Safety Management System

• Site conducted

  Select

• Conducted on

  Date

• Prepared by

• Location
  Address

Management Commitment and Responsibility

• SOUND: Is there a safety policy that:

• Reflects management’s commitment to safety?

  Yes

  No

  N/A

• Includes a clear statement about providing necessary resources?

  Yes

  No

  N/A

• Includes safety reporting procedures?

  Yes

  No

  N/A

• Is signed and dated by the Accountable Executive (AE)?

  Yes

  No

  N/A

• Is communicated, with visible endorsement, throughout the organization?

  Yes

  No

  N/A

• Indicates which types of behaviors that are unacceptable?

  Yes

  No

  N/A

• Includes the conditions under which exemption from disciplinary action would be applicable?

  Yes

  No

  N/A

• Is periodically reviewed to ensure it remains relevant and appropriate to the organization?

  Yes

  No

  N/A

• APPROPRIATE

• Is the safety policy relevant to the scope and complexity of the organization’s operations?

  Yes

  No

  N/A

• Is everyone aware of the safety policy?

  Yes

  No

  N/A

• EFFECTIVE

• Is the safety policy reinforced by day-to-day decisions?

  Yes

  No

  N/A

• Is everyone committed to enhancing safety performance?

  Yes

  No

  N/A

• Is there visible evidence of management demonstrating by example?

  Yes

  No

  N/A

Safety Accountabilities

• SOUND: Does the SMS documentation identify the AE and the safety responsibilities, accountabilities, and authorities of all personnel, to include a definition of the levels of management with authority to make
  decisions regarding safety risk tolerability?
  

• APPROPRIATE

• Do the AE’s terms of reference indicate his/her ultimate responsibility for the SMS?

  Yes

  No

  N/A

• Are there clear lines of safety accountabilities throughout the organization?

  Yes

  No

  N/A

• EFFECTIVE

• Are the resources available to manage risks effectively?

  Yes

  No

  N/A

• Does everyone know their role in the SMS and participate accordingly?

  Yes

  No

  N/A

Appointment of Key Safety Personnel

• SOUND: Does the SMS documentation include an appointment of a safety manager?

• APPROPRIATE

• Is the safety manager properly trained?

  Yes

  No

  N/A

• EFFECTIVE

  Yes

  No

  N/A

• Are the results of safety management activities formally recorded and analyzed?

  Yes

  No

  N/A

• Yes

  No

  N/A

Coordination of ERP

• SOUND: Does the SMS documentation include an ERP that is properly coordinated with the emergency response plans of those organizations it must interface with during the provision of its services?

• APPROPRIATE

• Is there a procedure for periodic review of the ERP to ensure its continuing relevance and effectiveness?

  Yes

  No

  N/A

• EFFECTIVE

• Is the ERP regularly tested and updated including coordination with other organisations as appropriate?

  Yes

  No

  N/A

SMS Documentation

• SOUND: Does the SMS documentation include:
  

• A plan that defines the organization‘s approach to meet the safety objectives

  Yes

  No

  N/A

• Safety policy and objectives

  Yes

  No

  N/A

• SMS requirements

  Yes

  No

  N/A

• SMS processes and procedures

  Yes

  No

  N/A

• Accountabilities, responsibilities and authorities for processes and procedures

  Yes

  No

  N/A

• SMS outputs

  Yes

  No

  N/A

• APPROPRIATE

• Is the SMS documentation readily available to ALL personnel?

  Yes

  No

  N/A

• EFFECTIVE

• Is there evidence that the SMS documentation is regularly reviewed and updated?

  Yes

  No

  N/A

• Does the documentation provide evidence that safety objectives are being met?

  Yes

  No

  N/A

Hazard Identification

• SOUND: Is there a formal process to ensure hazards are identified using
  the following methods

• Reactive?

  Yes

  No

  N/A

• Proactive?

  Yes

  No

  N/A

• Predictive?

  Yes

  No

  N/A

• APPROPRIATE

• Is there a reporting system to capture errors, hazards and near misses that is simple to use and accessible to all personnel?

  Yes

  No

  N/A

• Is there a procedure to review hazards/risks from external reports?

  Yes

  No

  N/A

• EFFECTIVE

• Are hazards, errors, near misses, and audit findings being identified and reported throughout the organization?

  Yes

  No

  N/A

• Are employees confident they can report apparent safety deficiencies without retribution?

  Yes

  No

  N/A

• Are both internal and external information used to update the safety risk profile?<br>

  Yes

  No

  N/A

• Is there a procedure for periodic review of existing risk analysis records?

  Yes

  No

  N/A

Risk Assessment and Mitigation

• SOUND: Is there a formal process for to manage safety risks that includes:

• Analysis?

  Yes

  No

  N/A

• Assessment?

  Yes

  No

  N/A

• Control?

  Yes

  No

  N/A

• APPROPRIATE

• Does the AE and management team have visibility of medium and high risks and their controls?

  Select Yes No N/A

  • Yes
  • No
  • N/A

• Do training programs highlight safety critical issues identified in the safety risk profile?

  Yes

  No

  N/A

• Does the Ops Manual contain mitigation described in the safety risk profile?

  Yes

  No

  N/A

• EFFECTIVE

• Does the organization use its risk management results to develop best practices?

  Yes

  No

  N/A

• Is the information indicating the need to change respected, valued, validated, and used?

  Yes

  No

  N/A

• Is there consistent feedback to encourage the future participation of managers and employees?

  Yes

  No

  N/A

• Is the Operations Manual consistently employed by operational managers and staff?

  Yes

  No

  N/A

• Does mitigation take into account Human Factors and Organizational Factors

  Yes

  No

  N/A

Safety performance monitoring and measurement

• SOUND: Is there a process and/or procedure to:
  

• Validate the effectiveness of the safety risk controls?

  Yes

  No

  N/A

• To established safety performance indicators and targets?

  Yes

  No

  N/A

• APPROPRIATE

• Has the organization developed a series of safety performance indicators that are appropriate to the type of operation?

  Yes

  No

  N/A

• Are safety indicators and targets specific, measurable, agreed to, relevant and time-based?

  Yes

  No

  N/A

• Is the information from occurrences analyzed and where appropriate, used to upgrade policies and procedures?

  Yes

  No

  N/A

• Are priorities regularly reviewed, reassessed and, if required, reassigned to address safety issues?

  Yes

  No

  N/A

• EFFECTIVE

• Are safety targets being achieved?

  Yes

  No

  N/A

• Is there a means to measure and monitor trends and take appropriate action when necessary?

  Yes

  No

  N/A

• Have the controls for the safety risks been evaluated?

  Yes

  No

  N/A

• Are the results from internal audits used to measure safety performance?

  Yes

  No

  N/A

Management of Change

• SOUND: Is there a process to identify and manage organizational changes that may affect safety?

• APPROPRIATE

• Are stakeholders involved in the change management process?

  Yes

  No

  N/A

• Are there procedures for managing the revisions of documents, manuals, and checklists?

  Yes

  No

  N/A

• Are changes to critical documents communicated throughout the organization?

  Yes

  No

  N/A

• EFFECTIVE

• Does the organization use the SMS to proactively assess all major changes to the organisation and its operations

  Yes

  No

  N/A

• Do staff members always use up-to-date documents, manuals, checklists, and/or procedures?

  Yes

  No

  N/A

Continuous Improvement

• SOUND: Is there a process or procedure to ensure continuous improvement of the SMS?

• APPROPRIATE

• Is there an internal audit/assessment process and a follow-up procedure to address audit findings?

  Yes

  No

  N/A

• EFFECTIVE

• Is there evidence of improvements to policies, procedures, and/or processes based on internal audit findings?

  Yes

  No

  N/A

Training and Education

• SOUND: Has the organization developed and maintained safety training programs that ensure that personnel are competent to perform their SMS duties?

• APPROPRIATE

• Does training include human and organisational factors with the intent of reducing human error?

  Yes

  No

  N/A

• Does technical training (i.e. pilot, maintenance, dispatch/scheduling, etc.) reinforce SMS principles (i.e. human factors, organizational factors, risk assessments, risk management, etc.)?

  Yes

  No

  N/A

• EFFECTIVE

• Is there evidence that all personnel involved in SMS operations have undergone appropriate SMS training?

  Yes

  No

  N/A

• Are executives, managers, and staff capable of performing their roles to proactively manage safety?

  Yes

  No

  N/A

Safety Communication

• SOUND: Has the organization developed and maintained a formal means of safety communication?

• APPROPRIATE

• Are significant events and investigation outcomes from internal and external sources communicated to all personnel?

  Yes

  No

  N/A

• EFFECTIVE

• Is there evidence that all personnel are aware of the SMS, safety critical information, and their role in respect of aviation safety?

  Yes

  No

  N/A

• Has the operator established and maintained a system for identifying applicable regulations, standards, approvals, and exemptions and demonstrated compliance with them?

  Yes

  No

  N/A

• Has the organization established a flight data analysis program <br>(Recommended Practice)

  Yes

  No

  N/A