核安全文化的十项特征.doc

档案 INPO12-012 2012年12月INPOTraits of a Healthy Nuclear Safety Culture健全的核安全文化特征 OPEN DISTRIBUTION 公开发行 OPEN DISTRIBUTION: Copyright 2012 by the Institute of Nuclear Power Operations. Not for sale or commercial use. All other rights reserved. 公开发行：版权2012 美国核电运行研究所。非卖品。版权所有。NOTICE: This information was prepared in connection with work sponsored by the Institute of Nuclear Power Operations (INPO). Neither INPO, INPO members, INPO participants, nor any person acting on behalf of them (a) makes any warranty or representation, expressed or implied, with respect to the accuracy, completeness, or usefulness of the information contained in this document, or that the use of any information, apparatus, method, or process disclosed in this document may not infringe on privately owned rights, or (b) assumes any liabilities with respect to the use of, or for damages resulting from the use of any information, apparatus, method, or process disclosed in this document.注：该信息是由美国核电运行研究所发起准备的。无论是INPO组织，INPO成员，INPO的代表，或者任何人，（a）不对该文件的准确性，完整性或有效性做任何承诺。使用该文件中的信息，仪器，方法或过程不得侵犯私人权利。(b)因使用这些信息，仪器，方法或者过程，承担责任。TABLE OF CONTENTS/目录INTRODUCTION/介绍. 4BACKGROUND/背景.6THE TRAITS AND THEIR ATTRIBUTES/特征及其特点. 11Individual Commitment to Safety/个人对安全的承诺.11Personal Accountability/个人职责.11 Questioning Attitude/质疑的态度.11Safety Communication/安全沟通.12Management Commitment to Safety/管理者对安全的承诺.14Leadership Accountability/领导职责.14Decision-Making/决策.15Respectful Work Environment/彼此尊重的工作环境.16Management Systems/管理体系.17Continuous Learning/持续学习.17Problem Identification and Resolution/识别问题、解决问题.17Environment for Raising Concerns/关注的氛围. .18 Work Processes/工作流程.19Acknowledgements/致谢.21INTRODUCTIONTraits of a Healthy Nuclear Safety Culture builds on the knowledge and experience developed since the publication of Principles of a Strong Nuclear Safety Culture in 2004. The change in the title reflects the commercial nuclear industrys alignment of its own terminology with that used by the U.S. Nuclear Regulatory Commission. This document was developed through a collaborative effort by U.S. industry personnel and the staff of the Institute of Nuclear Power Operations (INPO), with input from representatives of various regulatory agencies, the public, and the nuclear industry worldwide. Traits of a Healthy Nuclear Safety Culture reflects an alignment in two sets of terms that have been used to describe nuclear safety culture: INPO and the industry defined safety culture in leadership terms of principles and attributes, and the U.S. Nuclear Regulatory Commission defined safety culture in regulatory terms of components and aspects. Whereas each set of terms served its special function, the result created confusion within operating organizations as to the essential elements of a healthy safety culture. 介 绍健全的核安全文化特征是基于2004年出版的核安全文化原则的知识和经验而产生的。标题的变化，体现了核工业的商业化与美国核管理委员会的一致。此文件由美国核行业人员和美国核电运行研究所（INPO）成员共同努力而成。健全的核安全文化特征整合了两套用于描述核安全文化的术语：美国核电运行研究所（INPO）和核能产业以领导者的身份定义了安全文化的主要原则和特征，而美国核管理委员会定义了安全文化的组成。每一套术语都有其特定的功能，但两套术语同时使用容易在运营组织中引起混淆，这是一个健全的安全文化应当避免的。Traits of a Healthy Nuclear Safety Culture describes the essential traits and attributes of a healthy nuclear safety culture, with the goal of creating a framework for open discussion and continuing evolution of safety culture throughout the commercial nuclear energy industry. For the purposes of this document, a trait is defined as a pattern of thinking, feeling, and behaving such that safety is emphasized over competing priorities. Experience has shown that the personal and organizational traits described in this document are present in a positive safety culture and that shortfalls in these traits and attributes contribute significantly to plant events. 健全的核安全文化特征描述了一个健全的核安全文化的特征和他特点，目的在于在整个商用核电工业领域中建立一个自由交流，持续改进安全文化的框架。根据该文件的目的，将特征定义为一种思维方式、感观、行为，认为安全重于一切。经验表明，该文件中描述的个人和组织的特征反映在一个积极的安全文化中。缺少这些特征，将对电厂事故产生重要影响。Rather than prescribing a specific program or implementation method, this document describes the basic traits. These traits and attributes, when embraced, will be reflected in the values, assumptions, behaviors, beliefs, and norms of an organization and its members. Ideally, the traits will describe what it is like to work at a nuclear facility and how things are done there. Traits appear in boldface. The attributes clarify the intent of the traits. 该文件描述的是基本特征，而不是特殊程序或者实施办法。一个组织及其成员的价值观、理念、行为、信念、规范将体现这些特征和特点。理想地讲，这里所述的特征描述的是在一个核电环境中，做什么工作及怎样工作。 特征以黑体字出现。特点阐明特征的含义。Utility managers are encouraged to make in-depth comparisons between these traits and their day-to-day policies and practices and to use any differences as a basis for improvements. 绩效经理应在该特征与其它日常准则之间做深入对比，并以此为基础，持续改进。In addition to the traits and attributes, two addendums are available. Addendum I: Behaviors and Actions That Support a Healthy Nuclear Safety Culture, describes executive, senior manager, manager, supervisor, and individual contributor behaviors that contribute to a healthy safety culture. An additional table is provided to describe detailed behaviors and actions for each attribute. Addendum II: Cross-References, provides cross-references from INPO 12-012, Traits of a Healthy Nuclear Safety Culture, to the previous Principles of a Strong Nuclear Safety Culture, U.S. Nuclear Regulatory Commission operating reactor assessment program cross-cutting area components, and the International Atomic Energy Agency safety culture attributes. This cross-reference can help individuals understand how the common language was developed and can be useful in change management efforts in this important area.除了这些特征和特点，还有两个附件可供参考。 附件1：支持健全核安全文化的行为，描述了总经理，高级经理，监查人员以及个人对核安全文化作用行为。另附有表格，描述了每一个特征的具体行为和行动。附件2：交叉引用，包括从INPO12-012，健全的核安全文化特征、以及之前的核安全文化准则、美国核管理委员会相关文件、及国际原子能机构安全文化特征中的引用。 这些交叉引用可以帮助员工理解这些通俗易懂的语言是如何发展而来，以及怎样在这一重要领域改变管理方式。BACKGROUNDWatershed events over the years have influenced the safety culture at U.S. commercial nuclear power plants. The industry had its first significant wake-up call in 1979 as a result of the accident at Three Mile Island Nuclear Station. Many fundamental problems involving hardware, procedures, training, and attitudes toward safety and regulation contributed to the event. 背 景过去几年，一些转折性事故影响了美国商用核电站的核文化。第一次警示是发生在1979年的三里岛核电站事故。这次事故涉及许多基础性问题，如硬件、程序、培训、安全态度以及监管。In 1986, the Chernobyl accident was a stark reminder of the hazards of nuclear technology. This accident resulted from many of the same weaknesses that led to the Three Mile Island accident. In addition, it highlighted the importance of maintaining design configuration, plant status control, line authority for reactor safety, and cultural attributes related to safety. 1986年，切诺贝利事故是对核技术危害的另一个重要提醒。这次事故由许多与三里岛事故相同的原因造成。此外，它强调了设计结构，核电站运行控制，核反应堆安全业务权限，以及安全文化特点的重要性。Response from industry and regulatory organizations to both these events was sweeping. Improvements were made in standards, hardware, emergency procedures, processes, training (including simulators), emergency preparedness, design and configuration control, testing, human performance, and attitudes toward safety. The 2002 discovery of degradation of the Davis-Besse Nuclear Power Station reactor vessel head highlighted problems that develop when the safety environment at a plant receives insufficient attention. 核工业领域以及监管组织对这两次事故的反应是彻底的。对安全的改进体现在许多方面，如标准、硬件、应急措施、程序、培训（包括模拟的）、应急预案、设计与结构控制、测试、人员绩效、安全态度等。 2002年发现戴维斯-贝斯核电站反应堆压力容器封头老化，这表明，如果不重视安全环境，便可能出现问题。Most recently, the 2011 nuclear accident at the Fukushima Daiichi power plant illustrates the importance of thoroughly assessing possible nuclear safety impacts of a hypothetical, yet credible, extreme external event. It also illustrates the importance of emergency response command and control, training, and resource availability for such an event. 最近的一次事故，2011年日本福岛核电站核事故，证实了对假设可能发生的极端外部事故全面评估的重要性。它也证实了对类似事故紧急反应指挥与控制，培训，资源有效性是非常重要的。A theme common in these events is that, over time, problems crept in, often related to or a direct result of the plant culture. Had these problems been recognized, challenged, and resolved, the events could have been prevented or their severity lessened. The series of decisions and actions that resulted in these events can usually be traced to the shared assumptions, values, and beliefs of the organization. 这些事故的一个共性就是，一段时间内问题不知不觉出现。这经常与电站的核文化有着直接的关系。如果人们认识到这些问题，勇于挑战这些问题，解决这些问题，那么这些事故是可以避免的，或者这些事故的严重性是可以降低的。通常可以从共有的理念，价值观，以及组织的信条中找到这些决策及行为的某些踪迹。These events and the notion that culture is a key ingredient in the overall success of the plant form the basis for this document. Organizational culture is the shared basic assumptions that are developed in an organization as it learns and copes with problems. The basic assumptions that have worked well enough to be considered valid are taught to new members of the organization as the correct way to perceive, think, act, and feel. Culture is the sum total of a groups learning. Culture is for the group what character and personality are for the individual. 这些事故、以及文化是核电站全面成功的关键因素的概念，形成了本文件的基础。组织文化是一个组织在其学习和解决问题过程中形成的共有理念。这些理念之前运用的很好，因此组织的新成员会继续学习，认为这些信念是理解、思考、以及感受的正确方法。文化是一个组织学习的总和。文化对于一个企业而言，就如同性格对于一个人的意义。In addition to a healthy organizational culture, each nuclear station, because of the special characteristics and unique hazards of the technologyradioactive byproducts, concentration of energy in the reactor core, and decay heatneeds a healthy safety culture.Nuclear safety culture is defined as the core values and behaviors resulting from a collective commitment by leaders and individuals to emphasize safety over competing goals to ensure protection of people and the environment. 由于核电站的特殊性和技术的特殊危害性副产品有辐射、核反应堆能量集中、衰变热，除了有一个健全的组织文化，每个核电站还需要有一个健全的安全文化。核安全文化定义为，领导及个人为了保护员工和环境，集体做出“安全高于一切”的核心价值观和行为。This updated definition was developed to apply broadly across all industries that use nuclear technologies. For the commercial nuclear power industry, nuclear safety remains the overriding priority. Although the same traits apply to radiological safety, industrial safety, security, and environmental safety, nuclear safety is the first value adopted at a nuclear station and is never abandoned. 该定义广泛地适用于所有运用核技术的工业。对于商用核电工业，核安全具有至高的重要性。尽管放射安全，工业安全，环境安全具有相同的特征，核安全是核电站的第一价值观，并且永不废弃。Nuclear safety is a collective responsibility. The concept of nuclear safety culture applies to every employee in the nuclear organization, from the board of directors to the individual contributor. No one in the organization is exempt from the obligation to ensure safety first. 核安全是集体的责任。核安全的概念适用于所有工作在核电组织的人员，从董事长到每一位员工。组织中的任何人都有责任确保“安全第一”，无一例外。The performance of individuals and organizations can be monitored and trended and, therefore, may serve as an indicator of the health of an organizations safety culture. However, the health of a facilitys safety culture could lie anywhere along a broad continuum, depending on the degree to which the attributes of safety culture are embraced. Even though safety culture is somewhat of an intangible concept, it is possible to determine whether a station tends toward one end of the continuum or the other. 个人及组织的表现具有可监测性和可跟踪性，因此可以做为一个组织安全文化的指标。然而，根据安全文化推广程度不同，一个健全的安全文化存在于一个广泛的连续范围内。尽管安全文化是一个无形的概念，但确认一个核电站是否持续发展还是可能的。Commercial nuclear power plants are designed, built, and operated to produce electricity. Safety, production, and cost control are necessary goals for the operation of such a plant. These outcomes are quite complementary, and most plants today achieve high levels of safety, impressive production records, and competitive costs, reinforced by decisions and actions made with a long-term view. This perspective keeps safety as the overriding priority for each plant and for each individual associated with it. 商用核电站是为了发电而设计、建造和运行的。安全、生产、成本控制对于此类核电站来说是必要目标。而这些目标是互补的，现代的核电站大多从长远的眼光来做决策和行动，因此核电站运营较为安全、产出高、成本低。这种远见使每一个电站和个人将安全放在第一位。Nuclear safety culture is a leadership responsibility. Experience has shown that leaders in organizations with a healthy safety culture foster safety culture through activities such as the following: 核安全文化是一种领导层的责任。经验证实，组织中具有健全的安全文化观的领导在生产活动中注重以下方面： Leaders reinforce safety culture at every opportunity. The health of safety culture is not taken for granted. 领导利用每一次机会强化安全文化。领导不会理所当然地认为安全文化是健全的。 Leaders frequently measure the health of safety culture with a focus on trends rather than absolute values. 领导经常是通过关注趋势，而不是根据绝对值来检验安全文化的健全度。 Leaders communicate what constitutes a healthy safety culture and ensure everyone understands his or her role in its promotion. 领导就构成健全的安全文化与他人交流，确保每一个人理解他/她在促进安全文化中的角色。Leaders recognize that safety culture is not all or nothing but is, rather, constantly moving along a continuum. As a result, there is a comfort in discussing safety culture within the organization as well as with outside groups, such as regulatory agencies.领导认识到安全文化并不是全部，但也不是无足轻重，而是认识到，它是连续的，不断变化的。因此，在组织内部和外部（如监管机构）讨论安全文化是非常必要的。The traits described in this document are divided into three categories that are similar to the three categories of safety culture in International Nuclear Safety Advisory Group (INSAG)-4, Safety Culture. The categories and their primary traits are as follows: 本文所描述的特征分为三个类别，与国际核安全顾问团（INSAG）-4安全文化中的分类相似。分类及其主要特征如下: Individual Commitment to Safety Personal Accountability Questioning Attitude Safety Communication 个人安全承诺个人职责质疑的态度安全沟通 Management Commitment to Safety Leadership Accountability Decision-Making Respectful Work Environment 管理者安全承诺领导职责决策彼此尊重的工作环境 Management Systems Continuous Learning Problem Identification and Resolution Environment for Raising Concerns Work Processes管理体系持续学习识别问题、解决问题关注的氛围工作流程THE TRAITS AND THEIR ATTRIBUTES特征及其特点Individual Commitment to Safety个人对安全的承诺PA. Personal Accountability PA. 个人职责All individuals take personal responsibility for safety. Responsibility and authority for nuclear safety are well defined and clearly understood. Reporting relationships, positional authority, and team responsibilities emphasize the overriding importance of nuclear safety.每个人对安全负责。明确理解自己的核安全职责和权限。在隶属关系，职位权力，团队职责中强调核安全重于一切。Attributes:特点：PA.1 Standards: Individuals understand the importance of adherence to nuclear standards. All levels of the organization exercise accountability for shortfalls in meeting standards. PA.1标准：个人理解遵守核电标准的重要性。对不满足标准的情形，各级组织应履行相应职责。PA.2 Job Ownership: Individuals understand and demonstrate personal responsibility for the behaviors and work practices that support nuclear safety. PA.2 工作主导权：个人理解和践行自己有利于核安全的行为和工作。PA.3 Teamwork: Individuals and work groups communicate and coordinate their activities within and across organizational boundaries to ensure nuclear safety is maintained. PA.3 团队协作：为确保维持核安全，个人和团体在组织内外就所从事的活动进行沟通和协调。QA. Questioning Attitude QA. 质疑的态度Individuals avoid complacency and continuously challenge existing conditions, assumptions, anomalies, and activities in order to identify discrepancies that might result in error or inappropriate action. All employees are watchful for assumptions, values, conditions, or activities that can have an undesirable effect on plant safety. 为了识别可能导致错误或不适当操作的差异，个人应避免自满,不断质疑现有状况、假设、异常和活动。所有员工警惕可能对电厂安全造成不良影响的理念、价值观、情况或活动。Attributes：特点：QA.1 Nuclear is Recognized as Special and Unique: Individuals understand that complex technologies can fail in unpredictable ways. QA.1认为核技术是特殊的和独特的：个人应认识到，复杂的技术可能在不可预知的情况下失效。QA.2 Challenge the Unknown: Individuals stop when faced with uncertain conditions. Risks are evaluated and managed before work proceeds. QA.2质疑不明情况：个人面临不确定性时应停止操作。工作前应评估和控制风险。QA.3 Challenge Assumptions: Individuals challenge assumptions and offer opposing views when they believe something is not correct. QA.3质疑假设：当人们认为某件事不正确时，应质疑假设，并提出相反观点。QA.4 Avoid Complacency: Individuals recognize and plan for the possibility of mistakes, latent issues, and inherent risk, even while expecting successful outcomes.QA.4避免自满：即使认为有成功的结果，个人也应意识到错误、潜在问题、内在风险可能存在，并做好应对计