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Documente Cultură
07/31/14
Note: This SMS Voluntary Program Gap Analysis Tool is not regulatory, but is provided to aid aviation service providers in the evaluation of their existing systems,
processes and programs as compared to SMS requirements in the SMSVoluntary Program Standard. This Gap Analysis Tool can be used by Part 121 Service
Providers as a transition tool for service providers to use until 14 CFR part 5 is published. For Part 121 service providers, when 14 CFR Part 5 rule is published,
if there are discrepancies between this tool and 14 CFR part 5, part 5 shall prevail for affected aircarriers.
Blue colored column headings (C thru I) may be modified, added or deleted to reflect a service providers organizational structure.
Any changes to the questions or references in column A, will render the document inaccurate, resulting in the development of an inacurate Implementation Plan.
Service Provider:
Questions
Component - Safety Policy
Process Objectives
This section provides guidance about how the
accountable executive, in coordination with other
senior managers, define safety performance
objectives, assign accountability, and allocate
resources. The Safety Policy component is where
your management defines their commitment to
managing safety throughout the organization.
SMSVP Requirement
Does your safety management system have a
safety policy component that is in accordance
with SMSVP Standard, subpart B, Safety Policy?
(Note(s): This question addresses the SMS
Safety Policy Component in its entirety and is
best answered after responding to all other
questions within this component.)
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SMSVP Requirement
Does your safety management system have a
safety policy that includes at least the following
minimum requirements:
Your organization's safety objectives,
A commitment to fulfill your organization's safety
objectives;
A clear statement to commit the necessary
resources for implementating your safety
management system;
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Process Objectives
To provide the organizations decision makers a
means to designate the accountable executive,
define responsibilities of the accountable
executive and senior management with respect to
a properly functioning SMS.
SMSVP Requirement
Does your organization identify an accountable
executive who, irrespective of other functions,
satisfies the following:
Is the final authority over operations authorized
to be conducted under your certificate(s);
Controls the financial resources required for the
operations to be conducted under your
certificate(s);
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SMSVP Requirement
Does your safety policy require all members of
management to develop, implement and maintain
SMS processes within their area of responsibility
to include, but not limited to, the following:
Hazard identification and safety risk assessment
Assuring the effectiveness of safety risk
controls;
Promoting safety as required of the SMSVP
Standard, subpart E, Safety Promotion; and
Advising your accountable executive on the
performance of the SMS and on any need for
improvement?
(Note: The questions above include owners
of operational processes (Managers,
Directors, etc.), at the decisional level across
the organization.)
SMSVP Standard: 5.23(a)(2)
Does your safety management processes identify
the levels of management with the authority to
make decisions regarding safety risk acceptance
for the company?
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SMSVP Requirement
Where emergency response procedures are
necessary, do you develop and does your
accountable executive and management
representative approve, as part of the safety
policy, an emergency response plan that provides
for the safe transition from normal to emergency
operations, and that addresses at least the
following:
Delegation of emergency authority throughout
your organization;
Assignment of employee responsibilities during
an emergency; and
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SMSVP Requirement
Do you have a process to develop and maintain
SMS documentation that describes your safety
policy, processes and procedures?
SMSVP Standard: 5.95(a) & 5.21 (c)
Does your safety management system ensure
compliance with the relevant regulatory standards
in 14 CFR?
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SMSVP Requirement
Does your safety management system have a
safety risk management component that is in
accordance with SMSVP Standard, subpart C,
Safety Risk Management?
(Note(s): This question addresses the SMS
Safety Risk Management Component in its
entirety and is best answered after
responding to all other questions within this
component.
Your Continuous Analysis and Surveillance
System (CASS) processes should be reviewed
when you identify risk in the SMS Safety Risk
Management and/or the SMS Safety
Assurance Components.)
SMSVP Standard: 5.3(a)(2)
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SMSVP Requirement
When applying safety risk management, do you
have a process to describe and analyze the
system for use in identifying hazards, and does
this system analysis consider the following
information:
Function and purpose of the system;
The system's operating environment;
An outline of the system's processes and
procedures;
The personnel, equipment, and facilities
necessary for operating the system?
SMSVP Standard: 5.53(a) & 5.53(b)
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SMSVP Requirement
Does the safety risk management component of
your safety management system ensure that
processes to identify hazards within the context of
your system analysis are developed and
maintained?
SMSVP Standard: 5.53(c)
SMSVP Requirement
Does the safety risk management component of
your safety management system ensure that
processes are developed and maintained to
analyze safety risk associated with identified
hazards?
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SMSVP Requirement
Does the safety risk management component of
your safety management system define a process
for conducting risk assessments that allows for
the determination of acceptable safety risk?
SMSVP Standard: 5.55(b)
SMSVP Requirement
Do you have a process to ensure that risk
controls that are necessary as a result of your
safety risk assessment process are developed,
implemented and maintained?
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SMSVP Requirement
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SMSVP Requirement
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Process - Auditing
Process Objective
To provide the organizations decision makers a
means to gather data with respect to operations,
products and services, and monitoring the safety
performance of your organization through audits
of operational processes and systems.
SMSVP Requirement
Does your safety management system develop
and maintain processes and systems to acquire
data with respect to your operations, products,
and services to monitor the safety performance of
your organization to include auditing your
operational processes and systems?
SMSVP Standard: 5.71(a)(3)
Process - Evaluations
Process Objective
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SMSVP Requirement
Does your safety management system develop
and maintain processes and systems to acquire
data with respect your operations, products, and
services to monitor the safety performance of
your organization to include evaluations of:
Your SMS
Your operational process and systems?
SMSVP Standard: 5.71(a)(4)
Process - Investigations
Process Objective
To provide the organizations decision makers a
means to gather data with respect to operations,
products and services, and monitoring the safety
performance of your organization through
investigation of incidents, accidents, potential
non-compliance with regulatory standards or
other safety risk controls established through your
safety risk management process.
SMSVP Requirement
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SMSVP Requirement
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SMSVP Requirement
Have you developed, and do you maintain
procedures to analyze data acquired from your
safety assurance monitoring and measurement
processes (the above five processes) and other
relevant data from your operations, products and
services?
SMSVP Standard: 5.71(b)
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SMSVP Requirement
Do you have documented processes to assess
safety performance against your safety
performance objectives that include reviews by
your accountable executive to:
Ensure compliance with your established safety
risk controls;
Evaluate the performance of your safety
management system;
Evaluate the effectiveness of your safety risk
controls establlished under your SRM and identify
any ineffective controls;
Identify changes in your operational
environment that may introduce new hazards,
Identify new hazards?
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SMSVP Requirement
Does your safety management have process to
correct safety performance deficiencies identified
during your safety performance assessments
(conducted as part of your safety assurance
process)?
SMSVP Standard: 5.75 & 5.25(b)(5)
Does your safey management have processes to
ensure your accountable executive directs actions
necessary to address substandard safety
performance?
SMSVP Standard: 5.75 & 5.25(b)(5)
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SMSVP Requirement
Does your safety management system have a
safety promotion component that is in accordance
with SMSVP Standard, Subpart E, Safety
Promotion?
(Note(s): This question addresses the SMS
Safety Promotion Component in its entirety
and is best answered after responding to all
other questions within this component.)
SMSVP Standard: 5.3(a)(4)
Do your safety management processes ensure
that the accountable executive designates a
management representative, who on behalf of the
accountable executive, is responsible for ensuring
safety promotion throughout your organization?
(Note(s): This question/process includes
safety support personnel such as a Safety
Officer, Director of Safety, Safety Department,
etc., and associated staff.)
SMSVP Standard: 5.25(c)(4)
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SMSVP Requirement
Does your safety management system have a
process to ensure that your organization provides
training to each individual identified in 5.23 to
ensure the individuals attain and maintain the
competencies necessary to perform their duties
relevant to the operation and performance of the
SMS?
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SMSVP Requirement
Does your safety management have processes
and does it maintain process and systems to
communicate safety information that:
Ensures that employees are aware of the SMS;
Conveys safety critical information;
Explains why safety actions have been taken;
and
Explains why safety procedures are introduced
or changed?
SMSVP Standard: 5.93
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NOTE:
To be considered for acceptance by your CMT, each requirement of this SMS gap analysis should have a validated assessment
scale rating of Accomplished or Demonstrated.
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Assessment Scale
NP
PLN
DOC
ACC
Planned
Documented**
Accomplished**
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