SAFETY MANAGEMENT Peer-Reviewed SAFETY MANAGEMENT SYSTEMS STANDARDS & GUIDELINES A Comparative Analysis A. Michael Shekari SAFETY MANAGEMENT SYSTEMS (SMS) are indisputably useful •“set of interrelated or interacting elements of an organiza- to organizations that implement them correctly in their oper- tion to establish policies and objectives and processes to achieve ations. The benefits that SMS bring to organizations include those objectives in occupational health and safety” (ISO, 2018) reduced incident and fatality frequencies, and reduced severity •“set of interdependent elements that establish or support of injuries, illnesses and property damage from unfavorable processes of the occupational health and safety (OHS) policy events. Over time, governmental, industrial and international and objectives as well as mechanisms to achieve those objec- bodies have published varying standards and guidelines for tives and continually improve OHS” (ANSI/ASSP, 2019) the development and implementation of SMS. These bodies The FAA and Safeopedia definitions of SMS are the most robust S from the descriptions found throughout the literature review, but include International Organization for Standardization (ISO), ANSI, International Labor Organization (ILO) and U.S. Fed- neither can serve as the best definition because FAA mentions a top- eral Aviation Administration (FAA). The author’s objective down approach in its definition but does not mention accountabil- was to conduct a comparative analysis of SMS standards and ity. Meanwhile, the Safeopedia definition mentions accountability accompanying guidance provided by ANSI, ISO, ILO and FAA but not a top-down approach. Across all of the definitions, there is sources, and to demonstrate the need for global harmonization agreement that SMS is systematic and consists of multiple compo- of safety management standards. nents. Perhaps the best definition for SMS, using the FAA defini- tion as a base, would be “the formal, top-down, organization-wide Defining Safety Management Systems approach to managing safety risk and ensuring the effectiveness of Depending on the context of an organization and its safety safety risk controls that includes systematic procedures, practices, program, the system used to manage safety may be known by policies and accountability for the management of safety risk.” various names: occupational safety and health management system (OSHMS), occupational health and safety management SMS Standards Descriptions system (OHSMS) or SMS. These terms are often used inter- ISO 45001 Standard changeably in many workplaces. For uniformity, all systems used Introduced in March 2018, the first edition of ISO 45001 is a to manage safety are referred to as SMS in this article. However, comprehensive document for SMS to accomplish OSH goals with there is no globally agreed-upon definition of “safety manage- a holistic approach extending beyond the immediate workplace ment system.” Following are a few examples currently in use: using the plan-do-check-act concept, also known as the Deming •“continuous improvement cycle. It is apparent at the beginning of the document that safety KEY TAKEAWAYS process that reduces hazards and programs should emphasize overall wellness. The document ex- •This article describes in detail prevents incidents” (NSC, n.d.) plicitly mentions mental health as an element that should be pro- safety management system •“systematic approach to tected by the program. Another noteworthy feature of ISO 45001 standards from Internation- managing safety by organiza- is that the stakeholders in the safety program should extend al Standards Organization, tional goals, policy, structure, beyond employers and employees and into the local community American National Standards planning, accountability and potentially impacted by the activities of an organization. Institute, International Labor safe standard operating pro- Structurally, the document has three major sections: Scoping Organization, and Federal Avia- cedures” (Safeopedia, 2017) and References (Clauses 1 to 3), Program Requirements (Claus- tion Administration. •“formal, top-down, or- es 4 to 10), and Supplemental Information (Annex A). Clauses •It highlights areas where the ganization-wide approach 1 to 3 establish the scope of how the standard should be used safety management system to managing safety risk and and defines 37 terms in the document to specify a common lan- standards differ and identifies ensuring the effectiveness of guage used in safety programs compliant with the document’s best practices. safety risk controls that in- requirements. Meanwhile, Clauses 4 to 10 define actual pro- •Finally, the article discusses cludes systematic procedures, gram requirements under the following categories: the need for a globally har- practices and policies for the •“Context of the organization” lays the foundation of how monized safety management management of safety risks” the rest of the SMS will be developed. Developing the organi- system standard. (FAA, 2016) zation’s context involves evaluating internal and external issues PLUS INFOGRAFX/ISTOCK/GETTYIMAGES 32 PSJ PROFESSIONAL SAFETY SEPTEMBER 2020 assp.org SAFETY MANAGEMENT SYSTEMS STANDARDS & GUIDELINES A Comparative Analysis A. Michael Shekari relevant to OSH, such as the needs and expectations of workers formance evaluation will determine what should be measured, and other interested parties. The organization will then use the methods for monitoring and measurement, when measurements issues to determine the scope of the SMS. and monitoring should take place, criteria from which the per- •“Leadership and worker participation” defines the re- formance measurements will be judged, and level of compliance sponsibilities organizational leaders hold for ensuring that the with regulations or other standards. During performance evalu- SMS is supported by the organization’s policies, is adequately ation, organizations also shall develop and execute internal audit resourced, encourages worker participation, protects workers programs and conduct management reviews to ensure the con- from reprisals and is integrated into the organization’s daily tinuing suitability, adequacy and effectiveness of the SMS. business practices. The clause also directs organizations to es- •“Improvement” incorporates the opportunities identified tablish mechanisms for worker consultation on various OSH during performance evaluation and deficiencies identified from topics within the workplace. The section recognizes the reality incidents and nonconformities with the organization’s policies that nonsupervisory workers often have the most intimate or legal requirements to improve the organization’s SMS. It in- knowledge of workplace hazards. cludes enhancing performance, promoting a culture supporting •“Planning” starts by looking at an organization’s context, the SMS, promoting worker participation, communicating rele- requirements of interested parties, scope of the SMS, and risks vant results of improvement efforts and documenting evidence and opportunities within the OSH environment. The goals of of continuous improvement. planning are to ensure that the SMS will achieve its intended While ISO 45001 does an excellent job of specifying re- outcomes, prevent or reduce negative impacts, and achieve con- quirements for a quality SMS in the OSH environment, it fails tinuous improvement. The planning process encompasses many to provide much guidance on how the requirements may be activities, including the identification of risks and opportunities achieved using acceptable practices, making the document less triggered by change, identification of hazards both under and useful to organizational leaders who may wish to use an SMS outside the control of the organization, determination of legal but lack dedicated personnel with a professional safety back- and other requirements, and establishment of OSH objectives. ground. This may also be a symptom of ISO’s business model. •“Support” discusses the elements required to guarantee that the SMS will be able to function as intended. The required ANSI/ASSP Z10 Standard support elements are resources dedicated to SMS establishment The latest revision of the ANSI/ASSP Z10 standard, released and maintenance, worker competence, worker awareness, inter- in August 2019, was done to provide general, high-level align- nal and external communication, and SMS documentation. ment with ISO 45001 and utilizes approaches similar to those •“Operation” revolves around the use of SMS in the work- in the ILO-OSH 2001 guidelines. This allows organizations to place environment to meet OSH objectives. A complete SMS, comply with both the ISO and ANSI standards. The general meeting the requirements of the operation clause, will have a structure and content of ISO 45001 and ANSI Z10 are simi- means of establishing processes and controlling their imple- lar, but there are areas where Z10 is more comprehensive and mentation, and will use the following hierarchy of controls: slightly different than certain sections of ISO 45001. However, 1. elimination of the hazard one of the most important statements Z10 makes is that, when- 2. substitution for lesser hazard ever practical, the organization’s SMS should be integrated into 3. engineering controls and work reorganization already existing business practices. 4. administrative controls, including training One unique approach of ANSI Z10 is the standard-based 5. adequate PPE methodology. Like ISO 45001, Z10 uses the Deming