Evaluating SMS Audit and Investigation Functions

A Safety Management System (SMS) should include an audit and assessment capability and periodic audits should be conducted as a part of the ongoing management of the SMS. The purposes of these audits include examining the system to identify strengths, weaknesses, risks and opportunities for improvement. It is also used to compare stated objectives and operating procedures with actual work practices.

The audit activities can be conducted by company staff or by using independent people. Ideally, the auditors have some training in audit principles.

An important role of the audit function is to evaluate the effectiveness of the SMS. In my experience, operators large and small often have some difficulty undertaking this activity and obtaining an objective assessment and recommendations which, if accepted, will deliver an improvement in the SMS. The reasons can vary, but sometimes, it is because the auditors are not properly trained or inexperienced, the audit processes and tools are deficient, and most significantly, Management is not supportive enough of the internal review process and the notion of continual improvement.

The effectiveness of an SMS periodic review or regular internal audit activity is only as good as the audit function. In other words, ineffectual audting will produce sub-optimal results, and to use IT speak; garbage in, garbage out.

This leads to the logical question as to how is the SMS audit function reviewed. An objective assessment is unlikely, if the auditors review their own work, although where the activity involves a number of people, some self assessment in conjuction with an external review is valuable.

Ideally, an independent review is desireable. Smaller companies may not wish to engage an external person to conduct the review, in which case, it is management's responsibility to review the audit function. Sometimes they may appoint staff to assist in this process which also may be valuable for other reasons. Large organizations may engage an external person or company, to conduct the review, either by themselves or in conjunction with other staff.

Regardless of which type of review is undertaken, it is very important that Management understand that an effective SMS audit and investigations function is critical to the success of the SMS. It assists the Managers to understand what is occuring on a day to day basis, aids in preparing remedial actions, and ideally, supports the culture of continual improvement within the organization.

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Robert Collins | Tuesday, July 29, 2008 | Comments (0) | Trackbacks (0) | Permalink