A risk-based approach means focusing assurance efforts on the activities and controls that give rise to the most significant safety risks that may impact the successful delivery of the Organization’s objectives. It can also include focusing assurance in areas where the most benefit will be derived from the effort. This means a high-level prioritization approach to identifying, assessing, reporting, and assuring the effectiveness of an organization’s safety management.
Assurance methods
Organizations must demonstrate and ensure that their Safety Process/SMS aligns with risk tolerance.
An organization’s assurance process should provide an objective examination of evidence that demonstrates an independent, objective assessment of risk management and control or governance processes.
A range of assurance methods can be used to provide confidence in the Safety Process/SMS. Below are some examples of different assurance methods.
Oversight / Surveillance
Oversight involves monitoring safety performance, verifying that activities comply with policies, and reviewing processes and documents. Surveillance can be undertaken by observing work performed.
Workplace inspection
On-site safety inspections can measure the management of safety at a workplace level and help identify if improvements are needed. An inspection can help to identify hazards or processes that are not working efficiently.
In addition, inspections can be used to confirm the safe condition of equipment or workplaces. This ensures that equipment is maintained, safe to operate and any deterioration can be detected and corrected in good time. Compliance checks on firefighting equipment or first aid kits would also be an example of a focused workplace inspection.
Safety visits
The opportunity for the organization’s management to explore the effectiveness of risk control measures through planned visits to workplaces to observe
tasks and discuss controls. This is an opportunity for the management to show commitment to safety and communicate with personnel.
Sampling
Sampling is the selection of a representative amount or group of items, people, and areas, which are examined to establish compliance and used to indicate the standard of compliance for the wider group. Sampling is required when it is not practical or cost effective to examine all available information; for example, records are too numerous or too dispersed geographically to justify the examination of every item.
Surveys
Surveys are where a set of questions (computer or paper-based) are asked of a targeted audience to gain a general view from that audience on a given topic. A safety cultural survey would be an example of this.
Audits
An audit is a significant part of the assurance process and is an essential tool used for checking that an organization’s safety processes are in place and are being followed. The purpose of an audit is to determine the level of adequacy and compliance against a set of agreed standards, policies, procedures, or requirements.
An SMS audit looks at the compliance towards components of the organization’s Safety Process/SMS with the audit criteria set out in the safety policy and regulations appropriate to the organization’s activities.
Source: UK’s Defense Ministry
