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affecting safety is included in Appendix 2 to this chapter. This self-audit checklist is designed for use by
senior management to identify organizational events, policies, procedures or practices that may be indicative
of safety hazards.
Chapter 10. Safety Performance Monitoring 10-9
10.6.2 There are no right or wrong answers in all situations, nor are all the questions relevant to all
types of operations. However, the response to a certain line of questioning may help reveal the
organization’s safety health.
10.6.3 Although the self-audit in Appendix 2 was originally designed for use in flight operations, the
line of questioning is relevant for the management of most operational aspects of civil aviation. Thus, this
self-audit checklist can be adapted for application in a variety of situations.
— — — — — — — —
10-APP 1-1
Appendix 1 to Chapter 10
SAMPLE INDICATORS OF SAFETY HEALTH
POOR SAFETY HEALTH IMPROVING SAFETY HEALTH
CAA
􀂃 Inadequate governing legislation and regulations;
􀂃 Potential conflicts of interest (such as the regulator
also being the service provider);
􀂃 Inadequate civil aviation infrastructure and
systems;
􀂃 Inadequate fulfilment of regulatory functions (such
as licensing, surveillance and enforcement);
􀂃 Inadequate resources and organization for the
magnitude and complexity of regulatory
requirements;
􀂃 Instability and uncertainty within the CAA,
compromising quality and timeliness of regulatory
performance;
􀂃 Absence of formal safety processes such as
incident reporting and safety oversight; and
􀂃 Stagnation in safety thinking (such as reluctance
to embrace proven best practices).
CAA
􀂃 National incident reporting programmes (both
mandatory and voluntary);
􀂃 National safety monitoring programmes, including
incident investigations, accessible safety databases
and trend analysis;
􀂃 Regulatory oversight, including routine surveillance,
regular safety audits and monitoring of best
industry practices;
􀂃 Risk-based resource allocation for all regulatory
functions; and
􀂃 Safety promotion programmes to assist operators.
Operational Organization
􀂃 Inadequate organization and resources for
current operations;
􀂃 Instability and uncertainty due to recent
organizational change;
􀂃 Poor financial situation;
􀂃 Unresolved labour-management disputes;
􀂃 Record of regulatory non-compliance;
􀂃 Low operational experience levels for type of
equipment or operations;
􀂃 Fleet inadequacies such as age and mix;
􀂃 Poorly defined (or no) corporate safety function;
􀂃 Inadequate training programmes;
􀂃 Corporate complacency regarding safety record,
current work practices, etc.; and
􀂃 Poor safety culture.
Operational Organization
􀂃 Proactive corporate safety culture;
􀂃 Investment in human resources in such areas as
non-mandatory training;
􀂃 Formal safety processes for maintaining safety
database, incident reporting, investigation of
incidents, safety communications, etc.;
􀂃 Operation of a comprehensive safety management
system (i.e. appropriate corporate approach,
organizational tools and safety oversight);
􀂃 Strong internal two-way communications in terms
of openness, feedback, reporting culture and
dissemination of lessons learned; and
􀂃 Safety education and awareness in terms of data
exchange, safety promotion, participation in safety
fora, and training aids.
— — — — — — — —
10-APP 2-1
Appendix 2 to Chapter 10
MANAGEMENT SELF-AUDIT
1. OBJECTIVE
This self-audit checklist may be used by management to identify administrative, operational and other
processes, and training requirements that might indicate safety hazards. The results can be used to focus
management’s attention on those issues possibly posing a safety risk.
2. MANAGEMENT AND ORGANIZATION
Management structure
1) Does the organization have a formal written statement of corporate safety policies and objectives?
2) Are the corporate safety policies and objectives adequately disseminated throughout the
organization? Is there visible senior management support for these safety policies?
3) Does the organization have a safety department or a designated safety manager (SM)?
4) Is this department or SM effective?
　
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