SMS Component 1

 Safety policy objectives and planning

 This first component could be considered as the administrative  part of the SMS.  It is a documented component where management demonstrate commitment and accountability; the safety aims and objectives of the organisation are outlines; key personnel are appointed; planning for SMS implementation is done and resources are allocated.

Element 1.1:  Management commitment and responsibility 

Element 1.2: Safety accountabilities of managers

Element 1.3: Appointment of key personnel

Element 1.4: SMS Implementation plan 

Element 1.5:Third Party Interface

Element 1.6: Coordination of emergency response

Element 1.7: SMS documentation

Integration of Human Factors and a fair and just culture within the organisation is critical to the success of the SMS. This needs to be considered in all components and elements of SMS.

Follow the links below to learn more about each element

1.1 Management commitment and responsibility

Team Work ManagementManagement demonstrate a commitment to safety by allocating personnel and resources. A structure set up where safety manager can report directly to the CEO, and the there is organisation wide dissemination of;

  • Safety Policy
  • Fair and just culture, and
  • Safety objective

Management demonstrate responsibility for these safety critical subjects

1.2 Safety accountabilities of managers

Accountability word on two way road sign arrows asking if anyone Key personnel in an organisation include;

  • CEO
  • Heads of operations and / or maintenance
  • Head of check and training
  • Safety manager
  • others as required

The roles, responsibilities and accountabilities defined in the organisational strucure are made explicit and all managers are expected to show leadership with respect to the SMS.

1.3 Appointment of key safety personnel

KeyA safety manager, with appropriate resources, needs to be appointed that;

  • has clearly defined safety responsibilities
  • is appropriately qualified
  • possesses the right personality traits, and
  • receives appropriate training to manage the SMS and its processes

Management also need to appoint a Safety Review committee and Safety Action groups


1.4 SMS implementation plan

Progress ConceptAn implementation plan for the SMS needs to be established by a committee or personnel.  There needs to be an understanding that the SMS will mature over time with continuous improvement process and review.

A phased approach for implementation allows for management of change and for personnel to evolve with the SMS. A realistic time frame for the SMS needs to be applied

Implementation will include a gap analysis of existing practices

1.5 Third party interface

Commercial Airplane RefuelingContracted third party service providers need to be considered in the SMS.  A service level agreement needs to specify what safety expectations are required of them.

An organisation is still responsible for the actions of third party service providers is acting on behalf of, or interacting with the organisations.

Appropriate SMS training will be required for Third Party Service providers.  Management must accept that they are responsible for the safety of all personnel on the worksite, regardless if they are directly employed personnel or not.

 1.6 Coordination of emergency response

Male Hand Pushing Emergency Stop Button.The emergency response plan (ERP) is integral with the SMS and must be activated in the event of a major incident or accident.

In any transition from normal to emergency operations, the responsibilities, delegations, actions and procedures needs to be clearly defined.

The ERP may be a separate manual or as part of the SMS. Its complexity will depend on the size and complexity of the organisation it represents

1.7 SMS documentation

bigstock-Binder-Folders-64006084_modAll aspects of SMS need to be documented. The SMS manual needs to incorporate all components and elements of SMS.

SMS documentation needs to be version controlled with a distribution list.

Compliance will require SMS documentation to be concise and specific with respect to processes and procedures