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The questionnaire can be tailored to an organization’s needs and the nature of its product or service. The checklist is intended for senior management to anticipate the scale of SMS implementation and the resources required, and it is designed to be followed by an implementation plan.",{"@graph":63,"@context":118},[64,80,101],{"@type":65,"itemListElement":66},"BreadcrumbList",[67,71,74,77],{"item":68,"name":69,"@type":70,"position":9},"https://docshare.wps.com","Home","ListItem",{"item":72,"name":10,"@type":70,"position":73},"https://docshare.wps.com/template/",2,{"item":75,"name":11,"@type":70,"position":76},"https://docshare.wps.com/template/presentations/",3,{"item":78,"name":59,"@type":70,"position":79},"https://docshare.wps.com/template/guidance-on-sms-gap-analysis-and-implementation-plan-appendix-2-initial-gap-analysis-checklist-table-1/244016/",4,{"url":78,"name":59,"@type":81,"image":82,"author":87,"headline":59,"publisher":90,"fileFormat":93,"inLanguage":57,"description":61,"dateModified":94,"datePublished":95,"encodingFormat":93,"isAccessibleForFree":96,"interactionStatistic":97},"DigitalDocument",{"url":83,"@type":84,"width":85,"height":86},"https://docshare.wps.com/thumbnails/guidance-on-sms-gap-analysis-and-implementation-plan-appendix-2-initial-gap-analysis-checklist-table-1/244016.png","ImageObject",442,249,{"name":88,"@type":89},"Theodore","Person",{"url":68,"name":91,"@type":92},"DocShare","Organization","application/pdf","2026-10-20","2026-09-12",true,{"@type":98,"interactionType":99,"userInteractionCount":47},"InteractionCounter",{"@type":100},"ViewAction",{"@type":102,"mainEntity":103},"FAQPage",[104,110,114],{"name":105,"@type":106,"acceptedAnswer":107},"What is the purpose of the initial gap analysis checklist in Appendix 2?","Question",{"text":108,"@type":109},"It supports the first step of an SMS gap analysis to scope expected gaps and estimate the overall workload for the SMS implementation effort. The outputs help senior management anticipate scale and resources needed.","Answer",{"name":111,"@type":106,"acceptedAnswer":112},"Can the SMS gap analysis questionnaire be customized?",{"text":113,"@type":109},"Yes. The questionnaire may be adjusted to fit the organization’s needs and the nature of the product or service provided.",{"name":115,"@type":106,"acceptedAnswer":116},"How should the checklist be used after completing Table 1?",{"text":117,"@type":109},"It should be followed up with an appropriate implementation plan referenced as per Table 2 & 3, based on the gap analysis results.","https://schema.org",{"og:url":78,"og:type":120,"og:title":59,"og:site_name":91,"og:description":61},"article",{"robots":122,"canonical":78},"index,follow",{"doc_id":124,"site_id":56},244016,1789211028,{"code":4,"msg":5,"data":127},{"doc_id":124,"user_id":128,"nickname":88,"user_avatar":129,"doc_module":9,"category_id":8,"category_name":11,"doc_title":59,"doc_description":61,"doc_content":130,"file_id":131,"file_url":132,"file_type":133,"file_size":134,"view_count":47,"is_deleted":4,"is_public":9,"is_downloadable":9,"audit_status":9,"page_count":135,"language":136,"language_code":57,"site_id":56,"html_lang":57,"table_of_contents":137,"faqs":138,"seo_title":139,"seo_description":61,"update_tm":125,"read_time":76},7971461740886,"https://ap-avatar.wpscdn.com/davatar_3d24733baf745e90a7e4bdd5f77d97b2","Appendix 2-GUIDANCE ON SMS GAP ANALYSIS AND IMPLEMENTATION PLAN  \n1 Initial Gap Analysis Checklist (Table 1)  \nThe initial gap analysis questions checklist (Table 1) that follows can be used as a template to conduct the first step of a SMS gap an scope of gaps and hence overall workload to be expected. The questionnaire may be adjusted 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 SMS implementation effort and hence the resources to be provided (This initial checklist would need to be followed up by an appropriate implementation plan per Table 2 & 3) .  \nindicates that further enhancement or development work is required to an existing process in order to meet the  \nNote: SMM references within [ ] brackets contain guidance materials relevant to the Gap analysis question.  \n\n| No. | Aspect to be analysed or question to be answered | Answer | Status of implementation |\n| --- | --- | --- | --- |\n| Component 1  SAFETY POLICY AND OBJECTIVES |  |  |  |\n| Element 1.1  Management commitment and responsibility |  |  |  |\n| 1 | Is there a safety policy in place?\u003Cbr>[4 .3. 1; 4.5.2(a)] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 2 | Does the safety policy reflect senior management commitments regarding safety management?\u003Cbr>[4.3.1] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 3 | The Safety Policy is appropriate to the size, nature and complexity of the organization.\u003Cbr>[4.3.1] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 4 | The Safety Policy is relevant to aviation safety.\u003Cbr>[4.3.1] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 5 | Is the safety policy signed by the Accountable Executive?\u003Cbr>[4 .3. 1; 4.5.2] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 6 | Is the safety policy communicated, with visible endorsement, throughout the [organization]?\u003Cbr>[4.5.2] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 7 | Is the safety policy periodically reviewed to ensure it remains relevant and appropriate to the [organization]?\u003Cbr>[4.5.2] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| Element 1.2  Safety accountabilities |  |  |  |\n| 1 | Has the [organization] identified an Accountable Executive who, irrespective of other functions, shall have ultimate responsibility and accountability, on behalf of the [organization], for the implementation and maintenance of the |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n\nTable 1  \n\n| No. | Aspect to be analysed or question to be answered | Answer | Status of implementation |\n| --- | --- | --- | --- |\n|  | SMS? [4 .5. 1; 4.3.2] |  |  |\n| 2 | Does the Accountable Executive have full control of the financial and human resources required for the operations authorized to be conducted under the operations certificate? [4.3.2] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 3 | Does the Accountable Executive have final authority over all aviation activities of his organization?\u003Cbr>[4.3.2] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 4 | Has the organization identified and documented the safety accountabilities of management as well as operational personnel, with respect to the SMS?[4.3.2] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 5 | Is there a Safety Committee or Review board for the purpose of reviewing SMS and safety performance?\u003Cbr>[4.3.3 and App 3] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 6 | Is the Safety Committee chaired by the Accountable Executive or by an appropriately assigned deputy, duly substantiated in the SMS manual?[4.3.3 and App 3] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 7 | Does the Safety Committee include relevant operational or departmental Heads as applicable?\u003Cbr>[4.3.3 and App 3] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| 8 | Are there Safety Action Groups that work in conjunction with the Safety Committee? (large/ complex organizations as appropriate)\u003Cbr>[4.3.3 and App 3] |  Yes\u003Cbr> No\u003Cbr> Partial |  |\n| Element 1.3  Appointment of key safety personnel |  |  |  |\n| 1 | Has the organization appointed a qualified person to manage and oversee the day-to-day operation of the SMS?\u003Cbr>[4 .5. 1; 4.3. 3; App 1] |  Yes\u003Cbr","cbCaijer2DafpyMv","https://ap.wps.com/l/cbCaijer2DafpyMv","pdf",193083,7,"English","# Initial Gap Analysis Checklist (Table 1)\n## Safety policy and objectives\n## Safety accountabilities\n## Appointment of key safety personnel\n## Coordination of emergency response planning","[{\"question\":\"What is the purpose of the initial gap analysis checklist in Appendix 2?\",\"answer\":\"It supports the first step of an SMS gap analysis to scope expected gaps and estimate the overall workload for the SMS implementation effort. The outputs help senior management anticipate scale and resources needed.\"},{\"question\":\"Can the SMS gap analysis questionnaire be customized?\",\"answer\":\"Yes. The questionnaire may be adjusted to fit the organization’s needs and the nature of the product or service provided.\"},{\"question\":\"How should the checklist be used after completing Table 1?\",\"answer\":\"It should be followed up with an appropriate implementation plan referenced as per Table 2 \\u0026 3, based on the gap analysis results.\"}]","GUIDANCE ON SMS GAP ANALYSIS AND IMPLEMENTATION PLAN - Appendix 2 - Initial Gap Analysis Checklist (Table 1) | PDF"]