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1、SAFETY MANAGEMENT SYSTEM(SMS)IMPLEMENTATION GUIDEFor:Safety Management System (SMS) Pilot ProjectParticipants and Voluntary Implementation of Serviceprovider SMS ProgramsFederal Aviation AdministrationFlight Standards Service - SMS Program OfficeRevision 3June 15 2010implementation. Collaboration wi
2、th the service providers SMS development will also provide the oversight organization with an opportunity to gain experience in oversight of the SMS, as well as using SMS as a tool for interfacing with the service providers management.Note: An aviation service provider will not be accepted into the
3、SMS Pilot Project without participation of their respective FAA oversight organization.(2) The oversight organization will be responsible for participating in the development process meetings and gap analysiss including the Initial Workshop (described in Appendix 1) meeting and the presentation of a
4、n implementation plan by the service provider. The oversight organization will also be responsible for reviewing the service providers implementation plan and its accomplishment at each maturity level of the SMS implementation.(3) Specifically, the oversight organization/CMT is responsible to:(a.) O
5、versee and review gap analysis processes;(b.) Attend and participate in Orientation, Calibration and Validation meetings with the service provider and 1ST;(c.) Review the service providers implementation plan and other documents;(d.) Discuss the requirements of the exit criteria for all phases with
6、the service providers and the 1ST; and(e.) Provide input and feedback to the 1ST regarding SMS implementation, documents and assessment tools.Note: Neither FAA oversight organizations (CMT, FSDO, etc) nor the SMS PO are currently authorized to approve or accept SMS programs. This includes acceptance
7、 of any part, process or element of an SMS though inclusion in FAA approved/accepted documents such as operator/agency manuals (eg GOM, GMM, etc.). FAA Notice 8900.SMS will address this issue when it is published (expected Jul/Aug, 2010).8. LIMITATIONS- The SMS in no way substitutes for regulatory c
8、ompliance with any certificate requirements, where applicable. There are no new regulatory programs introduced.a. Aviation Safety Action Program (ASAP) and Internal Evaluation Programs (IEP). The FAA is seeking to increase the use of current voluntary programs in the process of safety management, pa
9、rticularly use of the ASAPs and lEPs. Both of these programs have strong relationships to the functions of safety assurance and safety promotion in an SMS. Service providers are encouraged to consider integrating these programs, through existing processes, into a comprehensive approach to SMS.b. Enf
10、orcement Incentives. Service providers and their employees should be aware that, at present, the SMS and/or participation in the SMS PP and/or voluntary SMS development can not provide enforcement “incentives” that are outside provisions of existing FAA programs (e.g. ASAP,The organization will ensu
11、re that: (1) procedures are followed for safety-related operations and activities, and (2) they periodically review supervisory and operational controls to ensure the effectiveness of the System Description and Task Analysis Process (2.1.1).Reference: (I) SMS Framework: 1.0 b, (4) (f): (2) SMS Frame
12、work 1.1 b, (2) k); 3.1.3 b, (1); 3.3.2, b (1) & (2) (C)Bottom Line AssessmentHas the organization analyzed its systems, operations and operational environment to gain an understanding of critical design and performance factors, processes, and activities to identify hazards?Process 2.1.2 Identify Ha
13、zardsPerformance ObjectiveThe organization will identify and document the hazards in its operations that are likely to cause death, serious physical harm, or damage to equipment or property in sufficient detail to determine associated level of risk and risk acceptability.Design ExpectationsInputInpu
14、ts (interfaces) for the Hazard Identification Process will be obtained from the System Description and Task Analysis Process 2.1.1, to include a new hazard identified from the Safety Assurance Component 3.0, failures of risk controls due to design deficiencies found in the System Assessment Process
15、3.1.8 (b)(3), and/or from any other source.Reference: SMS Framework 1.5 b, (1) (f) (I)Management ResponsibilityThe organization w川 clearly identify who is responsible for the quality of the Hazard Identification Process. Procedures will also define who is responsible for accomplishing the process.Re
16、ference: SMS Framework 1.2 b, (3) (R/A)ProcedureDoes the organization identify hazards for the entire scope of each system, as defined in the system description? Note: While it is recognized that identification of every conceivable hazard is impractical, aviation service providers are expected to ex
17、ercise due diligence in identifying and controlling significant and reasonably foreseeable hazards related to their operations.Reference: SMS Framework 2.1.2 b, (l)(a) (P)Does the organization document the identified hazards?Reference: SMS Framework 2.1.2 b, (1) (b) (P)Does the organization have a m
18、eans of tracking hazard information?Reference: SMS Framework 2.1.2 b, (2)(a) (P)Does the organization manage hazard information through the entire Safety Rsk Management Process?Reference: SMS Framework 2.1.2 b, (2) (b) (P)Outputs and MeasuresThe organization will: (1) identify interfaces between thi
19、s process and the Analysis of Safety Risk Process (2.2.1, below), and (2) periodically measure performance objectives and design expectations of the Hazard Identification Process.Reference: (I) SMS Framework 1.5 b, (1) (f): SMS Framework note at 3.1.3 & 1.0 b, (2) (c) and (3) (c); 3.1.3 b, (I) (PM/1
20、)ControlsThe organization will ensure that: (1) procedures are followed for safety-related operations and activities, and (2) they periodically review supervisory and operational controls to ensure the effectiveness of the Hazard Identification Process.Reference: (1) SMS Framework: 1.0 b, (4) (f): (
21、2) SMS Framework 1.1 b, (2) k); 3.1.3 b, (1); 3.3.2, b, (1) & (2) (C)Bottom Line AssessmentHas the organization identified and documented hazards that are likely to cause death, serious physical harm, or damage to equipment or property in sufficient detail to determine associated risk and acceptabil
22、ity?Element 2.2 Risk Assessment and ControlProcess 2.2.1 Analyze Safety RiskPerformance ObjectiveThe organization w川 determine and analyze the severity and likelihood of potential events associated with identified hazards and will identify risk factors associated with unacceptable levels of severity
23、 or likelihood.Design ExpectationsInputInputs (interfaces) for this process will be obtained from the Hazard Identification Process (2.1.2).Reference: SMS Framework 1.5 b, (1) (/) (I).Management ResponsibilityThe organization w川 clearly identify who is responsible for the quality of the Safety Risk
24、Analysis Process. Procedures will also define who is responsible for accomplishing the process.Reference: SMS Framework 1.2 b, (3) (R/A)ProcedureDoes the organizations safety risk analysis functions include -Analysis of existing safety risk controls? /7, (l)(a) (P)Triggering mechanisms?Reference: SM
25、S Framework 2.2.1 h, (1) (b) (P)Safety risk of a reasonably likely outcome from the existence of a hazard?Reference: SMS Framework 2.2.1 b, (1) (c) (P)Does the organizations reasonably likely outcomes from the existence of a hazard, include estimations of the following -Likelihood?Reference: SMS Fra
26、mework 2.2.1 b, (1) (c) 1 (P)Severity?Reference: SMS Framework 2.2.1 b, (1) (c) 2 (P)Outputs and MeasuresThe organization will: (1) identify interfaces between the risk analysis functions (this process) and the Risk Assessment Process 2.2.2, below), and (2) periodically measure performance objective
27、s and design expectations of the Risk Analysis Process.Reference: (1) SMS Framework 1.5 b, (I) (f): SMS Framework note at 3.1.3 & 1.0 b, (2) (c) and (3) (c);3.1.3 b, (I) (PM/I)ControlsThe organization will ensure that: (1) procedures are followed for safety-related operations and activities, and (2)
28、 they periodically review supervisory and operational controls to ensure the effectiveness of the Analysis of Safety Risk Process.Reference: (I) SMS Framework: 1.0 b, (4) (f): (2) SMS Framework 1.1 b, (2) k); 3.1.3 b, (1); 3.3.2, b, (1) & (2) (C)Bottom Line AssessmentHas the organization determined
29、and analyzed the factors related to the severity and likelihood of potential events associated with identified hazards and identified factors associated with unacceptable levels of severity or likelihood?Process 2.2.2 Assess Safety RiskPerformance ObjectiveThe organization w川 assess risk associated
30、with each identified hazard and define risk acceptance procedures and levels of management that can make safety risk acceptance decisions.Design ExpectationsInputInputs (interfaces) for this process will be obtained from the Safety Risk Analysis Process 2.2.1 in terms of estimated severity and likel
31、ihood.Reference: SMS Framework 1.5 b, (1) (f) (I)Management ResponsibilityThe organization w川 clearly identify who is responsible for the quality of the Safety Risk Assessment Process. Procedures will also define who is responsible for accomplishing the process.Reference: SMS Framework 1.2 b, (3) (R
32、/A)ProcedureDoes the organization analyze each hazard for its safety risk acceptability using their safety risk acceptance process as described in the SMS Framework Component 2.0, b (4)?Reference: SMS Framework 2.2.2 b, (P)Outputs and MeasuresThe organization will: (1) identify interfaces between th
33、e risk assessment functions (this process) and the Control/Mitigate Safety Risk Process 2.2.3. below, and (2) periodically measure performance objectives and design expectations of the Safety Risk Assessment Process.Reference: (1) SMS Framework 1.5 b, (1) (f): (2) SMS Framework note at 3.1.3 & 1.0 b
34、, (2) (c) and (3) (c); 3.1.3 b, (1) (PM/I)ControlsThe organization will ensure that: (1) procedures are followed for safety-related operations and activities, and (2) they periodically review supervisory and operational controls to ensure the effectiveness of the Safety Risk Assessment Process.Refer
35、ence: (1) SMS Framework: 1.0 b, (4) (f): (2) SMS Framework 1.1 b, (2) k); 3.1.3 b, (1); 3.3.2, b, (1) & (2) (C)Bottom Line AssessmentHas the organization assessed risk associated with identified hazards and defined risk acceptance procedures and levels of management that can make safety risk accepta
36、nce decisions?Process 2.2.3 Control/Mitigate Safety RiskPerformance ObjectiveThe organization will design and implement a risk control for each identified hazard for which there is an unacceptable risk, to reduce risk to acceptable levels. The potential for residual risk and substitute risk w川 be an
37、alyzed before implementing risk controls.NOTE: Although Process 2.2.3 is very similar to the Preventive/Corrective Action Process 3.3.1, the primary differences are: Process 2.2.3 is used during the design of a system (often looking to the future) or in the redesign of a non-performing system where
38、system requirements are being met, however the system is not producing the desired results. Process 2.2.3 is also used when new hazards are discovered during the safety assurance process that were not taken into account during initial design. Process 3.3.1 is used to develop actions to bring a non-p
39、erforming system back into conformance to its design requirements.Design ExpectationsInputInputs (interfaces) for the Control/Mitigation Safety Risk process will be obtained from the Safety Risk Assessment Process 2.2.2.Reference: SMS Framework 1.5 b, (I) (/) (I)Management ResponsibilityThe organiza
40、tion will clearly identify who is responsible for the quality of the Control/Mitigate Safety Risk Process. Procedures will also define who is responsible for accomplishing the process.Reference: SMS Framework 1.2 b, (3) (R/A)ProcedureDoes the organization have a safety risk control/mitigation plan f
41、or each hazard with unacceptable risk?Reference: SMS Framework 2.2.3 b, (1) (P/C)Are the organizations safety risk controls -Clearly described?Reference: SMS Framework, 2.2.3 b, (2)(a) (P)Evaluated to ensure that the expectations have been met?Reference: SMS Framework, 2.2.3 b, (2) (b) (P)Ready to b
42、e used in their intended operational environment?Reference: SMS Framework 2.2.3 b, (2) (c) (P)Documented?Reference: SMS Framework 2.2.3 b, (2) (c) (P)Does the organization ensure that substitute risk will be evaluated when creating safety risk controls and mitigations?Reference: SMS Framework 2.2.3
43、b. (3) (P/C)Outputs and MeasuresThe organization will: (1) identify interfaces between the risk control/mitigation functions (this process) and the Safety Assurance Component 3.0, specifically 3.1.1 thru 3.1.6, below, and (2) periodically measure performance objectives and design expectations of the
44、 risk Control/Mitigate Safety Risk Process.Reference: (I) SMS Framework 1.5 h, (1) (f): (2) SMS Framework note at 3.1.3 & 1.0 b, (2) (c) and (3) (c); 3.1.3 b,(PM/I)ControlsThe organization will ensure that: (1) procedures are followed for safety-related operations and activities, and (2) they period
45、ically review supervisory and operational controls to ensure the effectiveness of the safety risk control process.Reference: (I) SMS Framework: 1.0 b, (4) (f): (2) SMS Framework 1.1 b, (2) k); 3.1.3 b, (J); 3.3.2, b, & (2) Bottom Line AssessmentHas the organization designed and implemented a risk co
46、ntrol for each identified hazard for which there is unacceptable risk, to reduce to acceptable levels the potential for death, serious physical harm, or damage to equipment or property? Has the residual or substitute risk been analyzed before implementing any risk control?Component 3.0: Safety Assur
47、anceSafety Assurance: General ExpectationsPerformance ObjectiveThe organization will monitor, measure, and evaluate the performance of their systems to identify new hazards, measure the effectiveness of risk controls, (to include preventative and corrective actions) and ensure compliance with regula
48、tory requirements.Design ExpectationsInputInputs (interfaces) for this component will be obtained from the Safety Risk Management Component 2.0.Reference: SMS Framework 1.5 b, (1) (f) (I)Management ResponsibilityThe organization will clearly identify who is responsible for the quality of the Safety
49、Assurance Component. Procedures will also define who is responsible for accomplishing the process.Reference: SMS Framework 1.2 b, (3) (R/A)ProcedureDoes the organization monitor their systems and operations to -Identify new hazards?Reference: SMS Framework 3.0 b, (l)(a) (P)Measure the effectiveness of safety risk controls?Reference: SMS Framewor