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.
9.10 THE RELATIONSHIP BETWEEN SAFETY RISK MANAGEMENT SRM AND SAFETY ASSURANCE SA
9.10.1 The subtleties of the relationship between safety risk management and safety assurance are frequently a
source of confusion. One of the first tasks in effective safety risk management and safety assurance is for both the service provider and the civil aviation oversight authority to have a thorough understanding of the configuration and
structure of the organizational system and its activities. A significant number of hazards and safety risks exist from improper design of these activities or a poor fit between the system and its operational environment. In these cases,
hazards to operational safety may be poorly understood and therefore inadequately controlled. 9.10.2
The safety risk management function of an SMS provides for initial identification of hazards and assessment of safety risks. Organizational safety risk controls are developed, and once they are determined to be
capable of bringing the safety risk to ALARP, they are employed in daily operations. The safety assurance function takes over at this point to ensure that the safety risk controls are being practised as intended and that they continue to achieve
their intended objectives. The safety assurance function also provides for the identification of the need for new safety risk controls because of changes in the operational environment.
9.10.3
In an SMS, the system’s safety requirements are developed from, and based upon, an objective assessment of safety risks in the organization’s activities supporting service delivery. The assurance side of the system
concentrates on the organization proving to itself and to appropriate external parties that those requirements have been met, through collection and analysis of objective evidence.
9.10.4
The safety risk management function of an SMS therefore provides for the assessment of safety risks in operations supporting service delivery, as well as development of controls to bring the assessed risks to ALARP. It also
supports safety decisions in relation to these activities. Once in place, the safety assurance function of the SMS operates in a manner very similar to the quality assurance function in a QMS. In fact, the safety assurance functions of
the SMS were derived almost directly from ISO 9001-2000, the international quality management standard. As already discussed, there is one significant difference: while typical QMS requirements are customer requirements and are based
on customer satisfaction, SMS requirements are safety requirements and are based on safety satisfaction.
9-14 Safety Management Manual SMM
9.10.5 It is important to reiterate the roles of the two functions within the integrated processes of an SMS. The
safety risk management SRM process provides for initial identification of hazards and assessment of risk. Safety risk controls are developed, and once they are determined to be capable of bringing the safety risk to ALARP, these controls
are employed in daily operations. It is at this point that the safety assurance SA function takes over. Safety assurance assures i.e. gives confidence that organizational controls are being practised and that all types of controls continue to
achieve their intended objectives. This system also provides for assessment of the need for new controls due to changes in the operational environment. Figure 9-1 presents this concept in visual format.
Figure 9-1. The relationship between safety risk management and safety assurance
SRM SA
Analysis
Assessment
Design Operation
System description gap analysis
Description and context
Specific information
Problem resolution
System operation
Safety performance monitoring and
measurement
Continuous improvement
Management of change
Corrective action Hazard identification
Safety risk assessment
Safety risks
Safety risk mitigation
Chapter 9. SMS Operation 9-15
9.11 SAFETY PROMOTION — TRAINING AND EDUCATION 9.11.1
