CONTINUOUS IMPROVEMENT OF THE SMS .1
9-12 Safety Management Manual SMM
c Past performance. Past performance of critical systems is a proven indicator of future performance.
This is where the closed-loop nature of safety assurance comes into play. Trend analyses in the safety assurance process should be employed to track safety performance measures over time and to factor
this information into the planning of future activities under situations of change. Moreover, where deficiencies have been found and corrected as a result of past audits, evaluations, investigations or
reports, it is essential that such information is considered to assure the effectiveness of corrective actions.
9.8.4 A formal management of change process should then identify changes within the organization which may
affect established processes, procedures, products and services. Prior to implementing changes, a formal management of change process should describe the arrangements to ensure safety performance. The result of this process is the
reduction in the safety risks resulting from changes in the provision of services by the organization to ALARP. 9.8.5
Chapter 7 discusses the importance of describing the system system description as one of the fundamental preliminary activities in the planning of an SMS. The objective of the system description is to determine a
baseline hazard analysis for the baseline system. As the system evolves, seemingly small, incremental changes in the system or the environment which provides the context for the system operation can accumulate over time, which will
make the initial system description inaccurate. Therefore, as part of a formal process of the management of change, the system description and the baseline hazard analysis should be reviewed periodically, even if circumstances of change
are not present, to determine their continued validity. When changes to the system are made, and periodically thereafter, an organization should go over its system, its anticipated, and its actual operational environment, to make sure it
continues to hold a clear picture of the circumstances under which the provision of service takes place.
9.9 CONTINUOUS IMPROVEMENT OF THE SMS 9.9.1
Assurance builds on the principle of the continuous improvement cycle. In much the same way that quality assurance facilitates continuous improvements in quality, safety assurance ensures control of safety performance,
including regulatory compliance, through constant verification and upgrading of the operational system. These objectives are achieved through the application of similar tools: internal evaluations and independent audits both internal and
external, strict document controls and ongoing monitoring of safety controls and mitigation actions. 9.9.2
Internal evaluations involve the evaluation of the operational activities of the organization as well as the
SMS-specific functions. Evaluations conducted for the purpose of this requirement must be conducted by persons or organizations that are functionally independent of the technical process being evaluated i.e. a specialist safety or quality
assurance department or another sub-organization as directed by senior management. The internal evaluation function also requires auditing and evaluation of safety management functions, policymaking, safety risk management, safety
assurance and safety promotion. These audits provide the management officials designated responsibility for the SMS to inventory the processes of the SMS itself.
9.9.3
Internal audits are an important tool for managers to use to obtain information with which to make
decisions and to keep operational activities on track. The primary responsibility for safety management rests with those who “own” the organization’s technical activities supporting the delivery of services. It is here where hazards are most
directly encountered, where deficiencies in activities contribute to safety risks, and where direct supervisory control and resource allocation can mitigate the safety risks to ALARP. While internal audits are often thought of as a test or
“grading” of an organization’s activities, they are an essential tool for safety assurance, to help managers in charge of activities supporting the delivery of services to control that, once safety risk controls have been implemented, they
continue to perform and are effective in maintaining continuing operational safety. 9.9.4
External audits of the SMS may be conducted by the regulator, code-share partners, customer
organizations, or other third parties selected by the organization. These audits not only provide a strong interface with the oversight system but also a secondary assurance system.
Chapter 9. SMS Operation 9-13
9.9.5 Continuous improvement of the SMS thus aims at determining the immediate causes of below standard
performance and their implications in the operation of the SMS, and rectifying situations involving below standard performance identified through safety assurance activities. Continuous improvement is achieved through internal
evaluations, internal and external audits and applies to:
a proactive evaluation of facilities, equipment, documentation and procedures, for example, through internal evaluations;
b proactive evaluation of an individual’s performance, to verify the fulfilment of that individual’s safety responsibilities, for example, through periodic competency checks form of evaluationaudit; and
c reactive evaluations in order to verify the effectiveness of the system for control and mitigation of safety risks, for example, through internal and external audits.
9.9.6 As a conclusion, continuous improvement can occur only when the organization displays constant
vigilance regarding the effectiveness of its technical operations and its corrective actions. Indeed, without ongoing monitoring of safety controls and mitigation actions, there is no way of telling whether the safety management process is
achieving its objectives. Similarly, there is no way of measuring if an SMS is fulfilling its purpose with efficiency.