Appendix A A-9 Part 5 Section Text ICAO Framework Components and Elements § 5.53(b)(4) (4) The personnel, equipment, and facilities necessary for operation of the system. 2.1 § 5.53(b)(5) (5) The interfaces of the system. 2.1 § 5.53(c)
(c) Any person required to have an SMS under this part must develop and maintain processes to identify hazards within the context of the system analysis.
2.1
§ 5.55 Safety risk assessment and control.
§ 5.55 Any person required to have an SMS under this part must: N/A § 5.55(a) (a) Develop and maintain processes to analyze safety risk associated with the hazards identified in § 5.53(c). 2.2 § 5.55(b) (b) Define a process for conducting risk assessment that allows for the determination of acceptable safety risk. 2.2 § 5.55(c)
(c) Develop and maintain processes to develop safety risk controls that are necessary as a result of the safety risk assessment process under paragraph (b) of this section.
2.2 § 5.55(d)
(d) Evaluate whether the risk will be acceptable with the proposed safety risk control applied before the safety risk control is implemented.
N/A
§ 5.57 Notification of hazards to interfacing persons. 2.2 § 5.57 If a person required to have an SMS under this part identifies a hazard in the operating environment, the person must provide notice of the hazard to any interfacing person that, to the best of the person’s knowledge, could address the hazard or mitigate the risk. For the purpose of this section, interfacing persons are those that contribute to the safety of the certificate or Letter of Authorization holder’s aviation-related products and services.
2.2
Appendix A A-10 Part 5 Section Text ICAO Framework Components and Elements Subpart D Safety Assurance 3.0
§ 5.71 Safety performance monitoring and measurement.
§ 5.71(a)
(a) Any person required to have an SMS under this part must develop and maintain processes and systems to acquire data with respect to its operations, products, and services to monitor the safety performance of the organization. These processes and systems must include, at a minimum, the following:
3.1.1 § 5.71(a)(1) (1) Monitoring of operational processes. 3.1.1 § 5.71(a)(2) (2) Monitoring of the operational environment to detect changes. 3.1.1 § 5.71(a)(3) (3) Auditing of operational processes and systems. 3.1.1 § 5.71(a)(4) (4) Evaluations of the SMS and operational processes and systems. 3.1.1 § 5.71(a)(5) (5) Investigations of incidents and accidents. 3.1.1 § 5.71(a)(6)
(6) Investigations of reports regarding potential non-compliance with regulatory standards or other safety risk controls established by the person through the safety risk management process established in subpart C of this part.
3.1.1 § 5.71(a)(7)
(7) A confidential employee reporting system in which employees can report hazards, issues, concerns, occurrences, incidents, as well as propose solutions and safety improvements, without concern of reprisal for reporting.
3.1.1 § 5.71(a)(8) (8) Investigations of hazard notifications that have been received from external sources. 3.1.1 § 5.71(b)
(b) Any person required to have an SMS under this part must develop and maintain processes that analyze the data acquired through the processes and systems identified under paragraph (a) of this section and any other relevant data with respect to its operations, products, and services.
3.1
Appendix A A-11 Part 5 Section Text ICAO Framework Components and Elements § 5.73 Safety performance assessment.
§ 5.73(a)
(a) Any person required to have an SMS under this part must conduct assessments of its safety performance against its safety objectives, which include reviews by the accountable executive, to:
3.2 § 5.73(a)(1) (1) Ensure compliance with the safety risk controls established by the person. 3.2 § 5.73(a)(2) (2) Evaluate the performance of the SMS. 3.2 § 5.73(a)(3)
(3) Evaluate the effectiveness of the safety risk controls established under § 5.55(c) and identify any ineffective controls.
3.2 § 5.73(a)(4) (4) Identify changes in the operational environment that may introduce new hazards. 3.2 § 5.73(a)(5) (5) Identify new hazards. 3.2 § 5.73(b)
(b) Upon completion of the assessment, if ineffective controls or new hazards are identified under paragraphs (a)(2) through (5) of this section, the person must use the safety risk management process described in subpart C of this part.
3.2
§ 5.75 Continuous improvement.
§ 5.75 Any person required to have an SMS under this part must establish and implement processes to correct safety performance deficiencies identified in the assessments conducted under § 5.73.
3.3
Subpart E Safety Promotion 4.0
§ 5.91 Competencies and training.
§ 5.91 Any person required to have an SMS under this part must provide training to each individual identified in § 5.23 of this part to ensure the individuals attain and maintain the competencies necessary to perform their duties relevant to the operation and performance of the SMS.
4.1
Appendix A A-12 Part 5 Section Text ICAO Framework Components and Elements
§ 5.93 Safety communication.
§ 5.93 Any person required to have an SMS under this part must develop and maintain means for communicating safety information that, at a minimum:
4.2 § 5.93(a)
(a) Ensures that employees are aware of the SMS policies, processes, and tools that are relevant to their responsibilities.
4.2 § 5.93(b) (b) Conveys hazard information relevant to the employee’s responsibilities. 4.2 § 5.93(c) (c) Explains why safety actions have been taken. 4.2 § 5.93(d) (d) Explains why safety procedures are introduced or changed. 4.2
Subpart F SMS Documentation and Recordkeeping. 1.5
§ 5.95 SMS documentation. 1.5 § 5.95 Any person required to have an SMS under this part must develop and maintain the following SMS documentation:
1.5.1 § 5.95(a) (a) Safety policy. 1.5.1 § 5.95(b) (b) SMS processes and procedures. 1.5.1
§ 5.97 SMS records. 1.5 § 5.97 Any person required to have an SMS under this part must:
§ 5.97(a)
(a) Maintain records of outputs of safety risk management processes as described in subpart C of this part. Such records must be retained for as long as the control remains relevant to the operation.
1.5.2 § 5.97(b)
(b) Maintain records of outputs of safety assurance processes as described in subpart D of this part. Such records must be retained for a minimum of 5 years.
1.5.2
Appendix A A-13 Part 5 Section Text ICAO Framework Components and Elements § 5.97(c)
(c) Maintain a record of all training provided under § 5.91 for each individual. Such records must be retained for as long as the individual is employed by the person.
1.5.2 § 5.97(d)
(d) Retain records of all communications provided under § 5.93 or § 5.57 for a minimum of 24 consecutive calendar months.
1.5.2
Appendix B B-1 APPENDIX B. SAMPLE SAFETY RISK MANAGEMENT (SRM) WORKSHEETS B.1 The sample worksheets in this appendix are provided to illustrate the Safety Risk Management (SRM) process and a possible way to develop and document the SRM processes required under 14 CFR part 5 subpart C. These worksheets are provided for illustrative purposes only. Aviation organizations may develop their own recordkeeping systems and should determine the amount and depth of documentation and recordkeeping that are needed to show compliance. Not all situations will require the same degree of detail.
Appendix B B-2 Figure B-1. Safety Risk Management Triggering Conditions and Summary Note: Refer to part 5, § 5.51.
Title:
Reason for Risk Assessment Implementation of new systems Revision of existing systems Development of operational procedures Identification of hazards or ineffective risk controls through the safety assurance processes in part 5 subpart D
Brief Summary
Where signed below, the responsible manager/process owner has determined that no new hazards have been introduced by this change.
Name:
Signature:
Appendix B B-3 Figure B-2. System Analysis Note: Refer to § 5.53(a) and (b ).
Responsible Manager/Process Owner:
Authority for Implementation and Risk Acceptance:
Function and Purpose of the System or Change:
Description of Operating Environment
Personnel
Equipment
Facilities
Internal Interfaces
External Interfaces
Appendix B B-4 Figure B-3. Hazard List Note: Refer to §§ 5.23(a)(1) and 5.53(c).
System/Project:
Responsible Manager/Process Owner:
Hazard Potential Consequence(s) H1 H2 H3 H4 H5 H6 H7 H8 H9 H10
Appendix B B-5 Figure B-4. Risk Analysis Note: Refer to § 5.55(a).
Pre-Control Post-Control Hazard Potential Consequences Severity Likelihood Substitute Risk? Severity Likelihood H1 H2 H3 H4 H5 H6 H7 H8 H9 H10
Appendix B B-6 Figure B-5. Risk Analysis and Assessment Summary Note: Refer to §§ 5.23(b) and 5.55(b).
Acceptance Authority (Sign Here and Initial Appropriate Columns):
Pre-Control Accept? Post-Control Accept?
Hazard Potential Consequences Severity Likelihood Severity Likelihood H1 H2 H3 H4 H5 H6 H7 H8 H9 H10
Appendix B B-7 Figure B-6. Risk Control Note: Refer to § 5.55(c) and (d).
System/Project:
Responsible Manager/Process Owner:
Hazard Control Substitute Risk Residual Risk H1 H2 H3 H4 H5 H6 H7 H8 H9 H10