APPENDIX 1. SMS CROSS-REFERENCE FOR TRANSITIONING SMS PILOT
PROJECT PARTICIPANTS The following table provides a cross reference between Advisory Circular (AC) 120-92A, Appendix 1, Safety Management System Framework: Functional Expectations, and Title 14 of the Code of Federal Regulations (14 CFR) part 5. It is an aid to service providers who have implemented all or part of an SMS under AC 120-92A. The FAA emphasizes that this cross-reference chart does not mean that an existing process automatically satisfies the pertinent part 5 requirements. Certificate holders should conduct a gap analysis, or a similar procedure, to ascertain whether changes need to be made to their existing processes in order to satisfy the requirements of part 5.
FIGURE A1-1. SAFETY MANAGEMENT SYSTEM PILOT PROJECT6 AC 120-92A–PART 5 CROSS-REFERENCE AC 120-92A, Appendix 1 (SMSPP) Framework Title 14 CFR Part 5 Component 1.0 Safety Policy and Objectives § 5.3(a)(1), Subpart A, General Requirements Element 1.1 Safety Policy § 5.21, Safety Policy, Subpart B Safety Policy Element 1.2 Management Commitment and Safety Accountabilities § 5.23, Safety Accountability and Authority, § 119.65 Requirements, § 121.135 Manual Contents, and § 121.369 Manual Requirements Element 1.3 Key Safety Personnel § 5.25, Designation and Responsibilities of Required Safety Management Personnel, § 119.65 Requirements Element 1.4 Emergency Preparedness and Response § 5.27, Coordination of Emergency Response Planning Element 1.5 SMS Documentation and Records Subpart F, SMS Documentation and Recordkeeping, §§ 5.95, 5.97 and 121.135 Component 2.0 Safety Risk Management Subpart C, Safety Risk Management, § 5.51 Applicability Element 2.1 System Analysis & Hazard Identification § 5.53, System Analysis and Hazard Identification Process 2.1.1 System Description and Task Analysis § 5.53(a) and (b) Process 2.1.2 Identify Hazards § 5.53(c) Element 2.2 Risk Assessment and Control §5.55(a), Safety Risk Assessment and Control Process 2.2.1 Analyze Safety Risk § 5.55(a) Process 2.2.2 Assess Safety Risk § 5.55(b)
6 This cross-reference is included to assist carriers who originally developed their documentation in accordance with AC 120-92A, Appendix 2, and for alignment with international standards. The items referenced as “components” or “elements” are also consistent with International Civil Aviation Organization (ICAO) Annex 19, Appendix 2, the ICAO SMS Framework.
Appendix 1 AC 120-92A, Appendix 1 (SMSPP) Framework Title 14 CFR Part 5 Process 2.2.3 Control/Mitigate Safety Risk § 5.55(c) Component 3.0 Safety Assurance Subpart D, Safety Assurance Element 3.1 Safety Performance Monitoring and Measurement § 5.71, Safety Performance Monitoring and Measurement Process 3.1.1 Continuous Monitoring § 5.71(a)(1) and (2) Process 3.1.2 Internal Audits by Operational Departments § 5.71(a)(3) Process 3.1.3 Internal Evaluation § 5.71(a)(4) Process 3.1.4 External Auditing of the SMS § 5.71(a)(3) Process 3.1.5 Investigation § 5.71(a)(5) and (6) Process 3.1.6 Employee Reporting and Feedback System § 5.71(a)(7) Process 3.1.7 Analysis of Data § 5.71(b) Process 3.1.8 System Assessment § 5.73(a), Safety Performance Assessment Element 3.2 Management of Change § 5.73(b) and (a)(2)–(5) Element 3.3 Continuous Improvement § 5.75, Continuous Improvement Process 3.3.1 Preventive/Corrective Action § 5.75 Process 3.3.2 Management Review § 5.73(a) Component 4.0 Safety Promotion Subpart E, Safety Promotion Element 4.1 Competencies and Training § 5.91, Competencies and Training Process 4.1.1 Personnel Requirements (Competence) § 5.91 Process 4.1.2 Training § 5.91 Element 4.2 Communication and Awareness § 5.93, Safety Communication
Appendix 2 APPENDIX 2. SAFETY RISK MANAGEMENT (SRM) WORKSHEETS The worksheets in this appendix are provided to illustrate the SRM process and a possible way to develop and document the SRM processes required under Title 14 of the Code of Federal Regulations (14 CFR) part 5, subpart C. These worksheets are provided for illustrative purposes only. Carriers may develop their own record keeping 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.
FIGURE A2-1. SAFETY RISK MANAGEMENT TRIGGERING CONDITIONS AND
SUMMARY NOTE: Refer to part 5, § 5.51 Title:
Reason for Risk Assessment New System Design Change to Existing System Design New Operational Procedure Modification to an Existing Operation or Procedure Operational Environment Change Ineffective Risk Control
Brief Summary
Where signed below, the authorized manager has determined that no new hazards have been introduced by this change:
Name:
Signature:
Appendix 2 FIGURE A2-2. SYSTEM ANALYSIS NOTE: Refer to § 5.53(a) and (b).
Responsible Manager:
Authority for Implementation and Risk Acceptance:
Function and Purpose of the System or Change:
Description of Operating Environment Related Hazards
Personnel
Equipment
Facilities
Appendix 2 FIGURE A2-3. HAZARD LIST NOTE: Refer to §§ 5.53(c) and 5.23 (a)(1).
System/Project: __________________________ Responsible Manager: __________________________ Hazard Potential Consequence(s) H1 H2 H3 H4 H5 H6 H7 H8 H9 H10
Appendix 2 FIGURE A2-4. 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 2 FIGURE A2-5. RISK ANALYSIS AND ASSESSMENT SUMMARY NOTE: Refer to §§ 5.55(b) and 5.23(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 2 FIGURE A2-6. RISK CONTROL NOTE: Refer to § 5.55(c) and (d).
System/Project: ___________________________________________________________ Responsible Manager: ___________________________________________________________ Hazard Control Substitute Risk Residual Risk H1 H2 H3 H4 H5 H6 H7 H8 H9 H10
Appendix 2 Page 7 (and 8) FIGURE A2-7. RISK CONTROL DOCUMENTATION NOTE: Refer to 14 CFR part 5, subpart F.
System/Project: ___________________________________________________________
Hazard Procedure Documentation H1 H2 H3 H4 H5 H6 H7 H8 H9 H10
Appendix 3 Page 1 (and 2) APPENDIX 3. SAMPLE SAFETY POLICY STATEMENT The Executive Management of [Certificate Holder’s name] recognizes that an effective Safety Management System (SMS) is vital to the success and longevity of the Company. Therefore the Executive Management is committed to implementing and maintaining a fully functional SMS and to the continuous improvement of the level of safety throughout [Certificate Holder’s name].
• Executive Management of [Certificate Holder’s name] will establish specific safety-related objectives and will periodically publish and distribute to all employees those objectives and plans.
• These safety objectives will be monitored, measured, and tracked to ensure overall corporate safety objectives are met. All employees and individuals in the company have the responsibility to perform their duties and activities in the safest practical manner.
• [Certificate Holder’s name] Executive Management is committed to providing the necessary financial, personnel, and other resources to establish and maintain a fully functional SMS.
• [Certificate Holder’s name] Executive Management is dedicated to establishing a confidential employee reporting system to report all hazards, accidents, incidents, and safety issues without fear of reprisal.
• Activities involving intentional disregard for FAA regulations, company policies and procedures, illegal activities, and/or drugs or alcohol may be subject to disciplinary action.
• As a component of the SMS, [Certificate Holder’s name] Executive Management is committed to establishing, maintaining, and periodically exercising an emergency response procedure and plan that provides for the safe transition from normal to emergency operations.
Executive Management will convey this expectation to all employees through postings, intranet site, company newsletter, and any other means to ensure all employees are aware of the company’s SMS, their duties and responsibilities, and our safety policy.
This safety policy will be periodically reviewed by Executive Management to ensure it remains relevant and appropriate to the company.
[Signed], Accountable Executive [Additional management personnel optional]