Compliance audit for a non-complex operation

INSERT COMPANY NAME HERE

Audit reference from:

Signature:

Position:

Print Name:

Date of signing:

SMS Manual Revision:

To be completed and signed for by the Safety Manager or CEO

	SMM ref		Compliance Y/ N / Partial	Comments / Reference to compliance
Management commitment and responsibility	1.1	Is there a written safety policy endorsed by the CEO?
	1.1	Does Management continuously promote and demonstrate its commitment to the safety policy?
	1.1	Has the safety policy been communicated effectively throughout the organisation?
	1.1	Has management communicated the concept of a fair and just safety culture?
Safety accountabilities	1.2	Are the safety accountabilities and responsibilities of the CEO and other key staff members clearly defined and published for all staff and contractors to see?
	1.2	Does the CEO have full responsibility for the SMS and authority to make decisions regarding the budget?
	1.2	Has the management structure of the organisation been defined?
	1.2	Are all staff members aware of their safety roles and responsibilities?
Appointment of key safety staff members	1.3	Has a Safety Manager for the SMS been appointed?
	1.3	Is there a direct reporting line between the SMS Safety Manager and the CEO?
	1.3	Does the SMS Safety Manager have the appropriate SMS knowledge and understanding?
	1.3	Does the organisation have a Safety Team or equivalent?
	1.3	Does the Safety Team or equivalent monitor the safety performance and the effectiveness of the SMS?
	1.3	Does the Safety Team or equivalent meet at least annually and are the meetings minuted?
SMS Implementation	1.4	Has a gap analysis been done to establish which elements of SMS require work?
	1.4	Has an SMS implementation team been established to carry out the function of SMS implementation?
	1.4	Has the Implementation team created an implementation plan that has been communicated to the whole organisation
	1.4	Does the implementation team work with both the Safety Team to achieve SMS implementation?
Third Party Interface	1.5	Have all TPC been identified and the level of SMS training required been communicated to TPCs?
	1.5	Has the SMS training for TPCs been completed, with training records documented?
	1.5	is there evidence that TPCs are aware of, and are participating in the SMS?
	1.5	Is there a process to train new TPCs in the company SMS?
Emergency response planning	1.6	Has an emergency response plan been developed and is it kept up to date?
	1.6	Are the roles, responsibilities and actions of key staff members defined in the ERP?
	1.6	Does the ERP include all the considerations in this guidance material if appropriate?
	1.6	Is the ERP regularly reviewed and tested?
Safety documentation	1.7	Does the safety management manual or safety documentation in existing manuals contain all the elements as detailed in this guidance material?
	1.7	Is it regularly reviewed?
	1.7	Is there a system for the recording and storage of SMS documentation and records i.e. hazard logs, risk assessments, safety reports from staff/contractors and safety cases?
Hazard identification	2.1	Is there a confidential safety reporting system?
	2.1	Are safety reports assigned an ‘owner’ and reviewed by the Safety Committee or equivalent?
	2.1	Is there feedback to the reporter?
	2.1	Is there a written procedure describing how hazards are identified?
	2.1	Have the major hazards associated with the organisation been identified?

Risk assessment and mitigation		Is there a risk assessment process in place?
	2.2	Is the risk tolerability matrix appropriate and can it be applied consistently?
	2.2	Is there a process for deciding any necessary risk mitigation?
	2.2	Are risk mitigations and controls being verified/audited to confirm the effectiveness?
	2.2	Are risks being managed to a reasonable level?
	2.2	Are the hazards and risks recorded on a hazard log or risk register?
Safety performance monitoring	3.1	Have safety performance indicators been defined?
	3.1	Are the safety performance indicators reviewed regularly to identify any trends?
	3.1	Is there a reporting system for all hazards, incidents and accidents?
	3.1	Are safety audits and surveys carried out?
	3.1	Is there an independent quality system or third party agency that audits the SMS?


Internal Safety Investigation	3.1	Does the company have personnel capable of conducting a safety investigation?
	3.2	Have all staff been made aware that the purpose of an investigation in NOT to lay blame, but for lessons learned?
	3.2	Does the reporting system have process to initiate an investigation with appropriate approval?
Management of change	3.3	Is there a process to proactively identify hazards and to mitigate risks when significant changes in the organisation occur?
Continuous improvement	3.4	Is there a means to monitor the overall performance of the SMS to allow for continuous improvement to be achieved?
Continuous improvement	3.4	Is continuous improvement in the safety performance being achieved?
Safety training	4.1	Have all staff been appropriately trained in respect of the SMS and their safety roles and responsibilities?
Communication	4.2	Does safety related information get communicated to all staff members as appropriate?
	4.2	Does relevant safety information reach external users/customers etc?
	4.2	Is the implementation plan on target?