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SAFETY MANAGEMENT SYSTEM GAP ANALYSIS CHECKLISTThe initial gap analysis checklist “Yes/No/Partial” responses will provide an initial indication of thebroad scope of gaps and hence overall workload to be expected. The questionnaire may beadjusted to suit the needs of the organization and the nature of the product or service provided.This initial information should be useful to senior management in anticipating the scale of the SMSimplementation effort and hence the resources to be provided. This initial checklist would need tobe followed up by an appropriate implementation plan.A “Yes” answer indicates that the organization meets or exceeds the expectation of the questionconcerned. A “No” answer indicates a substantial gap in the existing system with respect to thequestion’s expectation. A “Partial” answer indicates that further enhancement or developmentwork is required to an existing process in order to meet the question’s expectations. Status ofimplementation will either be “Implemented”, “Not Started” or “Action in progress”. If “Yes” or“Partial”, reference documented evidence. Refer to Civil Aviation (General) Regulations Schedule23 and Advisory Circular 23-001 for more guidance on SMS Implementation.Element No.Aspect to be analysed orquestion to be answeredAnswerStatus of implementationComponent 1 — SAFETY POLICY AND OBJECTIVESElement 1.1 — Management commitment and responsibility1.1-1Is there a safety policy in place?[SMS documented reference]1.1-2Does the safety policy reflectsenior management’s commitmentregarding safety management?[SMS documented reference]1.1-3Is the safety policy appropriate tothe size, nature and complexityof the organization?Partial[SMS documented reference]1.1-4Is the safety policy relevant toaviation safety?[SMS documented reference]1.1-5Is the safety policy signed by theaccountable executive?[SMS documented reference]1.1-6Is the safety policy communicated,with visible endorsement,throughout the [Organization]?[SMS documented reference]1.1-7Is the safety policy periodicallyreviewed to ensure it remainsrelevant and appropriate to the[Organization]?[SMS documented reference]1Safety Management System Gap Analysis Checklist

SAFETY MANAGEMENT SYSTEM GAP ANALYSIS CHECKLISTElement No.Aspect to be analysed orquestion to be answeredAnswerStatus of implementationElement 1.2 — Safety accountabilities1.2-1Has [Organization] identified anaccountable executive who,irrespective of other functions,shall have ultimate responsibilityand accountability, on behalf ofthe [Organization], for theimplementation and maintenanceof the SMS?[SMS documented reference]1.2-2Does the accountable executivehave full control of the financialand human resources required forthe operations authorized to beconducted under the operationscertificate?[SMS documented reference]1.2-3Does the Accountable Executivehave final authority over allaviation activities of hisorganization?[SMS documented reference]1.2-4Has [Organization] identified anddocumented the safetyaccountabilities of managementas well as operational personnel,with respect to the SMS?[SMS documented reference]1.2-5Is there a safety committee orreview board for the purpose ofreviewing SMS and safetyperformance?[SMS documented reference]1.2-6Is the safety committee chaired bythe accountable executive or byan appropriately assigned deputy,duly substantiated in the SMSmanual?[SMS documented reference]1.2-7Does the safety committee includerelevant operational ordepartmental heads asapplicable?[SMS documented reference]1.2-8Are there safety action groupsthat work in conjunction with thesafety committee (especially forlarge/complex organizations)?[SMS documented reference]2Safety Management System Gap Analysis Checklist

SAFETY MANAGEMENT SYSTEM GAP ANALYSIS CHECKLISTElement No.Aspect to be analysed orquestion to be answeredAnswerStatus of implementationElement 1.3 — Appointment of key safety personnel1.3-1Has [Organization] appointed aqualified person to manage andoversee the day-to-day operationof the SMS?[SMS documented reference]1.3-2Does the qualified person havedirect access or reporting to theaccountable executive concerningthe implementation and operationof the SMS?[SMS documented reference]1.3-3Does the manager responsible foradministering the SMS hold otherresponsibilities that may conflict orimpair his role as SMS manager?[SMS documented reference]1.3-4Is the SMS manager’s position asenior management position notlower than or subservient to otheroperational or productionpositions?Partial[SMS documented reference]Element 1.4 — Coordination of emergency response planning1.4-1Does [Organization] have anemergency response/contingencyplan appropriate to the size,nature and complexity of theorganization?[SMS documented reference]Does the emergency/contingencyplan address all possible or likelyemergency/crisis scenariosrelating to the organization’saviation product or servicedeliveries?[SMS documented reference]Does the ERP include proceduresfor the continuing safe production,delivery or support of its aviationproducts or services during suchemergencies or contingencies?[SMS documented reference]1.4-21.4-31.4-4Is there a plan and record for drillsor exercises with respect to theERP?[SMS documented reference]3Safety Management System Gap Analysis Checklist

SAFETY MANAGEMENT SYSTEM GAP ANALYSIS CHECKLISTElement No.Aspect to be analysed orquestion to be answeredAnswerStatus of implementation1.4-5Does the ERP address thenecessary coordination of itsEmergency response/contingencyprocedures with theemergency/response contingencyprocedures of other organizationswhere applicable?[SMS documented reference]Does [Organization] have aprocess to distribute andcommunicate the ERP to allrelevant personnel, includingrelevant external organizations?[SMS documented reference]1.4-61.4-7Is there a procedure for periodicreview of the ERP to ensure itscontinuing relevance andeffectiveness?[SMS documented reference]Element 1.5 — SMS documentation1.5-1Is there a top-level SMS summaryor exposition document whichis approved by the accountablemanager and accepted by theBCAA?[SMS documented reference]1.5-2Does the SMS documentationaddress the organization’s SMSand its associated componentsand elements?[SMS documented reference]1.5-3Is [Organization] SMS frameworkin alignment with the regulatorySMS framework?[SMS documented reference]1.5-4Does [Organization] maintain arecord of relevant supportingdocumentation pertinent to theimplementation and operation ofthe SMS?[SMS documented reference]Does [Organization] have an SMSimplementation plan toestablish its SMS implementationprocess, including specifictasks and their relevantimplementation milestones?[SMS documented reference]1.5-54Safety Management System Gap Analysis Checklist

SAFETY MANAGEMENT SYSTEM GAP ANALYSIS CHECKLISTElement No.Aspect to be analysed orquestion to be answeredAnswerStatus of implementation1.5-6Does the SMS implementationplan address the coordinationbetween the service provider’sSMS and the SMS of externalorganizations where applicable?[SMS documented reference]1.5-7Is the SMS implementation planendorsed by the accountableexecutive?Partial[SMS documented reference]Component 2 — SAFETY RISK MANAGEMENTElement 2.1 — Hazard identification2.1-1Is there a process for voluntaryhazards/threats reporting by allemployees?[SMS documented reference]2.1-2Is the voluntary hazard/threatsreporting simple, available to allpersonnel involved in safetyrelated duties and commensuratewith the size of the serviceprovider?[SMS documented reference]Does [Organization] SDCPSinclude procedures forincident/accident reporting byoperational or productionpersonnel?[SMS documented reference]Is incident/accident reportingsimple, accessible to all personnelinvolved in safety-related dutiesand commensurate with the sizeof the service provider?[SMS documented reference]2.1-32.1-42.1-5Does [Organization] haveprocedures for investigation of allreported incident/accidents?[SMS documented reference]2.1-6Are there procedures to ensurethat hazards/threats identified oruncovered duringincident/accident investigationprocesses are appropriatelyaccounted for and integrated intothe organization’s hazardcollection and risk mitigationprocedure?[SMS documented reference]5Safety Management System Gap Analysis Checklist

SAFETY MANAGEMENT SYSTEM GAP ANALYSIS CHECKLISTElement No.Aspect to be analysed orquestion to be answeredAnswerStatus of implementation2.1-7Are there procedures to reviewhazards/threats from relevantindustry reports for follow-upactions or risk evaluation whereapplicable?[SMS documented reference]Element 2.2 — Safety risk assessment and mitigation2.2-1Is there a documented hazardidentification and risk mitigation(HIRM) procedure involving theuse of objective risk analysistools?[SMS documented reference]2.2-2Is the risk assessment reportsapproved by departmentalmanagers or at a higher levelwhere appropriate?[SMS documented reference]2.2-3Is there a procedure for periodicreview of existing risk mitigationrecords?[SMS documented reference]2.2-4Is there a procedure to account formitigation actions wheneverunacceptable risk levels areidentified?[SMS documented reference]2.2-5Is there a procedure to prioritizeidentified hazards for riskmitigation actions?Partial[SMS documented reference]2.2-6Is there a programme forsystematic and progressive reviewof all aviation safety-relatedoperations, processes, facilitiesand equipment subject to theHIRM process as identified by theorganization?[SMS documented reference]Component 3 — SAFETY ASSURANCEElement 3.1 — Safety performance monitoring and measurement3.1-1Are there identified safetyperformance indicators formeasuring and monitoring thesafety performance of theorganization’s aviation activities?[SMS documented reference]6Safety Management System Gap Analysis Checklist