Safety Management Systems Roundtable Summary and …

1 Corporate Partnership BoardCPBS afety Management Systems Summary and Conclusions Roundtable172 Corporate Partnership BoardCPBS afety Management Systems Summary and Conclusions172 The International Transport Forum The International Transport Forum is an intergovernmental organisation with 59 member countries. It acts as a think tank for transport policy and organises the Annual Summit of transport ministers. ITF is the only global body that covers all transport modes. The ITF is politically autonomous and administratively integrated with the OECD. The ITF works for transport policies that improve peoples lives.

2 Our mission is to foster a deeper understanding of the role of transport in economic growth, environmental sustainability and social inclusion and to raise the public profile of transport policy. The ITF organises global dialogue for better transport. We act as a platform for discussion and pre-negotiation of policy issues across all transport modes. We analyse trends, share knowledge and promote exchange among transport decision-makers and civil society. The ITF s Annual Summit is the world s largest gathering of transport ministers and the leading global platform for dialogue on transport policy. The Members of the Forum are.

3 Albania, Armenia, Argentina, Australia, Austria, Azerbaijan, Belarus, Belgium, Bosnia and Herzegovina, Bulgaria, Canada, Chile, China (People s Republic of), Croatia, Czech Republic, Denmark, Estonia, Finland, France, Former Yugoslav Republic of Macedonia, Georgia, Germany, Greece, Hungary, Iceland, India, Ireland, Israel, Italy, Japan, Kazakhstan, Korea, Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Mexico, Republic of Moldova, Montenegro, Morocco, the Netherlands, New Zealand, Norway, Poland, Portugal, Romania, Russian Federation, Serbia, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, Turkey, Ukraine, the United Arab Emirates, the United Kingdom and the United States.

4 International Transport Forum 2 rue Andr Pascal F-75775 Paris Cedex 16 ITF Roundtables ITF Roundtables bring together international experts to discuss specific topics notably on economic and regulatory aspects of transport policies in ITF member countries. Findings of ITF Roundtables are published in a Summary and Conclusions paper. The opinions expressed and arguments employed in this publication do not necessarily reflect the official views of ITF or OECD member countries. Neither the OECD, ITF nor the authors guarantee the accuracy of any data or other information contained in this publication and accept no responsibility whatsoever for any consequence of their use.

5 This document and any map included herein are without prejudice to the status of or sovereignty over any territory, to the delimitation of international frontiers and boundaries and to the name of any territory, city or area. Cite this work as: ITF (2018), " Safety Management Systems ", International Transport Forum Roundtable Report, OECD Publishing, Paris. Safety Management Systems | Summary and Conclusions | ITF Roundtable 172 OECD/ITF 2018 3 Acknowledgements This Summary and Conclusions paper was written by Anthony Ciavarelli (Human Factors Associates), Sarah Flaherty (Clockwork Research), Kathy Fox (Transportation Safety Board of Canada), Erik Hollnagel (University of Southern Denmark), Alain Lumbroso (International Transport Forum) and Jens- we Schroeder-Hinrichs (World Maritime University) for the Roundtable on Safety Management Systems which was held on March 23-24, 2017 in Paris.

6 Safety Management Systems | Summary and Conclusions | ITF Roundtable 172 4 OECD/ITF 2018 Table of contents Introduction .. 5 Issues addressed .. 6 Defining a Safety Management system .. 7 Current state of SMS across modes of transport .. 13 The functional state of the SMS .. 24 SMS in a non-transport context: The offshore oil and gas case study .. 35 Measuring the success of SMS: The Safety -I or Safety -II approach? .. 37 Culture and SMS .. 40 A sectorial SMS: Is it possible? .. 46 Divergence on SMS .. 51 The future of the SMS .. 53 Conclusions and recommendations .. 54 References .. 57 Notes .. 63 Safety Management Systems | Summary and Conclusions | ITF Roundtable 172 5 OECD/ITF 2018 Introduction Safety Management Systems (SMS) have attracted much attention as a framework to identify hazards, vulnerabilities and risk and to put in place the appropriate mitigation measures to enable the highest level of Safety performance in transport Systems .

7 Many experts consider SMS to have improved the Management of Safety within organisations. While it is generally acknowledged that SMS can be an effective strategy to reduce risk, and by extension to improve Safety performance, it can be difficult to demonstrate this empirically due to a lack of availability of relevant Safety statistics (Lappalainen, 2017). There are also many misconceptions associated with the SMS that come from an inconsistent and incomplete understanding of the concept, its vocabulary and definitions. The exact origins of SMS are unclear and have evolved organically from a series of best practices (Thomas, 2012).

8 SMS has gained prominence as regulatory regimes have gradually shifted from prescriptive regulations to performance-based regulations, placing the responsibility for Safety on the shoulders of the organisation. Practices linked with organisational Safety Management were grouped together as a holistic system that could help demonstrate that an organisation was implementing all reasonable and feasible measures to ensure the Safety of its customers and employees. Hale and Hovden (1998) argue that an organisation s own responsibility for Safety Management was perhaps only first realised after the Robens Committee report in the 1970s that recommended that a company s Management must assume responsibility for how that company manages risk, leading to the 1974 UK Health and Safety at Work Act.

9 This act introduced the challenging notion of self-regulation and a duty of care by the organisation for the health and well-being of its employees (Thomas, 2012). Thus began the notion that an organisation is responsible to think beyond simple compliance with laws and regulations and actually take responsibility for Safety and for managing risk. Starting as a technique to address general workplace and occupational health and Safety issue, the SMS approach was extended and developed particularly in the chemical industry after the 1976 Seveso disaster, a large-scale release of toxins at a chemical plant in Italy, and in the offshore oil and gas industry after the 1988 Piper Alpha oil platform explosion that killed 167 workers (Cullen, 1990).

10 Eventually, SMS principles made their way to the transport sector, first in maritime transport through the ISM Code, then in rail, for example through, the Railway Safety Act of Canada in 2001, in aviation through Annex 19 of the Chicago Convention (ICAO, 2013) and eventually to transit and the road sector. The point of departure for this report, supported by the view of many Roundtable participants, is that the SMS should be a tool for Management . This tool is used to identify hazards and evaluate risks and comprises various subcomponents related to Safety , such as Safety assurance, promotion or documentation. Throughout, we endeavour to present SMS under a lens that is not related to any particular mode of transport, or restricted to the transport sector.