Human and Organisational Factors (HOF)

According to the International Ergonomics Association, “ergonomics (or human factors) is the scientific discipline concerned with the understanding of interactions among humans and other elements of a system, and the profession that applies theory, principles, data, and other methods to design in order to optimize human well-being and overall system performance”.

The term "organisational" has been introduced to highlight the organisational level of analysis and not only the individual level although obviously organisations are composed of individuals. HOF is often referred to as either Human Factors (HF) or Ergonomics. All three terms have a similar definition and focus on interactions.

Besides supporting the integration of safety at the design stage, the HOF approach provides concepts and methods to identify the gaps between the task (work as prescribed or expected), and the activity (work as actually performed or experienced and reported by workers). These gaps, whether concerning the task or/and the activity are problematic as they are a source of residual risk and need to be taken into account. This allows a better managing of workplace reality in complex organisations such as railway socio-technical systems, which is critical to lead to safety improvements.

Human and Organisational Factors (HOF) are at the heart of safety operations and management. They even play a key role in both Operational Safety and Occupational Safety. In HOF the most important principle is to keep in mind the end-users, their capabilities, their limitations and their real life/actual working conditions. In a company, each staff member should be involved in integrating HOF, even though the impulse has to come from the top management that has to lead by example. The company has to identify all the safety related tasks that should be more focused and raise awareness of the people performing this task. HOF integration should also cover all contracted activities: contractors, designers and suppliers.

HOF Legal Framework

Concerning the railways, the main legislation is composed of:

• Two directives that are to be transposed in national legislation refer to the obligation to take HOF into account: 
  • Directive 89/391 on the introduction of measures to encourage improvements in the safety and health of workers at work and 
  • Directive 2016/798 on railway safety that imposes to railway undertakings and infrastructure managers to integrate human and organisational factors in their safety management system.
• Regulation 2018/762 establishing common safety methods on safety management system requirements that has reinforced this latter obligation by imposing to include HOF in risk assessment and mandating the demonstration from the organisation to have a systematic approach to integrating HOF within their SMS. 
• Regulation 2020/572 on the reporting structure to be followed for railway accident and incident investigation reports.

This approach includes:

• (a) the development of a strategy and the use of expertise and recognised methods from the field of human and organisational factors;

• (b) addressing risks associated with the design and use of equipment, tasks, working conditions and organisational arrangements, taking into account human capabilities as well as limitations, and the influences on human performance.

  Human and Organisational Factors within the 4th Railway Package

HOF 5x5 Model

There are various HOF models, some of which have been published and used for several decades. The key element for continuous improvement is to use a model from which you can ask questions when managing risks or changes, when defining supports and resources to operate, when monitoring, when investigating, when designing or reengineering tools or procedures etc. The HOF 5×5 is a recent model developed with railways professionals (staff and managers) which contains 5 categories of 5 factors. It aims at facilitating questioning about the interactions between the system and the human capabilities and limitations. 

The HOF 5×5 is neutral on the concept of human error and prefers the notion of performance variability. It includes important topics that are more relational. Its structure also makes it possible to distinguish between factors that are more dynamic or static, and between factors more related to the situation or to the staff. This is to take into account the fact that safety-related activities are dynamic and take place in real time, but also that they are prepared, organised and decided beforehand, in a more static situation. This model allows one to consider that there are no "isolated" individuals in organised systems defined by layers of contributions and responsibilities, as is the case in our regulated socio-technical railway system.>

The Agency uses this model for its trainings and tools developed for the Railway sector. The HOF 5x5 model is also used as a taxonomy for the contributing factors (as defined in Article 2 of Regulation (EU) 2020/572) referred to in the recommendation for the common safety methods for assessing the safety level and the safety performance (CSM ASLP) of railway operators at national and Union level. To comply with the current EU legal framework for Railways (e.g.: article 4 of Directive 2016/798, Regulation (UE) 402/2013, Regulation (UE) 2018/762) and increase their performance, railway stakeholders can use this model to identify the interactions and better detect and manage their influences within the SMS:

• Analysing and Assessing risks and defining risk control measures (including resources, tasks, objectives, procedures…),
• Implementing risk control measures, 
• Monitoring activities and effectiveness of risk control measures, 
• Investigating near-misses or more serious occurrences, 
• Continuous improvement and improving safety culture.

HOF Essentials in Practice

HOF in Automation

HOF in Change Management

RailHOF