| Login

Combined ICAO SMS Gap Analysis Checklist for Airlines/Airports

Get the World's Most Popular Aviation SMS Tools in Just a Few Clicks....
Need help with compliance?
Use SMS Pro's nice Web-based toolkit
SMS Pro provides your organization with the framework, Web server, database and tools you need to manage an ICAO compliant aviation safety management system.

Gap Analyses save time & money. Gap analysis is completed at the beginning phase of your aviation SMS. Perform a gap analysis regularly for continuous monitoring...

Get Gap Analysis Tools!

ICAO SMS, FAA SMS, IS-BAO SMS and Transport Canada SMS are all in agreement with SMS Pro. SMS Pro is a compliance achiever.
Aviation SMS training supplied by qualified aviation safety management systems professionals Aviation safety management systems consulting by professional aviaiton SMS consulting companies for ICAO, Transport Canada, FAA SMS manuals Aviation SMS hazard reporting and analysis tools for safety managers for ICAO, FAA and Transport Canada compliant tools

Combined ICAO, IS-BAO, FAA & TC Gap Analysis Checklist Tool

Regulations Management

  • There is a documented procedure for identifying applicable regulatory requirements.
  • The company periodically reviews regulations, standards and other guidance to ensure that the most current information is available.
  • The pertinent technical and regulatory information is readily accessible and available to personnel as appropriate.
  • There are specific triggers in place that initiate review of company documentation in response to regulatory requirements.
  • Is there a publication that clearly describes the safety management system and the interaction of the various elements, including?
  • Is the safety management system incorporated by reference in company operations directives and/or is there a separate controlled safety management system document?
  • Does the SMS process and documentation include all the operational systems including:
    • Flight Operations?
    • Dispatch & Flight Scheduling?
    • Maintenance & Inspection?
    • Cabin Safety?
    • Ground Handling & Servicing?
    • Cargo Handling
    • Training
  • Is the SMS documented in published manuals or electronic media?
  • Is the safety management system documentation readily available to all personnel?
  • Is there a process to periodically review the SMS documentation to ensure that it remains adequate, effective and suitable?
  • Does this review include procedures to ensure that changes to company documentation are implemented?
  • Is this procedure clearly documented in company media at all levels?
  • Does the system reflect functional coordination within the organization to ensure that the SMS works as an integrated system not a group of separate or fragmented units?
  • Does the documentation show lines of authority, accountability, and responsibility for safety management at the various corporate management levels?
  • Is this authority, responsibility and accountability reflected in organizational charts, job descriptions, or other written material that clearly and explicitly defines the authority and responsibility individuals within the organization have for ensuring safe operations?
  • Is there a clearly defined process to identify and analyze organizational changes that could affect company documentation?
  • Does the organization have a records system that ensures that all records required to document and support operational requirements by regulation are generated and properly maintained?
  • Does the system have control processes which ensure appropriate identification, legibility, storage, protection archiving, retrieval, retention period and disposition of records?

Policy

  • Is there a formal safety policy statement published?
  • Does the policy explicitly address aviation safety, in particular, to reduce aviation risks as far as reasonably practical?
  • Does the policy confirm the intent to maintain or improve current safety performance?
  • Does top management define the safety policy?
  • Is the policy endorsed and promoted by senior management?
  • Is the policy reviewed periodically (at least once a year)?
  • Does the policy explicitly charge all employees with an obligation to actively support safety in their jobs?
  • Is the safety policy readily available to all employees?
  • Does the policy statement explicitly insist upon compliance with safety and operational standards?
  • Is the safety policy understood and accepted by all levels in the company?
  • Do senior managers clearly state the importance of safety in their communications with employees and in their daily actions?
  • Does the safety policy explicitly hold managers at all levels accountable for supporting the safety management system in their areas of responsibility?
  • Is there a policy in place that grants immunity from disciplinary action to employees who report safety deficiencies, hazards or occurrences?
  • Are conditions where immunity is not granted (illegal activity, substance abuse, willful negligence or misconduct) clearly stated in the policy?
  • Is the non-punitive reporting policy published and understood throughout the organization?
  • Is it accepted and trusted by people in the organization?
  • Is there evidence that the non-punitive reporting policy is actually applied?

Safety Goal & Objectives

  • Have a set of clear safety objectives been established and published?
  • Is there a formal process to develop a coherent set of safety goals necessary to achieve the published safety objectives?
  • Do the safety objectives express the organization’s commitment to achieving continuous improvements in safety?
  • Have resources been adequately allocated to achieve the published safety objectives and goals?
  • Are the safety objectives and goals reviewed and updated periodically (at least annually)?
  • Are the published goals specific, measurable, achievable, agreed to, relevant and time-based?
  • Are all personnel within the organization aware of the goals?
  • Do the safety goals encompass all areas of the organization?

Organization

  • Has an Accountable Executive, someone with the authority and resources to take action, for the organization, been appointed to ensure that the SMS is properly implemented and performing to requirements in all areas of the organization?
  • Has a qualified person been appointed to manage the day-to-day operation of the SMS (Safety Manager)?
  • Are the roles and responsibilities of the Safety Manager and safety staff clearly defined and documented?
  • Are the safety responsibilities, accountabilities, and authority for each functional manager clearly and explicitly defined and documented?
  • Are the safety responsibilities, accountabilities, and authority of employees at all levels clearly defined and documented?
  • Is there evidence that the accountable executive understands his or her ultimate responsibility for safety and demonstrates commitment to the SMS in daily actions?
  • Has a safety committee been appointed ?
  • Does the safety committee have a written charter that clearly defines committee roles, responsibilities, authority and accountability
  • Does the committee meet regularly (at least quarterly)?
  • Are safety committee reports published and reviewed regularly by senior management?
  • Does management at all levels demonstrate understanding and support of the Safety Manager and the SMS?

Risk Management

  • Is there a structured, documented process for assessment of risk associated with identified hazards, expressed in terms of severity, probability of occurrence and level of exposure?
  • Is there a documented process to define acceptable and unacceptable risk, for example a risk matrix?
  • Is there a documented process to ensure that none of the following are implemented without having completed a risk assessment of identified hazards:
    • New system designs?
    • New operations or procedures?
    • Modifications to existing operations or procedures?
  • Is there a documented procedure that allows for interim controls to mitigate an existing risk?
  • Does the risk management procedure define the levels of management that can make risk acceptance decisions?
  • Does the risk management process include the requirement for system and task analysis?
  • Does this process require system and task descriptions sufficiently detailed to identify hazards?
  • Do these system and task analyses consider the following:
    • The systems interactions with other systems in the air transportation system?
    • The systems functions for each of the seven subsystems: flight operations, dispatch/flight following, maintenance and inspection, cabin safety, ground handling and servicing, cargo handling, and training?
    • The required human factors considerations for operations?
    • The required human factors considerations for maintenance?
    • The hardware components of the system? The software components of the system?
    • Related procedures that define guidance for the operation and use of the system?
    • The external environment?
    • The operational environment?
    • The maintenance environment?
    • Contracted and purchased products and services?
    • The interactions of the above?
    • Any assumptions made about the system?
    • Any assumptions made about the system interactions?
    • Any assumptions made about existing risk controls?
  • Are there controls in place to ensure that task analyses are completed for all functional areas in the organization?
  • Is there a documented procedure that requires system and task analyses to be reviewed periodically?
  • Are the results of the risk management program incorporated into the organizational methods and procedures?
  • Is there a requirement that risk analysis documentation is periodically reviewed, particularly the effectiveness of controls?
  • Does the risk management program documentation clearly identify who is responsible for the quality of the risk analysis and assessment process?
  • Does the program documentation clearly identify who has the authority and responsibility to establish and/or modify the policies, procedures, instructions and information for the risk analysis and assessment process?
  • Does the program documentation define the duties and responsibilities of those who manage the work (controls) directed by the risk management program?
  • Does the organization risk management program require a risk control/mitigation plan for any hazard identified as having unacceptable risk?
  • Are risk controls
    • Clearly described?
    • Evaluated to be sure that risk reduction requirements have been met?
    • Ready to be used in the operational environment as intended?
    • Periodically reviewed for effectiveness and sustainability?
    • Fully documented?

Hazard Identification Systems

  • Does the organization have a process that provides for the capture of internal information on accidents, incidents and other occurrences relevant to SMS?
  • Does the organization have a process for the capture of internal information on hazards and other data relevant to SMS?
  • Are the reporting systems simple, accessible and understood by personnel throughout the organization?
  • Is there a clearly documented process to ensure confidentiality of reports?
  • Is there a documented process to validate reports for accuracy prior to analysis?
  • Is there clear, explicit documentation of who in the organization is responsible for the quality of the hazard identification process?
  • Does this documentation identify who has the authority to establish and modify the policies, procedures, instructions and information for the hazard identification process?
  • Is the range and scope of reportable safety–related occurrences or deficiencies clearly defined and explained in documentation and training?
  • Are all parts of the operation included in the hazard identification process?

Investigation Capabilities

  • Does the organization have a clearly documented procedure for conducting investigations?
  • Is there a requirement that all reported occurrences and deficiencies be investigated?
  • Are the investigation findings assessed for risk and forwarded to management for corrective action decisions as appropriate?
  • Are those in the organization charged with conducting investigations properly and competently trained?
  • Do the investigations seek root causes in human, environmental, supervisory and organizational factors?
  • Is there a documented emergency response action plan?
  • Does this plan include all appropriate functions in the organization?
  • Is someone clearly identified as responsible for the quality of the emergency preparedness and response process?
  • Does the documentation clearly identify who has the authority to establish, modify the policies, procedures instructions and information for the emergency preparedness and response process?
  • Is there a documented process for periodic review of the emergency response procedures?
  • Are the emergency response procedures regularly tested for accuracy and effectiveness?
  • Are there appropriate periodic emergency response training and drills for all personnel?

Analysis Capabilities

  • Is there a documented procedure and process in place to identify and analyze trends in critical areas of the operation?
  • Are there people in the organization trained and qualified to perform safety analysis duties?
  • Are the results of the analysis program subjected to review and presented to management on a regular basis?
  • Does the analysis process include the capability and requirement to monitor implemented corrective actions for effectiveness?
  • Does the documentation of the analysis process clearly identify who is responsible for the quality of the analyses
  • Does the documentation clearly identify who has the authority to establish and modify the policies, procedures, instructions and information for the data analysis and system assessment processes?
  • Does the analysis process include the capability to incorporate information and lessons learned from appropriate external sources?
  • Is the safety data-base properly secured and confidentiality of data adequately protected?
  • Does the analysis process have adequate controls to ensure that identified hazards are reported to and considered by management?

Safety Promotion, Training & Education

  • Is there a documented process to identify training requirements to ensure that people are competent to perform their duties?
  • Do all job descriptions define competency standards?
  • Are there adequate provisions for initial recurrent and update training, as applicable?
  • Has a formal and objective training needs analysis been completed?
  • Does training include human and organizational factors issues?
  • Is SMS training included in all indoctrination training?
  • Have all employees been given training in SM policies procedures and responsibilities as appropriate?
  • Is there a training file for each employee including management, with required training identified and documented?
  • Is SMS a subject frequently addressed by management in informal training sessions?
  • Is there a validation process that measures the effectiveness of training?
  • Does the organization have an effective program for the timely promotion of safety issues, including things like safety meetings, bulletins, etc.?

Safety Information Management

  • Are there controls in place to ensure that all appropriate outputs of the SMS are communicated to employees?
  • Does management policy explicitly enforce the need for careful documentation and data control for all safety critical processes?
  • Is there a process to ensure that important documents are reviewed and updated regularly?
  • Is the SMS is well documented in a readily accessible manual?

Safety Oversight & Performance Monitoring

  • Has a quality assurance program been established?
  • Is there an independent audit function with the authority to carry out an effective internal evaluation program?
  • Are there process measurements in place that would identify a failure to collect data necessary to demonstrate the effectiveness of operational processes and the SMS?
  • Do the performance measurement standards cover all the important functions of the organization?
  • Does the process measurement or audit system have the capability to identify failures in collecting data or investigating occurrences, deficiencies or regulatory non-compliances?
  • Does the performance measurement or audit system measure whether the safety reporting system is effectively identifying potential hazards?
  • Does the performance measurement or audit system measure whether the organizations documentation and records are properly maintained?
  • Does the performance measurement or audit system evaluate the effectiveness of the organizations emergency response plan, to include review of exercises and identification of potential accidents and incidents?
  • Does the performance measurement or audit system review the operational system and task descriptions to ensure that hazards are being properly identified?
  • Does the performance measurement or audit system review the hazard identification procedure to ensure that hazard information is properly identified, documented, tracked and managed throughout the risk management process?
  • Does the performance measurement or audit system review the risk management process to ensure that a risk analysis is conducted for all identified hazards and these hazards are always assessed for risk acceptability using the published risk levels?
  • Does the performance measurement or audit system review the risk control plan and feedback process for every hazard with an unacceptable risk level? Does this review include an evaluation of the effectiveness of the control?
  • Does the performance measurement or audit system evaluate how well the safety analysis process collects, analyzes and uses the data available?
  • Does the performance measurement or audit system evaluate the organizations safety-related functions relative to operational and SMS activities and requirements?
  • Does the performance measurement or audit system evaluate the performance of upper management in the review of the SMS including the risk management process and safety lessons learned?
  • Does the performance measurement or audit system identify whether the organization has an effective process to develop, prioritize, and implement corrective actions for identified hazards?
  • Does the performance measurement or audit system identify whether the organization has an effective process to develop, prioritize, and implement corrective actions for failures to conform to published risk controls?
  • Does the performance measurement or audit system evaluate the effectiveness of the communications output of the SMS to the employees?
  • Does the performance measurement and audit system include information from all available sources, including safety assessments, safety surveys, trend analyses, investigations, audits, and safety assurance reviews?

SMS Implementation Plans and Gap Analysis Checklists Download Excel Combined Gap Analysis Template

“As of November 23, 2006 States shall require, as part of their safety programme, that an [operator, maintenance organization, ATS provider, certified aerodrome] implements a safety management system (SMS) accepted by the State that, as a minimum:
  • Identifies safety hazards.
  • Ensures that remedial action necessary to maintain an acceptable level of safety is implemented.
  • Provides for continuous monitoring and regular assessment of the safety level achieved.
  • Aims to make continuous improvement to the overall level of safety.”

On June 22, 2006, AC 120-92 was published establishing the guidelines for the use of safety management systems (SMS) in the aviation industry. This AC is non-regulatory in nature and intended to provide guidance to aviation industry participants (air carrier certificate holders, program managers, operators, repair stations, etc.) in the development and/or use of an SMS.


At the core of the IS-BAO is a company Safety Management System (SMS). The IS-BAO requires that flight departments implement an SMS. The goal of the SMS is to manage safety risks effectively.
 
Guidelines have been developed to assist business aircraft operators to:
  • identify the hazards and categorize the risks related to their operations,
  • develop and document mitigations,
  • track and measure the results of their activities.
 

Many of the largest energy and resources companies are requiring that thier contract aviation

Aviation SMS Products

Hazard Reporting Solution
Starting at
$199/Month

Hazard Reporting Solution offers incredible savings for thrifty companies needing high-quality aviation SMS software.

Risk Management Solution
Starting at
$250/Month

Designed for operators with limited SMS budgets using simple user-friendly Web-based SMS tools.

Safety-Quality Assurance Solution allows operators to advance their ICOA SMS implementations to the top level.

Enterprise
Starting at
$799/Month

Unlimited file storage space for SMS activities and access to ALL SMS Pro modules (> 70 as of Sept 2014).

Alaska Web Design Company