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HAZARD IDENTIFICATION
Formal mechanisms (such as safety assessments and safety audits) are in place for the
systematic identification of hazards.
An occurrence reporting system is in effect, including a voluntary incident reporting system.
Management has provided adequate resources for hazard identification.
Staff receive necessary training to support the hazard identification programmes.
Competent personnel administer the hazard identification programmes, keeping them relevant
to current operations.
Staff involved in any recorded or reported incidents are aware that they will not be penalized for
normal errors; a non-punitive (just) environment is fostered by management.
All identified hazard data are systematically recorded, stored and analysed.
Security measures are in place to protect sensitive material.
Chapter 12. Establishing a Safety Management System 12-11
STEP 5: RISK MANAGEMENT
Risk management comprises three essential elements: hazard identification, risk assessment and risk
mitigation. It requires the analysis and elimination (or at least a reduction to an acceptable level) of those
hazards that threaten the viability of an organization. Risk management serves to focus safety efforts on
those hazards posing the greatest risks. All identified hazards are critically assessed and ranked in order of
their risk potential. They may be assessed subjectively by experienced personnel, or they may be assessed
using more formal techniques, often requiring analytical expertise.
Factors to consider are the likelihood of the occurrence and the severity of the consequences should there
be an occurrence. In assessing risks, the defences that have been put in place to protect against hazards
need to be evaluated. These defences can, through their absence, misuse, poor design, or conditions,
contribute to the occurrence or exacerbate the risks. Through such a risk assessment process, a
determination can be made as to whether the risk is being appropriately managed or controlled. If the risks
are acceptable, the operation may continue. If the risks are unacceptable, then steps should be taken to
increase the defences or to remove or avoid the hazard.
Typically, there is a range of risk control measures that may help limit exposure to identified risks. Each risk
control option needs to be evaluated, the residual risks need to be assessed and the cost-benefits need to
be analysed. Having decided upon a course of action, management must then communicate its safety
concerns and planned actions to all affected persons.
Risk management is discussed more fully in Chapter 6.
Confirmation Checklist #5
RISK MANAGEMENT
Criteria are established for assessing risks.
Risks are analysed and ranked by competent personnel (including experienced staff
representatives).
Viable risk control measures are evaluated.
Management takes action to reduce, eliminate or avoid the risks.
Staff are aware of the actions taken to avoid or eliminate identified hazards.
Procedures are in place to confirm that the actions taken are working as intended.
STEP 6: INVESTIGATION CAPABILITY
The investigation of safety occurrences often reveals that there had been a number of warning signs or
precursors. Investigations of occurrences can identify the warning signs, enabling similar warning signs to
be recognized in the future before they lead to safety occurrences.
While the State may investigate mandatorily reportable accidents and serious incidents, an effective SMS
includes the capability to investigate such occurrences from an organization’s perspective. The safety
12-12 Safety Management Manual (SMM)
management value of these investigations is proportional to the quality of the investigative effort. Without a
structured methodology, it is difficult to integrate and analyse all pertinent information from such
investigations in order to efficiently assess and prioritize the risks and to recommend any necessary actions
to advance safety. Determination of blame is not relevant to such safety investigations.
Identifying the lessons to be learned from a safety occurrence requires an understanding of not just what
happened, but why it happened. A complete understanding of why an occurrence happened requires an
investigation that looks beyond the obvious causes and focuses on identifying all the contributory factors,
some of which may be related to weaknesses in the system’s defences or other organizational issues.
Chapter 8 contains further information on safety investigations.
Confirmation Checklist #6
INVESTIGATION CAPABILITY
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Safety Management Manual (SMM) 安全管理手册(81)
