ISAGO Checklist - Headquarters

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  Select Section 1 — Organization and Management (ORM) Section 2 — Load Control (LOD) Section 3 — Passenger and Baggage Handling (PAB) Section 5 — Aircraft Handling and Loading (HDL) Section 6 — Aircraft Ground Movement (AGM) Section 7 — Cargo and Mail Handling (CGM)

  • Section 1 — Organization and Management (ORM)
  • Section 2 — Load Control (LOD)
  • Section 3 — Passenger and Baggage Handling (PAB)
  • Section 5 — Aircraft Handling and Loading (HDL)
  • Section 6 — Aircraft Ground Movement (AGM)
  • Section 7 — Cargo and Mail Handling (CGM)

Section 1 — Organization and Management (ORM)

1. Management and Control

• ORM 1.1.1 The provider shall have a management system that ensures: i. Key policies, systems, programs, processes, procedures and/or plans are determined and implemented throughout the organization. ii. Lines of accountability for operational safety and security are defined throughout the organization. iii. Resources necessary to conduct operations in accordance with the standards of the provider, applicable laws and regulations, and the requirements of the customer airline(s) are always guaranteed. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed management system structure (to include accountability/responsibility, strategic planning and change management, decision making, communication, documentation, performance measurement, and continues improvement). Crosschecked association and conformity of the management system throughout the organization to include corporate and station alignment of management system processes Assessed organogram Identified nominated officials responsible for the provision and conduct of operations. Sampled job descriptions of all nominated officials throughout the organization Interviewed key personnel from the organogram responsible for quality, safety, security systems etc. Examined records of management meetings

  • Identified/Assessed management system structure (to include accountability/responsibility, strategic planning and change management, decision making, communication, documentation, performance measurement, and continues improvement).
  • Crosschecked association and conformity of the management system throughout the organization to include corporate and station alignment of management system processes
  • Assessed organogram
  • Identified nominated officials responsible for the provision and conduct of operations.
  • Sampled job descriptions of all nominated officials throughout the organization
  • Interviewed key personnel from the organogram responsible for quality, safety, security systems etc.
  • Examined records of management meetings

• IATA Reference Manual (IRM) References
  Provider
  Accountability
  Safety (Operational)
  Security (Aviation)
  Ground Operations
  External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and the ICAO SMM, Document 9859.
  Additional Guidance
  A management system is the framework of policies, processes and procedures used by an organization to ensure that it can fulfill all the tasks required to achieve its objectives.
  The management system ensures compliance with internal corporate standards and the applicable regulations of all states where operations are conducted.
  There is no universal model for the designation of management accountability. Some organizations, perhaps based on regional or other business considerations, may have a management system whereby overall accountability for operational safety and security is shared among multiple corporate management officials.
  When a provider designates more than one senior corporate official to share operational accountability, defined processes are in place to ensure operations are standardized and conducted within a functioning system, and not among separate stand-alone organizations (i.e., “silo effect”). In these cases, an emphasis should be placed on clearly defining the delineation of authority and the communication mechanisms in place to ensure there is no confusion, contradiction or overlap of direction or decision-making by the many designated senior corporate officials.
  With the designation of accountability, there is also a clear identification of authority and financial control within the management system for making policy decisions, providing adequate resources, resolving safety and security issues, and ensuring necessary system components are in place and functioning properly.
  Acceptable means of documenting accountability include, but are not limited to, organization charts (organograms), job descriptions, corporate by-laws and any other descriptive written material that defines and clearly indicates the lines of operational accountability from the corporate level(s) of management to the station level. A management system is documented in controlled company media at both the corporate and operational levels. Manuals or controlled electronic media are acceptable means of documenting the management system.
  Documentation provides a comprehensive description of the scope, structure and functionality of the management system, and depicts lines of accountability throughout the organization, as well as authorities, duties, responsibilities and the interrelation of functions and activities within the system.
  Documentation also reflects a functional continuity within the management system, which ensures the entire organization works as a system and not as a group of independent or fragmented units (silo effect).
  

• ORM 1.1.2 The provider shall identify one senior management official as the Accountable Executive (AE) who is accountable for the performance of the management system as specified in ORM 1.1.1 and: i. Irrespective of other functions, has ultimate responsibility and accountability on behalf of the provider for the implementation and maintenance of the SMS throughout the organization. ii. Has the authority to ensure the allocation of resources necessary to manage safety risks to ground operations. iii. Has overall responsibility and is accountable for ensuring operations are conducted in accordance with applicable regulations and standards of the provider. (GM) Note: This standard is applicable to HQ and combined audits only.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Interviewed senior management official designated as the Accountable Executive (AE) for the conduct of operations. Examined AE job description includes assigned accountability and responsibilities and reporting lines (especially between ‘safety system managers) in accordance with the standard. Interviewed AE and/or designated senior management representatives(s). Evaluated examples of individual's actions taken by AE that demonstrate the appropriate accountability and responsibility. (Focus: examples of output from management meetings, policy decisions, provision of resources, resolution of quality, safety and security risks).

  • Identified/Interviewed senior management official designated as the Accountable Executive (AE) for the conduct of operations.
  • Examined AE job description includes assigned accountability and responsibilities and reporting lines (especially between ‘safety system managers) in accordance with the standard.
  • Interviewed AE and/or designated senior management representatives(s).
  • Evaluated examples of individual's actions taken by AE that demonstrate the appropriate accountability and responsibility. (Focus: examples of output from management meetings, policy decisions, provision of resources, resolution of quality, safety and security risks).

• IRM References
  Accountability
  Accountable Executive
  Authority
  Ground Operations
  Responsibility
  Safety Risk Management
  Senior Management
  External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and the ICAO SMM, Document 9859
  ACI SMS Handbook, Step A
  IOSA Cross-reference
  ORG 1.1.3
  Additional Guidance
  The requirement for an AE is an element of the Safety Policy and Objectives component of the SMS framework.
  The designation of an AE means the accountability for operational quality, safety and, frequently, the security performance is placed at a level in the organization having the authority to take action to ensure the management system is effective. Therefore, the AE is typically the chief executive officer (CEO), although, depending on the type and structure of the organization, it could be a different senior official (e.g., chairperson/member of the board of directors, company owner).
  The AE has the authority, which includes financial control, to make policy decisions, provide adequate resources, resolve operational quality, safety and security issues, and, in general, ensure necessary system components are in place and functioning properly.
  The AE also is responsible for ensuring the organization is in compliance with requirements of applicable authorities (i.e., regulations), as well as its own policies and procedures, which may exceed existing regulations or address areas that are not regulated (e.g., ground handling operations).
  To ensure that the provider continues to meet applicable requirements, the AE might designate a manager with the responsibility for monitoring compliance. The role of such a manager would be to ensure that the activities of the provider are monitored for compliance with the applicable regulatory requirements, as well as any additional requirements as established by the provider, and that these activities are being carried out properly under the supervision of the relevant head of the functional area.
  

• ORM 1.1.3 The provider shall have an SMS that is implemented and integrated throughout the organization to ensure management of the safety risks associated with ground operations. (GM) Note: Conformity with this standard is possible only when the Provider is in conformity with all standards (not recommended practices) that are defined by the [SMS] symbol.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed SMS structure (focus: implementation of safety risk management processes). Interviewed responsible manager or nominated personnel.

  • Identified/Assessed SMS structure (focus: implementation of safety risk management processes).
  • Interviewed responsible manager or nominated personnel.

• IRM References
  Safety Management System (SMS)
  State Safety Program (SSP)
  External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and ICAO SMM, Document 9859
  ACI SMS Handbook.
  IOSA Cross-reference
  ORG 1.1.10
  Additional Guidance
  Where applicable, a SMS is designed and implemented in accordance with the State Safety Program (SSP).
  The way the elements of a SMS are implemented typically reflects the size and complexity of the provider’s organization.
  In general, a SMS is designed and implemented to:
  • Identify safety hazards in operations
  • Ensure remedial action is implemented to control safety risks
  • Provide for ongoing monitoring and assessment of safety performance
  • Make continuous improvement to the level of safety in operations

• ORM 1.1.4 The provider shall have a process to appoint a manager who is responsible for the implementation, maintenance and day-to-day administration and operation of the SMS at the corporate level and throughout the organization on behalf of the Accountable Executive. (GM) Note: This standard is applicable to HQ and combined audits only.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified appointed safety manager for implementation, maintenance and day-to-day administration of the SMS (Representation in the organization chart and reporting lines, especially between “Safety Manager” and AE and other personnel within the organization). Examined job description of SMS manager (focus: assigned SMS responsibilities). Interviewed manager(s) responsible for SMS operations and respective process/procedure Verified examples of communication between designated “safety” manager and the organization. Verified the job description of the designated individual.

  • Identified appointed safety manager for implementation, maintenance and day-to-day administration of the SMS (Representation in the organization chart and reporting lines, especially between “Safety Manager” and AE and other personnel within the organization).
  • Examined job description of SMS manager (focus: assigned SMS responsibilities).
  • Interviewed manager(s) responsible for SMS operations and respective process/procedure
  • Verified examples of communication between designated “safety” manager and the organization.
  • Verified the job description of the designated individual.

• External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and the ICAO SMM, Document 9859
  ACI SMS Handbook, Step A
  IOSA Cross-reference
  ORG 1.1.12
  Additional Guidance
  The requirement for a manager who focuses on the administration and oversight of the SMS on behalf of the AE is an element of the Safety Policy and Objectives component of the SMS framework (i.e., Corporate Safety Manager).
  Also, depending on the size, structure and scope of a provider’s organization, such individual may be assigned functions in addition to those associated with the SMS manager position.
  Regardless of title, the manager is the designated organizational focal point for the day-to-day development, administration and maintenance of the SMS (i.e., functions as the SMS champion).
  Whereas the designated manager has responsibility for day-to-day oversight of the SMS, overall accountability for organizational safety rests with the AE. Likewise, the operational managers always retain the responsibility (and thus are accountable) for ensuring safety in their respective areas of operations.
  If more than one Safety Manager (or other defined job title) exists, there should be defined lines of authority and communication such that there is no ambiguity or interference with performing the safety responsibilities within the organization.
  

• ORM 1.1.5 The provider shall have procedures to designate an individual with the authority and the responsibility for: i. Implementation of a station management system. ii. Ensuring safety and security in station operations as fundamental operational priorities. iii. The day-to-day administration and operation of the SMS at the station level. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed the organigram and connection between headquarters and stations. Verified/Sampled several individuals (designated as personnel responsible for station management) and the description of their duties and responsibilities. Interviewed manager responsible for the documentation process/procedure

  • Identified/Assessed the organigram and connection between headquarters and stations.
  • Verified/Sampled several individuals (designated as personnel responsible for station management) and the description of their duties and responsibilities.
  • Interviewed manager responsible for the documentation process/procedure

• External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and the ICAO SMM, Document 9859
  ACI SMS Handbook, Step A
  Additional Guidance
  Such individual is typically referred to as the Station Manager.
  The provision of an individual who focuses on the day-to-day administration of the SMS reflects the usual need for a manager who has a degree of authority when coordinating and addressing safety matters at the station and in cooperation with the corporate office and provider’s SMS.
  Station management positions critical to operational safety may require enhanced job descriptions or terms of reference that reflect specialized requirements inherent in certain key positions and, where applicable, compliance with regulatory requirements as well as internal policies and procedures.
  For a provider that operates at one location, functions as described in ORM 1.1.5 i) and iii) and ORM 1.1.4 could be combined, and duties could be carried by a single individual.
  

• ORM 1.1.6 The provider shall have procedures to define the safety responsibilities of management and non-management personnel throughout the organization and specify the levels of management with the authority to make decisions that affect the safety of ground operations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed defined safety accountabilities/authorities/responsibilities for management/non-management personnel (focus: definitions apply to personnel throughout the organization). Interviewed accountable executive and/or designated management representative(s).

  • Identified/Assessed defined safety accountabilities/authorities/responsibilities for management/non-management personnel (focus: definitions apply to personnel throughout the organization).
  • Interviewed accountable executive and/or designated management representative(s).

• External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and the ICAO SMM, Document 9859
  ACI SMS Handbook, Step A
  IOSA Cross-reference
  ORG 1.3.1
  Additional Guidance
  An effective management system has lines of authority and responsibility that flow from corporate senior management into all operational areas of the organization.
  All employees throughout the organization, as an essential part of their job, have direct responsibilities for safety. This includes non-management roles (e.g., check-in agent, load controller, cargo agent, baggage handler/loader). As a minimum, organization charts or organograms are acceptable means for documenting the structure of a management system.
  Management positions critical to operational safety may require enhanced job descriptions or terms of reference that reflect specialized requirements inherent in certain key positions. Such specialized requirements would include any delegation of authority exercised by personnel on behalf of an authority (e.g., designated responsibilities within the airport emergency response plan (ERP) by the Airport Authority).
  Job descriptions, terms of reference and operating manuals are examples of appropriate locations for documenting management system responsibilities. Other key safety roles are those of station personnel with direct management or supervisory responsibilities for ground operations.
  Apart from documented details of the roles and responsibilities of named persons, there should be evidence of their involvement in safety risk management and safety assurance activities, usually as an operational expert.

1.2 Management Commitment

• ORM 1.2.1 The provider shall have a corporate safety policy that: i. Reflects the organizational commitment regarding safety. ii. Includes a statement about the provision of the necessary resources for the implementation of the safety policy. iii. Includes a culture with safety and security as fundamental operational priorities. iv. Encourages personnel to report hazards to ground operations using the safety reporting procedures as specified in ORM 1.3.4. v. Indicates which types of operational behaviors are unacceptable and includes the circumstances under which disciplinary action would not apply. vi. Is signed by the AE of the organization. vii. Is communicated, with visible endorsement, throughout the organization. viii. Is periodically reviewed to ensure it remains relevant and appropriate to the provider. ix. Promotes continuous improvement of the management system, as well as the levels of operational safety and security. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed corporate safety policy that is signed by the Accountable Executive of the organization and periodically reviewed (focus: organizational commitment to safety/commitment to continual improvement/provision of necessary resources and personnel urged to report operational hazards; definition of disciplinary policy/potential disciplinary actions; data protection). Interviewed Accountable Executive and/or designated management representative(s) responsible for the safety and security policies documentation process/procedure.

  • Identified/Assessed corporate safety policy that is signed by the Accountable Executive of the organization and periodically reviewed (focus: organizational commitment to safety/commitment to continual improvement/provision of necessary resources and personnel urged to report operational hazards; definition of disciplinary policy/potential disciplinary actions; data protection).
  • Interviewed Accountable Executive and/or designated management representative(s) responsible for the safety and security policies documentation process/procedure.

• External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and the ICAO SMM, Document 9859
  ACI SMS Handbook, Step A and B
  IOSA Cross-reference
  ORG 1.2.1, 1.2.3, 3.1.3, 3.1.4 and 3.1.5
  Additional Guidance
  The organization is constantly monitoring all sources of improvement and is willing to make changes as necessary to keep the management system of the organization refreshed and strongly focused on improving the levels of operational safety and security.
  The requirement for a provider to have a defined safety policy is an element of the Safety Policy and Objectives component of the SMS framework.
  The safety policy is typically reviewed periodically to ensure continued relevance to the organization. Such policy might be documented in the operations manual or other controlled document and, to enhance effectiveness, is communicated and made visible throughout the organization through dissemination of communiqués, posters, banners and other forms of information in a form and language that can be easily understood.
  Safety reporting is a key aspect of SMS hazard identification and risk management. An effective system provides for a review and analysis of each report to determine whether a real safety issue exists and, if so, ensures development and implementation of appropriate action(s) by responsible management to correct the situation.
  To ensure continuing relevance, the corporate policy is normally reviewed for possible update at least every two years.
  The AE’s commitment to safety is fundamental and must be readily visible at all levels. To enhance effectiveness in creating the desired culture, the policy is communicated and made visible throughout the organization, including stations, by disseminating communiqués, posters, banners and other forms of information in a form and language that can be easily understood.
  

• ORM 1.2.2 The provider shall have a policy that addresses the use of psychoactive substances by operational personnel, and ensures: i. The exercise of duties while under the influence of psychoactive substances is prohibited. ii. Consequences for such behavior are defined. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed policy for the use of psychoactive substances. Interviewed accountable executive or designated management representative(s).

  • Identified/Assessed policy for the use of psychoactive substances.
  • Interviewed accountable executive or designated management representative(s).

• External References
  AHM 616 Human Factor Program Chap. 4.6 Substance Abuse Program
  ICAO Manual on Prevention of Problematic Use of Substances in the Aviation Workplace Doc 9654-AN/945
  IRM References
  Biochemical Testing
  Psychoactive Substance
  Problematic Use of Substances
  Additional Guidance
  Providers subject to laws or regulations of the state that preclude the publication of a psychoactive substance prohibition policy, as specified in this provision, may demonstrate an equivalent method of ensuring that personnel engaging in any kind of problematic use of a psychoactive substance do not exercise their duties and are removed from safety-critical functions.
  Reinstatement to safety-critical duties could be possible after cessation of the problematic use of psychoactive substances and upon determination that continued performance is unlikely to jeopardize safety.
  Examples of other subjects that might be addressed in a comprehensive and proactive policy include:
  • Education regarding the use of psychoactive substances
  • Identification, treatment and rehabilitation of users of psychoactive substances
  • Employment consequences of problematic use of psychoactive substances
  • Biochemical testing
  • Requirements of ICAO and the Authority
  Note:
  Tobacco and caffeine are not considered psychoactive substances.

1.3 Safety and Quality

• ORM 1.3.1 The provider shall have a corporate ERP that includes provisions for: i. The central management and coordination of all the provider’s activities should it be involved in or, when necessary, respond to or react to an aircraft accident or other type of adverse event that could result in fatalities, serious injuries, considerable damage and/or a significant disruption to operations. ii. The appropriate coordination with, or compatibility with, the ERPs of other applicable organizations relevant to the event. iii. The communication procedures with other relevant stakeholders to facilitate the initial activation of the response to an emergency. iv. An up-to-date emergency contact list. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed policy for corporate emergency response plan (ERP) (focus: plan suitable for organizational response to major accident/other adverse event). Identified/AssessedERP procedures for communication with external entities. Interviewed designated ERP manager and/or designated management representative.

  • Identified/Assessed policy for corporate emergency response plan (ERP) (focus: plan suitable for organizational response to major accident/other adverse event).
  • Identified/AssessedERP procedures for communication with external entities.
  • Interviewed designated ERP manager and/or designated management representative.

• External References
  AHM 620 Guidelines for an Emergency Management System
  □ Manual on Ground Handling (DOC 10121), Section 4.2.7.3
  Annex 19 and the ICAO SMM, Document 9859
  ACI SMS Handbook, Step B
  IRM References
  Emergency Response Plan (ERP)
  IOSA Cross-reference
  ORG 4.1.1 and ORG 4.1.4
  Additional Guidance
  An ERP is a paper indication of intent. An emergency (or crisis) response plan is based on an assessment of risk appropriate to the size and type of operations and includes consideration of a major aircraft accident and other potential aircraft and/or non-aircraft events that would require a full corporate emergency response.
  An ERP typically defines:
  • Coordination procedures for action by key personnel
  • External entities that will interact with the organization during emergency situations.
  • ERPs of external entities that will require coordination
  • Method(s) of establishing coordination with external ERPs
  In some states, emergency or crisis response is assumed by a governmental authority rather than by the provider. In such cases, an ERP focuses on and addresses interaction with and/or participation in the governmental response to an emergency or crisis.
  The provider’s ERP should describe in a suitable document who does what, when and how for all perceived emergency situations.
  The ERP should address the emergency procedures that maintain operational safety from the time that an emergency is declared until normal operations are resumed. The ERP should also address security events.
  The ERP should be made available and be known to all relevant personnel.
  Regular drills and exercises are advisable. Some portions of the ERP, such as the call-out and communications plan, can be tested by desktop exercises. Other aspects, such as on-site activities involving other agencies, need to be exercised at regular intervals.
  □ Communication procedures with external entities including the latest contacts of who to be contacted in case of an emergency will ensure a successful execution of the ERP.
  For certain service providers, the periodic testing of the adequacy of the plan and the conduct of a full-scale emergency exercise in conjunction with the airport authority may be mandatory.

• ORM 1.3.2 The provider shall have a hazard identification program that is implemented and integrated throughout the organization to include: i. A combination of reactive and proactive methods for safety data collection. ii. Processes for safety data analyses that identify existing hazards and predict future hazards to operations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed organizational safety hazard identification program (focus: program identifies hazards to operations; describes/defines method(s) of safety data collection/analysis). Interviewed SMS manager and/or designated management representative(s). Examined records/documents that illustrate organizational integration (focus: coordinated involvement of all operational areas in hazard identification process). Examined selected examples of hazards identified through data collection/analysis.

  • Identified/Assessed organizational safety hazard identification program (focus: program identifies hazards to operations; describes/defines method(s) of safety data collection/analysis).
  • Interviewed SMS manager and/or designated management representative(s).
  • Examined records/documents that illustrate organizational integration (focus: coordinated involvement of all operational areas in hazard identification process).
  • Examined selected examples of hazards identified through data collection/analysis.

• External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and the ICAO SMM, Document 9859
  IRM References
  Hazard
  IOSA Cross-reference
  ORG 3.1.1
  Additional Guidance
  The methods used to identify hazards will typically depend on the resources and constraints of each particular organization. Some organizations might deploy comprehensive, technology-intensive hazard identification processes, while organizations with smaller, less complex operations might implement more modest hazard identification processes.
  Regardless of organizational size or complexity, to ensure all hazards are identified to the extent possible, hazard identification processes are necessarily formalized, coordinated and consistently applied on an on-going basis in all areas of the organization where there is a potential for hazards that could affect operations.
  To be effective, reactive and proactive processes are used to acquire information and data, which are then analyzed to identify existing or predict future (i.e., potential) hazards to operations.
  Examples of processes that typically yield information or data for hazard identification include:
  • Confidential or other reporting by personnel.
  • Investigation of accidents, incidents, irregularities and other abnormal events.
  • Observation of personnel during operations and training
  • Quality assurance (QA) and/or safety assurance (SA).
  • Safety information gathering or exchange (external sources).
  Processes are designed to identify hazards that might be associated with organizational business changes, the introduction of significant outsourcing of operational functions, etc.
  There are several techniques and tools available to identify hazards from safety data and safety information derived from safety reporting systems, safety reports, external sources, etc.

• ORM 1.3.3 The provider shall have a process for a non-punitive operational safety reporting system that is implemented throughout the organization in a manner that: i. Encourages personnel to report any incident or hazard to ground operations, identify safety hazards, expose safety deficiencies or raise safety concerns. ii. Complies with applicable mandatory reporting regulations and requirements. iii. Includes analysis and management action, as necessary, to address safety issues identified through the reporting system. iv. Specifies the measures to protect safety data from being used for any purpose other than the improvement of safety and SMS. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed corporate safety reporting policy and procedures (focus: personnel urged to report operational hazards; definition of disciplinary policy/potential disciplinary actions; data protection). Interviewed accountable executive and/or designated management representative(s).

  • Identified/Assessed corporate safety reporting policy and procedures (focus: personnel urged to report operational hazards; definition of disciplinary policy/potential disciplinary actions; data protection).
  • Interviewed accountable executive and/or designated management representative(s).

• External References
  AHM 650 Ramp Incident Reporting
  AHM 615 Quality Management System
  Annex 19 and the ICAO SMM, Document 9859
  IOSA Cross-reference
  ORG 3.1.3
  Additional Guidance
  Frontline personnel (e.g., ground crew, gate and check-in staff, warehouse staff and ground support equipment (GSE) operators) are exposed to hazards and face challenging situations as part of their everyday activities. An operational reporting system provides such personnel with a means to report these hazards or any other safety concerns, so they may be brought to the attention of relevant managers.
  Such systems are considered “non-punitive” because they afford a level of protection (excluding willful misconduct) to reporters. While the nature and extent of the providers’ non-punitive polices may vary, the intent is to promote an effective reporting culture and proactive identification of potential safety deficiencies to support continuous improvement.
  Policies that distinguish willful acts of misconduct from inadvertent errors, providing for an appropriate punitive or non-punitive response, are essential to assure the effective reporting of systemic safety deficiencies. A culture that fails to distinguish unintentional errors/mistakes from acts of willful misconduct will inhibit the reporting process. If personnel avoid reporting for fear of punishment, management will not gain important safety information.
  Any risks identified, and corrections/changes made as a result of the operational safety reporting, review and analysis must be disseminated to relevant staff throughout the organization.
  While the provider may not be required by regulation to report directly to the Authority, the provider will need to know the mandatory reporting of the Authority within the scope of their activities. The provider may not report these to the authorities but will be required to report these to the customer airline(s) who then must fulfil their regulatory obligation and report to the Authority. The provider needs to know and support the customer airline(s)/regulatory requirements.
  

• ORM 1.3.4 The provider shall have a safety risk assessment and mitigation program that includes processes implemented and integrated throughout the organization to ensure: i. Hazards are analyzed to determine corresponding safety risks to ground operations. ii. Safety risks are assessed to determine the requirement for risk mitigation action(s). iii. When required, risk mitigation actions are developed and implemented in operations. [Eff] (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

Effectiveness Assessment Tool

• Desired Outcome
  The Provider maintains an overview of its operational risks and through implementation of mitigation actions, as applicable, ensures risks are at an acceptable level.
  Suitability Criteria (Suitable to the size, complexity and nature of operations)
  • Number and type of analyzed hazards and corresponding risks.
  • Means used for recording risks and mitigation (control) actions.
  • Safety data used for the identification of hazards.

• Effectiveness

• i) The safety risk assessment and mitigation program is suitable for the size, complexity and nature of the ground operations.

• ii) All relevant hazards are analyzed for corresponding safety risks.

• iii) Safety risks are expressed as likelihood of the occurrence and the severity of the consequence of the occurrence.

• iv) A matrix quantifies safety risk tolerability to ensure standardization and consistency in the risk assessment process which is based on clear criteria.

• v) Risk register(s) across the organization capture risk assessment information, risk mitigation (control) and monitoring actions.

• vi) The risk mitigation (control) actions include time lines, allocation of responsibilities and risk control strategies such as hazard elimination, risk avoidance, risk acceptance, risk mitigation.

• vii) Mitigation (control) actions are implemented to reduce the risk to a level of “as low as reasonably practical”.

• viii) Identified risks and mitigation actions are regularly reviewed for accuracy and relevance.

• ix) Effectiveness of risk mitigation (control) actions are monitored at least yearly to include auditing in accordance with ORM 1.4.1.

• x) Personnel performing risk assessments are appropriately trained in accordance with ORM 4.3.1.

• xi) The program takes into consideration any area of the organization where there is a potential for hazards that could affect ground operations and the services provided.

• xii) The program has some form of central coordination to ensure all existing or potential hazards that have been identified as relevant are subjected to risk assessment and, if applicable, mitigation.

• Auditor Actions - Headquarters

  Select Identified/Assessed organizational safety risk assessment/mitigation program (focus: hazards analyzed to identify/define risk; risk assessed to determine appropriate action; action implemented/monitored to mitigate risk). Identified/Assessed process for risk assessment/mitigation (focus: all operational disciplines participate in process). Interviewed SMS manager and/or designated management representative(s).

  • Identified/Assessed organizational safety risk assessment/mitigation program (focus: hazards analyzed to identify/define risk; risk assessed to determine appropriate action; action implemented/monitored to mitigate risk).
  • Identified/Assessed process for risk assessment/mitigation (focus: all operational disciplines participate in process).
  • Interviewed SMS manager and/or designated management representative(s).

• External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and the ICAO SMM, Document 9859
  ACI SMS Handbook, Step B.
  IRM References
  Safety Risk.
  IOSA Cross-reference
  ORG 3.1.2
  Additional Guidance
  To be completely effective, a risk assessment and mitigation program would typically be implemented in a manner that:
  • Is active in all areas of the organization where there is a potential for hazards that could affect operations.
  • Has some form of central coordination to ensure all existing or potential hazards that have been identified are subjected to risk assessment and, if applicable, mitigation.
  The safety risks associated with an identified existing or potential hazard are assessed in the context of the potentially damaging consequences related to the hazard. Safety risks are generally expressed in two components:
  • Likelihood of an occurrence
  • Severity of the consequence of an occurrence
  A risk register is often employed to document risk assessment information and monitor risk mitigation (control) actions.
  In addition to the verification of the safety risk assessment and mitigation processes and procedures, records of the assessments, meeting reports and decisions taken should be examined.

• ORM 1.3.5 The provider shall have a process: i. To conduct and/or participate in an investigation of an incident/accident where its services were involved, including reporting of events in accordance with requirements of the customer airline(s), the Airport Authority, and/or state, as applicable; ii. For identifying and investigating irregularities and other non-routine operational occurrences that might be precursors to an accident or incident. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed accident investigation procedures (focus: formal procedures developed for the triggers to commence an investigation, processes for gathering evidence and conducting the analysis, processes for developing recommendations, and for distributing the report–process includes compliance with applicable requirements). Interviewed responsible manager or nominated personnel. Examined selected reports on accidents and incidents (focus: correct involvement; investigation identifies operational safety hazards, produces recommendations to prevent recurrence/mitigate

  • Identified/Assessed accident investigation procedures (focus: formal procedures developed for the triggers to commence an investigation, processes for gathering evidence and conducting the analysis, processes for developing recommendations, and for distributing the report–process includes compliance with applicable requirements).
  • Interviewed responsible manager or nominated personnel.
  • Examined selected reports on accidents and incidents (focus: correct involvement; investigation identifies operational safety hazards, produces recommendations to prevent recurrence/mitigate

• External References
  AHM 652 Recommendations for Airside Safety Investigation
  ICAO Annex 19 and ICAO SMM document 9859
  ACI SMS Handbook, Step B
  IOSA Cross-reference
  ORG 3.3.10 and 3.3.11
  Additional Guidance
  An effective investigation process typically includes:
  • Qualified personnel to conduct and/or participate in investigations (commensurate with the size of the operation).
  • Procedures for the conduct of, and/or participation in, investigations.
  • A process for reporting investigative results.
  • A system for implementing any corrective or preventive action.
  • An interface with relevant external investigative authorities (when applicable).
  • A process for the dissemination of information derived from investigations.
  The aim is to ensure awareness among operational personnel by having information derived from investigations disseminated to relevant areas throughout the organization, including all stations.
  Minor events, irregularities and occurrences occur often during normal operations, many times without noticeable consequences. Identifying and investigating certain irregular operational occurrences can reveal system weaknesses or deficiencies that, if left unchecked, could eventually lead to an accident or serious incident. These types of events are referred to as accident precursors.
  A process to monitor operations on a regular basis permits the identification and capture of information associated with internal activities and events that could be considered precursors. Such events are then investigated to identify undesirable trends and determine contributory factors.
  The monitoring process is typically not limited to occurrences, but also includes a regular review of operational threats and errors that have manifested during normal operations.

• ORM 1.3.6 The provider should have a process to ensure aircraft ground damages are reported, if not prohibited by the customer airline(s), to IATA for inclusion in the Incident Data Exchange (IDX). Such reports should be submitted in accordance with the formal IATA IDX structure. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for reporting aircraft ground damage to IATA for inclusion in the database. Interviewed responsible manager in ground handling operations Examined selected reports of ground damage submitted to IATA using forms from IDX

  • Identified/Assessed process for reporting aircraft ground damage to IATA for inclusion in the database.
  • Interviewed responsible manager in ground handling operations
  • Examined selected reports of ground damage submitted to IATA using forms from IDX

• External References
  AHM 650 Ramp Incident/Accident Reporting
  ACI SMS Handbook, Step B SMS Element B.3
  IRM References
  IATA Incident Data Exchange
  Additional Guidance
  □ The IATA Incident Data Exchange (IDX), was released in late 2019 and replaces the IATA Ground Damage Database (GDDB). IDX is a quality source of defensible data to support a performance-based approach to the management of all operations, to include ground handling.
  □ Reports submitted to IDX will be assembled and integrated in a manner that permits, through statistical analysis, the identification of trends and contributing factors associated with aircraft ground damages and other ground operations occurrences, which are now in the scope of the Incident Data Exchange (IDX) Program. Participants that join IDX and regularly submit reports will benefit by having access to the above-described analytical results. However, failure to submit reports will cause members to be excluded from the program.
  □ IDX will be a key component of IATA's Integrated Solution for Ground Operations. Program analytical results will be used by the various IATA working and technical groups associated with the Ground Operations and ISAGO programs as the basis for the development of damage prevention strategies and success measurement metrics. The assurance of data quality and overall database integrity requires data to be submitted by participants in a uniform and consistent manner. Therefore, IDX will require a standard reporting format, including associated taxonomy, definitions and assumptions.
  □ Other information and Reporting guidelines can be found online at the IATA Global Aviation Data Management page https://www.iata.org/en/services/statistics/gadm/idx/ .
  

• ORM 1.3.7 The provider shall have a quality assurance program, including a detailed audit planning process and sufficient resources that provide for the auditing and evaluation of the management system and ground operations at all stations to ensure the provider is: i. Complying with applicable regulations and requirements, including those of the customer airline(s). ii. Satisfying stated operational needs. iii. Identifying undesirable conditions and areas requiring improvement. iv. Monitoring effectiveness of safety risk controls. (GM) Note: This standard is applicable to HQ and combined audits only.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed quality assurance program (focus: role/purpose within organization; definition of audit program scope/objectives; description of program elements/procedures for ongoing auditing of management system/operational areas). Interviewed quality manager and/or designated management representative(s) Interviewed selected operational managers (focus: interface with quality assurance program) Examined selected audit reports (focus: audit scope/process/organizational interface Verified implementation of quality assurance audit program in all operational areas

  • Identified/Assessed quality assurance program (focus: role/purpose within organization; definition of audit program scope/objectives; description of program elements/procedures for ongoing auditing of management system/operational areas).
  • Interviewed quality manager and/or designated management representative(s)
  • Interviewed selected operational managers (focus: interface with quality assurance program)
  • Examined selected audit reports (focus: audit scope/process/organizational interface
  • Verified implementation of quality assurance audit program in all operational areas

• External References
  AHM 615 Quality Management System
  IRM References
  Quality Assurance, Quality Audit
  IOSA Cross-reference
  ORG 3.4.1
  Additional Guidance
  In some organizations, the QA program may have a different name (e.g., internal audit program, internal evaluation program).
  The QA program is applied throughout the organization.
  To ensure auditors gather sufficient evidence to produce realistic assessments during an audit, the program typically includes guidance that defines the various sampling techniques that are expected to be used by auditors in the evidence collection phase of the audit.
  

• ORM 1.3.8 The provider shall have a process for addressing findings that result from audits conducted under the quality assurance program and station quality control program, as specified in ORM 1.3.7, which ensures: i. Determination of root cause(s). ii. Development of corrective action, as appropriate, to address findings. iii. Implementation of corrective action in appropriate operational area(s). iv. Monitoring and evaluation of corrective action to determine effectiveness.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for addressing quality assurance program and station quality control program findings. Interviewed quality manager and/or designated management representative.

  • Identified/Assessed process for addressing quality assurance program and station quality control program findings.
  • Interviewed quality manager and/or designated management representative.

• IOSA Cross-reference
  ORG 3.4.3

• ORM 1.3.10 The provider shall ensure the quality assurance program utilizes auditors who: i. Have been trained and are qualified ii. Are impartial and functionally independent from the operational areas to be audited (GM) [AI] Note: This standard is applicable to HQ and combined audits only.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed quality assurance auditor administration program (focus: definition of selection/qualification criteria for quality assurance program auditors). Interviewed quality assurance program manager. Examined selected individual auditor records (focus: application of selection/qualification criteria). Crosschecked selected audit reports (focus: appropriately qualified auditors' independence from the activity audited). Identified/Interviewed selected quality assurance auditors (focus: verification of individual qualifications).

  • Identified/Assessed quality assurance auditor administration program (focus: definition of selection/qualification criteria for quality assurance program auditors).
  • Interviewed quality assurance program manager.
  • Examined selected individual auditor records (focus: application of selection/qualification criteria).
  • Crosschecked selected audit reports (focus: appropriately qualified auditors' independence from the activity audited).
  • Identified/Interviewed selected quality assurance auditors (focus: verification of individual qualifications).

• External References
  AHM 615 Quality Management System
  IOSA Cross-reference
  ORG 3.4.12
  Additional Guidance
  A QA program is typically independent in a manner that permits the scheduling and conduct of audits, as deemed appropriate for the size and scope of operations. In small organizations, to ensure objectivity, it may be appropriate for the auditing function to be outsourced to external auditors.
  To be effective, auditors receive an appropriate level of formal training in accordance with the criteria specified by the provider’s quality documentation. Such training normally includes knowledge, skills and work experience needed to effectively assess areas of the management system and operations that will be audited.
  A code of conduct may be used to enhance the impartiality and independence of auditors. An effective auditor code of ethics would require auditing as well
  

• ORM 1.3.11 The provider shall have a safety assurance program, including a detailed audit planning process and sufficient resources that provide for the auditing and evaluation of the effectiveness of the management system and ground operations at all stations to ensure the provider is: i. Complying with applicable safety regulations and requirements, including those of the customer airline(s). ii. Identifying hazards to operations. iii. Monitoring effectiveness of safety risk controls. iv. Verifying safety performance by using safety performance indicators and safety performance targets. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed safety assurance program (focus: role/purpose within organization/SMS; definition of audit program scope/objectives; description of program elements/procedures for ongoing auditing of management system/operational areas). Examined selected safety audit reports (focus: audit scope/process/organizational interface). Interviewed responsible manager for safety assurance program or nominated personnel..

  • Identified/Assessed safety assurance program (focus: role/purpose within organization/SMS; definition of audit program scope/objectives; description of program elements/procedures for ongoing auditing of management system/operational areas).
  • Examined selected safety audit reports (focus: audit scope/process/organizational interface).
  • Interviewed responsible manager for safety assurance program or nominated personnel..

• External References:
  ACI SMS Handbook, Step C.
  IRM References
  Safety Management System (SMS)
  Safety Audit
  External References
  AHM 610 Guidelines for a Safety Management System
  □ Annex 19 and the ICAO SMM, Document 9859
  Additional Guidance
  △ Due to the commonalities between quality assurance (QA) and safety assurance (SA), or more broadly QMS and SMS, there is the possibility to integrate the activities; this creates efficiency and leverages common resources. This integration is scalable to the size and complexity of the organization, and can be advantageous for small, non-complex organizations. For example, by using the same auditing techniques, a provider may add the scope of quality auditing within the scope of safety auditing and conduct the audit of a line station as one event. Similarly, integration can occur with a combined Safety and Quality Policy, as with many other areas of the QMS and SMS. There are also similarities with Workplace or Occupational Health and Safety in which integration may occur.
  The SA program is applied throughout the organization and includes auditing.
  To ensure auditors gather sufficient evidence to produce realistic assessments during an audit, the program typically includes guidance that defines the various sampling techniques that are expected to be used by auditors in the evidence collection phase of the audit.
  In addition to auditing, the evaluation of effectiveness may be performed in other ways, such as through safety inspections, safety surveys and other tools. A similar approach to auditing is taken in terms of planning, determining findings, reporting, follow-up and close-out activities.

• ORM 1.3.12 The provider shall have procedures for disseminating information from: i. The safety risk assessment and mitigation program. ii. The safety assurance program to management and non-management operational personnel, as appropriate, to ensure an organizational awareness of compliance with applicable regulatory and other safety requirements. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed means used for dissemination of safety assurance program information. Interviewed safety assurance program manager.

  • Identified/Assessed means used for dissemination of safety assurance program information.
  • Interviewed safety assurance program manager.

• External References
  AHM 610 Guideline for Safety Management System
  □ Annex 19 and the ICAO SMM, Document 9859
  ACI SMS Handbook, Step D.
  IOSA Cross-reference
  ORG 3.3.2
  Additional Guidance
  Effective safety assurance (SA) and safety risk assessment and mitigation programs include a process for disseminating information to maintain an ongoing awareness of compliance issues that might impact operational safety or security. For example, such information might include an up-to-date status of operational safety performance against stated safety performance measures. The process ensures a method of dissemination commensurate with the size of the organization. Acceptable means include a magazine, newsletter or bulletin issued periodically. Electronic media in various forms are also effective in the timely dissemination of information.
  The outputs of the safety risk management and SA functions may be of a specialist nature, sensitive or for a specific purpose.
  Note:
  SMS training and education is part of ORM Subsection 4 Training and Qualification.
  

• ORM 1.3.13 The provider should conduct an analysis of the Human Factors aspects of their operations and the organization as part of its SMS to optimize human performance within its operations. The analysis conducted should take into account: i. the ground operations task (s) to be performed ii. the individual (s) involved in the ground operations task (s) iii. the organization of the GSP iv. the ergonomic principles related to specific task (s) v. the ground handling environment and its design vi. the ground handling facilities and equipment vii. the mental abilities of the person to make decisions

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process of analysis of the organization, work environment, personnel, equipment and tasks Interviewed SMS manager.

  • Identified/Assessed process of analysis of the organization, work environment, personnel, equipment and tasks
  • Interviewed SMS manager.

• External References
  AHM 600 Management and Safety
  Manual on Ground Handling (DOC 10121), Section 4.5.2, 4.5.5, 4.5.6, 4.5.8
  Additional Guidance
  The main focus of SMS is on the organizational processes and procedures but it relies heavily on the way humans operate within the system. The service providers involved with the turnaround will have its own hazards and appropriate safety risk assessments and mitigations, however there will be hazards generated by the close working environment and each provider needs to be aware of the additional hazards.
  The organization, and the way it operates, can also have a significant impact on human performance. Therefore, the SMS requires an assessment of the human contribution to safety and how the organization can affect the human in the workplace.
  Ground operations personnel have varying strengths and weaknesses related to their attitudes, skills and personalities. The provider should ensure personnel are not overloaded and are able to carry out their tasks in all operational circumstances
  Human factors or operator error has been identified by industry as being responsible for most accidents involving damage to aircraft and infrastructure. Common causes of such accidents have been highlighted as poor training and supervision, failure to follow SOPs, distraction and work pressure. As part of their SMS, GSPs should identify and target root causes related to human factors and take appropriate mitigating actions.
  Additional Information on human factors elements can be found in the Human Factors Training Manual (Doc 9683). One commonly used concept is the “Dirty Dozen”, which refers to twelve of the most common human error preconditions or conditions that can act as precursors to accidents or incidents. The twelve elements are: 1. Lack of communication, 2. Distraction, 3. Lack of resources, 4. Stress, 5. Complacency, 6. Lack of teamwork, 7. Pressure, 8. Lack of awareness, 9. Lack of knowledge, 10. Fatigue, 11. Lack of assertiveness, 12. Norms “the way we do things around here”
  The Dirty Dozen concept is an efficient and simple methodology that a GSP may use to conduct analysis. This concept has increased awareness of how humans can contribute towards accidents and incidents, the aim of the concept is to focus attention and resources on reducing and capturing human error. There are examples of typical countermeasures designed to reduce the possibility of any human error causing a problem for each element.

• ORM 1.3.14 The provider should have a process to ensure a task or job is designed with ergonomic principles taking into account typical human performance limitations, ensuring they are not overloaded and are able to carry out their tasks in all operational circumstances, by considering the following: i. the physical design of the workplace ii. its environment iii. the equipment iv. the mental abilities of the person to make decisions, including their perception of the task and risks. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed the processes for the design of ground operations task or job Identified/Assessed ergonomic principles considered during the design of tasks or jobs in ground operations Interviewed SMS manager

  • Identified/Assessed the processes for the design of ground operations task or job
  • Identified/Assessed ergonomic principles considered during the design of tasks or jobs in ground operations
  • Interviewed SMS manager

• External References
  Manual on Ground Handling (DOC 10121), Section 4.5.2.1
  Additional Guidance
  During job design, the GSP should consider the fundamental ergonomic principles in accordance with the services provided for better work performance. Job design can address problems such as work overload, work underload, repetitiveness, limited control over work, isolation, shiftwork, delays in filling vacant positions etc.
  Job design is the specification of the content, methods and relationships of jobs in order to satisfy technological and organizational requirements as well as the social and personal requirements of the person doing the job. There are various elements of a job and job design is required to classify various tasks into a job or a coherent set of jobs. The various tasks may be planning, executing, monitoring, controlling etc. and all these are to be taken into consideration while designing a job.
  Ergonomics aims at designing jobs in such a way that the physical abilities and individual traits of employees are taken into consideration so as to ensure efficiency and productivity.
  Organizational culture determines the way tasks are carried out at the workplaces. Practices are methods or standards laid out for carrying out a certain task. These practices often affect the job design especially when the practices are not aligned to the interests of the union.
  Employee skills, abilities and time of availability play a crucial role while designing the jobs. Whatever else a job design achieves, it must not endanger the well-being of the person who does the job, other staff of the operation, the customers who might be present in the operation, or those who use any services as a result of the operation.

• ORM 1.3.15 The Provider should have a fatigue management programme designed to ensure personnel do not carry out their duties when fatigued. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed requirements for management of fatigue in ground operations personnel Identified/Assessed tracking/scheduling processes for ground operations personnel Interviewed responsible manager.

  • Identified/Assessed requirements for management of fatigue in ground operations personnel
  • Identified/Assessed tracking/scheduling processes for ground operations personnel
  • Interviewed responsible manager.

• Manual on Ground Handling (DOC 10121), Section 4.5.9
  Additional Guidance
  The intent of this provision is to ensure fatigue occurring or accumulated over a period of time does not impair a ground operations personnel’s alertness and ability to perform safety related ground operations duties. The Provider should establish a methodology for the management of fatigue in a manner that:
  • Is based upon scientific principles and knowledge
  • Is consistent with the prescriptive fatigue management requirements
  • Precludes fatigue from endangering the safety of ground operations activities

1.4 Management Review

• ORM 1.4.1 The provider shall have a process to review the management system at intervals not exceeding one year to ensure the continuing suitability, adequacy and effectiveness of the management and control of ground operations. A review shall include assessing opportunities for improvement and the need for changes to the system, including, but not limited to, organizational structure, reporting lines, authorities, responsibilities, policies, processes, procedures and the allocation of resources. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed corporate management review process (focus: process identifies organizational opportunities for changes/improvement to management system). Interviewed accountable executive and/or designated management representative(s). Examined records of management reviews and review meetings. Examined selected examples of output from management review process (focus: changes implemented to improve organizational performance).

  • Identified/Assessed corporate management review process (focus: process identifies organizational opportunities for changes/improvement to management system).
  • Interviewed accountable executive and/or designated management representative(s).
  • Examined records of management reviews and review meetings.
  • Examined selected examples of output from management review process (focus: changes implemented to improve organizational performance).

• External References
  AHM 615 Quality Management Review
  IOSA Cross-reference
  ORG 1.5.1
  Additional Guidance
  Management review is a necessary element of a well-managed company and provides a process through which organizational control and continuous improvement can be delivered. To be effective, a formal management review takes place on a regular basis, but typically not less than a minimum of once per year.
  An appropriate method to satisfy this requirement is a periodic formal meeting of senior executives. The agenda of the meeting includes a general assessment of the management system to ensure all defined elements are functioning effectively. The review also includes an assessment of operational performance to ensure the management system is producing the desired operational safety, security and quality outcomes.
  Senior management ensures deficiencies identified during the management review are addressed through the implementation of organizational changes that will result in improvements to the performance of the system.
  To ensure the scope of a management review is systemic, the process would normally include input from stations.
  Management review is a formal process, which means documentation in the form of meeting schedules; agendas and minutes are produced and retained. Additionally, the output of the management review process would include decisions and action plans for changes to be implemented to improve the effectiveness of the management system and management of risks, where deemed appropriate.

• ORM 1.4.2 The provider shall have a process for management consideration of and decision-making to ensure significant issues arising from: i. The safety risk assessment and mitigation program. ii. The safety assurance program is subject to management review in accordance with ORM 1.4.5 and ORM 1.4.1, as applicable. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for management review of safety assurance program recommendations (focus: continual improvement of Provider's processes and procedures). Interviewed accountable manager and/or designated management representative(s). Interviewed safety manager and/or designated management representative(s).

  • Identified/Assessed process for management review of safety assurance program recommendations (focus: continual improvement of Provider's processes and procedures).
  • Interviewed accountable manager and/or designated management representative(s).
  • Interviewed safety manager and/or designated management representative(s).

• External References
  AHM 610 Guideline for Safety Management System
  IOSA Cross-reference
  ORG 3.4.4 and ORG 3.3.3
  Additional Guidance
  Management review of significant SA issues and decision-making processes on risk management and hazard identification issues supports the continuous improvement of Such review permits senior management to consider significant issues of nonconformance in areas of the organization that impact operational safety and security, and to:
  • Continually monitor and assess operational safety and security outcomes.
  • Ensure appropriate corrective or preventive actions that address the relevant conformance issues have been implemented and are being monitored for effectiveness.
  • Ensure continuous improvement of operational safety performance.

• ORM 1.4.3 The provider shall have a process for setting performance objectives and measures as a means to monitor the operational safety performance of the organization and to validate the effectiveness of safety risk controls. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed processes for setting performance measures (focus: program defines/requires development/application of performance measures; measures used to track/monitor operational safety performance/validate safety risk controls). Examined selected performance measures currently being tracked (focus: performance measures are set/tracked in all operational disciplines). Examined records/documents that identify tracking of performance measures (focus: tracking used to assess/monitor operational safety performance, assess/validate risk control effectiveness). Interviewed SMS manager and/or designated management representative(s).

  • Identified/Assessed processes for setting performance measures (focus: program defines/requires development/application of performance measures; measures used to track/monitor operational safety performance/validate safety risk controls).
  • Examined selected performance measures currently being tracked (focus: performance measures are set/tracked in all operational disciplines).
  • Examined records/documents that identify tracking of performance measures (focus: tracking used to assess/monitor operational safety performance, assess/validate risk control effectiveness).
  • Interviewed SMS manager and/or designated management representative(s).

• External References
  IGOM 6.6 Monitoring Procedures
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and the ICAO SMM, Document 9859
  ACI SMS Handbook, Step C.
  IRM References
  Performance Measures
  IOSA Cross-reference
  ORG 3.2.1
  Additional Guidance
  The use of performance measures is an effective method to determine if desired safety outcomes are being achieved; it also focuses attention on the performance of the organization in managing operational risks and maintaining compliance with relevant regulatory, legislative, airport and customer airline(s) requirements, where applicable.
  In addressing operational performance, meaningful measures typically focus on lower level (i.e., lower consequence) occurrences or conditions that are considered by the provider to be precursors to serious events. Performance measures may be specific to a certain area of operations or may be broad and apply to the entire system. Ideally, performance measures are designed to be challenging, which, in turn, enhances the effectiveness of the risk management system.
  Past events indicate the risk the organization was exposed to at the time of the event (i.e., its proximity to the accident and its severity). This perceived degree of risk influences the speed and magnitude of the organization’s response. It is a reliable indicator of exposure to operational hazards and past safety performance.
  An isolated event is not enough to obtain an accurate picture of exposure to the future risk posed by an identified hazard; a proactive approach is also needed.
  

• ORM 1.4.4 The provider shall have a process to identify changes within, or external to, the organization that have the potential to affect the level of safety risk of ground operations and to identify and manage the safety risks that may arise from such changes. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed organizational change management process (focus: process identifies/assesses internal/external changes to determine operational safety risk). Interviewed SMS manager and/or designated management representative(s). Examined selected records/documents that show processing of internal/external changes (focus: assessment of changes to determine safety risk; actions taken to implement/revise new/existing risk controls).

  • Identified/Assessed organizational change management process (focus: process identifies/assesses internal/external changes to determine operational safety risk).
  • Interviewed SMS manager and/or designated management representative(s).
  • Examined selected records/documents that show processing of internal/external changes (focus: assessment of changes to determine safety risk; actions taken to implement/revise new/existing risk controls).

• External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 and the ICAO SMM, Document 9859
  ACI SMS Handbook, Step C
  IRM References
  Change Management
  IOSA Cross-reference
  ORG 3.2.2
  Additional Guidance
  Change may affect the appropriateness or effectiveness of existing safety risk mitigation strategies. In addition, new hazards and related safety risks may be inadvertently introduced into an operation whenever change occurs.
  A change management process is designed to ensure risk management is applied to any internal or external changes that have the potential to affect established operational processes, procedures, products and services.
  Internal changes typically include organizational expansion, contraction or consolidation, new initiatives, business decisions, as well as the introduction of new or the modification of existing systems, equipment, programs, products or services.
  External changes could include new regulatory requirements or changes to the operating environment (e.g., new security regulations, amendments to the dangerous goods regulations).
  Change management should also address changes in organizational structure, personnel and cultural issues.
  Where frequent systemic or environmental changes occur, managers should update key risk assessments and related information more frequently than in more stable situations.
  

• ORM 1.4.5 The provider shall have processes to review and ensure continuous improvement of the SMS throughout the organization, including: i. Identification of the cause(s) of substandard performance of the SMS. ii. Determination of the implications of substandard performance of the SMS in operations. iii. Elimination or mitigation of such cause(s) of substandard performance. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed SMS review process (focus: process identifies organizational opportunities for changes/improvement to SMS). Interviewed accountable executive and/or designated management representative(s).

  • Identified/Assessed SMS review process (focus: process identifies organizational opportunities for changes/improvement to SMS).
  • Interviewed accountable executive and/or designated management representative(s).

• External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 ICAO SMM, Document 9859
  ACI SMS Handbook, Step D
  IRM References
  Safety Assurance
  Safety Action Group (SAG)
  Safety Review Board (SRB)
  Substandard Performance
  IOSA Cross-reference
  ORG 1.5.2
  Additional Guidance
  Continuous improvement would normally be overseen by a strategic committee of senior management officials who are familiar with the workings and objectives of the SMS. Such committee is typically referred to as a Safety Review Board (SRB), which is a very high-level, strategic committee chaired by the AE and composed of senior managers, including senior line managers responsible for functional areas in operations.
  To ensure frontline input as part of the SMS review process, a provider would form multiple units of specially selected operational personnel (e.g., managers, supervisors, frontline personnel) who function to oversee safety in areas where operations are conducted. Such units are typically referred to as Safety Action Groups (SAGs), which are tactical committees that function to address implementation issues in frontline operations to satisfy the strategic directives of the SRB.

• ORM 1.4.6 The provider shall have a process to ensure significant issues arising from the quality assurance and station quality control programs are subject to management review in accordance with ORM 1.4.1. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for management review of quality assurance program issues (focus: continual improvement of quality assurance program). Interviewed quality manager and/or designated management representative(s). Coordinated to verify management review of significant quality assurance issues in all operational areas.

  • Identified/Assessed process for management review of quality assurance program issues (focus: continual improvement of quality assurance program).
  • Interviewed quality manager and/or designated management representative(s).
  • Coordinated to verify management review of significant quality assurance issues in all operational areas.

• External References
  AHM 615 Quality Management System
  IOSA Cross-reference
  ORG 1.5.2
  Additional Guidance
  Management review permits senior management to consider significant issues of noncompliance in areas of the organization that impact operational safety and security, and to:
  • Continually monitor and assess operational safety and security outcomes.
  • Ensure appropriate corrective or preventive actions that address the relevant compliance issues have been implemented and are being monitored for effectiveness.
  • Ensure continuous improvement of operational safety performance.

1.5 Communication

• ORM 1.5.1 The provider shall have a communication system that: i. Enables and ensures an exchange of information that is relevant to the conduct of ground operations. ii. Ensures changes that affect operational responsibilities or performance are communicated as soon as feasible to applicable management and frontline personnel. iii. Ensures safety information is communicated throughout the organization to maintain an awareness of the SMS and current operational safety issues. iv. Ensures coordination and collaborative decision making with customer airlines and relevant authorities, as applicable, for efficient ground operations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed corporate communication system (focus: organizational capability for communicating information relevant to operations to all personnel). Identified/Assessed safety information communication system (focus: organizational capability for communicating safety information to personnel; information stresses SMS awareness/operational safety issues). Identified/Assessed process for participation in collaborative decision-making Interviewed accountable executive and/or designated management representative(s) for the process/procedure Observed examples of exchange information communication.

  • Identified/Assessed corporate communication system (focus: organizational capability for communicating information relevant to operations to all personnel).
  • Identified/Assessed safety information communication system (focus: organizational capability for communicating safety information to personnel; information stresses SMS awareness/operational safety issues).
  • Identified/Assessed process for participation in collaborative decision-making
  • Interviewed accountable executive and/or designated management representative(s) for the process/procedure
  • Observed examples of exchange information communication.

• External References
  Manual on Ground Handling (DOC 10121), Section 4.4.2, 4.4.3
  Annex 19 ICAO SMM, Document 9859.
  IOSA Cross-reference
  ORG 1.4.2
  Additional Guidance
  An effective communication system ensures an exchange of relevant operational information among senior managers, operational managers and frontline personnel. The general intent of safety communication is to foster a positive safety culture in which all employees receive ongoing information on safety issues, safety metrics, specific hazards existing in the workplace, and initiatives to address known safety issues. Such communication typically conveys safety-critical information, and explains why particular safety actions are taken and why safety procedures are introduced or changed.
  To be totally effective, the communication system also includes customer airline(s) as well as external organizations that work alongside the provider or conduct outsourced operational functions for the provider.
  Methods of communication will vary according to the size and scope of the organization. However, to be effective, all methods shall be simple and as easy to use as possible to facilitate the reporting of operational deficiencies, hazards or concerns by operational personnel.
  Specific means of communication between management and operational ground handling personnel may include:
  • Email, Internet/Intranet
  • Safety or operational reporting system
  • Quality info, training news, letters, memos, bulletins
  • Periodical publications (e.g., newsletters, magazines)
  Where applicable, an effective system would ensure any nonverbal communication of operationally critical information or data requires an acknowledgement of receipt (e.g., changes to regulatory requirements, procedural changes from customer airlines).
  □ In order to ensure efficient aircraft operations and best use of capacity, it is essential that GSPs actively participate in airport collaborative decision-making as relevant to local air and aerodrome operators’ requirements. GSPs play an important role by providing accurate estimation of turnaround times and off-block times at departure aerodromes to calculate estimated take-off time. If established and required by the air or aerodrome operator, GSPs should participate in an Airport Operations Centre (APOC) processes.
  □ Further information on Airport Collaborative Decision Making is available in Manual on Collaborative Air Traffic Flow Management (Doc 9971), Part III, Airport collaborative decision-making.

• ORM 1.5.2 The provider shall have procedures for disseminating information from the quality assurance (QA) program and station quality control program, as specified in ORM 1.3.7 and ORM 1.3.9 to management and non-management operational personnel, as appropriate, to ensure an organizational awareness of compliance with applicable regulatory and other requirements. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed means used for dissemination of quality assurance program information. Interviewed quality manager and/or designated management representative.

  • Identified/Assessed means used for dissemination of quality assurance program information.
  • Interviewed quality manager and/or designated management representative.

• IOSA Cross-reference
  ORG 3.4.2
  Additional Guidance
  An effective QA program includes a process for disseminating information to maintain an ongoing awareness of compliance issues that might impact operational safety or security. For example, such information might include an up-to-date status of operational performance against stated performance measures. The process ensures a method of dissemination commensurate with the size of the organization. Acceptable means of conformance include a magazine, newsletter or bulletin issued periodically. Electronic media in various forms are also effective in the timely dissemination of information.

1.6 Outsourcing Quality Control Program

• ORM 1.6.1 The provider shall have a process to execute a contract or agreement for any outsourced ground operations and/or associated functions with an external provider. Such contract or agreement shall detail measurable specifications that can be monitored by the provider to ensure requirements that affect operational safety and/or security are being fulfilled by the external provider. Monitoring shall include the applicable ISAGO requirements to be satisfied by the subcontracted ground operations and/or associated functions. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed processes for contract/agreement production/execution with external service providers that conduct outsourced operations functions. Examined selected outsourcing contracts/agreements (focus: inclusion of measurable specifications applicable to service providers). Interviewed manager responsible for the ground handling operations.

  • Identified/Assessed processes for contract/agreement production/execution with external service providers that conduct outsourced operations functions.
  • Examined selected outsourcing contracts/agreements (focus: inclusion of measurable specifications applicable to service providers).
  • Interviewed manager responsible for the ground handling operations.

• External References
  AHM 615 Quality Management System
  IRM References
  Outsourcing
  Ground Handling Agreement
  Service Level Agreement
  IOSA Cross-reference
  ORG 3.5.1
  Additional Guidance
  A provider always retains responsibility for services that have been voluntarily transferred to an external service provider. Any nonconformity evidenced at the outsourced facility will be raised to the provider.
  Training and maintenance of GSE are considered functions associated with operational safety.
  A contract or agreement is necessary to ensure the outsourced services and/or functions are formally documented. Inclusion of measurable specifications, usually in the form of a service level agreement (SLA), would provide the basis for a monitoring process.

• ORM 1.6.2 The provider shall have a process, applicable to the outsourced ground operations and/or associated functions, to monitor the external provider to ensure requirements that affect operational safety and security are being fulfilled by the external provider. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed processes for monitoring external service providers that conduct outsourced operations functions. Interviewed responsible manager(s). Examined selected records/reports resulting from monitoring of service providers (focus: monitoring process ensures provider is fulfilling applicable safety/security requirements).

  • Identified/Assessed processes for monitoring external service providers that conduct outsourced operations functions.
  • Interviewed responsible manager(s).
  • Examined selected records/reports resulting from monitoring of service providers (focus: monitoring process ensures provider is fulfilling applicable safety/security requirements).

• IOSA Cross-reference
  ORG 3.5.1
  Additional Guidance
  The specifications of this provision are applicable to any outsourced services or functions that affect operational safety and/or security.
  A provider has a responsibility to monitor outsourced services or functions to ensure they are conducted in a manner that meets its own operational safety and security requirements, as well as those of the customer airline(s).
  The provider shall include the monitoring process as part of their QA program and/or station QC program. The basis for monitoring is dependent on the contract/agreement and measurable specifications and could include auditing. The purpose of monitoring an external service provider is to ensure requirements that affect operational safety and security are being fulfilled by the external provider.

• ORM 1.6.3 The provider shall have a process, applicable to outsourced ground operations and/or associated functions, to ensure the external provider has access to the operational documentation relevant to the outsourced ground operations and functions conducted. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed outsourced services Identified/Assessed process to ensure each applicable external provider is supplied with operational manuals. Interviewed manager responsible for the documentation distribution process/procedure and/or oversight Examined quality assurance plan and records of oversight activities

  • Identified/Assessed outsourced services
  • Identified/Assessed process to ensure each applicable external provider is supplied with operational manuals.
  • Interviewed manager responsible for the documentation distribution process/procedure and/or oversight
  • Examined quality assurance plan and records of oversight activities

• External References
  AHM 615 Quality Management System
  IRM References
  Outsourcing
  Additional Guidance
  The provision of applicable manuals from a customer airline(s) to an external provider may require the permission of the airline, which might need to be requested by the provider.
  

• ORM 1.6.4 The provider shall have a process to ensure, applicable to outsourced ground operations and/or associated functions, that the external provider have a training program in accordance with requirements of the provider’s training program. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed outsourced services Identified/Assessed process to ensure the external provider has a suitable training program Interviewed manager responsible for training and/or oversight Examined quality assurance plan and records of oversight activities

  • Identified/Assessed outsourced services
  • Identified/Assessed process to ensure the external provider has a suitable training program
  • Interviewed manager responsible for training and/or oversight
  • Examined quality assurance plan and records of oversight activities

• External References
  AHM 615 Quality Management System
  IRM References
  Outsourcing

• ORM 1.6.5 The provider shall have a process, applicable to outsourcing of the handling of dangerous goods at the station, to ensure the personnel employed by the external provider to conduct the dangerous goods handling are trained, qualified and competent to carry out their duties.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process to ensure conformity of external provider's dangerous goods training program. Identified/Interviewed responsible manager(s). Examined selected records/reports resulting from monitoring of external service provider's training program (focus: monitoring process ensuring provider is fulfilling applicable dangerous goods training program).

  • Identified/Assessed process to ensure conformity of external provider's dangerous goods training program.
  • Identified/Interviewed responsible manager(s).
  • Examined selected records/reports resulting from monitoring of external service provider's training program (focus: monitoring process ensuring provider is fulfilling applicable dangerous goods training program).

1.7 Security Program

• ORM 1.7.1 The provider shall have procedures in accordance with the requirements of customer airline(s) and the civil aviation security program of states where operations are conducted, that in the case of security-related incidents: i. Customer airline(s) and relevant authorities are notified. ii. The provider liaises on behalf of the customer airline(s), when so authorized by such customer airline(s). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures for notification of security incidents and/or authorized liaison with relevant authorities. Identified/Interviewed responsible manager(s). Examined selected security incident records and reports. Interviewed manager responsible for the documentation process/procedure

  • Identified/Assessed procedures for notification of security incidents and/or authorized liaison with relevant authorities.
  • Identified/Interviewed responsible manager(s).
  • Examined selected security incident records and reports.
  • Interviewed manager responsible for the documentation process/procedure

• Additional Guidance
  Security-related incidents include, but are not limited to:
  • Threats
  • Unlawful interference
  An aviation security incident occurs when there is actual or threatened unlawful interference with aviation. This includes acts associated with an aircraft or airport that involve taking control, damaging, destroying or putting safety, or safe operation, at risk.
  Accurate reporting of incidents will help to improve operating procedures and protect airline staff; and to identify areas for further research and/or improvements. It can be said that anyone who works in the aviation industry has a general responsibility to report aviation security incidents.

1.8 Occupational Health and Safety

• Note:
  Airports are a busy place of work and personnel face many potential hazards, particularly from the movement and operation of aircraft and ground vehicles. Failure to eliminate or control these hazards may lead to accidents or cases of ill health.
  Regulations related to occupational safety, health and environment (OSHE) or workplace health and safety vary considerably globally and usually differ from aircraft or aviation safety. However, many of the SMS principles can and do apply to both people and aircraft. Therefore, it is possible to integrate processes and procedures for aircraft ground handling that complement each other providing a safe operating environment for both personnel and aircraft. but their intention is to provide a duty of care for the health and safety of all personnel at aerodromes.
  The objectives of these standards is to ensure the health, safety and welfare of personnel at work. A Provider should provide a system or systems, suitable equipment and welfare facilities to ensure personnel conduct their activities in a safe manner and not to put themselves or other people at risk.
  During the development of this section and others related to Occupational Health and Safety and Human Factors, reference was made to the ICAO Manual on Ground Handling (Doc 10121), First Edition 2019 available for purchase on the ICAO store.

• ORM 1.8.1 The Provider should have an occupational health and safety program to assure the health, safety and welfare of personnel involved in ground handling operations. The program should include: i. occupational health and safety policy, objectives, processes and procedures ii. positive organizational culture and attitudes to influence personnel behaviour iii. an implementation plan; iv. systems for managing health and safety in the workplace v. provision of suitable equipment and welfare facilities for the personnel vi. cooperation with other stakeholders and contractors within the ground operations shared workspace vii. a hazard identification, assessment and control methodology; viii. employee involvement, cooperation and commitment at all levels ix. unacceptable levels of deviation from health and safety standards x. fatigue management program xi. corrective and preventive measures xii. employee training; and xiii an evaluation of the health and safety program.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed the development and establishment of the Occupational Health & Safety program Verified implementation of the Occupational Health & Safety program in alignment with corporate requirement(s) Interviewed Occupational Health Safety Manager and/or designated representative Examined records of implementation of the Occupational Health & Safety program (focus: OH&S documentation, communication, training program, performance measurement and monitoring)

  • Identified/Assessed the development and establishment of the Occupational Health & Safety program
  • Verified implementation of the Occupational Health & Safety program in alignment with corporate requirement(s)
  • Interviewed Occupational Health Safety Manager and/or designated representative
  • Examined records of implementation of the Occupational Health & Safety program (focus: OH&S documentation, communication, training program, performance measurement and monitoring)

• External References
  Manual on Ground Handling (DOC 10121), Section 4.5.9, 4.9.1 - 4.9.7
  Additional Guidance
  The purpose of an Occupational Health & Safety program is to provide a framework for managing Occupational Health & Safety risks and opportunities. The aim and intended outcomes of the Occupational Health & Safety program are to prevent work related injury and ill health to workers and to provide safe and healthy workplaces. Consequently, it is critically important for the organization to eliminate hazards and minimize Occupational Health & Safety risks by taking effective preventive and protective measures. When these measures are applied by the organization, they improve its Occupational Health & Safety performance. Effectiveness and efficiency of the program can be improved by taking early action to address opportunities for improvement. Implementing this program enables an organization to manage its Occupational Health & Safety risks and improve its Occupational Health & Safety performance, thus enabling the fulfillment of the organization's legal, Customer Airline and other applicable requirements.
  The management of the organization should establish, implement and maintain an Occupational Health & Safety program that includes a commitment to provide safe and healthy working conditions for the prevention of work related injury and ill health and is appropriate to the size of the organization and to the specific nature of its operational risks and opportunities. The Program should also provide a framework for setting the Occupational Health & Safety objectives. The organization should establish, implement and maintain a process(es) for consultation and participation of workers at all applicable levels and functions, and, where they exist, workers' representatives, in the development, planning, implementation, performance evaluation and actions for improvement of the Occupational Health & Safety program.
  Common Occupational Health & Safety risks that should be addressed by the Provider include:
  i. Moving vehicles
  ii. Manual handling (lifting, lowering, pushing, pulling or supporting a load)
  iii. Working at height
  iv. Moving aircraft and live aircraft engines
  v. Noise
  vi. Machinery and equipment
  vii. Hazardous substances
  viii. Lighting (visual glare)
  Provision of adequate resources and infrastructure should help to ensure personnel conduct their activities in a safe manner and not to put themselves or other people at risk. The risks and control measures may impact on the safety of others. Organizations who share a workplace should therefore cooperate to provide a safe and healthy workplace.

• ORM 1.8.2 The provider should have a process to monitor and measure the performance of the Occupational Health & Safety program at planned intervals to evaluate and assess implementation of the occupational health and safety requirements.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed monitoring and measurement processes and procedures Interviewed the Responsible Manager/Management Representative Examined selected reports from the monitoring and measurement processes (focus: monitoring scope/process/organizational interface, Health assurance, corrective, preventive actions taken)

  • Identified/Assessed monitoring and measurement processes and procedures
  • Interviewed the Responsible Manager/Management Representative
  • Examined selected reports from the monitoring and measurement processes (focus: monitoring scope/process/organizational interface, Health assurance, corrective, preventive actions taken)

• External References
  Manual on Ground Handling (DOC 10121), Section 4.9
  Additional Guidance
  Monitoring may be performed through an Internal audit or as described in the corporate quality assurance program. The scope and objectives of the monitoring applied must be related to the OH&S program. Monitoring can be performed hand in hand with the quality and safety program or separately, depending on the local and other requirements related to the Occupational health and safety.

• ORM 1.8.3 The Provider should review the Occupational Health and Safety program, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness by taking into consideration: i. the status of actions from previous management reviews; ii. changes in external and internal issues that are relevant to the Occupational Health and Safety program; iii. results from program monitoring and measurement; iv. consultation and participation of workers; v. risks and opportunities; vi. adequacy of resources for maintaining an effective OH&S management system; vii. relevant communication(s) with interested parties. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed management review process (focus: process identifies organizational opportunities for changes/improvement to OH&S Program) Interviewed the Responsible Manager Examined records of management reviews and review meetings. (focus: discussion of Occupational Health and Safety program elements) Verified selected examples of actions taken from the management review process (focus: actions taken, including risk assessment if applicable, to continually improve OH&S performance)

  • Identified/Assessed management review process (focus: process identifies organizational opportunities for changes/improvement to OH&S Program)
  • Interviewed the Responsible Manager
  • Examined records of management reviews and review meetings. (focus: discussion of Occupational Health and Safety program elements)
  • Verified selected examples of actions taken from the management review process (focus: actions taken, including risk assessment if applicable, to continually improve OH&S performance)

• External References
  Manual on Ground Handling (DOC 10121), Section 4.9
  Additional Guidance
  Management review of the Occupational Health and Safety program presents an opportunity for the Provider’s senior management to review performance of the program and make decisions for improvement of the program where necessary. Management review also demonstrates that the management is committed and making effort to discuss improvement of the program. The output of the management review of OH&S should be recorded and monitored as it is the commitment that the top management demonstrate. The provider should promote a culture that supports the established OH&S program as well as the participation of workers in implementing actions for the continual improvement of the OH&S program through inspections and audits and continuously communicating the relevant results of continual improvement to workers, and, where they exist, workers' representatives. The provider should, hence, maintain and retain documented information as evidence of continual improvement.

2. Ground Operation Management

2.1 Ground Service Equipment Maintenance

• ORM 2.1.1 The provider shall ensure that GSE are maintained, in accordance with instructions and/or guidance from the GSE manufacturer and/or with adequate corporate GSE fleet management policies, in serviceable and good condition prior to being used in ground operations, and such that it will not endanger vehicle users, other vehicles, pedestrians, aircraft or property. (GM) [AI]

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed program for maintenance and serviceability of GSE. Identified/Interviewed management personnel responsible for development of the program for maintenance and serviceability of GSE. Interviewed manager responsible for program of GSE maintenance and serviceability

  • Identified/Assessed program for maintenance and serviceability of GSE.
  • Identified/Interviewed management personnel responsible for development of the program for maintenance and serviceability of GSE.
  • Interviewed manager responsible for program of GSE maintenance and serviceability

• External References
  AHM 910 Basic Requirements for Aircraft Ground Support Equipment
  Manual on Ground Handling (DOC 10121), Section 4.8.1
  IRM References
  Ground Support Equipment (GSE)
  Additional Guidance
  Maintenance programs would typically be designed to be in accordance with:
  • Equipment manufacturer’s recommendations
  • Adequate corporate GSE fleet management policies equivalent to the manufacturer’s recommendations
  • AHM Chapter 9
  • Any combination of the above, depending on the GSE fleet specifics, such as, but not limited to: age of equipment, availability of maintenance documentation, frequency of use, whether the equipment is under warranty or not, maintenance experience/track-record, etc.
  Maintenance must be performed by suitably trained and qualified personnel.
  Note:
  If the GSE maintenance is outsourced, the GSE standards and recommended practice are still applicable and shall be assessed.
  

• ORM 2.1.2 The provider should provide staff, facilities and other resources necessary to the person responsible for GSE maintenance. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed provision of facilities, workspace, equipment and supporting services for GSE maintenance. Interviewed manager responsible for GSE maintenance and serviceability.

  • Identified/Assessed provision of facilities, workspace, equipment and supporting services for GSE maintenance.
  • Interviewed manager responsible for GSE maintenance and serviceability.

• External References
  Manual on Ground Handling (DOC 10121), Section 4.8.7
  IRM References
  Ground Support Equipment (GSE)
  Additional Guidance
  Maintenance should be carried out in infrastructure and with resources necessary to deliver safe and secure GSE for use in ground operations.
  Maintenance must be performed by adequate, suitably trained and qualified personnel.
  Note:
  If the GSE maintenance is outsourced, the GSE standards and recommended practice are still applicable and shall be assessed.
  

2.2 GSE Technical Requirements

• ORM 2.2.1 The Provider should ensure all aircraft ground support equipment (GSE): i. comply with organizational, national, local and airport requirements for its intended use. ii. is only used for the purpose it is designed for, including for specific aircraft types. iii. have appropriate standard operational procedures and, iv. human factor principles regarding the controls of the vehicle are considered during procurement. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed the requirements for GSE (focus: statutory and organizational requirements) Identified/Assessedprogram/policy/system for GSE adoption proximity sensing and warning devices for new GSE and retrofit for existing ones. Identified/Assessed procedures operation and use of all GSE Identified/Assessed human factors considerations in the purchase of GSE Interviewed responsible manager Examined records of GSE purchase Examined a change management record

  • Identified/Assessed the requirements for GSE (focus: statutory and organizational requirements)
  • Identified/Assessedprogram/policy/system for GSE adoption proximity sensing and warning devices for new GSE and retrofit for existing ones.
  • Identified/Assessed procedures operation and use of all GSE
  • Identified/Assessed human factors considerations in the purchase of GSE
  • Interviewed responsible manager
  • Examined records of GSE purchase
  • Examined a change management record

• External References
  AHM 910 Basic Requirements for Aircraft Ground Support Equipment
  AHM 913 Basic Safety Requirements for Aircraft Ground Support Equipment
  AHM 920 Functional Specification for Self-Propelled Telescopic Passengers Stairs
  AHM 925 Functional Specification for a Self-Propelled Conveyor-Belt Loader
  AHM 925A Functional Specification for a Self-Propelled Ground-Based In-Plane Loading System for Bulk Cargo
  AHM 926 Functional Specification for an Upper Deck Catering Vehicle
  AHM 927 Functional Specification for a Main Deck Catering Vehicle
  AHM 931 Functional Specification for a Lower Deck Container/Pallet Loader
  AHM 932 Functional Specification for a Main Deck Container/Pallet Loader
  AHM 934 Functional Specification for a Narrow Body Lower Deck Single Platform Loader
  AHM 936 Functional Specification for a Container Loader Transporter.
  Manual on Ground Handling (DOC 10121), Section 4.8.1, 4.8.2 & 4.8.4
  Additional Guidance
  Self-propelled aircraft GSE typically include self-propelled belt loaders and in-plane loading systems, main deck cargo loaders, lower deck container/pallet loaders and container pallet transport loader/transporters, self-propelled passenger stairs, catering trucks, passenger aid units/vehicles for passengers with reduced mobility (PRM).
  All GSE manufactured after 1 July 2018 shall comply with the aircraft damage prevention requirements of AHM Chapter 9 to reduce the risk of aircraft damage.
  It shall be understood that certain providers may encounter legislative or company policy restrictions that prevent the introduction of new equipment by this date (e.g., additional time needed for contract delivery and GSE manufacturing, risk assessment, production of operating procedures, training, etc.).
  The provider shall endeavor to attain proper GSE fleet harmonization to ensure common operational procedures and reduce risks in operations.
  If the provider operates self-propelled GSEs equipped with and without proximity sensing and warning devices, operational procedures will need to be developed and the personnel shall be trained accordingly. Duel/parallel operations of “old” and “new” GSE shall be accounted for and appropriate risk assessment completed to ensure clear identification of GSE is available to the customer airline(s) to minimize risks of incorrect application of procedures and damage to aircraft.
  

• ORM 2.2.2 If the provider acquires self-propelled GSEs manufactured after 1st July 2018 that interfaces with the aircraft, the provider should: i. Accept, if offered as an option, the installation of proximity sensing and warning devices to reduce the risk of impact with the aircraft. ii. Consider the environmental cost of new equipment, favoring low or zero emissions technology where feasible. iii. Perform/update a risk assessment, update operational procedures and provide training.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed program/policy/system for GSE acquisition (Focus: considerations made during procurement of GSE - safety, quality, operational, environmental) Identified/Assessed program for GSE adoption of proximity sensing and warning devices for new GSE Interviewed manager(s) responsible for the GSEs Examined an agreement with GSE manufacture Examined a change management record Examined a feasibility study

  • Identified/Assessed program/policy/system for GSE acquisition (Focus: considerations made during procurement of GSE - safety, quality, operational, environmental)
  • Identified/Assessed program for GSE adoption of proximity sensing and warning devices for new GSE
  • Interviewed manager(s) responsible for the GSEs
  • Examined an agreement with GSE manufacture
  • Examined a change management record
  • Examined a feasibility study

• External References
  AHM 910 Basic Requirements for Aircraft Ground Support Equipment
  AHM 913 Basic Safety Requirements for Aircraft Ground Support Equipment
  AHM 920 Functional Specification for Self-Propelled Telescopic Passengers Stairs
  AHM 925 Functional Specification for a Self-Propelled Conveyor-Belt Loader
  AHM 925A Functional Specification for a Self-Propelled Ground-Based In-Plane Loading System for Bulk Cargo
  AHM 926 Functional Specification for an Upper Deck Catering Vehicle
  AHM 927 Functional Specification for a Main Deck Catering Vehicle
  AHM 931 Functional Specification for a Lower Deck Container/Pallet Loader
  AHM 932 Functional Specification for a Main Deck Container/Pallet Loader
  AHM 934 Functional Specification for a Narrow Body Lower Deck Single Platform Loader
  AHM 936 Functional Specification for a Container Loader Transporter.
  Manual on Ground Handling (DOC 10121), Section 4.8.2
  Additional Guidance
  The provider should be able to present the study for the retrofit evaluation of the GSE that proves that the retrofit is not economically or technically feasible for the organization and/or station operations. The provider should be able to proof that retrofit kit is not available by the manufacture (e.g. correspondence, tender requirements, contract etc. ).
  

2.3 Unit Load Device Airworthiness and Serviceability

• ORM 2.3.1 The provider shall have procedures to ensure unit load devices (ULDs) are inspected to identify damage and to determine airworthiness and serviceability: i. When received or accepted ii. Prior to being released for loading into an aircraft iii. The ULD Operational Damage Limits Notice (ODLN) is attached to the ULD. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures for inspection of ULDs. Identified/Interviewed management personnel responsible for development of procedures for inspection of ULDs.

  • Identified/Assessed procedures for inspection of ULDs.
  • Identified/Interviewed management personnel responsible for development of procedures for inspection of ULDs.

• External References
  ULDR 9.2.4 Procedures and Practices
  IRM References
  Component Maintenance Manual (CMM)
  Unit Load Device (ULD)
  Additional Guidance
  Differences in damage limitations can occur between ULDs of the same manufacturer as well as ULDs of different manufacturers. The maximum allowable damage for each specific ULD is typically stated in the applicable Component Maintenance Manual CMM issued by the manufacturer.
  The ULD Operational Damage Limits Notice ODLN attached to the ULD ensures easy access to the appropriate damage limit information and facilitates inspection in the field.
  Some airlines impose limits that are more stringent than those contained in the CMM.
  The procedures shall includes actions to be taken when the ULD is not provided with ODLN.
  

2.4 ULD Loading

• ORM 2.4.1 The provider shall have procedures to ensure that ULDs, whether received or loaded by the provider, are in conformance with applicable requirements pertaining to ULD loading and load securing. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures for ULD loading and load securing. Identified/Interviewed management personnel responsible for development of procedures for ULD loading and load securing. Interviewed manager responsible for ULDs process/procedure

  • Identified/Assessed procedures for ULD loading and load securing.
  • Identified/Interviewed management personnel responsible for development of procedures for ULD loading and load securing.
  • Interviewed manager responsible for ULDs process/procedure

• External References
  ULDR Standard Specification 50/6
  ULDR 2.3.1 General
  Additional Guidance
  Safety requirements address the loading of containers and pallets, including nets and straps.
  ULDs can be divided into two groups:
  • Containers
  • Pallets (with or without nets)
  Only ULDs that comply with the requirements of the Weight and Balance Manual (W&BM) shall be loaded onto an aircraft.

• ORM 2.4.2 The provider shall have procedures in accordance with requirements of the customer airline(s) to ensure ULDs are identified by exterior tags that display information relevant to the ULD and its contents prior to being released for loading into the aircraft. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures for ULD tagging. Interviewed manager responsible for development of procedures for ULD tagging documentation process/procedure

  • Identified/Assessed procedures for ULD tagging.
  • Interviewed manager responsible for development of procedures for ULD tagging documentation process/procedure

• External References
  AHM 420 Tagging of Unit Load Device
  Additional Guidance
  Such tags typically indicate the origin and destination of the ULD, weight of the ULD and its contents, type of contents (e.g., cargo, baggage, dangerous goods) and location in the aircraft
  

2.5 ULD Handling and Storage

• ORM 2.5.1 The provider shall have procedures to ensure ULDs are handled and stored in a manner that minimizes or eliminates the possibility of damage or loss. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures for ULD handling and storage. Interviewed manager responsible for the documentation process/procedure

  • Identified/Assessed procedures for ULD handling and storage.
  • Interviewed manager responsible for the documentation process/procedure

• External References
  AHM 420 Tagging of Unit Load Device
  AHM 421 Storage of Unit Load Devices
  Additional Guidance
  Procedures typically specify proper ULD handling equipment, adequate facilities and space (as available by location), and methods of ULD storage that ensures:
  • Identification
  • Inventory is tracked
  • Accessibility is maintained
  • Separation by customer airline

• ORM 2.5.2 The provider shall have procedures in accordance with the requirements of the customer airline(s) to ensure ULDs that have been identified as being damaged or not airworthy are tagged and stored in a designated location that prevents usage for the transport of cargo, mail or baggage. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures for damaged or not airworthy ULD. Interviewed manager responsible for the documentation process/procedure

  • Identified/Assessed procedures for damaged or not airworthy ULD.
  • Interviewed manager responsible for the documentation process/procedure

• External References
  AHM 420 Tagging of Unit Load Device
  AHM 421 Storage of Unit Load Devices
  

2.6 Facilities and Equipment

2.7 Station Airside Supervision and Safety

• ORM 2.7.1 The provider shall have a process to ensure that on all stations the turnaround activities are oversight by supervisory personnel. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed supervisory process. Examined job description of responsible individual(s) (focus: supervisory responsibilities during turnaround activities). Interviewed responsible manager for ground operation or nominated personnel.

  • Identified/Assessed supervisory process.
  • Examined job description of responsible individual(s) (focus: supervisory responsibilities during turnaround activities).
  • Interviewed responsible manager for ground operation or nominated personnel.

• External Reference
  IGOM 6.2 Operational requirements
  AHM 460 Guidelines for Turnaround Plan
  Additional Guidance
  A Turn-around coordinator typically provide the supervision of the aircraft load and the services during the turn-around. The requirement to ensure all station operational activities are conducted under the direct oversight of supervisory personnel is to ensure the turnaround activities are also in conformance with local regulations and SOPs. Coordination and oversight of aircraft turnaround activities are essential to achieve a safe, secure and efficient operation through adherence to local regulations and SOPs.
  

• ORM 2.7.2 The provider shall have a process to ensure station personnel who provide oversight of operational activities, as specified in ORM 2.7.1, complete applicable training and are qualified to supervise the ground operations. (GM) [AI]

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed supervisory training processes. Interviewed manager responsible for the training.

  • Identified/Assessed supervisory training processes.
  • Interviewed manager responsible for the training.

• External Reference
  AHM 1100 Ground Operations Training Program
  Additional Guidance
  Individuals assigned to oversee ground handling operations must have oversight on airside operations, ground safety and flight schedule. An assigned individual will oversee the aircraft turnaround during ramp/apron activities ensuring the aircraft is handled and serviced according to IGOM or the Operator’s specific requirements, these duties may be combined with another function/role.
  The turnaround coordination role may be fulfilled by one person or may be split between two or more persons provided the handover point(s) is(are) clearly defined, documented and communicated to all persons involved in the aircraft turnaround activity.
  The role may also include:
  • Oversight of third-party service providers
  • Control and support of personnel to ensure they can carry out their duties safely and effectively
  • Implementation of emergency procedures, as required
  • Management of disruption to the turnaround

2.8 Airside Fire Safety

• ORM 2.8.1 The provider shall have procedures for fire protection and prevention in ground operations conducted in station airside areas, which address: i. Identification and elimination of conditions that could lead to a fire ii. Availability, access and use of firefighting equipment iii. Emergency procedures, including alerting personnel on board the aircraft iv. Procedures for controlling and reporting fires (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures for airside fire safety Identified/Interviewed management personnel responsible for development of airside fire safety procedures, (focus: checking procedures for alerting personnel onboard the aircraft and reporting fires)

  • Identified/Assessed procedures for airside fire safety
  • Identified/Interviewed management personnel responsible for development of airside fire safety procedures, (focus: checking procedures for alerting personnel onboard the aircraft and reporting fires)

• External References
  IGOM 6.6 Airside Safety Investigation Procedure
  AHM 462 Safe Operating Practices in Aircraft Handling
  ACI Apron Safety Handbook, Section 3.

2.9 Airside Cleanliness

• ORM 2.9.1 The provider shall have procedures to address the spillage of fluids and other materials in station airside areas of operations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures for airside cleanliness Identified/Interviewed management personnel responsible for development of procedures for airside cleanliness.

  • Identified/Assessed procedures for airside cleanliness
  • Identified/Interviewed management personnel responsible for development of procedures for airside cleanliness.

• External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  ACI Apron Safety Handbook, Section 3
  Additional Guidance
  Procedures would typically focus on the avoidance of and response to fluid spillage in station airside operations, including containment, reporting and cleanup, in accordance with the requirements of relevant authorities.
  Other procedures might address spillage of:
  • Toilet waste
  • Water (particularly in freezing conditions) and ice cubes
  • Oil and hydraulic fluid
  • Hazardous materials and other chemicals

• ORM 2.9.2 The provider shall have a foreign object damage (FOD) prevention program for implementation in station airside areas. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed FOD prevention program Identified/Interviewed management personnel responsible for developing and implementation of an effective FOD prevention program documentation process/procedure

  • Identified/Assessed FOD prevention program
  • Identified/Interviewed management personnel responsible for developing and implementation of an effective FOD prevention program documentation process/procedure

• External References
  AHM 465 Foreign Object Damage (FOD) Prevention Program
  ACI Apron Safety Handbook, Section 3
  IRM References
  FOD (Foreign Object Debris)
  Additional Guidance
  The standard is applicable to the provider that conducts aircraft handling or aircraft ground movement operations. The objective of a FOD prevention program is the elimination of conditions that could cause damage to an aircraft.

2.10 Airside Severe Weather Plan

• ORM 2.10.1 The provider shall have a station severe weather operation plan that provides for the protection of aircraft, passengers, operational personnel, baggage, cargo and equipment when severe weather conditions are a threat to operations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed severe weather operations plan. Identified/Interviewed management personnel responsible for the documentation process/procedure development of a station severe weather operations plan.

  • Identified/Assessed severe weather operations plan.
  • Identified/Interviewed management personnel responsible for the documentation process/procedure development of a station severe weather operations plan.

• External References
  IGOM 3.3 Adverse Weather Conditions
  AHM 462 Safe Operating Practices in Aircraft Handling
  ACI Apron Safety Handbook, Section 3
  Additional Guidance
  A typical plan includes practices for preparation and encountering severe weather conditions in operations, and addresses, as appropriate to the climatic conditions of a station, the following:
  • Strong winds
  • Thunderstorms/Lightning
  • Low visibility
  • Ground/pavement icing, wintery slippery conditions and snow removal
  • Storms (sand, dust, volcanic ash, rain)
  • Working in extreme temperatures (hot and cold)
  • Severe weather forecasting

2.11 Passenger Safety

• ORM 2.11.1 The provider shall have procedures or other measures that provide for the protection of passengers moving between the aircraft and a terminal building or ground transportation vehicle. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures for the protection of passengers on the ramp Identified/Interviewed management personnel responsible for development of procedures for the protection of passengers on the ramp

  • Identified/Assessed procedures for the protection of passengers on the ramp
  • Identified/Interviewed management personnel responsible for development of procedures for the protection of passengers on the ramp

• External References
  IGOM 1.2.4 Restricted Areas
  AHM 462 Safe Operating Practices in Aircraft Handling
  ACI Apron Safety Handbook, Section 3
  Additional Guidance
  This standard is applicable to providers that utilize the ramp surface for passenger embarkation and disembarkation.
  Passengers are generally unfamiliar with the airport environment and must be provided with clear and easy-to-follow directions. All passengers, while airside, must be marshalled and supervised. Many foreign visitors may not recognize local signs or markings unless they are clear and unambiguous. Passengers will have an expectation that they will be looked after by the responsible staff. They will be largely unaware of hazards such as jet blast, engine ingestion, prop wash and other apron movements.
  It is generally accepted that the terminal operator will be responsible for supplying the physical barriers and access control system between the landside terminal area and the airside apron environment. The provider will then ensure control of the passengers through the barrier, security of the barrier during passenger processing and be responsible for re-securing the barrier after boarding or disembarking passengers.
  The route used for such passenger movements is typically clearly designated and visible, equipment and vehicles are clear, and the surface is free of any contamination.
  Minimum supervision should be one person at the terminal building entry/exit point and a second person at the aircraft. Where access to the aircraft is not in a direct line to/from the terminal, additional staff should be positioned on the apron to supervise and provide guidance to passengers.
  Simultaneous boarding via a set of front and rear stairs to an aircraft is likely to require a minimum of three staff to assist passengers. Passengers should not be allowed onto the apron, whether from the terminal or disembarking the aircraft, when other aircraft are arriving or departing in the immediate area.
  The departure phase may need to include from the time an adjacent aircraft starts its engines, depending on such factors as proximity of the passenger walkway to the adjacent aircraft, the level of supervision and the noise output of the adjacent aircraft.
  Passengers should not be allowed to depart the terminal until the aircraft they are due to board has come to a complete stop, the aircraft engines have stopped, the anti-collision lights have been switched off and it is clearly established that it is safe for them to do so.
  

2.12 Personnel Safety

• ORM 2.12.1 The provider shall have a requirement and procedures that ensure station ground handling personnel wear appropriate protective clothing or personal protective equipment (PPE) when performing functions in airside operations and in cargo areas. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed PPE requirements and procedures Identified/Interviewed management personnel responsible for development of PPE documentation process/procedur

  • Identified/Assessed PPE requirements and procedures
  • Identified/Interviewed management personnel responsible for development of PPE documentation process/procedur

• External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  ACI Apron Safety Handbook, Section 1
  IRM References
  Personal Protective Equipment (PPE)
  Additional Guidance
  Protective clothing and PPE provide a defense against operational hazards that could threaten the personal safety or health of ground handling personnel. Applicable clothing or PPE is typically defined through risk assessment and/or required by regulation. Some examples of such protection include high-visibility vests, hearing protection, gloves, safety shoes, safety glasses and respirators.

3. Documentation and Records

3.1 Documentation System

• ORM 3.1.1 The provider shall have a process for the management and control of the internal and external documentation and/or data used directly in the conduct or support of operations. Such system shall comprise the elements specified in Table 1.1 and shall include documentation provided to external entities, if applicable. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed system(s) for management/control of operational documentation/data (focus: system addresses applicable documentation types/elements as specified in Table 1.1). Interviewed manager responsible for the documentation process/procedure.

  • Identified/Assessed system(s) for management/control of operational documentation/data (focus: system addresses applicable documentation types/elements as specified in Table 1.1).
  • Interviewed manager responsible for the documentation process/procedure.

• IRM References
  Documentation
  Controlled Document
  Electronic Documentation
  Additional Guidance
  External suppliers and companies that are outsourced to deliver ground operations services and products to the audited provider are also considered under the term “external entities”.
  The primary purpose of document control is to ensure necessary, accurate and up-to-date documents are available to those personnel required to use them, including, in the case of outsourced operational functions, employees of external service providers.
  Examples of documents that are controlled include, but are not limited to, operations manuals, checklists, quality manuals, training manuals, process standards, policy manuals, and SOPs.
  Documentation received from external sources, including from airlines, airport authorities, national civil aviation authorities (NCAA), would include manuals and other types of relevant documents that contain material that is pertinent to the safety of operations conducted by the customer airline (e.g., regulations, operating standards, technical information and data).
  An electronic system of document management and control is an acceptable means of conformance.
  

• ORM 3.1.2 The provider using an electronic system for the management and control of any documentation and/or data used directly in the conduct of operations, and/or for the management and control of records, shall have procedures to ensure that the system generates, on a scheduled basis, backup files for such documentation and/or data. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for schedule back-up of electronic documentation, data and or electronic operational records (focus: system defines schedule for periodic file backup). Identified/Interviewed responsible management representative(s). Verified satisfactory functionality of back-up system(s), including recovery of data. Interviewed manager responsible for the documentation process/procedure

  • Identified/Assessed process for schedule back-up of electronic documentation, data and or electronic operational records (focus: system defines schedule for periodic file backup).
  • Identified/Interviewed responsible management representative(s).
  • Verified satisfactory functionality of back-up system(s), including recovery of data.
  • Interviewed manager responsible for the documentation process/procedure

• Additional Guidance
  Typically, an electronic system provides for file backup on a daily basis.
  The retention period for electronic documents and records is typically in accordance with requirements defined by applicable regulations and/or legislation and the provider.
  To ensure retrieval of archived documents and records, applicable hardware and/or software is normally retained after it has been replaced.
  Within an electronic system of document management and control, document files are typically created, maintained, identified, revised, distributed, accessed, presented, retained and/or deleted using computer systems (e.g., a web-based system).
  Some systems specify immediate obsolescence for any information or data that is downloaded or otherwise extracted (e.g., printed on paper) from the electronic files. The back-up function can be outsourced to a third-party supplier.
  

• ORM 3.1.3 The provider shall have SMS documentation that includes a description of: i. The safety policy and objectives, SMS requirements, SMS processes and procedures, the accountabilities, authorities and responsibilities for processes and procedures, and the SMS outputs. ii. The provider’s approach to the management of safety, which is contained in a manual as a means of communication throughout the organization. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed SMS documentation (focus: description of overall organizational management of safety). Interviewed SMS manager and/or designated management representative(s). Examined selected parts of SMS documentation (focus: content includes safety policy; describes/defines accountabilities/responsibilities for safety processes/procedures in all areas of operations). Interviewed manager responsible for the documentation process/procedure.

  • Identified/Assessed SMS documentation (focus: description of overall organizational management of safety).
  • Interviewed SMS manager and/or designated management representative(s).
  • Examined selected parts of SMS documentation (focus: content includes safety policy; describes/defines accountabilities/responsibilities for safety processes/procedures in all areas of operations).
  • Interviewed manager responsible for the documentation process/procedure.

• External References
  AHM 610 Guidelines for a Safety Management System
  Annex 19 ICAO SMM, Document 9859
  ACI SMS Handbook, Step A
  IOSA Cross-reference
  ORG 2.1.5
  Additional Guidance
  SMS documentation is typically scaled to the size and complexity of the organization, and describes both the corporate and operational areas of safety management to show continuity of the SMS throughout the organization. Typical documentation would include a description of management positions and associated accountabilities, authorities, and responsibilities within the SMS.
  To ensure personnel throughout the organization are informed, SMS documentation includes a description of the provider’s approach to safety management. Such descriptive information would be contained in a manual and presented in a manner that ensures the SMS information is clearly identifiable. The exact title and structure of such manual will vary with each provider.
  SMS documentation supports the management of operations and is subject to management and control as specified in ORM 3.1.

3.2 Operational Manuals

• ORM 3.2.1 The provider shall have a Policies and Procedures Manual (PPM) that contains the operational policies, procedures, instructions and other guidance or information necessary for ground handling personnel to perform their duties and be in compliance with applicable laws, regulations and the provider’s standards. Such a manual shall be accessible to all operational personnel in a usable format at all stations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed PPM for content in conformity with this standard (focus: document management and control). Interviewed responsible manager or nominated personnel.

  • Identified/Assessed PPM for content in conformity with this standard (focus: document management and control).
  • Interviewed responsible manager or nominated personnel.

• IRM References
  Procedure Manual
  Additional Guidance
  Policies and Procedures Manual (PPM) is a generic name; an equivalent manual with a different name is an acceptable alternative (e.g., Ground Operations Manual, Ramp Handling Manual, Passenger Handling Manual, as applicable to the operations).
  “Accessible in usable format” is intended to mean all applicable operational personnel can have free access to any type of document as per the provider’s own documentation system in conformity to the requirements of ORM Table 1.1. Documentation shall also include operational customer airline(s) procedures, NCAAs, airport authorities and local procedures.
  The PPM contains generic guidance that addresses all functions within the scope of ground operations; it also contains information that is function-specific.
  Because the scope of ground operations is broad, rather than publishing one large manual, a provider may choose to issue the PPM in separate parts that are specific to the various ground handling functions conducted by the provider (e.g., Passenger Handling Manual, Baggage Handling Manual, Cargo Handling Manual). Each part would contain generic guidance that is applicable to all ground handling functions (e.g., organizational policies, general definitions), as well as guidance that is specific to the particular function (e.g., process descriptions, SOPs). To ensure standardization, a control process would be in place to ensure use of either the PPM and/or the Operations Manual (OM) of the customer airline(s) such that all applicable operational safety, security and quality requirements are fulfilled.
  

• ORM 3.2.2 The provider should utilize, as a minimum, processes and procedures as outlined in the IATA Ground Operations Manual (IGOM), as applicable to the provider’s scope of operations at the station. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed implementation of IGOM processes and procedures. Identified/Interviewed responsible management representative(s).

  • Identified/Assessed implementation of IGOM processes and procedures.
  • Identified/Interviewed responsible management representative(s).

• Additional Guidance
  As a best practice, a provider would typically conduct a gap analysis of the processes and procedures contained in its ground operations manual (GOM) to identify the level of compliance with those in the IGOM.
  Processes and procedures in the IGOM have been developed based on industry-accepted practices that generally provide an acceptable level of safety risk in the conduct of ground handling operations.
  It is recommended that providers utilize all “shall” processes and procedures contained in the IGOM as a minimum standard in their GOM.
  For a provider to be able to demonstrate full compliance with the IGOM procedures, the provider shall demonstrate that a gap analysis has been conducted between the provider’s GOM and IGOM, by means of a cross-reference table that matches the provider’s internal procedures against all IGOM provisions.
  

• ORM 3.2.3 The provider shall have a process to ensure that all operational documentation is communicated, verified as distributed and accessible to all operational personnel in a usable format at all stations and in all operational areas. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Reviewed/Verified process describing the document dissemination to all stations Reviewed/Verified process for recipient acknowledgment Sampled document distribution and means for recipient acknowledgement from several stations. Interviewed manager responsible for the documentation distribution process/procedure

  • Reviewed/Verified process describing the document dissemination to all stations
  • Reviewed/Verified process for recipient acknowledgment
  • Sampled document distribution and means for recipient acknowledgement from several stations.
  • Interviewed manager responsible for the documentation distribution process/procedure

• Additional Guidance
  Review the applicable document(s) and distribution to all stations (generally to the station manager) and, within the station, to all operational staff. either from the provider, the customer airline(s) or any other source (e.g., airport, local authority) with particular care to those functions that do not have direct access to a company computer or are not able to read the documents in their original language.
  Review, as a minimum, all the documents as listed in the information sources of the ISAGO audit pertaining to the operational discipline audited and any other document deemed appropriate.
  “Accessible in usable format” is intended to mean all applicable operational personnel can have free access to any type of document as per the provider’s own documentation system in conformity to the requirements of ORM Table 1.1. Documentation shall also include operational customer airline(s) procedures, NCAAs, airport authorities and local procedures.
  For station audits, this GOSARP is also interlinked with all operational disciplines in Subsection 3 Documentation and shall be reviewed in conjunction with them to allow the ORM auditor to complete such assessment.
  

• ORM 3.2.4 The provider should have a process to ensure that all work instructions and/or checklists contained in operations manuals observe human factors principles : 1. emphasising the actual language used, layout, use of diagrams and charts, 2. considers the working environment in which the document is going to be used, and 3. are understood by all personnel. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Reviewed/Verified process describing the development of operations manuals, work instructions and/or checklists. Reviewed/Verified process for integration of human factors principles in the development of operations manuals, work instructions and/or checklists. Sampled operations manuals, work instructions and/or checklists adapted for different personnel. Interviewed manager responsible for the documentation distribution process/procedure

  • Reviewed/Verified process describing the development of operations manuals, work instructions and/or checklists.
  • Reviewed/Verified process for integration of human factors principles in the development of operations manuals, work instructions and/or checklists.
  • Sampled operations manuals, work instructions and/or checklists adapted for different personnel.
  • Interviewed manager responsible for the documentation distribution process/procedure

• External References
  Manual on Ground Handling (DOC 10121), Section 4.3.5
  Additional Guidance
  A work instruction should be a work guide, job aid that describes in detail how an activity within a process (or procedure) is performed. Work instructions should be clear, accessible, credible, consistent and in most cases written by the person most experienced in how to do the task. Work instructions should be visual, using images, drawings and videos where possible to explain how a task should be carried out.
  To reduce the chances of human error, work instructions should be developed giving consideration to the human factors that may affect the personnel performing the ground operations activity.
  Human factors need to be addressed by the GSP as part of its SMS to optimize human performance within the system. This can be achieved by analysing the tasks to be performed, the GSP, the individuals involved in the various tasks and how these can each impact safety behavior. Human performance principles, which include developing and adapting work instructions, should also be considered and include the specific contextual influences on individuals during day-to-day operations. Industry codes of practice may be used by the GSPs as the basis for the development of an operations manual and may be recognized by customer airlines and applicable authorities.

3.3 Records System

• ORM 3.3.1 The provider shall have a process for the management and control of operational and training records to ensure the content and retention of such records is in accordance with applicable regulations and requirements of the customer airline(s), and to ensure operational and training records are subjected to standardized processes for: i. Identification ii. Legibility iii. Maintenance iv. Retrieval v. Protection and security vi. Disposal, deletion (electronic records) and archiving (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed system for management/control of operational records (focus: system includes standardized processes as specified in standard). Interviewed responsible manager or nominated personnel for the records management.

  • Identified/Assessed system for management/control of operational records (focus: system includes standardized processes as specified in standard).
  • Interviewed responsible manager or nominated personnel for the records management.

• Additional Guidance
  △ Such process would typically address all records associated with ground operations at each station, including personnel training records and any other records that document the fulfillment of operational requirements (e.g., GSE maintenance, weigh bridge calibration, records of accidents and incidents associated with ground handling operations, SMS operational records).
  A record management system could be manual or automated that collects, organizes, and categorizes records, facilitating their preservation, retrieval, use, and disposition. Records are retained for periods in accordance with requirements of the appropriate authority and customer airline(s).
  Electronic storage and retention may also be utilized, which makes for easier accessibility and retrieval. In this case, an electronic record backup shall be provided as per applicable regulations.
  Record management and retention allows the organization to make sure personnel have complete access to accurate information in a timely and cost-effective manner.
  

4. Training and Qualification

4.1 Training Program and Qualifications

• ORM 4.1.1 The provider shall have a process that ensures positions within the organization that affect operational safety and security are filled by personnel who possess appropriate knowledge, skills, training, and experience. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for hiring/selection of management/non-management personnel (focus: safety/security positions relevant to ground operations are filled by personnel with qualifications appropriate for position). Interviewed accountable executive or designated management representative(s).

  • Identified/Assessed process for hiring/selection of management/non-management personnel (focus: safety/security positions relevant to ground operations are filled by personnel with qualifications appropriate for position).
  • Interviewed accountable executive or designated management representative(s).

• Additional Guidance
  Prerequisite criteria for each position, which would typically be developed by the provider, and against which candidates would be evaluated, ensure personnel are appropriately qualified for management system positions in areas of the organization critical to safe and secure operations.
  Positions that require the implementation of security functions typically require completion of a background and criminal history check.
  

• ORM 4.1.2 The provider shall have a training program to ensure all personnel complete initial training prior to being assigned to perform operational duties. Such a program shall include, as a minimum: i. Organization familiarization training to ensure operations are conducted in accordance with conditions of the provider’s operating license, if applicable, and in accordance with applicable regulations, standards and organization requirements. ii. Safety Management System training in accordance with ORM 4.3.1. iii. Security training in accordance with ORM 4.2.1. iv. In-depth job-specific training for assigned operational function(s) in accordance with Subsection 4 of each applicable operational discipline. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed the training program ensuring all four sub-requirements are part of the training syllabi for all personnel Identified/Interviewed responsible manager(s)/training manager. Examined selected training records of headquarters personnel Verified implementation of training programs within departmental training plans.

  • Identified/Assessed the training program ensuring all four sub-requirements are part of the training syllabi for all personnel
  • Identified/Interviewed responsible manager(s)/training manager.
  • Examined selected training records of headquarters personnel
  • Verified implementation of training programs within departmental training plans.

• External References
  AHM 1110 Ground Operations Training Program
  AHM 610 Guidelines for a Safety Management System
  Additional Guidance
  Initial training shall also include general company documentation overview.
  Sub requirement (iv) refers to Subsection 4 in LOD, PAB, HDL, AGM and CGM; these are considered operational disciplines within the GOSM.
  

• ORM 4.1.3 The provider shall ensure the training program as specified in ORM 4.1.2 includes a process for all personnel who perform operationally critical functions to maintain competence on the basis of continuing education and recurrent training. Recurrent training shall be completed on a specific frequency according to the applicable regulation, but not less than once during every 36-month period. (GM) [AI]

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for maintaining competency of personnel in functions relevant to safety/security of aircraft operations (focus: standards specify continuing education/training, meeting technical requirements). Identified/Interviewed responsible manager(s)/training manager. Examined selected training records of headquarters personnel. Verified implementation of training programs within departmental training plans.

  • Identified/Assessed process for maintaining competency of personnel in functions relevant to safety/security of aircraft operations (focus: standards specify continuing education/training, meeting technical requirements).
  • Identified/Interviewed responsible manager(s)/training manager.
  • Examined selected training records of headquarters personnel.
  • Verified implementation of training programs within departmental training plans.

• External References
  AHM 1110 Ground Operations Training Program
  Additional Guidance
  Positions or functions within the organization have the potential to affect operational safety or security. In general, most frontline operational functions in load control, passenger handling, baggage handling, aircraft handling and loading, aircraft movement, and cargo handling would typically be considered operationally critical, as well as functions that involve the training of operational personnel. Positions not directly associated with operations (e.g., administrative or clerical positions) may not be deemed operationally critical; however, the provider shall define the requirements for maintaining their competency to perform assigned duties.
  The process shall include conditions for taking personnel out of operational duties (and/or re-planning operational activities and updating the roster) in case the personnel fails to undergo the recurrent training within the defined time frame.

• ORM 4.1.4 The provider shall ensure the training program, as specified in ORM 4.1.2, includes requalification and reentry into service procedures for all personnel who have not performed operational duties for an extensive period of time. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed requalification and re-entry into service process Identified/Interviewed responsible manager(s)/training manager. Examined selected training records of headquarters personnel

  • Identified/Assessed requalification and re-entry into service process
  • Identified/Interviewed responsible manager(s)/training manager.
  • Examined selected training records of headquarters personnel

• External References
  AHM 1110 Ground Operations Training Program
  Additional Guidance
  Each provider shall define “extensive period of time” in accordance with applicable regulations and local specifics, considering the nature of the job and its complexity.
  

• ORM 4.1.5 The provider shall ensure the training program, as specified in ORM 4.1.2–4.1.4, is comprised of balanced curricula of theoretical and practical training, including testing or evaluation by written, oral or practical means. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• External References
  AHM 1110 Ground Operations Training Program

• ORM 4.1.6 The provider shall ensure the training program, as specified in ORM 4.1.2–4.1.4, includes a process that requires instructors and evaluators who conduct the training and evaluation for ground handling personnel to demonstrate they are competent, qualified and, where required, certified to conduct such training activities. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for instructor/evaluator competency and training Identified/Interviewed responsible manager(s)/training manager. Examined selected training records of headquarters personnel

  • Identified/Assessed process for instructor/evaluator competency and training
  • Identified/Interviewed responsible manager(s)/training manager.
  • Examined selected training records of headquarters personnel

• External References
  AHM 1110 Ground Operations Training Program

• ORM 4.1.7 The provider shall have a process to ensure the instructors who deliver dangerous goods training have: i. Adequate instructional skills and, prior to delivering instruction, completed a dangerous goods training program that provides the knowledge in subject areas consistent with the level of instruction to be delivered. ii. Conducted a minimum of one dangerous goods training course on the applicable subject matter or attended recurrent dangerous goods training within the last 24 months. iii. Received updates to the regulations from local and national authorities and to the training material on an annual basis, if applicable. iv. Received requalification training, if applicable. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for DGR instructor/evaluator competency and training Identified/Interviewed responsible manager(s)/training manager. Examined selected training records of headquarters DGR instructor/evaluator

  • Identified/Assessed process for DGR instructor/evaluator competency and training
  • Identified/Interviewed responsible manager(s)/training manager.
  • Examined selected training records of headquarters DGR instructor/evaluator

• External References
  AHM 1110 Ground Operations Training Program
  DGR 1.5.3 Instructor Qualification
  Additional Guidance
  Requalification training: Repeat training for performing certain duties and functions in which the operational personnel have previously been trained. This is typically initiated following a series of events or an evaluation that addresses lack of comprehension of the task to be performed, or a prolonged absence from doing the specific tasks or functions, or a prolonged absence from the working environment.
  

• ORM 4.1.8 The provider shall ensure the training program, as specified in ORM 4.1.2–4.1.4, includes a process to record a training completion. Such records shall be retained in accordance with ORM 3.3.1. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for training record retention. Identified/Interviewed responsible manager(s)/training manager. Examined selected training records of headquarters personnel (focus: the retention periods of such records).

  • Identified/Assessed process for training record retention.
  • Identified/Interviewed responsible manager(s)/training manager.
  • Examined selected training records of headquarters personnel (focus: the retention periods of such records).

• External References
  AHM 1110 Ground Operations Training Program

• ORM 4.1.9 The provider shall ensure the training program, as specified in ORM 4.1.2–4.1.4, includes a process for all aspects of the training program to be periodically reviewed and updated to remain operationally relevant, current, and in accordance with the requirements of the customer airline(s). [AI]

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process for training program review and update Identified/Interviewed responsible manager(s)/training manager. Examined selected training program revisions

  • Identified/Assessed process for training program review and update
  • Identified/Interviewed responsible manager(s)/training manager.
  • Examined selected training program revisions

4.2 Security Training

• ORM 4.2.1 The provider shall have a training program that ensures personnel throughout the organization complete a security training that is in accordance with the: i. Security program of the customer airline(s). ii. Requirements of the civil aviation security authority of states where ground operations are conducted. iii. Requirements of the airport authority at stations where ground operations are conducted. Such a training program shall ensure, as a minimum: i. Personnel employed by the provider to implement security controls shall have the competence to perform their duties. ii. Frontline and appropriate aircraft ground operations and cargo personnel can act in the most appropriate manner to minimize the consequences of acts of unlawful interference and disruptive passenger behavior. iii. General organization security awareness. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed security training program (focus: adequate training plans for duties to be performed and operational environment, including local regulations and operating procedures). Interviewed responsible manager(s)/security manager and training manager. Examined selected training records and reports of headquarters personnel (focus: conformity with security training program). Verified implementation of security training program within departmental training plans.

  • Identified/Assessed security training program (focus: adequate training plans for duties to be performed and operational environment, including local regulations and operating procedures).
  • Interviewed responsible manager(s)/security manager and training manager.
  • Examined selected training records and reports of headquarters personnel (focus: conformity with security training program).
  • Verified implementation of security training program within departmental training plans.

• IRM References
  Security (Aviation)
  Security Program
  Additional Guidance
  Intensive training for personnel who are employed within the security organization of a provider will enable them to develop the expertise required to advise management on all aspects of the security program.
  There are two classifications of aviation security training for a provider:
  1) Personnel Training
  This type of training might be subdivided into training for managers/supervisors, ramp personnel, cargo handling personnel, passenger and baggage handling personnel, and other categories of personnel who are directly involved in the implementation of security measures and, thereby, require an awareness of the obligations associated with aviation security.
  2) General Security Awareness
  Such training applies to the protection of assets from internal and external interference and the necessity of ensuring all ground handling personnel have a positive attitude to security. The focus of training to achieve such awareness will vary by region or company and may be influenced by cultural, religious and other circumstances.
  Both types of training are tailored to be effective in the environment in which they are to apply. The completion of security training would normally be recorded and retained in the records system for proof of compliance with applicable security standards or regulations.
  A third type of security training is Requalification Training: Repeat training for performing certain duties and functions in which the operational personnel have previously been trained. This is typically initiated following a series of events or an evaluation that addresses lack of comprehension of the task to be performed, or a prolonged absence from doing the specific tasks or functions, or a prolonged absence from the working environment as per provider procedures.
  Appropriate operational personnel, through security awareness training, are acquainted with preventative measures and techniques in relation to passengers, baggage, cargo, mail, equipment, stores, and supplies intended for transport on aircraft, as applicable, so they may contribute to the prevention of acts of sabotage and other forms of unauthorized interference.
  

4.3 Safety Training

• ORM 4.3.1 The provider shall have a program that ensures personnel throughout the organization are trained and competent to perform basic, advanced and specific SMS duties. The scope of such training shall be appropriate to each individual’s involvement in the SMS, as detailed: i. In Table 1.2 for all personnel ii. In Table 1.3 for personnel operating in the operational disciplines iii. In Table 1.4 for personnel with specific assigned duties in the SMS (GM) [AI]

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed program for personnel to be trained/competent to perform SMS duties. Interviewed safety manager and/or designated management representative(s). Examined selected initial/recurrent training curricula for personnel to be trained/competent to perform SMS duties. Examined selected management/non-management personnel training records (focus: completion of SMS training).

  • Identified/Assessed program for personnel to be trained/competent to perform SMS duties.
  • Interviewed safety manager and/or designated management representative(s).
  • Examined selected initial/recurrent training curricula for personnel to be trained/competent to perform SMS duties.
  • Examined selected management/non-management personnel training records (focus: completion of SMS training).

• External References
  AHM 610 Guidelines for a Safety Management System
  AHM 616 Human Factor Program
  AHM 1100 Ground Operations Training Program
  Annex 19 ICAO SMM, Document 9859
  IRM References
  Safety Management System (SMS)
  Safety Promotion
  IOSA Cross-reference
  ORG 1.1.10
  Additional Guidance
  SMS training is an element of the Safety Promotion component of the SMS framework.
  Training on the SMS, including safety reporting, provided to operational personnel may be included in the safety training. An overview of the SMS, its purpose, scope and functionality should, however, be provided to all personnel.
  A SMS specifies initial and recurrent safety training standards for operational personnel within the organization, including managers and supervisors, senior managers and the AE. The content of such training is appropriate to the individual’s responsibilities and involvement in the SMS.
  Personnel with specific SMS duties would include those that, as part of the safety office, perform safety risk assessments and activities associated with SA.
  

• 

• 

• 

• 

Section 2 — Load Control (LOD)

1. Operational Procedures

1.1 Process Management and Information Communication

• LOD 1.1.1 The provider shall have a load control process that includes communication, information and procedures for the following elements: i. Provision of information required for weight and balance calculations ii. Use of operator-approved coding scheme and passenger and baggage weights iii. Calculating and communicating provisional load planning data iv. Load planning and Load Instruction Report (LIR) production v. Supervision of the loading and offloading of the aircraft vi. Reporting and recording the loading of the aircraft and load finalization vii. Load sheet production viii. Last Minute Change (LMC) process ix. Managing discrepancies x. Transmission of post-departure messages and reports xi. Records and filing xii. Roles and responsibilities (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.4 Load Control Tasks
  External References
  AHM 510 Handling Load Information Codes to be Used on Traffic Documents and Messages
  Additional Guidance
  The load control process may be documented in the customer airline’s manuals, the provider’s operational manuals or other controlled documents.
  The LMC procedure may not be permitted by customer airline(s) if an Aircraft Communications Addressing and Reporting System (ACARS) is used to communicate the load sheet to the aircraft.
  

• LOD 1.1.2 The provider shall have a process to ensure that the person responsible for the final weight and balance calculation is provided with all relevant load information and data. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.4.3 Weight and Balance Calculation Task
  △ IGOM 5.5 Load Control Task Job Responsibility
  IGOM 5.7 Documentation
  External References
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities.
  Additional Guidance
  The information and data may be provided in electronic form (via either the Departure Control System (DCS), ACARS, email or fax), in writing (paper documents) and by verbal communication.
  

1.2 Load Planning

• LOD 1.2.1 The provider shall have a procedure for calculating and communicating provisional data for load planning purposes in accordance with the requirements of the customer airline(s). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.4 Load Control Tasks
  External References
  AHM 513 Aircraft Structural Loading Limitations
  AHM 530 Weights for Passengers and Baggage
  AHM 534 Weight Control of Load
  AHM 536 Equipment in Compartments Procedures
  AHM 537 Ballast
  AHM 540 Aircraft Unit Load Device Weight and Balance Control
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  Additional Guidance
  Pre-calculations are carried out by the load planner using the data available. Each customer airline may have different requirements on type and timing of information required. It is understood that, as part of the load planning process, the calculations will be under regular review throughout the entire planning process.
  

• LOD 1.2.2 The provider shall have a procedure for the person responsible for producing the load planning and LIR to have access to the following aircraft, load and operational data: i. Aircraft basic weight and index ii. Planned crew iii. Planned pantry type iv. Fuel load and distribution v. Aircraft limitations related to technical issues vi. Aircraft planned equipment, including unit load devices (ULDs) vii. Equipment in compartment (EIC) shipments (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.2 Load Control Principles
  IGOM 5.4 Load Control Tasks
  External References
  AHM 513 Aircraft Structural Loading Limitations
  AHM 534 Weight Control of Load
  AHM 536 Equipment in Compartment Procedure
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  AHM 451 Technical Malfunctions Limiting Load on Aircraft
  Additional Guidance
  This is a more detailed analysis of the elements of the load planning process addressed in LOD 1.1.1.
  

• LOD 1.2.3 The provider shall have procedures that include requirements for the person responsible for producing load planning and LIR in accordance with the customer airline(s) to have access to the following load data: i. Planned deadload and special cargo ii. Expected passenger load iii. Expected transit loads, if applicable (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.4 Load Control Tasks
  IGOM 5.2 Load Control Principles
  External References
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  AHM 503 Recommended Requirements for a New Departure Control System
  

• LOD 1.2.4 The provider shall have a procedure for the person responsible for producing the load planning and LIR to have access to the following aircraft, load and operational data: i. Operational limitations related to airport at departure, destination and nominated alternate airport(s). ii. Planning for special load requirements. iii. Ballast requirements. iv. Specific requirements of the customer airline(s). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.1 Introduction
  IGOM 5.2 Load Control Principles
  IGOM 5.4 Load Control Tasks
  External References
  AHM 513 Aircraft Structural Loading Limitations
  AHM 534 Weight Control of Load
  AHM 536 Equipment in Compartment Procedure
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  AHM 503 Recommended Requirements for a New Departure Control System
  AHM 451 Technical Malfunctions Limiting Load on Aircraft
  AHM 537 Ballast
  

1.3 Aircraft Offloading/Loading Supervision

• LOD 1.3.1 The provider shall have procedures for ramp supervision of aircraft offloading/loading that includes the following: i. Monitor and document offload and report any variance to incoming Load Message to the customer airline. ii. Confirm the transit load location, ULDs and bulk load are in accordance with Transit Load information received from the loading station and report any variance to Load Control for onward flight and the customer airline. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• IGOM 5.1 Introduction
  IGOM 5.4 Load Control Tasks
  External References
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  AHM 503 Load Control
  AHM 514 EDP Loading Instruction/Report
  AHM 424 ULD Control Message
  Additional Guidance
  The offloading reporting and certification would typically be completed by the ramp supervisor. Load Control or gate supervisor certification would normally consist of the supervisor’s signature.
  

• LOD 1.3.2 The provider shall have procedures for ramp supervision of aircraft loading and load control function that include the following: i. Confirm loading is carried out as specified by the final LIR. ii. Advising person responsible for producing load sheet of any deviation from planned load or loading and any special, overweight or nonstandard items presented for loading not already included on the LIR. iii. Communicating/confirming final loading to person responsible for producing final load sheet. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.5.6.4 Loading Procedures (SRS)
  IGOM 5.4 Load Control Tasks
  IGOM 5.4.1.3 Offloading Instructions (SRS)
  External References
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  AHM 514 EDP Loading Instruction/Report.
  Additional Guidance
  The provider shall ensure that all necessary flight supervision and documentation is completed to the customer airline(s) and load control process requirements.
  Item iii: In some circumstances, this may be the same person, depending on whose responsibility it is to produce the load sheet.
  Linked to PAB 1.1.1.
  

1.4 Load Sheet Production

• LOD 1.4.1 The provider shall have procedures to confirm aircraft loading and load finalization at the aircraft that include the following: i. Confirming load sheet accuracy before delivery to crew. ii. Refer to the submitted LIR and generate final load sheet from load control function, as applicable. iii. Ensuring any gate delivery items are included in the final load data. iv. Providing crew with final signed loading information or load sheet. v. Ensuring that flight/load information required for messaging is passed to the person responsible. vi. A record of approval by the pilot-in-command (PIC) shall be obtained and kept at the departure station. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.1 Introduction
  IGOM 5.4 Load Control Tasks
  External References
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  AHM 551 Last Minute Changes on Load Sheet
  AHM 517 EDP Load Sheet.
  Additional Guidance
  The provider shall ensure that all necessary flight supervision and documentation is completed to the customer airline(s) and load control process requirements.
  Item ii: In some circumstances, the crew may be producing their own load sheet; therefore, only final load data will be provided.
  

• LOD 1.4.2 The provider that produces a manual or electronically generated load sheet, or provides the PIC with final load information, shall have a process as per 1.3.2, to include the following: i. Ensuring that the load sheet or final load information produced uses the confirmed final loading information from the aircraft side/gate supervisor. ii. Ensuring that, where a load sheet is produced, it does not exceed the operational limitations of the aircraft for which it is intended. iii. Shows the identification of the person responsible for the accuracy of the data on the load sheet or final load information. iv. Load sheet shall be delivered and handed over to PIC. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.1 Introduction
  IGOM 5.4 Load Control Tasks
  External References
  AHM 518 ACARS Transmitted Load Sheet
  Additional Guidance
  The load sheet format will be specified by the customer airline and may be tailored to meet specific needs (e.g., ACARS).
  Some customer airlines may require their own crew to produce a final load sheet, in which case the provider will only provide final loading information to the crew. However, this should be treated with the same seriousness as the provision of a load sheet as the information will be used to produce a document used for flight. Where the ground service provider or load sheet provider is not in possession of all the required information to a produce a load sheet, or the load sheet cannot be transmitted or passed to the crew, then suitable alternate arrangements must be made (e.g., crew to produce load sheet) or the flight cannot be allowed to depart.
  Where the load sheet is produced by the PIC, the provider’s responsibility ends at the provision of the final loading information.
  

• LOD 1.4.3 Where a load sheet is amended at the aircraft with a LMC, the provider shall have a process in accordance with LOD 1.3.1 to ensure that the person responsible for the final load sheet checks that the aircraft is still within the customer airline’s limits. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.2 Load Control Principles
  IGOM 5.4 Load Control Task
  External References
  AHM 551 Last Minute Changes on Load Sheet.
  

1.5 Post-Departure Messaging and Reports

• LOD 1.5.1 The provider shall have procedures for production and transmission of post-departure messages in a standard format that includes the following: i. Aircraft Load Message (LDM) ii. Container/Pallet Distribution Message (CPM) iii. ULD Control Message (UCM) iv. Aircraft Movement Message (MVT), if applicable v. Aircraft Diversion Message (DIV), if applicable (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.4.4 Post-departure Messages Task
  External References
  AHM 422 Control of Transferred Unit Load Devices
  AHM 423 Unit Load Device Stock Check Message
  AHM 424 Unit Load Device Control Message
  AHM 583 Load Message
  AHM 587 Container/Pallets Distribution Message
  AHM 780 Aircraft Movement Message
  AHM 781 Aircraft Diversion Message
  Additional Guidance
  Messaging may be done in a different location and by a different provider than the provider responsible for load control.
  DCS systems may also be configured to automatically produce messages, in which case the provider will not be involved in the process beyond ensuring the flight condition in the DCS system permits the messages to be sent and the data is accurate at the time of transmission.
  Coding used for messages must meet the requirements of the customer airline.
  A LDM would normally be produced for departing flights with a transit stop to provide the transit station with advance information about the part of a load that will continue beyond that station on the same aircraft. However, customer airline(s) might also require production of a LDM for flights without transit stops.
  A LDM would not be required for a departing point-to-point flight or the last segment of a multi-segment flight, except for a wide-body all-cargo aircraft flight.
  A Movement Message and Diversion Message are applicable as per requirements of customer airline(s).
  

• LOD 1.5.2 The provider shall have a process to ensure that the dangerous goods and other special cargo information provided to the PIC, in accordance with the requirement of the customer airline(s) is: i. Readily accessible to the airport of last departure, if applicable. ii. Transmitted to the next scheduled port of arrival, before the flight has arrived at the destination airport. iii. Communicated to the customer airline(s) flight dispatch/operations control center. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.4.1.4 Notification to the Captain
  External References
  AHM 424 ULD Control Message
  AHM 381 Special Load Notification to Captain
  AHM 590 Load Control Procedures and Loading supervision responsibilities.
  Additional Guidance
  On multi-sector flights, each station issuing a NOTOC shall prepare a separate form for each station enRoute.
  

2. Special Procedures

2.1 DCS System Set-up and Data Management

• LOD 2.1.1 The provider that uses, for the weight and balance calculation process, an automated Departure Control System (DCS), other than the customer airline(s) DCS, shall have a process to ensure that the DCS set-up is approved by the customer airline(s). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• IGOM 5.3 Regulatory Requirements
  IRM References
  Departure Control System (DCS)
  External References
  AHM 561 Departure Control System Carrier’s Approval Procedures
  AHM 565 EDP Semi-Permanent Data Exchange for New Generation Departure Control System
  AHM 562 Semi-Permanent Data Exchange Message (DEM)
  Additional Guidance
  This function may be carried out in a centralized or headquarters location. A process shall be made available for station auditors to examine. The data exchange process between carrier or handling agent and DCS system supplier shall include input of the data by DCS supplier, verification of the data set-up and approval for operational use.
  

• LOD 2.1.2 The provider that uses, for the weight and balance calculation process, an automated Departure Control System (DCS), other than the customer airlines’ own DCS, shall have a process to coordinate and exchange information with customer airline(s) to ensure their DCS data is current and maintained. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.3 Regulatory Requirements.
  External References
  AHM 565 EDP Semi-Permanent Data Exchange for New Generation Departure Control System
  Additional Guidance
  All updated semi-permanent data in the DCS pertaining to customer airline(s) aircraft/fleet shall be managed and maintained up-to-date (e.g., aircraft basic weight and index, pantry data, fuel data).
  

2.2 Manual Calculation of Weight and Balance

• LOD 2.2.1 The provider shall have procedures to ensure the manual weight and balance calculation is produced in conformity with customer airline(s) regulations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.7 Documentation
  IGOM 5.4.3 Weight and Balance Calculation Task
  External References
  AHM 515 Manual Loading Instruction/Report
  AHM 519 Balance Calculation Methods
  AHM 590 Loading Control Procedures and Loading Supervision Responsibilities
  Additional Guidance
  The manual exercises shall be verified by the responsible manager.
  

• LOD 2.2.2 The provider shall have procedures to ensure that only valid manual load documentation provided or approved by the customer airline(s) is used. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.7 Documentation
  External References
  AHM 515 Manual Loading Instruction/Report
  AHM 590 Loading Control Procedures and Loading Supervision Responsibilities
  Additional Guidance
  Examples of manual loading documentation are load plans (LIRs), offloading reports, and load sheets.
  

2.3 Notification to Captain (NOTOC)

• LOD 2.3.1 The provider shall have a process to provide the PIC, as soon as practicable prior to departure of the aircraft, with a notification that contains accurate and legible written or printed information concerning special loads. Such notification shall include dangerous goods carried as cargo onboard the aircraft (e.g., firearm(s), live animal(s), wheelchair(s) with lithium battery) as per requirements of customer airline(s). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.4.1.4 Notification to the Captain
  IRM References
  NOTOC (Notification to Captain)
  External References
  AHM 381 Special Load-Notification to the Captain
  DGR 9.5 Provision of Information
  Additional Guidance
  The requirements for the content of the notification may be found in DGR Section 9.5.1.1. Such notification is normally referred to as the NOTOC (notification to the captain) and includes information about all dangerous goods in cargo loaded on the aircraft.
  The NOTOC also contains information for use in emergency response to an accident or incident involving dangerous goods onboard.
  

2.4 Managing Discrepancies

• LOD 2.3.1 The provider shall have a process to provide the PIC, as soon as practicable prior to departure of the aircraft, with a notification that contains accurate and legible written or printed information concerning special loads. Such notification shall include dangerous goods carried as cargo onboard the aircraft (e.g., firearm(s), live animal(s), wheelchair(s) with lithium battery) as per requirements of customer airline(s). (GM)LOD 2.4.1 The provider shall have procedures to ensure, in the event of a potential discrepancies associated with the accuracy of weight and balance figures for a flight, that: i. Relevant or requested information is provided to the PIC without delay. ii. The discrepancy is reported to the person responsible for the load sheet and to the customer airline(s). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.4 Load Control Tasks
  External References
  AHM 520 Aircraft Equipped with a CG Targeting System
  Additional Guidance
  If the provider is unable to contact the PIC directly in a timely manner, it shall have additional procedures to ensure notification is provided prior to takeoff (e.g., via use of the air traffic control tower).
  

3. Documentation

3.1 Documentation Control

• LOD 3.1.1 The provider shall have a process to ensure the Policies and Procedures Manual (PPM) used in support of load control operations includes: i. Local SOPs as applicable ii. Customer airline(s) requirements (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Additional Guidance
  The document review and distribution to operational staff, either from the provider, the operator or any other source (e.g., airport, local authority), is a difficult task, specifically for those functions that do not have direct access to a company computer or are not able to read the documentation in their original language.
  The provider shall ensure that changes to the operational documentation, local SOPs and customer airline requests are communicated in a clear and understandable manner. Various methods may apply (i.e., logs of read and sign, peer-to-peer briefings).
  The auditor shall verify effective communication of changes and understanding from all operational staff.
  This GOSARP is interlinked with ORM 3.2.1 and ORM 3.2.3 and shall be reviewed in conjunction with those GOSARPs to allow the auditor to complete an accurate assessment.
  Note:
  During the combined audit the GSP may use alternative documentation to the local SOP.
  

• LOD 3.1.2 The provider shall ensure the required operational documentation is accessible in a usable format in all station locations where load control operations are conducted. Such required documentation includes: i. The current version of applicable operational manual(s) of all customer airline(s). ii. The current IATA Dangerous Goods Regulations (DGR) and addenda, if applicable, or equivalent documentation. iii. The current emergency response plan (ERP) of the local airport authority and of the customer airline(s), as applicable. iv. The current IATA Cargo Handling Manual (ICHM), Live Animal Regulations (LAR), Perishable Cargo Regulations (PCR), Temperature Control Regulations (TCR) and ULD Regulations (ULDR), as applicable. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• External References
  AHM 620 Guidelines for an Emergency Management System
  Additional Guidance
  A provider may be required to maintain only part of the manual for certain customer airlines. Based on customer airline requirements and the types of ground operations conducted at a specific location, only relevant parts of applicable manuals may be necessary.
  “Accessible in a usable format” is intended to mean that all applicable operational personnel can have free access to any type of document as per the provider’s own documentation system in conformity with the requirements per ORM 3.1.1Table 1.1 Documentation System.
  A current edition of the DGR includes any addenda that are applicable.
  Equivalent documentation would contain information derived from the DGR that is relevant only to the specific ground handling functions conducted at any particular location. Also, the ICAO Technical Instructions for the Transport of Dangerous Goods would be considered equivalent documentation.
  Specific manuals are required only at stations where applicable specific operations are conducted.
  

• LOD 3.1.3 The provider shall have a process to ensure load files and weight and balance records are: i. Filed for each flight in accordance with requirements of the customer airline; ii. Retained for a period in accordance with applicable regulations and the requirements of the customer airline(s), but no less than a period of three months. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.7 Documentation
  External References
  AHM 514 EDP Loading Instruction/Report
  Additional Guidance
  Examples of loading records are: load plans (LIRs), offloading reports, balance charts, and load sheets.
  

4. Training

• LOD 4.1.1 The provider shall have a training program as specified in ORM 4.1.2 that ensures all personnel with duties and/or responsibilities within load control operations complete job-specific training for their assigned operational function(s) as per LOD Table 1–Load Control Functional Training. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• IRM References
  Load Control
  Loading Instruction/Report (LIR)
  NOTOC (Notification to Captain)
  Operational Flight Plan (OFP)
  Unit Load Device (ULD)
  External References
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  AHM 591 Weight and Balance Load Control and Loading Supervision Training and Qualifications
  AHM 1100 Ground Operations Training Program
  DGR 1.5 Training Requirements
  Additional Guidance
  Linked to ORM 4.1.2
  

• LOD 4.1.2 The provider shall have a training program, as specified in ORM 4.1.2, that ensures all personnel with duties and/or responsibilities within load control operations complete Dangerous Goods training as per LOD Table 2–Dangerous Goods Training. The recurrent training shall be completed within a 24-month period since the previous Dangerous Goods training. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed process as per GOSARP requirements. Interviewed the manager responsible for the documentation.

  • Identified/Assessed process as per GOSARP requirements.
  • Interviewed the manager responsible for the documentation.

• External References
  AHM 1110 Ground Operations Training Program.
  DGR 1.5 DG Training Requirements
  DGR Appendix H–Training Provisions Under the Competency-Based Training Approach
  Additional Guidance
  Linked to ORM 4.1.2
  

• 

• 

Section 3 — Passenger and Baggage Handling (PAB)

1. Operational Procedures

1.1 Check-in

• PAB 1.1.1 The provider shall have procedures to ensure a boarding pass is issued to each seated passenger during the check-in process. The boarding pass shall contain the name of the passenger as recorded in an official identity document or card and matching the name contained in the flight reservation. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.1.3 Passenger Check-In
  △ IGOM 1.1.4 Passenger Acceptance
  △ IGOM 1.1.5 Travel Documents and Verification
  △ IGOM 1.1.7.5 Boarding in case of DCS Breakdown
  Additional Guidance
  Procedures should also include advanced passenger information (API), seating requirements for exit row, personnel other than paying passengers who also require a seat (e.g., non-revenue, supernumeraries and any other nonoperating crew member), as per customer airline(s) requirements. Procedures should include instructions on name changes or corrections to ensure accuracy.
  

• PAB 1.1.2 The provider shall have procedures to ensure that, when accepting items to be loaded as checked baggage during check-in or at the gate, the: i. Dangerous goods notification is displayed. ii. Baggage is tagged to the appropriate destination. iii. Old baggage tags and/or labels are removed or obliterated, as applicable. iv. Applicable handling labels/tags are added. v. Baggage not suitable for safe and secure carriage is refused. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.1.1 Pre-Departure Activities
  △ IGOM 1.1.6 Baggage Acceptance
  ⨂
  ⨂
  Additional Guidance
  Bag identification tags are typically made available at the point of passenger check-in.
  Removal of old checked baggage tags or obliteration of old labels will eliminate confusion as to the destination of the bag. Handling label/tags may include fragile, limited release, connection, priority, heavy, etc. The dangerous goods notifications are prominently displayed at the check-in area as well as at ticket offices, baggage drop-off areas, self-serve check-in areas, and transfer counters.
  

• PAB 1.1.3 The provider shall have procedures to ensure cabin baggage, including cabin seat baggage, is in compliance with size, weight and quantity limits, as specified in applicable regulations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 1.1.6.2 Cabin Baggage
  △ IGOM 1.1.6.12 Special Baggage
  □ IGOM 2.4.4 Handling Gate Delivery items
  ⨂
  Additional Guidance
  Size and weight limits will vary with each customer airline and/or local regulations, and some may require a carry-on baggage acceptance tag be applied.
  Oversized or overweight baggage is typically identified with sizing or weighing devices at each passenger check-in point, with a secondary verification at the boarding gate.
  

• PAB 1.1.4 The provider shall have a procedure to ensure the following items are loaded as checked baggage: i. Items removed from the passenger by security personnel that are conditionally acceptable for carriage in the aircraft hold. ii. Heavy and overweight baggage/items. iii. Non-normal load items. iv. Other items removed from a passenger prior to boarding the aircraft. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• △ IGOM 1.1.6 Baggage Acceptance
  ⨂
  ⨂
  ⨂
  ⨂
  △ IGOM 2.7 Special Baggage
  ⨂
  External References
  AHM 140 Item Removed from a Passenger’s Possession by Security Personnel
  AHM 141 Hold Loading of Duty Free Goods
  Additional Guidance
  Any item removed from a passenger by security should only be loaded on the aircraft if it does not pose an unacceptable flight safety risk.
  Bulky or heavy items (i.e., bags or packages that are too large or too heavy to be stowed in the overhead cabin bin or under the passenger seat) are typically taken from a passenger and loaded into the aircraft hold. Smaller items carried as cabin baggage (e.g., liquor, tobacco or perfume in small amounts) would be addressed in the load control process as part of the normal passenger weight.
  Heavy or overweight baggage would have to be defined in accordance with requirements of the customer airline(s). Typically, baggage weighing more than 23 kg might be considered heavy, while baggage weighing more than 32 kg is considered as exceeding the maximum weight limit (i.e., overweight). However, weight restrictions may vary with each customer airline.
  If applicable, staff approved by the operator are responsible for securing, loading and lashing of bulky items in the cabin.
  Non-normal items can be musical instruments, medical equipment, live animals in hold (AVIH), service animals, etc.
  

• PAB 1.1.5 The provider shall have a procedure to remove the baggage loaded on the aircraft of a checked in passenger that does not board. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  ⨂
  ⨂
  □ IGOM 2.4.3 Execution of Departing Baggage
  Additional Guidance
  Refer also to HDL 2.3.2 for hold baggage reconciliation.
  

• PAB 1.1.6 The provider shall have procedures to ensure that when the passenger comes to check-in, after visiting a Self-Service Check-in, with all relevant travel documents: i. A remote-issued boarding pass and baggage tag presented from the passenger at check-in are valid and match the name on the identity document presented. ii. Activate the baggage tag, if applicable. iii. A valid travel document to enter at the destination, including the transit stations, as applicable. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.1.3.4 Check-In Types
  IGOM 1.1.5 Travel Documents and Verification
  Additional Guidance
  Checking passport (e.g., swiping) and that visa is in passport, if applicable.
  

• PAB 1.1.7 The provider shall have procedures to ensure that baggage accepted at self-baggage drop machines: i. Belongs to the passenger travelling on the respective flight. ii. Had confirmation from the passenger that no dangerous goods are in the baggage. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  ⨂
  □ IGOM 1.1.6.3 Checked Baggage
  IGOM 1.1.2 Check-In Counter Requirements
  Additional Guidance
  The dangerous goods notifications are prominently displayed at the check-in area as well as at ticket offices, baggage drop-off areas, self-serve check-in areas, and transfer counters.
  The baggage tag shall be correctly fixed.
  

• PAB 1.1.8 The provider shall have procedures for the handling of infants, children and unaccompanied minors. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.4.1 Unaccompanied Minors
  IGOM 1.4.2 Infants and Children
  Additional Guidance
  Acceptance requirements may vary by customer airline. Downline station notification is typically included.
  

• PAB 1.1.9 The provider shall have procedures for accepting and handling incapacitated passengers and passengers with reduced mobility (PRM). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 1.4.4 Handling of Passengers with Reduced Mobility (PRM)
  IGOM 1.4.5 Passenger Requiring Medical Clearance
  △ IGOM 1.4.6 Handling of PRMs not Requiring Medical Clearance
  ⨂
  □ IGOM 1.1.6.12 Special Baggage
  △ IGOM 1.4.7 Stretcher Transport
  △ IGOM 1.4.8 Oxygen for Medical Use
  External References
  AHM 176 Recommendation for the Handling of Passengers with Reduced Mobility (PRM)
  AHM 176A Acceptance and Carriage of Passengers with Reduced Mobility (PRM).
  Additional Guidance
  Procedures should include identification, methods to communicate, advanced notification requirements, seating needs and restrictions, notifications to crew and downline stations, and correct SSR coding.
  

• PAB 1.1.10 The provider shall have procedures for accepting and handling nonstandard passenger groups. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.4.3 Groups
  External References:
  AHM 531 Procedure for Establishing Standard Weights for Passengers and Baggage
  AHM 534 Weight Control of Load
  Additional Guidance
  Procedures typically address how the weight of passengers and baggage is obtained and recorded, and the types and methods of communication necessary to ensure effective coordination between passenger/baggage handling personnel and the load control office for the transfer of information.
  

1.2 Load Control Communication

• PAB 1.2.1 The provider shall have a process for the transfer of information and data to Load Control on the individual or cumulative weight of: i. All checked in passengers, including supernumeraries and their baggage. ii. All loaded items that exceed normal allowances. iii. Checked items removed from passengers prior to boarding. iv. Non-normal cabin load items. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.1.3 Passenger Check-in
  □ IGOM 1.1.4 Passenger Acceptance
  △ IGOM 1.1.6.2 Cabin Baggage
  △ IGOM 1.1.6.3 Checked Baggage
  IGOM 1.4.3.3 Non-Standard Group
  ⨂
  IGOM 5.4 Load Control Tasks
  External References
  AHM 531 Procedure for Establishing Standard Weights for Passengers and Baggage
  AHM 533 Passengers Occupying Crew Seats
  AHM 534 Weight Control of Load
  Additional Guidance
  Procedures typically address how all items are identified and how their weight is obtained and recorded, and the types and methods of communication necessary to ensure effective coordination between passenger/baggage handling personnel and the load control office for the transfer of information. Non-normal items can be musical instruments, medical equipment, pets carried in the cargo compartment (AVIH), service animals, etc.
  

2. Special Procedures

2.1 Special Category Passengers

• PAB 2.1.1 The provider shall have procedures to address: i. Prior to flight departure, passengers that display the symptoms of a communicable disease. ii. Local or regional elevated threat levels of an outbreak of a communicable disease. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.2.2 Passenger Suitability for Travel
  IGOM 1.4.5 Passengers Requiring Medical Clearance
  External References
  AHM 181 General Guidelines for Passenger Agents in Case of Suspected Communicable Disease
  Additional Guidance
  In many circumstances, it may not be obvious that a passenger might have a communicable disease. However, procedures are typically in place to permit passenger handling personnel to address situations when one or more passengers do exhibit symptoms of a particular disease, especially when a known outbreak is in progress.
  Additional signage and questioning may be required.
  

• PAB 2.1.2 The provider shall have procedures for the notification of the pilot-in-command (PIC), prior to flight departure, of passengers required to travel because they have been the subject of judicial or administrative proceedings. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.4.9 Inadmissible Passengers and Deportees
  Additional Guidance
  This is an ICAO requirement found in Annex 17 and it refers to the transportation of potentially disruptive passengers, which are inadmissible, deportees and/or persons in lawful custody.
  

• PAB 2.1.3 The provider shall have procedures for the handling of passengers displaying unruly behaviors or symptoms thereof, especially as a result of drug or alcohol intoxication, to ensure such passengers: i. Are denied boarding, should this pose a risk to the safety or security of a flight. ii. Are reported to the customer airline and respective security authorities, if needed. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 1.4.10 Unruly Passengers
  External References
  AHM 621 Security Management
  Additional Guidance
  Potentially disruptive and intoxicated passengers could pose a safety hazard to other passengers, crewmembers or the overall safety of a flight. Such passengers typically include:
  • Persons that display indications of being intoxicated or demonstrate abnormally abusive or aggressive behavior (physical or verbal).
  • Persons required to travel because they have been the subject of judicial or administrative proceedings (e.g., deportees, illegal immigrants), as well as inadmissible passengers.
  Such procedures would not apply to medical patients under proper care.
  

2.2 Carriage of Weapons

• PAB 2.2.1 The provider shall have a process to handle law enforcement officers or other persons authorized to carry weapons onboard in the performance of their duties, including: i. The check-in, handling and boarding of such passengers carrying weapons. ii. The notification to the PIC of the seat number(s) of these persons, if permitted by applicable laws and requirements. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 1.1.6.13 Carriage of Firearms
  

• PAB 2.2.2 The provider, in accordance with applicable laws and requirements, shall have procedures to permit a law enforcement officer with a weapon, but who will not be in possession of the weapon onboard, to: i. Have the weapon verified as unloaded by an authorized and duly qualified person. ii. Have the weapon stowed in a place that is inaccessible to any unauthorized person during flight. iii. Notify the PIC of the transportation of the weapon. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.1.6.13 Carriage of Firearms
  Additional Guidance
  Ammunition is typically treated as a weapon in these cases only.
  

• PAB 2.2.3 The provider shall have procedures in accordance with applicable regulations for the acceptance and handling of weapons carried by passengers, including: i. An authorized and duly qualified person has determined that any weapon to be checked in is not loaded. ii. Any ammunition is carried as per dangerous goods regulations. iii. Weapons are packaged and labelled as required. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.1.6.13 Carriage of Firearms
  Additional Guidance
  Acceptance and handling of passenger weapons generally includes the following:
  • Prior to acceptance, the passenger or other authorized and duly qualified person determines that the weapon is not loaded. A declaration may be used to confirm the status of the weapon. If needed, the weapon can be verified during the registration at the police office to confirm that is not loaded before to be packed in appropriate container.
  • The weapon is transported in a sturdy container to prevent damage. Ammunition is securely boxed and carried separately from the weapon.
  • Weapons and ammunition are stowed in an area that inhibits access by any unauthorized person during flight; such weapons could be in the flight deck or retained by a cockpit crewmember;
  • The PIC, transfer and transit stations are notified when weapons and ammunition are carried.
  • Where the weapon is stowed in a baggage compartment (or hold) that is accessible to persons during flight:
  o The compartment door(s) remain closed and monitored during the flight.
  o The weapon is packed separately from any ammunition.
  o The weapon is stowed in the compartment in a manner that obstructs (or impedes) access by other baggage.
  • Arrival security procedures may be required to return the weapon(s) and/or ammunition to the passenger.
  

• PAB 2.2.4 The provider shall have procedures for the handling and reporting of undeclared weapons discovered in checked baggage.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.1.6.13 Carriage of Firearms
  

2.3 Weight Measurement

• PAB 2.3.1 The provider shall have a procedure to ensure that the accuracy of the equipment used to determine the weight of the checked in baggage is within the required specification. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.1.2 Check-In Counter Requirements
  Additional Guidance
  The accuracy of baggage weight is a safety factor and is monitored by many states.
  The checking and calibration service may be provided by the scale manufacturer, customer airline(s), airport authority or other third party, but the provider shall be able to provide evidence that it is done correctly within the applicable intervals.
  

2.4 Dangerous Goods

• PAB 2.4.1 The provider shall have procedures to: i. Detect and identify dangerous goods that are not permitted to be carried on board the aircraft by passengers or in passenger baggage. ii. Ensure a report is made to the appropriate authority, including the state of occurrence and the customer airline(s) when such undeclared dangerous goods are discovered. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.1.2 Check-In Counter Requirements
  △ IGOM 1.1.6.12 Special Baggage
  △ IGOM 1.1.6.2 Procedures at Check-In
  ⨂
  IGOM 1.1.6.4 Dangerous Goods in Baggage
  External References
  ⨂
  DGR 2.3 Dangerous Goods Carried by Passengers or Crew
  DGR 9.5 Provision of Information
  DGR 9.6 Reporting
  

• PAB 2.4.2 The provider shall have procedures for the acceptance and handling of battery-operated mobility aids for transport as checked baggage or in the cabin, as required, to ensure such devices are: i. Subjected to applicable dangerous goods handling and loading requirements. ii. Accounted for in the load control process. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.1.6.12 Special Baggage
  □ IGOM 2.7.3 Special Baggage Handling
  External References
  AHM 345 Handling of Battery Operated Wheelchairs/Mobility Aids as Checked Baggage
  Additional Guidance
  Wheelchairs and electric scooters are considered to be mobility aids. Certain batteries used in such devices could pose a hazard to flight safety and/or cause damage to the aircraft. Procedures must include customer airline variations for battery types, and the notification and communication process for the lithium batteries for collapsible aids that must be transported in the cabin. Some customer airlines may require the use of a NOTOC for PIC notification.
  

2.5 Security

• PAB 2.5.1 The provider shall have a process to ensure originating hold baggage, prior to release for loading into the aircraft, has been: i. Individually identified using a baggage tag and/or label as accompanied or unaccompanied baggage. ii. Subjected to appropriate security controls, including screening. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  ⨂
  □ IGOM 1.1.6.2 Cabin Baggage
  □ IGOM 1.1.6.3 Checked Baggage
  △ IGOM 1.1.6.9 Baggage Tagging
  IGOM 1.5.6 Mishandled or Unclaimed Baggage
  ⨂
  ⨂
  Additional Guidance
  The intent of this provision is for a provider to implement procedures to verify and confirm, before a flight departs, that only the baggage of boarded passengers has been loaded.
  The procedures must require baggage to be screened prior to loading, and show how this will be achieved. Some airports may mark or label baggage that has been screened, The method of recording baggage should be described.
  

• PAB 2.5.2 The provider shall have a procedure to keep a record of the identification, validation and security controls applied to each checked baggage and make the record available to the customer airline upon request. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  ⨂
  □ IGOM 1.1.6.3 Checked Baggage
  □ IGOM 2.4.3 Execution of Departing Baggage
  □ IGOM 2.10.2 Baggage Reconciliation Systems
  ⨂
  External References
  AHM 621 Security Management
  Additional Guidance
  Provision of records in accordance with this provision would only be required if specified by a customer airline or regulatory authority.
  

• PAB 2.5.3 The provider shall have procedures to ensure baggage is protected from unauthorized interference from the point at which it is accepted or screened, whichever is earlier, until either: i. The departure of the aircraft on which the baggage has been loaded. ii. The point at which the baggage is transferred to, and accepted by, another entity for further handling. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  ⨂
  □ IGOM 2.4.3 Execution of Departing Baggage
  Additional Guidance
  Procedures would address the security of all secure baggage that is transported to the aircraft, to another provider, or over any part of the airport.
  Where possible, baggage would be loaded into containers at the makeup area and then transported to the aircraft for immediate loading. When this cannot be achieved, the baggage would be retained in the makeup area and not moved to planeside any earlier than necessary.
  In areas where baggage is handled, measures to prevent unauthorized interference typically include, among others:
  • Supervision
  • Controlled access
  • Adequate illumination
  • Video monitoring
  • Challenging anyone in the area without a visible badge or need to be there
  Adequate lighting in baggage handling areas would be at a brightness level that would permit effective visual or video surveillance.
  

• PAB 2.5.4 The provider shall have procedures in accordance with applicable regulations and requirements of the customer airline(s), airport and national authorities to report a security event and for the safe handling of passengers and their cabin baggage in the event of: i. A bomb threat condition ii. An increased security threat condition (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.2.3 Security of Passengers and their Baggage
  External References
  AHM 621 Security Management
  Additional Guidance
  Frontline personnel are in the best position to note abnormalities that could indicate real or potential security threats, or any other security concerns, so they should report any such condition to the attention of the head of security and other relevant managers.
  

• PAB 2.5.5 The provider shall have procedures to ensure the security and safe disposal of boarding passes, transit cards, baggage tags and passenger information.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 1.2.1 Security of Documents
  

3. Documentation

3.1 General

• PAB 3.1.1 The provider shall have a process to ensure the Policies and Procedures Manual (PPM), as specified in ORM 3.2.1 and ORM 3.2.3, used in support of passenger and baggage operations includes: i. Local SOPs as applicable ii. Customer airline(s) requirements (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Additional Guidance
  Various methods may be used (e.g., logs of read and sign, peer-to-peer briefings) to ensure staff are notified of documentation change.
  This GOSARP is interlinked with ORM 3.2.1 and ORM 3.2.3 and shall be reviewed in conjunction with those GOSARPs to allow the auditor to complete an accurate assessment.
  Note:
  During the combined audit the GSP may use alternative documentation to the local SOP.
  

• PAB 3.1.2 The provider shall have a process to ensure the required operational documentation is accessible in a usable format in all station locations. Such required documentation includes: i. The current version of all applicable customer airline(s) operational manuals. ii. The current IATA Dangerous Goods Regulations (DGR) and addenda, if applicable, or equivalent documentation. iii. The current emergency response plan (ERP) of the local airport authority and of the customer airline(s), as applicable. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• External References
  AHM 620 Guidelines for an Emergency management System
  Additional Guidance
  A provider may be required to maintain only part of the manual for certain customer airlines.
  External References
  AHM 620 Guidelines for an Emergency management System
  Additional Guidance
  A provider may be required to maintain only part of the manual for certain customer airlines.
  Based on customer airline requirements and the types of ground operations conducted at a specific location, only relevant parts of applicable manuals may be necessary.
  “Accessible in a usable format” is intended to mean all applicable operational personnel can have free access to any type of document as per the provider’s own documentation system in conformity to the requirements per ORM Table 1.1.
  Availability of only the provider’s manual may be sufficient when such manual is accepted by the customer airline(s) or when a customer airline does not provide a manual.
   
  

4. Training

4.1 Passenger and Baggage Operations Training Program

• PAB 4.1.1 The provider shall have a training program, as specified in ORM 4.1.2, that ensures all personnel with duties and/or responsibilities within passenger and baggage operations required to operate vehicles and/or self-powered equipment in airside areas are in the possession of a valid driving license and complete airside driver training as per PAB Table 1–Airside Driver Training. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• External References
  AHM 610 Guidelines for a Safety Management System
  AHM 1110 Ground Operations Training Program
  Additional Guidance
  Linked to ORM 4.1.2
  

• PAB 4.1.2 The provider shall have a training program, as specified in ORM 4.1.2, that ensures all personnel with duties and/or responsibilities within passenger and baggage operations complete job-specific training for their assigned operational function(s) as per PAB Table 2- Passenger and Baggage Functional Training. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• External References
  AHM 1110 Ground Operations Training Program
  Additional Guidance
  Linked to ORM 4.1.2
  

• PAB 4.1.3 The provider shall have a training program, as specified in ORM 4.1.2, that ensures all personnel with duties and/or responsibilities within passenger and baggage operations complete dangerous goods training as per PAB Table 3–Dangerous Goods Training. The recurrent training shall be completed within a 24-month period since the previous dangerous goods training. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• External References
  AHM 1110 Ground Operations Training Program
  DGR 1.5 DG Training
  DGR Appendix H–Training Provisions Under the Competency-Based Training Approach.
  Additional Guidance
  Linked to ORM 4.1.2
  

• PAB 4.1.4 The provider shall have a training program, as specified in ORM 4.1.2, that ensures all personnel with duties and or responsibilities that require the operation of GSE for their assigned operational function(s) complete the GSE specific training as per PAB Table 1–Airside Driver Training. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Additional Guidance
  Linked to ORM 4.1.2
  

• 

• 

• 

Section 5 — Aircraft Handling and Loading (HDL)

1. Operational Procedures

1.1 Aircraft Access

• HDL 1.1.1 The provider shall have a process that ensures the operation of aircraft access doors, applicable to each type of aircraft, is in accordance with the requirements of the customer airline(s) served at the station. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.4 Aircraft Doors
  IRM References
  Aircraft Access Door
  Additional Guidance
  Aircraft access doors are:
  • Cabin access doors (passenger cabin doors)
  • Cargo compartment doors
  • Bulk cargo compartment doors
  • Upper and lower deck cargo compartment doors
  The operation of access doors is different for the various aircraft manufacturers and types.
  Customer airline(s) might have certain elements of cabin access door operation in their Operations Manual (OM) that adds to, or differs from, from the IGOM or the provider.
  The provider must obtain, review and implement the specific requirements for each of their customer airlines at the station.
  Access door procedures should include:
  • Inspection of access doors prior to operation
  • Operation of handles, panels
  • Safety requirements
  • Door sill locks/latches
  

• HDL 1.1.2 The provider shall have procedures to ensure all GSE is positioned by the cabin access door in a manner that: i. Minimizes gaps in the walking surfaces between the aircraft and equipment. ii. If equipped with side railings, they are extended to the fuselage once positioned. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.5 Passengers Boarding Bridge
  IGOM 3.1.3.6 Passengers Stairs (RSR)
  IGOM 4.4 Aircraft Doors
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  Additional Guidance
  Apply to all equipment positioned by an aircraft cabin access door (e.g., include PRM lift vehicles, catering trucks).
  With certain types of platforms or stairs, a perfect match will not be possible; however, gaps would typically be minimized to a safe level.
  Side railing deployment that interfaces with the cabin door is typically applicable only to specific GSE such as passenger stairs, catering trucks, or other elevating equipment.
  

• HDL 1.1.3 The provider shall have procedures for opening aircraft cabin access doors, applicable to each type of door operated, to ensure: i. Cabin doors are operated in accordance with the procedures of the customer airline(s) served at the station. ii. When a cabin door is opened from inside the aircraft by airline crew, ground personnel must communicate via nonverbal signals to confirm that the GSE is in position and that it is clear to open the door. iii. Ground personnel must retreat to a safe position before the cabin access door is opened. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.4.2.2 Opening of Cabin Access Doors from Inside by Trained Crew
  IGOM 4.4.2.3 Opening of Cabin Access Doors from Inside by Authorized and Trained Ground Staff
  □ IGOM 4.4.2.4 Opening Cabin Access Doors from Outside with Crew/Ground Staff on Board
  IGOM 4.4.2.5 Opening of Cabin Access Doors from Outside with no Crew/Ground Staff on Board
  IGOM 4.4.2 Cabin Access Doors (RSR)
  IRM References
  Integral Airstairs
  Additional Guidance
  Cabin access doors shall only be in the open position if there is an appropriate boarding device positioned at the door. Cabin access doors may not be opened without appropriate equipment positioned at the door.
  

• HDL 1.1.4 The provider shall have procedures for closing an aircraft cabin access door, applicable to each type of door operated, to ensure ground handling personnel: i. Operate cabin doors in accordance with the procedures of the customer airline(s) served at the station. ii. Conduct an exterior inspection for obstructions that could hinder cabin door closure before attempting to close door. iii. Assist the cabin crewmember, as necessary, in initiating the cabin door closing movement. iv. Inspect the cabin door after closure to confirm the aircraft door handle is flush with the fuselage. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.4 Aircraft Doors
  IGOM 4.4.2 Cabin Access Doors (RSR)
  IGOM 4.4.2.7 Closing Cabin Access Doors
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  Additional Guidance
  Ground handling personnel to provide a timely communication of the existence of any obstructions to personnel onboard the aircraft to prevent damage to the door.
  With the door closed, the external opening handle shall be aligned with the fuselage surface.
  Assisting to initiate the door closing movement could prevent possible injuries to the cabin crewmember.
  

• HDL 1.1.5 The provider shall have procedures for reopening an aircraft cabin access door after it has been closed. The procedures shall be applicable to each type of cabin door operated at the station and they must ensure ground handling personnel do not commence to reopen a door unless specifically authorized by the flight crew of the aircraft. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.4 Aircraft Doors
  IGOM 4.4.2 Cabin Access Doors (RSR)
  IGOM 4.4.2.8 Re-Opening Cabin Access Doors
  IRM References
  Pilot-in-Command (PIC)
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  Additional Guidance
  In the event the ground handling personnel require a door to be reopened, appropriate communication with the flight crew would be necessary to gain authorization.
  

• HDL 1.1.6 The provider shall have procedures to ensure, in accordance with requirements of the customer airline(s), that prior to the operation of any cabin access door, an appropriate boarding device, including the passenger boarding bridge: i. Is positioned at a cabin access door prior to door opening. ii. Remains positioned at a cabin access door at all times when such door is open unless an appropriate fall prevention device is placed across the open door. iii. Is removed from a cabin access door immediately after such door is closed by an authorized person. (GM) Note: This GOSARP does not apply if the cabin access door has integral air stairs and they are deployed.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.4 Aircraft Doors
  IGOM 4.4.2 Cabin Access Doors (RSR)
  IGOM 4.4.2.8 Re-Opening Cabin Access Doors
  IRM References
  Pilot-in-Command (PIC)
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  Additional Guidance
  In the event the ground handling personnel require a door to be reopened, appropriate communication with the flight crew would be necessary to gain authorization.
  Some aircraft types with certain galley configurations require the cabin door to be opened to provide sufficient space to allow for the servicing of trash bins. However, the cabin door is not fully swung open. Once the trash bin servicing is completed, the cabin door should be immediately closed and secured.
  If an aircraft cabin access door is fitted with integral air stairs, and such air stairs are deployed and in use, this GOSARP is not applicable. However, if a cabin access door is equipped with retractable integral air stairs (e.g., B737), and such air stairs remain retracted when the door is open, this GOSARP is applicable.
  An appropriate fall prevention device consists of equipment or material, or a combination of both, that is designed to arrest, or prevent, the fall of a person from an open door. Examples include an industrial safety net, catch platform or safety harness system (other than a travel restraint system). The door strap installed on most aircraft cabin doors is not considered an appropriate fall prevention device.
  For all-cargo aircraft, where the GSE must be removed to allow the aircraft access door to be opened or closed, procedures are to be in place to permit door operation in a manner that ensures the safety of personnel involved.
  

• HDL 1.1.7 The provider shall have procedures for opening and closing the aircraft cargo hold doors, applicable to each type of door operated, to ensure: i. Access doors are operated in accordance with the procedures of the customer airline(s) served at the station. ii. For door clearance, adequate space shall be allowed with the GSE to avoid interference during door movement. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.4.3 Cargo Hold Doors (RSR)
  IGOM 4.4.3.1 Opening Cargo Hold Doors
  IGOM 4.4.3.2 Closing Cargo Hold Doors
  IRM References
  Ground Support Equipment (GSE)
  Integral Airstairs
  Additional Guidance
  Cargo hold doors shall be operated by trained and authorized personnel only. Manual operation of electrical or hydraulically operated doors is usually accomplished by maintenance personnel or flight crew.

1.2 Ground Support Equipment (GSE)

• HDL 1.2.1 The provider shall have a maintenance program to ensure that GSE: i. Is maintained in serviceable and good condition prior to being used in ground operations. ii. When found to be defective, is reported and evaluated for removal from service. iii. Is tagged as “Out of Service” and removed from operations, when applicable. iv. Maintenance is documented in records and such records are retained for a period specified by the applicable regulations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• IRM References
  Ground Support Equipment (GSE)
  External References
  AHM 910 Basic Requirements for Aircraft Ground Support Equipment
  AHM 917 Basic preventive Maintenance Program/Schedule
  Additional Guidance
  Maintenance programs would typically be designed to be in accordance with one of the following:
  • Equipment manufacturer’s recommendations.
  • Adequate provider GSE fleet management policies.
  • AHM Chapter 9.
  • Any combination of the above, depending on the GSE fleet specifics, such as, but not limited to: age of the equipment, availability of maintenance documentation, frequency of use, whether the equipment is under warranty or not, maintenance experience/track-record, etc.
  Note:
  If the GSE maintenance is outsourced, the GSE GOSARPs are still applicable and shall be assessed.
  

• HDL 1.2.2 The provider shall have procedures that ensure GSE is subjected to a walkaround and safety check to verify the equipment is serviceable, prior to being used in operations, and the GSE is used in accordance with the specific safety requirements. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  □ IGOM 3.1.3.1 General Safety Instructions
  IGOM 3.1.3.2 Basic Operating Requirements for GSE (RSR)
  IGOM 4.5.3 Safety Requirements Specific to Aircraft Turnaround Handling
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  Additional Guidance
  If any system, control level or protective devices are identified as substandard or unserviceable during the pre-inspection, the GSE shall NOT be used for ground servicing of an aircraft.
  The provider’s GSE program must outline reporting and tagging procedures of unserviceable GSE, and the reporting to GSE maintenance for repair.
  The procedures must ensure there is no possibility for someone else to use the equipment.
  The GSE must be used in compliance with the operational safety precautions to avoid personnel injuries or damage to the equipment and aircraft.
  

• HDL 1.2.3 The provider shall have procedures that ensure GSE is parked: i. Only in designated airside equipment parking areas when not in use. ii. In a manner that does not obstruct access to firefighting equipment. iii. In a manner that does not obstruct access to the fuel hydrant emergency stop switch. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 3.1.3.2 Basic Operating Requirements for GSE (RSR)
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  

• HDL 1.2.4 The provider shall have a procedure that prohibits GSE from being moved or driven across the path of: i. Taxiing aircraft ii. Embarking or disembarking passengers on the ramp (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.1 General Safety Instructions (RSR)
  External References
  AHM 462 Safe Operating practices in Aircraft Handling
  

• HDL 1.2.5 The provider shall have a procedure that prohibits GSE from being driven with elevating equipment in the raised position, except during final positioning of the equipment to the aircraft. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 3.1.3.2 Basic Operating Requirements for GSE (RSR)
  IGOM 3.1.3.9 Elevating Equipment
  Additional Guidance
  Some GSE can be driven with some of the lifting surfaces in the raised position; when this occurs, the driver’s visibility is affected, which causes a dangerous situation.
  The operation of a hydraulic system while driving (such as raising a belt) may impact other hydraulically operated controls (such as the brakes).
  

• HDL 1.2.6 The provider shall have procedures that require all loaded dollies or transporters to secure the load from movement by using locks, stops, rails, or straps at all times, except when the load is being transferred onto, or off of, the dollies/transporters. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.5.3.2 ULD Loading
  External References
  AHM 427 Aircraft Handling and Loading
  Additional Guidance
  Cargo and baggage may be loaded inside ULDs or bulk loaded. ULDs are transported on dollies. Bulk load is carried in baggage carts.
  All locks and latches on dollies must be raised prior to movement.
  Baggage carts usually have doors or curtains; these must be closed and secured prior to movement.
  The provider must ensure all nets, ropes, straps, protective materials, etc. are not able to drag on the ground, or get jammed in rollers, ball mats or wheels.
  

• HDL 1.2.7 The provider shall have procedures to ensure the movement of GSE operated in close proximity to aircraft, when the vision of the GSE operator is or might be restricted, is directed by one or more guide persons and: i. Hand signals are utilized by the guide person(s). ii. The guide person(s) is (are) positioned so that clearance from the aircraft, other equipment, vehicles or facilities can be accurately judged, and signals can be visually communicated to the GSE operator. iii. If visual contact with the guide person(s) is lost, the GSE operator stops movement of the GSE immediately. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.4 Ground Support Equipment Safety Driving and Parking Inside ERA (RSR)
  IGOM 3.4.2 Condition for Using Hand Signals (RSR)
  External References
  ⨂
  AHM 462 Safe Operating Practices in Aircraft Handling
  

• HDL 1.2.8 The provider shall have procedures to ensure the operator of motorized GSE: i. Drives no faster than walking pace. ii. Parks inside the equipment restraint area (ERA). iii. Makes one complete safety stop prior to entering the ERA, or at five meters from the aircraft. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.4 Ground Support Equipment Safety Driving and Parking Inside ERA (RSR)
  IRM References
  Equipment Restraint Area (ERA)
  External References
  AHM 615 Management Review
  Additional Guidance
  GSE movement around an aircraft:
  Drive tractors and carts within speed limits according to local airport regulations and take care to avoid sharp turns, jerks and sudden stops.
  Vehicles/GSE that are not directly involved in the handling or servicing of the aircraft shall not be driven through or parked within the ERA and do not drive or park under the aircraft fuselage and/or wing.

• HDL 1.2.9 The provider shall have procedures for non-motorized Air Start Unit (ASU), Pre-Conditioned Air (PCA) and Ground Power Unit (GPU) to: i. Avoid being connected to the tractor and aircraft at the same time. ii. When parked and/or not connected to motorized vehicles, all non-motorized GSE must have brakes set or chocks in place iii. Before towing the unit away, make sure that the unit is disconnected from the aircraft and cables and hoses are securely stowed prior to transportation. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.2 Basic Operations Requirement for GSE (RSR)
  IGOM 3.1.3.3 Non-Motorized Ground Service Equipment
  IGOM 3.1.3.4 Ground Support Equipment Safety Driving and Parking Inside ERA (RSR)
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  Additional Guidance
  As precaution, avoid connecting non-motorized GSE to the tractor and to the aircraft at the same time. The operator shall maneuver GSE carefully to prevent personnel injury and/or aircraft damage.
  

• HDL 1.2.10 The provider shall have procedures to ensure unattended vehicles or motorized GSE, when positioned at or near the aircraft, except as specified in HDL 1.2.11, have the parking brake applied with the gear selector in park or neutral, and wheel chocks installed, if equipped.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 3.1.3.2 Basic Operating Requirements for GSE (RSR)
  

• HDL 1.2.11 The provider shall have procedures to ensure the operator of self-powered GSE that is positioned at the aircraft, and is being used during operations: i. Remains in a position within easy reach of the emergency controls. ii. Remains in the operating position and in control of the equipment, if the equipment is not fitted with external emergency controls. iii. Does not leave GSE unattended with engine running, except in cold weather operations with the GSE chocked. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 3.1.3.2 Basic Operating Requirements for GSE (RSR)
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  

• HDL 1.2.12 The provider shall have procedures to ensure GSE, when positioned at the aircraft: i. Has the stabilizers deployed, if fitted with stabilizers. ii. Has auto-leveling engaged, if fitted with an auto-leveling system. iii. Has handrails deployed in the raised position or fall protection is utilized in accordance with local requirements. iv. Has GSE attachment fittings, belt loaders, transfer bridges or platforms correctly deployed when the equipment is in position at the aircraft access door. v. Is not positioned at the aircraft with the protective rubber bumpers against the fuselage, with the exception of passenger loading devices. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.2 Basic Operating Requirements for GSE (RSR)
  IGOM 3.1.3.3 Non-Motorized GSE
  IGOM 3.1.3.5 Passenger Boarding Bridge
  IGOM 3.1.3.6 Passenger Stairs (RSR)
  IGOM 3.1.3.7 Belt Loader (RSR)
  IGOM 3.1.3.8 Unit Load Device Loader (RSR)
  IGOM 3.1.3.9 Elevating Equipment (RSR)
  △ IGOM 3.1.3.10 Tractor/Electric Baggage Tug (RSR)
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  Additional Guidance
  If stairs are positioned at the aircraft for the purpose of passenger boarding or deplaning, cabin access doors must not be opened until the stairway stabilizers are deployed.
  Stabilizers must remain deployed until the aircraft access door is closed.
  In situations where handrails on GSE are not deployed in the raised position, the use of fall protection (in accordance with local requirements) is acceptable as an alternate means of conformity.
  The boom of the belt loader shall never be positioned inside the cargo hold of any aircraft, except for specially designed belt loaders that require the equipment to be positioned inside the cargo hold.
  Handrails must be retracted during GSE movement and positioning; they are extended once the GSE is in position at the aircraft.
  A “No Touch” policy shall be employed for all GSE types, with the exception of passenger loading devices.
  

• HDL 1.2.13 The provider shall have procedures to ensure GSE, when positioned at the aircraft, does not: i. Obstruct the evacuation of persons from the aircraft in an emergency. ii. Prevent or obstruct the movement of a fueling vehicle away from the aircraft. iii. Unnecessarily impede the accomplishment of other aircraft handling operations in progress. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.4 Ground Support Equipment Safety Driving and Parking Inside ERA (RSR)
  External References
  AHM 462 Aircraft Handling and Loading
  Additional Guidance
  A fueling vehicle (truck, bowser, tanker, servicer) must always have an unobstructed path to exit away from the aircraft in case of emergency. Providers are reminded NOT to leave baggage carts or belt loaders parked in front of the fueling vehicle.
  

• HDL 1.2.14 The provider shall have procedures to ensure, when passengers are onboard or embarking/disembarking from an aircraft being fueled, the area beneath such exits is kept clear of GSE and/or other obstructions. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.2.3 Fueling/Defueling With Passengers on Board
  External References
  AHM 462 Aircraft Handling and Loading
   
  

1.3 Boarding Bridge and Stairs Inspection

• HDL 1.3.1 The provider shall have procedures to ensure the walking surfaces of passenger boarding bridges and/or stairs are inspected and free from conditions that could cause injury to passengers or ground handling personnel. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.5 Passenger Boarding Bridge
  IGOM 3.1.3.6 Passenger Stairs (RSR)
  Additional Guidance
  Ensuring passenger walking surfaces are clean of undesired substances will prevent conditions that could lead to slipping, tripping or falling, and the resulting injuries. Substances that could typically contribute to unsafe walking conditions include snow, ice, standing water, catering trash, oil, hydraulic fluid or deicing fluid.
  

1.4 Passenger Boarding Bridge

• HDL 1.4.1 The provider shall have procedures to ensure the passenger boarding bridge is parked in the fully retracted position: i. Prior to aircraft arrival ii. Prior to aircraft departure movement (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.5 Passenger Boarding Bridge
  Additional Guidance
  Aircraft passenger bridges that are drivable up to the aircraft pose a risk and can cause aircraft damage. Usually, the bridge makes contact with the engines on the left side of aircraft, resulting in extensive damage to engine cowlings.
  Markings on the apron identify the correct parking position for the bridge before aircraft arrival and departure. Some automated guide-in systems have safety features preventing the bridge from movement unless they are parked in correct position.
  If the provider does not physically operate the bridge, but has ramp supervision duties, they must also have oversight of this requirement to ensure proper bridge parking was done.
  Further guidance can be found in the ACI Apron Safety Handbook 2.3.1.
  

• HDL 1.4.2 The provider shall have procedures to ensure personnel, equipment and vehicles are clear of the passenger boarding bridge movement path prior to movement of the bridge. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.5 Passenger Boarding Bridge
  Additional Guidance
  Most passenger boarding bridges have cameras underneath to see the area below the bridge; however, visibility is limited and procedures shall be in place to ensure a clear path.
  Any ground power cables and conditioned air hoses in the area must be stowed while the bridge is moving.
  

• HDL 1.4.3 The provider shall have procedures to ensure, during the positioning of the passenger boarding bridge: i. Only the bridge operator is in the bridgehead. ii. If vision is restricted, a guide person is used and is in a position to accurately judge clearances and communicate signals to the driver/operator, or operation is assisted by a video monitoring system. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.5 Passenger Boarding Bridge
  Additional Guidance
  To reduce the risk of falling while the bridge is in motion, only the bridge operator shall be in the bridgehead.
  Some bridges have doors at the end of the bridge. If equipped, the doors shall be closed while the bridge is moving.
  Access to the bridgehead may be allowed to authorized person (i.e., trainers, customer airline observer, auditor).
  In general, bridges with limited visibility are equipped with a video camera allowing the operator to monitor clearances without a guide person. When this is not the case, guide person(s) shall be used. They shall be standing on the apron in positions to ensure:
  • They have an unobstructed view of the bridge operator.
  • Their position allows a clear view to judge clearance between the bridge and the aircraft.
  • They are able to provide visual signals to the bridge operator.
  

• HDL 1.4.4 The provider shall have procedures to ensure the passenger boarding bridge is moved slowly to the aircraft cabin access doorsill: i. Until the bridge safety bar just touches the aircraft. ii. In a manner that prevents damage to aircraft components protruding from the fuselage. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.5 Passenger Boarding Bridge
  External References
  AHM 462 Aircraft Handling and Loading
  Additional Guidance
  Protrusions would include various antennae, sensors and probes located near the access door. In general, proximity sensors are installed to limit bridge speed while approaching the aircraft in the final phase, but they shall not be used as the main source of reference to prevent aircraft damage.
  Further guidance can be found in the ACI Apron Safety Handbook 2.3.1.
  

• HDL 1.4.5 The provider shall have procedures to ensure, once the passenger boarding bridge is in position at the cabin access door, the bridge auto-leveling safety system is engaged. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.5 Passenger Boarding Bridge
  External References
  AHM 462 Aircraft Handling and Loading
  Additional Guidance
  The auto-leveling system shall be engaged to ensure the aircraft movements up and down due to loading and unloading procedures are compensated for and the aircraft cabin door do not come in contact with the passenger boarding bridge platform.
  These auto-leveling systems must immediately be engaged once the bridge is docked on an aircraft. These safety devices are equipped with alarms that sound once the unit begins to malfunction. When this alarm is heard, immediate action must be taken as there is a risk of imminent damage to the cabin door.
  Further guidance can be found in the ACI Apron Safety Handbook 2.3.1.
  

• HDL 1.4.6 If the passenger boarding bridge is fitted with devices that prevent operations by unauthorized persons when an operator is not at the controls, the provider shall have procedures to ensure such controls are secured. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.5 Passenger Boarding Bridge
  Additional Guidance
  Passenger boarding bridge operator control panels are usually found on the bridge platform. The bridge controls can be accessible to passengers (especially children) as they board.
  Some bridges have safety controls protecting critical switches. If so equipped, these safety controls must be engaged to prevent operation by unauthorized persons.
  Further guidance can be found in the ACI Apron Safety Handbook 2.3.1.
  

• HDL 1.4.7 If the passenger boarding bridge is fitted with safety barriers, the provider shall have procedures to ensure such barriers are placed across the forward opening of the passenger boarding bridge platform prior to removal from the cabin access door. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.5 Passenger Boarding Bridge
  External References
  AHM 462 Aircraft Handling and Loading
  Additional Guidance
  An effective safety device prevents personnel from inadvertently falling from the passenger boarding bridge opening (e.g., roll-down door).
  Further guidance can be found in the ACI Apron Safety Handbook 2.3.1.
  

• HDL 1.4.8 The provider shall have procedures to ensure passenger boarding bridge malfunctions are reported to the appropriate authority in a timely manner. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.5 Passenger Boarding Bridge (PPB)
  External References
  AHM 462 Aircraft Handling and Loading
  Additional Guidance
  Passenger boarding bridges are equipped with sensors and devices that ensure a safe operation and minimize the risk of damage to the aircraft.
  Bridges are normally equipped with proximity sensors, auto-leveling devices, video cameras, control panel devices, and platform safety straps.
  If any part is not properly functioning, the bridge must not be used, and malfunctions are to be reported to the appropriate authority in a timely manner.
  Further guidance can be found in the ACI Apron Safety Handbook 2.3.1.
  

1.5 Aircraft Servicing

• Note:
  The following provisions under Subsection 1.5 are applicable to a provider that conducts aircraft servicing functions. Nevertheless, some of the sub-requirements might still be applicable when the provider is engaged in certain aspects of ramp operations and shall, therefore, be assessed accordingly. Individual applicability shall be determined and verified by the auditor.

• HDL 1.5.1 The provider shall ensure procedures are in place and followed by ground handling personnel during aircraft fueling operations which address: i. Aircraft protection ii. Fuel safety zone iii. Fuel hose safety iv. Fuel spillage v. Ground support equipment vi. Notification to persons onboard the aircraft vii. Aircraft evacuation (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.2.1 Fueling Safety Zone
  IGOM 3.2.2 Fuel Spillage
  IGOM 3.2.3 Fueling/Defueling with Passengers on Board
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  

• HDL 1.5.2 The provider shall have procedures for aircraft toilet servicing operations that address: i. Operation of aircraft access panels or doors ii. Operation of aircraft servicing controls iii. Equipment-to-aircraft interface iv. Clean-up and leakage check (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.5 Toilet Servicing
  External References
  AHM 441 Aircraft Toilet Servicing
  Additional Guidance
  Leakage check shall be accurate to avoid ice formation during flight (known as blue ice).
  

• HDL 1.5.3 The provider shall have procedures for potable water servicing operations that address: i. Operation of aircraft access panels or doors ii. Operation of aircraft servicing controls iii. Equipment-to-aircraft interface iv. Clean-up and leakage check (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.6 Potable Water Servicing
  External References
  AHM 440 Potable Water Servicing
  Additional Guidance
  The tank fill point shall have a quick connect water fill coupling with cap.
  Leakage check shall be accurate to avoid ice formation during flight (known as blue ice) Ref. HDL 1.5.2.
  

• HDL 1.5.4 The provider shall have procedures for the application of water quality standards in the preparation, handling and inspection of aircraft potable water to ensure no contamination is uploaded into the aircraft, in accordance with local health authorities and those of the customer airline(s) at the station. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.6 Potable Water Servicing
  External References
  AHM 440 Potable Water Servicing
  

• HDL 1.5.5 The provider shall have procedures for the operation of aircraft potable water servicing equipment to ensure such equipment is operated and positioned in a manner that will prevent contamination of potable water to be loaded into the aircraft. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.6 Potable Water Servicing
  External References
  AHM 440 Potable Water Servicing
  

• HDL 1.5.6 If the Provider performs aircraft cabin cleaning services, the provider should ensure that the operational personnel responsible for this service: (GM) i. Access and utilize cleaning products approved by the customer airline ii. Have received customized or aircraft specific cabin cleaning training in accordance with the customer airline specifications iii. Perform cabin cleaning processes in accordance with customer airline requirements iv. Are provided with PPE appropriate to the task they are performing v. Dispose the waste collected in accordance with the requirements of the customer airline and/or appropriate authority vi. Maintain records of training and cleaning services provided

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.7 Aircraft Cabin Servicing
  External References
  Additional Guidance
  The Provider should ensure there are procedures and aircraft cleaning product requirements made available by the customer airlines for cleaning and disinfecting of the cabin, flight deck and cargo compartments while taking in consideration the operational impact, cost and the practicality of mitigation measures for pandemic management. A team leader is responsible for the delegation of duties. The number of cleaning crews assigned to each aircraft depends on the type of aircraft and the type of service required (quick transit, lay-over, or deep cleaning). There are basically three levels of cleaning services for the aircraft: quick transit cleaning, overnight (lay-over) cleaning, and deep cleaning. The types of services rendered depend on the duration of stay of the aircraft at the airport. The tasks in a typical quick transit cleaning involve seat cleaning, seat pocket cleaning, ashtray cleaning, galley cleaning, toilet cleaning and replenishment, floor cleaning, and blanket management. Lay-over cleaning is more thorough and in addition to the above processes includes floor vacuuming, window cleaning, stowage cleaning, and cleaning of the cabin crew resting area. Deep cleaning includes all the above tasks but in a more extensive manner in accordance with customer airline requirements and may be under supervision of the maintenance team.
  

1.6 Unit Load Devices (ULDs)

• Note:
  Refer to Section 1 of this manual (ORM), Subsection 2.3 Ground Operation Management of ULD Airworthiness and Serviceability for provisions that are applicable to the management of ULDs in station aircraft handling and loading operations.
  

1.7 Catering

• HDL 1.7.1 The provider for catering operations, in addition to requirements for premovement inspection as per HDL 1.2.2, shall have procedures to ensure that: i. The load is properly secured (incl. cart brakes), tied down and all doors and shutters are closed. ii. Seal and security documentation is completed and checked. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.9 Elevating Equipment (RSR)
  

• HDL 1.7.2 The provider shall have procedures for catering operations to ensure that: i. The catering vehicle approaches the aircraft only after the anti-collision lights have been switched off and the aircraft wheels are chocked. ii. Prior to approach, a visual check of the aircraft must be made to ensure no signs of damage.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.2 General Ramp Safety
  IGOM 3.1.3.2 Basic Operating Requirement for GSE (RSR)
  IGOM 3.1.3.9 Elevating Equipment (RSR)
  

• HDL 1.7.3 The provider for catering operations, in addition to requirements for GSE approaching and positioning at the aircraft as per HDL 1.2.7 and HDL 1.2.8, shall have procedures to ensure that: i. The vehicle’s loading platform is always perpendicular to the aircraft door sill. ii. The catering vehicle is chocked with at least one chock at the front and one chock at the rear of the same wheel. iii. Vehicle stabilizers are extended (if equipped).

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.2 Basic Operating Requirement for GSE (RSR)
  IGOM 3.1.3.9 Elevating Equipment (RSR)
  

• HDL 1.7.4 The provider for catering operations, in addition to requirements for GSE positioning at the aircraft as per HDL 1.1.2, shall have procedures to ensure that: i. The vehicle body entry door is closed and latched. ii. The vehicle body is raised to the correct height, level with the aircraft door sill. iii. The vehicle engine is shut off.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.2 Basic Operating Requirement for GSE (RSR)
  IGOM 3.1.3.9 Elevating Equipment (RSR)
  

• HDL 1.7.5 The provider for catering operations shall have procedures to ensure that the aircraft servicing is conducted as follows: i. Carts are pushed on and off the aircraft (no pulling). ii. No equipment is staged on the platform. iii. Clearance between the aircraft door and vehicle platform is continually checked. iv. Security seals are checked and all equipment is stowed as per airline procedures.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.2 Basic Operating Requirement for GSE (RSR)
  IGOM 3.1.3.9 Elevating Equipment (RSR)
  

• HDL 1.7.6 The provider for catering operations shall have procedures to ensure that preparation for backing off from the aircraft is conducted as follows: i. Load in the vehicle must be properly secured and cart brakes set, and loading platform retracted. ii. Guardrails shall be retracted and ground clearance over both sides of the truck shall be checked. iii. Vehicle body shall be lowered into the fully lowered position. iv. Front vehicle body door shall be closed and secured. v. After exiting, the door of vehicle body shall be closed and latched. vi. A walkaround inspection to check for foreign objects that can cause damage to the aircraft (FOD) and stabilizer clearance shall be performed. vii. Stabilizers shall be raised.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.2 Basic Operating Requirement for GSE (RSR)
  IGOM 3.1.3.9 Elevating Equipment (RSR)
  

• HDL 1.7.7 The provider for catering operations shall have procedures to ensure that the backing off from the aircraft is conducted as follows: i. The back-off route shall be checked to ensure that the area is clear of obstructions. ii. The rear chock shall be removed from the wheel and the front chocks shall be left in position. iii. When a guide person is used, guide person must be positioned at the rear of the truck on the wing side and in full view of the operator and use approved hand signals. The operator must stop immediately if the guide person is out of sight. iv. Once back off is completed, the front chocks shall be retrieved and stowed.

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.2 Basic Operating Requirement for GSE (RSR)
  IGOM 3.1.3.9 Elevating Equipment (RSR)
  

• HDL 1.7.8 The provider, during catering operations, when operating in high wind conditions, shall have procedures to ensure that: i. Increased distance between the vehicle and the aircraft is maintained. ii. No loose items are stowed on the vehicle loading platform. iii. No loose items are transported on top of catering carts. iv. Only one catering cart at a time can be pushed using both hands. v. Operations conducted with high loaders at wind speeds greater that 40 knots are prohibited. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.3 Adverse Weather Conditions (RSR)
  External References
  AHM 462 Aircraft Handling and Loading
  Additional Guidance
  In general, the airport provides indications of high wind conditions and specific operational procedures. Definitions of high wind conditions vary from airport to airport.
  Design of newer catering vehicles has improved, adding stabilizers to almost every size. These changes may prompt a false sense of safety, or possibly a disregard for the wind’s destructive force.
  Extreme caution shall be used while operating in such conditions to ensure adequate safety levels for the people and equipment.
  

1.8 Aircraft Loading Offloading Operations

• HDL 1.8.1 The provider shall have procedures to ensure aircraft are loaded: i. In accordance with written loading instructions. ii. In a manner that prevents movement or spillage during flight. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.5.1 Supervision of Aircraft Loading (RSR)
  IGOM 4.5.5.3 Spills in Cargo Holds
  IGOM 4.5.7 Securing of Load
  IRM References
  Loading Instruction/Report (LIR)
  External References
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  AHM 462 Safe Operating Practices in Aircraft Handling
  DGR 9.3 Loading
  Additional Guidance
  Effective procedures ensure precautions are taken during the loading to prevent aircraft damage and injuries to personnel.
  

• HDL 1.8.2 The provider shall have procedures to ensure a qualified person is designated as a loading supervisor for all aircraft loading and offloading operations with the responsibility for ensuring the aircraft is loaded or offloaded in accordance with applicable loading procedures and instructions. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.5.1 Supervision of Aircraft Loading (RSR)
  IGOM 5.4.1.3 Offloading Instructions
  External References
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  AHM 462 Safe Operating Practices in Aircraft Handling
  Additional Guidance
  The person in charge of, and responsible for, the safe and efficient loading and offloading of the aircraft, as well as the protection of the goods carried, will ensure the aircraft is loaded as specified by the load agent, in accordance with the customer airline(s) procedures. In some cases (e.g., special flights), the loading supervisor could be provided by the customer airline operating the aircraft (e.g., flying loadmaster).
  

• HDL 1.8.3 The provider shall have procedures to ensure, when an offload is completed, a final check of all cargo holds must be conducted to inspect each cargo hold for: i. Damage to the compartment or malfunction of floor locks. ii. Spills in the hold that may have occurred. iii. Baggage, cargo or any other item that may have been left onboard the aircraft that should not be present in the hold. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.5.5 Cargo Hold Inspection
  △ IGOM 4.5.1.5 Actions During Loading
  Additional Guidance
  Compartment separator nets must be secured prior to all flight departures. Between offload and onload, compartment nets must be secured inside aircraft compartments and not left hanging outside.
  

• HDL 1.8.4 The provider shall have procedures to ensure, prior to being loaded into an aircraft, ULDs and other items are inspected for damage, and if found damaged, are not loaded into the aircraft. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  ⨂
  △ IGOM 4.5.6.4 Loading Procedures (RSR)
  □ IGOM 4.5.9.3 Checking ULD Conditions on the Ramp
  Additional Guidance
  Damaged ULDs, besides the operational implications, can pose a threat to staff safety (handling and loading), content (damage, loss, protection) and the aircraft (damage).
  Procedures, in accordance with requirements of customer airline(s), shall be defined to address the control, handling and reporting of damaged ULDs.
  

• HDL 1.8.5 The provider shall have procedures to ensure ULDs to be loaded into an aircraft are crosschecked by unit number, commodity, weight (if applicable), number of pieces (if applicable) and destination with the Loading Instruction Report (LIR). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.5.6.4 Loading Procedures (RSR)
  △ IGOM 4.5.3.5 Identifying Shipments Requiring Special Handling
  External References
  AHM 420 Tagging of Unit Load
  Additional Guidance
  The Ramp Loading Lead or Ramp Loading Supervisor monitors, verifies and records the onload operations. The LIR is used to record the actual loading details, including the ID numbers, weights and aircraft position of the ULDs loaded. The Ramp Loading Lead or Ramp Loading Supervisor shall confirm and record that the planned load was loaded as planned on the LIR and communicate the completed LIR to Load Control prior to aircraft departure.
  

• HDL 1.8.6 The provider shall have a process to ensure the aircraft loading information and data is accurate, documented and such data is transferred to the individual responsible for the calculation of the final weight and balance. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  ⨂
  ⨂
  ⨂
  □ IGOM 4.5.1.5 Actions After Loading
  IGOM 5.4 Load Control Tasks
  □ IGOM 5.4.1.2 Loading Instructions Report
  □ IGOM 5.4.3 Weight and Balance Calculation Task
  External References
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  Additional Guidance
  Load data transfer shall be verified to ensure correct and updated information to Load Control. Typically, data is transferred to Load Control as follows:
  • Passenger: automatically at check-in closure on the weight and balance system.
  • Baggage: entered in the make-up areas/offices directly on the weight and balance system.
  • Cargo: entered by the cargo warehouse on the weight and balance system.
  • Mail: Load Control office is generally advised of weights to be entered in the system.
  • Company material (COMAT): provided by the airline and handled as per cargo or per mail, depending on the airline’s procedures.
  Deviation to the above might apply, depending on the automation of the departure control system (DCS) used and the interaction with the customer airline(s) DCS system(s).
  

• HDL 1.8.7 The provider shall have procedures for ensuring, once an aircraft has been loaded, a Load Instruction Report (LIR) is: i. Completed and certified by the supervisor responsible for aircraft loading ii. Communicated to Load Control iii. Retained as per customer airline requirements (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.1 Introduction
  IGOM 5.4 Load Control Tasks
  External References
  AHM 514 EDP Loading Instruction/Report
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  Additional Guidance
  The LIR shall contain all deviations to the planned load, ULDs loaded, their position, contents and destination. The LIR shall also be signed by the Ramp Loading Lead or Ramp Loading Supervisor, attesting that the aircraft has been loaded in accordance with the loading instructions.
  

• HDL 1.8.8 The provider that conducts aircraft handling operations for a passenger airline that does not accept cargo, mail or stores for transport, shall have a process to ensure such items are prevented from being loaded into any aircraft operated by that customer airline. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• External References
  AHM 514 EDP Loading Instruction/Report
  AHM 590 Load Control Procedures and Loading Supervision Responsibilities
  Additional Guidance
  Stores (e.g., headphones, blankets, pillows, beverages, magazines) for consumption by passengers may include COMAT.
  

• HDL 1.8.9 The provider shall have procedures for the cargo, mail and baggage transported and transferred when the cargo, mail and baggage have to move between ground facilities and aircraft or between aircraft. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 1.1.6.11 Checked Baggage Destination
  □ IGOM 2.4 Departure Baggage Handling
  △ IGOM 2.5 Transfer Baggage
  ⨂
  IGOM 4.5.6 Loading
  External References
  ICHM 10.2 Move Shipments from Hold Area to Aircraft
  Additional Guidance
  As applicable, procedures to ensure safe and secure movement of cargo, mail and baggage between ground facilities and aircraft or between aircraft shall be identified and assessed.
  

• HDL 1.8.10 The provider shall have procedures to ensure hold baggage, ULDs and/or equipment, prior to release for loading into the aircraft, are inspected for signs of substance leakage, and, if leakage of dangerous goods is found, such baggage and/or equipment is prevented from release for loading into the aircraft, in accordance with requirements of the customer airline(s) and: i. An evaluation is conducted to identify and prevent from transport any other baggage or equipment that has become contaminated by such leakage. ii. A notification is made to the applicable authority and customer airline. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.5.3.1 General
  IGOM 4.5.1 Supervision of Aircraft Loading (RSR)
  IGOM 4.5.6.4 Loading Procedures
  △ IGOM 4.5.9.3 Checking ULD Conditions on the Ramp
  External References
  AHM 310 Preparation for Loading of Cargo
  DGR 9.3 Loading
  DGR 9.6 Reporting

1.9 Load Positioning

• HDL 1.9.1 The provider shall have procedures to ensure the ground stability of an aircraft (where applicable) during loading and unloading operations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 4.5.2 Aircraft Ground Stability
  External References
  ⨂
  Additional Guidance
  Aircraft ground stability is a serious threat that requires strict adherence to the balance limits of an aircraft. Certain aircraft require the use of special equipment to maintain the aircraft’s stability and prevent it from tipping. Aircraft ground stability during loading and unloading requires the center of gravity to remain in a range that does not permit the aircraft to tilt aft and rest on the underside of the aft fuselage (known as “tail-tipping”).
  

1.10 Loading Equipment

• HDL 1.10.1 The provider shall have procedures to ensure ground loading equipment is positioned at the aircraft with adequate clearance between the aircraft and the equipment to allow for vertical movement of the aircraft during loading or unloading operations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.2 Basic Operating Requirements for GSE (RSR)
  Additional Guidance
  This requirement applies to all types of ground support equipment:
  • Passenger steps (with no auto-leveling sensor)
  • ULD loaders
  • Belt loaders
  

• HDL 1.10.2 The provider shall have procedures to ensure, once aircraft loading operations have been completed, ground loading equipment is removed and parked outside the Equipment Restraint Area (ERA). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 4.6.3.2 Pre-Departure Table
  IRM References
  Equipment Restraint Area
  Additional Guidance
  The ERA is generally indicated by painted lines (usually yellow or red). If no markings exist, local procedures should establish safe movement and parking areas.
  The ERA must be free of obstructions and Foreign Object Debris (FOD) before and during aircraft arrival and departure.
  Once loading equipment has completed its function on the aircraft turnaround process, it must immediately be removed from the ERA.
  

• HDL 1.10.3 The provider shall have procedures to ensure the guides and safety rails on ground loading equipment are properly deployed for loading and unloading operations. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 3.1.3.2 Basic Operating Requirement for GSE (RSR)
  Additional Guidance
  All loading devices shall have safety rails and/or guides promptly deployed to mitigate risk from falling to persons and/or goods.
  Typical GSEs fitted with this such devices are: stairs, conveyor belts, belt loaders, ULD loaders, etc.
  

1.11 In-Plane Loading

• HDL 1.11.1 The provider shall have procedures in accordance with requirements of the customer airline(s) for operation of the in-plane loading system(s). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 4.5.3 Safety Requirements Specific to Aircraft Loading
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  Additional Guidance
  Operation of the in-plane loading system is typically addressed in the agreement between a provider and the customer airline.
  

• HDL 1.11.2 The provider shall have procedures to ensure ULDs, when loaded into an aircraft: i. Are guided into position by side rails and/or stops, locks or guides. ii. Have an unobstructed path into the desired position. iii. Are prevented from high-speed impact with locks or stops. iv. Are of a type approved for the specific aircraft type. v. Have no protrusions or overhangs that will damage the aircraft cargo door opening or the interior of the aircraft cargo hold. vi. Are secured by aircraft floor locks. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 4.5.6.4 Loading Procedures (RSR)
  △ IGOM 4.5.1.3 Actions Prior to Loading
  □ IGOM 4.5.1.4 Actions During Loading
  External References
  AHM 310 Preparation for Loading Cargo
  

• HDL 1.11.3 The provider shall have a procedure to ensure any components of the in-plane loading system found to be missing or unserviceable are immediately reported to the customer airline prior to loading/unloading and are taken into consideration in the aircraft loading and weight and balance process if ULDs are to be loaded with any missing locks or latches. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 4.5.6.4 Loading Procedures (RSR)
  IGOM 4.5.5 Cargo Hold Inspection
  External References
  AHM 462 Safe Operating Practices in Aircraft Handling
  AHM 451 Technical Malfunctions Limiting Load On Aircraft
  Additional Guidance
  Components of the in-plane loading system found to be missing or unserviceable can be container or pallet locks, nets, roller mats, etc.
  Any defects shall be immediately reported to the supervisor, flight crew, and/or a provider representative, as required by the customer airline, PRIOR to loading anything in the cargo hold, or as soon as the missing or unserviceable components are discovered.
  In case a missing/inoperative lock is identified, a calculation is required by the weight and balance agents to determine the weight allowed for that position.
  

2. Special Procedures

2.1 Dangerous Goods

• HDL 2.1.1 The provider shall have procedures for aircraft loading to ensure dangerous goods are handled and secured or stowed in a manner that: i. Prevents damage to packages and containers during aircraft loading and unloading. ii. Provides for separation and segregation of packages on the aircraft to prevent interaction in the event of leakage. iii. Prevents movement that could change the orientation of packages on the aircraft. iv. Is in accordance with the information provided on the notice to captain (NOTOC). (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 4.5.3.1 Safety Requirements Specific to Aircraft Loading - General
  IGOM 4.5.5.3 Spills in Cargo Holds
  IGOM 4.5.5 Cargo Hold Inspection
  IGOM 4.5.6.4 Loading Procedures
  IGOM 4.5.7 Securing of Load
  External References
  AHM 320 Handling of Damaged Cargo
  DGR 9.3 Loading
  DGR 9.5 Provision of Information
  

• HDL 2.1.2 The provider shall have procedures that address a dangerous goods package or shipment that appears to be damaged or leaking, to ensure: i. Such package or shipment is prevented from being loaded into an aircraft. ii. If already loaded, the package or shipment is removed from the aircraft. iii. In the case of leakage, the conduct of an evaluation to identify and prevent from transport any other cargo, baggage or transport devices that have become contaminated by the leakage of dangerous goods, and the removal of the hazardous contamination. iv. Immediate notification of the customer airline and relevant authority. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 4.5.3.1 Safety Requirements Specific to Aircraft Loading - General
  IGOM 4.5.5.3 Spills in Cargo Holds
  IGOM 4.5.5 Cargo Hold Inspection
  IGOM 4.5.6.4 Loading Procedures
  External References
  AHM 320 Handling of Damaged Cargo
  DGR 9.2 Storage, DGR 9.3 Loading
  DGR 9.4 Inspection
  

• HDL 2.1.3 The provider shall have procedures to ensure shipments labeled “Cargo Aircraft Only” are not loaded into a passenger aircraft. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 4.5.6.4 Loading Procedures
  External References
  DGR 7.2 Labelling
  DGR 9.3 Loading
  Additional Guidance
  Cargo Aircraft Only shipments are identified by the applicable handling label (black and orange) and all ramp staff involved in the loading process must be familiar with it.
  

• HDL 2.1.4 The provider shall have procedures that require the following: i. The person responsible for loading the aircraft shall sign a NOTOC to confirm or otherwise state that: a. There was no evidence of leakage from the package(s) or any leakage from the ULDs loaded on the aircraft. b. The package or ULD is loaded in the designated position and secured. ii. The NOTOC is retained and the information on the NOTOC is distributed in accordance with applicable requirements. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  IGOM 5.4.1.4 Notification to the Captain
  △ IGOM 4.5.1.4 Actions During Loading
  □ IGOM 4.5.1.3 Actions Prior to Loading
  IGOM 4.5.5.3 Spills in Cargo Holds
  External References
  AHM 381 Special Load-Notification to Captain through AHM 384 NOTOC Message (NTM)
  AHM 590 Load Control Procedures and Loading Supervision responsibilities
  DGR 9.5.1.1 Notification to Captain
  Additional Guidance
  The NOTOC is required for the loading of any DG shipment on any aircraft. The NOTOC is typically completed by the cargo acceptance warehouse and transmitted to the ramp handler for completion and presentation to the PIC.
  

• HDL 2.1.5 The provider shall have procedures to ensure dangerous goods are loaded onto an aircraft for transport on the flight deck or in the cabin occupied by passengers in accordance with the restrictions specified by the authority or in the IATA DGR. (GM)

  Select Documented and Implemented (Conformity) Documented not Implemented (Finding) Implemented not Documented (Finding) Not Documented not Implemented (Finding) N/A

  • Documented and Implemented (Conformity)
  • Documented not Implemented (Finding)
  • Implemented not Documented (Finding)
  • Not Documented not Implemented (Finding)
  • N/A

• Auditor Actions - Headquarters

  Select Identified/Assessed procedures as per GOSARP requirements. Interviewed the responsible manager or nominated personnel.

  • Identified/Assessed procedures as per GOSARP requirements.
  • Interviewed the responsible manager or nominated personnel.

• Recommended Basis for Acceptable Means of Conformity
  △ IGOM 1.1.6.4 Dangerous Goods in Baggage
  △ IGOM 1.1.6.2 Cabin Baggage
  External References
  DGR 2.3 Dangerous Goods Carried by Passengers or Crew
  DGR 2.5 Dangerous Goods in Operator’s Property
  Additional Guidance
  Dangerous goods may be carried in the aircraft cabin or on the flight deck only if they are identified for such carriage (e.g., on person or in carry-on) as listed in DGR Table 2.3.A Provisions for Dangerous Goods Carried by Passengers or Crew.