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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)

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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) 1.1.1.7 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)

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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) 1.2 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)

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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.