W. David Yates - Safety professional's reference and study guide (2020)-710-723.pdf

29 Safety Management System What is a “safety management system (SMS)” and how does it differ from the traditional approach to safety management using safety programs? This chapter attempts to answer this question and provide a good understanding of the details and benefits of an SMS. A useable def...

29 Safety Management System What is a “safety management system (SMS)” and how does it differ from the traditional approach to safety management using safety programs? This chapter attempts to answer this question and provide a good understanding of the details and benefits of an SMS. A useable definition of what an “SMS” is will be provided. The goals of an SMS will be provided and discussed. In addition, four of the more popular systems will be provided as examples, namely, OSHAS 18001, ILO-OSH 2001, ANSI Z-10, and CSA Z1000, which are discussed in detail within the chapter. Deming’s 14-point Principles of a Quality Management System, along with the Plan-Do-Check-Act (PDCA) model, will be reviewed and discussed in significant detail. Safety Management System (SMS) Definition A Safety Management System (SMS) can be defined as a comprehensive man- agement system that provides a platform for the integration of safety pro- gram elements, including responsibilities, policies, individual procedures, and the overall goals and objectives, with the end result being a continuous improvement for the control of risks. The major goals of an SMS are to Provide a systematic approach for an organization to manage risk, Identify risks and implement effective controls, Serve as a continuous improvement process, Provide an early means to determine when a process is noncompliant, Provide areas of specific responsibilities. Components of a Safety Management System (SMS) There are four major components of an SMS1: Safety policy, Safety risk management, 669 670 Safety Professional’s Reference and Study Guide Safety assurance, Safety promotion. These components are also identified in Figure 29.1. Safety Policy An integral part of any SMS, as shown in Figure 29.1, is the development and inclusion of a safety policy. The safety policy demonstrates management’s commitment to the safety program and to the SMS. Policy Statement As part of the safety policy, management develop a written document, known as a “policy statement” that communicates this commitment and must include a statement on how the policy will be introduced and sustained FIGURE 29.1 Components of an SMS. Safety Management System 671 into the structural organization. The policy statement should include the following: Management commitment statement, Purpose and benefits of the SMS, Method of monitoring safety performance, Commitment by management for financial and human resources to accomplish the goals, Clear employee expectations to participate in the system. Organizational Structure The safety policy should include an overview of the organizational struc- ture that will be responsible for the SMS. This organizational structure may not include the corporate structure but must include those specific positions that will be responsible for ensuring the success of the SMS. The safety manager of the organization should be at the head of the SMS organizational structure, as they are in a position to monitor the compli- ance and noncompliance more frequently, as well as taking corrective actions sooner. Procedures The SMS will consist of multiple and widely varied procedures, such as training, lockout/tagout, and confined space. In addition to specific safety procedures, the procedure to comply with the requirements of the SMS must also be included. Some of the procedures regarding the SMS itself might include the following: Record keeping, Record retention, Periodic and annual reviews, Management of change, Auditing procedures, Management of noncompliant areas. Safety Risk Management The safety risk management (SRM) component provides a detailed guide to determining the need for, and adequacy of, new or revised risk controls based on the assessment of acceptable risk. An example of such an assessment, both quantitative and qualitative methods, can be viewed in Chapter 24. 672 Safety Professional’s Reference and Study Guide A formal process within the SMS (SRM component) may be composed of the following: Description of the system, A method and process for identifying the hazards (hazard identification), Assessing the hazard or risk, Analyzing the risk, Controlling the risk by implementing corrective measures, Monitoring the risks and hazards to ensure that the corrective mea- sures have been effective in controlling the risk. Safety Assurance The safety assurance component is an extremely important one, in that it provides for early detection of noncompliance issues, areas in need of improvement and successes. This is done through the following means, just to name a few: Daily, weekly, and monthly reports (i.e., safety inspections, training), Audits, inspections, and evaluations, The audits of the actual SMS compliance are in addition to safety- related audits. Employee reporting, Data analysis, System assessments. Safety Promotion In order to gain widespread acceptance and compliance, it is incumbent upon management to demonstrate the potential benefits. This can be done by establishing a solid safety culture through a well-prepared policy state- ment described above. The safety culture will be developed over time by providing the required training within the SMS framework. Management must also advocate and demonstrate a positive safety culture. In other words, management should put actions to their intentions by providing both financial and human resources to accomplish the goals and objectives of the SMS. In addition, good communication must exist from both a top-down and bottom-up method. Finally, safety promotion includes establishing clear and concise goals and objectives. The status of these goals and objectives should be discussed openly and frequently enough to keep employees informed. By including employees in the process, management shares some of the ownership in the programs and procedures with the employees. Safety Management System 673 Deming’s 14 Points for Total Quality Management Before discussing individual SMSs, it is necessary to provide some of the basic guidelines of total quality management. One of the pioneers in the field, W. Edwards Deming, who helped the Japanese manufacturing industry improve its manufacturing and business effectiveness, had 14 key points in the total quality management. These points are also known as Deming’s Principles of Total Quality Management. These points are listed as follows: 1. Create constancy of purpose for improving products and services; 2. Adopt the new philosophy; 3. Cease dependence on inspection to achieve quality; 4. End the practice of awarding business on price alone; instead, minimize the total cost by working with a single supplier; 5. Improve constantly and forever every process for planning, produc- tion, and service; 6. Institute training on the job; 7. Adopt and institute leadership; 8. Drive out fear; 9. Break down barriers between staff areas; 10. Eliminate slogans, exhortations, and targets for the workforce; 11. Eliminate numerical quotas for the workforce and numerical goals for management; 12. Remove barriers that rob people of pride of workmanship, and eliminate the annual rating or merit system; 13. Institute a vigorous program of education and self-improvement for everyone; 14. Put everybody in the company to work accomplishing the transformation. PDCA Model Every quality management system has at its core some version of the PDCA model, which was also popularized by W. Edwards Deming. The model is quite simple in concept. It is simply plan/do/check/act (see Figure 29.2). 674 Safety Professional’s Reference and Study Guide FIGURE 29.2 PDCA model. As shown in the PDCA model above, the cycle begins with the planning and is completed during the first cycle with Act. What you will also notice is that the model shows a continuous cycle. This means that when the first goal is successfully met, the bar should be raised. This will be discussed in the demonstration of the PDCA model being used for problem solving. Plan In this step, the problem is clearly identified and assessed, and a plan is developed to correct or solve the problem. Individual steps taken in order under the plan phase include: Define the problem. The problem should be focused on the root cause of the issue; Establish containment; Form the team; Collect data; Brainstorm potential causes; Safety Management System 675 Discard causes that appear irrelevant; Identify root causes; Propose solutions; Choose solutions; Predict results; Plan implementation. Do The plan is executed in order to solve the problem. Check In this phase, the results of the plan execution are measured and used to validate or invalidate the solutions. Act The following steps are included (in order) under the Act phase of problem solving: Standardize the solutions, Remove containment, Share lessons, Select a new problem or raise the bar on the existing one and repeat the cycle. Figure 29.3 illustrates the individual details of a problem-solving technique using the PDCA model. Review of Common Safety Management Systems To help understand SMSs, several of the more common SMSs will be discussed. These include OSHAS 181001, ILO, ANSI-Z10, and CSA Z1000. OSHAS 18001 OSHAS 18001 is highly recognized as one of the leading SMSs used in the United States. However, it was not developed in the United States, but instead in coordination and cooperation with Spain, Malaysia, United Kingdom, and 676 Safety Professional’s Reference and Study Guide FIGURE 29.3 Problem-solving technique using the PDCA model. other European standards organizations. It has become a British Standard for OHS management system, since being updated in 2007. The elements of OSHAS include the following: General requirements, Occupational Health and Safety (OH&S) policy and commitment, Planning Hazard identification, risk assessment, and control; Legal and other requirements; Objectives; OH&S management programs. Implementation and operation Structure and responsibility; Training, awareness, and competence; Consultation and communication; Safety Management System 677 Documentation; Document and data control; Operational control; Emergency preparedness and response. Checking and corrective action Performance measurement and monitoring; Accidents, incidents, non-conformances, and corrective and preventive actions; Records and records management; Audit. Management review. While OSHAS requires the above elements and sections in the system plan, it does not mandate how each of these is to be done. The details of the plan are to be developed by the individual companies. For example, under docu- ment retention, OSHAS does not require that documents be retained in any specific manner, but it does require that whatever the plan is implemented by the company be monitored and corrective actions be taken when noncom- pliance issues are found. This system requires that clear levels of authority and lines of communication be established. Under this system, the company must ensure its success through frequent internal and external audits. This plan provides a blueprint for a company to develop an SMS to ensure the health and safety of employees, contractors, and visitors. Any system will have advantages and disadvantages over the others. These advantages and disadvantages are discussed in the following sections. Advantages The primary advantages of the OSHAS 18001 system are that it Is a widely accepted and recognized system throughout the globe; Increases employee, as well as management, engagement in the safety system; Increases the potential for improved company and product accep- tance, thereby increasing the opportunity for business expansion; Provides a basis for improving overall SRM, thus reducing insur- ance premium cost; Helps in the reduction or prevention of production delays and downtime from injuries; Provides a systematic platform for communication; Serves as the platform and pathway for continuous improvement. 678 Safety Professional’s Reference and Study Guide Disadvantages The major disadvantages of OSHAS 18001 system include the following: Cost of SMS external auditing; Human resource commitment from both management and employees; Other costs, including standards purchase, increased auditing, and potential system bureaucracy. Depending on how one looks at it, OSHAS 18001 focuses primarily on haz- ard reduction, which can be an advantage or a disadvantage. Other systems to be discussed will focus on risk reduction versus hazard reduction. ISO 45001 ISO 45001 is a system developed by ISO (Internal Organization of Standardization). ISO, itself, is a globally recognized leader in the standard- ization industry. ISO 45001 has a higher-level structure than OSHAS 18001 and includes the following outline: Scope, Normative references, Terms and definitions, Context of the organization, Leadership, Planning, Support, Operation, Performance evaluation, Improvement. ISO 45001 was based initially on OSHAS 18001. However, ISO 45001 focuses more on risk management versus hazard management. As part of this, there was an increased focus on determining both the internal and external envi- ronments of a company and their customers. In other words, there were the needs of the various government agencies in the form of regulations and the needs of various stakeholders. Clear and meaningful objectives are to be developed, and plans made to achieve objective are also a primary focus of the system. Monitoring and system performance reviews must be conducted on a frequent basis. Safety Management System 679 ILO-OSH 2001 The International Labour Organization (ILO) is an international agency with the purpose of bringing together governments, employers, and workers of its member states, to set labor standards, develop policies, and devise pro- grams’ promotion decent work for all women and men.2 ILO-OSH 2001 is an overall system designed to work with other systems that an organization might choose to utilize. The core sections of the system are as follows: Policy, Organizing, Planning and implementation, Evaluation, Action. It is built around the PDCA model. The key components of the ILO-OSH 2001 system can be viewed graphically in Figure 29.4. ANSI Z10 The American National Standards Institute (ANSI) in coordination with the American Industrial Hygiene Association (AIHA) began work on ANSI Z-10 in 1999. This standard was a voluntary consensus standard, meaning that the standards are generally recognized and sound principles throughout the FIGURE 29.4 Key components of ILO-OSH 2001. 680 Safety Professional’s Reference and Study Guide globe and the safety profession to enhance the overall health and well-being of employees. As with the other SMSs, ANSI Z10 is a framework where the details must be tailored to fit the individual needs of companies. The basic components of ANSI Z10 include the following: 1. Management leadership and employee participation, 2. Planning, 3. Implementation and operation, 4. Evaluation and corrective action, 5. Management review. The basic process is presented graphically in Figure 29.5. A useful outline of ANSI Z-10 written program may include the following3: Management leadership; OHSMS policy; Responsibility and authority; Employee participation; Review process; Assessment and prioritization; Objectives and implementation plans; Risk assessment; Hierarchy of controls; FIGURE 29.5 ANSI Z10 process.3 Safety Management System 681 Design review and management of change; Procurement; Contractors; Emergency preparedness; Education, training, and awareness; Communications; Document and record control; Monitoring and measurement; Incident investigation; Audits; Corrective and preventive action; Feedback to the planning process; Management review (process, outcome, and follow-up). Summary Regardless of the specific SMS that a company selects to build its framework, they all have in common the end goal of decreasing employee injuries and improving upon the safety management of an organization in a systematic fashion. Specific benefits of all SMSs are as follows: Improved management of risks and hazards; Provide a framework to change an organization’s safety culture; Maintain compliance with governmental standards and regulations; Improve overall performance of the organization. References 1. www.faa.gov/about/initiatives/sms/explained/components/. 2. www.ilo.org/global/about-the-ilo/lang--en/index.htm. 3. www.usbr.gov/safety/sap/documents/teamreports/Team02.pdf. Taylor & Francis Taylor & Francis Group http://taylorandfrancis.com