Data Management Best Practices of Complex Socio-technical Systems: A Review of U.S. Mining Safety and Health Management

"Sociotechnical systems are everywhere in the modern industrial world. Sociotechnical systems describe how humans interact with technology throughout a variety of processes. These systems are prevalent in modern industrial settings, such as operating mines. Safety and health management systems (SHMSs) are complex sociotechnical structures designed with the aim of managing and reducing occupational risk. U.S. mining companies are voluntarily adopting SHMSs to supplement regulatory safety compliance efforts. Like all complex sociotechnical systems there are a wide variety of approaches and adoption philosophies around a SHMS. Many SHMSs suffer from high levels of redundancies, which manifest themselves in diverse ways: duplicate processes, forms, permits, and tracking mechanisms. These redundancies have severe impacts on the overall system and absorb critical culture and leadership “energy”. A recent study initiated by the University of Utah and sponsored by the Alpha Foundation is investigating the effectiveness of SHMSs across 15 different U.S. mining sites. A large amount of data has been captured to help characterize elements of SHMSs and correlate their impacts on safety outcomes. Many variables were assessed in the study. Those of importance to this paper are the variables describing the robustness of the sociotechnical aspects of the SHMS. Two such variables are the overall integration of the SHMS within the whole system and how data is managed. Data management in this context deals with the approach to capturing, analyzing, and acting on data within the system. As well, systems are integrated around controlled, data-sharing mechanisms. It has been found that wide variety of approaches has been taken to integrate the SHMS within the governing management philosophy at a given site. A series of case studies is presented that develop some specific best practices for proper data management and integration of SHMSs.Introduction and Project Background Managing occupational health and safety can be done in many different ways, and with many different approaches, but is often based on the host country’s regulatory and industrial culture. However, many companies have extended their effort beyond the regulatory requirements of their host nation and have implemented Safety and Health Management Systems. The goal of these efforts is to reduce and eliminate occupational risk. Many health and safety practitioners have a hard time justifying various elements of health and safety management. There is a lack of institutional knowledge that measures and assesses the effectiveness of these Safety and Health Management System (SHMS) elements. To better understand the effectiveness of SHMSs the Alpha Foundation has funded a research project with the University of Utah. The title of the project is “Characterization and Effectiveness of Safety and Health Management Systems in the U.S. Mining Industry.” The research team will assess the SHMSs of 15 United States mine sites. The outcome of the project will be a method to characterize the strength of the SHMS elements, assess a culture and leadership index, and finally establish correlations between elemental risk and safety outcomes. The study is currently in progress. However, many important outcomes have already been observed, particularly on the data management practices within an SHMS."