Appendix 4 APPENDIX 4. IDENTIFYING THE ACCOUNTABLE EXECUTIVE To assist the organization with the selection of their accountable executive, Figures A4-1 and 2 provide flowcharts with a series of questions. Figure A4-1 identifies different organizational structures and how those structures may determine the accountable executive.
FIGURE A4-1. ACCOUNTABLE EXECUTIVE DECISION PROCESS Accountable Executive Decision Process Confirm selection Is the organization Proprietor is by answering the Accountable a sole proprietor Accountable Executive questions on Executive ship? Yes page 2 No Proprietor is Accountable Executive Is the Nominate a Confirm selection organization a partnership partner as by answering the between Accountable questions on individuals? Yes Executive page 2 Nominated partner is No Accountable Executive Is the Has the Board Confirm selection controlled by a organization appointed a CEO or by answering the Directors? Board of Yes equivalent to manage the organization? questions on page 2 No No CEO is Accountable Executive Chairman of Board is Accountable Executive Who in the What is the most organization senior position in holds this the company? position?
If a clear selection cannot be made, NO yes re-evaluate Confirm selection Identified person is organization and by answering the Accountable Executive begin process questions on page again Page 1
Appendix 4 FIGURE A4-2. VERIFYING THE ACCOUNTABLE EXECUTIVE Once the accountable executive is identified (Figure A4-1), the questions in Figure 9 will assist in verifying that the selected person is the correct choice. In Figure A4-2, all questions must receive a "yes" answer. Should any of the questions result in a "no" answer, you should start the selection process again with a new candidate.
Start Identity person by name Select another candidate Does the person have final $5.25 (a) (1) authority over the service provider's operations?
No Yes Does the person control the financial resources required for §5.25 (a) (2) → the service provider's operation?
No Yes Does the person control the §5.25 (a) (3) human resources required to → conduct the service provider's operations? No Does the person retain the ultimate responsibility for the safety §5.25 (a) (4) performance of the service provider's operations? No Yes This person is the Accountable Executive
Appendix 5 APPENDIX 5. SAMPLE GAP ANALYSIS AND IMPLEMENTATION PLAN
EXCERPTS FIGURE A5-1. AIR CARRIER GAP ANALYSIS TOOL Air Carrier Gap Analysis Tool Integrated Flt. Ops Dispatch MTC Cabin Ground Cargo Training System Assmt Assmt Assmt Assmt Assmt Assmt Assmt Rating Rating Rating Rating Rating Rating Rating § 5.71(a)(7) Confidential Employee Sample gap analysis Process Objective Reporting System results for compliance with Confidential To provide a Employee Reporting means for employees to communicate safety information to management.
Regulatory Requirement Does our N/A ASAP None ASAP ASAP None None Included organization have Current Current Impl. in in processes and progress divisions systems to acquire data with respect to our operations, products, and services to monitor the safety performance to include a confidential employee reporting system in which employees can report hazards, issues, concerns, etc.?
FIGURE A5-2. SAMPLE WORK BREAKOUT SCHEDULE Task Name Duration Start Finish Predecessors 4th Quarter | 1st Quarter | 2nd Quarter • 3rd Quarter Sep Oct | Nov Dec Jan Feb Mar Apr May Jun Jut | Aug Sep
- SMS Implementation - XYZ Corporation 215 days Mon 10/1/12 Fri 7/26/13 2 = Employee Reporting System (§ 5.71(a)(7)) 215 days Mon 10/1/12 Fri 7/26/13 Ensure Flight Ops ASAP is aligned with Part 5 30 days Mon 10/1/12 Fri 11/9/12 Ensure Maintenance ASAP is aligned with Part 5 30 days Mon 11/12/12 Fri 12/21/12 3 = Incorporate Cabin into existing ASAP 60 days Mon 12/24/12 Fri 3/15/13 4 Create necessary interfaces 30 days Mon 12/24/12 Fri 2/1/13 Test interfaces 10 days Mon 2/4/13 Fri 2/15/13|6 Ensure employees have appropriate access 15 days Mon 2/18/13 Fri 3/8/13 7 Run sample inputs to test access 5 days Mon 3/11/13 Fri 3/15/13 8 10 System goes live 0 days Fri 3/15/13 Fri 3/15/13|9 W15 11 = Incorporate Ground into existing ASAP 60 days Mon 12/24/12 Fri 3/15/13 5SS 12 Create necessary interfaces 30 days Mon 12/24/12 Fri 2/1/13 13 Test interfaces 10 days Mon 2/4/13 Fri 2/15/13|12 14 Ensure employees have appropriate access 15 days Mon 2/18/13 Fri 3/8/13|13 15 Run sample inputs to test access 5 days Mon 3/11/13 Fri 3/15/13|14 16 System goes live 0 days Fri 3/15/13 Fri 3/15/13 15 17 = Develop employee reporting system for Dispatch 95 days Mon 3/18/13 Fri 7/26/13 | 5 18 Document requirements 20 days Mon 3/18/13 Fri 4/12/13 19 Develop system/tool 45 days Mon 4/15/13 Fri 6/14/13|18 20 Test system/tool 10 days Mon 6/17/13 Fri 6/28/13 19 21 Ensure employees have appropriate access 15 days Mon 7/1/13 Fri 7/19/13 | 20 Run sample inputs to test access 5 days Mon 7/22/13 Fri 7/26/13|21 23 System goes live 0 days Fri 7/26/13 Fri 7/26/13 22 24 - Develop employee reporting system for Cargo 95 days Mon 3/18/13 Fri 7/26/13 / 17SS 25 Document requirements 20 days Mon 3/18/13 Fri 4/12/13 26 Develop system/tool 45 days Mon 4/15/13 Fri 6/14/13|25 27 Test system/tool 10 days Mon 6/17/13 Fri 6/28/13 26 28 Ensure employees have appropriate access 15 days Mon 7/1/13 Fri 7/19/13 | 27 29 30 System goes live Run sample inputs to test access 5 days 0 days Mon 7/22/13 Fri 7/26/13 Fri 7/26/13 | 29 Fri 7/26/13 | 28 · 7126 Page 2
Appendix 6
APPENDIX 6. REFERENCES AND ADDITIONAL INFORMATION
a. Safety Management System (SMS)-Related Web Sites. For additional information regarding Safety Management Systems you may want to visit the following Web sites:
(1) FAA Public SMS Web site:
http://www.faa.gov/about/initiatives/sms/specifics_by_aviation_industry_type/
(2) ICAO Publications and Resources Web site:
http://www.icao.int/anb/safetymanagement/Documents.html
(3) ICAO SMS Training Web site:
http://www.icao.int/anb/safetymanagement/training/training.html
(4) Transport Canada SMS Web site: http://www.tc.gc.ca/civilaviation/sms/menu.htm
(5) Transport Canada Process to Assess Industry SMS Web site:
http://www.tc.gc.ca/CivilAviation/SMS/Training/Module9/menu.htm
(6) Australian Government Civil Aviation Safety Authority SMS Training Web site:
http://www.casa.gov.au/scripts/nc.dll?WCMS:STANDARD:1779027664:pc=PC_91435
(7) Civil Aviation Authority of New Zealand SMS Web site:
http://www.caa.govt.nz/SMS/SMS_home.htm
(8) WBAT (Web-Based Application Tool): WBAT (maintained by Universal Technical Resource Services, Inc. (UTRS)) provides aviation service providers with a secure, fully customizable system that promotes safety and accountability across five employee groups. UTRS developed WBAT with funding from the FAA, and will deliver free on-site training and electronic support to Certificate Holders. The UTRS point of contact can be reached at info@wbat.org.
(9) Advisory Circulars (AC) 00.2 and AC 00-44: The current edition of AC 00.2, Advisory Circular Checklist and Status of Other FAA Publications, contains a listing of all ACs.
The current edition of AC 00-44, Status of Federal Aviation Regulations, contains a listing of the Codes of Federal Regulations (CFR) and current prices.
(10) ACs Online: You can get copies of this and other ACs online at http://www.faa.gov/regulations_policies/advisory_circulars.
(11) Regulations Online: You can also obtain a copy of current regulations online at http://www.gpoaccess.gov/ecfr.
(12) FAA Web Site: Our Web site is at http://www.faa.gov. The Flight Standards Information Management System (FSIMS) Web site is located at http://fsims.faa.gov.
Appendix 6
b. Related Reading Material. The following documents (current editions), may be helpful in developing an SMS:
• Title 14 CFR Part 5, Safety Management Systems for Certificate Holders Operating under 14 CFR Part 121.
• AC 00-58, Voluntary Disclosure Reporting Program (VDRP).
• AC 120-59, Air Carrier Internal Evaluation Programs (IEP).
• AC 120-66, Aviation Safety Action Programs (ASAP).
• AC 120-79, Developing and Implementing a Continuing Analysis and Surveillance System (CASS).
• AC 120-82, Flight Operational Quality Assurance (FOQA).
• FAA Order VS 8000.367, Aviation Safety (AVS) Safety Management System Requirements.
• FAA Order 8000.369, Safety Management System Guidance.
• Annex 6 to the Convention on International Civil Aviation, Part 1, International Commercial Air Transport, Aeroplanes (with Amendment 33).
• International Civil Aviation Organization (ICAO) Document 9859, ICAO Safety Management Manual (SMM, Second Edition, 2009).