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Sufficient experienced staff, relevant and timely training, and funding for the necessary equipment and
facilities are fundamental to creating a working environment in which everyone takes safety seriously.
12.2.3 In effective safety cultures, there are clear reporting lines, clearly defined duties and wellunderstood
procedures. Personnel fully understand their responsibilities and know what to report, to whom
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and when. Senior management reviews not only the financial performance of the organization but also its
safety performance.
12.2.4 Safety culture, then, is both attitudinal and structural, relating to individuals and organizations. It
concerns the requirement to not only perceive safety issues but match them with appropriate action. Safety
culture relates to such intangibles as personal attitudes and the style of the organization. It is therefore
difficult to measure, especially when the principal criterion for measuring safety is the absence of accidents
and incidents. Yet, personal attitudes and corporate style enable or facilitate the unsafe acts and conditions
that are the precursors to accidents and incidents.
12.3 TEN STEPS TO AN SMS
12.3.1 Starting and operating an effective process for safety management can be a daunting task.
Taking a systems approach will help ensure that the elements necessary for building an effective system are
present. Ten steps for integrating the various elements into a coherent SMS are discussed in this section. It
would be an overwhelming, if not impossible task to implement all the functions of an SMS simultaneously.
Rather, the steps may be addressed gradually. This would allow the organization to adapt to, and become
acquainted with, the requirements and results of each step before proceeding.
12.3.2 While there is a certain logic to the sequence of the steps as outlined, it is not prescriptive.
Particular steps may be delayed pending a more suitable time. As the various steps are implemented, progress
may be monitored using the confirmation checklist provided at each step to highlight the necessary actions.
STEP 1: PLANNING
Consistent with general management practice, safety management begins with careful planning. An
organization striving to improve its safety management processes may be well served by appointing a group
of key line managers and the person most likely to be designated as the organization’s safety manager (SM)
to conduct this planning phase.
Review
The planning (or establishment) group may be able to build upon existing strengths by taking stock of the
organization’s current capabilities for safety management (including experience, knowledge, processes,
procedures, resources, etc.). Shortcomings in safety management experience must be recognized and
resources to assist in development and implementation of the SMS identified. Many operational units may
already have internal procedures in place for the investigation of incidents, hazard identification, safety
monitoring, etc. These should be reviewed and perhaps modified for integration within the SMS. It is
important that the organization re-use as many existing procedures as practicable, as there is no need to
replace known and effective procedures and processes. By building on such an experience base, the
development of an SMS will be less disruptive. During this review process, the planning group should also
examine best industry practices for safety management by consulting with other organizations of similar size
and mission.
Safety assessment
The design and implementation of an SMS will likely be a major change to the organization, which is capable
of generating new safety hazards. One tool that may assist the planning group at this time is the safety
assessment (as described in Chapter 13). The synergy of a group of experienced managers systematically
Chapter 12. Establishing a Safety Management System 12-3
questioning and challenging all aspects of the organization’s current and planned approach to safety
management should reduce the risk of surprises in implementing the SMS, enhance the group’s knowledge of
the current situation and requirements, and prepare the way for effectively implementing change.
Safety performance indicators and safety targets
The planning group should define safety performance indicators and set safety performance targets for the
organization (as discussed in Chapters 1 and 5). These indicators and targets must be realistic — taking into
account the organization’s size, complexity, type of operation, resource base, etc. A realistic time line for
meeting the targets must also be agreed upon. Even though setting the indicators and targets may be
difficult, they provide the basis for evaluating the success of the SMS.
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