Implementation and Evaluation Checklist

Key elements of aviation safety management systems can be measured and the attached checklist helps identify areas (questions answered "NO") that must be addressed. Checklist is from the GAIN handbook, Appendix D.

SMS Implementation and Evaluation Survey

Size of Organization






Type of Operation









Is senior management committed to the Aviation Safety Management Program?


Is there a written aviation safety policy, signed by the CEO?


Has a safety manager been appointed?


Is the safety reporting chain appropriate?


Is the Safety Manager sufficiently supported within the organization?


Is there a Safety Committee?


Is the Safety Manager credible?


Is the Safety Manager an enthusiast for his or her job?


Are the roles and responsibilities of the personnel in the Aviation Safety Management System documented?


Are the values of management identified as being safety oriented?


Are sufficient resources (financial, human, hardware) made available for the Aviation Safety Management System?


Are there appropriate safeguards in place to ensure that the Aviation Safety Management System itself is properly evaluated?


Have appropriate standards been documented?


Is there an appropriate Emergency Response Plan?


Is there an effective ongoing hazard identification program?


Does the hazard identification program include a confidential reporting system?


Are confidential reports properly de-identified?


Are hazards associated with contracted agencies included in the Hazard Reporting System?


Is there a procedure established for acknowledging safety-related reports?


Is there a process whereby the hazards are continuously assessed for their risk potential (likelihood and severity)?


Are the defences against the hazards identified?


Does the process include the identification of the need for further defences or for hazard avoidance?


Is there an effective mechanism by which the Safety Manager or the Safety Committee reports to the CEO and can make recommendations for change or action?


Is there an obligation on the part of the CEO to give formal response to any safety-related recommendations?


In the event that the CEO makes an unfavourable response to a safety recommendation, is there a procedure whereby the matter is monitored by the Safety Manager or Safety Committee until a resolution is reached?


Are the results of hazard reports and safety suggestions made available to the initiator?


Are the results of hazard reports and safety suggestions made widely available within the Company?


Is the process for risk assessment and management fully documented?


Does the Aviation Management System require the recording of identified hazards and defences?


Is there a supply of safety-related literature (e.g., periodicals, magazines, books, articles, posters, videos) readily available to all employees who have safety responsibilities?


Are employees encouraged and assisted in attending training courses and seminars related to safety?


Are employees trained in the procedures and policy of the Aviation Safety Management System?


Are new employees given sufficient training and checking in their technical duties prior to being permitted to operate either supervised or unsupervised?


Is the continuation of training and checking of all employees adequate?


Are employees given sufficient training in new procedures?


Are trainers and checkers adequately trained and checked, both for competence and standardization?


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Implementation and Evaluation Checklist

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