3.52 Summary of SMS drivers that promote your continuous improvement in EHS performance

Identifying Drivers – Improve productivity, reduce incidents, and enhance employee morale.

A Safety Case evaluates:

Are the drivers present?
Are they effective?
Are they complete?
What are the consequences if a driver fails?

Strategic SMS Drivers

1. Leadership & Commitment

Visible senior management support
Clear health & safety policy
Integration of safety into company values
Defined accountability at all levels
Good clear and precise communications (page 2)

2. Planning

Hazard identification & risk assessment
Legal & regulatory compliance
Safety objectives & targets
Management of change (MOC)

3. Roles, Responsibilities & Organization

Defined IRS roles and safety responsibilities
Responsibilities Integrated into job descriptions
Adequate resourcing for H&S and training
Clear organizational structure

Operational Drivers

4. Training, Competence & Awareness

Induction and job-specific training
Define competency as experience and qualifications
Competency verification
Ongoing refresher training
Awareness campaigns and toolbox talks

5. Worker Participation & Communication

Two-way communication channels
Active worker involvement (e.g., safety committees)
Encouragement of near-miss and hazard reporting
Safety meetings, briefings, suggestion programs

6. Operational Control

Safe work procedures and permits to work
Maintenance and equipment safety
Hazard controls (engineering, admin, PPE)
Contractor management and supervision

7. Emergency Preparedness

Emergency response plans and drills
Adequate emergency equipment
Trained response teams
Post-drill reviews and continuous updates

8. Safe Physical Work Environment

Good housekeeping and layout
Adequate lighting and ventilation
Ergonomic design
Noise control and signage
Welfare facilities (washrooms, hydration, rest areas)

Evaluation Drivers

9. Incident Reporting & Investigation

Non-punitive reporting culture
Near-miss and incident tracking
Root cause analysis
Corrective and preventive actions (CAPA)
Sharing of lessons learned

10. Performance Monitoring & Improvement

Leading and lagging indicators
Regular inspections and audits
Management reviews
Continuous improvement cycle (Plan–Do–Check–Act)

Carry out your own SMS Pre Audit

Pre-Audit Safety Management System (SMS) Review Checklist

This is a strong practical concept because many companies fear formal audits due to the possibility of uncovering major deficiencies too late. A structured pre-audit helps identify obvious weaknesses early, improves preparedness, reduces stress during certification audits, and demonstrates proactive due diligence.

This pre-audit checklist is designed to provide a rapid overview of an organization’s Safety Management System (SMS) to identify major gaps, weaknesses, missing documentation, or compliance concerns before undertaking a full formal audit.

It is intended as:

A management readiness review
A gap identification exercise
A due diligence overview
A preparation tool for certification, regulatory inspection, or corporate audit

Company Information

Item	Details
Company Name	__________________________
Site Location	__________________________
Audit Date	__________________________
Auditor	__________________________
Contact Person	__________________________
Number of Employees	__________________________
Main Activities	__________________________

1. Management Commitment & Organization

Item	Yes	No	Partial	Comments
Written Health & Safety Policy available	☐	☐	☐
Policy signed by senior management	☐	☐	☐
Policy communicated to workers	☐	☐	☐
Safety responsibilities defined	☐	☐	☐
Organizational chart available	☐	☐	☐
Safety meetings conducted regularly	☐	☐	☐
Joint Health & Safety Committee established	☐	☐	☐
Management demonstrates visible commitment	☐	☐	☐

2. Legal & Regulatory Compliance

Item	Yes	No	Partial	Comments
Applicable regulations identified	☐	☐	☐
Legal register maintained	☐	☐	☐
Required licenses/permits current	☐	☐	☐
Mandatory postings displayed	☐	☐	☐
Regulatory inspections up to date	☐	☐	☐
Compliance deficiencies tracked	☐	☐	☐
Due diligence records maintained	☐	☐	☐

3. Hazard Identification & Risk Management

Item	Yes	No	Partial	Comments
Workplace hazard assessments completed	☐	☐	☐
Risk assessments documented	☐	☐	☐
Safe work procedures available	☐	☐	☐
Critical hazards identified	☐	☐	☐
Control measures implemented	☐	☐	☐
Contractor risks managed	☐	☐	☐
Emergency risks assessed	☐	☐	☐

4. Safety Performance & Records

Item	Yes	No	Partial	Comments
Incident records maintained	☐	☐	☐
Near miss reporting system exists	☐	☐	☐
Investigation reports completed	☐	☐	☐
Corrective actions tracked	☐	☐	☐
Injury statistics reviewed	☐	☐	☐
Trends analyzed	☐	☐	☐
KPI performance indicators established	☐	☐	☐

5. Digitized Records & Document Control

Item	Yes	No	Partial	Comments
Safety records digitized	☐	☐	☐
Document control system exists	☐	☐	☐
Procedures version controlled	☐	☐	☐
Training records electronically maintained	☐	☐	☐
Inspection records retrievable	☐	☐	☐
Backup systems in place	☐	☐	☐
Data protection/security considered	☐	☐	☐

6. Training & Competency

Item	Yes	No	Partial	Comments
Worker orientation program exists	☐	☐	☐
Training matrix available	☐	☐	☐
Competency records maintained	☐	☐	☐
Refresher training conducted	☐	☐	☐
Supervisors trained in safety duties	☐	☐	☐
Contractor competency verified	☐	☐	☐

7. Inspections, Audits & Continuous Improvement

Item	Yes	No	Partial	Comments
Workplace inspections completed	☐	☐	☐
Previous audits available	☐	☐	☐
Audit findings closed out	☐	☐	☐
Management review conducted	☐	☐	☐
Continuous improvement process exists	☐	☐	☐
Lessons learned communicated	☐	☐	☐

8. Emergency Preparedness

Item	Yes	No	Partial	Comments
Emergency response plan available	☐	☐	☐
Fire procedures established	☐	☐	☐
Spill response procedures available	☐	☐	☐
First aid arrangements adequate	☐	☐	☐
Emergency drills conducted	☐	☐	☐
Emergency contacts current	☐	☐	☐

9. Overall Pre-Audit Findings

Major Concerns Identified

Immediate Actions Recommended

Areas Requiring Full Audit Attention

Pre-Audit Summary Rating

Area	Rating
Compliance Status	☐ Good ☐ Moderate ☐ Poor
Documentation Quality	☐ Good ☐ Moderate ☐ Poor
Safety Culture	☐ Good ☐ Moderate ☐ Poor
Risk Management	☐ Good ☐ Moderate ☐ Poor
Audit Readiness	☐ Ready ☐ Partially Ready ☐ Not Ready