Sms Implementation Guide

FAA: FAA:SMS SMSImplementation ImplementationGuide Guide Revision Revision3 3
Ta2le o% 3ontents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
S AFETY MANAGEMENT S YS TEM (S MS ) IMP EMENTATI!N G"I#E
Appendi= .444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444403 evel . E=pe)tations444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444403 Appendi= 0444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444473 evel 0 E=pe)tations444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444473 Fo$: Appendi= 3444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444480 evel 3 E=pe)tations444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444480
Mana'ement S&stem (SMS) Pilot P$o(e)t Appendi=Sa%et& 6444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444491 evel 6 E=pe)tations444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444491 Pa$ti)ipants and *olunta$& Implementation o% Se$vi)e p$ovide$ SMS P$o'$ams Appendi= 7444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444490
P$elimina$& Gap Anal&sis Tool444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444490 Appendi= 84444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444;. #etailed Gap Anal&sis Tool4444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444;.
Fede$al Aviation Administ$ation Appendi= 944444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444.77 SMS Assessment P$oto)ol 44444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444.77 Fli'+t Standa$ds Se$vi)e , SMS P$o'$am !%%i)e
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Revision 3 Appendi= <44444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444.81 E=ample ette$ o% A)?no>led'ement 4444444444444444444444444444444444444444444444444444444444444444444444444444444.81 -une ./ 01.1
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FAA: SMS Implementation Guide Revision 3
G"I#AN3E F!R SMS PI !T PR!-E3T (SMS PP) AN# *! "NTARY SMS IMP EMENTATI!N A3TI*ITIES
.4 P"RP!SE
a4This SMS Implementation Guide: (.)Contains guidance, expectations and procedures necessary to implement a Safety Management System (SMS !y a"iation ser"ice pro"iders (air operators, a"iation maintenance organi#ations, flight training organi#ations, etc$ $ (0)%ro"ides a three&le"el recognition sy stem to ac'no(ledge ser"ice pro"ider participation in the SMS %% and associated de"elopment of their SMS in relation to )** expectations and international standards$ 24 This implementation guide is not mandatory and does not constitute a regulation$ +e"elopment and implementation of an SMS is, therefore, "oluntary$ ,hile the )ederal *"iation *dministration ()** encourages each ser"ice pro"ider to de"elop and implement an SMS, these systems in no (ay su!stitute for regulatory compliance or (ith other certificate re-uirements, (here applica!le$ 04 !5-E3TI*E 4The o"erall o!.ecti"e of this implementation guide is to assist a ser"ice pro"ider in de"eloping and implementing an integrated, comprehensi"e Safety Management System for their entire organi#ation$ Specifically, it (ill help ensure that a ser"ice pro"ider/s SMS (ill !e capa!le of: a40ecei"ing safety input from internal and external sources and integrating that information into their operational processes1 242sta!lishing and impro"ing organi#ational safety policy to the highest le"el1 )4Identifying, analy#ing, assessing, controlling and mitigating safety ha#ards1 d4Measuring, assuring and impro"ing safety management at the highest le"el1 e4%romoting an impro"ed safety culture throughout their entire organi#ation1 and %40eali#ing a return on SMS in"estment through impro"ed efficiency and reduced operational ris'$ The implementation guide (ill also assist )** Certificate Management Teams (CMTs in e"aluating organi#ations/ SMS programs and participating in further de"elopment of implementation and o"ersight strategies$

Note: @it+in t+e )onte=t o% t+is do)ument/ t+e te$m AFAA 3e$ti%i)ate Mana'ement TeamB o$ (ust plain 3MT/ $e%e$s to an& FAA ove$si'+t o$'aniCation/ su)+ as an Ai$ T$anspo$tation !ve$si'+t S&stem 3e$ti%i)ate Mana'ement Team (AT!S 3MT)/ 3e$ti%i)ate Mana'ement !%%i)e (3M!)/ 3e$ti%i)ate :oldin' #ist$i)t !%%i)e (3:#!)/ Fli'+t Standa$ds #ist$i)t !%%i)e (FS#!) and an& ot+e$ desi'nation t+at in)ludes FAA P$in)ipal Inspe)to$s4
34 APP I3A5I ITY4 This implementation guide is designed for application !y !oth certificated and non&certificated a"iation ser"ice pro"iders that desire to de"elop and implement an SMS$ *n SMS is not currently re-uired for 4$S$ certificate holders1 ho(e"er, the )** "ie(s the expectations in the )** SMS Framework to !e the minimum characteristics (expectations for a ro!ust and therefore recogni#a!le SMS, as de"eloped !y ser"ice pro"iders$ This implementation guide is !ased on the SMS Framework.
Note: @it+in t+e )onte=t o% t+is do)ument/ t+e te$m aviation se$vi)e p$ovide$ $e%e$s to an& o$'aniCation p$ovidin' aviation se$vi)es4 T+e te$m in)ludes )e$ti%i)ated and non,)e$ti%i)ated aviation o$'aniCations/ aviation se$vi)e p$ovide$s/ ai$ )a$$ie$s/ ai$lines/ maintenan)e $epai$ o$'aniCations/ ai$ ta=i ope$ato$s/ sin'le pilot ope$ato$s/ )o$po$ate %li'+t depa$tments/ $epai$ stations/ pilot s)+ools/ app$oved t$ainin' o$'aniCations t+at a$e e=posed to sa%et& $is?s du$in' t+e p$ovision o% t+ei$ se$vi)es and o$'aniCations $esponsi2le %o$ t&pe desi'n andDo$ manu%a)tu$e o% ai$)$a%t4 T+e te$m aviation service provider is inte$)+an'ea2le >it+ t+e te$m o rganization and service provider >it+in t+is do)ument4
64 REFEREN3ES4 The follo(ing references are recommended reading material for users of this implementation guide in de"elopment and implementation of an SMS$ a4*nnex 5 to the Con"ention on International Ci"il *"iation, Operation of Aircraft ICAO Safety
24International Ci"il *"iation 6rgani#ation (IC*6 +ocument 7897, Management Manual (SMM) )4IC*6 +ocument 7:3;, Safety Oversight Manual d4)** 6rder 8<<<$357, Safety Management System Guidance
e4 )** 6rder =S 8<<<$35:, Aviation Safety (AVS) Safety Management System Re uirements %4)** 6rder 8<<<$358, !light Standards Service Oversight '4 SMS !rame"or# , )**, *)S SMS %rogram 6ffice Safety Management System !rame"or# +4 SMS Assurance Guide , )**, *)S SMS %rogram 6ffice Safety Management System Assurance Guide i4 SMS Guide$oo# for %eveloping a Safety Management System for Air Operators (Currently in de"elopment ;

74 G"I#AN3E #!3"MENTS AN# T!! S4 a4 FAA Guidan)e $ The )** continues to consider and re"ie( a formal SMS rulema'ing effort corresponding to changes made in IC*6 *nnex 5 as (ell as the )**/s o(n internal System Safetyo!.ecti"es$ The )** *ssociate *dministrator for Safety issued 6rder =S 8<<<$1, Safety Management System %octrine , in 2<<5 (0ecently replaced !y 6rder 8<<<$357, Safety Management System Guidance $ These documents pro"ide a high&le"el description for SMS implementation across the >ational *irspace System$ 24 A*S Guidan)e4 )** 6rder =S 8<<<$35:, Aviation Safety (AVS) Safety Management System Re uirements (as issued in 2<<8$ *t *ppendix ?, &roduct'Service &rovider SMS Re uirements outlines the minimum set of re-uirements that must !e esta!lished for constituent ser"ice pro"iders to implement a Safety Management System$ *t present, ho(e"er, SMS implementation !y ser"ice pro"iders remains "oluntary in the 4nited States$ )4 SMS P$o'$am !%%i)e Guidan)e $ *d"isory Circular (*C 12<&72 has !een the @standardA for "oluntary SMS implementation since 2<<5$ The SMS %rogram 6ffice (SMS %6 has re"ised *C 12<&72 (*C 12<&72* , to !ring it in alignment (ith the current IC*6 SMS Framework , to conform to )** 6rder =S 8<<<$35:, and to incorporate impro"ements !ased on feed!ac' from users$
N!TE: In t+e inte$im/ t+e SMS P! +as issued a Guide and t+is SMS Implementation Guide
SMS Framework do)ument/ SMS Assurance / to se$ve as 'uidan)e until A3 .01,<0A/ is $eleased4
(.) SMS F$ame>o$?4 The SMS %6 has de"eloped an SMS Framework document1 it is the current @standardA for "oluntary implementation of SMS !y ser"ice pro"iders$ It is similar in scope and format to the international IS6 standards and is modeled after the safety, -uality, and en"ironmental management standards de"eloped !y a "ariety of organi#ations such as IS6, the ?ritish Standards Institute, Transport Canada, Standards *ustralia, and the International *ir Transportation *ssociation (I*T* $ The SMS Framework also incorporates the current re-uirements of *nnex 5, of the con"entions of the International Ci"il *"iation 6rgani#ation (IC*6 , the current re-uirements of )** 6rder =S 8<<<$35:, *ppendix ?, and is closely aligned (ith the current IC*6 SMS Framework $ There are only minor functional differences !et(een the SMS Framework and *ppendix 1 of *C 12<&721 ho(e"er layout, num!ering and formatting ha"e !een significantly impro"ed for ease of use$ (0) SMS Assu$an)e Guide4 The SMS %rogram 6ffice has de"eloped an SMS Assurance Guide as an assessment tool for ser"ice pro"iders and CMTs$ The SMS Assurance Guide represents each functional expectation found in the SMS Framework in the form of a -uestion and is intended to !e used during the de"elopment and implementation of an SMS !y an organi#ation or !y the )** CMT for o"ersight guidance$ The SMS Assurance Guide is !ased entirely on the SMS Framework. Compliance (ith the SMS Assurance Guide (ill insure compliance (ith the SMS Framework. If differences in interpretation occur, the SMS Framework (ill pre"ail$ (3) SMS Implementation Guide4 In 2<<:, the SMS %6 pu!lished SMS implementation guidelines in +raft *C BB&B ( Voluntary Implementation of Safety Management Systems (SMS) , and later issued a separate Interim Guidance for Voluntary SMS 9

Implementation )evel One Activities document$ )eed!ac' and communication from early SMS implementer/s indicated a need for additional clarity in SMS implementation expectations$ In 2<<7, the SMS %6 issued this SMS Implementation Guide, (hichsupe$sedes 2ot+ p$evious do)uments4 This SMS Implementation Guide contains guidance, expectations and procedures necessary to implement an SMS$ N!TE: 4ntil *C 12<&72* is released (expected CulD*ug, 2<1< , the SMS Framework / SMS Assurance Guide and this SMS Implementation Guide should ser"e as guidance for SMS o!.ecti"es, expectations and implementation procedures for SMS %% participants and others desiring "oluntary implementation of SMS$ (6) Gap Anal&sis P$o)esses and Tools4 *n initial step in de"eloping an SMS is for the ser"ice pro"ider to analy#e and assess its existing programs, systems, processes, and acti"ities (ith respect to the SMS functional expectations found in the SMS Framework $ This process is called a @gap analysisA1 the @gapsA !eing those elements in the SMS Framework that are not already !eing performed !y the ser"ice pro"ider$ T(o types of gap analysis processes are preformed: (a$ The @%reliminary Gap *nalysisA process, performed onsite (ith the assistance of the Implementation Support Team (IST, descri!ed !elo( , the ser"ice pro"ider/s management and the )** CMT (consisting of principal inspectors and other inspectors in"ol"ed (ith certificate o"ersight $ The preliminary gap analysis represents an @executi"e o"er"ie(A, a high le"el su!.ecti"e analysis of (here the ser"ice pro"ider stands (ith respect to the SMS Framework $ (!$ The @+etailed Gap *nalysisA process is a much more in&depth process and is performed !y the ser"ice pro"ider ((ith the in"ol"ement of the company/s )** CMT $ It is a comprehensi"e and thorough assessment of each program, process and control of the organi#ation as compared to the o!.ecti"es and expectations of the SMS Framework $ +epending upon the si#e and complexity of the organi#ation, the detailed gap analysis may ta'e ; to 5 months to complete$ The detailed gap analysis is a @li"ingA process and (ill !e continuously updated as SMS implementation progresses$ N!TE: ?oth the preliminary and detailed gap analysis processes co"er all areas of company operations and all elements of the SMS Framework $ d4 Assessment Tools4 +uring early 2<<7, industry user feed!ac' indicated considera!le difficulty in completing the gap analysis (ith the original Safety *ttri!ute Inspection (S*I design assessment tools$ )or this reason, a ne( set of %reliminary and +etailed Gap *nalysis Tools has !een completed to ser"e in the interim (hile the S*I design assessment tools are re"ised$ The purpose of these interim tools is to con"ey the expectations of the SMS Framework in a user&friendly format1 as such they are spreadsheets that contain the same -uestions found in the SMS Assurance Guide. The SMS Assurance Guide is !ased on the SMS Framework and the 5 system attri!utes de"eloped for the *ir Transportation 6"ersight System (*T6S and are no( part of IC*6 recommended practices$ *dditional room for the inclusion of source document references and progressDstatus !y company di"isions is pro"ided in these tools$ The titles of company di"isions at the top of the gap analysis tools may !e customi#ed to fit the indi"idual structural of the ser"ice pro"ider$ 5

If conflicts !et(een the language in the gap analysis tools and the SMS Framework are found, the language in the SMS Framework should pre"ail$ The 'ey o!.ecti"e of the gap analysis is to determine (hether or not existing programs or processes in the company meet the expectations delineated in the SMS Framework, so this o!.ecti"e should !e 'ept in mind throughout the gap analysis and planning process$ 84 SMS PI !T PR!-E3T (SMS PP)4 In 2<<:, the )** initiated the SMS%% for ser"ice pro"iders desiring to "oluntarily de"elop SMS programs$ SMS %% studies are conducted to trac' and e"aluate multiple data&point results, as (ell as to pro"ide ser"ice pro"iders (ith a means of de"eloping and implementing their SMS under )** mentorship$ a4 Spe)i%i) o2(e)tives of the SMS %% include de"eloping realistic solutions for: (.) ,hat is a realistic timeline for a phased implementation of an SMSE (0) ,hat are the easiest SMS expectations to implementE (3) ,hat are the most challenging SMS expectations to implementE (6) ,hat guidance is critical as opposed to .ust !eing helpfulE (7) ,hat are the pros F cons of implementing an SMS in a particular operational department first, "s$ implementing across an entire company/s operational sphere simultaneouslyE 24 Not Rule Ma?in'4 It is important to note that the SMS %% effort focuses on three areas1 1 implementation strategies1 2 o"ersight interfaces1 and 3 to gain experience for !oth the )** and ser"ice pro"iders, !ut N!T to develop Fede$al Aviation Re'ulations (FARs) o$ $ules $ There is an on&going rule&ma'ing pro.ect, separate from the %ilot %ro.ect, (hich is considering SMS regulatory re-uirements$ ,hile %ilot %ro.ect o!.ecti"es do not include the development of regulations, they certainly solicit and encourage feed!ac', input, !est practices and lessons learned from !oth an Industry perspecti"e, as (ell as from a regulator perspecti"e, (hich (ill !e considered and possi!ly incorporated into future guidance material$ )4 SMS Fo)us G$oup $ 6riginally formed !y the )** in 2<<3, the Safety Management System )ocus Group (SMS)G (as de"eloped after Coint %ro.ect +e"elopment 6rgani#ation (C%+6 de"elopment of an @SMS TemplateA for SMS Standards$ The SMS)G (as reconstituted in 2<<:, as a consortium of a"iation industry and )** representati"es, (ho meet periodically to pro"ide t(o&(ay communication !et(een the SMS %6 and participants in SMS %%, and others in"ol"ed in "oluntary SMS implementation$ The SMS)G also pro"ides a uni-ue forum for 'no(ledge sharing among participants$ The SMS)G meets t(ice a year and is hosted !y the SMS %6$ d4 SMS PP Pa$ti)ipants $ Ser"ice pro"iders of "arying types, si#e and complexity are (or'ing (ith the )** in "oluntary SMS Implementation %ilot %ro.ects$ *s of May 2<1<, more than 7<, )*0 %art 121, )*0 %art 139 6perators, %art 1;1D1;2 organi#ations and %art 1;9 0epair Stations are participating at "arious le"els and phases of "oluntary SMS implementation$ The ser"ice pro"ider organi#ations, SMS Implementation Support Team (IST and the respecti"e certificate o"ersight organi#ations (CG+6, )S+6, CMT, CM6, etc , are in"ol"ed throughout the entire SMS implementation process$ :

94 R! ES/ RESP!NSI5I ITIES/ AN# RE ATI!NS:IPS4 %articipation in SMS de"elopment is completely "oluntary and may !e terminated at any time !y the ser"ice pro"ider or the )**$ SMS %% participants (ill !enefit !y !eing early adopters of an SMS should implementation of the international re-uirement !e mandated through future )ederal *"iation 0egulations$ a4 Fli'+t Standa$ds SMS P$o'$am !%%i)e (SMS P!)4 )** 6rder )S 11<<$1* (dated 7D28D<8 )light Standards Ser"ice 6rgani#ational Gand!oo' identifies the responsi!ilities of the SMS %6$ (.) The SMS %6 pro"ides policy and guidance on )light Standards internally and externally oriented SMS re-uirements and interfaces, pro"ides support to the *)S +irector, +eputy +irector, and 2xecuti"e Steering Committee in execution of the *)S SMS doctrine, pro"ides direction, guidance, and coordination (ith head-uarters and field di"isions in de"elopment of SMS policies, procedures and (or' instructions, and is responsi!le for SMS standardi#ation and de"elopment of training re-uirements$ (0) Specific functions and responsi!ilities of the SMS %6 include: (a$ )ocal point for *)S in future SMS&related rulema'ing and policy de"elopment efforts1 (!$ 6"ersight and e"aluation of SMS colla!orati"e pro.ects1 (c$ Standardi#ation of concepts, functional re-uirements, and terminology across *)S managed and sponsored SMS programs, initiati"es, and contracted acti"ities1 (d$ +e"elopment and maintenance of SMS policy and guidance documentation1 (e$ +e"elopment of *)S SMS training re-uirements and mentorship of SMS related )** *cademy training1 (f$ +e"elopment of measures of safety performance and effecti"eness for !oth internal and external SMS1 (g$ +e"elopment and maintenance of SMS data collection and auditing tools1 (h$ +e"elopment and use of standardi#ed outreach, familiari#ation, and orientation materials for SMS1 and (i$ Coordination and management of an *)S SMS Implementation Support Team (IST to assist field organi#ations and ser"ice pro"iders in de"elopment and implementation of "oluntary and mandatory external SMS programs$ 8

24 Aviation Se$vi)e P$ovide$ !$'aniCations4 The SMS Framework pro"ides guidance for an ser"ice pro"ider to de"elop and document its SMS on a "oluntary !asis$ * separate SMS manual is not re-uired, ho(e"er many ser"ice pro"iders find a separate manual useful$ The SMS may !e documented in a form and manner that !est ser"es the ser"ice pro"iders need, ho(e"er, any modifications of existing )** appro"edDaccepted programs and their associated documents must !e coordinated (ith the appropriate )** o"ersight organi#ation$ Safety policies de"eloped !y ser"ice pro"iders/ top management (ill !e clearly communicated throughout the entire organi#ation$ Safety 0is' Management (S0M and Safety *ssurance (S* programs (ill !e de"eloped and maintained$ Safety %romotion (S% acti"ities (ill ta'e place to instill or reinforce a positi"e safety culture throughout the organi#ation$ )4 Implementation Suppo$t Team (IST)4 )ormed and managed !y the SMS %6, the SMS IST is comprised of selected SMS %6 personnel, )** 0egional 0epresentati"es, *)S 7<< )ield Support Team Mem!ers, )**STeam Mem!ers, )** Gead-uarters and field personnel$ The purpose of the IST is to pro"ide assistance, as re-uested, to the ser"ice pro"ider and its o"ersight organi#ation throughout the SMS de"elopment period$ This assistance (ill !e limited to guidance related to the de"elopment and implementation of the SMS, and may include !riefings, orientation sessions, meetings andDor seminars, as re-uired$ SMS IST mem!ers (ill not !e in"ol"ed in o"ersight of the ser"ice pro"ider and (ill not perform inspections, audits or e"aluations of the ser"ice pro"ider$ (.)Specifically, the Implementation Support Team >ill:
(a$ %ro"ide assistance, as re-uested, to the ser"ice pro"ider and its o"ersight organi#ation throughout the %ilot %ro.ect period1 (!$ %articipate in meetings (ith the ser"ice pro"ider and its o"ersight organi#ation, if re-uested1 (c$ 0e"ie( the ser"ice pro"ider/s implementation plan and other documents and pro"ide o!.ecti"e input1 (d$ +iscuss the re-uirements of exit criteria for all maturity phases of SMS implementation (ith the ser"ice pro"ider and its o"ersight organi#ation1 (e$ 0ecei"e pilot pro.ect inputs from !oth the ser"ice pro"ider and o"ersight organi#ation1 and (f$ 0eport on summari#ed data gathered from the pilot pro.ect$ d4 !ve$si'+t !$'aniCation4 The )** office (CM6, CMT, CG+6, )S+6, etc$ that normally pro"ides regulatory safety o"ersight of the ser"ice pro"ider (ill !e referred to as the @o"ersight organi#ationA or the CMT and (ill continue all of its normal o"ersight and certificate management duties$ *s organi#ations de"elop their SMS, a natural interaction !et(een the safety management efforts of the o"ersight organi#ation and those of the ser"ice pro"ider (ill de"elop$ This relationship can le"erage the efforts of !oth parties to pro"ide a more effecti"e, efficient, and proacti"e approach to meeting safety re-uirements (hile at the same time increasing the flexi!ility of the ser"ice pro"ider to tailor their safety management efforts to their indi"idual !usiness models$ 7

(.)In order to fully understand the ser"ice pro"ider/s approach to SMS, it is important for the o"ersight organi#ation to !e fully engaged during SMS de"elopment and implementation$ Colla!oration (ith the ser"ice pro"ider/s SMS de"elopment (ill also pro"ide the o"ersight organi#ation (ith an opportunity to gain experience in o"ersight of the SMS, as (ell as using SMS as a tool for interfacing (ith the ser"ice pro"ider/s management$
Note: An aviation se$vi)e p$ovide$ >ill not 2e a))epted into t+e SMS Pilot P$o(e)t >it+out pa$ti)ipation o% t+ei$ $espe)tive FAA ove$si'+t o$'aniCation4
(0)The o"ersight organi#ation (ill !e responsi!le for participating in the de"elopment process meetings and gap analysis/s including the Initial ,or'shop (descri!ed in *ppendix 1 meeting and the presentation of an implementation plan !y the ser"ice pro"ider$ The o"ersight organi#ation (ill also !e responsi!le for re"ie(ing the ser"ice pro"ider/s implementation plan and its accomplishment at each maturity le"el of the SMS implementation$ (3)Specifically, the o"ersight organi#ationDCMT is responsi!le to: (a$ 6"ersee and re"ie( gap analysis processes1 (!$ *ttend and participate in 6rientation, Cali!ration and =alidation meetings (ith the ser"ice pro"ider and IST1 (c$ 0e"ie( the ser"ice pro"ider/s implementation plan and other documents1 (d$ +iscuss the re-uirements of the exit criteria for all phases (ith the ser"ice pro"ider/s and the IST1 and (e$ %ro"ide input and feed!ac' to the IST regarding SMS implementation, documents and assessment tools$
Note: Neit+e$ FAA ove$si'+t o$'aniCations (3MT/ FS#!/ et)) no$ t+e SMS P! a$e )u$$entl& aut+o$iCed to app$ove o$ a))ept SMS p$o'$ams4 T+is in)ludes a))eptan)e o% an& pa$t/ p$o)ess o$ element o% an SMS t+ou'+ in)lusion in FAA app$ovedDa))epted do)uments su)+ as ope$ato$Da'en)& manuals (e4'4 G!M/ GMM/ et)4)4 FAA Noti)e ;<114SMS >ill add$ess t+is issue >+en it is pu2lis+ed (e=pe)ted -ulDAu'/ 01.1)4
;4 IMITATI!NS4 The SMS in no (ay su!stitutes for regulatory compliance (ith any certificate re-uirements, (here applica!le$ There are no ne( regulatory programs introduced$ a4 Aviation Sa%et& A)tion P$o'$am (ASAP) and Inte$nal Evaluation P$o'$ams (IEP)4 The )** is see'ing to increase the use of current "oluntary programs in the process of safety management, particularly use of the *S*%s and I2%s$ ?oth of these programs ha"e strong relationships to the functions of safety assurance and safety promotion in an SMS$ Ser"ice pro"iders are encouraged to consider integrating these programs, through existing processes, into a comprehensi"e approach to SMS$ 1<

2$ En%o$)ement In)entives $ Ser"ice pro"iders and their employees should !e a(are that, at present, the SMS andDor participation in the SMS %% andDor "oluntary SMS de"elopment can not pro"ide enforcement @incenti"esA that are outside pro"isions of existing )** programs (e$g$ *S*%, =+0%, *S0S $ *dditionally, it should !e noted that certain aspects of the final SMS rule, if and (hen issued, may differ from those used in the "oluntary implementation program$ It is ho(e"er, the o!.ecti"e of the )light Standards Ser"ice to maintain the "oluntary implementation and o"ersight processes in such a manner as to facilitate the smoothest transition from "oluntary to re-uired SMS programs, should they !e re-uired !y regulations in the future$ <4 SMS IMP EMENTATI!N STRATEGY4 a4 P+ased Implementation4 Initial SMS implementation strategy follo(s a four phased process similar to that outlined in the IC*6 Safety Management Manual (SMM $ IC*6, as (ell as other go"ernments that are in the process of implementing SMS re-uirements fa"or a phased implementation process$ The SMS implementation guidance presented in this document closely parallels the IC*6 recommended phased implementation process outlined in IC*6 +ocument 7897$ The phases of implementation are arranged in four le"els of implementation @maturityA, similar to that de"eloped as the Capa!ility Maturity Model (CMM !y the Soft(are 2ngineering Institute of Carnegie&Mellon 4ni"ersity$ This techni-ue is employed !y the 4$H$ Gealth and Safety 2xecuti"e (GS2 I e-ui"alent to 4$S$ 6SG* as a safety culture maturity model$
Note: T+e FAAEs app$oa)+ to a p+ased implementation o% a SMS is 2ased upon/ 2ut sli'+tl& di%%e$ent t+an t+e I3A! implementation st$ate'& e=p$essed in I3A! #o)ument <;7</ Sa%et& Mana'ement Manual (SMM)/ 3+apte$ .1/ Appendi=es . and 0 (Gantt 3+a$ts)4
(.)In the de"elopment and implementation of a SMS it is !est to !rea' do(n the o"erall complexity of the tas' into smaller, more managea!le su!components$ In this (ay, o"er(helming and sometimes confusing complexity, and its underlying (or'load, may !e turned into simpler and more transparent su!sets of acti"ities that only re-uire minor increases in (or'loads and resources$ This partial allocation of resources may !e more commensurate (ith the re-uirements of each acti"ity as (ell as the resources a"aila!le to the ser"ice pro"ider$ (0)The reasons that .ustify (hy a phased approach to SMS implementation is recommended can !e expressed as1 (a pro"iding a managea!le series of steps to follo( in implementing an SMS, including allocation of resources1 and (! effecti"ely managing the (or'load associated (ith SMS implementation$ (c a third reason, -uite distinct from the pre"ious t(o, !ut e-ually important, is a"oiding @cosmetic complianceA$ * ser"ice pro"ider should set as its o!.ecti"e the realistic implementation of a comprehensi"e and effecti"e SMS, not the to'ens of it$ Jou simply cannot @!uyA an SMS system or manual and expect the !enefits of a fully implemented SMS$ (3))eed!ac' from %ilot %ro.ect participants has sho(n that (hile full SMS implementation (ill certainly ta'e longer, the ro!ustness of the resulting SMS (ill !e enhanced and early !enefits reali#ed as each implementation phase is completed$ In this (ay, simpler safety management processes are esta!lished and !enefits reali#ed !efore mo"ing on to processes of greater complexity$ This is especially true (ith regard to Safety 0is' Management (S0M $ In the reacti"e phase (Ke"el 2 , a ser"ice pro"ider (ill !uild an S0M 11

system around 'no(n ha#ards (hich are already identified$ This allo(s company resources to !e focused on de"eloping ris' analysis, assessment and control processes (that fre-uently resol"e old long term issues and ha#ards unencum!ered !y the complexities necessary at the proacti"e (Ke"el 3 and predicti"e phases (Ke"el ; $ (6)In summary, guidance for a phased implementation of SMS aims at: (a$ %ro"iding a managea!le series of steps to follo( in implementing an SMS, including allocation of resources, (!$ 2ffecti"ely managing the (or'load associated (ith SMS implementation, (c$ %re&empting a @!ox chec'ingA exercise, and (d$ 0eali#ation of safety management !enefits and return on in"estment during an SMS implementation pro.ect$
12

.14 IMP EMENTATI!N E*E S4 The o"erall o!.ecti"e of the le"els is to @L develop and implement an integrated( comprehensive SMS for *the+ entire organi,ation-. )igure 1 illustrates the le"els of SMS de"elopment and implementation$ ; 3 2 1 <
Continuous Impro"ement
%roacti"e %rocesses
0eacti"e %rocesses
%lanning F 6rgani#ation
6rientation F Commitment
Fi'u$e .4 SMS Implementation evels a4 Implementation evel Fe$o: !$ientation G 3ommitment4 evel Ce$o is not so much a le"el as a status$ It indicates that the ser"ice pro"ider has not started formal SMS de"elopment or implementation and includes the time period !et(een a ser"ice pro"ider/s first re-uest for information from the )** on SMS implementation and (hen the ser"ice pro"ider/s top management commits to implementing an SMS$ (.) Ke"el #ero is a time for the ser"ice pro"ider to gather information, e"aluate corporate goals and o!.ecti"es and determine the "ia!ility of committing resources to an SMS implementation effort$ Information re-uested from the )** may !e satisfied (ith emailed documents andDor reference material andDor referrals to Internet (e! sites (((($faa$go"Da!outDinitiati"esDsms (here informationDdocumentsDtools may !e do(nloaded$ (0))ace&to face informational meetings !et(een the indi"idual ser"ice pro"ider, responsi!le )** CMT and the SMS %6 are not normally conducted at le"el #ero1 ho(e"er they may !e conducted on a case&!y&case !asis depending upon )** SMS %6 resource a"aila!ility and other circumstances$ (3)In lieu of indi"idual meetings, acti"ities such as group outreach presentations and group seminars (ill !e conducted in order to esta!lish relationships and define SMS %% expectations for ser"ice pro"ider/s top management and o"ersight organi#ations$ 24 Implementation evel !ne: Plannin' and !$'aniCation4 Ke"el 1 !egins (hen a se$vi)e p$ovide$ /s top management commits to pro"iding the resources necessary for full implementation of SMS through out the organi#ation$ 13

(.) Gap Anal&sis4 The first step in de"eloping an SMS is for the ser"ice pro"ider to analy#e its existing programs, systems, and acti"ities (ith respect to the SMS functional expectations found in the SMS Framework $ This analysis is a process and is called a @gap analysis,A the @gapsA !eing those elements in the SMS Framework that are not already !eing performed !y the ser"ice pro"ider$ (a$ The Gap *nalyses process should consider and encompass the entire organi#ation (e$g$, functions, processes, organi#ational departments, etc$ to !e co"ered !y the SMS$ *s a minimum, the gap analysis and SMS should co"er all of the expectations of the SMS Framework , Component 1$< ! (1 (a or (! , as appropriate$ (!$ The gap analysis should !e continuously !e updated as the ser"ice pro"ider progresses through the SMS implementation process$ * detailed discussion and a set of tools are a"aila!le in *ppendixes 1, 9 and 5, to assist the ser"ice pro"ider in conducting !oth the preliminary and detailed gap analysis process acti"ities$ (0) Implementation Plan4 6nce the gap analysis has !een performed, an implementation plan is prepared$ The implementation plan is simply a @road mapA descri!ing ho( the ser"ice pro"ider intends to close the existing gaps !y meeting the o!.ecti"es and expectations in the SMS Framework $ (a$ ,hile no actual de"elopment acti"ities are expected during le"el one, !eyond those listed in the SMS Framework (2lements 1$1, 1$2 (partial , 1$3 and ;$1$1 (partial , the ser"ice pro"ider organi#es resources, assigns responsi!ilities, sets schedules and defines o!.ecti"es necessary to address all gaps identified$ (!$ It should !e noted that at each le"el of implementation, top management/s appro"al of the implementation plan must include allocation of necessary resources I*, element 1$2 ! (2 $ )4 Implementation evel T>o: Rea)tive P$o)ess/ 5asi) Ris? Mana'ement4 *t le"el t(o, the ser"ice pro"ider de"elops and implements a !asic S0M process and plan, organi#e and prepare the organi#ation for further SMS de"elopment$ Information ac-uisition, processing, and analysis functions are implemented and a trac'ing system for ris' control and correcti"e actions are esta!lished$ *t this phase, the ser"ice pro"ider corrects 'no(n deficiencies in safety management practices and operational processes and de"elops an a(areness of ha#ards and responds (ith appropriate systematic application of pre"entati"e or correcti"e actions$ This allo(s the ser"ice pro"ider to react to un(anted e"ents and pro!lems as they occur and de"elop appropriate remedial action$ )or this reason, this le"el is termed @reacti"e$A This (ill include complying (ith the expectations in *ppendix 2$ ,hile this is not the final o!.ecti"e of an SMS, it is an important step in the e"olution of safety management capa!ilities$ d4 Implementation evel T+$ee: P$oa)tive P$o)esses/ oo?in' A+ead4 ()ully&)unctioning SMS Component 2$< ! (2 (a , of the SMS Framework expects S0M to !e applied to initial design of systems, processes, organi#ations, and products, de"elopment of operational procedures, and planned 1;

changes to operational processes$ The acti"ities in"ol"ed in the S0M process in"ol"e careful analysis of systems and tas's in"ol"ed1 identification of potential ha#ards in these functions, and de"elopment of ris' controls$ The ris' management process de"eloped at le"el t(o is used to analy#e, document, and trac' these acti"ities$ ?ecause the ser"ice pro"ider is no( using the processes to loo' ahead, this le"el is termed @proacti"e$A *t this le"el, ho(e"er, these proacti"e processes ha"e !een implemented !ut their performance has not yet !een pro"en$ e4 Implementation evel Fou$: 3ontinuous Imp$ovement/ 3ontinued Assu$an)e4 The final le"el of SMS maturity is the continuous impro"ement le"el$ %rocesses ha"e !een in place and their performance and effecti"eness ha"e !een "erified$ The complete S* process, including continuous monitoring and the remaining features of the other S0M and S* processes are functioning$ * ma.or o!.ecti"e of a successful SMS is to attain and maintain this continuous impro"ement status for the life of the organi#ation$
N!TE: Fi'u$e 0 s+o>s a '$ap+i)al $ep$esentation o% development %lo> t+$ou'+out SMS Implementation4 (Full implementation e=pe)tations a$e in Appendi=es . t+$u 64)
19

SMS #evelopment 3+a$t
3omponents/ Elements and P$o)esses s+ould 2e )ompleted 2& t+e indi)ated evel o% Implementation
Implementation evel
SMS F$ame>o$? E=pe)tation . 0 3

Component 1$< Safety %olicy and 6!.ecti"es 2lement 1$1 Safety %olicy 2lement 1$2 Mgmnt Commitment and Safety *ccounta!ilities 2lement 1$3 Hey Safety %ersonnel 2lement 1$; 2mergency %reparedness and 0esponse 2lement 1$9 SMS +ocumentation and 0ecords Component 2$< Safety 0is' Management (S0M 2lement 2$1 Ga#ard Identification and *nalysis %rocess 2$1$1 System and Tas' *nalysis %rocess 2$1$2 Identify Ga#ards 2lement 2$2 0is' *ssessment and Control %rocess 2$2$1 *naly#e Safety 0is' %rocess 2$2$2 *ssess Safety 0is' %rocess 2$2$3 ControlDMitigate Safety 0is' Component 3$< Safety *ssurance 2lement 3$1 Safety %erformance Monitoring and Measurement %rocess 3$1$1 Continuous Monitoring %rocess 3$1$2 Internal *udits !y 6perational +epartments %rocess 3$1$3 Internal 2"aluation %rocess 3$1$; 2xternal *uditing of the SMS %rocess 3$1$9 In"estigation %rocess 3$1$5 2mployee 0eporting and )eed!ac' System %rocess 3$1$: *nalysis of +ata %rocess 3$1$8 System *ssessment %rocess 3$1$7 %re"enti"eDCorrecti"e *ction %rocess 3$1$1< Management 0e"ie( 2lement 3$2 Management of Change 2lement 3$3 Continual Impro"ement Component ;$< Safety %romotion 2lement ;$1 Competencies and Training %rocess ;$1$1 %ersonnel 2xpectations (Competence %rocess ;$1$2 Training 2lement ;$2 Communication and *(areness
(/0) )evel 0 1 only comply "ith e2pectations 0-3 4) 3) 5 6) (/3) )evel 0 1 only comply "ith e2pectation 7-0-0 4) 0) (/6) )evel 3 1 Implementation of 3-8 4) 3) a)( $) 5 d) and 6-3( "ill $e limited in level 3 $y the lac# of the system'tas# analysis process (process 3-0-0)
H H (M1 H H H H (M3 H H H H H H H H H H H H H H H H H H (M3 H
H H
H H H H
(M2 H H
Fi'u$e 0
15

..4 ANA YSIS PR!3ESSES4 Guidance and tools ha"e !een de"eloped for use in directing and e"aluating progress though the SMS implementation process$ These tools are !ased on performance o!.ecti"es and design expectations de"eloped for each Component, 2lement and %rocess of the SMS Framework $ N The SMS Framework is !ased upon IC*6 and )** re-uirementsDguidance1 N The SMS Assurance Guide is !ased upon the SMS Framework, in -uestion form1 and N The %reliminary and +etailed Gap *nalysis Tools are !ased upon the SMS Assurance Guide -uestions, in a user&friendly format$ a4 S&stem #es)$iption and Anal&sis4 %rior to performing the preliminary gap analysis process, the IST team (ill assist the company and their CMT in conducting a System +escription and *nalysis of the company/s operational functions$ (.) S&stem #es)$iption and Anal&sis $ 2"ery system contains inherent potential safety "ulnera!ilities (hich are characteri#ed in terms of ha#ards$ The !oundaries of the system, as per its formal description, must therefore !e sufficiently (ide to encompass all possi!le ha#ards that the system could confront or generate$ (0) Sa%et& 3onseIuen)es4 The potential for loss or degradation of the system (ill !e determined, in part, !y the characteristics of the operational en"ironment in (hich the system (ill !e operated$ The description of the en"ironment should therefore, include any factors that could ha"e a significant effect on safety$ These factors (ill "ary from one ser"ice pro"ider to another$ They could include, for example, geographic operational locations, o(ned "s$ leased e-uipment and facilities, contractor relationships andDor union representation$ (3) P$epa$ato$& 5$ie%in's4 *fter conducting these !riefings the IST team (ill facilitate the System +escription and *nalysis acti"ities$ *t the completion of the System *nalysis, the preliminary gap analysis process (ill !e conducted$ 24 P$elimina$& Gap Anal&sis4 The o!.ecti"es of the preliminary gap analysis process are to: (.) Se$vi)e p$ovide$ Familia$iCation4 )amiliari#e ser"ice pro"ider organi#ation and CMT participants (ith the process of conducting a gap analysis process1 (0) 3ompan& 3on%i'u$ation4 Gain a collecti"e a(areness of the company/s configuration in terms of the allocation of functions to organi#ational departments of the company1 (3) 3ompan& E=pe)tations4 +iscuss the expectations of the SMS Framework (@standardA to de"elop a common understanding of these expectations in the context of the company and its operations1 and (6) !$'aniCational !pe$ations4 Gain a collecti"e a(areness of (here the ser"ice pro"ider/s operational functions stand (ith respect to the @%erformance 6!.ecti"esA of the SMS Framework , in the context of the company/s uni-ue operations and en"ironment$
1:

* more detailed discussion of the %reliminary Gap *nalysis Tool is in *ppendix 1$ The %reliminary Gap *nalysis Tool is in *ppendix 9$ )4 #etailed Gap Anal&sis4 *s stated earlier, the detailed gap analysis process is a comprehensi"e, detailed assessment of each element and function of the organi#ation/s systems as compared to the o!.ecti"es and expectations of the SMS Framework $ The detailed gap analysis process is performed on a schedule determined !y the ser"ice pro"ider$ In"ol"ement of CMT mem!ers during the process is highly encouraged$ The detailed gap analysis (ill !e used to fully assess all parts of the SMS Framework in comparison to existing programs and processes at the company$ (.)+ocumentation or @o!.ecti"e e"idenceA of processes already in place should !e recorded during the detailed gap analysis process$ 6!.ecti"e e"idence may ta'e the form of physical documents, manual references, training material, records, inter"ie(s, o!ser"ations, correspondence (email, memo, etc$ , organi#ational charts, meeting minutes, etc$ The +etailed Gap *nalysis Tool may !e used to record o!.ecti"e e"idence !y modifying the columns along the top to suit the ser"ice pro"ider1 ho(e"er the company may elect their o(n method of recording$ (0)?ecause SMS is currently "oluntary, it is important to note that if certain SMS expectations are not met, this is not a @deficiency$A The purpose of the gap analysis is to supplement the de"elopment of a comprehensi"e implementation plan$ *t the conclusion of the detailed gap analysis, the results should !e summari#ed at the componentDelementDprocess le"el to facilitate more efficient implementation planning$ (3)The detailed gap analysis should !e continuously updated as the company progresses through SMS implementation$ (6)The detailed gap analysis process is descri!ed in detail in *ppendix 1 and the +etailed Gap *nalysis Tool, is in *ppendix 5$ d4 Summa$& Gap Anal&sis Tool4 The summary gap analysis is not a separate analysis !ut is a summary of the results of the detailed gap analysis$ The same tool that (as used for the preliminary gap analysis may used for the summary gap analysis$ +uring or at the end of the detailed gap analysis acti"ity, the results may !e summari#ed as the summary gap analysis at the componentD elementD process le"el and this summary may then !e used !y top management to trac' SMS implementation$ .04 IMP EMENTATI!N P AN4 ?ased on the results of the detailed gap analysis process, an implementation plan is prepared to @fill the gapsA, the @gapsA !eing those elements in the SMS Framework that ha"e not completely met expectations (e$g$, are not already !eing performed !y the ser"ice pro"ider$ The SMS implementation plan is a realistic strategy for the implementation of an SMS that (ill meet the ser"ice pro"ider/s safety o!.ecti"es (hile supporting effecti"e and efficient deli"ery of ser"ices$ It descri!es ho( the ser"ice pro"ider (ill achie"e its corporate safety o!.ecti"es and ho( it (ill meet any ne( or re"ised safety re-uirements, regulatory or other(ise$ a4 S)ope and !2(e)tive o% t+e Plan4 The implementation plan need not !e complex or excessi"ely detailed, !ut should pro"ide a !asic roadmap to meet the o"erall o!.ecti"e stated in the SMS Framework to, @L develop and implement an integrated( comprehensive SMS for *the+ entire organi,ation-. 18

(.) The SMS implementation plan, (hich may consist of more than one document, details the actions to !e ta'en, !y (hom and (ithin (hat time&frame$ The implementation plan can !e created in any format that is useful to the company !ut should pro"ide at least the follo(ing: (a$ ComponentDelementDprocess reference from the SMS Assurance Guide or SMS Framework; (!$ ?rief description of the actions to !e ta'en and manualDs affected1 (c$ 0esponsi!le organi#ation andDor indi"idual(s 1 and (d$ 2xpected completion date$ (0) The implementation plan should also span the entire SMS de"elopment process$ It should start at preparation and organi#ation, and continue through all le"els of maturity$ It should !e updated as necessary (along (ith the detailed gap analysis as the pro.ects progress$ *t each le"el, top management/s appro"al of the implementation plan must include allocation of necessary resources I*, element 1$2 ! (2 $
17

.34 SMS PARTI3IPATI!N *A I#ATI!N PR!GRAM4 a4 S)ope4 It is recogni#ed that complete implementation of an SMS at a larger and more complex organi#ation may ta'e as long as 3 years to ensure that all aspects of the program are in place across all departments of the organi#ation$ The intent of this "alidation program is to allo( ser"ice pro"iders to implement an SMS in phases, in a standardi#ed manner and to allo( "alidation and ac'no(ledgement at each le"el of participation$ 24 ette$s o% A)?no>led'ement4 4pon successful completion of each le"el, the ser"ice pro"ider (ill recei"e a @Ketter of *c'no(ledgementA attesting to their participation in the SMS %ilot %ro.ect (SMS %% and their associated accomplishments in the de"elopment of their SMS$ The Ketter of *c'no(ledgement (ill !e signed !y the )**, +irector of )light Standards Ser"ice, and (ill !e issued to the ser"ice pro"ider as outlined !elo($ N!TE: %articipation in the SMS %% and the issuance of Ketters of *c'no(ledgement do not constitute formal acceptance or appro"al of indi"idual SMS programs$ )4 evels o% Pa$ti)ipation4 Three le"els of participation are specified for this "alidation program$ 2ach ser"ice pro"ider may de"elop their SMS in a modular fashion across their departments or across the functions of their organi#ations1 ho(e"er, attainment of the le"els sho(n !elo( are !ased on a comprehensi"e system co"ering all of the systems listed in Component 1$<, !, (1 , (a or (! of the SMS Framework $ The o"erall o!.ecti"e is to de"elop a comprehensi"e SMS co"ering the entire organi#ation$ (.) SMS evel !ne: 3ommitment/ Plannin' and !$'aniCation4 This le"el (ill !e "alidated (hen an ser"ice pro"ider demonstrates that they ha"e successfully conducted a thorough preliminary and detailed gap analysis, implemented the processes corr esponding to le"el one of this SMS Implementation Guide, Appendix 1, de"eloped a comprehensi"e implementation plan and presented it to the IST and the CMT$ ,hile no actual de"elopment acti"ities are expected during this le"el, !eyond those listed in the SMS Framework (2lements 1$1, 1$2 (partial , 1$3 and ;$1$1 (partial , the ser"ice pro"ider commits resources, assigns responsi!ilities, sets schedules and defines o!.ecti"es in their implementation plan necessary to comply (ith all expectations of the SMS Framework (0) SMS evel T>o: Rea)tive P$o)ess/ 5asi) Ris? Mana'ement4 This le"el (ill !e "alidated (hen a ser"ice pro"ider demonstrates that they ha"e successfully implemented the processes corresponding to le"el t(o of this SMS Implementation Guide ( Appendix , as determined !y the CMT, and assisted !y the ST*T$ *t this le"el, all of the processes of the SMS ha"e !een designed and implemented in accordance (ith the SMS Framework 1 ho(e"er they are only (or'ing in a reacti"e capacity$ Sufficient data has not yet !een accumulated at this point to ena!le proacti"e analysis$ (3) SMS evel T+$ee: P$oa)tive P$o)esses/ oo?in' A+ead4 This le"el (ill !e "alidated (hen an ser"ice pro"ider demonstrates that they ha"e successfully implemented the processes corresponding (ith le"el three of this SMS Implementation Guide, Appendix !, and that the performance of these processes has !een demonstrated in a performance re"ie( conducted !y the CMT, assisted, as necessary, !y mem!ers of the ST*T$ *t this le"el, the ser"ice pro"ider is 2<

considered to ha"e a fully instituted SMS, ho(e"er due to their relati"e ne(ness the performance and effecti"eness of the SMS processes ha"e not yet !een "alidated for continued system effecti"eness$ )4 ette$ o% A)?no>led'ement P$oto)ol4 The protocols for recommendation of a Ketter of *c'no(ledgement, attesting to the ser"ice pro"ider/s participation in and the de"elopment of an SMS are as follo(s: (.) ette$ o% Re)ommendation4 The assigned IST %6C, at completion of a successful Ke"el 1, 2 or 3 2xit ?riefing, (ill for(ard a letter of recommendation and re-uired documents to the SMS Transition and *ssistance Team Kead$ (0) E=it evel 3+e)?list4 *n 2xit Ke"el 2xpectation Chec'list (included as an attachment to *ppendixes 1, 2 and 3 (ill !e completed !y the IST %6C and included (ith the letter of recommendation$ It should !e noted that in"ol"ement, commitment and endorsement of the exit le"el chec'list !y a respecti"e CMT %rincipal Inspector, Super"isor or the Manager (ill !e re-uired for a successful recommendation$ In addition, specific documentation that should accompany letters of recommendations and chec'list for each le"el is sho(n !elo(: evel #o)uments ReIui$ed 1 2xit Ke"el 1 Chec'list (ith all expectations completed (initialed plus: N Management Commitment Ketter1 N Safety %olicy1 N Comprehensi"e SMS implementation plan (Summary for the entire organi#ation through SMS Implementation Ke"el ;1 and N SMS Training %lan for all employees$ 2 2xit Ke"el 2 Chec'list (ith all expectations completed (initialed plus: N 6!.ecti"e e"idence that S0M processes and procedures ha"e !een applied to at least one existing ha#ard and that the mitigation process has !een initiated1 N 4pdated comprehensi"e SMS implementation plan (Summary for all elements to ta'e the organi#ation through Ke"el ;1 and N 4pdated SMS Training %lan for all employees$ 3 2xit Ke"el 3 Chec'list (ith all expectations completed (initialed plus: N 6!.ecti"e e"idence that S0M processes and procedures ha"e !een applied to all Component 2$< ! (2 (a , (! F (d , operating processes1 N 6!.ecti"e e"idence that S0M processes and procedures ha"e !een applied to at least one existing ha#ard and that the mitigation process has !een initiated1 N 4pdated comprehensi"e SMS implementation plan (Summary for all elements1 and 21

N 4pdated SMS Training %lan for all employees$ (3) Re)ommendation Pa)?a'e and Endo$sement4 The IST Kead (ill for(ard the %6C/s recommendation pac'age, along (ith appropriate endorsement, to the Manager, SMS %rogram 6ffice, for re"ie( and concurrence$ (6) Re)ommendation Pa)?a'e P$o'$ession4 The Manager, SMS %rogram 6ffice (ill for(ard successful recommendation pac'ages and an unsigned Ketter of *c'no(ledgement to the +irector, )light Standards Ser"ice for appro"al and signature$ 4nsuccessful recommendations (ill !e returned to the IST Kead for appropriate action$ (7) Si'ned ette$s o% A)?no>led'ement4 These (ill !e for(arded !y the Manager, SMS %rogram 6ffice to the respecti"e ser"ice pro"ider management representati"e and CMT Manager$ d4 Sample ette$ o% A)?no>led'ement4 *n example Ketter of *c'no(ledgement is at *ppendix 7$ .64 SMS IMP EMENTATI!N PR!3ESSES4 The SMS implementation process is !ased on meeting the expectations of the SMS Framework $ Specific implementation details and guidance for each le"el of implementation maturity are contained in *ppendixes 1 through ;$ *dditional tools and reference material are in *ppendixes 9 thru 7$ a4 *%%2>+IB 1 & Ke"el 1 +etailed Guidance and 2xpectations 24 *%%2>+IB 2 & Ke"el 2 +etailed Guidance and 2xpectations )4 *%%2>+IB 3 & Ke"el 3 +etailed Guidance and 2xpectations d4 *%%2>+IB ; & Ke"el ; +etailed Guidance and 2xpectations (in final de"elopment e4 *%%2>+IB 9 & %reliminary Gap *nalysis Tool %4 *%%2>+IB 5 & +etailed Gap *nalysis Tool '4 *%%2>+IB : & SMS *ssessment %rotocol for ManagerDSuper"isor (to !e de"eloped +4 *%%2>+IB 8 I Cross 0eference !et(een *C 12<&72, *pp 1 and the )** SMS )rame(or' i4 *%%2>+IB 7 & 2xample of a Ketter of *c'no(ledgement
22
SMS Implementation Guide , Appendi= . , evel . E=pe)tations
Appendi= . evel . E=pe)tations

To: S AFETY MANAGEMENT S YS TEM (S MS ) IMP E ME N TA TI! N G " I# E
Fo$:
Se$vi)e p$ovide$Es pa$ti)ipatin' in t+e Sa%et& Mana'ement S&stem Pilot P$o(e)t (SMS PP) and %o$ volunta$& implementation o% Sa%et& Mana'ement S&stems
Fede$al Aviation Administ$ation Fli'+t Standa$ds Se$vi)e , SMS P$o'$am !%%i)e
Revision 3
-une ./ 01.1
23
SMS Implementation Guide

APPEN#IH .
>6T2: Some discussion and guidance from the SMS Implementation Guide this *ppendix may !e used as a stand&alone document$ is reproduced here, so that
Implementation evel !ne: Plannin' and !$'aniCation

evel . !2(e)tive: N Complete comprehensi"e preliminary and detailed gap analyses1 and N Complete a detailed implementation plan$ evel . A)tivities: To plan, organi#e and prepare the ser"ice pro"ider for SMS de"elopment$ These include: N Top management commitment to implement SMS, define safety policy and con"ey safety expectations and o!.ecti"es to its employees ( SMS Framework 2lement 1$11 @Safety %olicy@ 1 N Top management commitment to insure ade-uate resources are a"aila!le to implement SMS (in accordance (ith SMS Framework 2lement 1$2 ! (2 1 N +esignating a management official (ho (ill !e responsi!le for SMS de"elopment ( Framework 2lement 1$31 @Hey Safety %ersonnel@ 1 SMS
N +efining safety&related positions for those (ho (ill participate in SMS de"elopment and implementation (in accordance (ith SMS Framework 2lement 1$2 ! (3 1 N Completing a preliminary and detailed gap analysis on the entire organi#ation for all elements of the SMS Framework (SMS Implementation Guide , %aragraphs 9, 8 F 7, a!o"e 1 N Comprehensi"e SMS Implementation %lan addressing implementation of all design expectations of the SMS Framework (outlined in the SMS Assurance Guide and listed in the +etailed Gap *nalysis Tool for the entire organi#ation1 and N Identifying safety competencies necessary (In accordance (ith SMS Framework 2lement ;$1$1 ! (1 , addressing identified training competency needs in a training plan co"ering each phase of de"elopment$ evel . Input: The decision of an ser"ice pro"ider/s top management team to commit to "oluntary implementation of SMS throughout the organi#ation and participation in the SMS %ilot %ro.ect (SMS %% !egins the SMS Ke"el 1 implementation process$ Initial contact and coordination (ith the ser"ice pro"ider/s )** o"ersight organi#ation, i$e$ Certificate Management Team (CMT , )light Standards +istrict 6ffice ()S+6 , etc$, and the *)S SMS %rogram 6ffice (SMS %6 (ill pro"ide the necessary input of guidance, o!.ecti"es and expectations for Ke"el 1 Implementation efforts$ Re%e$en)es: N SMS )rame(or', as re"ised1 2;
SMS Implementation Guide , Appendi= . , evel . E=pe)tations N SMS *ssurance Guide, as re"ised1 and N SMS Implementation Guide, as re"ised$ evel . P$o)edu$al A!ptionsB: N N !ption . is for a ser"ice pro"ider that is !eginning initial de"elopment of an SMS$ !ption 0 is for a ser"ice pro"ider that already has an SMS that meets the re-uirements of one or more of the le"els of implementation$
evel . P$o)ess !ve$vie>: )our groups of le"el 1 acti"ity: N N N P$epa$ation: Complete the necessary coordination in preparation for acti"ities1 Initial @o$?s+op: Meet for a t(o to three&day (or'shop ()** %re&!rief and 6nsite & 6rientation Session, see !elo( and complete a preliminary gap analysis1 Gap Anal&sisDImplementation Plan: *t the completion of the Initial ,or'shop, the ser"ice pro"ider !egins detailed gap analysis and implementation plan acti"ities$ +uring these acti"ities, progress on !oth the detailed gap analysis and implementation plan should !e re"ie(ed (ith the CMT and IST during one (or se"eral cali!rationDre"ie( meeting(s (Cali!ration Sessions of one to t(o days in length1 and P$esentationDEvaluation o% Implementation Plan: ,hen ready, the ser"ice pro"ider (ill present a comprehensi"e detailed gap analysis and implementation plan to the CMT and IST during a one&day (=alidation Session meeting for re"ie(, consensus and agreement (!et(een all parties to mo"e on to le"el 2 or for agreement of maturity le"el$
Steps . t+$ou'+ .. 'uidan)e mate$ial a$e t+e same %o$ !ption . and !ption 04 *ll steps for !oth 6ptions are necessary for successful !ase&lining and standardi#ation of o!.ecti"es and expectations of the ser"ice pro"ider and their o"ersight organi#ation$ +epending upon the !ac'ground, experience and maturity le"el of the ser"ice pro"ider, some steps may !e a!!re"iated, !ut none may !e omitted$ 6ption 2 procedures (ill follo( !elo( 6ption 1 procedures and (ill !e enclosed (ithin a text @?oxA$ *n example of 6ption 2 procedures is sho(n at )igure 1, !elo($ E=ample o% !ption 0 P$o)edu$e This is an example of ho( 6ption 2 procedures (ill !e displayed starting (ith Step 12 (on page ;2, !elo( $ 6ption 2 Ser"ice %ro"iders may ignore 6ption 1 procedures after step 11, and use the option 2 procedures (ithin the text !ox$ Fi'u$e . , E=ample o% !ption 0 p$o)edu$es S&stem #es)$iption and Anal&sis 2"ery system contains inherent potential safety "ulnera!ilities, (hich are characteri#ed in terms of ha#ards$ The ha#ard identification process can only identify ha#ards that come (ithin the scope of the system description$ The !oundaries of the system, as per its formal description, must therefore !e sufficiently (ide to encompass reasona!ly foreseea!le, potential ha#ards that the system could 29
SMS Implementation Guide , Appendi= . , evel . E=pe)tations confront or generate$ In particular, it is important that the description includes the interfaces !oth (ithin the system, as (ell as the interfaces (ith the larger systems of (hich the system !eing analy#ed is a part$ The emphasis is on gaining an understanding of ho( the ser"ice pro"ider is structured and identifying factors that may !e considerations (hen doing the gap analysis, (ho needs to !e in"ol"ed, ho( the gap analysis process itself (ill !e organi#ed, etc$ * detailed description of the system should include: N The purpose of the system1 N Go( the system is used1 N The system/s functions (as descri!ed in 2xpectations 1 N )unctions that are contracted out1 N Kines of authority and responsi!ility (ithin the company (e$g$ as descri!ed in a typical organi#ation chart 1 N Contracted arrangements for the company to pro"ide ser"ices to other organi#ations (e$g$ contract maintenance support to air carriers, code sharing, (et leasing, etc$ N The system/s !oundaries and the external interfaces1 N Kocations of facilities and operations1 and N The en"ironment in (hich the system (ill operate$ *dditionally, if some parts of the ser"ice pro"ider are unioni#ed, there may!e an impact on an employee reporting system$ If contractors are used for ma.or functions, that must !e ta'en into account, especially if multiple organi#ationsD"endors are used for the same function$ +istri!ution of the ser"ice pro"ider/s facilities o"er a large geographic area may ha"e significant impact on organi#ational interfaces$ Gap Anal&sis P$o)ess *n initial step in de"elopment of the SMS is for a ser"ice pro"ider to analy#e its existing programs, systems, and acti"ities (ith respect to the SMS functional expectations found in the SMS Framework $ This analysis process is called a @gap analysis,A the @gapsA !eing those items in the SMS Framework that are not already !eing performed and documented !y the ser"ice pro"ider$ T(o types of gap analysis processes are preformed: P$elimina$& Gap Anal&sis: 25 SMS Framework , Component 1$<, General +esign
N Go( the system/s functions are allocated to departments, di"isions, or other su!&organi#ations1
SMS Implementation Guide , Appendi= . , evel . E=pe)tations The first type of analysis is a P$elimina$& Gap Anal&sis process and is utili#ed during the Initial ,or'shop phase (6rientation Session , descri!ed later in this document$ It pro"ides a high le"el assessment, or @off the top of the headA .udgment !y company officials (including discussion (ith the CMT and IST mem!ers to get an initial indication of (here the company stands (ith respect to the SMS Framework expectations$ The preliminary gap analysis also pro"ides an opportunity for discussion, (ith IST support, of ho( each element applies to the particular ser"ice pro"ider$ The preliminary gap analysis is accomplished at the @%erformance 6!.ecti"eA le"el for each component, element and process contained (ithin the SMS Framework $ It is recommended that the %reliminary Gap *nalysis Tool (contained in *ppendix 9 of this implementation guide !e used to record this acti"ity1 ho(e"er the company may elect to use another tool that captures all of the expected material$ #etailed Gap Anal&sis: The second type of analysis is a #etailed Gap Anal&sis process (hich is a much more in&depth analysis performed !y the company ((ith the in"ol"ement of the company/s )** CMT $ It is a detailed loo' at each expectation of the SMS Framework as descri!ed in the SMS Assurance Guide $ +uring the detailed gap analysis, it is necessary to fully assess all company organi#ational and functional areas and all elements contained (ithin the SMS Framework in order to de"elop a comprehensi"e implementation plan$ Go(e"er, it does not entail actual de"elopment of any of the elements during le"el one !eyond those listed in the SMS Framework (2lements 1$1, 1$2 (partial , 1$3 and ;$1$1 (partial $ The purpose of the detailed gap analysis is to determine (hat is already in place and to pro"ide a !asis for further implementation planning$ )or those elements of the SMS Framework that are deemed to ha"e !een already de"eloped, the company should pro"ide o!.ecti"e e"idence of their accomplishment$ 6!.ecti"e e"idence may ta'e the form of physical or electronic documents, manual references, training material, records, inter"ie(s, o!ser"ations, correspondence (email, memo, etc$ , organi#ational charts, meeting minutes, etc$ The +etailed Gap *nalysis Tool in *ppendix 5 may !e used to summari#e the results of the detailed gap analysis and to record o!.ecti"e e"idence1 ho(e"er the company may elect their o(n method of recording$ The +etailed Gap *nalysis Tool is a spreadsheet that con"erts the SMS Assurance Guide into simple electronic or printed&paper forms to assist in the analysis of all functional expectations of a SMS$ * completed +etailed Gap *nalysis Tool (ill re"eal organi#ational status on all of the components, elements and processes of the SMS Assurance Guide and therefore, the SMS Framework $ Gap analyses (preliminary F detailed should co"er the entire set of functions, processes, and organi#ational departments in the ser"ice pro"ider to !e co"ered !y the SMS$ *s a minimum, the Gap *nalyses should co"er all of the operational processes listed in the SMS Framework , Component 1$< ! 2:
SMS Implementation Guide , Appendi= . , evel . E=pe)tations (1 (a or (! , as appropriate$ The +etailed Gap *nalyses should !e continuously updated as the ser"ice pro"ider progresses through the SMS implementation process$ The gap analysis tools (and the SMS Assurance Guide contain references to !oth the current SMS Framework (ne( @standardA and the pu!lished *ppendix 1, *C 12<&72 (old @standardA , to assist those ser"ice pro"iders (ho !egan SMS implementation (ith the old tools and (ish to !ridge to the ne( tools$ The MIT02 Corporation, a )ederally&)unded 0esearch and +e"elopment Corporation ())0+C ha"e !een contracted to conduct a set of studies and analysis on the SMS de"elopment and implementation process$ MIT02 analysts "isit selected "oluntary implementation sites to collect data on the gap analysis, planning, and implementation processes$ Information collected (ill !e at the discretion of the company$ Implementation Plan 6nce the gap analyses ha"e !een performed, an implementation plan is prepared$ The implementation plan is simply a @road mapA of ho( the ser"ice pro"ider intends to narro( the existing gaps to meet the o!.ecti"es and expectations in the SMS Framework $ The SMS implementation plan is a definition of the approach the ser"ice pro"ider (ill adopt for managing safety$ *s such, it !ecomes a realistic strategy for the implementation of an SMS that (ill meet the ser"ice pro"ider/s safety o!.ecti"es (hile supporting effecti"e and efficient deli"ery of ser"ices$ It descri!es ho( a ser"ice pro"ider (ill achie"e its corporate safety o!.ecti"es and ho( it (ill meet any ne( or re"ised safety re-uirements, regulatory or other(ise$ Significant items in the plan (ill normally !e included in the ser"ice pro"ider !usiness plan$ *s stated a!o"e, no actual de"elopment acti"ities are expected during le"el one, !eyond those listed in the SMS Framework (2lements 1$1, 1$2 (partial , 1$3 and ;$1$1 (partial $ The implementation plan should co"er all elements of the frame(or' across all of the operational processes of the company (e$g$ flight operations, ground operations, operational control, maintenance, etc$ for all le"els of de"elopment (i$e$ implementation le"els 1&; $ It should !e noted that at each le"el of implementation, top management/s appro"al of the implementation plan must include allocation of necessary resources I*, element 1$2 ! (2 $ +epending on the si#e and complexity of the ser"ice pro"ider,, the SMS implementation plan may !e de"eloped !y one person, or !y a planning group (ith an appropriate experience !ase$ *cti"e, personal participation of all le"els of management that are responsi!le for operational processes (ill !e essential for a successful SMS$ )or this reason, participation of these managers in the planning process is strongly encouraged$ The ser"ice pro"ider/s SMS planning group should meet regularly (ith top management to assess progress of the implementation plan, and recei"e resources commensurate (ith the tas' at hand$
28
SMS Implementation Guide , Appendi= . , evel . E=pe)tations #etailed P$o)edu$es: !ption . (Se$vi)e p$ovide$s Initial SMS) The @)lo( +iagram of Ke"el 1 *cti"itiesA at )igure 2 outlines detailed guidance for Ke"el 1, 6ption 1, acti"ities$ 2ach acti"ity in the process is represented as a step that corresponds (ith the flo( diagram !ox num!ers$ 6ption 2 acti"ities (ill !e sho(n in a @text !oxA follo(ing the 6ption 1 procedures$ !PTI!N ., Fo$ an se$vi)e p$ovide$s initial SMS P$epa$ation
.4 Initial 3onta)t
Initial @o$?s+op
(FAA P$e,2$ie% G !nsite !$ientation Session)
Gap Anal&sisD Implementation Plan

(In)ludes 3ali2$ation G Revie> Session (s))
P$esentation G Evaluation o% Plan

(In)ludes !nsite *alidation Session)
04 3onta)t 3:#! M't
94 !$ientation: SMS 3on)epts
..4 #etail Gap Anal&sis
.74 P$esent Implementation Plan
34 Initial 3oo$dination Tele)on
;4 Familia$iCation , Tools and Guidan)e
.04 3omp$e+ensive Implementation Plan
64 Statements !% 3ommitment
.84 *alidation o% Gap Anal&sisD Implementation Plan
<4 S&stem #es)$iption G Anal&sis
.34 P$epa$e Sa%et& Poli)&D !2(e)tives
.94 5e'in Implementation
74 !$'aniCe Team
84 !pe$ato$ P$o%ileD 3MT P$e,2$ie%
.14 P$elimina$& Gap Anal&sis
.64 3ali2$ation G Revie> Session(s)
Fi'u$e 0 , Flo> #ia'$am o% evel . A)tivities (Initial SMS)
27
!ption . A)tivities:
Step .: Initial 3onta)t4 Initial communication may come from a ser"ice pro"ider to either their )** CMT (%rincipal Inspectors or the )** SMS %rogram 6ffice (SMS %6 $ The recei"ing )** representati"e (ill complete as much of a SMS %ilot %ro.ect In-uiry Information sheet as possi!le and for(ard this information to the SMS %6$ +epending upon a"aila!ility of resources, the SMS %6 or IST Kead may appoint an IST %6C for the ser"ice pro"ider (see step 9 !elo( at this point$ It is important for the IST %6C to !e appointed and in"ol"ed early in the process$ Coordination !et(een the )** 6ffices (ill !e conducted internally (see note !elo( $ * SMS &ilot &ro9ect In uiry Information sheet is in *ttachment 1$
Note: F$om t+is point on/ all )ommuni)ation and a)tivit& 2et>een t+e se$vi)e p$ovide$/ 3MT and t+e SMS P! >ill 2e )oo$dinated andDo$ s+a$ed >it+ t+e SMS P! Mana'e$/ Assistant Mana'e$/ National 3oo$dinato$ (913,88.,1787 o$ 913,878,8330) and IST ead o$ as di$e)ted 2& SMS P! inte$nal poli)&4 Fo$ t+e pu$poses o% t+is do)ument/ $e%e$en)e to t+e SMS P! >ill impl& )on%o$man)e to t+e a2ove )ommuni)ationDa)tivit& $eIui$ement4
Step 0: 3onta)t 3MT Mana'ement 4 If the CMT is not already in"ol"ed, the SMS %6, SMS IST Kead or IST %6C (ill contact the ser"ice pro"iders CMT 6ffice Manager and %rincipal Inspectors (%I/s $ The CMT 6ffice Manager and the %I/s (ill !e familiari#ed (ith the SMS implementation process and their specific roles in the process$ Commitment of the CMT for time and other resources is re-uired prior to the ser"ice pro"ider !ecoming a SMS %ilot %ro.ect participant$ * sample @CMT ContactA message is in *ttachment 2$ Step 3: Initial Assessment and 3oo$dination Tele)on4 The SMS %6, IST Kead or IST %6C (ill assess the ser"ice pro"ider re-uest and determine a course of action considering needs, resources, experience le"el and culture !et(een the ser"ice pro"ider and CMT$ *t this stage of the process, communication and information exchange may include telephone con"ersations, %olycoms, screen sharing, email messages and attachments$ >o face&to&face meetings are necessary at this .uncture1 ho(e"er exceptions (ill !e considered depending upon SMS %6 resources a"aila!le$ *n initial coordination telecon !et(een the ser"ice pro"ider, CMT, SMS %6 and IST may !e conducted to facilitate organi#ation of acti"ities, esta!lish tentati"e schedules and ans(er ser"ice pro"iderDCMT -uestions$ IST Kead (ill coordinate telecomm time and date$ Step 6: Statements o% 3ommitment4 Statements of Commitment must !e recei"ed from the ser"ice pro"ider/s top management and the responsi!le )** CMT 6ffice Manager$ %rogress !eyond this point (ill not proceed (ithout %i$m commitments from !oth organi#ations$ Statements of Commitment may !e in the form of a (ritten document, electronic document, email, memo or meeting notes$ N!TE: Since resources (ill !e allocated from !oth the ser"ice pro"ider and the )** o"ersight organi#ation during the "oluntary Implementation of an SMS, it is necessary that some form of (ritten commitment !e o!tained from !oth the ser"ice pro"ider and the )** o"ersight organi#ation$ 3<
SMS Implementation Guide , Appendi= . , evel . E=pe)tations Step 7: !$'aniCe Team $ The SMS %rogram 6ffice or IST Kead (ill coordinate appointment of an SMS IST %oint&of&Contact (%6C $ The IST %6C may !e the IST Kead or another mem!er of the IST$ The %6C (ill act as a facilitator !et(een the ser"ice pro"ider and CMT, assisting them through the SMS implementation process, as (ell as the point&lead, for all site "isits and e"aluations$ *dditionally, the %6C (ill recei"e assistance in the form of team mem!ers from 0egional %6C/s, *)S 7<< )ield Support Team, )**STeam, SMS %6 andDor other )** organi#ations$ IST %6Cs must !e a -ualified IST mem!er (to include SMS %6 initial training and ha"e o!ser"ed at least one complete set of Ke"el 1 acti"ities, and conducted at least one set of SMS %% acti"ities under o!ser"ation of another -ualified IST %6C$ %6Cs must also !e a!le to participate in regularly scheduled IST cali!ration seminars in order to assure accuracy and currency of the ser"ice pro"ider/s SMS implementation$ *n @Information %ac'ageA on the ser"ice pro"ider that includes any dialog or !ac'ground information the %6C might need (ill !e de"eloped !y the team$ 6nce the IST for the ser"ice pro"ider is formed, the %6C (ill coordinate the first onsite face&to&face meeting (ith the CMT and ser"ice pro"ider (Initial ,or'shop, 6rientation Session $ Step 8: P$epa$e Se$vi)e p$ovide$ P$o%ile4 Se$vi)e p$ovide$ P$o%ile: The ser"ice pro"iders IST %6C (ill insure all necessary information regarding the ser"ice pro"ider is compiled and shared (ith the CMT and IST mem!ers$ Step 9: !$ientation: SMS 3on)epts4 !$ientation: IST P$e,2$ie% *isit >it+ 3MT4 #a& ./ A%te$noon: 3MT P$e,2$ie% : The %6C (ill arrange (ith the ser"ice pro"iders respecti"e CMT Manager, an onsite CMT %re&!rief$ This is a separate !riefing prior to the commencement of the Initial ,or'shop (ith the ser"ice pro"ider, prefera!ly one day prior to the Initial ,or'shop date$ The o!.ecti"e of the CMT %re&!rief is too: N 0e"ie( the SMS @Hey %ointsA %resentation1 N +iscuss the %ilot %ro.ect program1 N ?riefly familiari#e CMT (ith SMS implementation process1 N 0e"ie( Ke"el 1 expectations (see !elo( 1 N 0e"ie( Initial ,or'shop agenda1 N 0e"ie( all SMS documents and tools ( SMS Framework, SMS Assurance Guide, SMS Implementation Guide and gap analysis processDtools 1 and N 0e"ie( )** roles in "oluntary implementation pro.ects$ *fter arrangements for the CMT %re&!rief ha"e !een confirmed (ith the 6ffice Manager, courtesy calls to the %rincipal Inspectors (ill !e made to ans(er any -uestions they might ha"e$ If the Manager 31
SMS Implementation Guide , Appendi= . , evel . E=pe)tations or %rincipal/s desire an agenda or su!.ects for discussion significantly different from the a!o"e o!.ecti"es, contact the SMS %6 IST Kead for additional guidance$ The CMT %re&!rief (ill normally ta'e half a day to complete$ *s a minimum, the %rincipal Inspectors (ill attend the %re&!rief$ *dditionally, the CMT 4nit Super"isors and the CMT 6ffice Manager are encouraged to attend$ 6ther mem!ers of the CMT may attend as agreed upon !y the IST %6C and CMT 6ffice Manager$ *ll CMT -uestions and concerns should !e addressed during the %re&!rief meeting$ !$ientation: SMS 3on)epts4 #a& 0/ Mo$nin': This is the first onsite face&to&face meeting !et(een the ser"ice pro"ider, CMT and IST mem!ers$ The IST (ill present the standardi#ed 71hour Introduction to SMS presentation to !oth the ser"ice pro"ider and CMT Management TeamD%rincipals$ The topics (ithin the SMS presentation should !e co"ered in sufficient detail to ensure a le"el of 'no(ledge and standardi#ation !et(een the ser"ice pro"ider and CMT needed to support initial SMS de"elopment and e"aluation acti"ities$ Step ;: Familia$iCation: Tools and Guidan)e4 #a& 0/ A%te$noon: The IST (ill facilitate an in&depth (al' through of the SMS F$ame>o$?/ SMS Assu$an)e Guide/ and SMS Implementation Guide (including an in&depth re"ie( of the %reliminary D +etailed Gap *nalysis Tools and processes $ The )evel 0 :ools 5 Guidance %o(er%oint %resentation may !e utili#ed in con.unction (ith handouts andDor a pro.ected display of the actual tools and guidance material$ Step <: S&stem #es)$iption and Anal&sis4 #a& 0/ A%te$noon o$ #a& 3/ Mo$nin' :
The purpose of the System +escription and *nalysis is to gain a collecti"e understanding of ho( the ser"ice pro"ider/s operational functions compare (ith respect to the @%erformance 6!.ecti"esA of the SMS Framework. This (ill assist !oth the ser"ice pro"ider and CMT mem!ers (ith their understanding of SMS expectations in the context of the ser"ice pro"ider/s uni-ue operations and en"ironment$ %rior to the gap analyses itOs !eneficial to get an idea of ho( the ser"ice pro"ider is structured$ )or instance, the gap analyses tools ha"e : operational functions listed (for air carriers, Component 1$< ! (1 (a !ut some ser"ice pro"iders may!e laid out in more or less di"isions$ This means that the functions are grouped differently than in the gap analyses tools ,!ut this is information that is needed !efore starting the preliminary gap analysis$ Much of this information (ill initially !e gathered during Step 5, %repare Ser"ice pro"ider %rofile, and from -uestionnaires, discussion, etc$1 ho(e"er all such information should then !e finali#ed onsite during the 6rientation Session$ IST team (ill assist the ser"ice pro"ider and their CMT in preparing a system description and conducting the analysis$ Step .1: P$elimina$& Gap Anal&sis4 #a& 3: 32
SMS Implementation Guide , Appendi= . , evel . E=pe)tations !2(e)tive: The o!.ecti"e of the preliminary gap analysis is to: N )amiliari#e ser"ice pro"ider and CMT participants (ith the process of conducting a gap analysis process$ N Gain a collecti"e a(areness of the company/s configuration in terms of the allocation of functions to organi#ational departments of the company$ This (ill help to organi#e the su!se-uent and more in&depth detailed gap analysis and planning acti"ities$ N +iscuss the expectations of the SMS Framework to de"elop a common understanding of these expectations in the context of the company and its operations$ This may !e a com!ined presentationDdiscussion format facilitated !y the IST$ N 6!tain an initial idea of the company/s status across its operational di"isions in terms of SMS re-uirements "ersus processes and programs already in place$ Input:The preliminary gap analysis process is confined to a high le"el assessment, !ased on the .udgment of ser"ice pro"ider officials and discussion (ith the CMT and IST mem!ers to de"elop an initial idea of (here the ser"ice pro"ider stands (ith respect to the SMS Framework expectations$ It is a high le"el @off the top of the headA su!.ecti"e analysis1 a detailed analysis (ill !e completed later, during Step 11, (ith the detailed gap analysis process$ P$o)edu$es: The preliminary gap analysis is accomplished in a group meeting en"ironment and is focused at the @%erformance 6!.ecti"eA le"el for each Component, 2lement and %rocess contained (ithin the SMS Framework $ The %reliminary Gap *nalysis Tool is used to facilitate the analysis process and is contained in *ppendix 9 of the SMS Implementation Guide $ IST team (ill assist the ser"ice pro"ider and their CMT in conducting the preliminary gap analysis$ 2ach SMS Component, 2lement and %rocess (ithin the SMS Framework (ill !e assessed for matching ser"ice pro"ider operational processes$ These (ill !e scored using the assessment scale !elo($ )or those elements or processes that are deemed to ha"e !een already de"eloped, the ser"ice pro"ider may pro"ide o!.ecti"e e"idence in terms of references to existing documentation, ho(e"er, it is not necessary to conduct a rigorous document re"ie( at this stage of the pro.ect$ The %reliminary Gap *nalysis Tool may !e used to summar i#e the results of the preliminary gap analysis, including documentation of existing programs, !ut these results may also !e maintained in any manner of the ser"ice pro"ider/s choosing$ !utput: The completed %reliminary Gap *nalysis Tool or other documentation should !e maintained for input into the detailed gap analysis process and as a reference for future planning and analysis$ P$elimina$& Gap Anal&sis & Assessment S)ale4 *ll elements of the preliminary gap analysis (ill !e gi"en a su!.ecti"e score, as defined in )igure 3, !elo(, !ased on the .udgment of the company/s management$ *ll indi"idual -uestions recei"ing less than a score of 1 (ill !e re"ie(ed !y the ser"ice pro"ider, CMT and the IST for creation of a mutually agreea!le solution$ *ssessment 0ating Scale *ssessment Scale ,ord %icture =alue This o!.ecti"e of the SMS Framework is not performed$ >% P >ot %erformed This o!.ecti"e of the SMS Framework is in place1 %*0 P %artial 33
SMS Implementation Guide , Appendi= . , evel . E=pe)tations ho(e"er it does not include all SMS processes$ This o!.ecti"e of the SMS Framework is in place1 and it does include all SMS processes$ C6M P Complete Fi'u$e 3 P$elimina$& Gap Anal&sis Assessment S)ale %rior to departing from the 6rientation Session, the IST (ill coordinate a tentati"e schedule for a Cali!ration Session meeting$ It should also !e noted that additional meetings might !e desira!le (e$g$, Safety *ssurance Seminar during the Ke"el 1 process$ )lexi!ility to respond to the needs of the CMT and ser"ice pro"ider should !e allo(ed$ Step ..: #etail Gap Anal&sis4 !2(e)tive: The o!.ecti"e of the detailed gap analysis is to: N +etermine (hat components of a SMS may already !e in place1 and N To pro"ide a !asis for implementation planning$ Input:+uring the detailed gap analysis, it is necessary to recei"e input from all organi#ational and functional areas of the ser"ice pro"ider that (ill !e co"ered !y the SMS in order to determine accurate @gapsA and to facilitate a comprehensi"e implementation plan$ It does not ho(e"er, re-uire actual de"elopment of any of the elements during le"el one, !eyond those listed in the SMS Framework ( 2lements 1$1, 1$2 (partial , 1$3 and ;$1$1 (partial $ P$o)edu$e: The detailed gap analysis process is performed !y the ser"ice pro"ider and is accomplished at the @+esign 2xpectationA le"el for each Component, 2lement and %rocess contained (ithin the SMS Framework $ It is a detailed analysis of each element of the SMS, as applied to each operational process of the ser"ice pro"ider, as compared to the expectations of the SMS Framework $ It is performed in a manner and on a schedule determined !y the ser"ice pro"ider$ In"ol"ement of CMT mem!ers during the process is encouraged$ *s (ith the preliminary gap analysis, each SMS Component, 2lement and %rocess (ithin the SMS Framework (ill !e scored using the assessment scale !elo($ +ocumentation or @o!.ecti"e e"idenceA of processes already in place should !e recorded during the detailed gap analysis process$ )or those elements that are considered already de"eloped, the ser"ice pro"ider should pro"ide o!.ecti"e e"idence in terms of references to exiting manuals or other documentation$ 6!.ecti"e e"idence may also ta'e the form of training material, records, inter"ie(s, o!ser"ations, correspondence (email, memo, etc$ , organi#ational charts, meeting minutes, etc$ The +etailed Gap *nalysis Tool in *ppendix 5 may !e used to record o!.ecti"e e"idence1 ho(e"er the company may elect their o(n method of recording$ SMS is currently "oluntary and therefore any findings that SMS expectations are not met should not !e construed as a @deficiency$A Such findings or @gapsA disco"ered during the detailed gap analysis process are used to de"elop a comprehensi"e implementation plan and represent opportunities for future impro"ed safety performance$
3;
SMS Implementation Guide , Appendi= . , evel . E=pe)tations *t the conclusion of the detailed gap analysis, the results should !e summari#ed at the componentDelementDprocess le"el to facilitate more efficient implementation planning$ The detailed gap analysis should !e continuously updated as the company progresses through SMS implementation$ N!TE: The ser"ice pro"ider may re-uire se"eral months to complete a thorough detailed gap analysis$ This is an extremely important acti"ity, upon (hich the de"elopment and implementation of the SMS depends$ It is, therefore, more important to conduct an in depth and comprehensi"e .o! than to meet ar!itrary timelines$ !utput: The results of the completed detailed gap analysis function as input to the ser"ice pro"ider/s implementation plan$ #etailed Gap Anal&sis , Assessment S)ale4 *ll -uestions on the +etailed Gap *nalysis Tool should recei"e a su!.ecti"e score, as defined in )igure ;, !elo($ *ll indi"idual -uestions recei"ing less than a score of 1 (ill !e re"ie(ed !y the ser"ice pro"ider, CMT and the IST for creation of a mutually agreea!le solution$ *ssessment *ssessment 0ating Scale Ke"el ,ord %icture >ot %erformed >o action has !een ta'en on this expectation of the SMS Framework $ >% %lanned * plan exists (ith resources and schedule identified to meet this expectation of the SMS Framework $ +ocumented The expectations of this elementDprocess are incorporated into company documents such as manuals, training material, and (or' instructions$ Implemented Identifia!le actions ha"e satisfied this expectation of the SMS Framework $ 0esources ha"e !een allocated to accomplish the o!.ecti"es of the elements, in accordance (ith SMS expectations$ These actions ha"e !een o!ser"ed in policies, procedures, organi#ational actions, and employee actions$ Go(e"er, performance need not !e demonstrated at this le"el$ +emonstrated This element of the ser"ice pro"ider/s SMS has !een su!.ected to at least one round of e"aluationDauditing to demonstrate performance and there is e"idence these expectations are !eing performed and are effecti"e$ )urther, there are no identifia!le reasons suggesting that continued sustainment (ill not occur$ Fi'u$e 6 #etailed Gap Anal&sis Assessment S)ale Note: IST and CMT (ill !e a"aila!le for -uestions and guidance (hile the operator is performing their detailed gap analysis$ 39 *ssessment Scale =alue
%K> +6C
IM%
+2M
SMS Implementation Guide , Appendi= . , evel . E=pe)tations G$o>t+ and Matu$it&: It is recommended that the detailed gap analysis !e maintained, along (ith the implementation plan$ It should !e updated on a periodic !asis as a means of measuring progress as the SMS is implemented$ Summa$iCin' t+e #etailed Gap Anal&sis (Summa$& Gap Anal&sis): The summary gap analysis is not a separate analysis, nor is it a re-uired process$ It is a summary of the results of the detailed gap analysis$ The results may !e summari#ed at the performance o!.ecti"e le"el for each component, element and process and may !e used !y senior management to trac' SMS implementation$ The same tool that (as used for the preliminary gap analysis may used for the summary gap analysis$ Step .0: 3omp$e+ensive Implementation Plan4 !2(e)tive: The o!.ecti"e of the implementation plan is to address the gaps noted during the detailed gap analysis !y esta!lishing responsi!ility, assigning tas'sDactions and de"eloping a timeline for completion$ Input: ?ased on the results of the detailed gap analysis, an implementation plan is prepared to descri!e ho( the ser"ice pro"ider plans to @fill the gapsA !et(een their existing organi#ation and the o!.ecti"esDexpectations of the SMS Framework $ P$o)edu$es: The implementation plan need not !e complex or excessi"ely detailed !ut should pro"ide a !asic roadmap to meet the o"erall o!.ecti"es and expectations as stated in the SMS Framework to, @Ldevelop and implement an integrated( comprehensive SMS for *the+ entire organi,ation-. The SMS implementation plan, (hich may consist of more than one document, details the actions to !e ta'en, !y (hom and in (hat timeframe$ The implementation plan can !e created in any format that is useful to the company !ut should pro"ide at least the follo(ing: N ComponentDelementDprocess reference from the SMS Framework ( N ?rief description of the location of o!.ecti"e e"idence indicating that the ser"ice pro"ider is meeting the o!.ecti"es and expectations of each component, element or process1 N ?rief description of the actions to !e ta'en to resol"e existing gaps and ho( the actions and processes (ill !e documented1 N 0esponsi!le organi#ation andDor indi"idual(s , and N 2xpected completion date$ The implementation plan should also span the entire SMS de"elopment process through all le"els of maturity and should !e updated as necessary as the pro.ect progresses$ *t each le"el, top managementOs appro"al of the implementation plan should include allocation of necessary resources I*, element 1$2 ! (2 $ !utput: The completed implementation plan is the guidance for the ser"ice pro"ider/s organi#ation to complete the transition to a ro!ust SMS through Ke"el ;$ 35
SMS Implementation Guide , Appendi= . , evel . E=pe)tations Step .3: P$epa$e Sa%et& Poli)&D!2(e)tives4 Top management (ill define the ser"ice pro"ider/s safety policy and con"ey the expectations and o!.ecti"es to its employees$ Top management (ill designate a management official (ho (ill !e responsi!le for SMS de"elopment$ 2ach of the items in element 1$1 in the SMS )rame(or' should !e addressed in the top management policy statement or other company documentation addressed !y top management$ Step .6: 3ali2$ation and Revie> Session(s)4 +uring the gap analysis and planning process, additional onsite face&to&face program re"ie(s !et(een the ser"ice pro"ider, CMT, and IST may !e conducted to re"ie( of the progress of the detailed gap analysis process and implementation planning acti"ities$ This may include one or more meetings, as necessary$ %rogram cali!ration and re"ie(s may in"ol"e some or all of the follo(ing, depending on the status and progress of the pro.ect and the o!.ecti"es of the particular re"ie($ Ser"ice pro"iders may !e as'ed to: N )or(ard their most current detailed gap analysis and implementation plan to their CMT and IST at least 1 (ee' prior to the Session1 N ?rief an o"er"ie( of their detailed gap analysis results1 N ?rief gaps found and ho( they intend to de"elop processes to close the gaps1 N %resent o!.ecti"e e"idence of current conformities1 N ?rief SMS training accomplished and future training needs1 N ?rief an o"er"ie( of progress on their implementation plan1 and N +iscuss any pro!lems and !arriers to progress$ The o!.ecti"e is to ensure the processes are performed correctly in scope, depth F detail$ These @cali!rationA or @status chec'sA can !e important parts of the process !ecause they are an opportunity for the IST to assist in SMS implementation course corrections, if needed, pro"ide additional training, if needed, and to gather data and to pro"ide feed!ac' to the ser"ice pro"iderDCMT on their planning process$ *t the conclusion of the detailed gap analysis, a copy (ill !e pro"ided to the MIT02 Corporation for documenting purposes$ *dditionally, the ser"ice pro"ider is re-uested to present a possi!le date for exiting Ke"el 1$ N!TE: %rogram re"ie(s are @in&progressA e"ents and the ser"ice pro"ider may re-uire 2 or 3 more months to finali#e their gap analysis and implementation plan$ *gain, it should !e noted that additional meetings might !e desira!le (e$g$, *ssuranceD=alidation Seminar during the Ke"el 1 process$ )lexi!ility during the implementation process should !e allo(ed so the IST can respond to the needs of the CMT and ser"ice pro"ider$
3:
SMS Implementation Guide , Appendi= . , evel . E=pe)tations Step .7: P$esentation o% Implementation Plan4 +uring the final face&to&face meeting (=alidation Session !et(een the ser"ice pro"ider, CMT and IST, the ser"ice pro"ider (ill present a detailed o"er"ie( and discussion of their SMS implementation plan$ The ser"ice pro"ider (ill for(ard their most current detailed gap analysis and implementation plan to their CMT and IST at least 1 (ee' prior to the =alidation Session$ Step .8: *alidation o% Gap Anal&sisDImplementation Plan4 This step in"ol"es consensus on the gap analysis and implementation plan among ser"ice pro"ider, CMT and IST$ *greement (ill !e re-uired that the ser"ice pro"ider has satisfied Ke"el 1, 2xit Criteria (see !elo( and is ready to mo"e to Ke"el 2 of the pilot pro.ect$ evel . , E=it E=pe)tations: ,hile no actual de"elopment acti"ities are expected during le"el one, !eyond those listed in the SMS Framework (2lements 1$1, 1$2 (partial , 1$3 and ;$1$1 (partial , the follo(ing items are expected prior to Ke"el 1 exit: N 6!.ecti"e 2"idence of top management/s commitment to implement SMS, define safety policy and con"ey safety expectations and o!.ecti"es to its employees ( SMS Framework 2lement 1$11 @Safety %olicy@ 1 N 6!.ecti"e 2"idence of top management/s commitment to ensure ade-uate resources are a"aila!le to implement SMS (in accordance (ith SMS Framework 2lement 1$2 ! (2 1 N +esignation of a management official (ho (ill !e responsi!le for SMS de"elopment (SMS Framework 2lement 1$31 @Hey Safety %ersonnel@ 1 N +efinition of safety&related positions for those (ho (ill participate in SMS de"elopment and implementation (in accordance (ith SMS Framework 2lement 1$2 ! (3 1 N Completed preliminary and detailed gap analyses on the entire organi#ation for all elements of the SMS Framework (SMS Implementation Guide , *ppendices 9 F 5 1 N Completed comprehensi"e SMS implementation plan for all elements to ta'e the ser"ice pro"ider through Ke"el ; ( SMS Implementation Guide , Section 12 1 and N Identified safety competencies necessary (in accordance (ith SMS Framework 2lement ;$1$1,! (1 , completed training commensurate (ith Ke"el 1 implementation phase of maturity for those competencies and a de"eloped training plan for all employees (in accordance (ith SMS Framework 2lement ;$1$2, ! $ evel . , !utput #o)uments N Management Commitment definition1 N Safety %olicy1 38
SMS Implementation Guide , Appendi= . , evel . E=pe)tations N Comprehensi"e SMS implementation plan (Summary for the entire organi#ation through SMS Implementation Ke"el ;1 and N SMS Training %lan for all employees$ * Ke"el 1 exit criteria (or'sheet is at *ttachment ;$ *t successful exit from Ke"el 1, the IST %6C (ill !egin the SMS %articipation =alidation %rogram (SMS Implementation Guide , Section 13 process and ensure a @Ketter of *c'no(ledgementA is deli"ered to the ser"ice pro"ider$
Step .9: 5e'in Implementation4 The ser"ice pro"ider (ill !egin implementation of Ke"el 2 SMS Framework o!.ecti"es and expectations throughout their organi#ation$
37
T+is se)tion sta$ts !ption 0 A)tivities:

The follo(ing )lo( Chart, )igure 9, graphically sho(s the 6ption 2 (ser"ice pro"iders (ith SMS acti"ities$ Steps 1 through 11 are the same for !oth 6ptions$ The flo(chart !egins at Step 12, the step (here "ariance !et(een 6ptions 1 and 2 !egins$ Fi'u$e 7 #i%%e$en)es , Flo> #ia'$am o% !ption 0 A)tivities Fo$ Se$vi)e p$ovide$s >it+ SMS #ete$mination o% evel
(In)ludes 3ali2$ation G Revie> Session (s))
Follo>,up and Plan

(In)ludes !nsite *alidation Session)
F$om !ption ./ Steps . t+$u ..
.74 P$epa$e Implementation Plan as needed
.84 P$esent Plan .04 Gap Anal&sis Revie> (!nsite Revie> Session (s))
.94 Evaluate Plan
.34 #ete$mine evel o% Matu$it&
.64 Evaluate Gaps
Gaps
evel 3 o$ A2ove
.;4 3ontinue Implementation
;<
SMS Implementation Guide , Appendi= . , evel . E=pe)tations Step .0: Gap Anal&sis Revie>4 !2(e)tive: 0e"ie( and e"aluate the results of the detailed gap analysis (ith the focus of determining a maturity le"el (Ke"el 1, 2, 3, etc$ of the organi#ation/s SMS$ Input: ?ased on the results of the detailed gap analysis, an e"aluation is prepared to determine ho( mature the organi#ation/s existing SMS is in relation to the o!.ecti"esDexpectations of the SMS Framework $ P$o)edu$es: The organi#ation, CMT, and IST, meet to conduct a re"ie( of the detailed gap analysis$ The organi#ation (ill: N )or(ard their most current detailed gap analysis to their CMT and IST at least 2 (ee's prior to the session, N ?rief an o"er"ie( of their detailed gap analysis results, N ,here conformity exists, present o!.ecti"e e"idence of that conformity, N ,here gaps are found, if any, present a comprehensi"e plan on ho( they intend to de"elop processes to resol"e the gaps, and N ?rief successes (ithin the SMS training arena and future training needs$ The Gap *nalysis 0e"ie( may !e created in any format that is useful to the organi#ation !ut should pro"ide at least the same information that (ould !e contained in the +etailed Gap *nalysis Tool in *ppendix 5$ The Gap *nalysis 0e"ie( should span the entire SMS de"elopment process through all ; le"els of SMS implementation$ !utput: The completed Gap *nalysis 0e"ie( (ill !e the !asis for determination of the le"el of implementation that the organi#ation has achie"ed$ It (ill also !e used to further de"elop an organi#ation/s implementation plan leading to complete implementation$
;1
SMS Implementation Guide , Appendi= . , evel . E=pe)tations Step .3: #ete$mine evel o% Matu$it&4 !2(e)tive: To ensure that any gaps disco"ered during the +etailed Gap *nalysis re"ie( (ould preclude the organi#ation from satisfying Ke"el 1, 2, 3 or ; performance o!.ecti"es or design expectations$ Input: If gaps are disco"ered during the detailed gap analysis, they (ill !e e"aluated to determine maturity le"el$ P$o)edu$es: *t the completion of the +etailed Gap *nalysis 0e"ie(, the organi#ation, CMT and IST should mutually agree on the Ke"el of Maturity achie"ed !y the organi#ation/s SMS$ !utput: This @e"aluationA is an important part of the process !ecause it is an opportunity for IST to assist in SMS implementation course corrections, if needed, pro"ide additional training, if needed, and to gather data and to pro"ide feed!ac' to the organi#ationDCMT on their planning process$
Step .6: Evaluate Remainin' Gaps
6nce the maturity le"el is determined, the organi#ation, CMT and IST (ill mutually agree on one of t(o courses of action: If no gaps exist or if all detailed gap analysis scores are at an assessment score of I (Implemented or a!o"e, the organi#ation (ill continue to implement their SMS, as per their plan$ The CMT and IST (ill continue to coordinate, o"ersee and assist the organi#ation, as necessary$ The IST %6C (ill !egin the SMS %articipation =alidation %rogram ( SMS Implementation Guide , %aragraph 13 process and ensure appropriate Ketter of *c'no(ledgement is deli"ered to the organi#ation$ If the determination of maturity le"el is !elo( assessment score of I (Implemented on any SMS Framework process, element or component, the organi#ation (ill de"elop or modify their Implementation %lan in accordance (ith Step 19, !elo( and continue to progress to the next le"el of implementation$ *t the conclusion of this 2"aluationDCali!ration Session, the Ser"ice %ro"ider is re-uested to present a possi!le date for exiting the agreed upon le"el of implementation$
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Step .7: P$epa$e Implementation Plan/ as needed4 !2(e)tive: The o!.ecti"e of the implementation plan is to address the gaps noted during the detailed gap analysis and esta!lish responsi!ility$ Input: ?ased on the results of the detailed gap analysis e"aluation, an implementation plan is prepared to descri!e ho( the organi#ation plans to @fill the gapsA !et(een their existing organi#ation and the o!.ecti"esDexpectations of the SMS Framework $ P$o)edu$es: The implementation plan need not !e complex or excessi"ely detailed !ut should pro"ide a !asic roadmap to meet the o"erall o!.ecti"es and expectations as stated in the SMS Framework to, @L develop and implement an integrated( comprehensive SMS for *the+ entire organi,ation-. The SMS implementation plan, (hich may consist of more than one document, details the actions to !e ta'en, !y (hom and in (hat time&scale$ The implementation plan can !e created in any format that is useful to the company !ut should pro"ide at least the follo(ing: ComponentDelementDprocess reference from the SMS Framework ; ?rief description of the location of o!.ecti"e e"idence indicating that the organi#ation is meeting the o!.ecti"es and expectations of each component, element or process1 If the organi#ation does not meet the o!.ecti"es and expectations, then the follo(ing (ill !e documented for each component, element or process: o?rief description of the actions to !e ta'en to resol"e existing gaps and manualDs affected1 o0esponsi!le organi#ation andDor indi"idual(s 1 and o2xpected completion date$ The implementation plan should also span the entire SMS de"elopment process through all le"els of maturity and should !e updated as necessary as the pro.ect progresses$ *t each le"el, top managementOs appro"al of the implementation plan should include allocation of necessary resources I*, element 1$2, ! (2 $ !utput: The completed implementation plan is the guidance for the entire organi#ation/s transition to a ro!ust SMS through Ke"el ;$
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SMS Implementation Guide , Appendi= . , evel . E=pe)tations Step .8: P$esent Implementation Plan4 +uring the final face&to&face meeting (=alidation Session !et(een the organi#ation, CMT and IST, the organi#ation (ill present a detailed o"er"ie( and discussion of their SMS implementation plan$ The organi#ation (ill for(ard their most current detailed gap analysis and implementation plan to the CMT and IST at least 2 (ee's prior to this session$
Step .9: Evaluate Implementation Plan4 This step in"ol"es consensus on the implementation plan !et(een the organi#ation, CMT and IST$ *dditionally, agreement (ill !e re-uired that the organi#ation has achie"ed all Ke"el 1 expectations, criteria and documentation and is ready to proceed to Ke"el 2 andDor another le"el, as appropriate$ The exit expectations, criteria and documentation for Ke"el 2, 3 and ; can !e found in the SMS Implementation Guide , *ppendices 2, 3 and ;, respecti"ely$ evel . , E=it E=pe)tations evel . , !utput #o)uments: : Same as for 6ption 1 Same as for 6ption 1
* sample organi#ation 2xit Criteria ,or'sheet is in *ttachment ;$ *t completion of Ke"el 1, the IST %6C (ill !egin the SMS %articipation =alidation %rogram (SMS Implementation Guide , Section 13 process and insure a @Ketter of *c'no(ledgementA is deli"ered to the organi#ation$
Step .;: 3ontinue SMS Implementation4 The organi#ation (ill continue implementation of their SMS$
ist o% Atta)+ments *ttachment 1 & SMS %ilot %ro.ect In-uiry Information Sheet *ttachment 2 & Sample Initial Contact Messages *ttachment 3 & Sample Initial ,or'shop *genda *ttachment ; I 2xample of Ke"el 1 2xit Criteria ,or'sheet
;;
Atta)+ment .
SMS Pilot P$o(e)t InIui$& In%o$mation S+eet

Ser"ice %ro"ider >ame: +esignator: *ddress:
%ro"ider %6C & >ame F %hone: )** 6"ersight 6ffice: )** Manager F %hone: )** %I F %hone: )** %I F %hone: )** %I F %hone: >otes:
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Atta)+ment 0 Sample Se$vi)e P$ovide$ Initial 3onta)t Messa'e

+ear Mr$ (or Ms, QQQQQQQQ: Gello, my name is, Ryour nameS, and I/m (ith the )ederal *"iation *dministration/s, Safety Management Systems (SMS)( Implementation Support :eam (IS:) $ ,e/re happy to 'no( of your interest in Safety Management Systems, and possi!le desire to implement SMS into your organi#ation$ ,e !elie"e that this initiati"e introduces the next e"olutionary step in ho( organi#ations account for safety ris's in their operation$ *s you might !e a(are, Safety Management Systems (SMS is not an isolated company @Safety %rogram,A functioning (ithin only one department, nor a simple program that can !e easily understood and -uic'ly instituted$ In actuality, SMS in"ol"es the entire company including Top Management to play an acti"e roll and includes components of: Safety %olicy, Safety 0is' Management, Safety *ssurance, and the esta!lishment of a %ositi"e Safety Culture$ 6ur SMS Implementation Support Team has the a!ility to: & %resent an on&site T SMS Information and Orientation A presentation to your company$ +uring this time (e (ill explain the !ac'ground of the program, its functionality, the "alue SMS !rings to an organi#ation, and future SMS ideology D de"elopment (ithin the )**$ & %ro"ide assistance, guidance and recognition to your company as you de"elop and implement a functioning SMS throughout your organi#ation$ +epending on an organi#ation/s si#e, structure, internal safety programs, "alues and culture, !uilding and maintaining an SMS may ta'e a considera!le amount of time, effort and resources$ *dditionally, the SMS initiati"e includes the in"ol"ement of your )** Certificate Management Team andDor %rinciple Inspectors, (hich (e help facilitate$ Jour company/s re-uest for SMS information and de"elopment is !eing processed and an SMS %ointI 6f&Contact is !eing esta!lished$ 6nce this occurs, that person (ill ser"e as your SMS liaison and (ill contact you (ith further information and possi!le (or'ing relationship on this initiati"e$ In the interim, you may !e interested in our guidance material at http:DD((($faa$go"Da!outDinitiati"esDsmsD $ If you ha"e any -uestions or comments you are (elcome to contact me !y email or phone, either (ay (or's fine$ 6ffice: Rphone num!erS, or email: Remail addressS Sincerely,
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Sample 3MT Initial 3onta)t Messa'e

Mr$DMs$ RManager >ameS, Gello, my name is Ryour nameS1 I/m (ith the )ederal *"iation *dministration/s, S#stem $SMS% &rogram '""ice ( *)S 72< Sa"et# Management
6ne of your certificate holders, Rser"ice pro"ider nameS, has sho(n interest in .oining our SMS %ilot %ro.ect and has re-uested from our office an initial e"aluation of their organi#ation/s SMS implementation efforts$ ,e (ould li'e to schedule an initial "isit and se"eral meetings (ith you, your %rincipal Inspectors and Rser"ice pro"ider nameS at a time that is con"enient to all in"ol"ed$ If you concur, (e (ould li'e to !ring a SMS Implementation Support Team (IST , comprised of Rnum!erS indi"iduals, and spend approximately one half day !riefing your CMT on SMS !ac'ground, doctrine, standards, policy, procedures and implementation tools$ This (ould !e an )** only meeting$ The follo(ing t(o days (ould !e spent !riefing Rser"ice pro"iderS and your 6ffice representati"es much more detailed SMS orientation and conducting a SMS %reliminary Gap *nalysis of Rser"ice pro"iderS$ 6ur recommended Ke"el 1 SMS Implementation %rocess is outlined in our SMS Implementation Guide, *ppendix 1, %ages 23 to 32$ The Implementation Guide and other guidance resources may !e found at: https:DDa"ssharepoint$faa$go"DafsD7<<DSMSDpilotD)ormsDdefault$aspx , under: Category: SMS %6 +ocument$ *s you 'no(, SMS implementation is "oluntary in the 4nited States, in difference to IC*6/s adoption of the SMS Standard (IC*61 *nnex 5 to the Con"ention on International Ci"il *"iation, and +ocument 7897 and the )**/s efforts (6rder 8<<<$357, =S 8<<<$35:, and *C 12<&72 $ There is, ho(e"er, considera!le interest in SMS among the 4$S$ a"iation community$ To date (e ha"e approximately Rcurrent num!erS %art 121, 139 and 1;9 organi#ations enrolled in the SMS %ilot %ro.ect, a program to assist (ith their SMS implementation efforts and to assist the )** in learning !est practices$ Safety Management Systems (SMS is not an isolated company @Safety %rogram,A functioning only (ithin one department, nor a simple program that can !e easily understood and -uic'ly instituted$ In actuality, SMS in"ol"es the entire company including top management to play an acti"e roll in safety management$ Implementing and maintaining an SMS may ta'e a considera!le amount of time (3 to 9 years , effort and resources$ *dditionally, the SMS initiati"e includes the in"ol"ement of your )** Certificate Management Team andDor %rincipal Inspectors, (hich (e help facilitate$ Go(e"er, (e !elie"e that !oth your 6ffice and the Certificate Golders organi#ation (ill find that the in"estment in SMS is (ell (orth the time and effort$ If you ha"e any -uestions or comments, please contact me !y email or phone, either (ay (or's fine$ 6ffice: Rphone num!erS or Remail addressS Sincerely, ;:
Atta)+ment 3
Sample Initial ,or'shop *genda
JSe$vi)e p$ovide$K , SMS evel . , !$ientation Session

A'enda
J#ateK
P$e,5$ie% *isit >it+ 3MT , #a& ./ :al% da& (J#ateK) N IST & 0e"ie( SMS @ (e# &oints) !riefing, discuss %ilot %ro.ect program, and re"ie( Ke"el 1 expectations and agenda (ith CMT$ This !riefing (ill ta'e approximately ; hours$ 0e-uest all Rser"ice pro"iderS %rincipal Inspectors, Super"isors and Manager attend$ 6ther )** 6ffice personnel may attend at discretion of 6ffice Manager$ (0eference: SMS Implementation Guide, *ppendix 1, Step :, CM: &re1$rief IST & +iscuss CMT -uestions and concerns$ IST & ?riefly familiari#e CMT (ith SMS implementation process and documents ( SMS Framework, SMS Assurance Guide, SMS Implementation Guide and gap analysis processDtools to include )** roles in "oluntary implementation pro.ects$
N N
!$ientation Session #a& 0/ Mo$nin' (J#ateK) N IST & %resent standard @ *+,our Intro to SMS A !riefing (this is a generic o"er"ie( !ased on the course(are used for the )** *cademy course and the IC*6 SMS course $ This !riefing gi"es an o"er"ie( of general SMS concepts1 IC*6 re-uirements and discussion of each of the four SMS components: safety policy, safety ris' management, safety assurance, and safety promotion$ (0eference: SMS Implementation Guide, *ppendix 1, Step :, Orientation< SMS Concepts $
!$ientation Session #a& 0/ A%te$noon (J#ateK) N IST I %resent standard @ SMS -ools and Guidance A !riefing$ Conduct familiari#ation (ith SMS Framework, SMS Assurance Guide, SMS Implementation Guide and %reliminary D +etailed Gap *nalysis Tools1 SMS %ilot %ro.ect (SMS %% implementation process1 and !ridging procedures !et(een old and ne( procedures$ (0eference: SMS Implementation Guide, *ppendix 1, Step 8 $ JSe$vi)e p$ovide$K I %resent system description and analysis$ ?asic information a!out ho( the carrier is organi#ed including the essential details a!out accounta!ility and management structure, outsourcing, la!or agreements, etc$ (0eference: SMS Implementation Guide, *ppendix 1, Step 7 JSe$vi)e p$ovide$K & 6"er"ie( of their SMS implementation pro.ect to include time permitting, re"ie( and .oint discussion (ith their CMT and the IST of their preliminary gap analysis process$
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SMS Implementation Guide , Appendi= . , evel . E=pe)tations Sample Initial ,or'shop *genda (Cont !$ientation Session #a& 3/ :al% to all da& (J#ateK) N )inish o"erflo( from first day, if any$ N JSe$vi)e p$ovide$K & Conduct, along (ith their CMT and the IST, their %reliminary Gap *nalysis process$ This (ill indicate their conformance, (here appropriate, to the %erformance 6!.ecti"es of the SMS )rame(or'$ The IST representati"es (ill facilitate a discussion of the status of the ser"ice pro"ider/s implementation pro.ect "s$ the o!.ecti"es of the SMS Framework $ (See SMS Implementation Guide, *ppendix 1, Step 1< JSe$vi)e p$ovide$K & ?riefing on the status of their implementation plan, if any$ IST & *ddress -uestions andDor concerns of Rser"ice pro"iderS and CMT$ IST & +iscuss future timeline of the SMS implementation plan$ IST & +iscuss dates and o!.ecti"es of next steps$
N N N N
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Atta)+ment 6
2xit & Ke"el 1 Criteria & ,or'sheet
See ne=t pa'e %o$ %ull siCe p$inta2le >o$?s+eet
9<
E=it , evel . 3$ite$ia , @o$?s+eet evel .

To 2e )ompleted du$in' evel . *alidation Session4 Fo$>a$d )ompleted )op& to SMS P! IST ead4 E=it E=pe)tation *alidated Initials #ate 1$ 6!.ecti"e e"idence of top management/s commitment to implement SMS, define safety policy and con"ey safety expectations and o!.ecti"es to its employees ( SMS Framework 2lement 1$11 @Safety %olicy@ , 2$ 6!.ecti"e e"idence of top management/s commitment to ensure ade-uate resources are a"aila!le to implement SMS (in accordance (ith SMS Framework 2lement 1$2 ! (2 , 3, +esignation of a management official (ho (ill !e responsi!le for SMS de"elopment ( SMS Framework 2lement 1$31 @Hey Safety %ersonnel@ , ;$ +efinition of safety&related positions for those (ho (ill participate in SMS de"elopment and implementation (in accordance (ith SMS Framework 2lement 1$2 ! (3 , 9$ Completed %reliminary and +etailed Gap *nalysis/ for the entire organi#ation on all elements of the SMS Framework (SMS Implementation Guide , Section 9, 8 F 7 , 5$ Comprehensi"e SMS Implementation %lan addressing implementation of all design expectations of the SMS Framework , (outlined in the SMS Assurance Guide and listed in the +etailed Gap *nalysis Tool for the entire organi#ation, and :$ Identified safety competencies necessary (in accordance (ith SMS Framework 2lement ;$1$1 ! (1 , completed training commensurate (ith Ke"el 1, implementation phase of maturity for those competencies and de"eloped a training plan for all employees$
!utput #o)uments #o)ument 8$ Management Commitment document$ 7$ Safety %olicy$ 1<$ Summary of SMS Implementation %lan Jes 1<$ SMS Training %lan for all employees$ Jes >o >o
Atta)+edL Jes Jes >o >o
-,e undersigned attest to t,e participation o" .......................................... in t,e FAA SMS &ilot &ro/ect $SMS &&% and t,eir associated accomplis,ment in t,e development, t,roug, 0evel 1, o" t,eir SMS. IST P!3:
3MTD3:#! , MGR ,o$, SP*R ,o$, PI:
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To: S AFETY MANAGEMENT S YS TEM (S MS ) IMP EMENTATI!N G"I#E

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APPEN#IH 0
>6T2: Some discussion and guidance from the SMS Implementation Guide is reproduced here, so that this *ppendix may !e used as a stand&alone document$
Implementation evel T>o: Rea)tive P$o)ess/ 5asi) Ris? Mana'ement

evel 0 !2(e)tive: The o!.ecti"e of Ke"el 2 is to correct ?no>ndeficiencies in safety management practices and operational processes$ >ote: These 'no(n deficiencies may !e !ased on a "ariety of sources including past inspection and audit reports, accident and incident in"estigations and employee reports, among others$ The Ser"ice pro"ider (ill plan, organi#e and prepare the organi#ation for further SMS de"elopment$ This (ill include complying (ith the follo(ing expectations in the SMS Framework : *$ Component 1$< Safety %olicy and 6!.ecti"es 2lement 1$1 Safety %olicy ()rom Ke"el 1 2lement 1$2 Management Commitment and Safety *ccounta!ilities 2lement 1$3 Hey Safety %ersonnel ()rom Ke"el 1 2lement 1$; 2mergency %reparedness 2lement 1$9 SMS +ocumentation and 0ecords ?$ Component 2$< Safety 0is' Management (except 2$< ! (2 (a , (! F (d , 2lement 2$1 Ga#ard Identification and *nalysis %rocess 2$1$2 Identify Ga#ards 2lement 2$2 0is' *ssessment and Control %rocess 2$2$1 *naly#e Safety 0is' %rocess 2$2$2 *ssess Safety 0is' %rocess 2$2$3 ControlDMitigate Safety 0is' C$ Component 3$< Safety *ssurance (except 3$2 Management of Change 2lement 3$1 Safety %erformance Monitoring and Measurement %rocess 3$1$1 Continuous Monitoring %rocess 3$1$2 Internal *udits !y 6perational +epartments %rocess 3$1$3 Internal 2"aluation %age 99
SMS Implementation Guide , Appendi= 0 , evel 0 E=pe)tations %rocess 3$1$; 2xternal *uditing of the SMS %rocess 3$1$9 In"estigation %rocess 3$1$5 2mployee 0eporting and )eed!ac' System %rocess 3$1$: *nalysis of +ata %rocess 3$1$8 System *ssessment %rocess 3$1$7 %re"enti"eDCorrecti"e *ction %rocess 3$1$1< Management 0e"ie( 2lement 3$3 Continual Impro"ement +$ Component ;$< Safety %romotion (except 2lement ;$1 Competencies and Training and %rocess ;$1$1 %ersonnel 2xpectations (Competence %rocess ;$1$2 Training 2lement ;$2 Communication and *(areness evel 0 Input: The outputs, documentation, detailed gap analysis and implementation plan from the Ke"el 1 exit process (ill pro"ide the initial input for Ke"el 2 de"elopment$ Additional input in)ludes $esults %$om: N Internal 2"aluation %rogram (I2% , N *"iation Safety *ction %lan (*S*% , N Continuing *nalysis and Sur"eillance (C*S , N )light 6perations Uuality *ssurance ()6U* , N %re"ious internal and external audit reports and e"aluations, N *ccident and incident in"estigations, and N 2mployee reports and D or feed!ac'$ 3onside$ input %$om e=istin' data sou$)es su)+ as: N )light dispatch records N )light schedules N )inancial data N Cre( schedules and records N ,arranty return reports N *ircraft discrepancy reports N )light cancellation and delay reports Re%e$en)es: N SMS Framework , as re"ised, N SMS Assurance Guide, as re"ised, and N SMS Implementation Guide , as re"ised$ evel 0 P$o)ess !ve$vie>:
%age 95
SMS Implementation Guide , Appendi= 0 , evel 0 E=pe)tations *t this step, the ser"ice pro"ider de"elops and implements !asic safety ris' management and safety assurance processes$ Information ac-uisition, processing, and analysis functions are implemented and a trac'ing system for ris' control and correcti"e actions is de"eloped$ This allo(s the ser"ice pro"ider to systematically address 'no(n pro!lems and react to ne(ly identified pro!lems as they occur and to de"elop appropriate remedial action$ *t the end of Ke"el 2, most of the essential safety management structure and !asic identification, analysis and assessment functions of an SMS (ill !e in place, ho(e"er !ecause the for(ard loo'ing systems and tas' analyses ha"e not yet !een conducted, the system is still functioning at a reacti"e le"el$ )or this reason, this le"el is termed @reacti"e$A ,hile this is not the final o!.ecti"e of an SMS, it is an important step in the e"olution of safety management capa!ilities$ evel 0 P$o)edu$es: +uring the Ke"el 2 implementation phase, the ser"ice pro"ider (ill: 1$ 2$ 3$ ;$ +e"elop !asic safety information management and analytical processes, Identify, analy#e and assess 'no(n ha#ards, +esign and implement ris' controls, +e"elop !asic safety assurance and analytical processes, to include management re"ie(s, 9$ +e"elop non&puniti"e "oluntary employee reporting system, and 5$ Identify, document and complete necessary training rele"ant to SMS implementation at le"el 2$ evel 0 !utput: 3ompletion 3$ite$ia: The documentation and performance desired for le"el 2 exit status assessment are listed !elo(: 1$ %rocesses and procedures documented for operating the SMS to the le"el of reacti"e analysis, assessment and mitigating actions1 2$ +e"elop documentation rele"ant to SMS implementation plan and S0M components (reacti"e processes 1 3$ Initiate and document "oluntary non&puniti"e employee reporting and feed!ac' program1 ;$ Conducted SMS training for the staff directly in"ol"ed in the SMS process to at least the le"el necessary for the SMS reacti"e processes1 9$ *pply Safety 0is' Management (S0M processes and procedures to at least one 'no(n (existing ha#ard and initiate the mitigation process to control D mitigate the ris' associated (ith the ha#ard$1 %age 9:
5$ 4pdate the detailed gap analysis on the entire organi#ation for all elements of the SMS )rame(or'1 and :$ 4pdate the comprehensi"e SMS implementation plan for all elements to ta'e the ser"ice pro"ider through Ke"el ;$ #o)uments: +ocumentation or o!.ecti"e e"idence for the follo(ing (The elements and processes implemented during le"el 1 ha"e already !een documented and need not !e repeated for Ke"el 2 : 8$ 6!.ecti"e e"idence that S0M processes and procedures ha"e !een applied to at least one existing ha#ard and that the mitigation process has !een initiated$ 7$ 4pdated comprehensi"e SMS implementation plan for all elements to ta'e the ser"ice pro"ider through Ke"el ;$ 1<$ 4pdated SMS Training %lan for all employees$ 6nce the process and procedural items listed a!o"e ha"e !een completed, there (ill a .oint assessment of the status of the ser"ice pro"ider/s SMS de"elopment$ The ser"ice pro"ider (ill present their progress (to include updated and current detailed gap analysis and implementation plan to their o"ersight organi#ation and the IST prior to proceeding to Ke"el 3$ In conducting the document re"ie( and assessment, it should !e noted that the o!.ecti"e is to de"elop and implement the specific processes and procedures necessary for applying SMS reacti"ely for the systems listed in the SMS Framework, Component 1$< ! (1 (a or (! , as appropriate$ *t completion of Ke"el 2, the IST %6C (ill !egin the SMS %articipation =alidation %rogram ( SMS Implementation Guide , Section 13 process and ensure a @Ketter of *c'no(ledgementA is deli"ered to the Ser"ice pro"ider$ ist o% Atta)+ments *ttachment 1 & 2xample of le"el 2 exit criteria (or'sheet
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Atta)+ment .
2xit & Ke"el 2 Criteria I ,or'sheet
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E=it , evel 0 3$ite$ia , @o$?s+eet evel 0

To 2e )ompleted du$in' evel 0 (oint assessment4 Fo$>a$d )ompleted )op& to SMS P! IST ead4 E=it E=pe)tation *alidated Initials #ate 1$ %rocesses and procedures documented for operating the SMS to the le"el of reacti"e analysis, assessment and mitigating action s1 2$ +e"elop documentation rele"ant to SMS implementation plan and S0M components (reacti"e processes 1 3$ +ocument and initiate "oluntary non&puniti"e employee reporting and feed!ac' program1 ;$ Completed SMS training for the staff directly in"ol"ed in the SMS process and initiated training for all employees to at least the le"el necessary for the SMS reacti"e processes1 9$ *pply Safety 0is' Management (S0M processes and procedures to at least one 'no(n (existing ha#ard and initiate the mitigation p rocess to control D mitig ate the ris' associated (ith the ha#ard1 5$ 4pdate the detailed gap analysis on the entire organi#ation for all elements of the SMS Framework 1 and :$ 4pdate comprehensi"e SMS implementation plan for all elements to ta'e the ser"ice pro"ider through Ke"el ;$
!utput #o)uments 8$ 6!.ecti"e e"idence that S0M processes and procedures ha"e !een applied to at least one existing ha#ard and that the mitigation process has !een initiated$ 7$ 4pdated comprehensi"e SMS implementation plan (or summary for all elements to ta'e the ser"ice pro"ider throu gh Ke"el ;$ Jes >o 1<$ 4pdated SMS Training %lan for all employees$ Jes >o
#o)ument Atta)+edL Jes >o
-,e undersigned attest to t,e participation o" .......................................... in t,e FAA SMS &ilot &ro/ect $SMS &&% and t,eir associated accomplis,ment in t,e development, t,roug, 0evel , o" t,eir SMS. IST P!3: 3MTD3:#! , MGR ,o$, SP*R ,o$, PI:
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%age 53

APPEN#IH 3
>6T2: Some discussion and guidance from the SMS Implementation Guide is reproduced here, so that this *ppendix may!e used as a stand&alone document$ evel 3 , #etailed Guidan)e and E=pe)tations evel 3: P$oa)tive P$o)esses/ oo?in' A+ead4 ()ully )unctioning SMS Component 2$< ! (2 (a , of the SMS Framework expects Safety 0is' Management (S0M to !e applied to initial design of systems, organi#ations, and products, de"elopment of operational procedures, and planned changes to operational processes$ The acti"ities that ma'e up the S0M process in"ol"e careful analysis of systems and tas's, identification of potential ha#ards in these functions, and de"elopment of ris' controls$ The ris' management process de"eloped at le"el t(o is used to analy#e, document, and trac' these acti"ities$ *t this le"el, the ser"ice pro"ider is no( using the processes to loo' ahead, this le"el is called @proacti"e$A *t this le"el, ho(e"er, these proacti"e processes ha"e !een implemented !ut their performance has not yet !een pro"en$ The ser"ice pro"ider (ill de"elop processes to understand the critical characteristics of its systems and operational en"ironment and apply this 'no(ledge to the identification of ha#ards, ris' decision&ma'ing, and the design of ris' controls$ evel 3 !2(e)tive: The first o"erall o!.ecti"e of SMS de"elopment is captured in the first o!.ecti"e of the policy component of the SMS Framework : =:he Service &rovider "ill develop and implement an integrated( comprehensive SMS for its entire organi,ation-. The specific o!.ecti"e of Ke"el 3 is to de"elop processes to understand the critical characteristics of its systems and operational en"ironment and apply this 'no(ledge to the identification of ha#ards, ris' decision&ma'ing, and the design of ris' controls$ This (ill include complying (ith the follo(ing expectations in the SMS Framework : N +emonstrated performance of Ke"el 2 2xpectations1 N 6!.ecti"e e"idence that the processes are !eing updated, maintained and practiced1 N *pply the Safety 0is' Management process to all 2lement 2$< ! (2 (a , (! F (d operating processes1 %age 5;
SMS Implementation Guide , Appendi= 3 evel 3 E=pe)tations N N N N N Comply (ith %rocess 2$1$11 Comply (ith 2lement 3$21 Comply (ith 2lement ;$11 Comply (ith 2lement ;$1$11 *pply the S0M processes and procedures to at least one existing ha#ard and initiate the mitigation process1 and N Complete all SMS Staff and employee training commensurate (ith this le"el of implementation phase maturity$ evel 3 Input: The outputs, documentation and Implementation %lan from the Ke"el 2 2xit process (ill pro"ide the initial input for Ke"el 2 de"elopment$ *dditional input includes results from Internal 2"aluation %rogram, *S*%, C*S, )6U*, pre"ious internal and external audit reports, accident and incident in"estigations and employee reports$ Re%e$en)es: N SMS Framework , as re"ised, N SMS Assurance Guide , as re"ised, and N SMS Implementation Guide , as re"ised$ evel 3 P$o)edu$e: +uring the Ke"el 3 implementation phase, the ser"ice pro"ider (ill: 1$ Implement Safety 0is' Management for proacti"e and predicti"e processes$ N Initial designs of systems, organi#ations, andDor products1 N The de"elopment of operational procedures1 and N %lanned changes to the operational processes 2$ System and tas' descriptions (ill !e de"eloped to the le"el of detail necessary to: N Identify ha#ards1 N +e"elop operational procedures1 and N +e"elop and implement ris' controls$ 3$ %erform training rele"ant to proacti"e and predicti"e processes$ N %ersonnel Competency and Training$ ;$ +e"elop documentation rele"ant to proacti"e and predicti"e processes$ N SMS Implementation %lan, and N SMS +ocumentation$ 9$ Incorporate identified ha#ards from System and Tas' *nalyses into S0M process$ %age 59
5$ 0efine safety information management and analytical processes to incorporate proacti"e safety management processes for: N Information ac-uisition N *nalysis of data N System assessment N %re"enti"e and correcti"e actions N Management re"ie(s :$ Initiate policy and procedures for: N Management of Change, and N Continual Impro"ement$ 8$ Complete training of all employees commensurate (ith the Ke"el 3 implementation phase of maturity$ evel 3 !utput: 3ompletion 3$ite$ia: 6nce the o!.ecti"es and procedures outlined a!o"e ha"e !een completed, there (ill !e a .oint assessment of the status of SMS de"elopment !y the ser"ice pro"ider, the o"ersight organi#ation and the IST prior to proceeding to Ke"el ;$ The documentation and Gap *nalysis Tools used for Ke"el 3 status assessment are listed !elo($ In conducting the document re"ie( and assessment, it should !e noted that the o!.ecti"e is to de"elop and implement the full capa!ilities necessary for applying SMS$ Assessment 3$ite$ia: The ser"ice pro"ider must ha"e accomplished at least the follo(ing: N +emonstrated performance of Ke"el 2 expectations1 N 6!.ecti"e e"idence that all SMS processes are !eing updated, maintained and practiced1 N 6!.ecti"e e"idence that the S0M process has !een conducted on all Component 2$< ! (2 , (a , (! F (d , operating processes1 N 6!.ecti"e e"idence of compliance (ith %rocess 2$1$11 N 6!.ecti"e e"idence of compliance (ith 2lement 3$21 N 6!.ecti"e e"idence of compliance (ith 2lement ;$11 N 6!.ecti"e e"idence of compliance (ith 2lement ;$1$11 N *ll applica!le SMS processes and procedures must ha"e !een applied to at least one existing ha#ard and the mitigation process must ha"e !een initiated1 N Complete SMS training for the staff directly in"ol"ed in the SMS process to the le"el of accomplishing all SMS processes1 and N Complete employee training commensurate (ith this le"el of implementation phase maturity$
%age 55
SMS Implementation Guide , Appendi= 3 evel 3 E=pe)tations #o)uments: *ll processes and procedures for operating the SMS should !e documented$ This document, or documents, should co"er all processes and procedures necessary from information gathering through S0M and mitigation$ *s the Safety *ssurance processes are not mature enough, at this point, to !e "erifia!le, as a minimum the policy and procedures (ill !e documented$ The ser"ice pro"ider must pro"ide documentation or o!.ecti"e e"idence for the follo(ing: N 6!.ecti"e e"idence that S0M processes and procedures ha"e !een applied to all Component 2$< ! (2 , (a , (! F (d , operating processes1 N 6!.ecti"e e"idence that S0M processes and procedures ha"e !een applied to at least one existing ha#ard and that the mitigation process has !een initiated1 N 4pdated comprehensi"e SMS implementation plan for all elements1 and N 4pdated SMS Training %lan for all employees$ ,hen conducting the document re"ie( and assessment, the o!.ecti"e is to de"elop and implement the specific processes and procedures necessary for applying SMS proacti"ely for the systems listed in the SMS Framework, Component 1$< ! (1 , (a or (! , as appropriate$ *t completion of Ke"el 3, the IST %6C (ill !egin the SMS %ilot %ro.ect and =oluntary %rogram =alidation ( SMS Implementation Guide , %aragraph 11 process and insure a Ketter of %articipation is deli"ered to the Ser"ice %ro"ider$ ist o% Atta)+ments *ttachment 1 & 2xample of le"el 3 exit criteria (or'sheet &&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&
Atta)+ment .
2xit & Ke"el 3 Criteria & ,or'sheet
%age 5:
E=it , evel 3 3$ite$ia , @o$?s+eet evel 3

To 2e )ompleted du$in' evel 3 *alidation Session4 Fo$>a$d )ompleted )op& to SMS P! IST ead4 E=it E=pe)tation *alidated Initials #ate 1$ +emonstrated performance of Ke"el 2 2xpectations1 2$ 6!.ecti"e e"idence that all SMS processes are !eing up dated, maintained and practiced1 3$ 6!.ecti"e e"idence that the Safety 0is' Management process has !een conducted on all Component 2$< ! (2 , (a , (! F (d , operating processes1 ;$ 6!.ecti"e e"idence of compliance (ith %rocess 2$1$11 9$ 6!.ecti"e e"idence of compliance (ith 2lement 3$21 5$ 6!.ecti"e e"idence of compliance (ith 2lement ;$11 :$ 6!.ecti"e e"idence of compliance (ith %rocess ;$1$11 8$ *ll applica!le SMS processes and procedures must ha"e !een applied to at least one existing ha#ard and the mitigation process must ha"e !een initiated$ 7$ Complete SMS training for the staff directly in"ol"ed in the SMS process to the le"el of accomplishing all SMS processes1 1<$ Complete employee train ing commensurate (ith this le"el of implementation phase maturity1 !utput #o)uments #o)ument Atta)+edL 11$ 6!.ecti"e e"idence that S0M processes and procedures ha"e !een applied to all Component 2$< ! (2 , (a , (! F (d , operating processes1 Jes >o 12$ 6!.ecti"e e"idence that S0M processes and procedures ha"e !een applied to at least one existing ha#ard and that the mitigation process has !een initiated1 Jes 13$ 4pdated comprehensi"e SMS implementation plan (or summary for all elements1 and 1;$ 4pdated SMS Training %lan for all employees$ Jes >o >o Jes >o
-,e undersigned attest to t,e participation o" ...........................in t,e FAA SMS &ilot &ro/ect $SMS &&% and t,eir associated accomplis,ment in t,e development, t,roug, 0evel !, o" t,eir SMS implementation. IST P!3:
3MTD3:#! , MGR ,o$, SP*R ,o$, PI:
%age 58
%age 57

Fo$:
Revision 3
-une ./ 01.1
%age :<

APPEN#IH 6
>6T2: Some discussion and guidance from the SMS Implementation Guide is reproduced here, so that this *ppendix may!e used as a stand&alone document$ evel 6 , #etailed Guidan)e and E=pe)tations evel 6: 3ontinuous Imp$ovement4 The final le"el of SMS maturity is the continuous impro"ement le"el$ %rocesses ha"e !een in place and their performance and effecti"eness has !een "erified$ The complete safety assurance process, including continuous monitoring and the remaining features of the other S0M and safety assurance processes are functioning$ * ma.or o!.ecti"e of a successful SMS is to attain and maintain this continuous impro"ement status for the life of the organi#ation$ evel 6 !2(e)tive The o"erall o!.ecti"e of SMS de"elopment is captured in the first o!.ecti"e of the policy component of the SMS Framework : =:he Service &rovider "ill develop and implement an integrated( comprehensive SMS for its entire organi,ation-. The specific o!.ecti"e of Ke"el ; is for the ser"ice pro"ider to "erify the performance and effecti"eness of their SMS management practices and operational processes$ evel 6 Input: To !e de"eloped Re%e$en)es: N SMS Framework , as re"ised, N SMS Assurance Guide , as re"ised, and N SMS Implementation Guide , as re"ised$ evel 6 P$o)edu$e: To !e de"eloped evel 6 !utput: To !e de"eloped %age :1
SMS Implementation Guide , Appendi= 7 P$elimina$& Gap Anal&sis Tool
Appendi= 7 P$elimina$& Gap Anal&sis Tool

Fo$:
Revision 3
-une ./ 01.1
%age :2

APPEN#IH 7
The follo(ing extract of the %reliminary Gap *nalysis Tool is designed for *ir Carrier (*C operators$ The %reliminary Gap *nalysis Tool for Maintenance 0epair 6rgani#ations (M06 is identical, except for the column headings$ The full complete electronic copies of !oth *ir Carrier and Maintenance 0epair 6rgani#ations %reliminary Gap *nalysis Tools are a"aila!le for do(nload at: )** 2mployees & https:DDa"ssharepoint$faa$go"DafsD7<<DSMSDpilotD)ormsDdefault$aspx Ser"ice %ro"iders & http:DD((($faa$go"Da!outDinitiati"esDsmsD )or -uestions, please contact your o"ersight organi#ation or the SMS %rogram 6ffice at: +r$ +on *rendt, Manager & +on$*rendtVfaa$go" +ale ,hitmore, *ssistant Manager & +ale$,hitmoreVfaa$go" 0oger 0o!erts, >ational Coordinator & 0oger$0o!ertsVfaa$go" +udley 6atman, +octrine F %olicy Kead I +udley$?$6atmanVfaa$go" Cennifer *dair, Training F 6utreach Kead I Cennifer$*$*dairVfaa$go" +ere' Cheatham, IST Kead I +ere'$CheathamVfaa$go" The electronic copies of the %reliminary Gap *nalysis Tool are not pass(ord protected and may !e edited to reflect the organi#ational structure uni-ue to specific organi#ations$
%age :3
P$elimina$& Ai$ 3a$$ie$ Gap Anal&sis Tool

Note: T+is tool is desi'ned to 2e used >it+ SMS Assu$an)e Guide/ Rev 3 (8,., .1)
Pa$ti)ipant: o)ation:
Assu$an)e Guide Muestion
3omponent .41 Sa%et& Poli)& and !2(e)tives

&olic#1 General 2xpectations
Pe$%o$man)e !2(e)tive The organi#ation (ill de"elop and implement an integrated, comprehensi"e SMS for its entire organi#ation and (ill incorporate a procedure to identify and maintain compliance (ith current safety&related legal, regulatory, and statutory re-uirements$
Element .4. Sa%et& Poli)&

Pe$%o$man)e !2(e)tive Top management (ill define the organi#ation/s Safety %olicy and con"ey its expectations and o!.ecti"es to its employees$
2lement 1. Management 3ommitment and Sa"et# Accounta4ilities

Pe$%o$man)e !2(e)tive The organi#ation (ill define, document, and communicate the safety roles, responsi!ilities, and authorities throughout its organi#ation$
2lement 1.! (e# Sa"et# &ersonnel

Pe$%o$man)e !2(e)tive
%age :;

The organi#ation (ill appoint a management representati"e to manage, monitor and coordinate the SMS processes throughout its organi#ation$
2lement 1.* 2mergenc# &reparedness and 5esponse

Pe$%o$man)e !2(e)tive The organi#ation (ill de"elop and implement procedures that it (ill follo( in the e"ent of an accident, incident or operational emergency to mitigate the effects of these e"ents$
2lement 1.6 SMS 7ocumentation and 5ecords

Pe$%o$man)e !2(e)tive The organi#ation (ill ha"e documented safety policies, o!.ecti"es, procedures, a documentDrecord management process, and a management plan that meet organi#ational safety expectations and o!.ecti"es$
3omponent .8 Sa"et# 5isk Management Sa"et# 5isk Management1 General 2xpectations

Pe$%o$man)e !2(e)tive The organi#ation (ill de"elop processes to understand the critical characteristics of its systems and operational en"ironment and apply this 'no(ledge to identify ha#ards, analy#e and assess ris' and design ris' controls$
2lement .1 9azard Identi"ication and Anal#sis1 P$o)ess 04.4. S&stem #es)$iption and Tas? Anal&sis
Pe$%o$man)e !2(e)tives
%age :9

The organi#ation (ill descri!e and analy#e its systems, operations, and operational en"ironment to gain an understanding of critical design and performance factors, processes, and acti"ities to identify ha#ards$
P$o)ess 04.40 Identi%& :aCa$ds

Pe$%o$man)e !2(e)tive The organi#ation (ill identify and document the ha#ards in its operations that are li'ely to cause death, serious physical harm, or damage to e-uipment or property in sufficient detail to determine associated le"el of ris' and ris' accepta!ility
2lement . 5isk Assessment and 3ontrol P$o)ess 0404. Anal&Ce Sa%et& Ris?
Pe$%o$man)e !2(e)tive The organi#ation (ill determine and analy#e the se"erity and li'elihood of potential e"ents associated (ith identified ha#ards and (ill identify ris' factors associated (ith unaccepta!le le"els of se"erity or li'elihood$
P$o)ess 04040 Assess Sa%et& Ris?

Pe$%o$man)e !2(e)tive The organi#ation (ill assess ris' associated (ith each identified ha#ard and define ris' acceptance procedures and le"els of management that can ma'e safety ris' acceptance decisions$
P$o)ess 04043 3ont$olDMiti'ate Sa%et& Ris?

Pe$%o$man)e !2(e)tive The organi#ation (ill design and implement a ris' control for each identified ha#ard for (hich there is an unaccepta!le ris', to reduce ris' to accepta!le le"els$ The residual or su!stitute ris' (ill !e analy#ed !efore implementing any ris' control$
3omponent 3: Sa%et& Assu$an)e

Sa"et# Assurance1 General 2xpectations %age :5

Pe$%o$man)e !2(e)tive The organi#ation (ill monitor, measure, and e"aluate the performance of their systems to identify ne( ha#ards, measure the effecti"eness of ris' controls, (to include pre"entati"e and correcti"e actions and ensure compliance (ith regulatory re-uirements$
2lement !.1 Sa"et# &er"ormance Monitoring and Measurement1 P$o)ess 34.4. 3ontinuous Monito$in'
Pe$%o$man)e !2(e)tive The organi#ation (ill monitor operational data, including products and ser"ices recei"ed from contractors, to identify ha#ards, measure the effecti"eness of safety ris' controls, and assess system performance$
P$o)ess 34.40 Inte$nal Audits 2& !pe$ational #epa$tments

Pe$%o$man)e !2(e)tive The organi#ation (ill perform regularly scheduled internal audits of its operational processes, including those performed !y contractors, to "erify safety performance and e"aluate the effecti"eness of safety ris' controls$
P$o)ess 34.43 Inte$nal Evaluation

Pe$%o$man)e !2(e)tive The organi#ation (ill conduct internal e"aluations of the SMS and operational processes at planned inter"als to determine that the SMS conforms to its o!.ecti"es and expectations$
P$o)ess 34.46 E=te$nal Auditin' o% t+e SMS

Pe$%o$man)e !2(e)tive The organi#ation (ill include the results of assessments performed !y o"ersight organi#ations, and other external audit results, in its data analysis$
P$o)ess 34.47 Investi'ation

%age ::

The organi#ation (ill esta!lish procedures to collect data and in"estigate incidents, accidents, and instances of potential regulatory non&compliance to identify potential ne( ha#ards or ris' control failures$
P$o)ess 34.48 Emplo&ee Repo$tin' and Feed2a)? S&stem

Pe$%o$man)e !2(e)tive The organi#ation (ill esta!lish and maintain a confidential employee safety reporting and feed!ac' system$ +ata o!tained from this system (ill !e monitored to identify emerging ha#ards and to assess performance of ris' controls in the operational systems$
P$o)ess 34.49 Anal&sis o% #ata

Pe$%o$man)e !2(e)tive The organi#ation (ill analy#e the data descri!ed in SMS )rame(or' %rocesses 3$1$1 thru 3$1$5, to assess the ris' controls/ performance and effecti"eness in the organi#ation/s operational processes and the SMS, and to identify root causes of deficiencies and potential ne( ha#ards$
P$o)ess 34.4; S&stem Assessment

Pe$%o$man)e !2(e)tive The organi#ation (ill perform an assessment of the safety performance and effecti"eness of ris' controls, conformance to SMS expectations as stated (ithin the SMS *ssurance Guide, and the o!.ecti"es of the safety policy$
2lement !. Management o" 3,ange

Pe$%o$man)e !2(e)tive The organi#ation/s management (ill identify and determine accepta!le safety ris' for changes (ithin the organi#ation that may affect esta!lished processes and ser"ices !y ne( system design, changes to existing system designs, ne( operationsDprocedures, or modified operationsDprocedures$
2lement !.! 3ontinuous Improvement

%age :8

The organi#ation (ill promote continuous impro"ement of its SMS through recurring application of Safety 0is' Management (Component 2$< , Safety *ssurance (Component 3$< , and !y using safety lessons learned and communicating them to all personnel$
&rocess !.!.1 &reventive:3orrective Action

Pe$%o$man)e !2(e)tive The organi#ation (ill ta'e pre"enti"e and correcti"e action to eliminate the causes of nonconformance, identified during analysis, to pre"ent recurrence$
&rocess !.!. Management 5eview

Pe$%o$man)e !2(e)tive Top management (ill conduct regular re"ie(s of the SMS to assess the performance and effecti"eness of an organi#ation/s operational processes and the need impro"ements$
3omponent 6: Sa%et& P$omotion

Sa"et# &romotion1 General 2xpectations
Pe$%o$man)e !2(e)tive Top management (ill promote the gro(th of a positi"e safety culture and communicate it throughout the organi#ation$
2lement *.1 3ompetencies and -raining P$o)ess 64.4. Pe$sonnel E=pe)tations (3ompeten)e)
Pe$%o$man)e !2(e)tive The organi#ation (ill document competency re-uirements for those positions identified in 2lement 1$2 !, (3 and 1$3 and ensure those re-uirements are met$
P$o)ess 64.40 T$ainin'

%age :7

The organi#ation (ill de"elop, document, deli"er and regularly e"aluate training necessary to meet competency re-uirements of %rocess ;$1$1 !, (1 $
2lement *. 3ommunication and Awareness

Pe$%o$man)e !2(e)tive Top management (ill communicate the output of its SMS to its employees, and (ill pro"ide its o"ersight organi#ation access to SMS outputs in accordance (ith esta!lished agreements and disclosure programs$
%age 8<
SMS Implementation Guide , Appendi= 8 #etailed Gap Anal&sis Tool
Appendi= 8 #etailed Gap Anal&sis Tool

To: S A FE TY MA N A G EME N T S YS TE M (S MS ) IMP EMENTATI!N G"I#E
Fo$:
Revision 3
-une ./ 01.1
%age 81

APPEN#IH 8
The follo(ing extract of the +etailed Gap *nalysis Tool is designed for *ir Carrier (*C operators$ The +etailed Gap *nalysis Tool for Maintenance 0epair 6rgani#ations (M06 is identical, except for lines 13 thru 3< and the column headings$ The full complete electronic copies of !oth *ir Carrier and Maintenance 0epair 6rgani#ations +etailed Gap *nalysis Tools are a"aila!le for do(nload at: )** 2mployees & https:DDa"ssharepoint$faa$go"DafsD7<<DSMSDpilotD)ormsDdefault$aspx Ser"ice %ro"iders & http:DD((($faa$go"Da!outDinitiati"esDsmsD )or -uestions, please contact your o"ersight organi#ation or the SMS %rogram 6ffice at: +r$ +on *rendt, Manager & +on$*rendtVfaa$go" +ale ,hitmore, *ssistant Manager & +ale$,hitmoreVfaa$go" 0oger 0o!erts, >ational Coordinator & 0oger$0o!ertsVfaa$go" +udley 6atman, +octrine F %olicy Kead I +udley$?$6atmanVfaa$go" Cennifer *dair, Training F 6utreach Kead I Cennifer$*$*dairVfaa$go" +ere' Cheatham, IST Kead I +ere'$CheathamVfaa$go" The electronic copies of the +etailed Gap *nalysis Tool are not pass(ord protected and may !e edited to reflect the organi#ational structure uni-ue to specific organi#ations$
%age 82
E=t$a)t %$om t+e #etailed Gap Anal&sis Tool

Note: T+is tool is desi'ned to 2e used >it+ SMS Assu$an)e Guide/ Rev 3 (8,.,.1)
Pa$ti)ipant: o)ation:
Assu$an)e Guide Muestion
3omponent .41 Sa%et& Poli)& and !2(e)tives

&olic#1 General 2xpectations Pe$%o$man)e !2(e)tive
*n organi#ation (ill de"elop and implement an integrated, comprehensi"e SMS for its entire organi#ation and (ill incorporate a procedure to identify and maintain compliance (ith current safety&related, regulatory, and other re-uirements$
#esi'n E=pe)tations
Management Accounta4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the organi#ational management processes (name, position, organi#ation $ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
Reference< SMS !rame"or# 0-3 $( (6) (0D*
&rocedure1 Scope + Air 'perators +oes the organi#ation/s SMS include the complete scope and life cycle of the organi#ation/s systems, including &
%age 83

)light 6perationsE
Reference< SMS !rame"or#< 0-8 $( (0) (a) (0) (%
6perational Control (+ispatchD)light )ollo(ing E

Maintenance and inspectionE

Ca!in safetyE
Ground handling and ser"icingE

Reference< SMS !rame"or#< 0-8 $( (0) (a) (>) (%
Cargo handlingE
Reference< SMS !rame"or#< 0-8 $( (0) (a) (?) (%
TrainingE
Reference< SMS !rame"or#< 0-8 $( (0) (a) (@) (%
&rocedure1 Management +oes the organi#ation re-uire the SMS processes to !e & +ocumentedE
Reference< SMS !rame"or#< 0-8 $( (3)(a) (%
MonitoredE
Reference< SMS !rame"or#< 0-8 $( (3) ($) (%
MeasuredE
Reference< SMS !rame"or#< 0-8 $( (3) (c) (%
*naly#edE
Reference< SMS !rame"or#< 0-8 $( (3) (d) (%
&rocedure1 &romotion o" &ositive Sa"et# 3ulture
%age 8;

+oes the organi#ation promote a positi"e safety culture as in Component ;$< ?E
Reference< SMS !rame"or# 0-8 $( (7)(a) (%
&rocedure1 ;ualit# &olic# +oes top management ensure that the organi#ation/s -uality policy, if present, is consistent (ith (or not in conflict (ith it/s SMSE
Reference< SMS !rame"or# 0-8 $( (7) ($) (%
&rocedure1 Sa"et# Management &lanning +oes the organi#ation esta!lish and maintain measura!le criteria that accomplish the o!.ecti"es of its safety policyE
Reference< SMS !rame"or# 0-8 $( (7) (e) (%M
+oes the organi#ation esta!lish and maintain a safety management plan to descri!e methods for achie"ing the safety o!.ecti"es set forth in its Safety %olicyE
Reference< SMS !rame"or# 0-8 $( (7) (g) (%M
&rocedure1 5egulator# 3ompliance +oes the organi#ation ensure the SMS complies (ith legal and regulatory re-uirementsE
Reference< SMS !rame"or# 0-8 $( (7) (c) (&)
+oes the organi#ation identify current )** policy, legal, regulatory and statutory re-uirements applica!le to the SMSE
Reference< SMS !rame"or# 0-8 $( (7) (d) (&)
'utputs and Measures +oes the organi#ation ensure all SMS outputs are & 0ecordedE
%age 89

Reference< SMS !rame"or# 0-8 $( (6)(a) (I'&)
MonitoredE
Reference< SMS !rame"or# 0-8 $( (6) ($) (ID%
MeasuredE
Reference< SMS !rame"or# 0-8 $( (6) (c) (ID%
*naly#edE
Reference< SMS !rame"or# 0-8 $( (6) (d) (ID%
The organi#ation (ill periodically measure performance o!.ecti"es and design expectations of the general Safety %olicy Component$
Reference< SMS !rame"or# note at 6-0-6 5 SMS !rame"or# 0-8 $( (3) (c) and (6) (c); 6-0-6 $( (0)
(%MDI
3ontrols +oes the organi#ation esta!lish and maintain super"isory and operational controls to ensure procedures are follo(ed for safety& related operations and acti"itiesE
Reference< SMS !rame"or# 0-8 $( (7) (f) (C
5ottom ine Assessment

Gas the organi#ation de"eloped and implemented an integrated, comprehensi"e SMS for its entire organi#ation and incorporated a procedure to identify and maintain compliance (ith current safety& related, regulatory, and other re-uirementsE
Element .4. Sa%et& Poli)& Pe$%o$man)e !2(e)tive

Top management (ill define the organi#ation/s Safety %olicy and con"ey its expectations and o!.ecti"es to its employees$
%age 85
SMS Implementation Guide , Appendi= 8 #etailed Gap Anal&sis Tool #esi'n E=pe)tations
Management Accounta4ilit# +oes top management define the organi#ation/s Safety %olicyE
Reference< SMS !rame"or# 0-0 $( (0) (%D0D*
&rocedure +oes the organi#ation/s safety policy include the follo(ing & * commitment to implement and maintain the SMSE
* commitment to continuously impro"e the le"el of safetyE

* commitment to managing safety ris'E

Reference< SMS !rame"or# 0-0 $( (3) (c) (%
* commitment to comply (ith all applica!le regulatory re-uirementsE

Reference< SMS !rame"or# 0-0 $( (3) (d) (%
* commitment to encourage employees to report safety issues (ithout reprisal, as per SMS )rame(or' 2mployee 0eporting and )eed!ac' System %rocess 3$1$5E
Reference< SMS !rame"or# 0-0 $( (3) (e) (%
Clear standards for accepta!le !eha"ior for all employeesE

Reference< SMS !rame"or# 0-0 $( (3) (f) (%
Is the safety policy documentedE

Reference< SMS !rame"or# 0-0 $( (3)(i) (%
'utputs and Measures +oes the Safety %olicy pro"ide guidance to management on setting safety o!.ecti"esE
%age 8:

Reference< SMS !rame"or# 0-0 $( (3) (g) (I
+oes the Safety %olicy pro"ide guidance to management on re"ie(ing safety o!.ecti"esE
Reference< SMS !rame"or# 0-0 $( (3) (h) (I
+oes the organi#ation ensure the safety policy is communicated, (ith "isi!le management endorsement, to all employees and responsi!le partiesE
Reference< SMS !rame"or# 0-0 $( (3)( 9) (I
+oes the organi#ation ensure the Safety %olicy is re"ie(ed periodically to "erify it remains rele"ant and appropriate to the organi#ationE
Reference< SMS !rame"or# 0-0 $( (3)(#) (I
+oes the organi#ation identify and communicate management and indi"iduals/ safety performance responsi!ilitiesE
Reference< SMS !rame"or# 0-0 $( (3) (l) (ID0D*
+oes the organi#ation ha"e methods to periodically measure performance o!.ecti"es and design expectations of the Safety %olicy 2lementE
Reference< SMS !rame"or# note at 6-0-6 5 SMS !rame"or# 0-8 $( (3) (c) and (6) (c); 6-0-6 $( (0) (%MDI

Gas top management defined the organi#ation/s Safety %olicy and con"eyed the expectations and o!.ecti"es of that policy to its employeesE
2lement 1. Management 3ommitment and Sa"et# Accounta4ilities %age 88
SMS Implementation Guide , Appendi= 8 #etailed Gap Anal&sis Tool Pe$%o$man)e !2(e)tive
The organi#ation (ill define, document, and communicate the safety roles, responsi!ilities, and authorities throughout its organi#ation$
#esi'n E=pe)tations
Management Accounta4ilit# +oes the organi#ation ensure top management has the ultimate responsi!ility for the SMSE
+oes the organi#ation/s top management pro"ide the resources needed to implement and maintain the SMSE
+oes the organi#ation define le"els of management that can ma'e safety ris' acceptance decisions as descri!ed in Component 2$<, !, (; (c E
&rocedure:'utput:Measure +oes the organi#ation ensure that a"iation safety&related positions, responsi!ilities, and authorities are & +efinedE
+ocumentedE
Communicated throughout the organi#ationE

%age 87

The organi#ation (ill periodically measure performance o!.ecti"es and design expectations of the Management Commitment and Safety *ccounta!ility 2lementE
Reference< SMS !rame"or# note at 6-0-6 5 SMS !rame"or# 0-8 $( (3) (c) and (6) (c); 6-0-6 $( (0) (&M'I)

Gas the organi#ation defined, documented, and communicated the safety roles, responsi!ilities, and authorities throughout the organi#ationE
2lement 1.! (e# Sa"et# &ersonnel Pe$%o$man)e !2(e)tive

The organi#ation (ill appoint a management representati"e to manage, monitor and coordinate the SMS processes throughout its organi#ation$
#esi'n E=pe)tations
Management 5esponsi4ilit#:&rocedure +id top management appoint a mem!er of management (ho, irrespecti"e of other responsi!ilities, (ill !e responsi!le for and authori#ed to & 2nsure that SMS processes are esta!lished, implemented, and maintainedE
Reference< SMS !rame"or# 0-6 $( (0)(a) (0D*D%
0eport to top management on the performance of the SMS and (hat needs to !e impro"edE
Reference< SMS !rame"or# 0-6 $( (0) ($) (0D*DID%
%age 7<

2nsure the organi#ation communicates its safety re-uirements throughout the organi#ationE
Reference< SMS !rame"or# 0-6 $( (0) (c) (0D*DID%
'utputs and Measures +oes the organi#ation ensure that Hey Safety %ersonnel positions, responsi!ilities, and authorities are communicated throughout the organi#ationE
Reference< SMS !rame"or# 0-3 $( (6) (c) (ID0D*
The organi#ation (ill periodically measure performance o!.ecti"es and design expectations of the Hey Safety %ersonnel 2lement 1$3E
(%MDI

Gas the organi#ation appointed a management representati"e to manage, monitor and coordinate the SMS processes throughout its organi#ationE
2lement 1.* 2mergenc# &reparedness and 5esponse Pe$%o$man)e !2(e)tive

The organi#ation (ill de"elop and implement procedures that it (ill follo( in the e"ent of an accident, incident or operational emergency to mitigate the effects of these e"ents$
#esi'n E=pe)tations
Management 5esponsi4ilit#
%age 71

The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the 2mergency %reparedness and 0esponse %rocess and associated documentation$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes the organi#ation esta!lish procedures across all operational departments as expected in Safety %olicy and 6!.ecti"es Component 1$< !, (1 (a or (! , to & Identify ha#ards (hich ha"e potential for accidents, incidents or operational emergenciesE
Reference< SMS !rame"or# 0-7 $( (0) (%
Coordinate and plan the organi#ation/s response to accidents, incidents or operational emergenciesE
2xecute periodic exercises of the organi#ation/s emergency response proceduresE

'utputs and Measures The organi#ation (ill:(1 identify interfaces !et(een the emergency response functions of different operational elements of the organi#ation, and (2 periodically measure performance o!.ecti"es and design expectations of the 2mergency %reparedness and 0esponse 2lement$
Reference< (0) SMS !rame"or# 0-> $( (0) (f)< (3) SMS !rame"or# note at 6-0-6 5 0-8 $( (3) (c) and (6) (c); 6-0-6 $( (0) (%MDI
5ottom ine Assessment %age 72

Gas the organi#ation de"eloped and implemented procedures that it (ill follo( in the e"ent of an accident, incident or operational emergency to mitigate the effects of these e"entsE
2lement 1.6 SMS 7ocumentation and 5ecords Pe$%o$man)e !2(e)tive

The organi#ation (ill ha"e documented safety policies, o!.ecti"es, procedures, a documentDrecord management process, and a management plan that meet organi#ational safety expectations and o!.ecti"es$
#esi'n E=pe)tations
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the +ocumentation and 0ecords %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure1 7ocument 3ontents +oes the organi#ation esta!lish and maintain, in paper or electronic format, information to descri!e the follo(ing & Safety policies E
Reference< SMS !rame"or# 0-> $( (0)(a) (%
Safety o!.ecti"esE
Reference< SMS !rame"or# 0-> $( (0) ($) (%
SMS expectationsE
Reference< SMS !rame"or# 0-> $( (0) (c) (%
%age 73

Safety&related procedures and processesE
Reference< SMS !rame"or# 0-> $( (0) (d) (%
*ccounta!ilities, responsi!ilities and authorities for safety&related procedures and proc essesE
Reference< SMS !rame"or# 0-> $( (0) (e) (%
Interactions and interfaces !et(een safety& related procedures and policiesE

Reference< SMS !rame"or# 0-> $( (0) (f) (%
SMS outputsE
Reference< SMS !rame"or# 0-> $( (0) (g) (%
&rocedure1 7ocument ;ualit# +oes the organi#ation re-uire all documentation !e & Kegi!leE
Reference< SMS !rame"or# 0-> $( (6)(a) (0) (%
+ated ((ith the dates of re"isions E

Reference< SMS !rame"or# 0-> $( (6)(a)(3) (%
0eadily identifia!leE
Reference< SMS !rame"or# 0-> $( (6)(a) 6 (%
Maintained in an orderly mannerE

Reference< SMS !rame"or# 0-> $( (6)(a)(7) (%
0etained for a specified period as determined !y the organi#ationE >ote: 4nder "oluntary implementation of the SMS, the SMS records system does not re-uire )** appro"al$
Reference< SMS !rame"or# 0-> $( (6)(a)> (%
&rocedure1 7ocument Management +oes the organi#ation control all documents to ensure &
%age 7;

They are easily locatedE
Reference< SMS !rame"or# 0-> $( (6) ($) 0 (%
They are periodically re"ie(edE

Reference< SMS !rame"or# 0-> $( (6) ($) 3 (a) (%
They are re"ised as neededE

Reference< SMS !rame"or# 0-> $( (6) ($) 3 ($) (%
*uthori#ed personnel appro"e them for ade-uacyE

Reference< SMS !rame"or# 0-> $( (6) ($) 3 (c) (%
+oes the organi#ation ensure that all current document "ersions are a"aila!le at all locations (here essential SMS operations are performedE
Reference< SMS !rame"or# 0-> $( (6) (c) (%DC
+oes the organi#ation ensure that o!solete documents are either remo"ed as soon as possi!le, or that they are not used accidentallyE
Reference< SMS !rame"or# 0-> $ (6) (d) (%DC
'utputs and Measures Gas the organi#ation maintained their safety management plan in accordance (ith the o!.ecti"es and expectations contained (ithin this 2lementE
Reference< SMS !rame"or# 0-> $( (3) (ID%
+oes the organi#ation ensure SMS records are & IdentifiedE

%age 79

MaintainedE
+isposed ofE
Kegi!leE
Reference< SMS !rame"or# 0-> $( (7) ($) (0) (%
2asy to identifyE
Tracea!le to the acti"ity in"ol"edE

2asy to findE
Reference< SMS !rame"or# 0-> $( (7) (c) (0) (%
%rotected against damageE

Reference< SMS !rame"or# 0-> $( (7) (c) (3) (A) (&)
%rotected against deteriorationE

Reference< SMS !rame"or# 0-> $( (7) (c) (3) ($) (&)
%rotected against lossE

Reference< SMS !rame"or# 0-> $( (7) (c) (3) (c) (&)
*nnotated (ith record retention timesE

Reference< SMS !rame"or# 0-> $( (7) (d) (&)
The organi#ation (ill periodically measure performance o!.ecti"es and design expectations of the +ocumentation and 0ecords 2lement$
Reference< SMS !rame"or# note at 6-0-6 5 0-8 $( (3) (c) and (6) (c); 6-0-6 $( (0) (&M'I)
%age 75

Gas the organi#ation clearly defined and documented (in paper or electronic format safety policies, o!.ecti"es, procedures, and documentDrecord maintenance processes and esta!lished, implemented, and maintained a safety management plan that meets the safety expectations and o!.ecti"esE
3omponent .8 Sa"et# 5isk Management Sa"et# 5isk Management1 General 2xpectations Pe$%o$man)e !2(e)tive
The organi#ation (ill de"elop processes to understand the critical characteristics of its systems and operational en"ironment and apply this 'no(ledge to identify ha#ards, analy#e and assess ris' and design ris' controls$
#esi'n E=pe)tations
Input The organi#ation (ill identify inputs (interfaces for this Component o!tained from the critical expectations of its systems and operational en"ironmentE
0eference: SMS !rame"or# 0-> $( (0) (f) (I
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Safety 0is' Management %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
Reference< SMS !rame"or# 0-3 $( (6) (R'A)
%age 7:

&rocedure +oes the organi#ation/s SMS, at a minimum, include the follo(ing processes & System description and tas' analysisE
Reference< SMS !rame"or# 3-8 $( (0) (a) (%
Ga#ard IdentificationE
Safety 0is' *nalysisE

Safety 0is' *ssessmentE

Safety 0is' Control and MitigationE

Reference< SMS !rame"or# 3-8 $( (0) (e) (%
+oes the organi#ation/s SMS processes apply to & Initial designs of systems, organi#ations, andDor productsE
The de"elopment of operational proceduresE

Ga#ards that are identified in the safety assurance functions (descri!ed in Component 3$<, ! E
%lanned changes to the operational proc essesE

Reference< SMS !rame"or# 3-8 $( (3) (d (%
%age 78

+oes the organi#ation esta!lish feed!ac' loops !et(een assurance functions descri!ed in the Comtinuous Monitoring %rocess 3$1$1, !, to e"aluate the effecti"eness of safety ris' controlsE
+oes the organi#ation define accepta!le and unaccepta!le le"els of safety ris' (for example, does the organi#ation ha"e a safety ris' matrix E
+oes the organi#ation/s safety ris' acceptance process include descriptions of the follo(ing & Se"erity le"elsE
Reference< SMS !rame"or# 3-8 $( (7) ($) (0) (%
Ki'elihood le"elsE
Reference< SMS !rame"or# 3-8 $( (7) ($)(3) (%
Ke"el of management that can ma'e safety ris' acceptance decisions in accordance (ith 2lement 1$2 ! (3 E
Reference< SMS !rame"or# 3-8 $( (7) c) (%D0D*
+oes the organi#ation define accepta!le ris' for ha#ards that (ill exist in the short&term (hile safety ris' controlDmitigation plans are de"eloped and implementedE
'utputs and Measures
%age 77

The organi#ation (ill: (1 identify interfaces !et(een the Safety 0is' Management Component (this Component and the Safety *ssurance Component (3$< , and (2 periodically measure performance o!.ecti"es and design expectations of the safety ris' management component$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Safety 0is' Management Component (2$< $
Reference< (0) SMS !rame"or#< 0-8 $( (7) (f)< (3) SMS !rame"or# 0-0 $( (3) #); 6-0-6 $( (0); 6-6-3 $ (0)5(3) (C

Gas the organi#ation de"eloped processes to understand the critical characteristics of its systems and operational en"ironment and applied this 'no(ledge to the identification of ha#ards, ris' analysis and ris' assessment, and the design of ris' controlsE
2lement .1 9azard Identi"ication and Anal#sis1 P$o)ess 04.4. S&stem and Tas? Anal&sis
%age 1<<
SMS Implementation Guide , Appendi= 8 #etailed Gap Anal&sis Tool Pe$%o$man)e !2(e)tives
The organi#ation (ill descri!e and analy#e its systems, operations, and operational en"ironment to gain an understanding of critical design and performance factors, processes, and acti"ities to identify ha#ards$
#esi'n E=pe)tations
Input Inputs (interfaces for the System +escription and Tas' *nalysis process (ill !e o!tained from the Safety 0is' Management Component 2$< !, (2 $
Reference< SMS !rame"or# 3-8 $( (3) (I $
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the System +escription and Tas' *nalysis %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes the organi#ation de"elop system descriptions and tas' analysis to the le"el of detail necessary to & Identify ha#ardsE
Reference< SMS !rame"or# 3-0-0 $( (0)(a) (%
+e"elop operational proceduresE

Reference< SMS !rame"or# 3-0-0 $( (0) ($) (%
+e"elop and implement ris' controlsE

Reference< SMS !rame"or# 3-0-0 $( (0) (c) (%
%age 1<1

The organi#ation (ill: (1 identify interfaces !et(een the system description and tas' analysis function (this process and the Ga#ard Identification %rocess 2$1$2 !elo(, and (2 periodically measure performance o!.ecti"es and design expectations of the System +escription and Tas' *nalysis %rocess (2$1$1 $
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the System +escription and Tas' *nalysis %rocess (2$1$1 $
Reference< (0) SMS !rame"or#< 0-8 $( (7) (f)< (3) SMS !rame"or# 0-0 $( (3) #); 6-0-6 $( (0); 6-6-3( $ (0) 5 (3) (C

Gas the organi#ation analy#ed its systems, operations and operational en"ironment to gain an understanding of critical design and performance factors, processes, and acti"ities to identify ha#ardsE
P$o)ess 04.40 Identi%& :aCa$ds Pe$%o$man)e !2(e)tive

The organi#ation (ill identify and document the ha#ards in its operations that are li'ely to cause death, serious physical harm, or damage to e-uipment or property in sufficient detail to determine associated le"el of ris' and ris' accepta!ility$
%age 1<2
Input Inputs (interfaces for the Ga#ard Identification %rocess (ill !e o!tained from the System +escription and Tas' *nalysis %rocess 2$1$1, to include a ne( ha#ard identified from the Safety *ssurance Component 3$<, failures of ris' controls due to design deficiencies found in the System *ssessment %rocess 3$1$8 (! (3 , andDor from any other source$
Reference< SMS !rame"or# 0-> $( (0) (f) (I
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Ga#ard Identification %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes the organi#ation identify ha#ards for the entire scope of each system, as defined in the system descriptionE Note: ,hile it is recogni#ed that identification of e"ery concei"a!le ha#ard is impractical, a"iation ser"ice pro"iders are expected to exercise due diligence in identifying and controlling significant and reasona!ly foreseea!le ha#ards related to their operations$
+oes the organi#ation document the identified ha#ardsE

+oes the organi#ation ha"e a means of trac'ing ha#ard informationE

%age 1<3

+oes the organi#ation manage ha#ard information through the entire Safety 0s' Management %rocessE
'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een this process and the *nalysis of Safety 0is' %rocess (2$2$1, !elo( , and (2 periodically measure performance o!.ecti"es and design expectations of the Ga#ard Identification %rocess$
Reference< (0) SMS !rame"or# 0-> $( (0) (f)< (3) SMS !rame"or# note at 6-0-6 5 0-8 $( (3) (c) and (6) (c); 6-0-6 $( (0) (&M'I)
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Ga#ard Identification %rocess$
Reference< (0) SMS !rame"or#< 0-8 $( (7) (f)< (3) SMS !rame"or# 0-0 $( (3) #); 6-0-6 $( (0); 6-6-3( $( (0) 5 (3) (C

Gas the organi#ation identified and documented ha#ards that are li'ely to cause death, serious physical harm, or damage to e-uipment or property in sufficient detail to determine associated ris' and accepta!ilityE
2lement . 5isk Assessment and 3ontrol
%age 1<;
SMS Implementation Guide , Appendi= 8 #etailed Gap Anal&sis Tool P$o)ess 0404. Anal&Ce Sa%et& Ris? Pe$%o$man)e !2(e)tive
The organi#ation (ill determine and analy#e the se"erity and li'elihood of potential e"ents associated (ith identified ha#ards and (ill identify ris' factors associated (ith unaccepta!le le"els of se"erity or li'elihood$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained from the Ga#ard Identification %rocess (2$1$2 $ 0eference: SMS !rame"or# 0-> $( (0) (f) Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Safety 0is' *nalysis %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
(I $
&rocedure +oes the organi#ation/s safety ris' analysis functions include & *nalysis of existing safety ris' controlsE
Triggering mechanismsE
Safety ris' of a reasona!ly li'ely outcome from the existence of a ha#ardE

%age 1<9

+oes the organi#ation/s reasona!ly li'ely outcomes from the existence of a ha#ard, include estimations of the follo(ing & Ki'elihoodE
Reference< SMS !rame"or# 3-3-0 $( (0) (c) 0 (%
Se"erityE
Reference< SMS !rame"or# 3-3-0 $( (0) (c) 3 (%
'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een the ris' analysis functions (this process and the 0is' *ssessment %rocess 2$2$2, !elo( , and (2 periodically measure performance o!.ecti"es and design expectations of the 0is' *nalysis %rocess$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the *nalysis of Safety 0is' %rocess$
Reference< (0) SMS !rame"or#< 0-8 $( (7) (f)< (3) SMS !rame"or# 0-0 $( (3) #); 6-0-6 $( (0); 6-6-3( $( (0) 5 (3) (C)
%age 1<5

Gas the organi#ation determined and analy#ed the factors related to the se"erity and li'elihood of potential e"ents associated (ith identified ha#ards and identified factors associated (ith unaccepta!le le"els of se"erity or li'elihoodE
P$o)ess 04040 Assess Sa%et& Ris? Pe$%o$man)e !2(e)tive

The organi#ation (ill assess ris' associated (ith each identified ha#ard and define ris' acceptance procedures and le"els of management that can ma'e safety ris' acceptance decisions$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained from the Safety 0is' *nalysis %rocess 2$2$1 in terms of estimated se"erity and li'elihood$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Safety 0is' *ssessment %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes the organi#ation analy#e each ha#ard for its safety ris' accepta!ility using their safety ris' acceptance process as descri!ed in the SMS )rame(or' Component 2$<, ! (; E
Reference< SMS !rame"or# 3-3-3 $( (%
%age 1<:

'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een the ris' assessment functions (this process and the ControlDMitigate Safety 0is' %rocess 2$2$3$ !elo(, and (2 periodically measure performance o!.ecti"es and design expectations of the Safety 0is' *ssessment %rocess$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Safety 0is' *ssessment %rocess$

Gas the organi#ation assessed ris' associated (ith identified ha#ards and defined ris' acceptance procedures and le"els of management that can ma'e safety ris' acceptance decisionsE
P$o)ess 04043 3ont$olDMiti'ate Sa%et& Ris? Pe$%o$man)e !2(e)tive
%age 1<8

The organi#ation (ill design and implement a ris' control for each identified ha#ard for (hich there is an unaccepta!le ris', to reduce ris' to accepta!le le"els$ The potential for residual ris' and su!stitute ris' (ill !e analy#ed !efore implementing ris' controls$ N!TE: *lthough %rocess 2$2$3 is "ery similar to the %re"enti"eDCorrecti"e *ction %rocess 3$3$1, the primary differences are: N %rocess 2$2$3 is used during the design of a system (often loo'ing to the future or in the redesign of a non&performing system (here system re-uirements are !eing met, ho(e"er the system is not producing the desired results$ N %rocess 2$2$3 is also used (hen ne( ha#ards are disco"ered during the safety assurance process that (ere not ta'en into account during initial design$ N %rocess 3$3$1 is used to de"elop actions to !ring a non&performing system !ac' into conformance to its design re-uirements$
#esi'n E=pe)tations
Input Inputs (interfaces for the ControlDMitigation Safety 0is' process (ill !e o!tained from the Safety 0is' *ssessment %rocess 2$2$2$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the ControlDMitigate Safety 0is' %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
%age 1<7

P$o)edu$e +oes the organi#ation ha"e a safety ris' controlDmitigation plan for each ha#ard (ith unaccepta!le ris'E
Reference< SMS !rame"or# 3-3-6 $( (0) (%DC
*re the organi#ation/s safety ris' controls & Clearly descri!edE

2"aluated to ensure that the expectations ha"e !een metE

0eady to !e used in their intended operational en"ironmentE

+ocumentedE
+oes the organi#ation ensure that su!stitute ris' (ill !e e"aluated (hen creating safety ris' controls and mitigationsE
Reference< SMS !rame"or# 3-3-6 $( (6) (%DC
'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een the ris' controlDmitigation functions (this process and the Safety *ssurance Component 3$<, specifically 3$1$1 thru 3$1$5, !elo(, and (2 periodically measure performance o!.ecti"es and design expectations of the ris' ControlDMitigate Safety 0is' %rocess$
3ontrols
%age 11<

The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the safety ris' control proc ess$

Gas the organi#ation designed and implemented a ris' control for each identified ha#ard for (hich there is unaccepta!le ris', to reduce to accepta!le le"els the potential for death, serious physical harm, or damage to e-uipment or propertyE Gas the residual or su!stitute ris' !een analy#ed !efore implementing any ris' controlE
3omponent 341: Sa%et& Assu$an)e

Sa"et# Assurance1 General 2xpectations Pe$%o$man)e !2(e)tive
The organi#ation (ill monitor, measure, and e"aluate the performance of their systems to identify ne( ha#ards, measure the effecti"eness of ris' controls, (to include pre"entati"e and correcti"e actions and ensure compliance (ith regulatory re-uirements$
#esi'n E=pe)tations
Input
%age 111

Inputs (interfaces for this component (ill !e o!tained from the Safety 0is' Management Component 2$<$
Reference< SMS !rame"or# 0-> $( (0) (f) (I)
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Safety *ssurance Component$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
Reference< SMS !rame"or# 0-3 $( (6) (R'A)
&rocedure +oes the organi#ation monitor their systems and operations to & Identify ne( ha#ardsE
Measure the effecti"eness of safety ris' controlsE

2nsure compliance (ith regulatory re-uirements applica!le to the SMSE

Is the organi#ation/s safety assurance function !ased upon a comprehensi"e system description and tas' analysis as descri!ed in %rocess 2$1$1, System +escription and Tas' *nalysisE
+oes the organi#ation collect the data necessary to demonstrate the effecti"eness of its & 6perational processesE
%age 112

The SMSE
'utputs and Measures The organi#ation (ill identify interfaces !et(een the data ac-uisition processes (3$1$1 to 3$1$5 and & The system assessment process (2$2$2
The ha#ard identification process (2$1$2

The organi#ation (ill periodically measure performance o!.ecti"es and design expectations of the Safety *ssurance ComponentE
See note at 6-0-6 5 SMS !rame"or# 0-8 $( (3) (c) and (6) (c); 6-0-6 $( (0) (%MDI
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Safety *ssurance Component$
%age 113

Gas the organi#ation monitored, measured, and e"aluated the performance of their systems to identify ne( ha#ards, measure the effecti"eness of ris' controls, (to include pre"entati"e and correcti"e actions and ensured compliance (ith regulatory re-uirementsE
2lement !.1 Sa"et# &er"ormance Monitoring and Measurement1 P$o)ess 34.4. 3ontinuous Monito$in' Pe$%o$man)e !2(e)tive
The organi#ation (ill monitor operational data, including products and ser"ices recei"ed from contractors, to identify ha#ards, measure the effecti"eness of safety ris' controls, and assess system performance$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained from the 0is' *ssessment %rocess 2$2$2, 0is' ControlDMitigation %rocess 2$2$3, System *ssessment %rocess 3$1$8 or %re"enti"eDCorrecti"e *ction %rocess 3$3$1$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Continuous Monitoring %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
%age 11;

P$o)edu$e +oes the organi#ation monitor operational data (e$g$, duty logs, cre( reports, (or' cards, process sheets, and reports from the employee safety feed!ac' system specified in %rocess 3$1$5 to & +etermine (hether it conforms to safety ris' controls (descri!ed in %rocess 2$2$3 E
Measure the effecti"eness of safety ris' controls (descri!ed in %rocess 2$2$3 E

*ssess SMS system performanceE

Identify ha#ardsE
Reference< SMS !rame"or# 6-0-0 $( (0) (d) (%
+oes the organi#ation monitor products and ser"ices from contractorsE

Reference< SMS !rame"or# 6-0-0 $( (3) (%
'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een these continuous monitoring functions and the *nalysis of +ata %rocess 3$1$: !elo(, and (2 periodically measure performance o!.ecti"es and design expectations of the Continuous Monitoring %rocess$
3ontrols
%age 119

The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Continuous Monitoring %rocess$

Gas the organi#ation monitored operational data, including products and ser"ices recei"ed from contractors, to identify ha#ards, measure the effecti"eness of safety ris' controls, and assess system performanceE
P$o)ess 34.40 Inte$nal Audits 2& !pe$ational #epa$tments Pe$%o$man)e !2(e)tive

The organi#ation (ill perform regularly scheduled internal audits of its operational processes, including those performed !y contractors, to "erify safety performance and e"aluate the effecti"eness of safety ris' controls$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained from the ControlDMitigate Safety %rocess 2$2$3$
%age 115

The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Internal *uditing %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure1 +oes the organi#ation/s line management ensure regular internal audits of safety& related functions of the organi#ation/s operational processes (production system are conductedE
&rocedure1 Auditing o" 3ontractors +oes the organi#ation/s line management ensure regular audits are conducted of their safety&related departmental functions (hich are performed !y su!contractorsE
&rocedure1 '4/ectives o" Audits +oes the organi#ation conduct regular audits to & +etermine conformity to safety ris' controlsE
*ssess safety ris' controls/ performanceE

&rocedure1 Audit &lanning +oes the organi#ation/s audit program planning ta'e into account & Safety criticality of the processes to !e auditedE
%age 11:

0esults of pre"ious auditsE
&rocedure1 Audit &rogram Management +oes the organi#ation define & *udits, including & CriteriaE
Reference< SMS !rame"or# 6-0-3 $( (7)(a) (0) (%
ScopeE
)re-uencyE
MethodsE
Go( the auditors (ill !e selectedE

Go( they (ill ensure that auditors do not audit their o(n (or'E
&rocedure1 7ocumentation +oes the organi#ation define & Internal audit responsi!ilitiesE
Reference< SMS !rame"or# 6-0-3 $( (>)(a) (%
2xpectations for & %lanning auditsE

Reference< SMS !rame"or# 6-0-3 $( (>) ($) 0 (%
%age 118

Conducting auditsE
0eporting resultsE
Maintaining recordsE
*udits of contractors and "endorsE

Reference< SMS !rame"or# 6-0-3 $( (>) ($) > (%
'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een the Internal *udits of 6perational +epartments %rocess and the *nalysis of +ata %rocess 3$1$: !elo(, and (2 periodically measure performance o!.ecti"es and design expectations of the Internal *udits of 6perational +epartments %rocess$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Internal *udit of 6perational +epartments %rocess$
5ottom ine Assessment %age 117

Gas the organi#ation performed regularly scheduled internal audits of its operational processes, including those performed !y contractors, to determine the performance and effecti"eness of ris' controlsE
P$o)ess 34.43 Inte$nal Evaluation Pe$%o$man)e !2(e)tive

The organi#ation (ill conduct internal e"aluations of the SMS and operational processes at planned inter"als to determine that the SMS conforms to its o!.ecti"es and expectations$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained from the 0is' *ssessment %rocess 2$2$2 or ControlDMitigate Safety 0is' %rocess 2$2$3$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Internal 2"aluation %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure
%age 12<

+oes the organi#ation ensure internal e"aluations of operational processes and the SMS are conducted at planned inter"als, to determine that the SMS conforms to o!.ecti"es and expectationsE Note: Sampling of SMS output measurement is a primary control under Component 1$<, !, (3 (c and (; (e $
+oes the organi#ation/s planning of the internal e"aluation program ta'e into account & Safety criticality of the processes to !e e"aluatedE
0esults of pre"ious e"aluationsE

&rocedure1 &rogram 3ontents +oes the organi#ation define & 2"aluation/s, including & CriteriaE
Reference< SMS !rame"or# 6-0-6 $( (6) (a) 0 (%
ScopeE
)re-uencyE
MethodsE
%rocesses used to select the e"aluatorsE
%age 121

&rocedure1 7ocumentation +oes the organi#ation/s document procedures include & 2"aluation responsi!ilitiesE
Reference< SMS !rame"or# 6-0-6 $( (6) (c)(0) (%
0e-uirements for & %lanning e"aluationsE

Reference< SMS !rame"or# 6-0-6 $( (6) (c) 3 (a) (%
Conducting e"aluationsE
Reference< SMS !rame"or# 6-0-6 $( (6) (c) 3 ($) (%
0eporting resultsE
Reference< SMS !rame"or# 6-0-6 $( (6) (c) 3 (c) (%
Maintaining recordsE
Reference< SMS !rame"or# 6-0-6 $( (6) (c) 3 (d) (%
2"aluating contractors and "endorsE

Reference< SMS !rame"or# 6-0-6 $( (6) (c) 3 (e) (%
&rocedure1 Scope +oes the organi#ation/s e"aluation program include an e"aluation of the operational departments descri!ed in SMS )rame(or' Safety %olicy Component 1$< !, (1 F (2 E
&rocedure1 Independence o" 2valuators
%age 122

+oes the organi#ation ensure the person or organi#ation performing e"aluations of operational processes are independent of the process !eing e"aluatedE
Reference< SMS !rame"or# 6-0-6 $( (>) (%
'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een this process and the *nalysis of +ata %rocess 3$1$: !elo(, and (2 periodically measure performance o!.ecti"es and design expectations of the Internal 2"aluation %rocess$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Internal 2"aluation %rocess$

Gas the organi#ation conducted internal e"aluations of the SMS and operational processes at planned inter"als to determine that the SMS conforms to its re-uirementsE
P$o)ess 34.46 E=te$nal Auditin' Pe$%o$man)e !2(e)tive
%age 123

The organi#ation (ill include the results of assessments performed !y o"ersight organi#ations, and other external audit results, in its data analysis$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained from the ControlDMitigate Safety 0is' %rocess 2$2$3 and from the )** andDor other external agencies$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the 2xternal *uditing %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes the organi#ation ensure it includes the results of o"ersight organi#ation audits, and other external audit results, in the analyses conducted under SMS )rame(or' *nalysis of +ata %rocess 3$1$:E
Reference< SMS !rame"or# 6-0-7 $( (%DI
'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een this process and the *nalysis of +ata %rocess 3$1$: !elo(, and (2 periodically measure performance o!.ecti"es and design expectations of the 2xternal *uditing %rocess$
%age 12;

3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the 2xternal *uditing %rocess$

Gas the organi#ation included the results of audits performed !y o"ersight organi#ations, and other external audit results, in its analysis of dataE
P$o)ess 34.47 Investi'ation Pe$%o$man)e !2(e)tive

The organi#ation (ill esta!lish procedures to collect data and in"estigate incidents, accidents, and instances of potential regulatory non&compliance to identify potential ne( ha#ards or ris' control failures$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained from the ControlDMitigate Safety 0is' %rocess 2$2$3 and as needed upon occurrence of e"ents$
%age 129

The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the In"estigation %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes the organi#ation ensure it collects data on& IncidentsE

Reference< SMS !rame"or# 6-0-> $( (0)(a) (%
*ccidentsE
Reference< SMS !rame"or# 6-0-> $( (0) ($) (%
%otential regulatory non&complianceE

Reference< SMS !rame"or# 6-0-> $( (0) (c) (%
+oes the organi#ation ensure that procedures are esta!lished to in"estigate & *ccidentsE
Reference< SMS !rame"or# 6-0-> $( (3) (a) (%
IncidentsE
Reference< SMS !rame"or# 6-0-> $( (3) ($) (%
Instances of potential regulatory non& complianceE

Reference< SMS !rame"or# 6-0-> $( (3) (c) (%
'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een this process and the *nalysis of +ata %rocess 3$1$: !elo(, and (2 periodically measure performance o!.ecti"es and design expectations of the In"estigation %rocess$
%age 125

3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the In"estigation %rocess$

Gas the organi#ation esta!lished procedures to collect data and in"estigate incidents, accidents, and instances of potential regulatory non&compliance that occur to identify potential ne( ha#ards or ris' control failuresE
P$o)ess 34.48 Emplo&ee Repo$tin' and Feed2a)? S&stem Pe$%o$man)e !2(e)tive

The organi#ation (ill esta!lish and maintain a confidential 2mployee Safety 0eporting and )eed!ac' System$ +ata o!tained from this system (ill !e monitored to identify emerging ha#ards and to assess performance of ris' controls in the operational systems$
#esi'n E=pe)tations
Input
%age 12:

Inputs (interfaces for the 2mployee 0eporting and )eed!ac' System (ill !e o!tained from employees$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the 2mployee 0eporting and )eed!ac' %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure Gas the organi#ation esta!lished and maintained a confidential 2mployee 0eporting and )eed!ac' System as in Component ;$< !, (1 (e , Safety %romotionE
Reference< SMS !rame"or# 6-0-? $( (0) (%
+oes the organi#ation ensure employees are encouraged to use the Safety 0eporting and )eed!ac' System (ithout fear of reprisal and to encourage su!mission of solutionsDsafety impro"ements (here possi!leE
+oes the organi#ation ensure data from the Safety 0eporting and )eed!ac' System is monitored to identify emerging ha#ardsE
+oes the organi#ation ensure the data collected in the 2mployee 0eporting and )eed!ac' System is included in the analyses conducted under SMS )rame(or' *nalysis of +ata %rocess 3$1$:E
%age 128

'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een this process and the *nalysis of +ata %rocess 3$1$: !elo(, and (2 periodically measure performance o!.ecti"es and design expectations of the 2mployee 0eporting and )eed!ac' %rocess$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the 2mployee 0eporting and )eed!ac' %rocess$

Gas the organi#ation esta!lished and maintained a Confidential 2mployee Safety 0eporting and )eed!ac' SystemE *re the data o!tained from this system monitored to identify emerging ha#ards and to assess performance of ris' controls in the operational systemsE
P$o)ess 34.49 Anal&sis o% #ata Pe$%o$man)e !2(e)tive %age 127

The organi#ation (ill analy#e the data descri!ed in SMS )rame(or' %rocesses 3$1$1 thru 3$1$5, to assess the ris' controls/ performance and effecti"eness in the organi#ation/s operational processes and the SMS, and to identify root causes of deficiencies and potential ne( ha#ards$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained from the data ac-uisition processes 3$1$1 thru 3$1$5$
0eference: SMS !rame"or# 0-> $( (0) (f) (I
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the *nalysis of +ata %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
0eference: SMS !rame"or# 0-3 $( (6) (0D*
&rocedure +oes the organi#ation analy#e the data that it collects to demonstrate the effecti"eness of & 0is' controls in the organi#ation/s operational processes (SMS )rame(or' Safety %olicy Component 1$< !, (1 (a F (! E
Reference< SMS !rame"or# 6-0-@ $( (0) (a) (%
The organi#ation/s SMSE

Reference< SMS !rame"or# 6-0-@ $( (0) ($) (%
%age 13<

+oes the organi#ation ensure it analy#es the data it collects to identify root causes of deficiencies and potential ne( ha#ards and e"aluate (here impro"ements can !e made in the organi#ation/s & 6perational processes (SMS )rame(or' Safety %olicy Component 1$< !, (1 (a F (! E
Reference< SMS !rame"or# 6-0-@ $( (3) (a) (%
The SMSE
Reference< SMS !rame"or# 6-0-@ $( (3) ($) (%
'utputs and Measures The organi#ation (ill: (1 identify interfaces !et(een this process and the System *ssessment %rocess 3$1$8 !elo(, and (2 periodically measure performance o!.ecti"es and design expectations of the *nalysis of +ata %rocess$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the *nalysis of +ata %rocess$
%age 131

Gas the organi#ation analy#ed the data descri!ed in SMS )rame(or' processes 3$1$1 thru 3$1$5 to assess the ris' controls/ performance and effecti"eness in the organi#ation/s operational processes and the SMS and to identify root causes of deficiencies and potential ne( ha#ardsE
P$o)ess 34.4; S&stem Assessment Pe$%o$man)e !2(e)tive

The organi#ation (ill perform an assessment of the safety performance and effecti"eness of ris' controls, conformance to SMS expectations as stated herein, and the o!.ecti"es of the safety policy$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained from the *nalysis of +ata %rocess 3$1$:$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the System *ssessment %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes the organi#ation assess the performance and effecti"eness of the &
%age 132

Safety&related functions of operational processes (Safety %olicy Component 1$< ! (1 (a against their re-uirementsE
Reference< SMS !rame"or# 6-0-A $( (0)(a) (%
SMS against its o!.ecti"es and expectationsE

Reference< SMS !rame"or# 6-0-A $( (0) ($)( (%
+oes the organi#ation record system assessments and ris' control performance reports that result in a finding of & Conformity or nonconformity (ith existing safety ris' controls andDor SMS expectations, including regulatory re-uirements applica!le to the SMSE
Reference< SMS !rame"or# 6-0-A $( (3) (a) 5 ($) (%
>e( ha#ards foundE

Reference< SMS !rame"or# 6-0-A $( (3) (c) (%
'utputs and Measures +oes the organi#ation use the Safety 0is' Management (Component 2$< if ris' assessment and ris' control performance indicates & That ne( ha#ards or potential ha#ards ha"e !een foundE
Reference< SMS !rame"or# 6-0-A $( (6) (a) (I
That the system needs to !e changedE

Reference< SMS !rame"or# 6-0-A $( (6) ($) (I
+oes the organi#ation maintain records of assessments in accordance (ith the re-uirements of SMS +ocumentation and 0ecords 2lement 1$9E
%age 133

Reference< SMS !rame"or# 6-0-A $( (7) (%DI
The organi#ation (ill identify interfaces !et(een the system assessment function and & The ha#ard identification function (2$1$2, Identify Ga#ards 2lement
The pre"enti"e and correcti"e action function (3$3$1, %re"enti"eDCorrecti"e *ction 2lement
The organi#ation (ill periodically measure performance o!.ecti"es and design expectations of the System *ssessment %rocessE
(%MDI
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the System *ssessment %rocess$
%age 13;

Gas the organi#ation assessed ris' controls/ performance and effecti"eness, conformance (ith SMS re-uirements, and the o!.ecti"es of the safety policyE
2lement !. Management o" 3,ange Pe$%o$man)e !2(e)tive

The organi#ation/s management (ill identify and determine accepta!le safety ris' for changes (ithin the organi#ation that may affect esta!lished processes and ser"ices !y ne( system design, changes to existing system designs, ne( operationsDprocedures, or modified operationsDprocedures$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained from proposed changes to systems, processes, procedures, or organi#ational structures$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Management of Change %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure
%age 139

+oes the organi#ation ensure it does not implement any of the follo(ing until the le"el of safety ris' of each identified ha#ard is determined to !e accepta!le for & >e( system designsE
Changes to existing system designsE

>e( operations or proceduresE

Modifications to existing operations or proceduresE

'utputs and Measures The organi#ation (ill: (1 ensure that this process is interfaced (ith the S0M process (System +escription and Tas' *nalysis 2$1$1 , and (2 periodically measure performance o!.ecti"es and design expectations of the Management of Change %rocess$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Management of Change %rocess$
%age 135


Gas the organi#ation/s management assessed ris' for changes (ithin the organi#ation that may affect esta!lished processes and ser"ices !y ne( system designs, changes to existing system designs, ne( operationsDprocedures or modified operationsDproceduresE
2lement !.! 3ontinuous Improvement Pe$%o$man)e !2(e)tive

The organi#ation (ill promote continuous impro"ement of its SMS through recurring application of S0M (Component 2$< , S* (Component 3$< , and !y using safety lessons learned and communicating them to all personnel$
#esi'n E=pe)tations
Input Inputs (interfaces for this process (ill !e o!tained through continuous application of Safety 0is' Management (Component 2$< , Safety *ssurance (Component 3$< and the outputs of the SMS, including safety lessons learned$
%age 13:

The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Continual Impro"ement %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes the organi#ation continuously impro"e the effecti"eness of the SMS and of safety ris' controls through the use of the safety and -uality policies, o!.ecti"es, audit and e"aluation results, analysis of data, correcti"e and pre"enti"e actions, and management re"ie(sE
+oes the organi#ation de"elop safety lessons learned and &

4se safety lessons learned to promote continuous impro"ement of safetyE

2nsure that safety lessons learned are communicated to all personnelE

Reference< SMS !rame"or# 6-6 $( (3) ($) 5 7-3 (%
%age 138

The organi#ation (ill: (1 ensure that trend analysis of safety and -uality policies, o!.ecti"es, audit and e"aluation results, analysis of data, and correcti"e and pre"enti"e actions are interfaced (ith Management 0e"ie( %rocess 3$3$2, !elo( , and (2 periodically measure performance o!.ecti"es and design expectations of the Continual Impro"ement %rocess$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Continuous Impro"ement %rocess$

Gas the organi#ation promoted continuous impro"ement of its SMS through recurring application of Safety 0is' Management (Component 2$< , Safety *ssurance (Component 3$< , and !y using safety lessons learned and communicating them to all personnelE
P$o)ess 3434. P$eventiveD3o$$e)tive A)tion Pe$%o$man)e !2(e)tive %age 137

The organi#ation (ill ta'e pre"enti"e and correcti"e action to eliminate the causes or potential causes of nonconformance identified during analysis, to pre"ent recurrence$ N!TE: *lthough %rocess 2$2$3 (ControlDMitigate Safety 0is' is "ery similar to %rocess 3$3$1, the primary differences are: N %rocess 2$2$3 is used during the design of a system (often loo'ing to the future or in the redesign of a non&performing system (here system re-uirements are !eing met, !ut the system is not producing the desired results$ N %rocess 2$2$3 is also used (here ne( ha#ards are disco"ered during Safety *ssurance that (ere not ta'en into account during initial design$ N %rocess 3$3$1 is used to de"elop actions to !ring a non&performing system !ac' into conformance to its design re-uirements$
#esi'n E=pe)tations
Inputs Inputs (interfaces for this process (ill !e o!tained from System *ssessments (%rocess 3$1$8 (ith findings of non&performing ris' controls$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the %re"enti"eDCorrecti"e *ction %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
%age 1;<

&rocedure +oes the organi#ation de"elop the follo(ing & %re"enti"e actions for identified potential nonconformities (ith ris' controlsE
Reference< SMS !rame"or# 6-6-0 $( (0) (a) (&)
Correcti"e actions for identified nonconformities (ith ris' controlsE

Reference< SMS !rame"or# 6-6-0 $( (0)($) (&)
+oes the organi#ation consider safety lessons learned in the de"elopment of & %re"enti"e actionsE
Reference< SMS !rame"or# 6-6-0 $( (3) (a) (%
Correcti"e actionsE
Reference< SMS !rame"or# 6-6-0 $( (3)($) (%
+oes the organi#ation ta'e necessary pre"enti"e and correcti"e action !ased on the findings of in"estigationsE
+oes the organi#ation prioriti#e and implement pre"enti"e and correcti"e actions in a timely mannerE
'utputs and Measures +oes the organi#ation 'eep and maintain records of the disposition and status of pre"enti"e and correcti"e actions according to esta!lished record retention policyE
Reference< SMS !rame"or# 6-6-0 $( (>) (%MDI
%age 1;1

The organi#ation (ill: (1 identify interfaces !et(een this process and the Continuous Monitoring %rocess 3$1$1 a!o"e, and (2 periodically measure performance o!.ecti"es and design expectations of the %re"enti"e and Correcti"e *ction %rocess$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the %re"enti"e and Correcti"e *ction %rocess$

Gas the organi#ation ta'en pre"enti"e or correcti"e actions to eliminate the causes of non&conformances, identified during analysis, to pre"ent recurrenceE
P$o)ess 34340 Mana'ement Revie> Pe$%o$man)e !2(e)tive

Top management (ill conduct regular re"ie(s of the SMS to assess the performance and effecti"eness of an organi#ation/s operational processes and the need impro"ements$
%age 1;2
Input Inputs (interfaces for this process (ill !e o!tained from the outputs of Safety 0is' Management (Component 2$< and Safety *ssurance (Component 3$< acti"ities including & Ga#ard identification (%rocess 2$1$2 0is' analysis (se"erity and li'elihood (%rocess 2$2$1 0is' assessments (%rocess 2$2$2 0is' controlDmitigation plans (%rocess 2$2$3 0esults of analysis of data (%rocess 3$1$:
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Management 0e"ie( %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes top management conduct regular re"ie(s of the SMS, including the outputs of the Safety 0is' Management %rocess, the outputs of the Safety *ssurance %rocess, and safety lessons learnedE
Reference< SMS !rame"or# 6-6-3 $( (0)(a)( ($) 5 (c) (%
%age 1;3

+oes top management include in its re"ie(s of the SMS, an assessment of the need for impro"ements to the organi#ation/s operational processes and SMSE
Reference< SMS !rame"or# 6-6-3 $( (3) (a) 5 ($) (%
'utputs and Measures The organi#ation (ill 'eep records of the disposition and status of management re"ie(s according to the organi#ation/s record retention policy$
Reference< SMS !rame"or# 0-> $( (6)(a)(>) (I
The organi#ation (ill: (1 identify interfaces !et(een this process and the Ga#ard Identification %rocess (2$1$2, a!o"e and %re"enti"e and Correcti"e *ction %rocess (3$3$1, a!o"e , and (2 periodically measure performance o!.ecti"es and design expectations of the Management 0e"ie( %rocess$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Management 0e"ie( %rocess$
%age 1;;
SMS Implementation Guide , Appendi= 8 #etailed Gap Anal&sis Tool 5ottom ine Assessment
Gas top management conducted regular re"ie(s of the SMS, including outputs of Safety 0is' Management (Component 2$< , Safety *ssurance (Component 3$< , and lessons learnedE Gas management re"ie(s included assessing the performance and effecti"eness of an organi#ation/s operational processes and the need for impro"ementsE
3omponent 641: Sa%et& P$omotion

Sa"et# &romotion1 General 2xpectations Pe$%o$man)e !2(e)tive
Top management (ill promote the gro(th of a positi"e safety culture and communicate it throughout the organi#ation$
#esi'n E=pe)tations
Input Inputs (interfaces (ill !e identified !et(een top management and organi#ational personnel$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Safety %romotion Component (;$< $ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
%age 1;9

&rocedure:'utput:Measure +oes top management promote the gro(th of a positi"e safety culture through & %u!lication of Top Management/s stated commitment to safety to all employeesE
Reference< SMS !rame"or# 7-8 $( (0)(a) (%DI
=isi!le demonstration of their commitment to the SMSE

Reference< SMS !rame"or# 7-8 $( (0) ($) (%DI
Communication of the safety responsi!ilities for the organi#ation/s personnelE

Reference< SMS !rame"or# 7-8 $( (0) (c) (%DI
Clear and regular communication of safety policy, goals, expectations, standards, and performance to all employees of the organi#ationE
Reference< SMS !rame"or# 7-8 $( (0) (d) (%DI
*n effecti"e employee reporting and feed!ac' system that pro"ides confidentialityE

0eference: SMS )rame (or' 7-8 $( (0) (e) (%DI
4se of a safety information system that pro"ides an accessi!le efficient means to retrie"e informationE
Reference< SMS !rame"or# 7-8 $( (0) (f) (%DI
*llocation of resources essential to implement and maintain the SMSE

Reference< SMS !rame"or# 7-8 $( (0) (g) (%DI
%age 1;5

The organi#ation (ill periodically measure performance o!.ecti"es and design expectations of the Safety %romotion Component$
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Safety %romotion Component$

Gas top management promoted the gro(th of a positi"e safety culture and communicate it throughout the organi#ation$
2lement *.1 3ompetencies and -raining P$o)ess 64.4. Pe$sonnel E=pe)tations (3ompeten)e) Pe$%o$man)e !2(e)tive
The organi#ation (ill document competency re-uirements for those positions identified in 2lement 1$2 !, (3 and 1$3 and ensure those re-uirements are met$
%age 1;:
Input Inputs (interfaces for this process (ill !e identified !et(een top management and the 'ey safety personnel referenced in Management Commitment and Safety *ccounta!ilities 2lement 1$2 !, (3 F Hey Safety %ersonnel 2lement 1$3$
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the %ersonnel 2xpectations %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes the organi#ation identify the competency re-uirements for safety&related positions identified in Management Commitment and Safety *ccounta!ilities 2lement 1$2 !, (3 F Hey Safety %ersonnel 2lement 1$3E
'utputs and Measures +oes the organi#ation ensure that the personnel in the safety&related positions identified in Management Commitment and Safety *ccounta!ilities 2lement 1$2 !, (3 F Hey Safety %ersonnel 2lement 1$3 meet the documented competency re-uirements of %ersonnel 2xpectations %rocess ;$1$1 !, (1 E
%age 1;8

The organi#ation (ill periodically measure performance o!.ecti"es and design expectations of the %ersonnel 2xpectations %rocess$
Reference< SMS !rame"or# note at 6-0-6 5 0-8 $( (3) (c) and (6) (c); 6-0-6 $( (0) (%MDI
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the personnel -ualification and training process$

Gas the organi#ation documented competency re-uirements for those positions identified in Management Commitment and Safety *ccounta!ilities 2lement 1$2 !, (3 and Hey Safety %ersonnel 2lement 1$3 and ensured those re-uirements (ere metE
P$o)ess 64.40 T$ainin' Pe$%o$man)e !2(e)tive

The organi#ation (ill de"elop, document, deli"er and regularly e"aluate training necessary to meet to meet competency re-uirements of %rocess ;$1$1 ! (1 $
%age 1;7
Input Inputs (interfaces for the Training %rocess (ill !e o!tained through the outputs of the SMS and the documented competency expectations of %ersonnel 2xpectations %rocess ;$1$1 !, (1
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the SMS Training %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure +oes the organi#ation/s training meet the competency expectations of %ersonnel 2xpectations %rocess ;$1$1 !, (1 for the personnel in the safety&related positions identified in Management Commitment and Safety *ccounta!ility 2lement 1$2 !, (3 F Hey Safety %ersonnel 2lement 1$3E
+oes the organi#ation consider scope, content, and fre-uency of training re-uired to meet and maintain competency for those indi"iduals in the positions identified in Management Commitment and Safety *ccounta!ility 2lement 1$2 !, (3 and Hey Safety %ersonnel 1$3$
%age 19<

+oes the organi#ation/s employees recei"e training commensurate (ith their & %osition le"el (ithin the organi#ationE
Reference< SMS !rame"or# 7-0-3 $( (6) (a) (%
Impact on the safety of the organi#ation/s products or ser"icesE

+oes the organi#ation maintain training currency !y periodically & 0e"ie(ing the trainingE
4pdating the trainingE

'utputs and Measures The organi#ation (ill maintain records of re-uired and deli"ered training$
Reference< SMS !rame"or# 0-> $( (7) (I
The organi#ation (ill: (1 identify interfaces !et(een safety lessons learned and the training functions, as (ell as the interfaces !et(een the training functions and the deli"ery of training deemed to !e necessary to meet competency re-uirements of (;$1$1 !, 1, a!o"e , and (2 periodically measure performance o!.ecti"es and design expectations of SMS Training %rocess$
3ontrols
%age 191

+oes the organi#ation ensure that safety& related training media is periodically re"ie(ed and updated for target populationsE
Reference< SMS !rame"or# 6-6-3 $( (3) and 7-0-3 $( (7) (C
The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the SMS Training %rocess$

Gas the organi#ation de"eloped, documented, deli"ered and regularly e"aluated training necessary to meet to meet competency expectations of the %ersonnel 2xpectations %rocess ;$1$1 !, (1 $
2lement *. 3ommunication and Awareness Pe$%o$man)e !2(e)tive

Top management (ill communicate the output of its SMS to its employees, and (ill pro"ide its o"ersight organi#ation access to SMS outputs in accordance (ith esta!lished agreements and disclosure programs$
#esi'n E=pe)tations
Input
%age 192

Inputs (interfaces for this process (ill !e o!tained from the outputs of Safety 0is' Management (2$< and Safety *ssurance (3$< including & Ga#ard identification (2$1$2 0is' se"erity and li'elihood (2$2$1 0is' assessments (2$2$2 0is' controlDmitigation plans (2$2$3 Safety lessons learned 0esults of analysis of data (3$1$:
Reference< SMS !rame"or# 0-> $( (0) (f) 5 6-6 $( (3) (I
Management 5esponsi4ilit# The organi#ation (ill clearly identify (ho is responsi!le for the -uality of the Communication and *(areness %rocess$ %rocedures (ill also define (ho is responsi!le for accomplishing the process$
&rocedure:'utput:Measure +oes the organi#ation ensure it communicates outputs of the SMS, rationale !ehind controls, pre"enti"e and correcti"e actions and ensure a(areness of SMS o!.ecti"es to its employeesE
Reference< SMS !rame"or# 7-3 $( (0) (%D%MDI
+oes the organi#ation ensure it pro"ides its o"ersight organi#ation access to the outputs of the SMS in accordance (ith esta!lished agreements and disclosure programsE
%age 193

+oes the organi#ation interface (ith other organi#ation/s SMSs to cooperati"ely manage issues of mutual concernE
+oes the organi#ation periodically measure performance o!.ecti"es and design expectations of the Communication and *(areness %rocessE
Reference< SMS !rame"or# note at 6-0-6 5 0-8 $( (3) (c) and (6) (c); 6-0-6 $( (0) (&M'I)
3ontrols The organi#ation (ill ensure that: (1 procedures are follo(ed for safety&related operations and acti"ities, and (2 they periodically re"ie( super"isory and operational controls to ensure the effecti"eness of the Communication and *(areness %rocess$

Gas top management communicated the output of its SMS to employees and pro"ided its o"ersight organi#ation access to SMS outputs in accordance (ith esta!lished agreements and disclosure programsE
%age 19;
SMS Implementation Guide , Appendi= 9 SMS Assessment P$oto)ol %o$ Mana'e$DSupe$viso$
Appendi= 9 SMS Assessment P$oto)ol %o$ Mana'e$DSupe$viso$

Fo$:
Revision 3
-une ./ 01.1
%age 199
SMS Implementation Guide , Appendi= 9 SMS Assessment P$oto)ol %o$ Mana'e$DSupe$viso$
To 2e developed
%age 195
SMS Implementation Guide , Appendi= ; 3$oss $e%e$en)e 2et>een A3 .01,<0 and t+e SMS F$ame>o$?
Appendi= ; 3$oss Re%e$en)e 2et>een A3 .01,<0 and t+e SMS F$ame>o$?

Fo$:
Revision 3
-une ./ 01.1 %age 19:
SMS Implementation Guide , Appendi= ; 3$oss $e%e$en)e 2et>een A3 .01,<0 and t+e SMS F$ame>o$?
S"MMARY 3R!SS REFEREN3E:
A3 .01,<0 (Appendi= .) SMS F$ame>o$? , 0e"ision 3 (5&1&2<1< 64 Poli)& .41 Sa%et& Poli)& and !2(e)tives 64.4 Gene$al ReIui$ements .41 Sa%et& Poli)& and !2(e)tives 6404 Sa%et& Poli)& .4. Sa%et& Poli)& 6434 Mualit& Poli)& .41 Sa%et& Poli)& and !2(e)tives/ 2 (6) (2) 6464 Sa%et& Plannin' .41 Sa%et& Poli)& and !2(e)tives/ 2 (6) (') 6474 !$'aniCational St$u)tu$e and .40 Mana'ement 3ommitment and Sa%et& Responsi2ilities A))ounta2ilities 6474 !$'aniCational St$u)tu$e and .43 Ne& Sa%et& Pe$sonnel Responsi2ilities 6484 3omplian)e >it+ e'al and !t+e$ .41 Sa%et& Poli)& and !2(e)tives/ 2 (6) ()) and (d) ReIui$ements 6494 P$o)edu$es and 3ont$ols .41 Sa%et& Poli)& and !2(e)tives/ 2 (6) (e) and (%) 64;4 Eme$'en)& p$epa$edness and Response .46 Eme$'en)& P$epa$edness and Response 64<4 #o)umentation and Re)o$ds Mana'ement .47 #o)umentation and Re)o$ds 74 Sa%et& Ris? Mana'ement 041 Sa%et& Ris? Mana'ement (SRM) and 340 Mana'ement o% 3+an'e 74.4 S&stem and Tas? Anal&sis 04.4. S&stem and Tas? Anal&sis 7404 Identi%& :aCa$ds 04.40 Identi%& :aCa$ds 7434 Anal&Ce Sa%et& Ris? 0404. Anal&Ce Sa%et& Ris? 7464 Assess Sa%et& Ris? 04040 Assess Sa%et& Ris? and .40/ Mana'ement 3ommitment and Sa%et& A))ounta2ilities/ 2 (6) 7474 3ont$ol Sa%et& Ris? 04043 3ont$olDMiti'ate Sa%et& Ris? 749 3+an'e Mana'ement (p$oposed) 340/ Mana'ement o% 3+an'e 84 Sa%et& Assu$an)e and Inte$nal Evaluation 341 Sa%et& Assu$an)e 84.4 Gene$al ReIui$ements 341 Sa%et& Assu$an)e 8404 S&stem #es)$iption 341 Sa%et& Assu$an)e/ 2 (.) (d) 8434 In%o$mation A)Iuisition 341 Sa%et& Assu$an)e/ 2 (0) 8434. 3ontinuous Monito$in' 34.4. 3ontinuous Monito$in' 84340 Inte$nal Audits 2& !pe$ational 34.40 Inte$nal Audits 2& !pe$ational #epa$tments #epa$tments 84343 Inte$nal Evaluation 34.43 Inte$nal Evaluation 84346 E=te$nal Auditin' o% t+e SMS 34.46 E=te$nal Auditin' o% t+e SMS 84347 Investi'ation 34.47 Investi'ation 84348 Emplo&ee Repo$tin' and Feed2a)? S&stem 34.48 Emplo&ee Repo$tin' and Feed2a)? S&stem 8464 Anal&sis o% #ata 34.49 Anal&sis o% #ata 8474 S&stem Assessment 34.4; S&stem Assessment %age 198
SMS Implementation Guide , Appendi= ; 3$oss $e%e$en)e 2et>een A3 .01,<0 and t+e SMS F$ame>o$? A3 .01,<0 (Appendi= .) SMS F$ame>o$? , 0e"ision 3 (5&1&2<1< 8484 P$eventiveD3o$$e)tive A)tion 34.4< P$eventiveD3o$$e)tive A)tion 8494 Mana'ement Revie>s 34.4.1 Mana'ement Revie> 84;4 3ontinual Imp$ovement 343 3ontinual Imp$ovement 94 Sa%et& P$omotion 641 Sa%et& P$omotion 94.4 Sa%et& 3ultu$e 641 Sa%et& P$omotion 9404 3ommuni)ation and A>a$eness 640 3ommuni)ation and A>a$eness 9434 Pe$sonnel ReIui$ements (3ompeten)e) 64.4. Pe$sonnel ReIui$ements (3ompeten)e) 9464 T$ainin' 64.40 T$ainin' 9474 Sa%et& essons ea$ned 343 3ontinual Imp$ovement
%age 197
SMS Implementation Guide , Appendi= < E=ample ette$ o% A)?no>led'ement
Appendi= < E=ample ette$ o% A)?no>led'ement

Fo$:
Revision 3
-une ./ 01.1
%age 15<
SMS Implementation Guide , Appendi= < E=ample ette$ o% A)?no>led'ement
ette$ o% A)?no>led'ement
Sa%et& Mana'ement S&stem Pilot P$o(e)t
Pa$ti)ipation: evel J!ne/ T>o o$ T+$eeK +ear Mr$D Ms$ QQQQQQQQ This is to ac'no(ledge the participation of Rairline nameS in the )ederal *"iation *dministration/s Safety Management System (SMS pilot pro.ects$ ?ased on our re"ie( of your company/s plans, documentation, and acti"ities, (e ha"e determined that your SMS pro.ect meets the expectations of the )light Standards SMS )rame(or' and the SMS %ilot %ro.ect Implementation Guide for RKe"el 6ne, Ke"el 2 SMS, Ke"el 3 SMS, etc$S$ This achie"ement has !een "alidated !y representati"es of your )** Certificate Management Team and the )light Standards SMS %rogram 6ffice$ The )** currently does not ha"e regulatory re-uirements for SMS !ut is considering SMS regulations$ The SMS %ilot %ro.ects consist of "oluntary implementation of SMS !y operators and other a"iation ser"ice pro"iders$ The )** )light Standards SMS )rame(or' used in these pro.ects is !ased upon the re-uirements of 6rder =S 8<<<$35:, *ppendix ? and the SMS )rame(or' specified !y the International Ci"il *"iation 6rgani#ation in IC*6 *nnex 5 and further detailed in IC*6 doc$ 7897, Safety Management ManualThe implementation process in the SMS %ilot %ro.ect Implementation Guide is !ased on a four phase process as recommended !y IC*6 in IC*6 document 7897 Safety Management Manual $ Jour company (ill !e expected to ad"ance to the next le"el of SMS maturity (ithin t(el"e months upon satisfactory completion of a program re"ie($ This assessment of your company/s achie"ements does not imply formal )** acceptance or appro"al of your SMS or its components !ut does recogni#e your acti"e participation to this "ital phase of de"elopment$ ,e are grateful for your contri!utions to the continued impro"ement of the 4$S$ le"el of safety$ DsD Cohn M, *llen, +irector, )light Standards Ser"ice
(Sample)
%age 151

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FAA: FAA:SMS SMSImplementation ImplementationGuide Guide Revision Revision3 3

S AFETY MANAGEMENT S YS TEM (S MS ) IMP EMENTATI!N G"I#E

Revision 3 Appendi= <44444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444444.81 E=ample ette$ o% A)?no>led'ement 4444444444444444444444444444444444444444444444444444444444444444444444444444444.81 -une ./ 01.1

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

SMS F$ame>o$? E=pe)tation . 0 3

H H (M1 H H H H (M3 H H H H H H H H H H H H H H H H H H (M3 H

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

FAA: SMS Implementation Guide Revision 3

SMS Implementation Guide , Appendi= . , evel . E=pe)tations

Appendi= . evel . E=pe)tations

Fede$al Aviation Administ$ation Fli'+t Standa$ds Se$vi)e , SMS P$o'$am !%%i)e

SMS Implementation Guide , Appendi= . , evel . E=pe)tations

SMS Implementation Guide

Implementation evel !ne: Plannin' and !$'aniCation

Gap Anal&sisD Implementation Plan

P$esentation G Evaluation o% Plan

04 3onta)t 3:#! M't

94 !$ientation: SMS 3on)epts

..4 #etail Gap Anal&sis

.74 P$esent Implementation Plan

34 Initial 3oo$dination Tele)on

;4 Familia$iCation , Tools and Guidan)e

.04 3omp$e+ensive Implementation Plan

.84 *alidation o% Gap Anal&sisD Implementation Plan

<4 S&stem #es)$iption G Anal&sis

.34 P$epa$e Sa%et& Poli)&D !2(e)tives

.94 5e'in Implementation

84 !pe$ato$ P$o%ileD 3MT P$e,2$ie%

.14 P$elimina$& Gap Anal&sis

.64 3ali2$ation G Revie> Session(s)

Fi'u$e 0 , Flo> #ia'$am o% evel . A)tivities (Initial SMS)

SMS Implementation Guide , Appendi= . , evel . E=pe)tations

SMS Implementation Guide , Appendi= . , evel . E=pe)tations

T+is se)tion sta$ts !ption 0 A)tivities:

Follo>,up and Plan

F$om !ption ./ Steps . t+$u ..

.74 P$epa$e Implementation Plan as needed

.94 Evaluate Plan

.34 #ete$mine evel o% Matu$it&

.64 Evaluate Gaps

.;4 3ontinue Implementation

Step .6: Evaluate Remainin' Gaps

SMS Implementation Guide , Appendi= . , evel . E=pe)tations

SMS Implementation Guide , Appendi= . , evel . E=pe)tations

SMS Pilot P$o(e)t InIui$& In%o$mation S+eet

SMS Implementation Guide , Appendi= . , evel . E=pe)tations

Atta)+ment 0 Sample Se$vi)e P$ovide$ Initial 3onta)t Messa'e