International Helicopter Safety Team Safety Management System Toolkit

Audits
The use of audit functions to verify compliance
and standardization is an integral part of the quality
assurance system. An initial audit covering all
technical activities should be conducted, followed
by a recurring cycle of further internal audits.
Detailed records of audit findings, including issues
of compliance and non-compliance, corrective
actions and follow-up inspections should be kept.
The results of the audit should be communicated
throughout the organization.
Depending on the size of the organization, these
functions may be performed by individuals within
the organization or assigned to external agents.
Wherever practical, these functions should be
undertaken by persons who are not responsible for,
and have not been involved in, the certification or
performance of the tasks and functions audited. In
this way, the quality assurance function system
remains neutral and is independent from the operational
aspects of the organization.
Audit Checklists
Audit checklists should be employed to identify all
of the technical functions controlled by the policies
and procedures manuals. These should be sufficiently
detailed to ensure all of the technical functions
performed by the organization are covered. Accordingly,
the extent and complexity of these checklists will
vary from organization to organization.
In the case of a quality audit on an organization’s
safety management system, the checklist should
provide a detailed account of the following areas:
Safety policy
Safety standards
Safety culture
Contractor’s safety organization
Structure of safety accountabilities
Hazard management arrangements
Safety assessment, and
Safety monitoring
(Examples of detailed audit checklists are provided in the FAA’s
Inspection and Audit Manual.)
Performance Objective: The organization will perform regularly scheduled internal audits
of its operational processes, including those performed by contractors, to determine
the performance and effectiveness of risk controls.
INTERNAL AUDITS BY OPERATIONAL DEPARTMENTS TABLE
The following table is extracted from the FAA SMS Program Office Assurance Guide.
Input
Does the organization identify inputs (interfaces) for the internal audits by operational departments obtained from
the risk control/mitigation process (2.2.3)? SMS Framework 1.5 B) 1) f) Old – SMS Standard 4.9 A (6) (I)
Management Responsibility
Does the organization clearly identify who is responsible for the quality of the internal auditing process?
SMS Framework 1.2 B) 3) Old – SMS Standard None (R/A)
Procedure:
Does the organization’s line management ensure regular audits are conducted of their safety-related departmental
functions? SMS Framework 3.1.2 B) 1) Old – SMS Standard 6.3.2.A (P)
Procedure: Auditing of Contractors
Does the organization’s line management ensure regular audits are conducted of their safety-related departmental
functions which are performed by subcontractors? SMS Framework 3.1.2 B) 1) Old – SMS Standard 6.3.2.A (P)
Procedure: Objectives of Audits
Does the organization conduct regular audits to -
Determine conformity to safety risk controls? SMS Framework 3.1.2 B) 2) a) Old – SMS Standard 6.3.2.B.1 (P)
Assess safety risk controls’ performance? SMS Framework 3.1.2 B) 2) b) Old – SMS Standard 6.3.2.B.2 (P)
42 SMS Toolkit