Par 3-6 Page 45 (regarding new bird strike avoidance techniques) may be in a “Notices” section of the Flight Operations Manual (FOM), and may be reinforced by recurrent training. Hazard communications made to line maintenance technicians (regarding birds roosting and nesting in flight controls, auxiliary power unit (APU) intakes, and engine cowlings) may be conveyed by posters and changes to daily inspection procedures. Hazard communications regarding birds made to ground service personnel may be in the form of posters, videos, and demonstrations (cleaning and removing bird droppings from windshields).
(7) Scalability.
(a) Small. Communicating safety considerations to employees will probably be simple and direct. For example, the company owner or the organization could conduct regular all-hands/employee meetings, such as “hangar talk sessions.” Additionally, communication could include regular and periodic briefings to the employees, posting the status of safety issues on bulletin boards, emails to employees, and face-to-face meetings with division management teams.
(b) Medium. Communication methods may be more structured than in small organizations. Safety information may be published throughout the company by printed or electronic means. Safety meetings are likely more structured and formal. Communication and feedback may be formalized in order to provide information to individual employees as well as organization-wide information for cross-boundary issues and/or common hazards.
(c) Large. Communication is more likely to be formal and a tracking system may be used to ensure that the appropriate safety messages are delivered to the appropriate personnel.
Information technology (IT) approaches, such as email broadcasts or intranet Web sites, may be considered to facilitate directing the flow of safety information and recording its accomplishment for evaluation and auditing purposes.
3-7. SUBPART F: SMS DOCUMENTATION AND RECORDKEEPING.
a. Introduction.
(1) SRR. Part 5, Subpart F.
(2) Related Regulatory Requirements. None.
(3) ICAO/SMSPP. Element 1.5.
(4) Discussion. You must establish and maintain SMS information, in either paper or electronic form, describing the safety-related processes and procedures. Additionally, you must maintain the SMS records discussed below for a specified period of time.
b. SMS Documentation.
(1) SRR. Section 5.95.
(2) Related Regulatory Requirements. None.
Par 3-7 Page 46
(3) ICAO/SMSPP. Element 1.5.
(4) Part 5 Requirements.
(5) Discussion. You must establish and maintain SMS information, in either paper or electronic form, describing the safety-related processes and procedures and interfaces between these. You should also implement a distribution system to ensure that the documents dealing with these processes and procedures are promptly updated whenever there is a change in one or more of these processes or procedures.
(6) Scalability.
(a) Small and Medium. The owner/manager or designee may be responsible for maintaining and distributing current versions of guidance documents. Documentation may consist of a set of typewritten documents, spreadsheets, and forms that are kept in file cabinets or binders. Managers of medium-size companies need the same type of information to make decisions, although the volume is typically larger than that of a small company and smaller than that of a large organization.
(b) Large. Documentation and recordkeeping processes for a large organization may use a WBAT, unique software applications, or development of new database tools to support risk reporting and analysis. These organizations should examine existing tools and infrastructure, as it is likely that these can be leveraged (modified) to meet SMS requirements.
c. SMS Records.
(1) SRR. Section 5.97.
(2) Related Regulatory Requirements. None.
(3) ICAO/SMSPP. Element 1.5.
§ 5.95 SMS documentation.
The certificate holder must develop and maintain SMS documentation that describes the certificate holder’s:
(a) Safety policy.
(b) SMS processes and procedures.
Par 3-7 Page 47 (and 48)
(4) Part 5 Requirements.
(5) Discussion. The timeline associated with the retention of the documents required by the regulation for outputs of SRM processes would be for as long as they remain relevant to the operation. For risk assessments, this may mean for as long as the air carrier engages in the activity for which the risk assessment was conducted. For risk controls, it may mean for as long as the risk control remains in effect.
(6) Scalability.
(a) Small. The owner/manager or designee may be responsible for maintaining auditable records. Documentation may consist of handwritten records, spreadsheets, and completed forms that are kept in file cabinets or binders.
(b) Medium. An individual or small staff may coordinate document maintenance and retention. This staff may use a combination of paper and electronic media to administer the process. Some records may be retained by department heads in accordance with a procedure delegating this responsibility.
(c) Large. The organization may have a dedicated records staff or department whose duties include document distribution and records retention. Due to the size and complexity of the organization, the use of technology is probably more pronounced.
§ 5.97 SMS records.
(a) The certificate holder must 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.
(b) The certificate holder must 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.
(c) The certificate holder must 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 certificate holder.
(d) The certificate holder must retain records of all communications provided under § 5.93 for a minimum of 24 consecutive calendar-months.
Par 4-1 Page 49 CHAPTER 4. IMPLEMENTATION: BUILDING A SAFETY MANAGEMENT SYSTEM (SMS)
4-1. PROCESS OVERVIEW.
a. Existing Title 14 of the Federal Code of Regulations (14 CFR) Part 121 Certificate Holders. For existing part 121 certificate holders, the process of creating an SMS and an implementation plan consists of the following:
• Mapping and analyzing your existing organization,
• Determining the extent to which your organization already complies with the requirements of 14 CFR part 5,
• Developing a plan to comply with the requirements of part 5 with which your organization does not already comply, and
• Submitting the plan to the Federal Aviation Administration (FAA) for approval.
NOTE: Existing part 121 certificate holders who wish to use their implementation plan that has been validated through SMS Pilot Project (SMSPP)/SMS Voluntary Program (SMSVP) must update their implementation plan to ensure compliance with part 5.
b. New Certification. SMS implementation for a certificate applicant is different than that for a certificate holder. The implementation plan requirement and the specific deadline for full SMS implementation is dependent on when your organization’s formal application for a part 121 certificate is accepted by the FAA.
(1) Applicants Completing Formal Application After March 9, 2015. According to 14 CFR part 119, § 119.8, applicants that have not completed formal application prior to March 9, 2015 must demonstrate that they meet the full requirements of 14 CFR part 5 prior to being issued a certificate. The application process for a part 121 certificate can be found in FAA Order 8900.1, Volume 10 (ATOS), Chapter 6, Section 2, Certification Process Document or Volume 2, Chapter 3 for Safety Assurance System (SAS).
(2) Applicants Completing Formal Application Prior to March 9, 2015. Applicants that have completed formal application prior to March 9, 2015 may be issued certificates;
however, they are still responsible for meeting the deadlines set out in §§ 119.8 and 5.1.
(a) Applicants Completing All Other Certification Requirements Prior to September 9, 2015. These applicants can be certificated without an SMS implementation plan.
However, they must submit an SMS implementation plan prior to September 9, 2015 for approval by the FAA.
(b) Applicants Completing All Other Certification Requirements Prior to March 9, 2016. These applicants must submit an SMS implementation plan for review by the FAA prior to being issued a certificate. They must have an approved implantation plan prior to March 9, 2016.
Par 4-1 Page 50
(c) Applicants Completing All Other Certification Requirements After March 9, 2016. Prior to receiving a part 121 certificate, these applicants will be required to have an approved SMS implementation plan for completion of all part 5 requirements prior to March 9, 2018.
(d) Applicants Unable to Complete All Certification Requirements Prior to March 9, 2018. These applicants will be required to demonstrate compliance with all requirements for SMS prior to being issued a certificate.
4-2. MAPPING AND ANALYZING YOUR ORGANIZATION. The first step in developing an SMS is mapping out and analyzing your organization. The initial mapping and analysis starts by describing and documenting your organizational structure, operational environment, and specific functions of each department.
a. Organizational Description. An organizational description should detail your company’s departments by operations, as well as management personnel responsible for the company’s systems (e.g., flight operations, training, ground operations, cabin safety, dispatch, maintenance). The organizational description may include, for example, discussion of using contractors for fueling and deicing operations, maintenance functions, etc. It is also common for unions of various employee groups to be discussed and described during the organizational description process.
b. Analysis. Following the organizational description, an analysis should describe and document what each department does, identify responsible and/or accountable personnel, and record who has the authority to modify processes and procedures and accept risk for each department. Typical timeframes: A small service provider may complete an organizational description in a few days; a medium-size service provider may do so within a couple of weeks, and a large organization may need a month or more.
4-3. CONDUCTING A GAP ANALYSIS. To build an implementation plan, you need to understand your current state of compliance with part 5, as well as programs you may already have that could be used to satisfy the requirements of part 5. A gap analysis involves analyzing and assessing your existing programs, systems, processes, and activities with respect to SMS requirements found in part 5. Your company may use any technique to identify what needs to be done to implement an SMS. If you chose to utilize a gap analysis, the completed gap analysis will provide input for development of your implementation plan.
a. Organizational Processes. Most certificate holders have many of the elements of an SMS in their current operational processes, although those processes may not entirely fulfill the requirements of part 5 (e.g., they may be limited in scope (do not cover the entire organization) and interoperability (do not interface sufficiently to form a “system”)). A list of regulatory and voluntary programs that may be appropriate for inclusion in your SMS to satisfy the requirements of part 5 can be found in Chapter 5, Integrating Existing Safety Programs into the Safety Management System (SMS).
b. Gap Analysis. In order to establish overall organizational compliance, the certificate holder should compare its current organizational processes to part 5 requirements.
Par 4-3 Page 51 An implementation plan is then prepared to fill the gaps identified in the analysis. An optional FAA Gap Analysis Tool has been developed to assist certificate holders in their gap analysis efforts. An example is available in Appendix 5, Sample Gap Analysis and Implementation Plan Excerpts, but any method and/or tool that ensures complete coverage of part 5 requirements may be used by the certificate holder.
NOTE: If you determine that a process in your organization satisfies part 5, your gap analysis should identify how that process meets the requirements of part 5.
4-4. PREPARING AN IMPLEMENTATION PLAN.
a. What is an Implementation Plan?
(1) An implementation plan is a document that outlines the steps the air carrier plans to take to ensure that it has an SMS that is acceptable to the FAA by March 9, 2018.
(2) The requirements for an implementation plan are in §§ 5.1(b) and (c).
(3) To ensure that resources are being allocated and to monitor the development and implementation of the SMS, your accountable executive should be designated prior to the development of the implementation plan. The accountable executive is ultimately responsible for implementation and performance of the SMS.
b. What an Implementation Plan Should Cover. The implementation plan must cover the functions of your organization that directly impact aviation safety and the complete timeline of SMS development.
(1) It should include milestones for the development of the processes and procedures required by part 5.
(2) It should be updated as necessary as SMS implementation progresses.
(3) It should show a reference to each applicable part 5 section requirement and include a brief description explaining either:
• How you already comply with the specified requirement, or
• How you plan to comply with the requirement.
(4) The implementation plan should assign responsibility for completing implementation tasks/actions.
NOTE: An SMS process is considered “implemented” and in compliance with part 5 when: all process documentation (manuals) is complete and published; all process personnel are available and trained; all hardware/software is available and in the location of its intended use; and the Certificate Management Team (CMT) has validated the process.
Par 4-4 Page 52
(5) The implementation plan need not be complex or excessively detailed, but should provide a basic roadmap to meet part 5 requirements. The implementation plan may consist of more than one document, combined with the gap analysis document, or created in a format useful to your company. An implementation plan can be found in Appendix 5, Sample Gap Analysis and Implementation Plan Excerpts. If you are a part 121 certificate holder, your implementation plan must be approved by your respective CMT.
(6) Similar to the gap analysis process, you should receive input from the managers of all your organizational divisions and functional areas covered by the SMS. This is necessary to form a plan filling in all the gaps discovered during the gap analysis.
4-5. PHASED SMS IMPLEMENTATION STRATEGY.
a. Introduction. One recommended, but not required, way to implement an SMS is through a phased implementation approach. The sample SMS implementation strategy has four phases. For example, the four levels of phased implementation could be:
• Level 1 - Planning and organization,
• Level 2 - Basic safety management,
• Level 3 - Fully functional SMS, and
• Level 4 - Continuous improvement.
NOTE: Utilizing this method, the overall complexity of the task is divided into smaller, more manageable subcomponents.
b. Implementation Levels—Overview. The overall objective of the levels is to develop and implement an integrated, comprehensive SMS for your entire organization. Phased implementation can be thought of as organizational learning — the same building block approach often used in training and education of personnel. The recommended SMS development levels, as follows, are suggested but not required. Your organization may determine and develop your own phases, levels, divisional implementation strategies, etc. This four-level approach is only a representative template. Figure 4-1, Recommended Safety Management System (SMS) Implementation Levels, illustrates the recommended levels of SMS development and implementation.
Par 4-5 Page 53 FIGURE 4-1. RECOMMENDED SAFETY MANAGEMENT SYSTEM
IMPLEMENTATION LEVELS
(1) Implementation Level 1: Planning and Organization. Level 1 begins when your management team commits to providing the resources necessary for full SMS implementation.
Level 1 includes a thorough understanding of your organizational structure and a comparison (gap analysis) between the part 5 requirements and your organizational structure. Your organization will develop an implementation plan to bridge your identified gaps. The final implementation plan must be approved by your CMT.
(2) Implementation Level 2: Basic Safety Management. Level 2 is where you develop and implement basic Safety Risk Management (SRM) and Safety Assurance (SA) processes and apply those processes to existing systems. This is often called the “reactive phase.”
At this phase, your company is able to identify hazards and address unacceptable risk. Level 2 implementation, depending on the size and complexity of the organization, typically takes 12 months to complete.
(3) Implementation Level 3: Functional SMS. Level 3 is where your SRM process will be applied to the initial design of systems, processes, organizations, and services;
development of new or changed operational procedures; and planned changes to operational processes. This is the “proactive/predictive” phase, where risks in future planned operations are addressed. Both the SRM and SA processes developed at Level 2 are now applied in a predictive manner —applying safety management to something that you have not done before. At the completion of Level 3, you have a fully implemented SMS.
(4) Implementation Level 4: Continuous Improvement. At Level 4, you are monitoring your SMS and operational processes. By the time you reach this level, all required SMS processes are already in place. A major objective of a successful SMS is to attain and maintain this continuous improvement status for the life of the organization.
c. SMS Implementation Layout. Figure 4-2, Safety Management System Development, shows an example of a high-level phased implementation layout. An implementation plan prepared according to this layout would apply milestones, responsibilities, resources, and documentation.
4 1 2 3 Basic Safety Management
Fully Functional SMS
Continuous Improvement Planning & Organization
Par 4-5 Page 54 FIGURE 4-2. SAFETY MANAGEMENT SYSTEM DEVELOPMENT SMS Processes should be implemented by the indicated Level of Implementation Implementation Level SMS Processes 1 2 3 Part 5, Subpart B - Safety Policy (SMSPP 1.0) X § 5.21 - Safety Policy (SMSPP 1.1) X § 5.23 - Safety Accountability and Authority (SMSPP 1.2) X § 5.25 - Designation and responsibilities of required safety management personnel (SMSPP 1.3) (*1) X § 5.27 - Coordination of emergency response planning (SMSPP 1.4) X Part 5, Subpart C - Safety Risk Management (SRM) (SMSPP 2.0) (*4) X § 5.51 - Applicability - (SMSPP 2.0) X § 5.53 - System analysis and hazard identification (SMSPP 2.1) (*4) X § 5.53(a) and (b) - System analysis (SMSPP 2.1.1) X § 5.53(c) - Hazard Identification (SMSPP 2.1.2) X § 5.55 - Safety Risk Assessment and Control (SMSPP 2.2) X § 5.55(a) - Analyze Safety Risk (SMSPP 2.2.1) X § 5.55(b) - Safety Risk Assessment (SMSPP 2.1.2) X § 5.55(c) - Safety Risk Control (SMSPP 2.1.3) X Part 5, Subpart D - Safety Assurance (SA) (SMSPP 3.0) (*3) X § 5.71 - Safety Performance Monitoring and Measurement (SMSPP 3.1) X § 5.71(a)(1) and (2) - Monitoring (SMSPP 3.1.1) X § 5.71(a)(3) - Auditing (SMSPP 3.1.2 and 3.1.4) X § 5.71(a)(4) - Evaluations (SMSPP 3.1.3) X § 5.71(a)(5) and (6) - Investigations (SMSPP 3.1.5) X § 5.71(a)(7) - Confidential Employee Reporting System (SMSPP 3.1.6) X § 5.71(b) - Analyze Data (SMSPP 3.1.7) X § 5.73 - Safety Performance Assessment (SMSPP 3.1.8) (*3) X § 5.75 - Continuous Improvement (SMSPP 3.3) X § 5.75 - Correct Safety Performance (SMSPP 3.3.1) X Part 5, Subpart E - Safety Promotion (SMSPP 4.0) X § 5.91 - Competencies and Training (SMSPP 4.1, 4.1.1 and 4.1.2) (*2) X X § 5.93 - Safety Communication (SMSPP 4.2) X Part 5, Subpart F - SMS Documentation and Recordkeeping (SMSPP 1.5) X § 5.95 - SMS Documentation (SMSPP 1.5) X § 5.97 - SMS Records (SMSPP 1.5) X (*1) Level 1 - Implement - § 5.25(c)(1) only (*2) Level 1 - A training plan is expected for all personnel (*3) Level 2 - Only implement § 5.53(a) and (b) as it pertains to existing (known) hazards (No need to baseline entire organization). Do not implement § 5.73a(4) and (5) (*4) Level 2 - Implementation of § 5.53, will be limited in level 2 by the lack of the system analysis process (§ 5.53(a) and (b) (SMSPP 2.1.1)) and § 5.73a(4) and (5)
Par 4-5 Page 55 (and 54) SMS Processes should be implemented by the indicated Level of Implementation Implementation Level SMS Processes 1 2 3 Part 5, Subpart B - Safety Policy (SMSPP 1.0) X § 5.21 - Safety Policy (SMSPP 1.1) X § 5.23 - Safety Accountability and Authority (SMSPP 1.2) X § 5.25 - Designation and responsibilities of required safety management personnel (SMSPP 1.3) (*1) X § 5.27 - Coordination of emergency response planning (SMSPP 1.4) X Part 5, Subpart C - Safety Risk Management (SRM) (SMSPP 2.0) (*4) X § 5.51 - Applicability - (SMSPP 2.0) X § 5.53 - System analysis and hazard identification (SMSPP 2.1) (*4) X § 5.53(a) and (b) - System analysis (SMSPP 2.1.1) X § 5.53(c) - Hazard Identification (SMSPP 2.1.2) X § 5.55 - Safety Risk Assessment and Control (SMSPP 2.2) X § 5.55(a) - Analyze Safety Risk (SMSPP 2.2.1) X § 5.55(b) - Safety Risk Assessment (SMSPP 2.1.2) X § 5.55(c) - Safety Risk Control (SMSPP 2.1.3) X Part 5, Subpart D - Safety Assurance (SA) (SMSPP 3.0) (*3) X § 5.71 - Safety Performance Monitoring and Measurement (SMSPP 3.1) X § 5.71(a)(1) and (2) - Monitoring (SMSPP 3.1.1) X § 5.71(a)(3) - Auditing (SMSPP 3.1.2 and 3.1.4) X § 5.71(a)(4) - Evaluations (SMSPP 3.1.3) X § 5.71(a)(5) and (6) - Investigations (SMSPP 3.1.5) X § 5.71(a)(7) - Confidential Employee Reporting System (SMSPP 3.1.6) X § 5.71(b) - Analyze Data (SMSPP 3.1.7) X § 5.73 - Safety Performance Assessment (SMSPP 3.1.8) (*3) X § 5.75 - Continuous Improvement (SMSPP 3.3) X § 5.75 - Correct Safety Performance (SMSPP 3.3.1) X Part 5, Subpart E - Safety Promotion (SMSPP 4.0) X § 5.91 - Competencies and Training (SMSPP 4.1, 4.1.1 and 4.1.2) (*2) X X § 5.93 - Safety Communication (SMSPP 4.2) X Part 5, Subpart F - SMS Documentation and Recordkeeping (SMSPP 1.5) X § 5.95 - SMS Documentation (SMSPP 1.5) X § 5.97 - SMS Records (SMSPP 1.5) X (*1) Level 1 - Implement - § 5.25(c)(1) only (*2) Level 1 - A training plan is expected for all personnel (*3) Level 2 - Only implement § 5.53(a) and (b) as it pertains to existing (known) hazards (No need to baseline entire organization). Do not implement § 5.73a(4) and (5) (*4) Level 2 - Implementation of § 5.53, will be limited in level 2 by the lack of the system analysis process (§ 5.53(a) and (b) (SMSPP 2.1.1)) and § 5.73a(4) and (5)