Safety Management Systems Book 8 Workbook

Safety Management Systems
for aviation: a practical guide
SMS 8
Resource kit
3rd Edition
ISBN 978-1-76137-015-1 (Print)
ISBN 978-1-76137-016-8 (PDF)
© 2022 Civil Aviation Safety Authority.
First edition published (2012), Second edition (2014)
For further information or additional copies visit CASA’s website: casa.gov.au/sms
Notice: The information contained in this document was correct at the time of publishing and is subject to change without notice. It has
been prepared by CASA Safety Promotion for educational purposes only. This guide outlines basic procedures – it should never be used
as a replacement for official manuals or procedures. Reference should be always made to the appropriate procedures prior to the use of
this information.
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Australian-registered aircraft outside Australian territory.
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Cover image: Civil Aviation Safety Authority
2207.4488
SMS 8Resource kit 1
Contents
How to use this kit 2

Gap analysis tool 3
Implementation planning basics 18
SMS evaluation tool 23
SMS continuous improvement 68
2 SMS 8 Resource kit
How to use this kit SMS lifecycle

An SMS lifecycle contains three stages:
This resource kit is designed to assist implementing, operating and continuous
organisations with the lifecycle of their improvement. During each of these stages
safety management system (SMS) and your SMS functionality and performance or
complements the other seven booklets outputs will differ.
within the SMS for Aviation: a practical
The implementation stage requires you
guide resource.
to identify where your organisation is
Regardless of the size and complexity of at the moment regarding the required
your organisation, the same four SMS SMS elements (your gap analysis) and
components and twelve elements are then to develop a plan to meet your SMS
required and the lifecycle of your SMS will requirements (your implementation
also be the same. plan). This is your starting point, and it
will be different for all organisations even
An SMS is just as relevant for smaller
if you already have some level of safety
aviation organisations as it is for larger
management in place.
organisations and can be scaled to suit the
size and complexity of any organisation. During the operating stage of your SMS,
Smaller organisations may feel they all the SMS elements have been turned on
are at a disadvantage when it comes or are live and should be producing the
to implementing an SMS, but an SMS is intended outputs. At this stage you should
scalable, so not all elements of an SMS will be measuring your safety performance and
look the same in all organisations. identifying if you are achieving your desired
safety performance. You should now also
SMS elements for a complex or non-
be evaluating your SMS to determine if
complex organisation do not change, but
all SMS elements are present, suitable,
their complexity and detail do. Therefore,
operating, and effective.
they should be scalable and flexible and
designed to be relevant for your operating
environment.
SMS lifecycle
The next stage is continuous improvement

that is achieved from your safety Gap analysis tool
performance monitoring, change
management and safety lessons learned. The first step in implementing an SMS is to
All these processes should be allowing for identify which elements may already exist
SMS continuous improvement as your SMS within your organisation. The tool below
is not a static system, but dynamic and is an adaption from the SMS evaluation
changing. As your safety performance is tool which identifies all the required SMS
improved so too does your SMS capability components and elements. Through using
and functionality. Striving for a mature this tool, you can identify which indicators
SMS produces effective outputs allowing are already present, which are partially
for constant safety risk management present, and which are not present.
to continually enhance proactive safety Assess each SMS element frankly for your
performance. organisation, with a present response
The life cycle of your SMS does not of either ‘yes’, ‘partially’ or ‘no’. If you
end once you are in the continuous have identified an element is already
improvement stage. This stage results in present, you should identify where
constant adaption and change to your SMS this is already documented within your
processes, procedures, and safety culture. current organisational documents. If it is
When these changes are made to your SMS, something you are already doing but it is
you then flow back into the operating stage, not formally documented, record this as
making a continual loop between operating partially present, identify the outstanding
and continuous improvement. documentation requirement, and then add
the creation of the documentation to your
implementation plan.
After completing the gap analysis any
elements identified as partially present or
not present will form the basis of your SMS
implementation plan as specific activities
that need to be completed.
For further information about each of the
components and elements you can refer to
the relevant SMS toolkit booklets named for
that SMS component.
Please note that the gap analysis tool
provided here is a scaled back version of
the SMS evaluation tool found later in this
booklet. They look similar but the areas for
consideration and evaluation outcomes
do vary.
• Use the gap analysis tool when starting
your SMS implementation planning
process.
• Use the SMS evaluation tool when
evaluating the maturity of your
operational SMS.
Component 1: Safety policies and objectives

See booklet 2: Safety policies and objectives for further information and guidance.
Element 1.1 Management

Present
commitment
Document
Comments
reference
Indicators of compliance
Yes Partially No
and performance
1.1.1 There is a safety policy,

signed by the accountable
manager, which includes a
commitment to continuous
improvement; observes all
applicable legal requirements
and standards; and considers
best practices.
1.1.2 The safety policy includes

a statement to provide
appropriate resources and
the organisation is managing
resources by anticipating and
addressing any shortfalls.
1.1.3 There are policies in place for

safety critical roles relating to
all aspects of fitness for duty
(for example, alcohol and
drugs policy or fatigue).
1.1.4 There is a means in place for

the communication of the
safety policy.
1.1.5 The accountable executive

and the senior management
team promote a positive
safety and just culture
and demonstrate their
commitment to the safety
policy through active and
visible participation in the
safety management system.
Element 1.1 Management

Present
commitment
Document
Comments
reference
Yes Partially No
and performance
1.1.6 The safety policy actively

encourages safety reporting.
1.1.7 A just culture policy and

principles have been defined
that clearly identifies
acceptable and unacceptable
behaviours to promote a just
culture.
1.1.8 Safety objectives have

been established that
are consistent with the
safety policy and they are
communicated throughout
the organisation.
1.1.9 The State Safety Programme

(SSP) is being considered and
addressed as appropriate.
Element 1.2 Safety accountability

Present
and responsibilities
Where
Comments
documented
Yes Partially No
and performance
1.2.1 An accountable executive

has been appointed with
full responsibility and
accountability to ensure
the SMS is properly
implemented and
performing effectively.

is fully aware of their SMS
roles and responsibilities
in respect of the safety
policy, safety standards,
and safety culture of the
organisation.
1.2.3 Safety accountabilities,

authorities, and
responsibilities are
defined and documented
throughout the
organisation and staff
understand their own
responsibilities.
Element 1.3 Appointment of key

Present
personnel
Where
Comments
documented
Yes Partially No
and performance
1.3.1 A competent safety

manager who is
responsible for the
implementation and
maintenance of the SMS
has been appointed with a
direct reporting line to the
accountable executive.
1.3.2 The organisation has

allocated sufficient
resources to manage the
SMS including, but not
limited to, competent staff
for safety investigation,
analysis, auditing, and
promotion.

established appropriate
safety committee(s) that
discuss and address safety
risks and compliance
issues and includes the
accountable executive and
the heads of functional
areas.
Element 1.4 Co-ordination of

Present
emergency response planning
Where
Comments
documented
Yes Partially No
and performance
1.4.1 An appropriate emergency

response plan (ERP) has
been developed and
distributed that defines
the procedures, roles,
responsibilities, and
actions of the various
organisations and key
personnel.
1.4.2 The ERP is periodically

tested for the adequacy
of the plan and the results
reviewed to improve its
effectiveness.
Element 1.5 SMS documentation Present

Where
Comments
Indicators of compliance documented
Yes Partially No
and performance
1.5.1 The SMS documentation

includes the policies and
processes that describe
the organisation’s safety
management system and
processes and is readily
available to all relevant
personnel.
1.5.2 SMS documentation,

including SMS related
records, are regularly
reviewed and updated with
appropriate version control
in place.
image: Civil Aviation Safety Authority
Component 2: Safety risk management

See booklet 3: Safety risk management for further information and guidance.
Element 2.1 Hazard identification Present

Where
Comments
Yes Partially No
and performance
2.1.1 There is a confidential

reporting system to
capture errors, hazards,
and near misses that
is simple to use and
accessible to all staff.

reporting system that
provides appropriate
feedback to the reporter
and, where appropriate, to
the rest of the organisation.
2.1.3 Personnel express

confidence and trust in the
organisation’s reporting
policy.
Element 2.1 Hazard identification Present

Where
Comments
Yes Partially No
and performance
2.1.4 There is a process that

defines how hazards are
identified from multiple
sources through reactive
and proactive methods
(internal and external).
2.1.5 The hazard identification

process identifies human
performance related
hazards.
2.1.6 There is a process in place

to analyse safety data and
safety information to look
for trends and gain useable
management information.
2.1.7 Safety investigations

are carried out by
appropriately trained
personnel to identify
contributing factors (why
it happened, not just what
happened).
Element 2.2 Safety risk

Present
assessment and mitigation
Where
Comments
documented
Yes Partially No
and performance
2.2.1 There is a process for

the management of risk
that includes the analysis
and assessment of risk
associated with identified
hazards expressed in
terms of likelihood and
severity (or alternative
methodology).
2.2.2 There are criteria for

evaluating the level of
risk the organisation is
willing to accept and risk
assessments and ratings
are appropriately justified.
2.2.3 The organisation has a

process in place to make
decisions and apply
appropriate and effective
risk controls.
2.2.4 Senior management have

visibility of medium and
high-risk hazards and their
mitigation and controls.
image: Thinkstock | Michal Staniewski
Component 3: Safety assurance

See booklet 4: Safety assurance for further information and guidance.
Element 3.1 Safety performance

Present
monitoring and measurement
Where
Comments
documented
Yes Partially No
and performance
3.1.1 Safety performance

indicators (SPIs) linked to
objectives have been
defined, promulgated, and
are being monitored and
analysed for trends.
3.1.2 Risk mitigations and

controls are being verified,
audited to confirm they are
working and effective.
3.1.3 Safety assurance takes

into account activities
carried out by all directly
contracted organisations.
Element 3.1 Safety performance

Present
monitoring and measurement
Where
Comments
documented
Yes Partially No
and performance
3.1.4 Responsibilities and

accountability for ensuring
compliance with safety
regulations are defined and
applicable requirements
are clearly identified in
organisation manuals and
procedures.
3.1.5 There is an internal audit

programme including
details of the schedule of
audits and procedures for
audits, reporting, follow up,
and records.

accountabilities for the
internal audit process are
defined and there is a
person or group of persons
with responsibilities for
internal audits with direct
access to the accountable
manager.
3.1.7 After an audit, there is

appropriate analysis
of causal factors, and
corrective or preventive
actions are taken.
Element 3.2 The management

Present
of change
Where
Comments
documented
Yes Partially No
and performance

process to identify whether
changes have an impact
on safety and to manage
any identified risks in
accordance with existing
safety risk management
processes.
3.2.2 Human factor (HF) issues

have been considered
as part of the change
management process
and, where appropriate,
the organisation has
applied the appropriate
HF or human-centred
design standards to the
equipment and physical
environment design.
Element 3.3 Continuous

Present
improvement of the SMS
Where
Comments
documented
Yes Partially No
and performance
3.3.1 The organisation is

continuously monitoring
and assessing its SMS
processes to maintain or
continuously improve the
overall effectiveness of
the SMS.
Component 4: Safety promotion

See booklet 5: Safety promotion for further information and guidance.
Element 4.1 Training and

Present
education
Where
Comments
documented
Yes Partially No
and performance
4.1.1 There is a training

programme for the SMS in
place that includes initial
and recurrent training. The
training covers individual
safety duties (including
roles, responsibilities, and
accountabilities) and how
the organisation’s SMS
operates.
4.1.2 There is a process in

place to measure the
effectiveness of training
and to take appropriate
action to improve
subsequent training.
Element 4.1 Training and

Present
education
Where
Comments
documented
Yes Partially No
and performance
4.1.3 Training includes human

and organisational factors
including just culture and
non-technical skills with
the intent of reducing
human error.

evaluates the individual’s
competence and takes
appropriate remedial
action when necessary.
4.1.5 The competence of trainers

is defined and assessed,
and appropriate remedial
action taken when
necessary.
Element 4.2 Safety

Present
communication
Where
Comments
documented
Yes Partially No
and performance
4.2.1 There is a process to

determine what safety
critical information needs
to be communicated and
how it is communicated
throughout the
organisation to all
personnel, as relevant.
This includes contracted
organisations and
personnel where
appropriate.
Interface management
An additional consideration of how third-party contractors and interfaces have been
identified and documented within your SMS.
Interface management Present

Where
Comments
Yes Partially No
and performance
The organisation has identified

and documented the relevant
internal and external interfaces
and the critical nature of such
interfaces.
What to look for
• Review how interfaces have been documented. It may be included in a system

description.
• Evidence that:
– safety critical issues, areas, and associated hazards are identified
– safety occurrences have a mechanism for being reported and addressed
– risk control actions have a mechanism to be applied and regularly reviewed; and
– interfaces are reviewed periodically.
• Training and safety promotion sessions are organised with relevant external
organisations.
• External organisations participate in SMS activities and share safety information.
• Check the identified interfaces (e.g., interfaces with aerodromes, airlines, Air Traffic
Control [ATC], training organisations, contracted organisations, and the State).
Implementation tasks or activities recorded against

responsible individuals for actioning by
planning basics set due date through to more complex

and elaborate plans by using project
management software and interactive
Developing an SMS implementation plan
tools. Regardless of what form your plan
is like many other project management
takes, there are some core basics you need
or business development plans. You
to ensure successful implementation. This
need to identify where you currently
starts at knowing what your end goal or
are and where you need to get to. The
state should look like (this is all the SMS
steps in between these two points are
components and elements) and where you
the actions or activities that form the
are currently sitting in relation to this – this
basis of your implementation plan.
is your gap analysis.
After you have completed your gap
From there you can develop your plan
analysis you will have a list of SMS
for each SMS element and its associated
elements that are currently missing from
requirements, possibly breaking down the
your organisation, that require an action
plan into staged implementation phases. It
plan against each one to work towards
is important to build in realistic timeframes
full implementation of your SMS.
for achieving these tasks or implementation
How you record and monitor your SMS phases, as well as dedicated times for
implementation plan can vary. From being reassessing your progress towards
as simple as a spreadsheet with identified implementation.
image: iStockphoto.com | Olga Gabay

Ten steps to implementing The chief executive officer (CEO), as the

accountable manager, should endorse (sign)
an SMS and support safety plans and program
An SMS allows an organisation to monitor documents. There should be a reasonable
and improve its safety culture. The reporting chain for safety issues that goes
International Civil Aviation Organization through the safety manager and ends at
(ICAO) recommends implementing an the accountable manager (CEO), where
SMS in a ten-step sequence to ensure you necessary. The CEO should allocate, and
build it efficiently while also cross-checking be seen to allocate, appropriate resources
your progress against each required SMS to support your safety manager and the
component and element, as per the SMS safety program. This allocation of resources
evaluation tool. should be appropriate for both the
implementation of the SMS and its ongoing
Step 1: Planning preparation running through the operational phase.
As previously discussed, the SMS process
Step 3: Safety promotion
starts with careful planning, including a
gap analysis. Creating a planning group Keeping staff informed of current safety
of appropriately experienced staff and issues is vital for continuous improvement.
managers is an important aspect of this. You can accomplish this using appropriate
Setting up the group involves designating training, safety communication and
a safety manager, if you have not already participation in safety-related seminars.
done so, and developing a realistic Training is an investment in the future of
safety strategy in line with your SMS your organisation. All employees, regardless
implementation plan. of their role and experience, can benefit
from safety analysis feedback and lessons
This step also requires you to identify the
learned. Safety communication is two-way:
key stakeholders within your organisation
management and employees give and
to assist with SMS implementation. These
receive feedback.
key stakeholders will include people that
will hold key safety accountabilities within During your SMS implementation you will
your SMS. need to have dedicated communication
channels or forums to ensure all staff
Step 2: Senior management’s are kept aware of what is happening and
commitment to safety what is planned or expected to be rolled
out across the implementation phases.
The ultimate responsibility for safety rests
Once your SMS is implemented these
on the shoulders of senior management.
communication channels become an
The extent to which company leaders
integrated component for the delivery of
accept the importance of safety
safety promotion.
management sets the stage for a positive
safety culture. Safety objectives must be
practical, achievable, regularly reviewed,
reassessed, and communicated to staff
with a clear endorsement by senior
management.
Step 4: Organisation Step 5: Hazard identification

A company’s way of conducting business In a good safety culture, hazard
and managing safety influences its identification is proactive and non-
resilience. In your implementation punitive. When individuals operate in fear
planning you need to identify your key of being punished for making normal
safety roles and stakeholders, many mistakes, then errors and unsafe actions
of these individuals will be involved in will remain hidden, and organisations will
implementing your SMS. You will need to lose opportunities for improvement and
develop a SMS organisational chart which prevention. If you do not already have a
shows the reporting structure for safety hazard or safety reporting form you will
matters and how this is supported by your need to develop one, along with a system
safety committee. for recording and analysing these reports.
Your safety committee should be Proactive hazard identification processes
structured to support safety management, such as the line operations safety
have a clear statement of responsibilities audit (LOSA) or the maintenance error
and accountabilities, and should decision aid (MEDA) provide a continuous
oversee training and competency, and commitment to safety. Management
management of aviation safety risk. must provide adequate resources to
systematically record and store data on
identified hazards, as well as to competently
analyse data on such hazards.
To support
the efficient
implementation of
an SMS, the safety
manager should be
appointed by, and
have direct access
to, the CEO.

Step 6: Safety risk management Key operational staff must be properly

trained to conduct safety investigations and
After you have identified the hazards,
have appropriate management support.
risk management focuses safety efforts
Their findings should be disseminated
on those hazards posing the greatest
throughout the organisation as safety
risks. Assess all risks critically and
lessons learned. The regulatory authority
rank them according to their accident
might also need to be made aware of causal
potential, considering both the severity
findings so they can be communicated to
of consequences and their likelihood of
other operators, as appropriate.
occurrence. If you decide the risks are
acceptable, the company’s operations
may continue unchanged, at least for the
present. However, even ‘acceptable’ risks
can be the focus of SMS efforts to reduce
Include a focus on
overall accident exposure. If you consider causal factors (the
the risks to be ‘unacceptable’, you must why) rather than on
stop, or change, operations until you can
remove or avoid the identified hazards. a description of the
Safety management is a closed-loop accident or incident
process: residual risks are assessed, and (the what).
cost-benefits analysed after each risk-
reduction step. Staff feedback on actions
taken and the success of procedures put
into place is vital in this process.
Step 8: Safety analysis
Step 7: Safety investigation
Solid analytical capabilities can deliver
Safety lessons are more beneficial when
compelling evidence used to steer cultural
they include a focus on contributing or
change. Analytical tools and up-to-date
causal factors (the why) rather than on
safety databases are also used to support
a description of the accident or incident
the risk-management process. Only
(the what). Identifying contributing factors
through analysis of your safety data and
requires trained investigators who look
information can you adequately identify
beyond the obvious causes and at other
trends and potential latent organisational
possible contributing factors, including, but
hazards and risks.
not limited to, organisational issues.
Safety recommendations should be
If safety investigations only focus on ‘what’
proposed to senior management, and
elements instead of ‘why’ elements, the
corrective measures must be taken and
ability to proactively mitigate latent hazards
tracked to verify their effectiveness.
and risks becomes significantly degraded.
This means that contributing factors, latent
organisational factors, remain untreated
and the potential for a reoccurrence of the
event is likely.
Step 9: Safety information Step 10: Safety performance

management monitoring and measurement
Operating an SMS has the potential to This last step ‘closes the loop’. Feedback for
generate large amounts of data, depending continuous improvement of your SMS and
on the size and complexity of your overall safety performance relies on:
operation. If you do not properly record, • safety oversight: through inspections
store, and use this data, it can be a waste of and audits, documenting for staff and
time and money. Your safety management management that the safety actions are
manual is the way in which you document performed properly.
how the SMS relates to other functions
• safety performance monitoring: to assess
in your organisation, and how SMS data
if the SMS efforts remain effective and
should flow and be used. You need to have
are meeting the organisation’s safety
appropriate ways of disseminating safety
objectives. For this you must identify
information, including necessary technical
accepted safety performance indicators
support and equipment, at the same time
(SPIs).
assuring the protection of sensitive safety
and personal information. • safety communication: dissemination
of lessons learned, safety findings and
observations, and implementation of
corrective actions to improve the system.
image: iStockphoto.com | Nicolas Holzapfel

SMS evaluation When starting out on your SMS journey

the indicators will be mainly evaluated
tool as meeting the present and suitable

classifications. However, as your SMS starts
to become fully functional you would start
During the operating stage of your SMS,
to be meeting, or aiming to achieve, the
you need to evaluate your SMS to identify
operating and effective classifications.
not only your compliance with each SMS
element but also your SMS maturity level. An item cannot be considered operating
To assist with this the Safety Management or effective if it is not present and it
International Collaboration Group (SM ICG) cannot be considered as present if it is not
developed an SMS evaluation tool, which documented as documentation ensures
directly compliments ICAO’s standardised consistent repeatable and systematic
common approach to SMS across all outcomes.
aviation domains.
The tool evaluates the overall effectiveness
Present
of the SMS through a series of indicators
There is evidence that the relevant indicator
based on the ICAO SMS framework. Each
is documented within the organisation’s
indicator should be reviewed to determine
SMS documentation.
whether it is present, suitable, operating, or
effective, using the definitions and guidance Suitable
provided. This concept of evaluating SMS The relevant indicator is suitable based
effectiveness supports the move from on the size, nature, and complexity of the
traditional, compliance-based oversight to organisation and the inherent risk in its
performance-based oversight that focuses activity.
on how the SMS is performing. It provides
Operating
a common baseline for SMS effectiveness
evaluation that creates a sound basis for
is in use and an output is being produced.
mutual acceptance of an SMS.
Effective
Although the evaluation tool follows the
ICAO SMS framework, the order of the
is achieving the desired outcome and has a
components does not indicate an order of
positive safety impact.
importance. Risk management is generally
considered the most important component
of an organisation’s SMS and may therefore
be given more attention during an The tool has been designed to evaluate the
evaluation. maturity and overall effectiveness of the
SMS in a standardised manner. To give the
organisation an overall picture of its SMS
performance, it is recommended to compile
an evaluation summary that is concise and
reflects the level of progress achieved by
the organisation.
Due to the continuously changing and Please note that the SMS evaluation tool
dynamic nature of aviation, during below is a more detailed version of the
ongoing and subsequent evaluations SMS gap analysis tool provided earlier in
the suitable designation should be this booklet. Although the indicators for
constantly re-evaluated, considering evaluation are the same across both tools,
any changes to the organisation, its the criteria within the SMS evaluation tool
activities and operating environment. requires assessment against the maturity
of the SMS elements during the operating
When re-evaluating your SMS, you cannot
phase of your SMS.
just assume because you were effective for
an element previously that this assessment • Use the gap analysis tool when
still stands. The constant changing nature of starting your SMS implementation
aviation organisations and the industry, plus planning process, as it allows
the continuous improvement requirement for a simple yes, partial or no
for an SMS, means that no single element’s evaluation for action planning.
maturity evaluations will remain constant • Use the SMS evaluation tool for a more
and static. detailed analysis of your operating SMS,
as it provides you with guidance on what
The following is the CASA SMS evaluation
to look for each level of maturity.
tool adapted from the SM ICG SMS
evaluation tool version 2, published
April 2019.
image: iStockphoto.com | Alberto Pomares

Component 1: Safety policies and objectives

Element 1.1: Management commitment
Evaluation
Indicators of compliance How it is

P S O E Comments
and performance achieved
1.1.1 There is a safety policy,

signed by the accountable
manager, which includes
a commitment to
continuous improvement;
observes all applicable
legal requirements and
standards; and considers
best practices.
1.1.2 The safety policy includes

a statement to provide
appropriate resources and
the organisation is managing
resources by anticipating
and addressing any
shortfalls.
1.1.3 There are policies in place

for safety critical roles
relating to all aspects of
fitness for duty (for example,
alcohol and drugs policy or
fatigue).
Guidance
What to look for
• Interview the accountable executive to assess their knowledge and understanding of

the safety policy.
• Check that the safety policy is reviewed periodically for content and currency.
• Confirm that the safety policy meets the requirements.
• Interview staff to determine to what extent the safety policy is known, as well as how
readable and understandable it is.
• Review available resources including personnel, equipment, and financial.
• There are sufficient and competent personnel.
• Review planned resources versus actual resources.
• Check how a positive safety culture is encouraged and impacts the overall
effectiveness.
Present Suitable Operating Effective
There is a safety The safety policy is The safety policy The accountable
policy, signed by easy to read. is reviewed executive is familiar
the accountable periodically to with the contents
The content is
manager, which ensure it remains of the safety policy
customised to the
includes a relevant to the and endorses it.
organisation.
commitment organisation.
The organisation
to continuous There is a process
The organisation is reviewing and
improvement; for assessing
is assessing the taking action
observes all resources and
resources being to address any
applicable legal addressing any
provided to deliver forecasted
requirements and shortfalls.
a safe service shortfalls in
standards; and
and taking action resources.
considers best
to address any
practices. The safety
shortfalls.
policy includes
a statement to
provide appropriate
resources.
Evaluation

P S O E Comments
1.1.4 There is a means in place for

the communication of the
safety policy.

and the senior management
team promote a positive
safety, just culture
and demonstrate their
commitment to the safety
policy through active and
visible participation in the
safety management system.
Guidance
What to look for
• Review how the safety policy is communicated.

• Safety policy is clearly visible to all staff including relevant contracted staff and third-
party organisations.
• Question managers and staff regarding knowledge of the safety policy.
• All managers are familiar with the key elements of the safety policy.
• Evidence of senior management participation in safety meetings, training,
conferences, etc.
• Feedback from safety surveys that include specific just culture aspects.
• Relationship with regulator and other stakeholders.
• Review how a positive safety and just culture are promoted.
There is a means The safety policy The safety policy People across the
in place for the is clearly visible to is communicated organisation are
communication of all staff (consider to all personnel familiar with the
the safety policy. multiple sites). (including relevant policy and can
The management contract staff and describe their
The safety policy
commitment organisations). obligations in
is understandable
to safety is The accountable respect of the safety
(consider multiple
documented within executive and the policy. Decision
languages). The
the safety policy. senior management making, actions,
accountable
team are promoting and behaviours
executive and the
their commitment reflect a positive
senior management
to the safety safety, just culture
team have a well-
policy through and there is good
defined role in the
active and visible safety leadership
safety management
participation in the that demonstrates
system.
safety management commitment to the
system. safety policy.
Evaluation

P S O E Comments
1.1.6 The safety policy actively

encourages safety
reporting.
1.1.7 A just culture policy and

principles have been
defined that clearly
identifies acceptable and
unacceptable behaviours
to promote a just culture.
Guidance
What to look for
• Evidence of when the just culture principles have been applied following an event.
• Evidence of interventions from safety investigations addressing organisational issues
rather than focusing only on the individual.
• Review how the organisation is monitoring reporting rates.
• Review the number of aviation safety reports appropriate to the activities.
• Safety reports include the reporter’s own errors and events they are involved in (events
where no one was watching).
• Feedback on just culture from staff safety culture surveys.
• Interview staff representatives to confirm that they agree with just culture policy and
principles.
• Check that staff are aware of the just culture policy and principles.
A just culture policy The just culture There is evidence The just culture
and principles have policy clearly of the just policy is applied in a
been defined. identifies culture policy fair and consistent
acceptable and and supporting manner and staff
unacceptable principles being trust the policy.
behaviours. applied and
There is evidence
promoted to staff.
The principles that the line
ensure that the between acceptable
policy can be and unacceptable
applied consistently behaviour has
across the whole been determined
organisation. in consultation
with staff and staff
The just culture
representatives.
policy and
principles are
understandable and
clearly visible.
Evaluation

P S O E Comments
1.1.8 Safety objectives have

been established that
are consistent with the
safety policy and they are
communicated throughout
the organisation.
1.1.9 The State Safety Programme

(SSP) is being considered
and addressed as
appropriate.
Guidance
What to look for
• Assess whether the safety objectives are appropriate and relevant.

• Objectives are defined that will lead to an improvement in processes, outcomes, and
the development of a positive safety culture.
• Assess how safety objectives are communicated throughout the organisation.
• Safety objectives are being measured to monitor achievement through SPIs and safety
performance targets (SPTs).
• Assess if the safety objectives have considered the State safety objectives in the SSP.
Safety objectives Safety objectives Safety objectives Achievement of the

have been are relevant to the are being regularly safety objectives is
established that are organisation and its reviewed and are being monitored by
consistent with the activities. communicated senior management
safety policy and throughout the and action taken
Safety objectives
there is a means to organisation. to ensure they are
are understandable
communicate them being met.
and clearly visible.
throughout the
organisation. Safety objectives
are aligned with
the SSP.
Element 1.2: Safety accountability and responsibilities
Evaluation

P S O E Comments
1.2.1 An accountable executive

has been appointed with
full responsibility and
accountability to ensure
the SMS is properly
implemented and
performing effectively.

is fully aware of their SMS
roles and responsibilities in
respect of the safety policy,
safety standards, and safety
culture of the organisation.
Guidance
What to look for
• Evidence that the accountable executive has the authority to provide sufficient
resources for relevant safety improvements.
• Evidence of decision making on risk acceptability.
• Review SMS activities are being carried out in a timely manner and the SMS is
sufficiently resourced.
• Evidence of activities being stopped due to unacceptable level of safety risk.
• Look for evidence that accountable executive actions are consistent with the active
promotion of a positive safety culture in the organisation.
An accountable The accountable The accountable The accountable

executive has been executive has executive ensures executive
appointed with control of that the SMS is ensures that the
full responsibility resources. properly resourced, performance
and ultimate implemented, and of the SMS is
accountability for maintained, and being monitored,
the SMS. has the authority to reviewed, and
stop the operation improved.
if there is an
unacceptable level
of safety risk.
The accountable
executive is fully
aware of their
SMS roles and
responsibilities.
The accountable
executive is
accessible to
the staff in the
organisation.
Evaluation

P S O E Comments
1.2.3 Safety accountabilities,

authorities, and
responsibilities are defined
and documented throughout
the organisation and staff
understand their own
responsibilities.
Guidance
What to look for
• Question managers and staff regarding their roles and responsibilities.

• Confirm senior managers are aware of the organisation’s safety performance and its
most significant risks.
• Evidence of managers having safety related performance targets.
• Look for active participation of the management team in the SMS.
• Evidence of appropriate risk mitigation, action, and ownership.
• The levels of management authorised to make decisions on risk acceptance are
defined and applied.
• Check for any conflicts of interest and that they have been identified and managed.
The safety Individuals Everyone in the The accountable

accountability, have access organisation is executive and the
authorities, and to their safety aware of and senior management
responsibilities are accountability, fulfil their safety team are aware of
clearly defined and authorities, and responsibilities, the risks faced by
documented. responsibilities (for authorities, and the organisation
example, through accountabilities and and SMS principles
job descriptions are encouraged exist throughout
or organisational to contribute the organisation so
charts). to the SMS. that safety is part
of the everyday
language.
Element 1.3: Appointment of key personnel
Evaluation

P S O E Comments
1.3.1 A competent safety manager

who is responsible for
the implementation and
maintenance of the SMS
has been appointed with a
direct reporting line to the
accountable executive.

allocated sufficient
resources to manage the
SMS including, but not
limited to, competent staff
for safety investigation,
analysis, auditing, and
promotion.
Guidance
What to look for
• Review safety manager role including credibility and status.

• Review the training that the safety manager has received.
• Evidence of maintained competency.
• Review how the safety manager gets access to internal and external safety information.
• Review how the safety manager communicates and engages with operational staff and
senior management.
• Review the safety manager’s workload and allocated time to fulfil the role.
• Check there are sufficient resources for SMS activities such as safety investigation,
analysis, auditing, safety meeting attendance, and promotion.
• Review of safety report action and closure timescales.
• Interviews with accountable executive and safety manager.
• Check for any conflicts of interest and that they have been identified and managed.
A safety The safety manager The safety manager The safety manager
manager who is is competent. has implemented is competent to
responsible for the and is maintaining manage the SMS
Sufficient time
implementation the SMS. The and identifies
and resources
and maintenance of safety manager improvements in a
are allocated to
the SMS has been is in regular timely manner.
maintain the SMS.
appointed with a communication
There is a
direct reporting line with the
close working
to the accountable accountable
relationship with
executive. executive and
the accountable
escalates safety
executive and the
issues when
safety manager
appropriate.
is considered a
The safety manager trusted advisor and
is accessible to staff given appropriate
in the organisation. status in the
organisation.
Evaluation

P S O E Comments

established appropriate
safety committee(s)
that discuss and
address safety risks and
compliance issues and
includes the accountable
executive and the heads
of functional areas.

Guidance
What to look for
• Review safety committee and meeting structure and terms of reference for each
committee or meeting.
• Review meeting attendance levels.
• Review meeting records and actions.
• Check that outcomes are communicated to the rest of the organisation.
• Evidence of safety objectives, safety performance, and compliance are being reviewed
and discussed at meetings.
• Participants challenge what is being presented when there is limited evidence.
• Senior management are aware of the most significant risks faced by the organisation
and the overall safety performance of the organisation.
The organisation Safety committee(s) There is evidence Safety committee(s)

has established structure and of meetings taking include key
safety committee(s). meeting frequency place detailing stakeholders.
supports the SMS the attendance, The outcomes of
functions across the discussions, and the meetings are
organisation. actions. documented and
communicated,
The scope of the The safety
and any actions
safety committee(s) committee(s)
are agreed, taken,
includes safety risks monitor the
and followed
and compliance effectiveness
up in a timely
issues. of the SMS and
manner. The safety
compliance
The attendance of performance and
monitoring function
the highest-level safety objectives
by reviewing there
safety committee are reviewed
are sufficient
includes at least and actioned as
resources.
the accountable appropriate.
executive and the Actions are being
heads of functional monitored and
areas. appropriate safety
objectives and
SPIs have been
established.
Element 1.4: Co-ordination of emergency response planning
Evaluation

P S O E Comments
1.4.1 An appropriate emergency

response plan (ERP) has
been developed and
distributed that defines
the procedures, roles,
responsibilities, and actions
of the various organisations
and key personnel.
1.4.2 The ERP is periodically tested

for the adequacy of the plan
and the results reviewed to
improve its effectiveness.
Element 1.4: Co-ordination of emergency response planning
Guidance
What to look for
• Review emergency response plan.

• Review how coordination with other organisations is planned.
• Review how the ERP is distributed and where copies are held.
• Interview key personnel and check they have access to the ERP.
• Check that different types of foreseeable emergencies have been considered.
• Review when the plan was last reviewed and tested and actions taken.
A coordinated ERP Key personnel have The ERP is reviewed The results of the
has been developed easy access to the and tested to make ERP review and
and defined. relevant parts of the sure it remains testing are assessed
ERP at all times. up-to-date. There and actioned
is evidence of to improve its
The ERP defines the
coordination with effectiveness.
procedures, roles,
other organisations
responsibilities,
as appropriate.
and actions
of the various
organisations and
key personnel.
The frequency and
methods for testing
the ERP are defined.
The coordination
with other
organisations
(including
non-aviation
organisations)
is defined with
appropriate means.
image: Rawpixel.com
Element 1.5: SMS documentation
Evaluation

P S O E Comments
1.5.1 The SMS documentation

includes the policies and
processes that describe
management system and
processes and is readily
available to all relevant
personnel.
1.5.2 SMS documentation,

including SMS related
records, are regularly
reviewed and updated
with appropriate version
control in place.
Element 1.5: SMS documentation
Guidance
What to look for
• Review the SMS documentation and amendment procedures.

• Check for cross references to other documents and procedures.
• Check availability of SMS documentation to all staff.
• Check that staff know where to find safety-related documentation including
procedures appropriate to their role.
• Review the supporting SMS documentation (hazard logs, meeting minutes, safety
performance reports, risk assessments, etc.).
• Check how safety records are stored and version controlled.
• Check appropriate staff are aware of the records control processes and procedures.
The SMS SMS documentation Changes to the SMS documentation

documentation is readily available SMS documentation is proactively
includes the policies to all relevant are managed. reviewed for
and processes personnel. improvement.
Everyone is familiar
that describe the
SMS documentation with and follows SMS records are
organisation’s SMS
is comprehensible. the relevant routinely used as
and processes. The
parts of the SMS inputs for safety
SMS documentation SMS documentation
documentation. management-
defines the SMS is consistent with
related tasks
outputs and which other internal SMS activities
and continuous
records of SMS management are appropriately
improvement of
activities will be systems and is stored and found
the SMS.
stored. representative to be complete and
of the actual consistent with
Records to be
processes in place. data protection
stored, storage
and confidentiality
period, and location Data protection and
control rules.
are identified. confidentiality rules
have been defined.
Component 2: Safety risk management

Element 2.1: Hazard identification
Evaluation

P S O E Comments

reporting system to capture
errors, hazards, and near
misses that is simple to use
and accessible to all staff.

reporting system that
provides appropriate
feedback to the reporter
and, where appropriate, to
the rest of the organisation.
2.1.3 Personnel express

confidence and trust
in the organisation’s
reporting policy.
Guidance
What to look for
• Review the reporting system for access and ease of use.

• Check staff’s trust of and familiarity with the reporting system, and whether they know
what should be reported.
• Review how data protection and confidentiality is achieved.
• Evidence of feedback to reporter, the organisation, and third parties.
• Assess volume and quality of reports, including whether personnel are reporting their
own errors and mistakes.
• Review report closure rates.
• Check whether contracted organisations and customers are able to make reports.
• Review how reports in the system are analysed.
• Confirm that responsibilities with regard to occurrence analysis, storage, and follow-up
are clearly defined.
• Check that relevant staff are aware of which occurrences should be mandatory.
• Assess how senior management engage with the outputs of the reporting system.
There is a The reporting The reporting There is a healthy

confidential system is system is being used reporting system
reporting system accessible and by all personnel. based on the volume
to capture easy to use by all of reporting and the
There is feedback
mandatory personnel. quality of reports
to the reporter of
occurrences and received.
Responsibilities, any actions taken
voluntary reports (or not taken) and, Safety reports are acted
timelines, and
that includes a where appropriate, on in a timely manner.
format for the
feedback system to the rest of the
feedback are Personnel express
and stored on a organisation.
meaningful and confidence and trust
database.
well defined. Reports are in the organisation’s
The process evaluated, reporting policy and
Data protection
identifies how processed, analysed, process.
and confidentiality
reports are and stored.
is ensured. The reporting system
actioned, and Staff are aware is being used to make
timescales are of and fulfil their better management
specified and responsibilities decisions and
addressed. in respect to the continuously improve.
reporting system.
The reporting system
Reports are is available for third
processed within the parties to report
defined timescales. (partners, suppliers, and
contractors).
Evaluation

P S O E Comments

defines how hazards are
identified from multiple
sources through reactive
and proactive methods
(internal and external).
2.1.5 The hazard identification

process identifies human
performance related
hazards.
2.1.6 There is a process in place

to analyse safety data and
safety information to look
for trends and gain useable
management information.
2.1.7 Safety investigations are

carried out by appropriately
trained personnel to identify
contributing factors (why
it happened, not just what
happened).
Guidance
What to look for
• Review how hazards are identified, analysed, addressed, and recorded.

• Review structure and layout of hazard log.
• Consider hazards related to:
– possible accident scenarios
– human and organisational factors
– business decisions and processes
– third party organisations
– regulatory factors.
• Review what internal and external sources of hazards are considered such as safety
reports, audits, safety surveys, investigations, inspections, brainstorming, management
of change activities, commercial and other external influences, etc.
• Review whether safety investigations identify human and organisational contributing
factors.
There is a process Multiple sources of The hazards are The organisation has a
that defines hazards (internal identified and register of the hazards
how hazards and external) documented. that is maintained and
are identified are considered Human and reviewed to ensure it
though reactive and reviewed, as organisational remains up-to-date.
and proactive appropriate. factors related It is continuously and
methods. to hazards are proactively identifying
The data analysis
being identified. hazards related to
The triggers process enables
its activities and the
for safety gaining useable Safety
operational environment
investigations are safety information. investigations
and involves all
identified. are carried out
Hazards are key personnel
and recorded.
documented in an and appropriate
easy-to-understand stakeholders including
format. external organisations.
The level of Hazards are
sign-off for safety continuously assessed
investigations in a systematic and
is defined and timely manner.
adequate to the
Safety investigations
level of risk.
identify causal or
contributing factors that
are acted upon.
Element 2.2: Safety risk assessment and mitigation
Evaluation

P S O E Comments
2.2.1 There is a process for

the management of risk
that includes the analysis
and assessment of risk
associated with identified
hazards expressed in terms
of likelihood and severity (or
alternative methodology).
2.2.2 There are criteria for

evaluating the level of
risk the organisation is
willing to accept and risk
assessments and ratings are
appropriately justified.
Guidance
What to look for
• Review the risk classification scheme and procedures.

• Check that severity and likelihood criteria are defined (or that an alternative
methodology is described).
• Review whether risk assessments are carried out consistently.
• Sample an identified hazard and review how it is processed and documented.
• Review what triggers a risk assessment.
• Check any assumptions made and whether they are reviewed.
• Review how issues are classified when there is insufficient quantitative data available.
• Check that the process defines who can accept what level of risk.
• Check that the risk register is being reviewed and monitored by the appropriate
safety committee(s).
• Evidence of risk acceptability being routinely applied in decision making processes.
There is a process Severity and Risk analysis and Risk analysis and
for the analysis likelihood criteria assessments are assessments
and assessment of are clearly defined carried out in a are reviewed
safety risks. and fit the service consistent manner for consistency
provider’s actual based on the and to identify
The level of risk
circumstances. defined process. improvements in
the organisation is
the processes.
willing to accept The risk matrix and The defined risk
is defined. acceptability criteria acceptability is Risk assessments
are clearly defined being applied. are regularly
and usable. reviewed to ensure
they remain
Responsibilities
current.
and timelines for
accepting the risk Risk acceptability
are clearly defined. criteria are
used routinely
and applied in
management
decision making
processes and are
regularly reviewed.
Evaluation

P S O E Comments

process in place to make
decisions and apply
appropriate and effective
risk controls.
2.2.4 Senior management have

visibility of medium and
high-risk hazards and their
mitigation and controls.
Guidance
What to look for
• Risk controls consider human and organisational factors.

• Evidence of risk controls being actioned and follow up.
• Aggregate risk is being considered.
• Check whether the risk controls have reduced the residual risk.
• Risk controls are clearly identified.
• Review the use of risk controls that rely solely on human intervention.
• Check that new risk controls do not create additional risks.
• Check whether the acceptability of the risks is made at the right management level.
The organisation Responsibilities Appropriate risk controls Risk controls

has a process in and timelines for are being applied to are practical
place to decide determining and reduce the risk to an and sustainable,
and apply risk accepting the acceptable level including applied in a timely
controls. risk controls are timelines and allocation manner, and
defined. of responsibilities. do not create
additional risks.
Human factors are
considered as part of Risk controls take
the development of risk human factors
controls. into consideration.
Component 3 : Safety assurance

Element 3.1: Safety performance monitoring and measurement
Evaluation

P S O E Comments
3.1.1 Safety performance

indicators (SPIs) linked to
objectives have been
defined, promulgated, and
are being monitored and
analysed for trends.
Guidance
What to look for
• Evidence that SPIs are based on reliable sources of data.

• Evidence of when SPIs were last reviewed.
• The defined SPIs and targets are appropriate to the organisation’s activities, risks, and
safety objectives.
• SPIs are focused on what is important rather than what is easy to measure.
• Consideration of any State SPIs.
• Review whether any action has been taken when an SPI is indicating a negative trend
(reflecting a risk control or an inappropriate SPI).
• Evidence that results of safety performance monitoring are discussed at the senior
management level.
• Evidence of feedback provided to the accountable executive.
There is a process SPIs are focused on The safety SPIs are

in place to what is important performance of demonstrating
measure the safety rather than what is the organisation the safety
performance of easy to measure. is being measured performance of the
the organisation and meaningful organisation and
Reliability of
including SPIs and SPIs are being the effectiveness of
data sources is
targets linked to continuously risk controls based
considered in the
the organisation’s monitored and on reliable data.
design of SPIs.
safety objectives analysed for trends.
SPIs are reviewed
and to measure SPIs are linked
and regularly
the effectiveness of to the identified
updated to ensure
safety risk controls. risks and safety
they remain
objectives.
relevant.
Frequency and
Where the SPIs
responsibility
indicate that
for the trend
a risk control
monitoring of SPIs
is ineffective,
are appropriate.
appropriate action
Realistic targets is taken.
have been set.
State SPIs are
considered, as
applicable.
Evaluation

P S O E Comments
3.1.2 Risk mitigations and controls

are being verified, audited
to confirm they are working
and effective.
3.1.3 Safety assurance takes into

account activities carried
out by all directly contracted
organisations.
Guidance
What to look for
• Evidence of risk controls being assessed for effectiveness (e.g., audits, surveys, reviews,
SPIs and safety performance targets [SPTs], reporting systems).
• Evidence of risk controls applied by contracted organisations being assessed and
overseen (e.g., quality check, reviews, and regular meetings).
• Information from safety assurance and compliance monitoring activities feeds back
into the safety risk management process.
• Review where risk controls have been changed as a result of the assessment.
There is a process Responsibilities, Risk controls are Risk controls are

in place to assess methods, and being verified to assessed, and
whether the risk timelines for assess whether actions taken to
controls are applied assessing risk they are applied ensure they are
and effective. controls are and effective. effective and
defined. delivering a safe
service.
Contracted
organisations are
included in the
safety assurance
process.
Evaluation

P S O E Comments

accountability for ensuring
compliance with safety
regulations are defined and
applicable requirements
are clearly identified in
organisation manuals and
procedures.
3.1.5 There is an internal audit

programme including details
of the schedule of audits
and procedures for audits,
reporting, follow up, and
records.

accountabilities for the
internal audit process are
defined and there is a
person or group of persons
with responsibilities for
internal audits with direct
access to the accountable
manager.
Guidance
What to look for
• Review how senior management ensure the organisation remains compliant.

• Review job descriptions for compliance responsibilities.
• Evidence that senior management take action on internal and external audit results.
• Review how independence of the internal audit function is achieved.
• Review how the internal audit function interacts with:
• senior management
• line managers
• the safety management staff.
• Assess the contents of the programme against any regulatory requirements.
Responsibilities and The internal audit The compliance Individuals are

accountabilities programme covers monitoring proactively
for compliance are all applicable programme is identifying and
defined. regulations and being followed and reporting potential
includes details of regularly reviewed. non-compliances.
The organisation
the schedule
has an internal All staff are The accountable
of audits.
audit programme aware of their executive and
and procedures for Independence responsibilities and senior management
audits, reporting, of the internal accountabilities for actively seek
and records. audit function compliance and to feedback on the
is achieved. follow processes status of internal
A person or group
and procedures. and external audit
of persons with
activities.
responsibilities for Internal and
internal audits has external audit
been identified results are reported
and they have to the accountable
direct access to executive
the accountable and senior
executive. management.
Evaluation

P S O E Comments
3.1.7 After an audit, there is

appropriate analysis
of causal factors, and
corrective or preventive
actions are taken.
Guidance
What to look for
• Review the methods used for causal analysis.

• Check that the method is used consistently.
• Review any repeat findings and check for actions that have not been implemented or
are overdue.
• Check for timely implementation of actions.
• Review senior management awareness of the status of significant findings and related
corrective or preventive actions.
• Check that appropriate personnel participate in the determination of causes and
contributing factors.
• Look for consistency between internal audit results and external audit results.
• Review whether causal factors are considered as potential hazards.
The process for Responsibilities The identification The organisation

the identification and timelines and follow-up of investigates the
and follow-up of for determining, corrective and systemic causes
corrective and accepting, and preventive actions and contributing
preventive actions following-up of is carried out in factors of findings.
are defined. the corrective and accordance with
The organisation
preventive actions the procedures
The interface proactively reviews
are defined. including causal
between internal the status of
analysis to address
audits and Compliance corrective and
contributing factors.
the safety risk monitoring preventive actions.
management includes contracted The status of
Effectiveness of
processes is activities. corrective and
the corrective and
described. preventive actions
preventive actions
is regularly
is verified.
communicated to
relevant senior
management
and staff.
Element 3.2: The management of change
Evaluation

P S O E Comments

process to identify whether
changes have an impact on
safety and to manage any
identified risks in accordance
with existing safety risk
management processes.
3.2.2 Human factor (HF) issues

have been considered
as part of the change
management process and,
where appropriate, the
organisation has applied the
appropriate HF or human-
centred design standards to
the equipment and physical
environment design.
Element 3.2: The management of change
Guidance
What to look for
• Key stakeholders are involved in the process.

• Review what triggers the process.
• Review recent changes that have been through the risk assessment process.
• Check that change is signed off by an appropriately authorised person.
• Transitional risks are being identified and managed.
• Review follow up actions such as whether any assumptions made have been validated.
• Review whether there is an impact on previous risk assessments and existing hazards.
• Review whether consideration is given to the accumulative effect of multiple changes.
• Review that business-related changes have considered safety risks (organisational
restructuring, upsizing or downsizing, IT projects, etc.).
• Evidence of HF issues being addressed during changes.
• Review the impact of change on training and competencies.
• Review previous changes to confirm they remain under control.
• Consider how the changes are communicated to those people impacted by the change.
The organisation Triggers for The change The change

has established the change management process management process
a change management is being used and is used for all changes
management process are includes hazard that may impact
process to defined. identification and safety, including HF
identify whether risk assessments issues, and considers
The process also
changes have with appropriate the accumulation of
considers business
an impact on risk controls being multiple changes. It is
related changes
safety and to put in place before a initiated in a planned,
and interfaces
manage any decision to make the timely, and consistent
with other
identified risks in change is taken. manner and includes
organisations and
accordance with follow up action that
departments. HF issues have been
existing safety ensures the change
considered and
risk management The process was implemented
been addressed as
processes. is integrated safely.
part of the change
with the risk
management process. The change is
management and
communicated to
safety assurance
those affected.
processes.
Risk control and
Responsibilities
mitigation strategies
and timelines are
associated with
defined.
changes are achieving
the planned effect.
image: Adobe Stock | chalabala
Element 3.3: Continuous improvement of the SMS
Evaluation

P S O E Comments
3.3.1 The organisation is

continuously monitoring and
assessing its SMS processes
to maintain or continuously
improve the overall
effectiveness of the SMS.
Element 3.3: Continuous improvement of the SMS
Guidance
What to look for
• Review the information and safety data used for management decision making and
continuous improvement.
• Evidence of:
– lessons learnt being incorporated into SMS and operational processes
– best practices being sought and embraced
– surveys and assessments of organisational culture being carried out and acted upon
– data being analysed and results shared with safety committees
– follow-up actions.
• Information from external occurrences, investigation reports, safety meetings,
hazard reports, audits, and safety data analysis all contribute towards continuous
improvement of the SMS.
There is a process The SMS is There is evidence The assessment of

in place to monitor periodically of the SMS being SMS effectiveness
and review the reviewed, and periodically uses multiple
effectiveness of the review is reviewed to support sources of
the SMS using the supported by safety the assessment of information
available data and information and its effectiveness and including the safety
information. safety assurance appropriate action data analysis that
activities. being taken. supports decisions
for continuous
Senior management
improvements.
and different
departments are
involved.
The decision
making is data
informed.
External
information is
considered in
addition to internal
information.
Component 4: Safety performance

Element 4.1: Training and education
Evaluation

P S O E Comments
4.1.1 There is a training

programme for SMS in
place that includes initial
and recurrent training. The
training covers individual
safety duties (including
roles, responsibilities,
and accountabilities) and
how the organisation’s
SMS operates.
4.1.2 There is a process in

place to measure the
effectiveness of training
and to take appropriate
action to improve
subsequent training.
4.1.3 Training includes human

and organisational
factors including just
culture and non-technical
skills with the intent of
reducing human error.
Guidance
What to look for
• Review the SMS training programme including course content and delivery method.
• Check training records against the training programme.
• Review how the competence of the trainers is being assessed and maintained.
• Training considers feedback from external occurrences, investigation reports, safety
meetings, hazard reports, audits, safety data analysis, training, course evaluations, etc.
• Review how training is assessed for new staff and changes in position.
• Review any training evaluation.
• Check that the training includes human and organisational factors.
• Ask staff about their own understanding of their role in the organisation’s SMS and
their safety duties.
• Check that all staff are briefed on compliance.
There is an SMS The training The SMS training SMS training is

training programme covers individual programme evaluated for all
in place that safety duties is delivering aspects (learning
includes initial and (including roles, appropriate objectives, content,
recurrent training. responsibilities, and training to the teaching methods
accountabilities) different staff in the and styles, tests,
and how the organisation and etc.) and is linked
organisation’s is being delivered to the competency
SMS operates. by competent assessment.
personnel.
Training material Training is routinely
and methodology reviewed to take
are adapted to feedback from
the audience different sources
and include into consideration.
human factors.
All staff requiring
training are
identified.
Evaluation

P S O E Comments

evaluates the individual’s
competence and takes
appropriate remedial action
when necessary.
4.1.5 The competence of trainers

is defined and assessed, and
appropriate remedial action
taken when necessary.
Guidance
What to look for
• Review how competence assessments are carried out on initial recruitment

and recurrently.
• Check it includes safety duties and responsibilities, as well as compliance management.
A competency There is a process in There is evidence of The competence

framework is place to periodically the process being assessment
defined for all assess the actual used and being programme and
personnel, including competency of recorded. process is routinely
trainers. personnel against reviewed and
the framework. improved.
The competence
assessment takes
appropriate
remedial action
when necessary
and feeds into
the training
programme.
Element 4.2: Safety communication
Evaluation

P S O E Comments
4.2.1 There is a process to

determine what safety
critical information needs
to be communicated and
how it is communicated
throughout the organisation
to all personnel, as relevant.
This includes contracted
organisations and personnel
where appropriate.
Element 4.2: Safety communication
Guidance
What to look for
• Review the sources of information used for safety communication.

• Review the methods used to communicate safety information (e.g., meetings,
presentations, emails, website access, newsletters, bulletins, posters, etc.).
• Assess whether the means of communication is appropriate.
• The means for safety communication is reviewed for effectiveness and material used
to update relevant training.
• Significant events, changes, and investigation outcomes are being communicated.
• Check accessibility to safety information.
• Ask staff about any recent safety communication.
• Review whether information from occurrences is timely, communicated to all relevant
personnel (internal and external), and has been appropriately disidentified.
There is a process The process Safety critical The organisation

to communicate determines what, information is analyses and
safety critical when, and how being identified communicates
information. safety information and communicated safety critical
needs to be throughout the information
communicated. organisation to effectively
all personnel, as through a variety
The process
relevant, including of methods as
includes contracted
contracted appropriate to
organisations and
organisations and maximise it being
personnel where
personnel where understood.
appropriate.
appropriate.
Safety
The means of
communication
communication
is assessed to
are adapted to
determine how it
the audience and
is being used and
the significance
understood and to
of what is being
improve it where
communicated.
appropriate.
Interface management
An additional consideration of how third-party contractors and interfaces have been
identified and documented within your SMS.
Element 5.1: Interface mangement
Evaluation

P S O E Comments

identified and documented
the relevant internal and
external interfaces and
the critical nature of such
interfaces.
Element 5.1: Interface mangement
Guidance
What to look for
• Review how interfaces have been documented. It may be included in a system

description.
• Evidence that:
– safety critical issues, areas, and associated hazards are identified
– safety occurrences are being reported and addressed
– risk control actions are applied and regularly reviewed
– interfaces are reviewed periodically.
• Training and safety promotion sessions are organised with relevant external
organisations.
• External organisations participate in SMS activities and share safety information.
• Check the identified interfaces (e.g., aerodromes, airlines, Air Traffic Control [ATC],
training organisations, contracted organisations, and the State).
The organisation All relevant The organisation The organisation

has identified and interfaces are is managing has a good
documented the addressed. the interfaces understanding
relevant internal through hazard of interface
The way the
and external identification and management and
interfaces are
interfaces and the risk management. there is evidence
managed is
critical nature of that interface risks
appropriate to the There is an
such interfaces. are being identified
criticality in terms of assurance activity
and acted upon.
safety. to assess risk
mitigations Interfacing
The means for
being delivered organisations are
communicating
by external sharing safety
safety information
organisations. information and
is defined.
take actions when
needed.
Source: SM ICG SMS Evaluation Tool, SKYbrary Aviation Safety; https://skybrary.aero/articles/sm-icg-sms-evaluation-tool

SMS continuous Like with anything in life, the more we

learn about something and practice
improvement it, the better we become at it. Safety

management is the same. The more we
increase our knowledge of our safety
Maintaining and continuously improving
performance and understanding our
your SMS is an ongoing journey because an
safety lessons the better our safety
organisation and its operating environment
management capabilities become.
is constantly changing. There are two main
aspects of SMS continuous improvement: Some key areas that indicate effective
SMS continuous improvement:
1. Maintenance of the safety systems:
which is aimed at ensuring your safety • Safety lessons learned are being
practises meet the desired level of safety incorporated into SMS policies,
performance, even during a changing procedures, and processes.
operational context. • Best safety practices are constantly
being sought and embraced.
2. Improvement of the safety system:
which is aimed at enhancing current • Assessments of organisational
standards and proactively enhancing safety culture are routinely carried
safety performance. out and findings are acted upon.
• Safety risk controls are routinely
Many aspects of an organisations SMS
re-evaluated to determine
are designed to achieve continuous
ongoing effectiveness.
improvement by maintaining and
improving the safety system. An SMS is • All organisational changes are
an integrated system where outputs from assessed against change risk
one part provide inputs into other parts management processes to
of the system. Through this integrated proactively mitigate safety risks.
system interaction, and via the constant • Management embraces an ever-
learning aspect of safety management evolving safety management mindset,
your SMS is forever evolving. Improving routinely evaluating and revising current
safety performance through enhancing processes, in response to changing
safety processes, procedures and overall needs, operational environment,
developing a positive safety culture is key to or standards to ensure the SMS
continuous improvement. remains effective and relevant.
Maintenance and continuous improvement

of the SMS is supported by several safety
assurance activities. For more information
on continuous improvement of the SMS
through safety assurance activities see
booklet 4: Safety assurance.
As your organisation’s SMS matures you
are building a proactive and resilient safety
culture, always striving for best practise.
At this stage you would be aiming for
excellence in your SMS components. This
would look like:
• Safety policy and objectives: the
organisation is an industry leader in
safety and embraces best practices.
• Safety risk management: key personnel
throughout the organisation are aware
and understand the risks relative to their
responsibilities and are continuously
searching out new hazards and risks,
while re-evaluating existing risks.
• Safety assurance: the organisation is
continuously assessing its approach to
safety management and is continuously
improving its safety performance and
seeking out and embracing best practices.
• Safety promotion: the organisation
provides training and safety promotion
to all personnel including third-party
contracted service providers and assesses
the effectiveness of its safety promotion
and its influence on safety behaviours.
• Human factors integration: human factors
are embedded into day-to-day activities of
the organisation and fully integrated into
the SMS. This is evident throughout the
organisation from senior management to
front line staff across all activities.
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Safety Management Systems Book 8 Workbook

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Safety Management Systems

for aviation: a practical guide

© 2022 Civil Aviation Safety Authority.

First edition published (2012), Second edition (2014)

For further information or additional copies visit CASA’s website: casa.gov.au/sms

Written requests for permission or enquiries should be emailed to safety.promotion@casa.gov.au.

Cover image: Civil Aviation Safety Authority

How to use this kit 2

How to use this kit SMS lifecycle

The next stage is continuous improvement

Component 1: Safety policies and objectives

Element 1.1 Management

1.1.1 There is a safety policy,

1.1.2 The safety policy includes

1.1.3 There are policies in place for

1.1.4 There is a means in place for

1.1.5 The accountable executive

Element 1.1 Management

1.1.6 The safety policy actively

1.1.7 A just culture policy and

1.1.8 Safety objectives have

1.1.9 The State Safety Programme

Element 1.2 Safety accountability

1.2.1 An accountable executive

1.2.2 The accountable executive

1.2.3 Safety accountabilities,

Element 1.3 Appointment of key

1.3.1 A competent safety

1.3.2 The organisation has

1.3.3 The organisation has

Element 1.4 Co-ordination of

1.4.1 An appropriate emergency

1.4.2 The ERP is periodically

Element 1.5 SMS documentation Present

1.5.1 The SMS documentation

1.5.2 SMS documentation,

image: Civil Aviation Safety Authority

Component 2: Safety risk management

Element 2.1 Hazard identification Present

2.1.1 There is a confidential

2.1.2 There is a confidential

2.1.3 Personnel express

Element 2.1 Hazard identification Present

2.1.4 There is a process that

2.1.5 The hazard identification

2.1.6 There is a process in place

2.1.7 Safety investigations

Element 2.2 Safety risk

2.2.1 There is a process for

2.2.2 There are criteria for

2.2.3 The organisation has a

2.2.4 Senior management have

image: Thinkstock | Michal Staniewski

Component 3: Safety assurance

Element 3.1 Safety performance

3.1.1 Safety performance

3.1.2 Risk mitigations and

3.1.3 Safety assurance takes

Element 3.1 Safety performance

3.1.4 Responsibilities and

3.1.5 There is an internal audit

3.1.6 Responsibilities and

3.1.7 After an audit, there is

Element 3.2 The management