PROCESS 3.1.2 INTERNAL AUDITS BY OPERATIONAL DEPARTMENTS.

                           (a) Performance Objective. The organization will perform regularly scheduled internal audits of its operational processes, including those performed by contractors, to verify safety performance and evaluate the effectiveness of safety risk controls.

                           (b) Design Expectations.
       (1) Line management of operational departments will conduct regular internal audits of
            safety-related functions of the organization’s operational processes (production system).        (2) Line management will ensure that regular audits are conducted to:
             (a) Determine conformity with safety risk controls, and
             (b) Assess performance of safety risk controls.
       (3) Planning of the audits program will take into account:
            (a) Safety criticality of the processes to be audited, and
            (b) The results of previous audits.
      (4) The organization will define:
           (a) Audits, including:
                           1. Criteria,
                           2. Scope,
                          3. Frequency,
                          4. Method;
          (b) How the auditors will be selected; and
          (c) The requirement that auditors will not audit their own work.

 (5) The organization will document audit procedures, to include:
          (a) The responsibilities; and
          (b) Expectations for:
                                   1. Planning audits,
                                   2. Conducting audits,
                                   3. Reporting results,
                                  4. Maintaining records, and
                                  5. Auditing contractors and vendors.
                Internal Audits by Operating Departments. ( Process 3.1.2) Top management has the ultimate responsibility and authority for the SMS; however, line managers of operational departments have the daily responsibility for quality control and for ensuring that the processes in their areas of responsibility function as designed. 
                The primary responsibility for safety management rests with those who own the technical processes. It is here where hazards are most directly encountered, where deficiencies in processes contribute to risk, and where direct supervisory control and resource allocation can mitigate the risk to acceptable levels. 
                 Line managers exercise their responsibility through internal auditing of their process. The SMS Framework specifies a responsibility for internal auditing of the operator’s productive processes. 
              SMS Framework’s auditing requirements are left at a functional level, allowing for a broad range of complexity, commensurate with the complexity of the organization.

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