Canadian Air Transport Security Authority

Transcription

1 Canadian Air Transport Security Authority CATSA Screening Contractor Management System Standard October 2009 This Management System Standard is subject to copyright claims of the Canadian Air Transport Security Authority (CATSA) and the International Organization for Standardization (ISO). No part of this publication may be reproduced in any form, including an electronic retrieval system, without the prior written permission of CATSA. All requests pertaining to the CATSA Screening Contractor Management System Standard 2009 should be submitted to CATSA.

2 CONTENTS A. GENERAL 3 B. PURPOSE OF THE STANDARD 3 C. DEVELOPMENT OF THE STANDARD 4 D. APPLICATION 4 E. THIRD-PARTY QUALIFICATION 4 F. EVALUATION SYSTEM 4 G. RELATIONSHIP OF THIS STANDARD TO ISO 9001: H. REQUIREMENTS 5 Part 1 Management Team commitment 5 Part 2 Financial and general capability 5 Part 3 Human resource optimization 6 Part 4 Service delivery excellence 7 Part 5 - Performance measurement and continuous improvement 7 APPENDIX A Relationship of the Standard to ISO 9001: Canadian Air Transport Security Authority 2

3 A. GENERAL The Canadian Air Transport Security Authority (CATSA) was established by the Canadian Air Transport Security Authority Act (CATSA Act). CATSA s mission is to protect the public by securing critical elements of the air transportation system as assigned by the government. The CATSA Act outlines CATSA's responsibilities in regards to certification of its Screening Contractors: 1. The Authority must establish criteria respecting the qualifications, training and performance of screening contractors and screening officers that are as stringent as or more stringent than the standards established in the aviation security regulations made under the Aeronautics Act. 2. The Authority must certify all screening contractors and officers against the criteria established under section (1) above. 3. If the Authority determines that a screening contractor or officer no longer meets the criteria in respect of which they were certified, the Authority may vary, suspend or cancel their certification. CATSA complies with the CATSA Act by incorporating Screening Contractor certification requirements into the Airport Screening Services Agreements (ASSAs). Screening Contractors earn certification status when they enter into an ASSA with CATSA. CATSA has enhanced the Screening Contractor certification requirements by adopting best practices used by other public and private sector organizations. CATSA has: Established a Screening Contractor Management System Standard (the Standard") which establishes minimum requirements for Screening Contractors Established a Qualification Program to create a directory of qualified organizations eligible to participate in future RFPs for screening services at designated Canadian airports, and be eligible to enter into screening services contracts Engaged the services of the Canadian General Standards Board (CGSB), an accredited body with the Standards Council of Canada, to assess organizations against the Standard on behalf of CATSA through the Qualification Program Added the Qualification Program to the certification requirements under the RFP for screening services In the Handbook for the Qualification of CATSA Screening Contractors, organizations will find complete information about the Qualification Program, including application requirements, processes, forms and costs. These materials can be obtained from the CATSA web-site at or the CGSB web-site at B. PURPOSE OF THE STANDARD The Standard establishes new quality assurance requirements for organizations seeking to participate in future Request for Proposals (RFP) for screening services at designated Canadian airports. As such, it also forms an important part of the Screening Contractor certification requirements for organizations seeking to enter into Airport Screening Services Agreements (ASSAs) with CATSA. The Standard is designed to ensure organizations use a systematic and integrated approach to organizational management performance. This systems perspective means managing the whole Canadian Air Transport Security Authority 3

4 organization, as well as its components, to achieve desired outcomes. The requirements identified in the Standard also facilitate the following goals: Delivery of ever-improving value to stakeholders, resulting in organizational sustainability Continuous improvement of overall effectiveness and capabilities Organizational and personal learning C. DEVELOPMENT OF THE STANDARD The CATSA Act sets out CATSA s responsibility to establish criteria respecting the qualifications, training and performance of screening contractors that are as stringent as or more stringent than the standards established in the aviation security regulations made under the Aeronautics Act. CATSA has sole authority over the Standard and its development and may modify the Standard as necessary to ensure compliance to the CATSA Act. D. APPLICATION The Standard presents both prescriptive and non-prescriptive requirements. Where nonprescriptive requirements are used, organizations are encouraged to develop and demonstrate creative, adaptive and flexible approaches for meeting requirements. Non-prescriptive requirements foster incremental and major ( breakthrough ) improvements. The requirements will be applied in consideration of an organization s size and type for the selection of tools, techniques, systems and organizational structure necessary to meet the Standard. E. THIRD-PARTY QUALIFICATION CATSA has engaged the services of the Canadian General Standards Board of Canada (CGSB) to assess organizations against the Standard. The CGSB is accredited by the Standards Council of Canada (SCC) to assess and register quality management systems for conformance to the ISO 9001:2000 standard. CGSB will plan and conduct their assessments in accordance with the ISO guidelines for quality management systems auditing (ISO 19011:2002) and all auditors will be certified ISO external auditors. F. EVALUATION SYSTEM An organization will be evaluated on its approach to meeting the Standard Requirements and the extent to which they are deployed within the organization. Specifically, the word approach refers to: The methods used to accomplish the process The appropriateness of the methods The effectiveness of the organizations use of the methods The degree to which the approach is repeatable and based on reliable data and information (i.e., systematic) deployed refers to the extent to which: The approach is applied consistently The approach is used by all appropriate work units For each requirement, the organization will be given a rating of either Conforming or Non- Conforming. Canadian Air Transport Security Authority 4

5 G. RELATIONSHIP OF THIS STANDARD TO ISO 9001:2000 For organizations following the ISO 9001:2000 approach to quality management, the table in Appendix A cross-references, from CATSA s perspective, the Screening Contractor Management System Standard to ISO 9001:2000. Additionally, the CGSB will apply their experience and understanding of management system assessment at their discretion. H. REQUIREMENTS Part 1 Management Team commitment 1.1 The organization shall demonstrate its processes and resources used to affirm the Management Team s commitment to the development and implementation of its Management System and continually improving its effectiveness, including at a minimum that: a) the Directors and Management Team can provide evidence of a clear Criminal Record Check from a Canadian policing authority or have obtained Secret Clearance from the Government of Canada b) the organizations mission, values and Code of Ethics are documented and promoted throughout the organization c) levels of management responsibility and authority are appropriate to the mandate, size and complexity of the organization and are documented and understood by employees d) procedures and evidence exists that the Management Team communicates the importance of meeting customer as well as statutory and regulatory requirements to all employees e) procedures and evidence exists that the Management Team reviews, at scheduled intervals, the organizations Management System to ensure that it meets or exceeds customer as well as statutory and regulatory requirements. Part 2 Financial and general capability 2.1 The organization shall provide audited financial statements for the previous three years, where available. If audited financial statements are not available, then the candidate must provide: a) documentation detailing both current and long-term credit or borrowing instruments (i.e.: Lines of Credit, Loans, etc.) must be verified and signed off by a Lending and/or Banking Institution. b) documentation from the organization s Lending Institutions verifying that the organization is not currently in breach of any of the Lending Institutions banking covenants must be verified and singed off by a Lending and/or Banking Institution. Canadian Air Transport Security Authority 5

6 Part 3 Human resource optimization 3.1 The organization shall demonstrate its planning process for ensuring it has the capability to meet the human resource challenges presented by national, regional and local employment markets and conditions; including at a minimum how it assesses its workforce capability and capacity needs, including skills, competencies and staffing levels. 3.2 The organization shall demonstrate programs or activities designed to foster an organizational culture that results in a motivated workforce. 3.3 The organization shall demonstrate a Human Resource Information System and procedures that provide, at a minimum: a) electronic and hardcopy reports of relevant employee information, for example, employee training status, availability, and language capabilities b) current employee status and planned intervals for updating and maintenance of records c) the ability to be modified or customized to add and maintain new requirements for employee information 3.4 The organization shall demonstrate a Payroll System and procedures that result in on-time delivery of accurate employee compensation. 3.5 The organization shall demonstrate its recruitment and retention processes to fill and maintain the categories of human resources required at the management and nonmanagement levels, including at a minimum: a) a documented policy and/or strategy for attracting new employees b) a documented policy and/or strategy for retaining existing employees c) a documented policy and/or strategy for career development d) a documented compensation and benefits program e) programs for improving employee engagement and commitment to their work f) evidence of an employee assistance program g) evidence of a reward and recognition program h) evidence of a skills and knowledge-based training program i) evidence of pre-employment qualification assessments of employees, including records of the criteria, competencies and testing used for qualifying an employees suitability to customer service roles j) a procedure for checking employee references 3.6 The organization shall demonstrate the processes and resources to manage employees providing service to a third party where those employees are represented by a union, including: a) Dispute Resolution, Collective Bargaining, Resource Transition Management b) corporate experience and understanding of: i) administering a collective agreement (i.e., the resolution of workplace disputes through the grievance and arbitration process) by providing copies of collective agreements ii) a documented policy and/or strategy for the negotiation of collective agreements iii) a documented policy and/or strategy for the management of legal and illegal labour disruptions by employees. Canadian Air Transport Security Authority 6

7 Part 4 Service delivery excellence 4.1 The organization shall demonstrate the processes and resources necessary to: a) determine customer requirements (stated and not stated by the customer) for service delivery and post-service delivery activities b) determine statutory or regulatory requirements related to the service c) determine how contract amendments are resolved and implemented d) determine and implement effective communication with customers in relation to service delivery information, including contract amendments. 4.2 The organization shall demonstrate an employee scheduling process for the deployment of human resources that meet client and service requirements, including: a) a procedure for dealing with fluctuating requirements that include part-time, split-shift and full-time employees b) the ability to demonstrate its use through the provision of current and previous work schedules. 4.3 The organization shall demonstrate its administrative management processes including those meant to ensure the timely and accurate flow of information, including at a minimum: a) billing details b) cost substantiation c) work or billing authorizations d) the existence of an employee time recording system e) organizational policies and procedures for the completion and approval of time sheets f) reporting and control features of the time recording system g) the process used to reconcile the labour distribution to the payroll register and supporting documentation. 4.4 The organization shall demonstrate the processes and resources to plan and carry out service delivery under controlled conditions, including at a minimum: a) the availability of readily identifiable work instructions b) a procedure for disseminating new and updated work instructions to employees c) management oversight and monitoring d) the availability and use of equipment and measuring devices, where applicable 4.5 The organization shall demonstrate the processes and resources to care for customer property while it is under the organization s control or being used by the organization. 4.6 The organization shall demonstrate or define the processes and resources to plan and carry out Emergency Planning and Preparedness in the service delivery environment. Part 5 - Performance measurement and continuous improvement 5.1 The organization shall demonstrate its ability to report on key contractual performance indicators and the way in which it measures the achievement of key performance indicators by providing copies of current and previous performance management reports. Canadian Air Transport Security Authority 7

8 5.2 The organization shall demonstrate how it collects and reports appropriate data for monitoring and measurement of the service delivery process, including at a minimum: a) customer satisfaction reports b) employee attrition rate reports c) conformity to service requirements reports. 5.3 The organization shall demonstrate the controls and related responsibilities and authorities for dealing with a nonconforming service and to ensure that any service which does not conform to service standards is discontinued. 5.4 The organization shall demonstrate the processes used to eliminate the cause of nonconformities in order to prevent recurrence and potential nonconformities, including at a minimum, a documented procedure: a) for reviewing nonconformities (including customer complaints) b) for determining the cause of nonconformities c) determining and implementing action needed d) recording the results of action taken e) reviewing corrective action taken. Canadian Air Transport Security Authority 8

9 APPENDIX A Relationship of the Standard to ISO 9001:2000 For organizations following the ISO 9001:2000 approach to quality management, the table below cross-references, from CATSA s perspective, the Screening Contractor Management System Standard to ISO 9001:2000. Additionally, the CGSB will apply their experience and understanding of management system assessment at their discretion. Section headings Page numbers ISO 9001 Ref. Part 1 Management Team commitment Management Team commitment 5.1 / 5.2 / 5.5.1/ / Part 2 Financial and general capability Financial Statements Part 3 Human resource optimization Capability Motivated Workforce Human Resource Information System Payroll System Staff Recruitment Management of Personnel Represented by a Union Part 4 Service delivery excellence Service Delivery Employee Scheduling 7.1 / Administrative Management Service Delivery Control Customer Property Emergency Control 6.4 Part 5 Performance measurement and continuous improvement Key Contractual Performance indicators Report Service Delivery Monitoring and Measurement Data 8.1 / Control of a Nonconforming Service Corrective and Preventive Action / Canadian Air Transport Security Authority 9