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SMS Pro provides your organization with the framework, Web server, database and tools you need to manage an ICAO compliant aviation safety management system.

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Transport Canada Aviation SMS Implementation Plan Checklist

Safety Management Plan

  • The safety policy is approved by the accountable executive. 573.31(1)(a)(i), 705.152(1)(a)(i))
  • The safety policy will be reviewed periodically. 107.03(g), 573.31(1)(a)(v), 705.152(1)(a)(v))
  • The safety policy is communicated to all employees with the intent that they are made aware of their individual safety obligations. 107.03(f), 573.31(1)(a)(i), 705.152(1)(a)(i))
  • There is a policy in place that provides immunity from disciplinary action for employees that report safety deficiencies, hazards or occurrences. 573.31(1)(a)(iv), 705.152(1)(a)(iv))
  • An accountable executive has been appointed with responsibility for ensuring that the SMS is properly implemented and performing to requirements in all areas of the organization. 106.02(1)(a))
  • The accountable executive has control of the financial and human resources required for the proper execution of his/her SMS responsibilities. 106.02(2))
  • A qualified person has been appointed to manage the operation of the SMS. 573.30(b), 705.151(b))
  • Safety authorities, responsibilities and accountabilities are promulgated to all personnel in key documentation and communication media. 107.03(f), 573.31(1)(a)(ii), 705.152(1)(a)(ii) There are communication processes in place within the organization that permit the SMS to function effectively. 573.32(a)(d), 705.153(a)(d))
  • Communication processes (written, meetings, electronic, etc.) are commensurate with the size and scope of the organization. 107.04)
  • Information is established and maintained in a suitable medium that provides direction in related documents. 107.03(f), 573.31(2), 705.152(2))
  • There is a process for the dissemination of safety information throughout the organization and a means of monitoring the effectiveness of this process. 107.03(f), 573.32(a)(d)(f), 705.153(a)(d)(f))
  • Safety objectives have been established. 107.03(b))
  • There is a formal process to develop a coherent set of safety goals necessary to achieve overall safety objectives. 107.03(b), 573.31(1)(a)(iii), 705.152(1)(a)(iii))
  • Safety objectives and goals are publicized and distributed. 107.03)
  • There is a formal process to develop and maintain a set of performance parameters to be measured. 107.03(b), 573.31(1)(a)(iii), 705.152(1)(a)(iii))
  • There are regular and periodic, planned reviews of company safety performance and achievement including an examination of the company's SMS to ensure its continuing suitability, adequacy and effectiveness. 107.03(g), 573.31(1)(a)(v), 705.152(1)(a)(v))
  • There is a process to evaluate the effectiveness of corrective actions. 573.32(1)(e), 705.153(1)(e)

Document Management

  • A documented procedure has been established and maintained for identifying applicable regulatory requirements. 107.03(f)
  • Regulations, Standards and exemptions are periodically reviewed to ensure that the most current information is available. 107.03(f)
  • There is consolidated documentation that describes the SMS and the interrelationship between all of its elements. 107.03(f)
  • This information resides or is incorporated by reference into approved documentation, such as Design Approval Procedures Manual / Engineering Procedures Manual, Company Operations Manual, Maintenance Control Manual, Airport Operations Manual, as applicable, and where these approved documents are not required by regulation, the organization includes the information in a separate, controlled document. 573.31(2), 705.152(2)
  • The organization has a records system that ensures the generation and retention of all records necessary to document and support operational requirements, and is in accordance with applicable regulatory requirements. 103.04(a)(b), 573.31(1)(c), 705.152(a)(c)
  • The system shall provide the control processes necessary to ensure appropriate identification, legibility, storage, protection, archiving, retrieval, retention time, and disposition of records. 103.04(a)(b)

Safety Oversight

  • The organization has a process or system that provides for the capture of internal information including incidents, accidents and other data relevant to SMS. 107.03(e), 573.31(1)(b)(c), 573.32(a), 705.152(1)(b)(c), 705.153(a)
  • The reactive reporting system is simple, accessible and commensurate with the size of the organization. 107.04
  • Reactive reports are reviewed at the appropriate level of management. 573.31(1)(b), 705.152(1)(b)
  • There is a feedback process to notify contributors that their reports have been received and to share the results of the analysis. 573.32(a), 705.153(a)
  • There is a process in place to monitor and analyze trends documented. 573.32(d), 705.153(d)
  • The organization has a proactive process or system that provides for the capture of internal information identified as hazards and other data relevant to SMS. 107.03, 573.31(1)(c), 705.152(1)(c)
  • The proactive reporting process is simple, accessible and commensurate with the size of the organization. 107.04
  • Proactive reports are reviewed at the appropriate level of management. 573.31(1)(b)
  • There is a feedback process to notify contributors that their proactive reports have been received and to share the results of the analysis 573.32(a), 705153(a)
  • T here is a process in place to monitor and analyze trends. 573.32(d), 705.153(d)
  • The organization has planned self-evaluation processes, such as regularly scheduled reviews, evaluations, surveys, operational audits, assessments, etc. 107.03(c), 573.23(b), 705.153(b)
  • There are procedures in place for the conduct of investigations. 107.03(c), 573.31(1)(d), 573.32(c), 705.152(1)(d), 705.153(c)
  • Measures exist that ensure all reported occurrences and deficiencies are investigated. 573.32(c), 705.153(c)
  • There is a process to ensure that occurrences and deficiencies reported are analyzed to identify the cause or probable cause. 573.32(c), 705.153(c)
  • There is a structured process for the assessment of risk associated with identified hazards, expressed in terms of severity, level of exposure and probability of occurrence. 107.03(c), 573.32(b), 705.153(b)
  • There are criteria for evaluating risk and the tolerable level of risk the organization is willing to accept. 107.03(c), 573.32(b), 705.153(b)
  • The organization has risk control strategies that include corrective/preventive action plans to prevent recurrence of reported occurrences and deficiencies. 107.03(c)(e), 573.03(1)(g), 700.09(1)
  • The organization has a process for evaluating the effectiveness of the corrective/preventive measures that have been developed. 107.03(g), 573.32(e), 705.153(e)


  • There is a documented process to identify training requirements so that personnel are competent to perform their duties. 107.03(d), 573.31(1)(f), 705.152(1)(f)
  • There is a validation process that measures the effectiveness of training. 107.03(d), 573.32(g), 705.153(g)
  • The training includes initial, recurrent and update training, as applicable. 573.31(1)(f), STD 573.06(2), 705.124(2), 705.152(1)(f)
  • The organization's safety management training is incorporated into indoctrination training upon employment. 573.06(2), 705.124(2)
  • Training includes human and organizational factors. STD 573.06(3)(8), 725.124(39)(a)(iv)
  • There is emergency preparedness and response training for affected personnel. 725.07 (3)(k)

Quality Assurance

  • A quality assurance program is established and maintained, and the program is under the management of an appropriate person. 573.31(1)(e), 573.09(3), 705.152(1)(e), 706.07(3)
  • There exists an operationally independent audit function with the authority required to carry out an effective internal evaluation program. 573.09(5), 706.07(5)
  • The organization will conduct reviews and audits of its processes, its procedures, analyses, inspections and training. 573.09(1), 706.07(1)
  • The organization has a system to monitor for completeness the internal reporting process and the corrective action completion. 573.09(3)(f), 706.07(3)(f)
  • The quality assurance system covers all functions defined within the certificate(s). 573.09(3)(c), 573.09(2)(b), 706.07(3)(d), 726.07(2)
  • There are defined audit scope, criteria, frequency and methods. 573.09(3), 706.07(3)
  • A selection/training process to ensure the objectivity and competence of auditors as well as the impartiality of the audit process. 573.09(5), 706.07(5)
  • There is a procedure to record verification of action(s) taken and the reporting of verification results. 573.09(3)(g), 573.04(3)(b)(d), 706.07 (3)(g), 705.03(2)(b)(d)
  • The organization will perform a periodic Management review of safety critical functions and relevant safety or quality issues that arise from the internal evaluation program. 107.03(g)
  • There is a procedure for reporting audit results and maintaining records. 573.09(3)(e)(g), 706.07(3)(e)(g)
  • There is a procedure outlining requirements for timely corrective and preventive action in response to audit results. 573.09(3)(e), 573.04(3)(a), 706.07 (3)(e), 705.03(2)(a)

Emergency Preparedness

  • The organization has an emergency preparedness procedure, appropriate to the size, nature and complexity of the organization 107.04, 725.07(3)(g)
  • The Emergency preparedness procedures have been documented, implemented and assigned to a responsible manager. 705.07(2)(l)
  • The emergency preparedness procedures will be periodically reviewed as a part of the management review and after key personnel or organizational change 107.03(g)
  • The organization has a process to distribute the ERP procedures and to communicate the content to all personnel 107.03(f), 705.07(2)(l)
  • The organization will conduct drills and exercises with all key personnel at intervals defined in the approved control manual. 107.03(d), 725.07(3)(k)

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