The Role of Safety Audits and Surveys in Maintaining Part 21 Safety Assurance

Sofema Online (SOL) www.sofemaonline.com Considers the role and purpose of Safety Audits and Surveys in support of the EASA Part 21G & J Safety Management System (SMS)

Introduction - Distinguishing Safety Audits from Compliance Audits

In the context of EASA Part 21 G Production Organisation & EASA Part 21 J Design Organizations, Safety Audits and Surveys are Vital for ensuring ongoing safety assurance within the Safety Management System (SMS). These tools help identify potential risks, improve processes, and ensure that safety is prioritized throughout design activities. To consider the role of safety audits and surveys, best practices, challenges, and the roles and responsibilities within this context.

 The key difference between Safety Assurance and Quality Assurance lies in their approach.

• Safety Audits in Safety Assurance do not focus on the identification of specific risks but rather on evaluating the process by which the organization identifies, assesses, and mitigates risks.

• Safety audits ensure the process itself is fit for purpose, effective, and adaptable.

• Compliance Audits, on the other hand, are focused on ensuring the presence and consistent application of these processes, but they do not measure their practical effectiveness in managing risks.

The Role of Safety Audits in Safety Assurance - Integrating Safety Surveys into the SMS

Safety Audits serve as a critical tool within Safety Assurance, designed to evaluate the effectiveness of the organization’s process for identifying and managing risk.

• Unlike regular operations, which are responsible for the actual identification of hazards and the evaluation of risks, safety audits focus on assessing the robustness of this risk management process itself.

• The specific objectives of safety audits include:

>> Evaluating Hazard Identification Processes: Safety audits do not directly identify hazards but assess how well the organization’s processes do this.

• To consider whether the procedures in place are systematically uncovering potential risks across operations, assessing if hazard identification processes are both comprehensive and consistently applied.

>> Assessing Risk Evaluation Effectiveness: Safety audits also review the quality of risk assessments performed during routine operations.

• To examine whether risk evaluation is thorough, appropriately considers worst-case scenarios, and applies suitable prioritization criteria for identified risks.

>> Determining Control and Mitigation Efficiency: Audits look at whether the control measures arising from risk assessments are practical, realistic, and effective.

• Safety audits ensure that these controls address the risks appropriately and are reviewed periodically to adapt to any changes in operational circumstances.

>> Verifying Continuous Improvement in Safety: By assessing the procedures for tracking, updating, and improving risk management processes, safety audits ensure that Safety Assurance evolves with operational needs.

• They look at how the organization learns from past incidents and continuously refines its approach to risk.

Considering the Role & Purpose of Safety Surveys

Safety surveys are integral to an effective SMS, aligning with EASA’s requirements for proactive safety management.

By using survey results to adapt processes and improve safety communication, organizations can foster a culture where safety is prioritized at every level.

This cultural emphasis on safety aligns with EASA’s expectations for continual safety monitoring and improvement, strengthening both the SMS and the organization’s overall safety performance in design and certification activities.

In an EASA Part 21 G & J organization, safety surveys are essential tools within the Safety Management System (SMS) initiative.

• The primary purpose of these surveys is to gather qualitative data on the organization’s safety culture, identify potential safety concerns, and assess the workforce's perception of safety practices and policies.

• Unlike audits or direct risk assessments, which focus on objective compliance and risk control, safety surveys delve into subjective insights from employees at all levels, which can highlight areas for improvement that might not be evident in operational or compliance data alone.

Assessing Safety Culture and Climate:

• Safety surveys help the organization measure and understand the current state of safety, culture and climate.

• For Design & Production Organizations, this insight is crucial as design and development activities have far-reaching impacts on aircraft safety.

>> Surveys capture the workforce’s attitude toward safety, risk reporting, and management support for safety initiatives.

Identifying Gaps and Emerging Safety Concerns:

• Safety surveys uncover issues or potential hazards that employees might hesitate to report formally.

>> These could include process inefficiencies, unclear procedures, or even specific areas where they feel risk is inadequately managed.

>> This early feedback helps Part 21J organizations address concerns before they escalate.

Methodology of Safety Surveys in EASA Part 21G & J SMS

Survey Design and Scope Definition: Surveys should be tailored to the specific context of the organization.

The questions should focus on aspects such as risk identification in design processes, clarity of safety procedures, and employee confidence in safety reporting mechanisms. Crafting questions that are relevant to design and certification ensures that the survey data will be actionable within the organization’s SMS framework.

• Frequency and Timing: Safety surveys can be conducted annually or biannually, depending on organizational needs and safety performance.

>> Regular intervals allow for a consistent evaluation of safety culture and climate over time while avoiding survey fatigue among staff.

• Anonymous and Confidential Data Collection: To encourage honest feedback, surveys are typically anonymous and confidential.

>> Employees are more likely to share genuine insights on safety culture, concerns, or even criticism of existing processes if they feel secure in their anonymity.

• Data Analysis and Trend Identification: Once collected, the data is analyzed to identify trends and patterns.

>> For instance, repeated feedback on unclear safety procedures in certain design areas could signal a need for additional training or process revision.

>> Analyzing year-over-year trends can also reveal whether safety culture is improving or if persistent issues need targeted intervention.

• Feedback Loop and Action Plans: The survey findings should be shared with employees to close the feedback loop, demonstrating that their input has been acknowledged and is leading to actionable changes.

>> Action plans derived from survey insights, such as addressing identified safety concerns, clarifying safety procedures, or adjusting training programs, help reinforce the organization’s commitment to safety.

 

Next Steps

For more information, visit the following training course: EASA Part 21 Subpart J Safety Management System Implementation – 2 Days or contact us at [email protected].