Safety Case Handling and Assessment Manual - Roles & Responsibilities
Introduction
1 This section outlines the roles and responsibilities of OSD and HID HQ
Unit staff for the handling and assessment of safety cases.
2 Line managers are responsible for the conduct of all activities in
accordance with the performance standards unless otherwise stated.
Head of Offshore Division
Role
- Ensure that an effective safety case assessment policy is provided
in support of OSD's mission, by a combination of directorate-wide and
sector-specific components, and ensure its implementation.
Responsibilities
- Ensure effective policies are provided for the implementation of the
safety case handling and assessment process.
- Ensure jointly with the Head of HID HQ Unit that the policy on safety
case handling and assessment aligns with overall HID policies for
permissioning.
- Ensure that an organisational structure is in place to respond to the
needs of the safety case regime.
- Maintain effective communication links with industry bodies, trades
unions, other government bodies and others on the safety case regime.
- Represent OSD in the event of a request for review of a non-acceptance
decision.
- Provide adequate resources for safety case handling and assessment.
- Chair the Safety Case Programme Board.
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Head of HID HQ unit
Role
- To develop an overall HID policy for permissioning, reflecting HSC/E
policy and to ensure that OSD's sector-specific safety case assessment
procedures are updated and are in line with policy.
Responsibilities
- Develop an overall HID policy for permissioning, to align with HSC/E
policy in this area.
- In conjunction with Offshore Division, develop and maintain safety
case handling and assessment procedures and instructions, and ensure
resources are available for these purposes.
- Consider alignment between HSC/E and HID permissioning environment
& policies and the policy for offshore safety case handling and
assessment.
- Enable effective stakeholder contribution to permissioning
development.
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Accountable OSD operations manager for safety case handling and
assessment systems
Role
- Manage and monitor the implementation, maintenance and development
of the safety case handling and assessment system as an integral part of
OSD's intervention strategy.
Responsibilities
- In conjunction with HID HQ Unit, develop, maintain, and periodically
review the safety case handling and assessment system. This will
include:
- ensuring appropriate operational policy and guidance is available to
those involved in safety case handling and assessment,
- ensuring the safety case handling and assessment system is fit for
purpose,
- monitoring the arrangements to capture the views and experience of
system users,
- monitoring the implementation of SCHAM, the planning system and
COIN, and
- monitoring the safety case development strategy produced by HID HQ
Unit, and contributing as appropriate.
- Ensure the quality and overall progress of safety case handling and
assessment activities in accordance with SCHAM performance standards on
behalf of the division, liaising as necessary with other operations
managers and team leaders.
- Ensure adequate arrangements are made for the competence of OSD
personnel using the safety case handling and assessment system.
- Ensure effective interfaces between the safety case assessment system,
the inspection system and the enforcement system.
- Represent OSD in discussions with the industry associations on safety
case matters.
- Arbitrate in disputes with regard to the interpretation of text within
the Safety Case Handling and Assessment Manual.
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Operations managers (inspection teams)
Role
- Manage unit resources to ensure sufficient assessment of assigned
safety cases to allow timely decisions to be made on whether they can be
accepted, in accordance with SCHAM performance standards.
Responsibilities
- Ultimately responsible for the regulatory decisions made within the
unit and the quality of the work produced.
- Supervise the development and implementation of unit arrangements for
the handling, management and DCM assessment of safety cases to meet
OSD's objectives.
- Manage resources to ensure adequate availability to meet OSD's safety
case handling, management and DCM assessment plans.
- Ensure compliance with the requirements of the OSD safety case
handling and assessment system, including control and quality of
documentation, COIN records and adherence to performance standards.
- Monitor the assessment of cases where non-acceptance is possible. and
ensure all reasonable efforts are made to resolve outstanding issues,
including personal contact with other operations managers and the dutyholder, and liaison with the HoD.
- Decide on the acceptability of a safety case.
- Participate in the process to resolve differences of view as required.
- Initiate formal second opinion (FSO) procedure when necessary, and
undertake the role of FSO operations manager as required.
- Provide feedback on safety case handling and management progress and
performance to the SCPB, to the operations manager accountable for the
safety case handling and assessment system and to staff.
- Participate in the Safety Case Programme Board.
- Ensure effective communication is maintained between those involved in
assessment, within and outside the unit.
- Contribute to the continuous improvement of the safety case handling
and assessment system.
- Ensure that PAITs are included in dutyholder/installation inspection
plans and progressed as appropriate.
- Ensure that cases are managed to a consistent, auditable standard in
compliance with SCHAM procedures.
- Provide auditors to assist with the safety case audit plan, and ensure
audit findings relevant to the unit are resolved.
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Operations manager (topic teams)
Role
- Manage unit resources to ensure timely completion of sufficient
assessment to support decisions for assigned safety cases in accordance
with SCHAM performance standards.
Responsibilities
- Ultimately responsible for the technical opinions given by the unit
and the quality of work produced.
- Supervise the development and implementation of unit arrangements for
the handling and assessment of safety cases to meet OSD's objectives.
- Manage resources to ensure adequate availability to meet OSD's safety
case handling and assessment plans.
- Ensure compliance with the requirements of the OSD safety case
handling and assessment system, including control and quality of
documentation, COIN records and adherence to performance standards.
- Ensure any generic matters arising from assessment are carried forward
into work plans with the appropriate priority.
- Participate in the process to resolve differences of view as required.
- Participate in the formal second opinion process, including the review
of the FSO report, and undertake the role of FSO operations manager as
required.
- Provide feedback on safety case handling and assessment progress and
performance to the SCPB, to the operations manager accountable for the
safety case handling and assessment system and to staff.
- Monitor the progress of assessment in cases where non-acceptance is
possible, and ensure all reasonable efforts are made to progress
outstanding issues to an acceptable technical conclusion, including
personal contact with other operations managers.
- Participate in the Safety Case Programme Board.
- Ensure effective communication is maintained between those involved in
assessment, within and outside the unit.
- Contribute to the continuous improvement of the safety case handling
and assessment system.
- Ensure adequate guidance is available to topic assessors in the unit
on the technical requirements for an acceptable safety case and on the
assessment process.
- Ensure that cases are assessed to a consistent, auditable standard in
compliance with SCHAM procedures and relevant topic guidance.
- Manage the progression of PAITs identified during assessment.
- Provide auditors to assist with the safety case audit plan, and ensure
audit findings relevant to the unit are resolved.
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Case manager
Role
- Manage assessment of allocated safety cases to ensure appropriate
and timely topic assessor input to the identification and resolution of
matters, and to ensure the accumulation and collation, and recording of
sufficient evidence to support the acceptance recommendation in
accordance with defined performance standards.
Responsibilities
- Manage the multi disciplined safety case assessment activity.
- Appoint for each safety case a suitable deputy case manager (DCM), or
act in that capacity.
- Approve assessment briefs.
- Monitor assessment progress against the key dates in assessment briefs
and implement corrective measures as appropriate.
- Negotiate with TAMs to ensure that adequate resources are available
for the assigned level of assessment work within the agreed plan.
- Ensure matters raised as a result of assessment reflect the 'Assessment
Principles for Offshore Safety Cases [PDF 158KB]' , are clearly understood, prioritised, and incorporated into
inspection plans and enforcement action taken as necessary.
- Ensure the dutyholder is afforded sufficient opportunity to resolve
matters raised on level 1 issue notes.
- Approve all level 1 issue notes, subject to informing the relevant
operations managers.
- Undertake assessment stocktaking review with TAMs.
- Maintain effective interface between safety case assessment,
inspection, and enforcement activities, in accordance with divisional
systems for those activities.
- For installations covered by international treaty arrangements, ensure
that foreign regulators are consulted before significant issues are sent
to the dutyholder.
- Approve the close out report at the end of assessment and make the
acceptance recommendation to the operations manager.
- Participate in the process to resolve differences of view as required.
- Provide assistance to the nominated operations manager in a FSO as
required.
- Contribute to the safety case improvement and review system.
- Direct the safety case coordinator and team admin. in the
administration of assessment activity, data transmittal, information
retrieval and storage.
- Ensure assessment activity is carried out in accordance with the OSD
agreed performance standards/procedures and is properly recorded using
COIN and appropriate hard copy files.
- Maintain effective communications with other case managers to monitor
consistency and quality of assessment approach, reporting through line
management.
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Deputy case manager
Role
- Manage topic assessor input to individual safety cases to ensure
timely identification and resolution of matters, and the timely delivery
of clear, comprehensive and soundly based close out reports to
appropriate quality standards.
[Note: The CM may also undertake the role of the DCM].
Responsibilities
- Obtain advance information on proposed safety case submissions from
dutyholders and inform the SCMST.
- Establish detailed assessment programmes for cases assigned by the CM.
- Undertake an overview assessment of every safety case, based on the 'Assessment
Principles for Offshore Safety Cases [PDF 158KB]'
.
- Develop and agree assessment briefs with CM and Tas.
- Negotiate with TAMs to ensure that adequate resources are available
for the assigned level of assessment work on individual cases.
- Co-ordinate matters raised by TAMs/TAs, for discussion with the dutyholder.
- Where appropriate, assess the SMS topic in the safety case using the 'Assessment
Principles for Offshore Safety Cases [PDF 158KB]'
and relevant topic guidance, provide advice to the CM on the
findings of the assessment and the adequacy of dutyholder's responses
to matters raised, and document the assessment on COIN.
- Conduct and facilitate discussions with the dutyholder on safety case
matters.
- Review responses to issue notes, in discussion with TAMs/TAs.
- Prepare the close out report at the end of assessment for approval by
CM.
- Provide appropriate feedback to TAs regarding the transmission of
matters to the dutyholder, how the contents of TAs' topic completion
reports have been used in reaching the acceptance decision, the timing
of the acceptance decision letter to the dutyholder, etc.
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Topic assessment manager
The TAM shall be the line manager (Band 2) of the topic assessor (TA).
The TAM may additionally undertake the TA role.
Role
- Manage TA input within the topic area to allocated safety case
assessments to ensure timely, technically supportable, and consistent
advice on the raising and resolution of matters, and timely delivery of
assessment completion reports to DCMs in accordance with agreed
performance standards.
Responsibilities
- Responsible for decisions on the adequacy of the relevant topic
content of a safety case, on the raising of matters on level 1 issue
notes and on the adequacy of dutyholder responses to matters raised,
based on advice from TAs.
- Manage the assessment of topics within the topic area of a particular
safety case within the agreed assessment brief.
- Assign work to TAs as appropriate.
- Monitor quality of all work produced by TAs on behalf of their team
against the guidance in the 'Assessment
Principles for Offshore Safety Cases [PDF 158KB]'
and relevant topic guidance such as GASCET [PDF 2.15MB].
- Ensure that all matters needing to be raised on a safety case are
recorded on an assessment case note.
- Approve assessment case notes and ensure that they are sent to the DCM
by the issues raised date given on the assessment brief.
- Draft level 1 issue notes in conjunction with the TA and DCM.
- Liaise with other TAMs on assessment matters.
- Participate as necessary in internal assessment team meetings and
external meetings with the dutyholder on matters raised.
- Participate in the process to resolve differences of view as required.
- Provide assistance to the nominated operations manager in an FSO as
required.
- Co-ordinate, where required by DCM, dutyholder responses to matters
raised and report conclusions to the DCM.
- Undertake assessment stocktaking review with CM.
- Ensure the topic assessor's assessment completion report is compiled
and submitted in accordance with quality and timescale requirements.
- Authorise the topic assessor's assessment completion report.
- Ensure all work within the assigned assessment brief is to the
required format and recorded and filed for future retrievability and
auditability, using COIN and hard copy files.
- Contribute to the safety case improvement and review system.
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Topic assessor
Role
- Provide timely technical advice and opinion to the TAM and DCM
within the allocated scope of assessment for individual safety cases.
Responsibilities
- Agree the assessment required for a specific topic area with the DCM.
- Assess topics in the safety case to an agreed assessment brief to an
agreed timescale, using the 'Assessment
Principles for Offshore Safety Cases [PDF 158KB]'
and relevant topic guidance including GASCET [PDF 2.15MB],
provide advice to the relevant TAM on the findings of the assessment and
the adequacy of dutyholder's responses to matters raised, and document
the assessment on COIN.
Note: Topic assessment to an agreed assessment brief may be performed
entirely by a TAM who has the requisite specialist knowledge.
- Liaise with the TAM and other TAs on assessment matters of common
interest.
- Participate in the process to resolve differences of view as required.
- Provide assistance to the nominated operations manager in an FSO as
required.
- Participate in internal assessment team meetings and external meetings
with the dutyholder on matters raised, as appropriate and agreed by DCM.
- Assess dutyholder responses to matters raised and advise the DCM/TAM
accordingly.
- Ensure all work within the assessment brief is to the required format
and recorded/filed for future retrieval/auditability, using COIN where
specified and, otherwise, registered files.
- Prepare an assessment completion report by the agreed deadline and
forward to the TAM.
- Contribute effectively to the safety case improvement and review
system.
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Safety Case Coordinator (inspection teams)
Role
- To assist CMs and DCMs, in their assessment of safety cases in
accordance with defined performance standards.
Responsibilities
The safety case coordinators are authorised to discharge their
responsibilities by their operations manager.
- Obtain early information on planned safety case submissions from the
CMs and advise OPSDOPUDIS.
- Prepare CM/DCM letters, using standard templates where provided.
- Assist DCMs in distribution of assessment briefs.
- Process safety case-related post and emails from dutyholder and
assessment team. Disseminate and action as necessary.
- Monitor and as necessary record case assessment progress against key
dates in the agreed assessment brief or a subsequent case note.
- Arrange meetings and provide support for dutyholder and topic
assessor meetings.
- Assist in the administration of the raising of matters including the
drafting of case/issue notes.
- Input case and issue notes onto COIN as instructed by the CM/DCM.
- Facilitate timely receipt of TAs' assessment completion reports
through liaison with TAs.
- Assist the DCM in preparation of close out reports.
- Prepare the assessment decision letter and deliver it to the DCM.
- Provide information as required to assist in formal second opinion and
resolving differences of view procedures.
- Update and finalise the close out pack for final signature by CM and
pass to the SC distribution officer for filing.
- Update and finalise COIN records i.e. ensure COIN records are at the
appropriate status once the safety case has been accepted.
- Contribute to the continuous improvement of the safety case handling
and assessment system.
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Safety case coordinator (topic teams)
Role
- To assist TAMs and TAs, in their assessment of safety cases in
accordance with defined performance standards.
Responsibilities
The safety case coordinators are authorised to discharge their
responsibilities by their operations manager.
- Process safety case-related post and emails from dutyholder and
assessment team. Disseminate and action as necessary.
- Monitor and facilitate case assessment progress against key dates in
the assessment brief or subsequent case note.
- Arrange meetings and provide support for DH and TA meetings.
- Assist in the administration of the raising of matters including the
drafting of case/issue notes.
- Input case and issue notes onto COIN as instructed by TAM/TA.
- Provide information as required to assist in formal second opinion and
resolving differences of view procedures.
- Update and finalise COIN records i.e. consult with TAM regarding COIN
records which are NOT at the required status once the safety case has
been accepted so that status can be changed as appropriate.
- Contribute to the continuous improvement of the safety case handling
and assessment system.
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Legal and operational strategy team
Role
- Lead and implement improvement initiatives for the safety case
handling and assessment system.
Responsibilities
- Contribute to the improvement and review of the safety case handling
and assessment system.
- Chair Safety Case Assessment System User Group (SCASUG) meetings in
conjunction with the OSD permissioning desk officer in HID HQ Unit.
- Manage user input to the safety case handling and assessment system by
acting as a focus for user comments and by consulting SCASUG.
- Liaise with the OSD desk officer in HID HQ Unit regarding maintenance
of the SCHAM Manual.
- Manage the decisions/FSO log.
- Participate in the SCPB.
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HID HQ unit permissioning policy team leader
Role
- In conjunction with sector interests, lead on improvement
initiatives for the Safety Case Handling and Assessment Manual, and
ensure its proper maintenance.
- In conjunction with sector interests, lead on HID improvement
initiatives related to assessment of safety cases.
Responsibilities
- In conjunction with Offshore Division, develop, maintain and
periodically review the Safety Case Handling and Assessment Manual. This
will include:
- monitoring the arrangements to capture the views and experience of
system users;
- monitoring the effectiveness of SCHAM procedures;
- considering the wider aspects of HID-wide and HSE-wide permissioning
policy and its potential impact on SCHAM.
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HID HQ unit offshore permissioning desk officer
Role
- Provide support to the permissioning policy team leader and OSD's
implementation of the offshore safety case regime, through provision of
appropriate procedures and guidance relating to the safety case
assessment process.
Responsibilities
- Maintain and develop SCHAM and COIN procedures and non-technical
guidance, ensuring alignment between OSD-specific and HID-wide
requirements.
- Liaise with OSD personnel regarding maintenance and improvement of
SCHAM.
- Provide a focal point for receipt of, and response to, SCHAM user
comments.
- Attend SCASUG meetings and act as alternate chair.
- Participate in the Safety Case Programme Board.
- Contribute to training of OSD staff in SCHAM procedures.
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Safety case distribution officer
Role
- Act as a central focus for receipt and timely distribution of
safety cases and the permanent retention of key hardcopy assessment
records.
Responsibilities
- Receive and record safety cases from dutyholders, and distribute
copies to assessment team members in accordance with the safety case
plan.
- Provide information to DIS on actual receipt dates of safety cases for
safety case plan updates.
- Secure the long term archiving of safety cases and implement the OSD
retention policy for such records.
- Participate in safety case improvement and review relating to
administration procedures and guidance.
- Maintain the precedential decisions/Formal second opinion log.
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OPSD OPU DIS (data and information services team)
Role
- Administration of the safety case planning and monitoring system,
including relevant parts of COIN.
Responsibilities
- Operation, maintenance and development of the relevant parts of COIN,
the safety case plan and associated spreadsheets and reports.
- Co-ordinate planning information to OSD management to assist them in
effective safety case handling, assessment resource planning and
allocation of staff to meet assessment objectives.
- Obtain progress data from those involved in safety case handling and
assessment and summarise it for the SCPB.
- Provide secretarial support to SCPB, SCASUG and safety case
coordinator meetings.
- Provide support to COIN users regarding safety cases, including acting
as system administrator.
- Co-ordinate back up systems on implementation of the disaster recovery
plan.
- Participate in safety case improvement and review relating to
administration procedures and guidance.
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Safety case assessment system user group
Role
- Stimulate and review changes to improve the effectiveness and
efficiency of the safety case handling and assessment system.
Responsibilities
- Where time permits, canvass views of peers with regard to proposed
changes in safety case handling and assessment system including policy,
organisation, procedures, and supporting IT systems and ensure the
accountable manager and HID HQ Unit are made aware of those views, by
commenting on draft circulars and Manual revisions as appropriate.
- Ensure views of staff are fully and accurately represented at SCASUG
meetings including suggestions for improvements in existing
arrangements.
- Liaise with other SCASUG representatives as required to consider
proposed changes.
- Provide feedback to site staff with regard to the outcome of SCASUG
meetings.
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Safety case programme board
Role
- To promote and maintain an effective and efficient safety case
handling and assessment business process through monitoring the
operation of current systems whilst striving for a continuing
improvement.
Responsibilities
- To provide a high level overview of the safety case assessment
process, to promote full compliance with OSD policies and procedures
across the division by:
- Establishment of a culture of 'inclusive' team working through the
encouragement and recognition of examples of good practice.
- Endorsement of the DIS/OBST annual programmes of work for development
and improvement of policies and procedures and the competency of staff.
- Consideration and approval of an annual safety case audit programme and
the consideration of audit findings to assist the maintenance and
improvement of policies and procedures.
- To note circumstances and the resolution of instances of a difference
of professional view by means of a regular review of the safety case
precedential decisions log.
- To review the handling of difficult or finely-balanced cases and to
consider whether changes are necessary to policies or procedures in the
light of the lessons learnt from the assessment process.
- To consider all significant instances of non-compliance with the APOSC [PDF 158KB] principles or SCHAM procedures, to agree the underlying reasons for such occurrences and to endorse remedial actions.
Membership
The SCPB members are:
- OSD Head of Division
- OSD Operations Managers
- Operational Support Unit member
- Legal & Operational Strategy Team member
- Offshore permissioning desk officer or other HID HQ Unit member
Process
- The SCPB will meet every four months as part of the Divisional
Management Board. The SCPB will be taken as an agenda item at the meeting.
- DIS will compile a performance report for each team in conjunction with
the SCCs. They will copy the report to the OSD operations managers and
pipelines unit manager in advance of each SCPB.
- DIS will prepare a summary of the performance highlight reports and
circulate it to SCPB members for discussion at the meeting.
- The SCPB will determine actions required to address any concerns,
shortcomings or other matters.
- DIS will agree meeting agendas with the SCPB chair and progress agreed
actions arising.
Output
- An annual report summarising the main findings and actions of the SCPB.
