Within our Aviation system, both Quality and Safety Management systems have shared common values. To be effective they both have to be planned and managed and provided with appropriate resources. In addition, both aim to involve every relevant functional element within the organization and indeed, both processes strive for continuous improvement. 

Root Cause is Root Cause you may correctly say! So how can there be a difference between Quality Management Systems (QMS) Root Cause and Safety Management Systems (SMS) Root Cause?

Let's first consider the Different roles of Quality & Safety.

Quality is looking at Compliance (It has happened!).

Quality systems tend not to consider the role of risk whereas of course,e this is a fundamental tenant of the SMS system.

The Quality Management System (QMS) remains however the primary means of ensuring that the organization is meeting requirements (Ensuring Regulatory Compliance) and continuously improving its processes.

Safety is looking at Risk & Exposure (It may happen!).

Safety Management Systems focus extensively on the analysis of the data derived from the contributing elements of the various impacted areas. In addition, the Safety Management System identifies as an essential goal, the improvement of the Safety Performance. In so doing the SMS aims to deliver an improvement in the risk exposure.

In essence, Quality Assurance is determining gaps based on observed noncompliance “external” with the regulatory requirements or “internal” with the organisational requirements developed to ensure compliance with the external regulations.

Safety Assurance is looking at weaknesses in the organisational system which raise the risk exposure. Safety Assurance is a forward-looking process and Quality Assurance is a reward-looking process.

So what does this mean for RCA - Consider.

In the event of a Quality Audit Finding (Corrective Action or Discrepancy), The Nominated Person (NP) or Business Area Owner is ultimately responsible for determining the Root Cause and to take the Necessary Corrective action – mitigation to correct the discrepancy.

For a Quality Finding the Business Owner is Responsible for RCA and the necessary Corrective Action.

In the event of an SMS “Issue” for example, a report of an “Exposure” (Hazard with an unacceptable level of threat) the SMS nominated person or persons (Safety Expert Group for example) will assess the exposure using assessment tools and the output will be a Mitigation Proposal.

For a Safety Finding the Business Owner is not directly responsible for RCA but is responsible for considering the Mitigation Proposal and to finally determine what action (If any) will be taken in response.

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