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Seminar 5 Safety Management System. 6 June 2006. Mike Connell Dannae Campbell Sarah Sinclair Wayne Williams. What is a Safety Management System?. “An orderly arrangement of interdependent activities and related procedures that drives an organisation’s performance.” 1996

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Seminar 5 safety management system

Seminar 5Safety Management System

6 June 2006

Mike Connell

Dannae Campbell

Sarah Sinclair

Wayne Williams


What is a safety management system
What is a Safety Management System?

  • “An orderly arrangement of interdependent activities and related procedures that drives an organisation’s performance.”

    1996

  • “A Safety Management System is an integrated set of work practices, beliefs and procedures for monitoring and improving the safety and health of all aspects of your operation.”

    CASA, July 2002


What is a safety management system1
What is a Safety Management System?

  • “That part of the overall management systems which includes organisational structure, planning activities, responsibilities, practices, procedures, processes and resources for developing, implementing, achieving, reviewing and maintaining the OHS policy, and so managing the risks associated with the business of the organisation.”

    AS/NZS 4801, 2001


What is a safety management system2
What is a Safety Management System?

What do we make of this?

  • A mixed bag

  • Software not hardware (paper warfare)

  • Can be repetitive or mundane

  • But VITALLY important!!


Security

Policy

Safety

Policy

Road Safety

Plan

Alcohol

& Drugs Policy

Audit

Plans

Safety Drills

What is a Safety Management System?

Continuous

Improvement

Policy

Mgt.

policy

Process

Safety (HSE Cases)

Task

Structure

No Structure

5


Our challenge today
Our Challenge today

  • Explain what is needed under the Regulations

  • Show what makes a good SMS

  • Reconfirm the importance of the SMS at a MHF

  • Show what to look for in Round 2 review and revision of the SMS

  • AND make it interesting!!


Program for today
Program for today

  • Regulations

    • What do they ask for?

    • What does WorkSafe look for?

      Break

  • SMS approaches in use at MHF’s

  • SMS elements required for risk control

  • Questions

    Break


  • Program for today1
    Program for today

    • Case Study of SMS element failure

      (Piper Alpha)

    • Experience from Round 1 and Annual Inspections

      Break

    • Auditing and Performance Monitoring

    • Operator presentation – Round 2 review & revise SMS

      Melbourne Water Ms Charmaine Quick

    • Guidance for Round 2 submission

    • Questions


    Safety Case Assessment

    and the MHF Regs


    What is safety case assessment
    What is Safety Case Assessment?

    A process which uses desktop assessment and onsite verification to see if you comply with the regulations.

    i.e. meet the performance standard

    Our performance standard for assessing your SMS:

    The MHF regulations and known SMS Standards which you may subscribe to. (eg. Australian Standards, your own corporate policies)

    Our assessment tools: Focus Rule 7 – Safety Management Systems, Focus Rule 8 – Safety Case Demonstrations and your

    own SMS KPI’s


    Why do worksafe verify the sms
    Why do WorkSafe verify the SMS?

    Verification obtains evidence to show that your SMS is implemented and functional as you describe it.

    We also verify that your employees

    • have access to the SMS

    • understand their duties in following procedures

    • have been provided information, instruction and training

    • where practicable have been consulted in SMS development/ changes

    • have been involved in review/revise process


    Examples of information needed to assess verify your sms
    Examples of information needed to assess & verify your SMS

    • Your SMS summary and selected procedures

    • Samples of auditing and proof of corrected non conformances

    • Proof of monitoring of SMS KPI’s

    • Work Safe’s observations from oversight and annual inspection

    • Review of changes as a result of the review and revise

    • Training records

    • Interviews with your employees, contractors and HSR’s

    • Position descriptions

    • Contractual details if the management of control measures is outsourced


    Why do worksafe perform these processes
    Why do WorkSafe perform these processes ?

    Because ofyour needto

    demonstrate compliance

    before you can get a licence

    What are the drivers for demonstration?


    Drivers for demonstration the ceo signed statement
    Drivers for demonstration - The CEO signed statement

    Reg 402(3)(a) and (d)

    A Safety Case must contain a signed statement by

    which the operator certifies that -

    The summary of the SMS is an accurate summary

    The persons who participate in the implementation of

    the SMS have the knowledge and skills necessary to

    enable them to perform their allocated tasks and discharge

    their allocated responsibilities in relation to the SMS


    Drivers for demonstration - Granting of a licence

    803(1)(a)

    The Safety case has been prepared in accordance

    with regulation 402

    Reg 402

    The content of the safety case must be sufficient

    for the purposes of

    (a) Demonstrating that the safety management system provides a comprehensive and integrated management system for all aspects of control measuresadopted in relation to hazards and major incidents

    Have you given your assessor enough information for them to confidently state that demonstration is adequate?


    Because worksafe can suspend or cancel licences
    Because WorkSafe can suspend or cancel licences

    Regulation 808(2)

    The Authority may suspend or cancel a licence if the Authority is satisfied that -

    (a) The SMS for the licensed MHF no longer provides a comprehensive and integrated management system for all aspects of control measures adopted in relation to hazards and major incidents


    Granting of licence
    Granting of licence

    The Authority may grant a licence if,

    803(1)(b)

    The applicant has complied with provisions of part 3 of the Regs;

    Part 3 of the MHF regs:

    SAFETY DUTIES OF THE OPERATOR


    Safety duties of operators
    Safety duties of operators

    Regulation 301(1)

    The operator of a major hazard facility MUST ESTABLISH and IMPLEMENT a SMS for the major hazard facility

    When is your SMS established?

    When is your SMS implemented?


    Safety duties of operators1
    Safety duties of operators

    Regulation 301(2)

    The operator MUST USE the Safety Management System as the PRIMARY MEANS of ensuring SAFE OPERATION of the Major Hazard Facility

    Does not say ‘preventing Major Incidents’

    What does “primary means” mean to your site?


    Safety duties of operators2
    Safety duties of operators

    Regulation 301(3)

    The Safety Management System so established MUST

    • provide a COMPREHENSIVE and INTEGRATED management system for all aspects of CONTROL MEASURES adopted under Part 3

      (b)be DOCUMENTED

      (c)Be so set out and expressed that its contents are readily ACCESSIBLE and COMPREHENSIBLE to persons who use it

    Are you confident that your SMS supports your CM’s for all aspects?

    Is your SMS providing comprehensive (effective) management of your control measures?


    Safety duties of operators3
    Safety duties of operators

    Reg 301(4)

    The SMS MUST

    STATE the operator’s safety POLICY, including the operator’s broad

    AIMS in relation to the SAFE OPERATION of the major hazard facility;

    State the operator’s SPECIFIC safety OBJECTIVES;

    DESCRIBE the SYSTEMS and PROCEDURES by which

    these OBJECTIVES are to be ACHIEVED;

    Describe how COMPLIANCE with PART 3 & PART 5 is to be achieved;

    (part 3: Safety duties of operator), part 5 (consulting, informing instructing and training)

    INCLUDE all matters specified in SCHEDULE 2


    Safety duties of operators4
    Safety duties of operators

    Schedule 2 – Additional matters to be included in the SMS

    Safety policies and objectives

    Organisation and personnel

    Operational controls

    Compliance with part 3 & part 5 of the regulations

    Management of change

    Principles and standards

    Performance monitoring

    Audit

    Performance monitoring and

    Audit will be covered later in this presentation


    Safety duties of operators5
    Safety duties of operators

    Reg 301(5)

    The operator must REVIEW and as necessary REVISE the Safety Management System if

    • a MODIFICATION is made to the major hazard facility;

    • a MAJOR INCIDENT occurs at the major hazard facility;

    • whether or not the circumstances mentioned in paragraph (b) or (c) occurs, AT LEAST ONCE EACH 5 YEARS.

      To what extent are you going to review/revise your SMS?

      Document this in your review/revise plan


    Safety duties of operators6
    Safety duties of operators

    Reg 307(1)(d) Safety roles for employees

    The operator of a MHF must develop a role for the operator’s employees including the specific procedures they would be required to follow to assist the operator in relation to

    Establishing and implementing a SMS under regulation 301.

    Who writes and/or updates your SMS?

    Who implements your SMS?

    Who is responsible for making sure your SMS is adhered to?


    Interpretation of terms
    Interpretation of terms

    Comprehensive?

    Describes the way that all safety issues including control

    measures are managed

    Clear link between CM management and the SMS

    Integrated?

    The structure is logical, systematic

    Logical tie-ins to other management systems

    Corporate systems do not contradict onsite systems

    Comprehensible?

    Abbreviations and terms used mean something to employees

    Consideration of language issues


    Interpretation of terms1
    Interpretation of terms

    Implemented?

    Procedures are approved and in circulation

    Evidence is available – completed forms and/or checklists

    Employees are trained and knowledgeable

    Accessible?

    Employees are aware how to obtain the most up to date or relevant procedures

    Employees can obtain the SMS information needed to support control measures


    Consulting informing instructing and training
    Consulting, informing, instructing and training

    Reg 501 Consultation with health and safety representatives

    501(1)(d)

    The operator of a MHF who is establishing and implementing a SMS under regulation 301 must if practicable consult with the HSR of each designated work group to which the operator’s employees belong

    What has happened now with the new Act?


    Oh s act 2004 duty of employers to consult
    OH&S Act 2004 – Duty of employers to consult

    Part 4, section 35(1)

    Duty to consult is now wider than MHF regulations originally intended for SMS

    Where practicable employers need to consult with employees* on:

    • Proposed changes about conduct of work

    • Provision of information/ training

    • Identifying/assessing hazards

    • Making decisions about controls

      * Employee includes, independent contractors and any employees of independent contractor


    Consulting informing instruction and training
    Consulting, informing, instruction and training

    502(1) (d)

    The operator of a MHF must provide their employees with such information, instruction and training in relation to

    • the content and operation of the SMS generally as are necessary to enable the employees to perform their work in a manner that is safe and without risk to health


    Consulting informing instruction and training1
    Consulting, informing, instruction and training

    503 (b)

    Further information and access to documents

    The operator of a MHF must ensure that the SMS, the SC and the Emergency Plan or copies of these documents are readily accessible to the operator’s employees

    Are you confident that your employees always have easy access to the most up

    to date information?


    Duties of employees
    Duties of employees

    Reg 601 (1) (a)

    An employee at a MHF must follow the operators procedures relating to the prevention and control of major incidents within the MHF

    Your SMS should tell your employees what they

    have to do to remain safe!


    The safety case
    The Safety Case

    Reg 402(1)(a)

    Content of the SC

    A safety case prepared or revised under this Part must –

    Contain a summary of the content of the SMS

    established under regulation 301

    Are you satisfied that your summary adequately

    describes how your SMS works?


    The safety case1
    The Safety Case

    Reg 402(1)(c)

    Include the information specified in schedule 4

    A statement as to how existing control measures and the SMS are capable of maintaining safe operation of the MHF

    At all points in the SC where the matter addressed is covered by the SMS a clear reference to the relevant part of the documented SMS

    A description of those parts of the documented SMS which address the maintenance of the SMS (that is, its ongoing effective implementation and its ongoing improvement)

    The SC describes your SMS and justifies

    decisions based on assessment of risk


    Safety management systems

    Safety Management Systems

    Theory & Practice

    Sarah Sinclair

    Business Improvement Unit, WorkSafe Victoria


    Definition of a management system
    Definition of a Management System

    • Orderly arrangement of interdependent activities and related procedures that drives an organisation’s performance

    • SMS - controlling risk through a management process


    AS 4801

    OH&S

    Environmental

    Policy

    Policy

    Planning

    Planning

    Implementation

    Implementation

    & Operation

    & Operation

    Checking &

    Checking &

    Corrective Actions

    Corrective Actions

    Measurement

    & Evaluation

    Management

    Management

    Review

    Review

    Common Elements of Management Systems

    ISO 14001 Environmental Management Systems

    BS OHSAS 18001 Safety Management Systems


    Ohs management system model as 4801

    Continual

    Improvement

    OHS Policy

    Planning

    OHS Management System Model - AS 4801

    Management

    Manageme

    Review

    Revie

    nt

    g

    g

    Implementation

    Implementation

    Measurement

    Checking

    & Operation

    Correctiv

    & Evaluation

    &

    Actio



    Orderly Arrangement - Key Elements of a SMS

    Policy

    Effective health and safety policies set a clear direction for the organisation to follow.


    Orderly Arrangement - Key Elements of a SMS

    Organising

    An effective management structure and arrangements are in place for delivering the policy.


    Orderly Arrangement - Key Elements of a SMS

    Planning

    There is a planned and systematic approach to implementing the health and safety policy through an effective health and safety management system.


    Orderly Arrangement - Key Elements of a SMS

    Measuring Performance

    Performance is measured against agreed standards to reveal when and where improvement is needed.


    Orderly Arrangement - Key Elements of a SMS

    Auditing and Reviewing of

    Performance

    The organisation learns from all relevant experience and applies the lessons.


    More simply

    PLAN

    DO

    ACT

    CHECK

    More simply….

    Health & Safety


    Activity

    OH&S

    Policy

    Planning

    Implementation

    & Operation

    Checking &

    Corrective Actions

    Management

    Review

    Activity

    • Allocate all Schedule 2 SMS requirements into the key elements of your SMS (regardless of what you call the key elements)


    Frequently asked questions

    Answers….

    Frequently Asked Questions

    • How big should the SMS be?

    • What should the SMS be called?

    • Should the SMS be integrated with other systems eg quality?

    • How many topics/groupings should there be in the SMS?

    • Should the SMS be on paper or electronic?

    Be appropriate for your site


    History of your sms

    Which SMS is best?

    History of your SMS?

    • Corporate (appears from on high)

    • Built from ground up

    • Tacked onto quality system (ISO 9000 or Lloyd’s accredited)

    • Bought off-the-shelf model from consultant

    • SafetyMAP

    • AS 4801

    • From supplier or customer

    Suit your site (eg number of people, type of hazards, experience with systems etc)

    Meet MHF Regulations


    Mhf regulations sms

    SAFETY ROLE FOR EMPLOYEES (Reg 307)

    Consulting, Informing, Instructing Training (Part 5)

    MHF Regulations & SMS

    SAFETY MANAGEMENT SYSTEM (Reg 301)

    IDENTIFY MAJOR INCIDENTS & HAZARDS (Reg 302)

    ASSESS RISKS – LIKELIHOOD & CONSEQUENCE (Reg 303)

    DECIDE ON CONTROL MEASURES (Reg 303(4))

    IMPLEMENT CONTROL MEASURES (Reg 304)

    MONITOR AND REVIEW (Reg 306)


    Sms control measures
    SMS & Control Measures

    Regulation 301(3)

    The SMS must provide a comprehensive and integrated management system for all aspects of control measures adopted under Part 3.

    Control Measures

    SMS


    Corporate Safety Management System

    Local procedures and practices (design, maintenance & operation)

    SMS & Control Measures

    Level 1

    Level 2

    Outcomes

    Hazards

    Causes

    Incidents

    Level 3

    Mitigation

    Controls

    Prevention

    Controls

    ‘MI’ Potential

    “Threats”


    Pitfalls of safety management systems
    Pitfalls of Safety Management Systems

    • Off the shelf

    • Global system

    • Head office audits us once every few years

    • Based purely on the regulations

    • External accreditation

    • Quality ≠ safety

    • Occurred prior to restructure

    • Outsourcing

    • Auditing unrealistic


    Thank you

    WorkSafe Victoria is a division of the Victorian WorkCover Authority


    Sms and risk control
    SMS and risk control

    The Role of SMS elements in Major Incident prevention and control

    Learning from others’ experience


    Buncefield oil storage depot uk
    Buncefield Oil Storage Depot - UK

    The Incident

    • 6.00AM Sunday 11 December 2005

    • Several explosions. At least one “of massive proportions”

    • Large fire engulfed more than 20 large fuel storage tanks

      On-site consequences

    • 43 people injured, none seriously

    • Fire burnt for several days

    • Large number of tanks destroyed


    Buncefield oil storage depot uk1
    Buncefield Oil Storage Depot - UK

    Off-Site Consequences

    • “Significant damage” to commercial and residential neighbours

    • 2000 people evacuated

    • Sections of M1 Motorway closed

    • Very large smoke plume over Southern England → Air pollution

    • Large quantities of foam and water → Contaminated water courses and ground water


    Buncefield incident direct cause
    Buncefield Incident - Direct Cause

    • HSE/EA investigation has now determined direct cause: still investigating root causes.

    • “Tank 912 ……. overflowed at around 05.30 hours …….. while being filled at a high rate”

    • Large vapour cloud formed and flowed off site

    • First explosion at 06.01

    • Several as yet unanswered questions:

      • Why was the overflow not detected for so long?

      • Why was there so much explosive force?







    Exercise
    Exercise

    What control measures

    • were in place?

    • could have been in place?

    • were they effective?


    Control measure effectiveness
    Control Measure Effectiveness

    Control Measures

    Preventive

    Level meter & alarm

    Independent HLA & Trip

    ATG system

    Operator surveillance?

    Mitigative

    Ignition source control

    Fire water system

    Bunding

    Effectiveness

    Failed before alarm

    Flow continued

    Did not prevent overflow

    Did not prevent overflow

    Vapour cloud went off site

    Pump house destroyed

    Penetrations / joints failed


    Exercise1
    Exercise

    What SMS elements were needed to ensure that the Control Measures worked when required?


    Associated sms elements
    Associated SMS Elements

    Control Measures

    Preventive

    Level meter & alarm

    Independent HLA & Trip

    ATG system

    Operator surveillance?

    Mitigative

    Ignition source control

    Fire water system

    Bunding

    Supporting SMS

    Testing & inspection?

    Critical Function Testing?

    PM program?

    Operating Procedures & Training

    (Design stds/ purchasing specs?)

    Design Standards?

    Maintenance & inspection?


    Albright wilson incident from seminar 3
    Albright & Wilson incident from Seminar 3

    Albright and Wilson, Avonmouth, UK 1996

    A road tanker of sodium chlorite was accidentally off-loading to two tanks containing epichlorohydrin due to a mix-up with delivery documentation.

    What control measures could have been in place here?


    Albright wilson incident
    Albright & Wilson incident

    What SMS elements were needed to ensure that the Control Measures worked when required?


    Texas city incident from seminar 3
    Texas City Incident from Seminar 3

    Texas City, March 2005

    Fire and explosion;15 dead, over 170 injured

    What control measures could have been in place here?


    Texas city incident
    Texas City incident

    What SMS elements were needed to ensure that the Control Measures worked when required?


    Swiss cheese model
    Swiss Cheese Model

    Some holes due

    to active failures

    Hazards

    Other holes due to

    latent conditions

    Losses

    Successive layers of defences, barriers, & safeguards


    Level 1

    Corporate Safety Management System

    Local procedures and practices (design, maintenance & operation)

    Level 2

    Outcomes

    Hazards

    Causes

    Incidents

    Level 3

    Mitigation

    Controls

    Prevention

    Controls

    ‘MI’ Potential

    “Threats”

    Control Measures and SMS


    Lessons for sms at mhfs
    Lessons for SMS at MHFs

    • Identify ALL control measures needed to reduce risk SFARP

    • Check that there are SPECIFIC SMS elements for all specific control measures (don’t just rely on corporate SMS)

    • Make sure that the SPECIFIC elements are IMPLEMENTED, FUNCTIONAL (as in the Safety Case) and AUDITED




    Piper alpha north sea
    Piper Alpha, North Sea

    July 6, 1988, killed 167 men

    Most of the victims suffocated in toxic fumes which developed after a gas leak set off the blasts and sparked the fire

    In November 1990 Lord Cullen's report into the disaster severely criticised safety procedures on the rig owned by Occidental Oil


    Piper alpha north sea1
    Piper Alpha, North Sea

    “A litany of deficiencies”

    What SMS elements should have/ could have functioned effectively to prevent or mitigate this disaster?


    Lessons from Round 1 assessment

    Lessons from Annual Inspection


    Lessons from Round 1 assessment

    SC outline – Proposed SMS was ambitious for resources available, and left too late

    In some cases this meant shorter licences for sites

    who developed their SMS from scratch and

    could not demonstrate full implementation/SMS operating history


    Fit for purpose sms
    Fit for purpose SMS

    Lessons from Round 1 assessment

    Difficulty in fitting a 1000 page corporate SMS into a 10 person site

    Underestimated the time taken to modify fine detail in corporate standards to satisfy the regulations

    Most Corporate SMS met the high level requirements of the regime but not the fine detail


    Sms development have a realistic outlook
    SMS development – have a realistic outlook

    Lessons from Round 1 assessment

    A mature SMS is likely to take 5-10 years and a few review cycles to create

    A SMS in development is probably going to take 1-2 years to write and 2-3 years to bed in


    Lessons from round 1 assessment
    Lessons from Round 1 assessment

    MHF regs don’t cover aspects such as document control

    Some sites have found that integrating their

    EMS/QMS/SMS works for them

    Where major hazards and general OHS are managed through separate systems, there are likely to be efficiency benefits from integrating systems as far as feasible

    (Demonstrating reg 301 – Primary means)


    Using 3 rd parties to write an sms wasn t always successful
    Using 3rd parties to write an SMS wasn’t always successful

    Lessons from Round 1 assessment

    Findings during Round 1 indicated that, in some cases, third parties who had been contracted to develop the SC and SMS were working on a different schedule to which the operator intended

    In some cases the operator was not being properly informed about, or was not acting on, the results of the third party’s development work

    Operators must ensure that there is appropriate management and monitoring of any activities of third party organisations that are critical to SMS development and the control of major hazards


    Lessons from round 1 assessment1
    Lessons from Round 1 assessment

    Monitoring/audit /review

    A number of examples were identified where operators’ auditing processes did not detect problems with implementation of management systems

    This was due to auditing processes which focussed on the documentation (desktop only) and did not audit use of systems ‘on the ground’

    Auditing at MHF’s needs to address not only the contents of the safety management system, but also that it is implemented to the operators satisfaction and functional

    i.e. managing the risk as intended


    Lessons from annual inspection
    Lessons from annual inspection

    Management of Change

    Often applied only to equipment changes and does not cover organisational or procedural changes

    Risk assessments are not being formalised in the manner specified in the procedure

    Safety Case not updated in timely manner to reflect change

    Training

    Aspects of training not formalised

    Core training not identified in Safety Case

    Training on high risk activities not prioritised

    Poorly resourced (more significant in sites which are RTO’s)


    Lessons from annual inspection

    3rd party management

    3rd parties give detailed technical reports back to operator but

    no review/actioning of non conformances are done by site

    Assets managed by third parties are not kept on sites radar i.e.

    not in maintenance programs. Therefore test interval not known

    by operator and can not be tracked

    Contractual arrangements do not define KPI’s or COP’s - 3rd party

    Outsource to subcontractor and MHF unaware and has no control


    Lessons from annual inspection1
    Lessons from annual inspection

    Permit to Work

    Lists of personnel for authorising and receiving permits were not current

    Permit issuers/receivers not formally trained

    Authorisations not conducted diligently


    Reasons for improvement notices issued during round 1
    Reasons for improvement notices issued during Round 1

    • SMS element no longer represents actual site practice

    • Employees not trained in aspects of SMS needed for their work

    • Employer did not consult with HSR about changes when it was practicable

    • Sites not auditing

    • SMS element not implemented

    • Sites not updating the SMS after a modification



    Auditing occupational health safety management systems

    Auditing Occupational Health & Safety Management Systems

    Wayne Williams

    Management Systems Branch, WorkSafe Victoria



    Ohsms audit
    OHSMS Audit

    Stage 1Does the organisation have a system that meets the required standard?

    Stage 2

    Does the organisation follow its own system procedures, and are they effective?

    WHAT THEY DO

    WHAT THEY SAY

    OHSMS

    Standardeg SafetyMAP, AS 4801

    Stage 1 & Stage 2 = Standard


    Systems – more to them than meets the eye

    The day to day stuff

    The support structures

    What they want us to see

    What’s being kept from us


    Evidence gathering

    Audit decision


    Evidence gathering

    • Examination of documented procedures

    • Interviews & discussions with employer & employee representatives

    • Workplace observation & verification

    • Examination of records


    Evidence value
    Evidence value

    • Valid ………….…relevant to audit criterion

    • Authentic…..…..authorised document

    • Current………….actioned, recorded, up to date

    • Reliable…………heard from source, observable

    • Consistent……..sampled from a number of sources

    • Sufficient……….enough examples/samples


    The audit process
    The Audit Process

    • Preaudit meeting

    • Document review (desk top activity)

    • Opening meeting

    • On site audit activities

    • Exit meeting & preliminary results

    • Draft report

    • Comment & feedback analysed & included

    • Findings in final report

    • Recommendations to management

    • Corrective action plan evaluated

    • Monitor & follow up


    Audits benefits and limitations
    Audits – benefits and limitations

    +

    • evaluates the effectiveness of systems

    • identifies opportunities for improvement

    • puts regular attention on critical areas

    • demonstrates commitment

    • verifies legal compliance

      -

    • relies on auditor knowledge, skills, experience

      • knowledge of legislation, attention to detail

    • depends on audit standard, audit brief and audit process

      • eg time allowed, people made available etc

    • continuous improvement may NOT be the primary goal

      • eg certification, self insurer/MHF licence



    Safety Management System

    Key Performance Indicators


    Developing sms kpi s regulatory driver
    Developing SMS KPI’s - Regulatory driver

    Reg 310(4)(e), schedule 2 (7)

    SC is to include performance standards for measuring the effectiveness of the SMS which:

    • Relate to all aspects of the SMS (not just MI)

    • Are sufficiently detailed to ensure that the effectiveness is apparent from the documentation

    • Include steps to be taken to continually improve all aspects of the SMS

    • SC to include a description of the way in which these performance standards are met


    Developing kpi s a simplified approach
    Developing KPI’s – A simplified approach

    Get a team of people together - management reps/HSR’s/OHS specialists/ SMS owners/ other interested employees

    Have available your safety objectives for the site

    Have access to your SMS procedures and personnel who understand how they work on site

    Have an understanding of the difference between lead/lag indicators and how they may be measured.

    Set the context of the meeting

    Workshop possible KPI’s

    Gain general consensus

    Collect and collate the KPI’s over a 3-6 month period

    Hold review meeting and revise if necessary


    Developing sms kpi s
    Developing SMS KPI’s

    Challenge is to develop KPI’s which support the operator's safety objectives

    Consider SMART - Specific, Measurable, Achievable, Realistic, Targeted

    Obtaining management commitment - KPI’s can not be developed in isolation

    KPI’s should mean something to the people in your organisation

    KPI’s are not set in stone– as your safety culture changes so may your KPI’s



    Preparing for round 2 review revise sms
    Preparing for Round 2 – Review/Revise SMS

    Charmaine Quick

    Manager, M&E Asset Management and Asset Information

    Melbourne Water Corporation


    Round 2 sms review revise
    Round 2 SMS Review/ Revise

    What are the drivers for improving your SMS?

    • Those you define in your own SMS

    • Regulatory drivers in OH&S Act & Regulations

      How do you go about it?


    Sms your drivers
    SMS – Your drivers

    Your outputs

    Your inputs

    ?

    What’s driving your SMS?

    Safer site

    Safety culture

    More productive

    More efficient


    Review and revise regulatory driver 301 5 c
    Review and revise - Regulatory driver(301(5)(c))

    Taken from Guidance note 29

    Defined Outputs

    Updated SMS

    Updated summary of SMS in the SC

    Update KPI’s

    Training needs for employees

    Implementation plan for changes

    SAFER SITE!

    Define inputs

    Performance monitoring information

    Changes to SMS (MOC)

    Control measures review

    Control measures performance review

    New knowledge

    Incident reviews

    Organisational changes

    Change in responsibilities /

    accountabilities

    Changes in corporate SMS policy

    Changes in auditing processes

    Reviewing your SMS is a team effort


    An approach for round 2
    An approach for Round 2

    • Start with list/register of CM’s and SMS elements needed to support them

    • Check if there have been CHANGES to/in:

      • Revised CM’s from review to date

      • SMS revisions in MoC register

      • SMS issues identified in Root Cause Analysis of incidents

      • Performance issues from monitoring & auditing

    • Identify and implement any corrective actions needed to address performance issues (if not already done)

    • Update SMS (and summary) if needed


    Sources of additional information
    Sources of additional information

    • Guidance note 29 - Safety Case Review/ Revise

    • Guidance note 12 - Safety management system

    • Focus rule 7 Safety Case Assessment - safety management systems

    • Focus rule 8 Safety Case demonstrations

    • Australian government OHS management systems – Safety MAP 4th edition workbook

    • AS/NZS 4801:2001 Occupational health and safety management systems specification and guidance for use

    • AS/NZS 4804:2001 Occupational health and safety management systems, general guidelines on principles, systems and supporting techniques.


    Sources of additional information1
    Sources of Additional Information

    • Guidance note on industry lessons from developing and implementing the safety case in Victoria (Pacia -2003)

    • Successful health and safety management, HSG65, ISBN 0 7176 1276 7

    • Preparing safety reports: control of major accident hazard regulations 1999, HSG190 HSE Books, ISBN 0 7176 1687 8

    • Major accident prevention policy and safety management system (Part 2, chapter 4)

    • API publication 9100, model environmental health and safety management system and guidance


    Questions?

    WorkSafe Victoria is a division of the Victorian WorkCover Authority


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