SMS / How to Perform Gap Analysis

How to Perform Gap Analysis

Performing a gap analysis is very straightforward, as much guidance is provided by oversight agencies. The first step is to choose your model:

How to perform gag analysis graphic

However, some models are better than others. The IS-BAO model is fairly cursory, and will be better used as a sort of “speed gap analysis” rather than an in depth inspection of your SMS program. Each model contains a set of questions about the safety program, which are broken up into separate categories, such as:

  • Policies
  • Organization
  • Hazard identification system
  • Investigation competency
  • Records management
  • Risk analysis abilities
  • SMS documentation
  • Development of safety objectives and safety goals
  • Risk management capabilities
  • Safety training
  • Safety promotion

A gap analysis model may cover more territory than one person can reasonably handle at your organization. While performing a gap analysis, a safety manager can assign sections or “chunks” of the gap analysis to subject-matter experts within the organization. In general, a score is assigned to each question on a 1-5 scale:

Score Assessment Details
0 No Action No Action has been taken on this required element.
1 Action Initiated Identified actions have been taken to meet the requirement but the actions are not complete.
2 Implemented Identifiable actions are satisfactory to meet this requirement and are observable in policies, procedures, organizational actions, and employee actions.
3 Integrated This required element of an SMS has been integrated with other SMS elements and requirements within the organization.
4 Evaluated and Sustained This required element has been integrated with other SMS Elements. Additionally, this element has been subjected to at least one prior round of evaluation/audit and there is evidence that the required actions have been sustained over time. Further, there are no identifiable reasons why sustaining should not continue.
5 State of the Art Conformance with this requirement of the standard is considered state of the art; they could be used as a benchmark for other organizations to use.