Ground Operations ISAGO Audit Checklist v5

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Section 1 — Organization and Management (ORM-HS)

1. Management and Control

 1.1 Organization and Accountability

• ORM-HS 1.1.1 The Provider shall have a management system that ensures:
  i. Policies, systems, programs, processes, procedures and/or plans of the Provider are administered and/or implemented throughout the organization;
  ii. Ground operations are supervised and controlled;
  iii. Operations are conducted in accordance with applicable regulations and requirements of the customer airline(s). (GM)

• Remark

• ORM-HS 1.1.2 The Provider shall identify one senior management official as the Accountable Executive who is accountable for performance of the management system as specified in ORM-HS 1.1.1
  i. Irrespective of other functions, has ultimate responsibility and accountability on behalf of the Provider for the implementation and maintenance of the Safety Management System (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

• Remark

• ORM-HS 1.1.3 The Provider shall ensure the management system:
  i. Defines lines of accountability for operational safety and security throughout the organization, including direct accountability on the part of senior management;
  ii. Assigns responsibilities for ensuring ground operations are provided with the necessary resources and conducted in accordance with standards of the Provider, applicable regulations and requirements of the customer airline(s)

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed management system structure.

• ☐ Crosschecked association and conformity of the management system throughout the organization.

• ☐ Evaluated status of conformity of management system throughout the organization with other management system GOSARPs.

• ☐ Identified/Assessed assignment and deployment of supervision responsibilities.

• ☐ Evaluated status of conformity of operations with applicable regulations and customer requirements.

• ☐ Other Actions (Specify).

• Click here to enter text.

1.2 Management Commitment

• ORM-HS 1.2.1 The Provider shall have a policy that commits the organization to:
  i. A culture with safety and security as fundamental operational priorities;
  ii. Continuous improvement of the management system, as well as the levels of operational safety and security. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed corporate safety and security policies (focus: organizational commitment to provision of necessary resources).

• ☐ Identified/Assessed corporate continual improvement policy.

• ☐ Examined examples of corporate communication.

• ☐ Verified communication of policies in all operational areas.

• ☐ Other Actions (Specify).

• Click here to enter text

1.4 Communication

• ORM-HS 1.4.1 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 front line personnel. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions

• ☐ Identified/Assessed corporate communication system (focus: organizational capability for communicating information relevant to operations to all personnel).

• ☐ Verified implementation of communication system in all operational areas.

• ☐ Observed examples of information communication.

• ☐ Interviewed selected management system and front line personnel.

• ☐ Other Actions (Specify).

• Click here to enter the test.

1.5 Management Review

• ORM-HS 1.5.1 The Provider shall have a process to review the management system at intervals not exceeding one year to ensure its continuing suitability, adequacy and effectiveness in 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)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• ☐ 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).

• ☐ Other Actions (Specify).

• Auditor Actions

• Click here to enter text.

1.6 Provision of Resources

• ORM-HS 1.6.2 The Provider shall have a policy that ensures:
  i. Positions within the organization that affect operational safety and security are filled by personnel that possess the knowledge, skills, training, and experience appropriate for the position; and
  ii. Personnel who perform operationally critical functions are required to maintain competence on the basis of continuing education and training. (GM)
  iii. JQ requires auditors and investigators to be qualified with verifiable certification/training records
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Action

• ☐ Identified/Assessed standards/processes for hiring/selection of management/non-management personnel (focus: safety/security positions relevant to aircraft operations are filled by personnel with qualifications appropriate for position).

• ☐ Identified/Assessed standards/processes for maintaining competency of personnel in functions relevant to safety/security of aircraft operations (focus: standards specify continuing education/training, meeting technical requirements/certification and qualifications for investigators/Auditors).

• ☐ Interviewed accountable executive or designated management representative(s).

• ☐ Interviewed selected personnel that perform safety/security functions relevant to aircraft operations.

• ☐ Verified adequacy of physical resources/services and implementation of personnel selection standards/processes in all operational areas.

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 1.6.5 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)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed use of psychoactive substances policy.

• ☐ Interviewed accountable executive or designated management representative(s).

• ☐ Verified policy is implemented in all operational areas.

• ☐ Other Actions (Specify).

• Click here to enter text.

2. Documentation and Records

2.1 Documentation System

• ORM-HS 2.1.1 The Provider shall have a system 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)
  

• Remark

• ORM-HS 2.1.2 If the Provider utilizes 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, the Provider shall ensure the system provides for a scheduled generation of backup files for such documentation and/or data

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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 persons involved in the documentation management/control process.

• ☐ Examined selected examples of documentation/data used in operations.

• ☐ Verified implementation of documentation management/control system in all operational areas.

• ☐ Other Actions (Specify).

• Click here to enter text.

2.2 Operational Manuals

• ORM-HS 2.2.1 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 regulations, laws, rules, requirements and standards, and such a manual shall be accessible to all operational personnel in a usable format at all stations. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed PPM for content in conformity with this standard (focus: document management and control).

• ☐ Interviewed responsible management representative(s) and station operational personnel.

• ☐ Verified PPM accessible in all operational areas.

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 2.2.3 The Provider should have a process to ensure conformance with the specific operational requirements of each customer airline(s). (GM)
  Note: Effective 1 January 2017, this recommended practice will be upgraded to a standard.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed process defining the Operator documentation Gap Analysis and development of Provider's specific procedures.

• ☐ Identified/Assessed process to implement updated Operator-specific procedures to all operational personnel as applicable.

• ☐ Interviewed responsible manager(s) as identified by related process.

• ☐ Examined a sample of gap analyses related to maintaining Provider procedures for Operator-specific operations within the scope of ISAGO.

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 2.2.4 The Provider shall have processes to ensure the required operational documentation is accessible in a usable format in all station locations where operations are conducted. Such required documentation shall include:
  i. The current version of applicable operational manual(s) of all customer airline(s)(OM15);
  ii. The current IATA Dangerous Goods Regulations (DGR) and Addenda, if applicable, or equivalent documentation (OM14);
  iii. The current emergency response plan (ERP) of local airport authority and of the customer airline(s), as applicable;
  iv. GHA own PPM
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed processes for provision of operational documentation.

• ☐ Verified operational documentation as required by this standard in all operational areas.

• ☐ Other Actions (Specify).

• Click here to enter text.

2.3 Records System

• ORM-HS 2.3.1 The Provider shall have a system for the management and control of operational 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 records are subjected to standardized processes for:
  i. Identification;
  ii. Legibility;
  iii. Maintenance;
  iv. Calibrations of scales used for the purpose of weighing cargo, baggage
  v. Retrieval;
  vi. Protection and security;
  vii. Disposal, deletion (electronic records) and archiving.
  viii. Archiving of flight files in accordance with domestic and internal retention periods (GM)

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed system for management/control of operational records (focus: system includes standardized processes as specified in standard).

• ☐ Interviewed responsible management representative(s).

• ☐ Examined selected examples of operational records.

• ☐ Verified implementation of records management/control processes in all operational areas.

• ☐ Other Actions (Specify).

• Click here to enter text.

3. Safety and Quality Management System

3.1 SMS–Safety Policy and Objectives

• ORM-HS 3.1.4 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 safety reporting procedures as specified in ORM-HS 3.2.2;
  iv. Indicates which types of behaviors are unacceptable and includes the circumstances under which disciplinary action would not apply as specified in ORM-HS 3.1.5;
  v. Is signed by the Accountable Executive of the organization;
  vi. Is communicated, with visible endorsement, throughout the organization;
  vii. Is periodically reviewed to ensure it remains relevant and appropriate to the Provider. [SMS] (GM)

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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).

• ☐ Interviewed accountable executive, SMS manager and/or designated management representative.

• ☐ Examined examples of corporate communication (focus: safety policy communicated throughout organization.

• ☐ Verified communication of safety policy throughout the organization.

• ☐ Other Actions (Specify).

• Click here to enter text.

•  ORM-HS 3.1.5 The Provider shall have a corporate safety reporting policy that encourages personnel to report hazards to ground operations and, in addition, defines the Provider's policy regarding disciplinary action, to include:
  i. Types of operational behaviors that are unacceptable;
  ii. Conditions under which disciplinary action would not be taken by the Provider. [SMS] (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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).

• ☐ Verified implementation of safety reporting in all operational areas.

• ☐ Examined examples of safety reports.

• ☐ Other Actions (Specify).

• Click here to enter text.

•  ORM-HS 3.1.6 The Provider should have a corporate emergency response plan (ERP) that includes provisions for:
  i. The central management and coordination of all the Provider's activities should it be involved in or it is necessary to respond 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 or be compatible with the ERPs of other applicable organizations relevant to the event. [SMS] (GM)
  Note: Effective 1 January 2018, this recommended practice will be upgraded to a standard.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed corporate emergency response plan (ERP) (focus: plan suitable for organizational response to major accident/other adverse event).

• ☐ Interviewed designated ERP manager.

• ☐ Verified implementation of ERP in all operational areas.

• ☐ Identified/Assessed ERP transition processes (focus: plan includes transition from normal-emergency/and emergency-normal operations; coordination with relevant external organizations).

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 3.1.7 The Provider should 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. Its approach to the management of safety, which is contained in a manual as a means of communication throughout the organization. [SMS] (GM)
  Note: Effective 1 January 2017, this recommended practice will be upgraded to a standard.

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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).

• ☐ Coordinated to verify SMS documentation in all operational areas.

• ☐ Other Actions (Specify)

• Click here to enter text.

• ORM-HS 3.1.8 The Provider shall have an SMS implementation plan, formally endorsed by the organization that defines the Provider's approach to the management of safety in a manner that meets the organization's safety objectives. [SMS] (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed implementation plan (focus: includes all SMS provisions).

• ☐ Interviewed responsible management representative(s).

• ☐ Examined progress records (focus: adherence to plan).

• ☐ Other Actions (Specify).

• Click here to enter text.

3.2 SMS–Safety Risk Management

• ORM-HS 3.2.1 The Provider should 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. [SMS] (GM)
  Note: Effective 1 January 2018, this recommended practice will be upgraded to a standard.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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.

• ☐ Other Actions (Specify)

• Click here to enter text.

• ORM-HS 3.2.2 The Provider should have 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. [SMS] (GM)
  Note: Effective 1 January 2017, this recommended practice will be upgraded to a standard.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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).

• ☐ Verified implementation of safety reporting in all operational areas.

• ☐ Examined examples of safety reports.

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 3.2.3 The Provider should 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. [SMS] (GM)
  Note: Effective 1 January 2019, this recommended practice will be upgraded to a standard.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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).

• ☐ Examined records/documents that illustrate organizational integration (focus: coordinated involvement of all operational disciplines in risk assessment/mitigation program).

• ☐ Examined selected examples of risk assessment/risk mitigation action(s).

• ☐ Coordinated to verify implementation of safety risk assessment/mitigation in all operational areas.

• ☐ Other Actions (Specify).

• Click here to enter the text.

• ORM-HS 3.2.4 The Provider should have a process:
  i. To conduct and/or participate in an investigation of an incident/accident where its services were involved, to include reporting of events, in accordance with requirements of the costumer 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. [SMS] (GM)
  iii. Have been trained and are qualified; (trained investigators are mandatory for lead investigator roles as per ORM-HS 1.6.2)

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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(s).

• ☐ Examined Evidence of qualification/certification of internal investigators

• ☐ Examined selected reports on accidents and incidents (focus: correct involvement; investigation identifies operational safety hazards, produces recommendations to prevent recurrence/mitigate risk).

• ☐ Other Actions (Evidence of investigator qualifications).

• Click here to enter text.

• ORM-HS 3.2.10 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 Ground Damage Database (GDDB). Such reports should be submitted in accordance with the formal IATA ground damage reporting structure. [SMS] (GM)
  Note: Effective 1 January 2019, this recommended practice will be upgraded to a standard.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed process for reporting aircraft ground damage to IATA GDDB.

• ☐ Examined a sample of reports for completeness.

• ☐ Crosschecked aircraft ground damages events notification to IATA

• ☐ Other Actions (Specify).

• Click here to enter text.

3.3 SMS–Safety Assurance

• ORM-HS 3.3.1 The Provider should have a safety assurance program, including a detailed audit planning process and sufficient resources that provides 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 of the customer airline(s);
  ii. Identifying hazards to operations;
  iii. Monitoring effectiveness of safety risk controls;
  iv. Verifying safety performance in reference to the safety performance indicators and safety performance targets. [SMS] (GM)
  Note: Effective 1 January 2019, this recommended practice will be upgraded to a standard.

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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).

• ☐ Interviewed SMS manager and/or designated management representative(s).

• ☐ Interviewed Safety assurance program manager.

• ☐ Interviewed selected operational managers (focus: interface with quality assurance program).

• ☐ Examined selected safety audit reports (focus: audit scope/process/organizational interface.

• ☐ Coordinated to verify implementation of safety assurance audit program in all operational areas.

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 3.3.2 The Provider should have processes 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. [SMS] (GM)
  Note: Effective 1 January 2019, this recommended practice will be upgraded to a standard.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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).

• ☐ Interviewed SMS manager and/or designated management representative(s).

• ☐ 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).

• ☐ Verified implementation of performance measures in all operational areas.

• ☐ Identified/Assessed procedures for internal reviews of SMS performance.

• ☐ Interviewed selected operational managers (focus: interface with safety assurance program).

• ☐ Other Actions (Specify).

• Click here to enter text.

3.4 Quality Assurance and Control Program(s)

• ORM-HS 3.4.1 The Provider shall have a quality assurance program, including a detailed audit planning process and sufficient resources that provides 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 of the customer airline(s);
  ii. Satisfying stated operational needs;
  iii. Identifying undesirable conditions and areas requiring improvement. (GM)

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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.

• ☐ Other Actions (Specify).

• Click here to enter text.

• The process normally includes means whereby the auditor and the audited area have a comprehensive discussion and reach agreement on the findings and corresponding corrective or preventive actions. Clear procedures are typically established to resolve any disagreement between the auditor and audited area, and action items are followed up to ensure closeout within an appropriate time frame. 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-HS 3.4.2 The Provider shall have a station quality control program that provides for scheduled and unscheduled inspections and/or evaluations of ground operations at the station for the purpose of ensuring compliance with standards of the Provider, quality assurance program as specified in ORM-HS 3.4.1, applicable regulations, and requirements of the customer airline(s). (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed station quality control 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.

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 3.4.3 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-HS 3.4.1 and ORM-HS 3.4.2, which ensures:
  i. A 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.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed process for determining audit type.

• ☐ Interviewed quality manager.

• ☐ Examined selected audit reports/records, meeting minutes

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 3.4.6 The Provider shall ensure the quality assurance program utilizes auditors that:
  i. Have been trained and are qualified;
  ii. Are impartial and functionally independent from operational areas to be audited. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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 independent from the activity audited.

• ☐ Interviewed selected quality assurance auditors (focus: verification of individual qualifications.

• ☐ Other Actions (Specify).

• Click here to enter text.

5. Training and Qualification

5.1 Load Supervision Training Program

• ORM-HS 5.1.1 If the Provider delivers load supervision at any station, the Provider shall have a program that ensures all personnel with duties and/or responsibilities in operational loading functions complete initial and recurrent training in:
  i. General training prior to being assigned to perform operational duties;
  ii. Operational subject areas as applicable to assigned load function(s) as specified in Table 1.4;
  iii. Dangerous goods appropriate to assigned operational functions or duties as specified in Table 1.5 including a recurrent training within 24-month period since the previous DG training;
  iv. Security training program in order to be familiar and know how to comply with all relevant security requirements and be able to prevent acts of unlawful interference;
  v. Safety training as specified in Table 1.2;
  vi. Airside driver training for all staff with duties that require the operation of vehicles and/or equipment in airside areas including operating license in accordance with requirements of relevant authority as specified in Table 1.3.
  Initial and recurrent training shall include evaluation or testing by written, oral or practical means. Recurrent training shall be completed on a specified frequency to ensure all personnel remain qualified to perform operational duties, according to the applicable regulations, but not less than once during every 36-month period. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed training program (focus: Training syllabi/content, adequate training plans for duties to be performed and operational environment, including local regulations and operating procedures).

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected training records and reports (focus: conformity with training program).

• ☐ Other Actions (Specify).

• Click here to enter text.

5.2 Passenger Handling Training Program

• ORM-HS 5.2.1 If the Provider delivers passenger handling services at any station, the Provider shall have a program that ensures all personnel with duties and/or responsibilities in operational passenger handling functions complete initial and recurrent training in passenger handling operations, which addresses:
  i. General training prior to being assigned to perform operational duties;
  ii. Operational subject areas as applicable to assigned passenger handling function(s) as specified in Table 1.6;
  iii. Dangerous goods appropriate to assigned operational functions or duties as specified in Table 1.7 including a recurrent training within 24-month period since the previous DG training;
  iv. Security training program in order to be familiar and know how to comply with all relevant security requirements and be able to prevent acts of unlawful interference;
  v. Safety training for all staff as specified in Table 1.2;
  vi. Airside driver training for all staff with duties that require the operation of vehicles and/or equipment in airside areas including operating license in accordance with requirements of relevant authority as specified in Table 1.3;
  vii. GSE operations program for staff with duties that require the operation of GSE as applicable to their assigned operational functions;
  viii. Aircraft access door training program in accordance with requirements of the customer airline(s) for personnel with duties that include the operation of aircraft access doors applicable to each type of access door operated at the station;
  ix. Passenger boarding bridge training for personnel with duties that include the operation of passenger boarding bridge as specified in Table 1.12.
  Initial and recurrent training shall include evaluation or testing by written, oral or practical means. Recurrent training shall be completed on a specified frequency to ensure all personnel remain qualified to perform operational duties, according to the applicable regulations, but not less than once during every 36-month period. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed training program (focus: Training syllabi/content, adequate training plans for duties to be performed and operational environment, including local regulations and operating procedures).

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected training records and reports (focus: conformity with training program).

• ☐ Other Actions (Specify).

• Click here to enter text.

5.3 Baggage Handling Training Program

• ORM-HS 5.3.1 If the Provider delivers baggage handling services at any station, the Provider shall have a program that ensures all personnel with duties and/or responsibilities in operational baggage handling functions complete initial and recurrent training in baggage handling operations, which addresses:
  i. General training prior to being assigned to perform operational duties;
  ii. Operational subject areas as applicable to assigned baggage handling function(s) as specified in Table 1.8;
  iii. Dangerous goods appropriate to assigned operational functions or duties as specified in Table 1.9 including a recurrent training within 24-month period since the previous DG training;
  iv. Security training program in order to be familiar and know how to comply with all relevant security requirements and be able to prevent acts of unlawful interference;
  v. Safety training for all staff as specified in Table 1.2;
  vi. Airside driver training for all staff with duties that require the operation of vehicles and/or equipment in airside areas including operating license in accordance with requirements of relevant authority as specified in Table 1.3;
  vii. GSE operations program for staff with duties that require the operation of GSE as applicable to their assigned operational function.
  Initial and recurrent training shall include evaluation or testing by written, oral or practical means. Recurrent training shall be completed on a specified frequency to ensure all personnel remain qualified to perform operational duties, according to the applicable regulations, but not less than once during every 36-month period. (GM)

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed training program (focus: Training syllabi/content, adequate training plans for duties to be performed and operational environment, including local regulations and operating procedures).

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected training records and reports (focus: conformity with training program).

• ☐ Other Actions (Specify).

• Click here to enter text.

5.4 Aircraft Handling and Loading Training Program

• ORM-HS 5.4.1 If the Provider delivers aircraft handling and loading services at any station, the Provider shall have a program that ensures all personnel with duties and/or responsibilities in aircraft handling and loading functions complete initial and recurrent training in aircraft handling and loading operations, which addresses:
  i. General training prior to being assigned to perform operational duties;
  ii. Operational subject areas as applicable to assigned aircraft handling and/or loading function(s) as specified in Table 1.10;
  iii. Dangerous goods appropriate to assigned operational functions or duties as specified in Table 1.11 including a recurrent training within 24-month period since the previous DG training;
  iv. Security training program in order to be familiar and know how to comply with all relevant security requirements and be able to prevent acts of unlawful interference;
  v. Safety training for all staff as specified in Table 1.2;
  vi. Airside driver training for all staff with duties that require the operation of vehicles and/or equipment in airside areas including operating license in accordance with requirements of relevant authority as specified in Table 1.3;
  vii. GSE operations program for staff with duties that require the operation of GSE as applicable to their assigned operational functions;
  viii. Load control training program for personnel with duties that include the supervision of aircraft loading as specified in Table 1.13;
  ix. Aircraft access door training program in accordance with requirements of the customer airline(s) for personnel with duties that include the operation of aircraft access doors applicable to each type of access door operated at the station;
  x. Passenger boarding bridge training for personnel with duties that include the operation of passenger boarding bridge as specified in Table 1.12.
  Initial and recurrent training shall include evaluation or testing by written, oral or practical means. Recurrent training shall be completed on a specified frequency to ensure all personnel remain qualified to perform operational duties, according to the applicable regulations, but not less than once during every 36-month period. (GM)

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions

• ☐ Identified/Assessed training program (focus: Training syllabi/content, adequate training plans for duties to be performed and operational environment, including local regulations and operating procedures).

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected training records and reports (focus: conformity with training program).

• ☐ Other Actions (Specify).

• Click here to enter text.

5.5 Aircraft Ground Movement Training Program

• ORM-HS 5.5.1 If the Provider delivers aircraft ground movement services at any station, the Provider shall have a program that ensures all personnel with duties and/or responsibilities in aircraft ground movement functions complete initial and recurrent training in aircraft ground movement operations, as applicable to assigned aircraft ground movement function(s), which addresses:
  i. General training prior to being assigned to perform operational duties;
  ii. Operational subject areas as applicable to assigned aircraft handling as specified in Table 1.14;
  iii. Security training program in order to be familiar and know how to comply with all relevant security requirements and be able to prevent acts of unlawful interference;
  iv. Safety training for all staff as specified in Table 1.2;
  v. Airside driver training for all staff with duties that require the operation of vehicles and/or equipment in airside areas including operating license in accordance with requirements of relevant authority as specified in Table 1.3;
  vi. GSE operations program for staff with duties that require the operation of GSE as applicable to their assigned operational functions;
  vii. Aircraft access door training program in accordance with requirements of the customer airline(s) for personnel with duties that include the operation of aircraft access doors applicable to each type of access door operated at the station.
  Initial and recurrent training shall include evaluation or testing by written, oral or practical means. Recurrent training shall be completed on a specified frequency to ensure all personnel remain qualified to perform operational duties, according to the applicable regulations, but not less than once during every 36-month period. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed training program (focus: Training syllabi/content, adequate training plans for duties to be performed and operational environment, including local regulations and operating procedures).

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected training records and reports (focus: conformity with training program).

• ☐ Other Actions (Specify).

• Remark

5.6 Cargo and Mail Handling Training Program

• ORM-HS 5.6.1 If the Provider delivers cargo and mail handling services at any station, the Provider shall have a program that ensures all personnel with duties and/or responsibilities in cargo and mail handling functions complete initial and recurrent training. Such training shall provide the knowledge necessary for cargo handling personnel to perform duties, execute procedures and operate equipment associated with specific cargo handling functions, and include:
  i. General and function-specific training prior to being assigned to perform operational duties;
  ii. Dangerous goods appropriate to assigned operational functions or duties as specified in Table 1.15 including a recurrent training within 24-month period since the previous DG training including evaluation/testing by written means;
  iii. Security training program in order to be familiar and know how to comply with all relevant security requirements and be able to prevent acts of unlawful interference;
  iv. Safety training for all staff as specified in Table 1.2;
  v. Airside driver training for all staff with duties that require the operation of vehicles and/or equipment in airside areas including operating license in accordance with requirements of relevant authority as specified in Table 1.3;
  vi. GSE operations program for staff with duties that require the operation of GSE as applicable to their assigned operational functions.
  Initial and recurrent training shall include evaluation or testing by written, oral or practical means. Recurrent training shall be completed on a specified frequency to ensure all personnel remain qualified to perform operational duties, according to the applicable regulations, but not less than once during every 36-month period. (GM)

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed training program (focus: Training syllabi/content, adequate training plans for duties to be performed and operational environment, including local regulations and operating procedures).

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected training records and reports (focus: conformity with training program).

• ☐ Other Actions (Specify).

• Click here to enter text.

5.7 Safety and Security Training Programs

• ORM-HS 5.7.1 The Provider shall have a security training program that is in accordance with the Security Program of the customer airline(s), requirements of the civil aviation security authority of states where ground operations are conducted, and requirements of the airport authority at stations where ground operations are conducted. Such training program shall include initial and recurrent training, and have a balanced curriculum of theoretical and practical training to ensure:
  i. If personnel employed by the Provider implement security controls, such personnel have the competence to perform their duties;
  ii. 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. (GM)

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed training program (focus: adequate training plans for duties to be performed and operational environment, including local regulations and operating procedures).

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected training records and reports (focus: conformity with training program).

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 5.7.2 The Provider should have a program that ensures personnel throughout the organization are trained and competent to perform SMS duties. The scope of such training should be appropriate to each individual's involvement in the SMS as detailed:
  i. In Table 1.2 for all personnel for those elements identified with the [SMS] symbol, and
  ii. In Table 1.16 for personnel with specific assigned duties in the safety management system. [SMS] (GM)
  Note: Effective 1 January 2018, this recommended practice will be upgraded to a standard.

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ 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).

• ☐ Verified SMS training is implemented in all applicable areas.

• ☐ Other Actions (Specify).

• Click here to enter text.

5.8 Dangerous Goods Training Program

• ORM-HS 5.8.1 The Provider shall ensure the instructors who deliver dangerous goods training have:
  i. The 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 within every 24 months or attended recurrent dangerous goods training; and
  iii. Received updates to the Regulations and training material on an annual basis. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Assessed training and competence plan for dangerous goods instructors.

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected instructor training records and reports (focus: conformity with training plan).

• ☐ Other Actions (Specify).

• Click here to enter text.

5.9 Training Program (General)

• ORM-HS 5.9.1 The Provider shall ensure each training program as specified in ORM-HS 5.1–5.6 includes processes that require instructors (trainers) and evaluators who conduct training and evaluation for ground handling personnel to demonstrate they are competent, qualified and, where required, certified to conduct such training activities.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed method of ensuring qualification/certification of trainers.

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected training records and reports (focus: conformity with training program).

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 5.9.2 The Provider shall ensure each training program as specified in ORM-HS 5.1–5.6 includes processes for the completion of all required training and evaluation by operational ground handling personnel, instructors (trainers) and evaluators to be documented in records, and such records retained in accordance with ORM-HS 2.3.1 for a period as specified by applicable regulations and/or the customer airline(s).
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed training record management system.

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected training records and reports (focus: conformity with training program).

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 5.9.3 The Provider shall ensure each training program as specified in ORM-HS 5.1–5.6 includes processes for all aspects of the training program to be periodically reviewed and updated to remain operationally relevant and in accordance with requirements of the customer airline(s).
  

• Remarks

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed method of reviewing training programs.

• ☐ Examined selected reports of reviews and action taken.

• ☐ Other Actions (Specify)

• Click enter to text.

7. Ground Support Equipment (GSE) Management

7.1 GSE Maintenance

• ORM-HS 7.1.1 The Provider shall have a program that ensures that GSE, at all applicable stations:
  i. Is maintained in accordance with instructions and/or guidance from the GSE manufacturer;
  ii. Is serviceable and in good condition prior to being used in ground operations;
  iii. When found to be defective, is reported and evaluated for removal from service;
  iv. Tagged as “Out of Service” and not utilized in airside operations if found in unserviceable condition;
  v. Removed from operations for repair or maintenance if unserviceable;
  vi. Maintenance is documented in records, and such records are retained for a period as specified by the Provider, applicable regulations and/or the customer airline(s). (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed procedures for maintenance and serviceability of GSE.

• ☐ Interviewed responsible manager(s).

• ☐ Examined selected maintenance records and reports to reflect a program in conformity with instructions and/or guidance from the GSE manufacturer.

• ☐ Examined selected maintenance records and reports to reflect operational condition (tagging and removal from operations).

• ☐ Verified maintenance records and reports are retained for a period as specified by the Provider, applicable regulations and/or the customer airline(s).

• ☐ Other Actions (Specify).

• Click here to enter text.

7.2 GSE Technical Requirements

• ORM-HS 7.2.1 The Provider should ensure that all aircraft GSE is equipped with a device that senses the proximity of an aircraft and provides a visual and audible indication to the operator of the aircraft GSE to reduce the risk of impact with the aircraft.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Observation)

• ☐ Implemented not Documented (Observation)

• ☐ Not Documented not Implemented (Observation)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ GSE are fitted with serviceable aircraft proximity warning devices.

• ☐ Examined selected inspection records and reports.

• ☐ Examined retrofit plans.

• ☐ Other Actions (Specify).fe

• Click hereto enter text.

8. Unit Load Device (ULD) Management

8.1 ULD Airworthiness and Serviceability

• ORM-HS 8.1.1 The Provider shall have procedures in accordance with requirements of the customer airline(s) to ensure 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. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed procedures for inspection of ULDs.

• ☐ Examined selected inspection records and reports.

• ☐ Other Actions (Specify).

• Click here to enter text.

8.2 ULD Loading

• ORM-HS 8.2.1 The Provider shall have procedures in accordance with requirements of the customer airline(s) to ensure that ULDs, whether received or loaded by the Provider, are in compliance with applicable requirements pertaining to ULD loading and load securing. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed procedures for ULD loading and load securing.

• ☐ Observed ULD loading and securing procedures.

• ☐ Other Actions (Specify).

• Click here to enter tectonic.

• ORM-HS 8.2.2 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)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed procedures for ULD tagging.

• ☐ Observed ULD tagging procedures and conformity of content information.

• ☐ Other Actions (Specify).

• Click here to enter text.

• Guidance
  Guidance may be found in AHM 420.
  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.
  

• Remark

8.3 ULD Handling and Storage

• ORM-HS 8.3.1 The Provider shall have procedures in accordance with requirements of the customer airline(s) to ensure ULDs are handled and stored in a manner that minimizes or eliminates the possibility of damage or loss. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed procedures for ULD handling and storage.

• ☐ Observed ULD handling and storage procedures.

• ☐ Other Actions (Specify).

• Click here to enter text.

• ORM-HS 8.3.2 The Provider shall have procedures in accordance with 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.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

• Add media

  Media

• Auditor Actions
  

• ☐ Identified/Assessed procedures for damaged or not airworthy ULD.

• ☐ Observed damaged or not airworthy ULD procedures.

• ☐ Other Actions (Specify).

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8.4 Facilities and Equipment

• ORM-HS 8.4.1 The Provider shall ensure the availability of adequate and sufficient infrastructure for proper storing, transporting, moving, transferring, build-up and breakdown of ULDs. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

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• Auditor Actions

• ☐ Observed ULD storage, handling and transportation procedures.

• ☐ Other Actions (Specify).

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• Guidance
  Guidance may be found in ULDR Section 9.
  The Ground Support Equipment (GSE) for ULD handling should meet the requirements stipulated in AHM 911 (ULDR Appendix ‘C’) and maintained correctly.
  

• Remark

9. Station Airside Supervision and Safety

9.1 Supervision

• ORM-HS 9.1.1 The Provider shall have a process to ensure all station operational activities, including, if applicable, those outsourced to external ground service providers, are conducted under the direct oversight of supervisory personnel.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

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• Auditor Actions
  

• ☐ Identified/Assessed supervisory process.

• ☐ Examined job description of responsible individual(s) (focus: supervisory responsibilities are as specified in the standard).

• ☐ Interviewed responsible individual(s).

• ☐ Other Actions (Specify).

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• ORM-HS 9.1.2 The Provider shall have processes to ensure station personnel that provide oversight of operational activities as specified in ORM-HS 9.1.1, including, if applicable, personnel of external ground service providers that conduct outsourced ground operations for the Provider, complete training and are qualified to supervise ground operations.
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

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• Auditor Actions
  

• ☐ Identified/Assessed supervisory training processes.

• ☐ Examined training records of responsible individual(s).

• ☐ Interviewed responsible individual(s).

• ☐ Other Actions (Specify).

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9.3 Airside Fire Safety

• ORM-HS 9.3.1 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 fire fighting equipment;
  iii. Emergency procedures, including alerting personnel on board the aircraft;
  iv. Procedures for controlling and reporting fires. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

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• Auditor Actions
  

• ☐ Identified/Assessed procedures for airside fire safety.

• ☐ Verified availability and access to fire fighting equipment.

• ☐ Interviewed personnel responsible for airside fire safety, (focus: checking procedures for alerting personnel onboard the aircraft and reporting fires.

• ☐ Other Actions (Specify).

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• Guidance
  Guidance may be found in AHM 630 and ACI 2.16.0.
  

• Remark

9.4 Airside Cleanliness

• ORM-HS 9.4.1 The Provider shall have procedures to address the spillage of fluids and other materials in station airside areas of operations. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

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• Auditor Actions
  

• ☐ Identified/Assessed procedures for airside cleanliness.

• ☐ Interviewed responsible management representative(s) and station operational personnel.

• ☐ Examined incident reports of fluid spillage.

• ☐ Other Actions (Specify).

• Remark

• ORM-HS 9.4.2 The Provider shall have a FOD prevention program for implementation in station airside areas where the Provider conducts aircraft handling or aircraft ground movement operations for customer airlines. (GM)
  

• Remarks

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

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• Auditor Actions
  

• ☐ Identified/Assessed FOD prevention program.

• ☐ Observed cleanliness of airside areas.

• ☐ Other Actions (Specify).

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• Guidance
  Refer to the IRM for the definition of FOD (Foreign Object Damage).
  Guidance may be found in AHM 635.
  The objective of a FOD prevention program is the elimination of conditions that could cause damage to an aircraft.
  

• Remark

9.5 Airside Severe Weather Plan

• ORM-HS 9.5.1 The Provider shall have a station severe weather operations plan that provides for the protection for aircraft, passengers, operational personnel, baggage, cargo and equipment when severe weather conditions are a threat to operations. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

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• Auditor Actions
  

• ☐ Identified/Assessed severe weather operations plan.

• ☐ Interviewed responsible management representative(s) and station operational personnel.

• ☐ Other Actions (Specify).

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9.6 Passenger Safety

• ORM-HS 9.6.1 If the Provider conducts ground operations at the station that utilize the ramp surface for passenger embarkation and disembarkation, 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)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

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• Auditor Actions
  

• ☐ Identified/Assessed procedures for the protection of passengers on the ramp.

• ☐ Observed the control of passengers between the aircraft and the passenger terminal.

• ☐ Other Actions (Specify).

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9.7 Personnel Safety

• ORM-HS 9.7.1 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. (GM)
  

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

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• Auditor Actions
  

• ☐ Identified/Assessed PPE requirement and procedures.

• ☐ Observed use of correct clothing and PPE by personnel employed in airside operations.

• ☐ Other Actions (Specify).

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9.8 Potable Water

• HDL 1.5.3 If the Provider conducts aircraft potable water servicing operations, the Provider shall have procedures for such 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)
  

• Remark

• HDL 1.5.4 If the Provider conducts aircraft potable water servicing operations, 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 when loaded into the aircraft in accordance to local health authorities and those of the customer airline(s) at the station. (GM)

• Remark

• HDL 1.5.5 If the Provider conducts aircraft potable water servicing operations, 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)

• Remark

• ☐ Documented and Implemented (Conformity)

• ☐ Documented not Implemented (Finding)

• ☐ Implemented not Documented (Finding)

• ☐ Not Documented not Implemented (Finding)

• ☐ N/A

• Auditor Comments:

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• Auditor Actions
  

• ☐ Identified/Assessed Sterilization, water quality reports from supply and delivery points (vehicle)

• ☐ Observed Segregation during servicing activity and use of hygiene principals

• ☐ Other Actions (Specify).

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