Information
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
3.1 Reactive Process
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The certificate holder has a process or system that provides for the capture of information including hazards, incidents, accidents and other data relevant to SMS.
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The reactive reporting system is simple, accessible and commensurate with the size and complexity of the organization.
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Reactive reports are reviewed at the appropriate level of management.
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There is a feedback process to notify contributors that their reports have been received and to share the end results of the analysis.
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There is a process in place to monitor and analyze trends.
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Corrective actions are generated and implemented to respond to the event analysis.
3.2 Proactive Process
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The certificate holder has a proactive process or system that provides for the capture of information identified as hazards and other data relevant to SMS and develops a hazard register.
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The proactive reporting process is simple, accessible and commensurate with the size and complexity of the organization.
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Proactive reports are reviewed at the appropriate level of management.
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There is a feedback process to notify contributors that there proactive reports have been received and to share the end result of the analysis.
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There is a process to monitor and analyze trends.
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Corrective actions are generated and implemented in response to hazards analysis.
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The organization has planned self evaluation processes such as regularly scheduled reviews, evaluations, surveys, operational audits, assessments etc.
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The organization conducts hazard analyses and builds a safety case for changes that may impact their operations such as:<br>A) Introduction to new aircraft<br>B) Change in route structures<br>C) Change in key personnel<br>D) significant staff changeover<br>E) when many employees are inexperienced<br>F) Mergers<br>G) Times of rapid growth<br>H) Financial challenges
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The organization has a clearly defined interval between hazard analyses.
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The organization will develop a safety risk profile that prioritizes hazards listed on the hazard register.
3.3 Investigation and Analysis
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There is a procedure in place for the conduct of the investigation.
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Measures exist to ensure that hazards, incidents and accidents are reviewed, and where required, investigated.
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There is a process to ensure that hazards, incidents and accidents are analyzed to identify contributing root causes.
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When identifying contributing and root causes, the organization considers individual human factors, the environment, supervision and organizational elements.
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The organization has a competent staff to investigate commensurate with its size and complexity.
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Results of the analysis are communicated to the responsible manager for corrective action and to other relevant managers for their information.
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There is a process to capture information from an investigation that can be used to monitor and analyze trends.
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There is evidence that the organization has made every effort to complete the investigation and analysis process in the established timeframe.
3.4 Risk Management
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There is a structured process for the management of risk that includes the assessment of risk associated with identified hazards, expressed in terms of severity and probability of occurrence and where applicable, the level of exposure.
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There are criteria for evaluating the level of risk and the tolerable level of risk the organization is willing to accept.
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The organization has risk control strategies that include risk control, risk acceptance, risk mitigation, risk elimination, and where applicable, a corrective action plan.
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Corrective actions resulting from the risk assessment, including timelines, are documented.
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The organization has a process for evaluating the effectiveness of the corrective actions.
