Policy

• General Requirements Has the organization developed and implemented an integrated and comprehensive SMS for its entire organization?
• Safety Policy Has Top Management defined the organization's Safety Policy and conveyed the expectations and objectives of that policy to its employees?
• Quality Policy Has the organization integrated safety and quality? Is the Quality Policy consistent with the SMS?
• Safety Planning Has organization established, implemented, and maintained a safety management plan that meets safety expectations and objectives?
• Organizational Structure & Responsibility Has the organization defined, documented, and communicated the roles, responsibilities, and authorities regarding safety throughout the organization?
• Compliance with Legal and other Requirements Has the organization's SMS incorporated a procedure to identify and maintain compliance with current safety related, regulatory and other requirements?
• Procedures and Controls Has the organization assured that auditable procedures exist to provide clear direction and control over all safety-related organizational activities?
• Emergency Preparedness and Response Has the organization developed and implemented procedures that it will follow in the event of an accident or incident to mitigate the effects of these events?
• Documentation and Records Has the organization clearly defined and documented safety policies, objectives, procedures, and a documented maintenance process that may be in paper or electronic format?

Safety Risk Management

• Has the organization clearly defined and documented safety policies, objectives, procedures, and a documented maintenance process that may be in paper or electronic format?
• System and Task Analysis Has the organization analyzed its systems, operations and operational environment to gain an understanding of critical design and performance factors, processes, and activities to identify hazards?
• Identify Hazards Has the organization identified and documented hazards that are likely to cause death, serious physical harm or damage to equipment or property in sufficient detail to determine associated risk and acceptability?
• Analyze Safety Risk Has the organization determined and analyzed the severity and likelihood of potential events associated with identified hazards and identified factors associated with unacceptable levels of severity or likelihood?
• Assess Safety Risk Has the organization assessed each identified hazard and defined acceptance procedures and levels of management that can make safety risk acceptance decisions?
• Control Safety Risk Has the organization designed and implemented a risk control for each identified hazard with unacceptable risk to reduce the potential for death, serious physical harm, or damage to equipment or property to acceptable levels? For each risk control, the residual or substitute risk has been analyzed before implementation?
• Operational Risk Management (New) Has the organization applied a risk management process to the conduct and operational control of flight operations including, analysis of the flight and the flight environment, identification of hazards associated with the flight, risk analysis, risk assessment and acceptance processes, and risk control?
• Management of Change (New) (ICAO 3.2, AC 120-92 5.0.E) Has the organization identified changes within the organization which may affect established processes and services?

Safety Assurance and Internal Evaluation

• General Requirements Has the organization monitored, measured, and evaluated the performance and effectiveness of risk controls?
• System Description Has the organization based its safety assurance function on a comprehensive system description as described in the System and Task Analysis section 5.1?
• Information Acquisition Has the organization the organization collected and managed the data necessary to demonstrate the effectiveness of organizational processes and the SMS? (Specific data sources are covered in paragraphs 6.3.1 to 6.3.6)
• Continuous Monitoring Has the organization monitored operational data, including products and services received from contractors, to identify hazards, measure the effectiveness of safety risk controls, and assess system performance?
• Internal Audits by Operational Departments Has the organization performed regularly scheduled internal audits of operational processes, including those performed by contractors, to determine the performance and effectiveness of risk controls?
• Internal Evaluation Has the organization conducted, at planned intervals, internal evaluations of the SMS and operational processes, to determine that the SMS conforms to its requirements?
• External Auditing of the SMS Has the organization included the results of audits performed by oversight organizations in its Analysis of Data (6.4)?
• Investigation Has the organization established procedures to collect data and investigate incidents, accidents and instances of potential regulatory non-compliance that occur to identify potential new hazards or failures of risk controls?
• Employee Reporting and Feedback System. Has the organization established and maintained a confidential employee safety reporting and feedback system? Are the data obtained from this system monitored to identify emerging hazards and to assess performance of risk controls in the operational systems?
• Analysis of Data Has the organization analyzed the data described in section 6.3 to assess the performance and effectiveness of risk controls in the organization's operational processes and the SMS and to identify root causes of deficiencies and potential new hazards?
• System Assessment Has the organization performed an assessment of the performance and effectiveness of risk controls, and conformance with SMS requirements?
• Preventive/Corrective Action Has the organization taken action to eliminate nonconformances identified during analysis to prevent recurrence?
• Management Reviews Has Top Management conducted regular reviews of the SMS, including outputs of Safety Risk Management (Section 5); Safety Assurance (Section 6); and Lessons Learned (Section 7.5)? Has management reviews included assessing the performance and effectiveness of an organization's operational processes and the need for changes?
• Continual Improvement Has the organization continually improved the effectiveness of the SMS and of safety risk controls through the use of the safety and quality policies, objectives, audit and evaluation results, analysis of data, corrective and preventive actions?

Safety Promotion

• Safety Culture Has Top Management promoted their commitment to safety and the SMS including clear and regular communication of safety policy, goals, objectives, and standards? Has the organization provided a confidential and effective employee safety feedback system, as well as, provide the resources essential to implement and maintain the SMS?
• Communication and Awareness Has Top Management communicated the output of the organization's SMS to its employees, and provide access to SMS outputs to its oversight organization in accordance with established agreements and disclosure programs?
• Personnel Requirements (Competence) Has the organization documented competency requirements for those positions identified in Section 4.5.D and ensure those requirements are met?
• Training Has the organization developed and documented initial and recurrent training programs that are regularly evaluated?
• Safety Lessons Learned Has the organization promoted continuous improvement of its SMS by using safety lessons learned and communicating them to all personnel?