What are the most common gaps in a safety management systems audit?

3 Insufficient documentation and records

A third important element of an SMS is the documentation and records management, which involves creating, maintaining, and storing the evidence and data that support the SMS implementation and performance. However, an SMS audit may find that the documentation and records are insufficient, inaccurate, or inaccessible. This can result in a lack of traceability, accountability, and transparency of the SMS activities and outcomes. To close this gap, the organization should develop and follow a documentation and records management policy and procedure, ensure the quality and accuracy of the documents and records, and use appropriate tools and systems to store and retrieve them.

4 Poor training and competency

A fourth critical element of an SMS is the training and competency development, which involves providing the necessary knowledge, skills, and abilities for the personnel involved in the power engineering activities and operations. However, an SMS audit may find that the training and competency development is poor, inadequate, or ineffective. This can result in a lack of awareness, understanding, or compliance with the SMS requirements and expectations. To close this gap, the organization should conduct a training needs analysis, design and deliver relevant and engaging training programs, and evaluate and monitor the training effectiveness and competency levels.

5 Weak monitoring and evaluation

A fifth essential element of an SMS is the monitoring and evaluation process, which involves measuring, reviewing, and improving the SMS performance and results. However, an SMS audit may find that the monitoring and evaluation process is weak, irregular, or superficial. This can result in a lack of feedback, learning, or improvement opportunities for the SMS. To close this gap, the organization should define and use appropriate performance indicators and targets, collect and analyze relevant data and information, and conduct regular and systematic reviews and audits of the SMS.

6 Lack of stakeholder engagement

A sixth important element of an SMS is the stakeholder engagement process, which involves identifying, communicating, and consulting with the internal and external parties that have an interest or influence on the power engineering activities and operations. However, an SMS audit may find that the stakeholder engagement process is lackluster, sporadic, or one-sided. This can result in a lack of trust, collaboration, or feedback from the stakeholders, which can affect the SMS performance and reputation. To close this gap, the organization should map and prioritize the stakeholder groups, develop and implement a stakeholder engagement plan, and use effective and appropriate communication channels and methods.

7 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?