 3 Safety Management System
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3.2
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Safety Policy and Objectives
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3.2.1a
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Management Commitment and Responsibility
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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Is there a safety policy that:
S1. Reflects management’s commitment to safety?
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Y
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GCOM 2.1.1
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S2. Includes a clear statement about providing necessary resources?
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Y
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GCOM 2.1.1
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S3. Includes safety reporting procedures?
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Y
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GCOM 2.1.1
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S4. Clearly indicate which types of behaviours are unacceptable related to the organization’s aviation activities and include the circumstances under which disciplinary action would not apply?
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Y
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GCOM 2.1.1
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S5. Is signed and dated by the Accountable Executive (AE)?
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Y
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GCOM 2.1.1
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S6. Is communicated, with visible endorsement, throughout the organization?
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Y
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GCOM 2.1
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S7. Is periodically reviewed to ensure it remains relevant and appropriate to the organization?
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Y
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GCOM 2.1
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Is the safety policy relevant to the scope and complexity of the organization’s operations?
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A2. Is everyone aware of the safety policy?
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Is the safety policy reinforced by day-to-day decisions?
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E2. Is everyone committed to enhancing safety performance?
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E3. Is there visible evidence of management demonstrating by example?
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3.2.1b
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Safety Accountabilities
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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Has the organization:
S1. Identified the AE who has ultimate responsibility and accountability for the implementation and maintenance of the SMS?
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Y
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GCOM 2.1.2
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S2. Established defined lines of safety accountability throughout the organization, including a direct accountability for safety on the part of senior management?
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Y
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GCOM 1.2 and 2.1.2
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S3. Identified the accountabilities of all members of the organization with respect to the safety performance of the SMS?
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Y
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GCOM 1.2 and 2.1.2
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S4. Documented safety responsibilities, accountabilities and authorities and communicated these throughout the organization?
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Y
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GCOM 1.2 and 2.1.2
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S5. Defined the levels of management with authority to make decisions regarding safety risk tolerability?
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Y
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GCOM 2.1.2
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Do the AE’s terms of reference indicate his/her ultimate responsibility for the SMS?
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Y
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GCOM 2.1.2
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A2. Are there clear lines of safety accountabilities throughout the organisation?
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Y
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GCOM 1.2 and 2.1.2
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Are the resources available to manage risks effectively?
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E2. Does everyone know their role in the SMS and participate accordingly?
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3.2.1c
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Appointment of Key Safety Personnel
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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S1.Does the SMS documentation include an appointment of a safety manager?
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Y
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GCOM 2.1.3.1
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Is the safety manager properly trained?
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Y
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GCOM 2.1.3.1
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Are the results of safety management activities formally recorded and analysed?
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3.2.1d
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Coordination of ERP
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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S1.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?
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Y
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GCOM 2.1.4
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Is the ERP regularly tested, updated and addresses all possible or likely emergency/ crisis scenarios including coordination with other organisations as appropriate?
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Y
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GCOM 2.1.4 and 5.3
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Is there a procedure appropriate to the size, nature and complexity of the organization with periodic review of the ERP to ensure its continuing relevance and effectiveness?
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Y
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GCOM 2.1.4 and 5.3.1
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3.2.1e
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SMS Documentation
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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S1. Does the SMS documentation include an SMS implementation plan, formally endorsed by the organization, which defines the organization’s approach to the management of safety in a manner that meets the organization’s safety objectives? (Stage 1 only);
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Y
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Referenced in GCOM 2.1.5
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S2. Does the organization’s SMS documentation describe:
i. Safety policy and objectives;
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Y
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GCOM Chapter 2
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ii. SMS requirements?
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Y
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GCOM Chapter 2
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iii. SMS processes and procedures;
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Y
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GCOM Chapter 2
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iv. Accountabilities, responsibilities and authorities for processes and procedures; and
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Y
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GCOM Chapter 2 and 1.2
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v. SMS outputs?
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Y
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GCOM Chapter 2
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S3. Does the organization have an SMS manual? (may be part of the operations manual)
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Y
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GCOM Chapter 2
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Is the SMS documentation readily available to ALL personnel?
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Y
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GCOM page iii
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Is there evidence that the SMS documentation is regularly reviewed and updated?
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E2. Does the documentation provide evidence that safety objectives are being met?
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3.2.2
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Safety Risk Management
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3.2.2a
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Hazard Identification
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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S1. Is there a formal process to ensure hazards are identified?
Note: A safety-risk profile (SRP) or similar document is the foundation for the SMS and is updated periodically. See “SMS Guidance Manual” Section 9.2, in the SMS Toolkit.
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Y
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GCOM 2.3.1
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S2. Is the hazard identification process based on a combination of reactive, proactive and predictive methods of safety data collection?
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Y
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GCOM 2.3.1
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Is there a reporting system to capture errors, hazards and near misses that is simple to use and accessible to all personnel?
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Y
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GCOM 2.3.1.2
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A2. Is there a procedure to review hazards/risks from external reports?
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Y
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GCOM 2.3.1.4
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Are hazards, errors, near misses, and audit findings being identified and reported throughout the organization?
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E2. Are employees confident they can report apparent safety deficiencies without retribution?
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E3. Are both internal and external information used to update the safety risk profile?
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E4. Is there a procedure for periodic review of existing risk analysis records?
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3.2.2b
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Risk Assessment and Mitigation
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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S1. Is there a formal process to manage safety risks that includes:
i. Analysis?
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Y
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GCOM 2.3.2
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ii. Assessment?
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Y
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GCOM 2.3.2
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iii. Control?
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Y
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GCOM 2.3.2
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Does the AE and management team have visibility of medium and high risks and their controls?
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A2. Do training programs highlight safety critical issues identified in the safety risk profile?
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A3. Does the Ops Manual contain mitigation described in the safety risk profile?
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Does the organisation use its risk management results to develop best practices?
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E2. Is the information indicating the need to change respected, valued, validated, and used?
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E3. Is there consistent feedback to encourage the future participation of managers and employees?
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E4. Is the Operations Manual consistently employed by operational managers and staff?
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E5. Does mitigation take into account Human Factors and Organizational Factors?
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3.2.3
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Safety Assurance
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3.2.3a
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Safety Performance Monitoring and Measurement
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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S1. Is there a process and/or procedure to validate the effectiveness of the safety risk controls?
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Y
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GCOM 2.4.1
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S2. Has the organization established safety performance indicators (SPI’s) and targets?
Note: For examples of SPIs & Targets, see Measuring Safety Performance and Stage 3 SPIs
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Y
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GCOM 2.4.1 and 2.2.5
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Has the organisation developed a series of safety performance indicators that are appropriate to the type of operation?
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GCOM 2.2.5
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A2. Are safety indicators and targets specific, measurable, agreed to, relevant and time-based?
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GCOM 2.4.1 and 2.2.5
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A3. Is the information from occurrences analyzed and where appropriate, used to upgrade policies and procedures?
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A4. Are priorities regularly reviewed, reassessed and, if required, reassigned to address safety issues?
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Are safety targets being achieved?
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E2. Is there a means to measure and monitor trends and take appropriate action when necessary?
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E3. Have the controls for the safety risks been evaluated?
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E4. Are the results from internal audits used to measure safety performance?
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3.2.3b
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Management of Change
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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S1. Does the organization have a process to identify changes which may affect the level of safety risks associated with its operation and to identify and manage the safety risks that may arise from those changes?
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Y
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GCOM 2.4.2
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Are stakeholders involved in the change management process?
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Y
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GCOM 2.4.2
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A2. Are there procedures for managing the revisions of documents, manuals, and checklists?
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Y
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GCOM 2.4.2
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A3. Are changes to critical documents communicated throughout the organization?
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Y
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GCOM 2.4.2
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Does the organisation use the SMS to proactively assess all major changes to the organisation and its operations such as new aircraft, hangars or personnel?
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E2. Do staff members always use up-to-date documents, manuals, checklists, and/or procedures?
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3.2.3c
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Continuous Improvement
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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S1. Is there a process or procedure to ensure continuous improvement of the SMS?
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Y
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GCOM 2.4.3
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Is there an internal audit/ assessment process and a follow-up procedure to address audit findings?
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Y
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GCOM 2.4.3
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Is there evidence of improvements to policies, procedures, and/or processes based on internal audit findings?
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3.2.4
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Safety Promotion
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3.2.4.a
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Training and Education
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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S1. Has the organization developed and maintained safety training programmes that ensure that personnel are competent to perform their SMS duties?
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Y
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GCOM 2.5.2
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S2. Is the scope of the safety training appropriate to each individual’s involvement in the SMS?
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Y
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GCOM 2.5.2
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Does training include human and organisational factors with the intent of reducing human error?
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A2. Does technical training (i.e. pilot, maintenance, dispatch/ scheduling, etc.) reinforce SMS principles (i.e. human factors, organizational factors, risk assessments, risk management, etc.)?
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Is there evidence that all personnel involved in SMS operations have undergone appropriate SMS training?
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E2. Are executives, managers, and staff capable of performing their roles to proactively manage safety?
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3.2.4b
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Safety Communication
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SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
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Has the organization developed and maintained a formal means of safety communication that:
S1. Ensures personnel are aware of the SMS to a degree commensurate with their positions?
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Y
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GCOM 2.5.1
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S2. Conveys safety-critical information?
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Y
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GCOM 2.5.1
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S3. Explains why particular safety actions are taken?
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Y
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GCOM 2.5.1
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S4. Explains why safety procedures are introduced or changed?
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Y
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GCOM 2.5.1
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APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
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A1. Are significant events and investigation outcomes from internal and external sources communicated to all personnel?
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EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
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E1. Is there evidence that all personnel are aware of the SMS, safety critical information, and their role in respect of aviation safety?
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3.3
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Compliance Monitoring
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3.3.1
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Has the operator established and maintained a system for identifying applicable regulations, standards, approvals, exemptions and demonstrated compliance with them?
(See IG for methods to ensure compliance)
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Y
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GCOM 2.4.4
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3.4
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Flight Data Analysis
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3.4.1
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Has the organization established a flight data analysis programme (Recommended Practice)
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N
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Comments, Observations, and Recommendations
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Analysis of Non-Conformities/Findings
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