702 SMS Audit Components 1.1-1.7

Information

1.1 Safety Policy

A Safety Policy is in existence, followed and understood.
The company has based its Safety Management System on the Safety Policy and there is a clear commitment to safety.
The Safety Policy is agreed to and approved by the Accountable Executive.
The Safety Policy is promoted by the Accountable Executive.
The Safety Policy is reviewed periodically for continuing applicability.
The Safety Policy is communicated to all employees with the result that they are made aware of their safety obligations.
The Safety Policy is implemented at all levels of the organization.

There is a policy in place that provides immunity from disciplinary action for employees that report hazards, incidences or accidents.
Conditions under which punitive disciplinary action would be considered (ie. illegal activity, negligence or willful misconduct) are clearly defined and documented.
The policy is widely understood within the organization.
There is evidence that the organization is applying the after policy.

There are documented roles and responsibilities and accountabilities for the Accountable Executive and evidence that the SMS is established, maintained, and adhered to.
The Accountable Executive demonstrates control of the financial and human resources required for the proper execution of his or her SMS responsibilities
A qualified person has been appointed in accordance with the regulation and has demonstrated control of the SMS.
The person managing the operation of the SMS fulfills the required job functions and responsibilities.
Safety authorities, responsibilities and accountabilities are transmitted to all personnel.
All personnel understand their authorities, responsibilities and accountabilities in regards to all safety management processes, decisions and actions.

There are communication processes in place within the organization that permit the SMS to function effectively.
Communication processes (written, meetings, electronic etc.) are commensurate with the size and complexity of the organization.
Information is established and maintained in a suitable medium.
There is a process for the dissemination of safety information throughout the organization and a means of monitoring the effectiveness of this process.

Safety objectives have been established utilizing a safety risk profile that considers hazards and risks.
Objectives and goals are consistent with the safety policy and there attainment is measurable.
Safety objectives and goals are reviewed and updated periodically.
There is a documented process to develop a set of safety goals to achieve overall safety objectives.
Safety objectives and goals are documented and publicized.

There is a documented process to develop and maintain a set of performance parameters that are linked to the organization's goals and objectives.
Procedures have been established and maintained to monitor and measure safety performance on a regular basis.

Periodic planned reviews, and reviews for the cause of the company's SMS are conducted to ensure it's continuing adequacy and effectiveness as well as a review of company safety performance and achievement.
The SMS review includes: A) Internal audit results, B) Activities to verify employees understands he SMS and their role and responsibilities. C) Safety objective achievement results, D) Hazard occurrence investigation and analysis results, E) Internal/external feedback analysis and results, F) Status of corrective and preventative action(s)' G) Follow up actions from previous management reviews, H) Changes that could affect the SMS, I) Recommendations for improvement, J) Sharing of best practices across the organization.
There is a documented procedure defining responsibilities and requirements for planning and conducting internal audits of: A) Management policies, controls and procedures concerning all safety critical activities, B) The implementation and maintenance of SMS requirements are established by the organization.
There is a process to evaluate the effectiveness of corrective actions resulting from management review.