Checklist

SMS Compliance Checklist: Evidence for Each Component

Policies and procedures are the starting point. This checklist focuses on the evidence that shows each component is actually working.

Component 1

Safety policy

A safety policy signed by the accountable executive, with safety objectives and a commitment to meet them
Named accountabilities and authority for safety decisions, including who may accept each level of risk
An employee reporting policy and a clear statement of unacceptable behavior and when discipline applies
An emergency response plan coordinated with the organizations you interface with
Evidence the policy has been communicated and is reviewed on a regular schedule

Component 2

Safety risk management

A system analysis that describes the operation before hazards are identified
A hazard identification process fed by reports, audits, investigations and changes
A consistent risk matrix with defined acceptable, tolerable and unacceptable regions
Risk controls evaluated before they are put in place, with initial and residual risk recorded
Hazards shared with interfacing organizations when they can help control them
Management of change: planned changes assessed before they happen

Component 3

Safety assurance

Safety performance indicators and targets linked to your safety objectives
Monitoring of operations, audits, evaluations and investigations as data sources
A confidential employee reporting system with protection from reprisal
Corrective actions verified for effectiveness, not just closed
Trend analysis that connects repeat hazards across time, locations and teams
Regular reviews of safety performance by the accountable executive

Component 4

Safety promotion

Initial and recurrent SMS training matched to each role
Training records kept for every person with SMS duties
Safety communication that explains why actions were taken and procedures changed
Feedback to reporters on what happened with their reports
Lessons learned shared across shifts, locations and departments

Make the evidence automatic

Checklists are easy. Proof is hard.

Most organizations can tick every box on paper. The difficulty is producing the evidence on demand: the record that shows who accepted a risk, how a fix was verified, and whether the hazard has shown up before.

Allied SMS keeps that evidence in one connected record, created as people do the work, so audits stop being a scramble.

How does your SMS measure up?

Our free gap check compares your current program with this checklist and shows where to focus first.

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