Appendix 2 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 Page 7 (and 8)
Appendix 3 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] Page 1 (and 2)
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 a sole proprietor Proprietor is Accountable Executive by answering the questions on Accountable Executive ship? Yes page 2 Proprietor is No Accountable Executive Is the Nominate a Confirm selection organization a partner as by answering the partnership between Accountable questions on individuals? Yes Executive page 2 Nominated partner is Accountable Executive Is the Has the Board Confirm selection controlled by a organization Board of equivalent to manage appointed a CEO or by answering the questions on Directors? Yes the organization? 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 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 Yes 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 Page 2
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 Reporting System Employee results for compliance Sample gap analysis Process Objective 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.?
Appendix 5 FIGURE A5-2. SAMPLE WORK BREAKOUT SCHEDULE Task Name Duration Start Finish Predecessors Sep Oct Nov Dec Jan Feb Mar Apr May Jun | Jul Aug Sep
- SMS Implementation - XYZ Corporation 215 days Mon 10/1/12 Fri 7/26/13 = 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 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
- Develop employee reporting system for Dispatch 95 days Mon 3/18/13 Fri 7/26/13 5 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 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 7/28/13 21 System goes live 0 days Fri 7/26/13 Fri 7/26/13 22
- Develop employee reporting system for Cargo 95 days Mon 3/18/13 Fri 7/26/13 17SS Document requirements 20 days Mon 3/18/13 Fri 4/12/13 Develop system/tool 45 days Mon 4/15/13 Fri 6/14/13 25 Test system/tool 10 days Mon 6/17/13 Fri 6/28/13 26 Ensure employees have appropriate access 15 days Mon 7/1/13 Fri 7/19/13 27 Run sample inputs to test access 5 days Mon 7/22/13 Fri 7/26/13 28 System goes live 0 days Fri 7/26/13 Fri 7/26/13 29 7/26 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).