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Human Factors and Behavioural Safety This page intentionally left blank Human Factors and Behavioural Safety Jeremy Stranks AMSTERDAM • BOSTON • HEIDELBERG • LONDON NEW YORK • OXFORD • PARIS • SAN DIEGO SAN FRANCISCO • SINGAPORE • SYDNEY • TOKYO Butterworth-Heinemann is an imprint of Elsevier Butterworth-Heinemann is an imprint of Elsevier Linacre House, Jordan Hill, Oxford OX2 8DP 30 Corporate Drive, Suite 400, Burlington, MA 01803 First edition 2007 Copyright © 2007, Jeremy Stranks. Published by Elsevier Ltd, all rights reserved. The right of Jeremy Stranks to be identified as the author of this work has been asserted in accordance with the Copyright, Designs and Patents Act 1988 No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means electronic, mechanical, photocopying, recording or otherwise without the prior written permission of the publisher Permissions may be sought directly from Elsevier’s Science & Technology Rights Department in Oxford, UK: phone (+44) (0) 1865 843830; fax (+44) (0) 1865 853333; email: [email protected]. Alternatively, you can submit your request online by visiting the Elsevier web site at http://elsevier.com/locate/permissions, and selecting Obtaining permission to use Elsevier material Notice No responsibility is assumed by the publisher for any injury and/or damage to persons or property as a matter of products liability, negligence or otherwise, or from any use or operation of any methods, products, instructions or ideas contained in the material herein. Because of rapid advances in the medical sciences, in particular, independent verification of diagnoses and drug dosages should be made British Library Cataloguing in Publication Data A catalogue record for this book is available from the British Library Library of Congress Cataloging-in-Publication Data A catalog record for this book is available from the Library of Congress ISBN-13: 978-0-7506-8155-1 For information on all Butterworth-Heinemann publications visit our web site at http://books.elsevier.com Printed and bound in the UK 0708091010987654321 Working together to grow libraries in developing countries www.elsevier.com | www.bookaid.org | www.sabre.org Contents Preface xiv 1 Human behaviour and safety 1 Definition of ‘behaviour’ 1 The study of human behaviour 1 Cognitive psychology 2 Complexity of human behaviour 3 Factors affecting human behaviour 3 Elements and functions of human behaviour 3 Attitude 3 Motivation 7 Perception 14 Memory 15 Personality 17 Ancestry and social background 22 Experience, intelligence, education and training 23 Attitudes and behaviour 24 Approaches to change 25 The human factors issues 26 Perception of risk 27 Behavioural safety – what does it mean? 28 Perception of risk and its influence on risk-taking behaviour 29 Accident causation 33 Principal behavioural causes of accidents 38 Fault tree analysis 38 Pre-accident and post-accident strategies 42 Accident proneness 46 Unsafe behaviour 46 Conclusions 47 Key points 47 2 Human sensory and perceptual processes 49 Human sensory receptors 49 Sensory perception and messages 50 Perceptual processes 57 The process of perception of danger 57 Information processing 58 Sensory defects 59 Basic screening techniques 59 Perception and the limitations of human performance 59 Conclusions 61 Key points 61 v Contents 3 Organizations and groups 62 Organization theory 62 Features of organizations 62 The survival of the organization 64 Basic organizational structures 65 Formal and informal groups within an organization 66 Work groups 67 Group dynamics 69 Group behaviour 69 Vulnerable groups 70 Leadership as a feature of organizations 72 Classical organization theory 75 Management style 76 The autocrat and the democrat 77 Peer group pressures and norms 78 Types of organizational communication 79 Attitudes to safety and risk management 79 Criteria for risk acceptability (tolerability) 80 Organizational safety culture 84 Health and safety organization 84 Performance monitoring 85 Corporate responsibility for safety 87 The role of the supervisor 88 Conclusions 89 Key points 89 4 People factors 90 What are human factors? 90 The appropriate safety climate 92 The individual differences in people 95 Psychological, sociological and anthropological factors leading to individual differences 96 Human limitations 97 Degradation of human performance 99 The relevance of human factors within the sociotechnical system 100 Individual decision-making processes 101 Individual change 102 Human reliability and human reliability assessment 102 The human causes of accidents 104 The cause–accident–result sequence 105 Human capability and safety – The legal situation 105 Human capability and risk assessment 107 Conclusions 108 Key points 108 5 Perception of risk and human error 110 Perception of risk 110 Perceptual set 110 vi Contents Perceptual sensitization and defence 111 Perception and sensory inputs 111 Filtering and selectivity of perception 113 Optimum bias 114 Risk compensation (homeostasis) 114 Cultural aspects of risk 115 Social amplification of risk 115 Communication of risk 116 Risk perception and communication (HSE) 116 Perceptual expectancy and stereotyping 119 Information processing 120 Skill-, rule- and knowledge-based behaviour 122 Individual behaviour in the face of danger 124 Human error 125 Classification of human error 128 Employee selection processes 131 Use of system responses to help prevent human error 132 A more simplistic approach to human error 133 Contribution of human error to major catastrophes 134 Conclusions 135 Key points 135 6 Organizational control and human reliability 137 The organizational environment 137 Organizational factors 141 Safety organization 141 Organizational and individual goals 143 Integration of organizational goals with those of the individual 143 Systems organization and reliability 144 Types of organization 145 Management systems 146 The reliability of organizational systems 148 Resolving conflict and introducing change 148 Workplace representation 149 Safety Representatives and Safety Committees 150 Health and safety committees 153 Health and Safety (Consultation with Employees) Regulations 1996 157 Employment Rights Act 1996 157 Patterns of employment 158 Home working 162 Conclusions 164 Key points 164 7 Improving human reliability 166 The significance of personal factors 166 Human reliability studies 167 vii Contents Modelling approaches 167 Analytical techniques 168 Technique for human error rate probability (THERP) 170 Scientific management 170 The Hawthorne experiments (Social Man) 172 Stimulus and programmed response 173 Cognitive and learning styles and problem-solving 173 Human reliability modelling 176 Interpersonal relationship studies 176 Motivation and reinforcement – Workplace incentive schemes 177 Reward schemes 177 The decision-making process 178 Decision-making and the operator 180 Benchmarking 181 Benchmarking practice 183 Rules of benchmarking 185 A blame-free culture 185 Personal error reporting 186 System design and organization of work 186 Performance monitoring and auditing 190 Job satisfaction and appraisal schemes 192 Job satisfaction and management style 194 Job satisfaction and self-actualization 197 Job safety standards 197 Job safety analysis 198 The benefits of improving human reliability 202 Conclusion 202 Key points 203 8 Ergonomic principles 204 What is ergonomics? 204 The scope of ergonomics 205 Human engineering 205 Areas of ergonomic study 206 The man–machine interface 206 The team approach to ergonomic studies 207 The employee and work 208 Environmental factors 211 Principal areas of ergonomic study 211 Design ergonomics 212 Principles of interface design 214 Interface design audit 216 Task analysis and task design 218 Anthropometry 219 Anthropometric data 219 Anthropometric design factors 220 The legal requirements 222 viii Contents ‘Cranfield Man’ 225 People and machines 226 Prescribed and reportable diseases and conditions 227 Display screen equipment – The risks 229 Health and Safety (Display Screen Equipment) Regulations 1992 231 Display screen equipment workstation risk assessment 236 Software ergonomics 240 Work conditions, ergonomics and health 242 Conclusion 245 Key points 245 9 Ergonomics and human reliability 246 Ergonomically designed interfaces and control systems 246 Classical error and systems ergonomics 247 Physical stressors and human reliability 249 Fatigue and stress 254 Manual handling 256 Safe manual handling 259 Manual handling risk assessment 260 Manual Handling Operations Regulations 1992 260 Performance shaping factors 264 Conclusions 264 Key points 267 10 Principles of communication 269 What is communication? 269 The purpose of communication 269 The communication process 269 Forms of communication 271 Communication within organizations 271 Functions of communication 272 The direction of communication 272 The communications gap 273 The provision of information 273 Communication on health and safety issues 274 Safety propaganda as a form of communication 276 Communications failure 277 Conclusions 278 Key points 278 11 Verbal and nonverbal communication 279 Verbal communication 279 The art of plain talk 281 Barriers to verbal communication 281 Listening skills 282 ix Contents Questioning techniques 283 Verbal communication on health and safety issues 285 Meetings 286 Nonverbal communication 288 Conclusions 289 Key points 290 12 Written communication 291 Writing style 291 Sentence construction 292 Grammar 292 Choice,

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