Different types of safety responsibility

A basic principle of ESM is that those whose activities create a risk should be responsible for managing and reducing that risk. This implies that safety responsibility should be an integral part of the responsibilities of general management and not divorced from responsibilities in other areas. These activities may be related to a particular system or piece of equipment (such as development, operation, maintenance, or modification), or to the provision of resources or information.

The safety responsibilities related to these activities may include reducing the risk of component failure, providing accurate technical manuals, ensuring that maintenance is performed in a timely and efficient manner, and so on. Whatever the activity may be, it is important to:

• clearly define the safety roles and responsibilities;

• gain agreement from all parties on their allocation; and

• pass on any relevant safety-related information.

When responsibility for the system’s operation is handed over to another party, risk may then be created by the organisation accepting the system, and therefore some safety responsibilities are also transferred. However, the organisation transferring responsibility will retain accountability for the work it did in the past. An organisation also needs certain ESM roles that are independent of any particular project.

Their responsibilities will include setting safety policy and safety goals, defining other safety responsibilities, granting authority and approval, providing resources, and establishing communication channels. Safety roles and their responsibilities should be regularly reviewed to ensure that they are still relevant.

An organisation performing safety-related work will commonly appoint a senior person as Head of Safety, responsible for dealing with general safety issues throughout the organisation. They will typically have a high level of authority within the organisation and considerable operational experience and technical knowledge. Transport Operators, organisations which manage infrastructure or operate trains, will usually appoint an officer with such responsibilities in order to meet their legal obligations.

Their role is to promote ESM within the organisation, and to ensure that the work produced by the organisation meets the required safety standards. They will also report on any shortcomings in safety, and provide independent advice on safety issues. The Head of Safety’s responsibilities may include:

• setting, maintaining and monitoring safety policy;

• ensuring that a Safety Management System is effectively implemented and maintained;

• agreeing the safety classification of projects;

• endorsing key safety documentation;

• monitoring the ESM performed; and

• appointing Independent Safety Auditors and Assessors.

For larger organisations, there may need to be multiple Heads of Safety, with knowledge and experience in different areas. The people carrying out this role will not necessarily have ‘Head of Safety’ in their job title. The role may be carried out by people with other titles such as ‘Chief Engineer’ or ‘Safety and Standards Director’.