of the process and related documents (incident reports, documentation of resulting action and feedback. etc.) provides important information on organizational learning by considering issues such as: • How often voluntary reporting processes are used. • The quality and scope of incident reports, and whether important issues are covered appropriately. • Whether reports are acted on, how feedback is communicated, and what the process for responding to reports entails. • How trends in incident data are collected and acted on. • This information assists the assessment team in understanding the reporting processes in place, people's involvement in the processes and the quality of the feedback and outcomes. • These details can be collected prior to the launch of the survey or during the site visits. The subsequent interviews and workshops provide additional opportunities to collect information about the organizational structure and context, social environment and financial health.

39. return Part B: Assessing Safety Culture Getting Started How Do You Measure Culture? Who Should Measure? Internal Buy-in Preparing the Launch Launching the Survey Survey Kickoff Questionnaire Familiarization Visits Additional Data Collection Interviews & Workshops Objectives Preparation Facilitation Who Should be Involved Analysis & Conclusions Data Triangulation & Analysis Safety Culture Overall Picture Making Sense of Analysis Outcomes Strengths & Weaknesses ‘Digesting’ period Way Forward Diagnosis Feedback Feedback & Way Forward Reporting the Findings Re-assessing When to Re-Assess Who Should Re-assess How Should You Re-assess

40. return Interviews & Workshops Objectives Preparation Facilitation Who Should Be involved? • Interview & Workshops: Speaking to the People • Overview • This section outlines the objectives of the safety culture interviews and workshops. • The objectives of the workshops and interviews are to: • Supplement information from the safety culture questionnaires by accessing additional qualitative data. • These qualitative data help achieve greater insight into • safety-related activities, actions and behavior shown by • mining company personnel and to enrich the safety culture picture of the company. • Assist in interpreting the questionnaire results. • Safety culture centered interviews gather first-hand information about people's behavior as well as subjective perceptions of the company safety culture from senior and middle management. An alternative option, when possible, is for managers to participate in a dedicated focus group. • Structured collective workshops or focus groups supplement the questionnaire and individual interviews by gathering additional insight about safety-related activities, actions and behavior exhibited by company employees. • Further focus groups could involve staff of other departments such as Human Resources and Security. All these discussions • are intended to collect useful and complementary information to support the company safety culture diagnosis. • Note that it is important to run multiple workshops, since different workshop groups may not always say the same things. • The workshops and interviews are designed to elicit views from managers, staff and workers on a range of issues, including the prevailing culture through its impacts on safe behavior, reporting of errors and incidents, and communication about safety priorities. • The enablers and motivators, and barriers and disincentives to safety culture, emerging from these activities, provide insight into the safety culture dynamics of the organization. • The final goal is to integrate the information from the workshops and interviews with the findings of the safely culture questionnaire to highlight the full range of safely culture issues within the organization.

41. return Interviews & Workshops Objectives Preparation Facilitation Who Should Be involved? Workshops & Interviews: Get Prepared Overview This section explains how to prepare for the safety culture interviews and workshops, and describes the content of these data collection activities. Preparation The workshop and interview preparation starts with the pre-analysis of questionnaire results and other pertinent documents to identify key safety culture issues. The assessment team groups these data into areas of interest and uses these key safety culture issues to structure the workshops with the operational and technical personnel and interviews with managers. During the pre-analysis, the assessment team also establishes what complementary informationis needed to make sense of the questionnaire results, so that these topics can be explored in the workshops and interviews. In arranging the visit agenda, the assessment team works closely with, and is supported by, local safety personnel, to ensure minimal disruption to the activities of the units involved. During the workshops and interviews; however, the assessment team needs to be seen as independent of the champion and other local management (safety and line managers and middle managers, etc.) The presence of members of the company safety/management team is undesirable in workshops, as this may prevent the participants from speaking freely. The safety team members are generally interviewed separately to complement information gathered during the workshops. Scope Investigating safety culture issues starts with the summarized questionnaire results, and ensures that the assessment team's interpretation of responses is correct. Other issues not captured by the survey may also be raised during the workshops. The issues covered should also integrate the informal safety system, which refers to the unwritten rules pertaining to safety behavior, such as accountability, authority (authorization and employee involvement in safety decision making) and employee professionalism (e.g., peer-culture, employee-group norms pertaining to safe and unsafe behavior). The assessment team should also distinguish between safety culture in the organizationand in the mine. Possible differences can be explored to identify the system weaknesses. The output of the workshops should be a refined set of issues, and in some cases potential solutions or ways forward to improve safety culture in the organization as a whole.

42. return Interviews & Workshops Objectives Preparation Facilitation Who Should Be involved? • Workshops & Interviews: Facilitation • Overview • This section explains some basic principles for facilitating • safety culture interviews and workshops. • Individual interview can take between 1 hour and 90 minutes. Workshops typically run for between 2 and 3 hours. At the beginning, the interviewer or workshop facilitator must • provide an overview to describe: • the purpose of the interview or workshop. • the intended uses of the collected data; and, • the measures taken to protect confidentiality • and anonymity. • For the workshops, the agenda should be arranged in a way that allows a break half-way through the workshop. • The break is useful to evaluate the outcome of the discussion • and see if there are any conclusions to be drawn or If there are still gaps in the resulting picture. • The types of issues that should be addressed in the workshop include, but is not limited to: • Determining if the opinions of the workshop participants align with the overall trends form the questionnaire data. • Getting specific examples of concerns from the questionnaire data. • Ensuring the questionnaire data is current and not a reflection of the perceived culture from previous years. • Determining if there are opinions about the safety culture of the mine/company based on the workshop participant’s impression of culture. • Attempting to gauge the degree of response (triangulation) between different participants.

43. return Interviews & Workshops Objectives Preparation Facilitation Who Should Be involved? • Workshops & Interviews: Who Should Be Involved? • Overview • This section lists the personnel who are typically involved in • safety culture interviews and workshops. • During interviews and workshops, A company members usually serve as informants, who interact with the assessment team using their own terms and concepts to express their point of view. • Interviews •  Interviews are normally conducted with one person at a time. Personnel typically involved in the safety culture interviews include: • Company senior management, (e.g., CEO, COO, etc.) operations director, technical staff, financial officer. •  Company middle management, including line, supervisors, maintenance supervisors, trainers. • Subcontractors (if possible) • In general, individual interviews are carried out with company senior and middle managers to collect in-depth information about safety culture. • However, additional interviews company management can help to gain a wider overview of how safety is valued by all stakeholders dealing with safety within the mining company. • Workshops •  Each workshop should be conducted with members of the same employee group. The ideal number of participants should not exceed 7 to 10 people. Ideally, participants will tie members of different teams or shifts and of different ages. experience, etc., so that a variety of perspectives and experiences can be discussed. It can be useful to have one workshop aimed at the executive management of the company (the CEO may be interviewed separately). • Another workshop might comprise personnel who do not work on the front line, such as human resources and security. Remaining workshops would than comprise groups of 4·6 company workers, engineers and shift supervisors. Each workshop requires two facilitators one of whom will take detailed notes.

44. return Part B: Assessing Safety Culture Getting Started How Do You Measure Culture? Who Should Measure? Internal Buy-in Preparing the Launch Launching the Survey Survey Kickoff Questionnaire Familiarization Visits Additional Data Collection Interviews & Workshops Objectives Preparation Facilitation Who Should be Involved Analysis & Conclusions Data Triangulation & Analysis Safety Culture Overall Picture Making Sense of Analysis Outcomes Strengths & Weaknesses ‘Digesting’ period Way Forward Diagnosis Feedback Feedback & Way Forward Reporting the Findings Re-assessing When to Re-Assess Who Should Re-assess How Should You Re-assess

45. return Analysis & Conclusions Data Triangulation & Analysis Safety Culture Overall Picture Making Sense of Analysis Outcomes Strengths & Weaknesses • Analysis & Conclusions: Triangulation • Overview • This section focuses on the analysis and conclusions stage of the assessment process. The first step in this stage is triangulating and analyzing the collected data. • Triangulation • The triangulation of all collected data enables the assessment team to build a picture of the organization's management of • and commitment to safely. During the analysis phase, all collected raw data are analyzed and interpreted, and the results collated into a report resulting from a collaborative process between the assessment team and company representatives. • In assessing the collected data, it is important to note that the opinions and perspectives accessed during a safetyculture assessment are generally obtained from only those personnel who interact directly or indirectly with the assessment team and may not, therefore, be representative of the views of all employees. An essential step towards presenting an accurate assessment of an organization's safety culture is therefore to compare and 'triangulate', or cross-check, information collected from a variety of different sources: • Safely culture questionnaire survey . • Analysis of documents (manuals, policies, etc.). • Interviews with management . • Workshops l focus groups. • Site visits (e.g., observations. informal discussions, etc.).

46. return Analysis & Conclusions Data Triangulation & Analysis Safety Culture Overall Picture Making Sense of Analysis Outcomes Strengths & Weaknesses Analysis & Conclusions: The Big Picture Overview Following data triangulation and analysis, an overall safety culture picture is derived from the analysis results. In order to build an overall picture of the assessed safety culture, there is a need for a theoretical model to help understanding the observational data. The results of the analysis of collected data are therefore clustered according to the particular safety culture model used as a framework by the assessment team (e.g., see figure). Each safely culture attribute is investigated by compiling all the available evidence exploring the shared values and behaviors, as well as mismatches in responses and thus in beliefs. These mismatches occur, for example, when management and operational staff or controllers and engineers I technical staff present conflicting opinions on a given safety culture topic. For instance, managers and operational staff may present opposing opinions on whether concerns about safety are acted upon, the effectiveness of team meetings forimproving safety or whether changes are communicated to staff effectively. Such mismatches indicate disparity within the organization regarding commitment to, and management of safety, and are useful for identifying areas for improvement, • Accountability • Adaptability • Awareness • Communication • Competency • Discipline • Empowerment • Engagement • Justice • Leadership • Learning • Reporting • Trust • Vigilance

47. return Analysis & Conclusions Data Triangulation & Analysis Safety Culture Overall Picture Making Sense of Analysis Outcomes Strengths & Weaknesses Analysis & Conclusions: Expert Perspective Overview Specific safety culture assessment expertise and experience are required to make sense of the analysis outcomes. Need for Expertise in Analyzing the Data The analysis of all collected data enables the assessment team to investigate safety culture attributes and to identify local organizational and external enablers and disablers which influence the safety culture either directly or indirectly. However, making sense of all this information is not an easy and straightforward task. It is largely the expertise of the assessment team and their previous experience with the safety culture of other organizations (in the same industry or from other industries) that allow them to draw major insights about the assessed safety culture and to identify its strengths and areas for improvement, with discussion of causes and potential improvement measures. This insight is based primarily on the appraisal of the observable and analyzed issues in the actual context of the organization, that is, company safety performance, and the organizational and national culture and the commercial and social environment in which the company operates.

48. return Analysis & Conclusions Data Triangulation & Analysis Safety Culture Overall Picture Making Sense of Analysis Outcomes Strengths & Weaknesses • Analysis & Conclusions: Strengths & Weaknesses • Overview • The final part of the ‘Analysis & Conclusions' stage is identifying • safety culture strengths and weaknesses. • The outcomes of the analysis are used to identify and summarize strengths and weaknesses or 'opportunities for improvement’ in the organization's safety culture to help company leaders and staff understand their safety culture and how they might improve it. • This process is described in the following section: • Feedback & The Way Forward.

49. return Part B: Assessing Safety Culture Getting Started How Do You Measure Culture? Who Should Measure? Internal Buy-in Preparing the Launch Launching the Survey Survey Kickoff Questionnaire Familiarization Visits Additional Data Collection Interviews & Workshops Objectives Preparation Facilitation Who Should be Involved Analysis & Conclusions Data Triangulation & Analysis Safety Culture Overall Picture Making Sense of Analysis Outcomes Strengths & Weaknesses ‘Digesting’ period Way Forward Diagnosis Feedback Feedback & Way Forward Reporting the Findings Re-assessing When to Re-Assess Who Should Re-assess How Should You Re-assess

50. return Feedback & Way Forward Reporting The Findings Diagnosis Feedback ‘Digesting’ Period Way Forward • Feedback & Way Forward: Reporting the Findings • Overview • In the final stage of the safety culture assessment process, 'Feedback and way forward', each mining company is • provided with a customized, confidential report of the • findings. • The safety culture assessment report provides a detailed • outline of the assessment process and sets out the findings • and conclusions of the assessment, including: • Key observations about the organization's safety culture; • Safety culture strengths, and; • Safety culture weaknesses, or potential areas for improvement. • An important limitation of the information provided in these reports, and presented in the feedback sessions (described in the next section), is that it represents only a 'snapshot' of the prevailing organizational and safety culture issues. • Furthermore, observations and conclusions can only be based on the information made available to the assessment team (e.g., what was reported in questionnaires, said in workshops and interviews, and observed by the team). Where possible, findings in the report are presented along with practical • examples to support the conclusions drawn, and give a 'flavor' of the raw data that was collected. • Appendices to the reports give full access to statistics and the summaries for each question answered in the questionnaire, both generally and broken down by different groupings. These summaries and observations are reported in a way that does not identify any individual. • As important as the written report, companies should expect their assessment expert to provide a verbal presentation so questions can be asked and answered.