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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!!
slide5

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
slide9
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

slide15
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
slide37

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

slide40

Orderly Arrangement - Key Elements of a SMS

Policy

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

slide41

Orderly Arrangement - Key Elements of a SMS

Organising

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

slide42

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.

slide43

Orderly Arrangement - Key Elements of a SMS

Measuring Performance

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

slide44

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

slide51

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
slide53

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

slide74

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?

slide80
Lessons from Round 1 assessment

Lessons from Annual Inspection

slide81

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)

slide88

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

slide95

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

slide96

Evidence gathering

Audit decision

slide97

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
slide102
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
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Questions?

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