Safety Authority, Responsibility, and Accountability

The CEO, in conjunction with the general managers and the human resources department, handed out written safety authority, responsibility, and accountability documents 

At this stage a legal compliance audit was conducted and the findings and report were submitted to the CEO. Nonconformances were tabled at the first executive safety meeting, and action plans were made to comply with local safety and health laws. 

The safety executive committee discussed and gave final and full approval for the implementation of the safety system and pledged to support its implementation throughout the company. This was a major breakthrough, which could not be made from the safety department. Only the executive leadership could have made this decision and followed through. 

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The next phase of the shift process will involve listening to employees as far as safety is concerned, and then focnsing on an employee development action plan that will help empower them in safety issues. Of vital importance is the assignment of safety authority, responsibility, and accountability at all levels throughout the organization. 

The purpose of a safety management system is to assist management in developing and operating a system to prevent and control accidental loss, get managers and employees involved in safety activities, and increase the effectiveness of operations within the organization. A system also defines safety authorities, responsibilities, and accountabilities and sets standards for various aspects of safety, health, and environmental protection. 

The three management terms above are widely used but seldom understood. In presenting workshops around the world I have asked numerous groups if they understood the difference and interrelationship between authority, responsibility, and accountability, and they had admitted that a refresher would be welcome. Since these are the most important assignments in the safety management process, some clearer definitions are given here. 

Following is an example of a safety system standard clearly spelling out levels of authority, responsibility, and accountability at all levels. The specific and applicable details were issued to each person on pre-written letters that were then signed by the CEO. 

Delegate authority, responsibilities, and accountability to employees and management at various levels in the organization for certain aspects of the safety management system... 

The most important part of implementing a safety system is that once authorities, responsibilities, and accountabilities have been established, standards that are the guidelines for risk identification and control should be established. Standards are established for items and areas that could be areas of potential loss. A safety system should comprise at least 70 standards, which exclude the permits, forms, and checklists that are required to meet the standards. Standards should be set inter alia ... 

Employees should be empowered to take part in safety decisions and to participate in the safety management system. Part of this is the establishment of employee authority, safety responsibility, and accountability for all levels. One of the best methods for employee empowerment is a facilitated workshop where management is encouraged to talk to the employees. This should be held in a safe space. The facilitator asks employees to list the things that could be done to improve safety at the plant, and what hampers safety in the workplace. Once a list is compiled, the attendees are asked to list what actions are needed to rectify the identified stumbling blocks and also to assign responsibility for those actions. Once the critical few hazards have been isolated, commitments are made to take action to rectify either the behaviors or conditions to eliminate the listed potential accidents. It is simply a matter of the employees tell us how we can improve safety. ... 

Employees should be empowered to take part in safety decisions and to participate in the safety management systan. Part of this would be the establishment of employee authority, safety responsibility, and accountability for all levels. 

To define the safety health and environmental (SHE) responsibilities, accountabilities, and authority to act from the CEO to all subordinate line managers and employees, and further, to appoint all levels of management responsible, and accountable, for the implementation of the company safety system, in their areas of responsibility. 

These accountabilities therefore designate leadership at all levels within the company as responsible and accountable for safety and health of their respective areas, and within their levels of authority. 

The level of responsibility and accountability of the fire safety manager will need to reflect the organisation however, any safety management structure should provide for clear lines of responsibility, authority, accountability and resources, in particular in relation to common areas within multiple occupied buildings/premises. 

Another common element of a safety and health program is for management to allow safety to be a line function. This means giving supervisors and managers the authority they need to oversee that work is done safely. Often safety is structured as just a staff function, which means the safety manager is responsible and accountable for safety, but yet has no real authority to carry out the duties. What you want to work toward in most cases is a line from top management down to carry out the safety function. That does not mean there should NOT be a safety director or manager position. Quite the contrary. But, that person needs to be a resource to the company, not necessarily the performance overseer. 

Besides setting the culture through their own behavior, managers need to establish the organizational safety policy and create a safety control structure with appropriate responsibilities, accountability and authority, safety controls, and feedback channels. Management must also establish a safety management plan and ensure that a safety information system and continual learning and improvement processes are in place and effective. 

A safety control structure with appropriate assignment of responsibility, authority, and accountability... 

Safety delegation is what a manager does to entrust safety responsibility and give safety authority to his subordinates, while at the same time creating accountability for safety achievements. 

Safety accountability is when a manager is under obligation to ensure that safety responsibility and authority is used to achieve both safety and legal safety standards. Employees too have safety accountabilities in proportion to their safety authority. 

The function of all safety departments and personnel should be to guide, educate, train, and motivate all levels of management, workers, and unions in the techniques of accident and disease prevention, and to advise and coordinate the safety system (GETMAC). This should be a staff function and not a line function (see Figure 5.1). All employees have some safety responsibility, but management, senior and line, has ultimate safety authority, and therefore is ultimately accountable. The safety department cannot, and should not, be held accountable for the safety performance of an organization. This has been stated by a number of safety authors, yet safety departments traditionally drift back to managing the safety of others. 

The higher up the organizational structure and the higher the level of authority, the more the responsibility is and the more the accountability is. This is why one must caution when stating that everyone is responsible for safety. Everyone is responsible for safety, but the responsibility (and accompanying accountability) differs from level to level within the company, depending on authority. One cannot be held responsible and consequently accountable for something over which one does not have authority. 

Safety departments cannot be held accountable for the safety of employees over whom they do not have authority. Everybody is responsible for safety within his or her area of responsibility and has appropriate authority. Top management is responsible for all the departments, people, and resources reporting to them, and middle management likewise. Employees are also responsible for safety within their sphere of authority. 

A safety culture is an accountable culture, and the overarching accountability is to those served. Accountability is the specihc translation of responsibility. Whereas responsibility involves the authority and ability to make decisions and act independently, accountability entails the requirement of responsibility for specific conduct, behaviors, and duties. Mechanisms of accountability help create a culture of patient safety. It is the role of leaders to ensure that the following mechanisms are established ... 

As noted in Chapter 32, safety begins in an organization with a policy stating the importance of safety. It assigns responsibility, authority, and accountability. Extensions of the policy are procedures that detail implementation. 

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