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ANNEX A
Gap Analysis and
SMS Assessment Tables
144
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Table 32. SMS assessment table for safety policy and objectives.
1. SAFETY POLICY AND OBJECTIVES SERVICE PROVIDER
Expectations Score REMARKS
Organization
(meets or
(Specific expectation and best practice) reference (Justification for score)
below)
1.1 Management commitment and
responsibility
1.1.1 Policy
1.1.1.1 A safety policy is in place
(documented).
1.1.1.2 The safety policy is approved by top
management.
1.1.1.3 The safety policy is promoted by top
management.
1.1.1.4 The safety policy is reviewed
periodically.
1.1.1.5 There is a policy in place that ensures
that employees are free to report safety
deficiencies, hazards, or occurrences without
being subject to unjust discipline.
1.1.1.6 The policy includes a commitment to
continual improvement.
(continued on next page)
OCR for page 146
Table 32. (Continued).
1. SAFETY POLICY AND OBJECTIVES SERVICE PROVIDER
Expectations Score REMARKS
Organization
(meets or
(Specific expectation and best practice) reference (Justification for score)
below)
1.1.1.7 The policy includes a commitment to
comply with applicable legislation and other
requirements to which the organization
subscribes.
1.1.1.8 The safety policy is effectively
communicated within the organization.
Employees are aware of the policy and their SMS
obligations.
1.1.1.9 The safety policy is effectively communicated
to external parties including contractors and visitors.
1.1.1.10 The policy is generally reflected in the
safety practices.
1.1.2 Objectives
1.1.2.1 Safety objectives are established and
documented for each relevant function within the
organization.
1.1.2.2 Safety objectives are publicized and
distributed.
1.1.2.3 A coherent set of safety goals are
developed based on objectives.
1.1.2.4 The results of hazard identification and
risk assessments are considered while setting SMS
objectives (see 2.1).
1.1.2.5 Objectives are established consistent
with the commitment to continual improvement.
(continued)
OCR for page 147
Table 32. (Continued).
1. SAFETY POLICY AND OBJECTIVES SERVICE PROVIDER
Expectations Score REMARKS
Organization
(meets or
(Specific expectation and best practice) reference (Justification for score)
below)
1.2 Safety accountabilities of managers
1.2.1 A top manager is assigned, with
responsibility and accountability for ensuring that
the SMS is properly implemented and performing
the requirements in all areas of the organization.
1.2.2 The top manager accountable for SMS
has control of the financial and human resources
required for the proper execution of their SMS
responsibilities.
1.3 Appointment of key safety personnel
1.3.1 A qualified person has been appointed to
oversee the implementation and operation of the
SMS.
1.3.2 The safety authority, responsibilities, and
accountability of personnel at all levels of the
organization are defined and documented.
1.3.3 The organizational structure facilitates
communication between the SMS manager, the
top accountable executive, and line managers.
1.3.4 All those with management responsibility
demonstrate their commitment to continual
improvement of SMS performance.
1.3.5 All personnel understand their authority,
responsibilities, and accountability in all safety
management processes, decisions, and actions.
(continued on next page)
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Table 32. (Continued).
1. SAFETY POLICY AND OBJECTIVES SERVICE PROVIDER
Expectations Score REMARKS
Organization
(meets or
(Specific expectation and best practice) reference (Justification for score)
below)
1.4 SMS implementation and management
1.4.1 There is a strategic SMS implementation (or
management) plan including assignment of roles
and responsibilities, means, and timelines for
completion.
1.4.2 The planning process is conducted at
regular, planned intervals by an SMS planning
group, which includes the SMS manager.
1.5 Documentation
1.5.1 Legal and other requirements
1.5.1.1 Relevant information on legal and
other requirements is communicated to
employees and other interested parties.
1.5.1.2 License and permit requirements are in
place and legal requirements implemented.
1.5.2 SMS Documentation
1.5.2.1 There is consolidated documentation
that describes the SMS and the interrelationships
between all its components.
(continued)
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Table 32. (Continued).
1. SAFETY POLICY AND OBJECTIVES SERVICE PROVIDER
Expectations Score REMARKS
Organization
(meets or
(Specific expectation and best practice) reference (Justification for score)
below)
1.5.3 Documentation and data control
1.5.3.1 Procedures for document control are
established.
1.5.3.2 Documents are periodically reviewed,
revised as necessary, and approved by
authorized personnel.
1.5.3.3 Obsolete documents are secure from
unintended use and retained documents are
identified.
1.5.3.4 Current versions are available at all
relevant locations.
1.5.4 Record and records management
1.5.4.1 The airport has a records system that
ensures the generation and retention of all
records necessary to document and support
operational requirements in accordance with
applicable regulatory requirements and industry
best practices.
1.5.4.2 The system provides the control
processes necessary to ensure appropriate
identification, legibility, storage, protection,
archiving, retrieval, retention time, and disposition
of records.
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Table 33. SMS assessment table for safety risk management.
2. SAFETY RISK MANAGEMENT SERVICE PROVIDER
Expectations Organization Score REMARKS
reference (meets or
(Specific expectation and best practice) (Justification for score)
below)
2.1 Hazard identification
2.1.1 Hazard identification process
2.1.1.1 A procedure for the identification of
hazards and assessment of risks is established and
the methodology is defined.
2.1.2 Reporting systems
2.1.2.1 There is a reporting process that is
simple and accessible.
2.1.2.2 Reports are reviewed at the
appropriate level of management.
2.1.2.3 There is a feedback process to notify
contributors that their reports have been received
and to share the results of the analysis.
2.1.2.4 All identified hazard data are
systematically recorded, stored, and analyzed.
2.1.2.5 There is a system to share significant
safety event information with other similar
organizations, subject to reasonable restriction on
proprietary and confidential information.
(continued)
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Table 33. (Continued).
2. SAFETY RISK MANAGEMENT SERVICE PROVIDER
Expectations Organization Score REMARKS
reference (meets or
(Specific expectation and best practice) (Justification for score)
below)
2.2 Risk assessment and mitigation processes
2.2.1 Risk assessment
2.2.1.1 There is a structured process for the
assessment of risk associated with identified
hazards expressed in terms of severity and
probability of occurrence.
2.2.1.2 Risk assessment procedures cover all
facilities, routine-nonroutine activities, and
personnel having access to the workplace
(including visitors, subcontractors, etc.).
2.2.1.3 Criteria are established for evaluating
risk and the level of risk the organization is willing
to accept.
2.2.1.4 The results of the risk assessment are
taken into account in the development of
facilities, equipment, procedures, training, etc.
2.2.1.5 Results of hazard identification and risk
assessments are considered while setting SMS
objectives. (see 1.1.2)
2.2.2 Operating procedures
2.2.2.1 Operations and activities associated
with identified risks, where control measures need
to be applied, are identified.
2.2.2.2 Operating procedure requirements
cover all activities and facilities, especially
activities where their absence could lead to
deviations from the policy, safety objectives,
and/or regulatory requirements.
(continued on next page)
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Table 33. (Continued).
2. SAFETY RISK MANAGEMENT SERVICE PROVIDER
Expectations Organization Score REMARKS
reference (meets or
(Specific expectation and best practice) (Justification for score)
below)
2.2.2.3 The SMS specifically addresses the
coordination of SMS interfaces with external
organizations including service providers,
suppliers, subcontractors, etc.
2.2.2.4 Operating criteria are stipulated in the
procedures.
2.2.3 Mitigation controls
2.2.3.1 Corrective and preventive actions are
generated in response to risk assessment or event
analysis.
2.2.3.2 The organization evaluates the
effectiveness of the corrective/preventive
measures that have been developed.
2.3 Internal safety investigations
2.3.1 There is a process to ensure that all
reported occurrences and deficiencies are
investigated.
2.3.2 Investigations are targeted toward
identification of the root cause and they consider
human and organizational factors in the analysis.
2.3.3 There is a process to identify lessons
learned from safety-significant events that occur
at other organizations.
(continued)
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Table 34. SMS assessment table for safety assurance.
3. SAFETY ASSURANCE SERVICE PROVIDER
Expectations Organization Score REMARKS
reference (meets
(Specific expectation and best practice) (Justification for score)
or
below)
3.1 Safety performance monitoring and
measurement
3.1.1 Performance monitoring and measurement
3.1.1.1 There are safety performance
indicators and safety performance targets directly
related to safety objectives.
3.1.1.2 There is a process for reviewing the
adequacy/appropriateness of safety performance
indicators.
3.1.1.3 Procedures to monitor and measure
SMS performance on a regular basis are
established.
3.1.1.4 There is a process and/or procedures to
ensure calibration and maintenance of monitoring
equipment.
3.1.2 Audit
3.1.2.1 The organization conducts reviews and
audits of its processes, its procedures, analyses,
inspections, and training.
3.1.2.2 There is an operationally independent
audit function with the authority required to carry
out an effective internal evaluation program.
3.1.2.3 Audits address all functions, activities,
and groups within the organization.
(continued on next page)
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Table 34. (Continued).
3. SAFETY ASSURANCE SERVICE PROVIDER
Expectations Organization Score REMARKS
reference (meets
(Specific expectation and best practice) (Justification for score)
or
below)
3.1.2.4 There are defined audit scope, criteria,
frequency, and methods.
3.1.2.5 Audits take into account identified risks
and previous audit results.
3.1.2.6 Audits are carried out based on an
approved and recognized SMS set of
requirements.
3.1.2.7 SMS evaluators/auditors are trained
and qualified.
3.1.2.8 Audit results are addressed.
3.2 The management of change
3.2.1 There is a process in place for analyzing risk
resulting from changes made to operations or to
key personnel.
3.2.2 Proposed corrective and preventive
actions are reviewed through risk assessment.
3.2.3 There is a procedure to record verification
of action(s) taken and the reporting of verification
results.
3.3 Continuous improvement of the safety
system
3.3.1 Continuous improvement is an inherent
part of the safety objectives at all levels of the
organization.
(continued)
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Table 34. (Continued).
3. SAFETY ASSURANCE SERVICE PROVIDER
Expectations Organization Score REMARKS
reference (meets
(Specific expectation and best practice) (Justification for score)
or
below)
3.3.2 Regular and periodic planned reviews are
conducted regarding organization safety
processes and performance, with the objective of
identifying opportunities for improvement.
3.3.3 Major decisions and actions aimed at
improving safety are monitored for their
effectiveness and further action is taken when the
expected risk benefit is not met.
3.3.4 Managers are kept informed of the internal
safety reviews, as well as planned and
implemented risk control actions.
3.3.5 There is an annual management review of
the entire SMS.
3.3.6 The results of the management review are
documented.
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Table 35. SMS assessment table for safety promotion.
4. SAFETY PROMOTION SERVICE PROVIDER
Expectations Organization Score REMARKS
reference (meets
(Specific expectation and best practice) (Justification for score)
or
below)
4.1 Training and education
4.1.1 Training requirements are defined so that
personnel are competent to perform their duties.
4.1.2 Appropriate training is provided. This
includes specialized training to personnel involved
in safety-critical tasks, general SMS training for all
personnel, and SMS training for new employees as
part of the indoctrination training.
4.1.3 Training effectiveness is measured.
4.1.4 There is emergency preparedness and
response training for affected personnel.
4.1.5 Training records are maintained.
4.2 Safety communication
4.2.1 The free exchange of safety information,
across all areas and through all levels, both
vertically and horizontally, is actively promoted by
management and facilitated by mechanisms and
processes.
4.2.2 Employees are involved/consulted in the
development and review of policies and
procedures to manage risks.
(continued)
OCR for page 157
Table 35. (Continued).
4. SAFETY PROMOTION SERVICE PROVIDER
Expectations Organization Score REMARKS
reference (meets
(Specific expectation and best practice) (Justification for score)
or
below)
4.2.3 There are multi-disciplinary, multi-level
safety committees or operational committees for
which safety is a standing agenda item, and
where SMS-related issues are critically assessed
and objectively discussed.
4.2.4 The results of safety coordination meetings
are communicated to all employees.
4.2.5 Safety information is disseminated
throughout the organization and the effectiveness
of this process is monitored.
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Table 36. SMS assessment table for the emergency plan.
5. EMERGENCY PLAN SERVICE PROVIDER
Expectations Organization Score REMARKS
reference (meets
(Specific expectation and best practice) (Justification for score)
or
below)
5.1 Coordination of the emergency response
plan
5.1.1 Potential emergency situations and
incidents are identified.
5.1.2 The organization has emergency response
procedures appropriate to the size and scope of
its operations and has identified potential
emergency situations and incidents (see 5.1.1).
5.1.3 The emergency response procedures are
documented, implemented, and assigned to a
responsible manager.
5.1.4 The organization has a process to
coordinate emergency planning, distribute the
emergency response plan and procedures, and
communicate the content to all personnel.
5.1.5 Emergency response teams are properly
trained (see 4.1).
5.1.6 The organization conducts drills and
exercises (where practicable) with all key
personnel at specified intervals.
5.1.7 The emergency response procedures are
periodically reviewed as part of the management
review of the SMS. They are also reviewed after
key changes, including organizational and
personnel changes.
