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GACA العربيه العابه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL TABLE OF CONTENTS VOLUME 2. SAFETY MANAGEMENT SYSTEMS – GENERAL CHAPTER 1. INTRODUCTION TO SAFETY MANAGEMENT SYSTEMS (SMS) Section 1. General Information 4 CHAPTER 2. SAFETY MANAGEMENT SYSTEM (SMS) FRAMEWORK Section 1. Purpose of the Framework 7 Section 2. SMS Framework Structure and Expectations 15 APPENDIX A. SMS Performance Objectives and Design Expectations ··18 CHAPTER 3. GUIDANCE FOR SMS PHASED IMPLEMENTATION Section 1. General SMS Implementation Information 44 Section 2. Roles, Responsibilities and Limitations 46 Section 3. Implementation Strategy and Plan 48 Section 4. Analysis and Implementation 53 CHAPTER 4. SMS ASSESSMENT GUIDANCE Section 1. SMS Design and Performance Assessments 55 APPENDIX A. SMS Assessment Guide 59 APPENDIX B. Designation of the Accountable Executive 103 APPENDIX C. Safety Management System Manual Structure Evaluation…… 113 Checklist APPENDIX D. Safety Manager Acceptance Application Form 122 APPENDIX E. Safety Management System Effectiveness Checklist …… 123 CHAPTER 5. SMS ACCEPTANCE Section 1. General SMS Acceptance Information 124 Section 2. Accepting a Proposed SMS 126 Section 3. Accepting Phased Implementation of SMS 129 Section 4. Safety Indicators and Safety Targets 139 Section 5. Communication with Aviation Organizations 141 APPENDIX A. SMS Acceptance Criteria 146 APPENDIX B. Guidance on the Development of Safety Performance…… 164 Indicators (SPIs) and Safety Performance Targets (SPTs) CHAPTER 6. MISCELLANEOUS Section 1. Safety Risk Management (SRM) Processes and Tools 184 Section 2. State Safety Risk Register 232 Page 1 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL Section 3. State Safety Risk Profile 240 Section 4. Guidance for Aviation Occurrence Categories 249 CHAPTER 7. SECTOR SPECIFIC GUIDANCE Section 1. Flight Data Analysis Program (FDAP) 272 Section 2. Fatigue Risk Management 287 Section 3. Flight Safety Documents System 288 CHAPTER 8. OCCURRENCE REPORTING SYSTEM Section 1. General 289 Section 2. Definitions 293 Section 3. Types of occurrence reporting 295 Section 4. Reporting of Accidents and Serious Incidents 300 Section 5. Reporting and Investigation of Incidents - General 302 Section 6. Reporting and Investigation of Aircraft Operational Incidents 306 Section 7. Reporting and Investigation of ANS Incidents 308 Section 8. Reporting and Investigation of Aerodrome Incidents 315 Section 9. Reporting and Investigation of Ground Services incidents 320 Section 10. Dangerous goods accident and incident reporting and 326 investigation Section 11. Safety Occurrence Reporting Governance Process 328 CHAPTER 9. AIRCRAFT DEFECT REPORTING AND INVESTIGATION Section 1. Reporting of aircraft defects 331 Section 2. Review/analysis/investigation of Aircraft Defects 334 Section 3. Investigation of Major Defects 336 Section 4. Submission of Defect Reports 338 Section 5. Occurrence Investigation by GACA 341 Section 6. Areas of Investigations 343 CHAPTER 10. PERIODIC REPORTING OF OPERATIONAL PERFORMANCE Section 1. Flight Operation Performance Reporting 344 Section 2. Fleet Performance, Engineering Statistics, and Analysis …… 356 Section 3. Aerodrome Operational and Safety Performance Reporting …359 Section 4. Air navigation Operational and Safety Performance Reporting 364 Section 5. Ground Services Operational and Safety Performance Reporting 368 CHAPTER 11. COLLECTING AND ANALYZING AVIATION SAFETY DATA Page 2 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL Section 1. Types of Safety data 369 Section 2. Safety Data Collection 370 Section 3. Sources of Safety information 371 Section 4. Analysis of Aviation Safety Data 374 APPENDIX 1. Accident/Serious Incident Reporting Form 377 APPENDIX 2A. Occurrence Reporting Form: Flight Operation 381 APPENDIX 2B1. Occurrence Reporting Form: Airworthiness 385 APPENDIX 2B2. Service Difficulties Reporting Form 387 APPENDIX 2B3. Defect Reporting (Repair Shop/line station) 390 APPENDIX 2C. Occurrence Reporting Form: ANS 391 APPENDIX 2D. Occurrence Reporting Form: Aerodrome 395 APPENDIX 2E. Occurrence Reporting Form: Ground Services 399 APPENDIX 2G. Occurrence Reporting Form: Dangerous Goods 402 APPENDIX 3. Performance Reporting Form: Flight Operation 404 APPENDIX 4A. Performance Reporting Form: Airworthiness (Scheduled……406 Operators) APPENDIX 4B. Performance Reporting Form: Airworthiness (NSOP) …419 APPENDIX 4C. Performance Reporting Form: Airworthiness (Private……427 operators) APPENDIX 5. Aerodrome Operational and Safety Statistics 433 APPENDIX 6. ANS Operational and Safety Statistics 434 APPENDIX 7. Ground Services Operational and Safety Statistics 435 APPENDIX 8. PIB Report 436 Page 3 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL CHAPTER 1. INTRODUCTION TO SAFETY MANAGEMENT SYSTEMS (SMS) Section 1. General Information 2.1.1.1. The Evolution of Safety Management Systems (SMS). As part of the continuous development of civil aviation over the past 100 years there has been steady evolution of safety practices and a corresponding steady improvement in aviation safety. A. Several years ago there was recognition among the leading authorities in the domain of aviation safety that further improvements in safety practices were required in order to improve the level of safety of civil aviation. Out of this work the concept of Safety Management Systems was developed. B. The International Civil Aviation Organization (ICAO) was an early promoter of SMS principles and in 2006 they established Standards and Recommended Practices (SARPs) for Safety Management Systems for ICAO Annex 1, 6, 8, 11, 13 and 14. In effect, ICAO mandated the implementation of SMS regulations for all commercial air operators and non-commercial air operators of large aircraft engaged in international air transportation, repair stations, aircraft manufacturers, pilot training organizations, international aerodromes and air traffic service providers. 2.1.1.3. SMS Regulations in the Kingdom of Saudi Arabia. The Kingdom of Saudi Arabia (KSA) published its first set of SMS regulations in March 2009 but there was no systematic implementation of these regulations at that time. With the publication of the General Authority of Civil Aviation Regulations (GACAR) in 2012, new Safety Management System regulations were included in Part 5. GACAR Part 5 is modeled after the ICAO SMS SARPs and it includes all of the ICAO mandated SMS components and elements. GACAR Part 5 adopts a similar structure and rule language to that used in the SMS regulations of the United States (U.S.), Federal Aviation Administration (FAA). Table 2.1.1.1 provides a complete comparison between the GACAR Part 5, 14 CFR Part 5 and ICAO SMS requirements. GACAR Part 5 is applicable to the following certificate holders: - All air operators certificated under GACAR Part 119 - All aerodromes (except heliports) certificated under GACAR Part 139 - All pilot schools, flight engineer schools and training centers certificated under GACAR Parts 141, 142 and 143 that operate aircraft - All repair stations certificated under GACAR Part 145 Page 4 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العالميه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL - All air traffic service providers authorized under GACAR Part 171 A. For the most part, the GACAR Part 5 SMS requirements are general requirements in the sense that they do not distinguish between an SMS for an air operator versus an SMS for an aerodrome, for instance. The GACAR Part 5 SMS requirements apply to any certificate holder required to have an SMS. GACAR Part 5 does, however, include an appendices that lists several special SMS requirements that are only applicable to certain kinds of aviation organizations. GACA calls these “sector specific” SMS requirements. 2.1.1.5. The Purpose of this eBook Volume. Volume 2 of this handbook is dedicated to the subject of Safety Management Systems. This Volume provides detailed guidance for aviation safety inspectors (Inspectors) to use when evaluating the SMS that have been implemented by aviation organizations to which the SMS regulations apply. Like GACAR Part 5, for the most part, the SMS guidance in this Volume is general in nature in the sense that it does not distinguish between an SMS for an air operator versus an SMS for an aerodrome, for instance. The SMS guidance applies to any aviation organization required to have an SMS. Like GACAR Part 5, where special SMS guidance is required to address special SMS requirements that are only applicable to certain kinds of aviation organizations, these items are clearly noted in the Volume. 2.1.1.7. The Structure of this Handbook Volume. This volume of the handbook is organized to facilitate ease of use by Inspectors. Chapter 1 includes introductory remarks of the evolution of SMS concepts and regulations. Chapter 2 outlines in detail the SMS framework and it lists the general objectives and expectations for each of the required components, elements and processes that make up an SMS. Chapter 3 explains the phased implementation process for SMS. Phased implementation is only permitted for existing certificate holders under the transitional provisions of GACAR Part 199. Chapter 4 explains in detail the tools used by Inspectors for assessing an SMS to ensure that it complies with the SMS framework and therefore GACAR Part 5 requirements. Chapter 5 explains in detail the processes and tools to be used by Inspectors when formally accepting an SMS. Formal GACA acceptance of an SMS is a regulatory requirement under GACAR Part 5. Chapter 6 presents additional guidance concerning certain key topics associated with SMS. And finally, Chapter 7 includes guidance related to sector specific SMS requirements. 2.1.1.9. Linkages to other eBook Volumes. Although this Volume is dedicated to SMS topics, several other handbook volumes will be needed by Inspectors overseeing compliance with the SMS requirements. Specifically, Volume 12 includes guidance for Inspectors concerning the ongoing surveillance of an aviation organization's SMS and Volume 13 includes guidance to be used when safety concerns or non-compliances associated with an SMS are identified. Page 5 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL Table 2.1.1.1. SMS Requirements Concordance Table <table><tr><td rowspan="2">Requirement</td><td rowspan="2">ICAO SARP Component</td><td colspan="2">14 CFR Part 5</td><td colspan="2">GACAR Part 5</td></tr><tr><td>Subpart</td><td>Section</td><td>Subpart</td><td>Section</td></tr><tr><td>Safety policy and objectives</td><td>1.</td><td>B</td><td></td><td>B</td><td></td></tr><tr><td>Management commitment and responsibility</td><td>1.1</td><td>B</td><td>§5.21</td><td>B</td><td>§5.21</td></tr><tr><td>Safety accountabilities</td><td>1.2</td><td>B</td><td>§5.23</td><td>B</td><td>§5.23</td></tr><tr><td>Appointment of key safety personnel</td><td>1.3</td><td>B</td><td>§5.25</td><td>B</td><td>§5.25</td></tr><tr><td>Coordination of emergency response planning</td><td>1.4</td><td>B</td><td>§5.27</td><td>B</td><td>§5.27</td></tr><tr><td>SMS documentation</td><td>1.5</td><td>E</td><td>§5.95</td><td>E</td><td>§5.95</td></tr><tr><td>Safety risk management</td><td>2.</td><td>C</td><td>§5.51</td><td>C</td><td>§5.51</td></tr><tr><td>Hazard identification</td><td>2.1</td><td>C</td><td>§5.53</td><td>C</td><td>§5.53</td></tr><tr><td>Safety risk assessment and mitigation</td><td>2.2</td><td>C</td><td>§5.55</td><td>C</td><td>§5.55</td></tr><tr><td>Safety assurance</td><td>3.</td><td>D</td><td></td><td>D</td><td></td></tr><tr><td>Safety performance monitoring and measurement</td><td>3.1</td><td>D</td><td>§5.71§5.73</td><td>D</td><td>§5.71§5.73</td></tr><tr><td>The management of change</td><td>3.2</td><td>D</td><td>§5.73</td><td>D</td><td>§5.73</td></tr><tr><td>Continuous improvement of the SMS</td><td>3.3</td><td>D</td><td>§5.75</td><td>D</td><td>§5.75</td></tr><tr><td>Safety promotion</td><td>4.</td><td>E</td><td></td><td>E</td><td></td></tr><tr><td>Training and education</td><td>4.1</td><td>E</td><td>§5.91</td><td>E</td><td>§5.91</td></tr><tr><td>Safety communication</td><td>4.2</td><td>E</td><td>§5.93</td><td>E</td><td>§5.93</td></tr><tr><td colspan="6">Additional SMS Requirements</td></tr><tr><td>SMS Definitions</td><td></td><td>A</td><td>§5.5</td><td colspan="2">GACAR Part 1</td></tr><tr><td>SMS Applicability</td><td>Annex 1, 6, 8, 11, 13, 14, 19</td><td>A</td><td>§5.1(a)</td><td>A</td><td>§5.1(a)</td></tr><tr><td>SMS shall correspond to the size, nature and complexity of the operations, activities, hazards and risks associated with the operations of the holder of a certificate.</td><td></td><td>-</td><td>-</td><td>A</td><td>§5.3(b)</td></tr><tr><td>Record Keeping Requirements</td><td></td><td>F</td><td>§5.97</td><td>F</td><td>§5.97</td></tr><tr><td>Implementation plan required for existing certificate holders.</td><td></td><td>A</td><td>§5.1(b)</td><td>A</td><td>§5.1(b)</td></tr><tr><td colspan="6">Sector Specific SMS Requirements</td></tr><tr><td>Flight data Analysis program for certain Part 121 operators</td><td colspan="2">Annex 6, Part I, 3.3.7</td><td>-</td><td>App A</td><td>I</td></tr><tr><td>Integration of Fatigue Risk Management Systems (optional requirement)</td><td colspan="2">Annex 6, Part I</td><td>-</td><td>App A</td><td>II</td></tr><tr><td>Flight Safety Document System (FSDS)</td><td colspan="2">Annex 6, Part I3.3.4Annex 6, Part III Section II, 13.3</td><td></td><td>App A</td><td>III</td></tr><tr><td>Certain relied provisions for Part 125 operators</td><td colspan="2">Annex 6, Part II4.2</td><td></td><td>App B</td><td>II</td></tr><tr><td>Runway Safety Program</td><td colspan="2">ICAO Doc. 9870</td><td></td><td>App C</td><td>I</td></tr><tr><td>Certain additional requirements for Part 171 Air Traffic Aviation Organizations.</td><td colspan="2">Annex 112.27.4ICAO Doc. 4444Chapter 2</td><td></td><td>App F</td><td>I</td></tr></table> Page 6 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL CHAPTER 2. SAFETY MANAGEMENT SYSTEM (SMS) FRAMEWORK Section 1. Purpose of the Framework 2.2.1.1. BACKGROUND. A. The objective of this chapter is to describe, in detail, the framework of a Safety Management System (SMS). The SMS framework is composed of components, elements, and processes, each of which is explained in terms of its functional expectations, or how they would need to be used in order to contribute to an effective SMS. These functional expectations are further defined in terms of performance objectives (what the process needs to do) and design expectations (what needs to be developed) to better align with current system safety and safety oversight models. B. The SMS framework addresses two important needs: 1) To provide one standard set of concepts, documents, and tools for the development and implementation of SMS that complies with General Authority of Civil Aviation Regulation (GACAR) Part 5. 2) To make the General Authority of Civil Aviation (GACA) documents and tools align with the structure and format of the International Civil Aviation Organization (ICAO) SMS Framework. It should be noted that this SMS framework also aligns exactly with the Federal Aviation Administration (FAA) SMS Framework. 2.2.1.3. SCOPE AND APPLICABILITY. A. Scope. This Framework provides guidance for SMS development by aviation organizations (for example, commercial air operators, schools and training centers, repair stations, air traffic service providers, and aerodrome operators) and forms the basis for SMS assessments which are described in detail in Chapter 4 of this volume. B. Applicability. The GACA views the objectives and expectations in this Framework as a minimum for an aviation organization to develop and implement in order to comply with the SMS requirements as specified in GACAR Part 5. 1) This Framework describes the objectives and expectations for an aviation organization's SMS. Page 7 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL 2) This Framework is intended to address only operational and support processes and activities that are related to aviation safety and not to address those related to occupational safety, environmental protection, or customer service quality. 3) Aviation organizations are responsible for the safety of services or products they purchase or contract from other organizations. 4) This document establishes the minimum objectives and expectations for an effective and compliant SMS; aviation organizations may establish additional or stricter requirements. C. References. This Framework is in accordance with the following documents: • ICAO Annex 19, Safety Management - International Civil Aviation Organization (ICAO) Document 9859 (as amended), ICAO Safety Management Manual (SMM) • ICAO Document 9734, Safety Oversight Manual • FAA Safety Management System Framework for Safety Management System (SMS) Pilot Project Participants and Voluntary Implementation of SMS Programs, Rev. 3 2.2.1.5. DEFINITIONS. A. Accident. An unplanned event or series of events that results in death, injury, occupational illness, damage to or loss of equipment or property, or damage to the environment. B. Accountable Executive. The single, identifiable person having final responsibility for the effective and efficient performance of the organization's SMS. C. Analysis. The process of identifying a question or issue to be addressed, modeling the issue, investigating model results, interpreting the results, and possibly making a recommendation. Analysis typically involves using scientific or mathematical methods for evaluation. D. Assessment. The process of measuring or judging the value or level of something. E. Attributes. System Attributes, or the inherent characteristics of a system, are present in any well-defined organization and apply to an effective SMS. While the six system attributes were first applied with the FAA's Air Transportation Oversight System (ATOS), there are conceptual differences when applied to SMS. Page 8 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL F. Audit. Scheduled, formal reviews and verifications that evaluate whether an organization has complied with policy, standards, and/or contract requirements. An audit starts with the management and operations of the organization and then moves to the organization's activities and products/services. G. Authority. Who can direct, control, or change the process, as well as who can make key decisions such as risk acceptance. This attribute also includes the concept of empowerment. H. Aviation System. The functional operation or production system used by an organization to produce an aviation product or service (see System and Functional below). I. Complete. Nothing has been omitted and what is stated is essential and appropriate to the level of detail. J. Conformity. Fulfilling or complying with a requirement [ref. ISO 9001-2000]; this includes but is not limited to complying with Federal regulations. It also includes complying with company requirements, requirements of operator-developed risk controls, or operator policies and procedures. K. Continuous Monitoring. Uninterrupted (constant) watchfulness (checks, audits, etc.) over a system. L. Controls. Controls are elements of the system, including hardware, software, special procedures or procedural steps, and supervisory practices designed to keep processes on track to achieve their intended results. Organizational process controls are typically defined in terms of special procedures, supervisory and management practices, and processes. Many controls are inherent features of the SMS Framework. Practices such as continuous monitoring, internal audits, internal evaluations, and management reviews (all parts of the safety assurance component) are identified as controls within the design expectations. Additionally, other practices such as documentation, process reviews, and data tracking are identified as controls within specific elements and processes. M. Corrective Action. Action to eliminate (remove) or mitigate (lessen) the cause or reduce the effects of a detected nonconformity or other undesirable (unwanted) situation. N. Correct. Accurate without ambiguity or error in its attributes. O. Documentation. Information or meaningful data and its supporting medium (e.g., paper, electronic, etc.). In this context, documentation is different from records because documentation is the written description of policies, processes, procedures, objectives, requirements, authorities, responsibilities, or work instructions; whereas Records are the evidence of results achieved or activities performed. Page 9 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL P. Evaluation. An independent review of company policies, procedures, and systems. If accomplished by the company itself, the evaluation should be done by a person or organization in the company other than the one performing the function being evaluated. The evaluation process builds on the concepts of auditing and inspection. An evaluation is an anticipatory process designed to identify and correct potential problems before they happen. An evaluation is synonymous with the term “systems audit.” Q. External Audit. An audit conducted by an entity outside of the organization being audited (e.g., the flight operations division audits the flight training department). R. Functional. The term “function” refers to “what” is expected to be incorporated into each process (e.g., human tasks, software, hardware, procedures, etc.) rather than “how” the function is accomplished by the system. This makes for a more performance-based system and allows for a broad range of techniques to be used to accomplish the performance objectives. This, in turn, maximizes scalability while preserving standardization of results across the aviation organization communities. S. Hazard. Any existing or potential condition that can lead to injury, illness, or death; damage to or loss of a system, equipment, or property; or damage to the environment. A hazard is a condition that might cause (is a prerequisite to) an accident or incident. T. Incident. It is a near-miss episode with minor consequences that could have resulted in greater loss, or an unplanned event that could have resulted in an accident or did result in minor damage. An incident indicates that a hazard or hazardous condition exists, though it may not identify what that hazard or hazardous condition is. U. Interfaces. This aspect includes examining such things as lines of authority between departments, lines of communication between employees, consistency of procedures, and clearly delineating lines of responsibility between organizations, work units, and employees. Interfaces are the “Inputs” and “Outputs” of a process. V. Interfaces in Safety Risk Management and Safety Assurance. Safety Risk Management (SRM) and Safety Assurance (SA) are the key processes of the SMS. They are also highly interactive, especially in the input-output relationships between the activities in the processes. This is especially important where interfaces between processes involve interactions between different departments, contractors, etc. Assessments of these relationships should pay special attention to flow of authority, responsibility, and communication, as well as procedures and documentation. W. Internal Audit. An audit conducted by, or on behalf of, the organization being audited (e.g., the flight training department audits the flight training department). Page 10 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL X. Lessons Learned. Knowledge or understanding gained by experience, which may be positive, such as a successful test or mission, or negative, such as a mishap or failure. Lessons learned should be developed from information obtained from inside and outside of the organization and/or industry. Y. Likelihood. The estimated probability or frequency, in quantitative or qualitative terms, of an occurrence related to the hazard. Z. Line Management. The management structure that operates (controls, supervises, etc.) the operational activities and processes of the aviation system. AA. Nonconformity. Non-fulfillment of a requirement [ref. ISO 9001-2000]. This could include but is not limited to, noncompliance with national regulations, company requirements, requirements of operator-developed risk controls, or operator-specified policies and procedures. BB. Objective. The desired state or performance target of a process. Usually it is the final state of a process and contains the results and outputs used to obtain the desired state or performance target. CC. Operational Life Cycle. Period of time from implementation of a product/service until it is no longer in use. DD. Organization. Indicates both certificated and non-certificated aviation organizations including air navigation service providers, air operators, repair stations, aerodromes, and flight schools and training organizations. EE. Outputs. The product or end result of a SMS process that can be recorded, monitored, measured, and analyzed. Outputs are the minimum expectation for the product of each process area and the input for the next process area in succession. Each of the outputs of a process should have a method of measurement specified by the organization. Measures need not be quantitative where this is not practical; however, some method of providing objective evidence of the attainment of the expected output is necessary. A table of SMS Process Outputs is at Figure 1, at the end of this definitions section. FF. Oversight. A function performed by a regulator (such as the GACA) that ensures that an aviation organization complies with and uses safety-related standards, requirements, regulations, and associated procedures. Safety oversight also ensures that the acceptable level of safety risk is not exceeded in the air transportation system. GG. Preventive Action. Preemptive action to eliminate or mitigate the potential cause or reduce the future effects of an identified or anticipated nonconformity or other undesirable situation. Page 11 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المنيه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL HH. Procedures. ISO-9001-2000 defines “procedure” as “a specified way to carry out an activity or a process.” Procedures translate the “what” in goals and objectives into “how” in practical activities (things people do). Procedures are simply documented activities to accomplish processes (e.g., a way to perform a process). The organization should specify their own procedures for accomplishing processes in the context of their unique operational environment, organizational structure, and management objectives. II. Process. A set of interrelated or interacting activities that transform inputs into outputs. JJ. Process Measures. Ways to provide feedback to responsible parties that required actions are taking place, required outputs are being produced, and expected outcomes are being achieved. A basic principle of safety assurance is that fundamental processes be measured so that management decisions can be data-driven. The general expectations for Component 1, Policy, specify that SMS outputs be measured and analyzed. These measurements and analyses are accomplished in Component 3, Safety Assurance. Outputs of each process should, therefore, be identified during Component 3 activities. For example, these outputs should be the subjects of continuous monitoring, internal audits, and internal evaluation. KK. Product/Service. Anything that is offered or can be purchased that might satisfy a want or need in the air transportation system. LL. Records. Evidence of results achieved or activities performed. MM. Residual Safety Risk. The safety risk that exists after all controls have been implemented or exhausted and verified. Only verified controls can be used for assessing residual safety risk. NN. Responsibility. Who is accountable for management and overall quality of the process (planning, organizing, directing, controlling) and its ultimate accomplishment. OO. Risk. The composite of predicted severity (how bad) and likelihood (how probable) of the potential effect of a hazard in its worst credible (reasonable or believable) system state. The terms “risk” and “safety risk” are interchangeable. PP. Risk Control. Steps taken to eliminate (remove) hazards or to mitigate (lessen) their effects by reducing the severity and/or likelihood of risk associated with those hazards. QQ. Safety Assurance (SA). A formal management process within the SMS that systematically provides confidence that an organization’s products/services meet or exceed safety requirements. A Safety Assurance flow diagram (found in Volume 2, Chapter 4, Appendix A, SMS Assessment Guide, Component 2.0) includes the Framework element/process numbers and other notes to help the reader Page 12 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL visualize the Framework in terms of a process flow (with interfaces), and understand the component/element/process expectations. RR. Safety Culture. The product of individual and group values, attitudes, competencies, and patterns of behavior that determine the commitment to, and the style and proficiency of, the organization's management of safety. Organizations with a positive safety culture are characterized by communications founded on mutual trust, by shared perceptions of the importance of safety, and by confidence in the efficacy of preventive measures. SS. Safety Management System (SMS). The formal, top-down business-like approach to managing safety risk. It includes systematic procedures, practices, and policies for the management of safety (as described in this document it includes safety risk management, safety policy, safety assurance, and safety promotion). TT. Safety Manager. The generic term “safety manager” is used and refers to the function, not necessarily to the individual. The person carrying out the safety manager function is responsible to the Accountable Executive for the performance of the SMS and for the delivery of safety services to the other departments in the organization. UU. Safety Planning. Part of safety management focused on setting safety objectives and specifying needed operational processes and related resources to fulfill these objectives. VV. Safety Promotion —A combination of safety culture, training, and data-sharing activities that support the implementation and operation of an SMS in an organization. WW. Safety Risk. The composite of predicted severity (how bad) and likelihood (how probable) of the potential effect of a hazard in its worst credible (reasonable or believable) system state. The terms “safety risk” and “risk” are interchangeable. XX. Safety Risk Control. A characteristic of a system that reduces or mitigates (lessens) the potential undesirable effects of a hazard. Controls may include process design, equipment modification, work procedures, training, or protective devices. Safety risk controls must be written in requirements language, measurable, and monitored to ensure effectiveness. YY. Safety Risk Management (SRM). A formal process within the SMS that describes the system, identifies the hazards, assesses the risk, analyzes the risk, and controls the risk. The SRM process is embedded in the processes used to provide the product/service; it is not a separate/distinct process. A process flow diagram of Safety Risk Management may be found in Volume 2, Chapter 4, Appendix A, SMS Assessment Guide, Component 3.0. Page 13 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL ZZ. Separate Aviation Maintenance Organizations. Independent maintenance organizations such as, but not limited to, certificated repair stations, non-certificated repair facilities, and separate maintenance organizations. This does not include an air operator's maintenance organization and is not intended to duplicate the required Component 1.0 B) 1) c) of an air operator's organization. AAA. Severity. The degree of loss or harm resulting from a hazard. BBB. Substitute Risk. A risk unintentionally created as a consequence of safety risk control(s). CCC. System. An integrated set of constituent elements that are combined in an operational or support environment to accomplish a defined objective. These elements include people, hardware, software, firmware, information, procedures, facilities, services, and other support facets. DDD. System Attributes. Refer to definition for Attributes, above. EEE. Top Management. The person or group of people who direct and control an organization [ref. ISO 9000-2000 definition 3.2.7]. In many large organizations, this can be the CEO or the board of directors; in smaller organizations, this might be the owner of the company. Page 14 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL CHAPTER 2. SAFETY MANAGEMENT SYSTEM (SMS) FRAMEWORK Section 2. SMS Framework Structure and Expectations 2.2.2.1. SMS FRAMEWORK STRUCTURE. The Safety Management System (SMS) framework is broken down into components, elements, and processes. The components and elements are based on the International Civil Aviation Organization (ICAO) SMS Framework. A. Components. There are four components of an SMS. Two components represent the core operational activities underlying an SMS, and two components represent the organizational arrangements that are necessary to support the two core operational activities. The four components of an SMS are: - Safety Policy and Objectives (Component 1.0) - Safety Risk Management (SRM) (Component 2.0) - Safety Assurance (SA) (Component 3.0) - Safety Promotion (Component 4.0) B. Core Operational Activities. The two core operational activities of an SMS are Safety Risk Management and Safety Assurance. C. Elements. Each of the four components of an SMS is further subdivided into elements, each of which defines important aspects of the component. There are twelve elements in the SMS framework arranged as follows: 1) For Component 1.0 - Safety Policy and Objectives a) Element 1.1 – Safety policy b) Element 1.2 - Management commitment and safety accountabilities c) Element 1.3 - Key safety personnel d) Element 1.4 - Emergency preparedness and response e) Element 1.5 – SMS documentation and records Page 15 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL 2) For Component 2.0 - Safety Risk Management (SRM) a) Element 2.1 - Hazard identification and analysis b) Element 2.2 - Risk assessment and control 3) For Component 3.0 - Safety Assurance (SA) a) Element 3.1 - Safety performance monitoring and measurement b) Element 3.2 - The management of change c) Element 3.3 - Continuous improvement 4) For Component 4.0 - Safety Promotion a) Element 4.1 – Competencies and training. b) Element 4.2 – Communication and awareness. D. Processes. Certain elements in the Safety Risk Management, Safety Assurance and Safety Promotion components are further broken down into processes. 2.2.2.3. SMS FRAMEWORK EXPECTATIONS. To make the SMS Framework easier to understand and use, components, elements, and processes have been defined in terms of functional expectations, or how an organization would need to use them in order to contribute to an effective SMS. They are called “functional” expectations because they describe the “what”, not the “how” of each process. For example, the “what” of a de-icing process is to prevent any aircraft from taking off with ice adhering to any critical surface. The “how” of the de-icing process would include de-icing equipment procedures, flight crew de-icing procedures, holdover table activities, etc., and may be different between individual organizations. Organizations are expected to meet SMS Framework expectations by developing processes to fit their unique business and management models. A. The SMS functional expectations are further defined in terms of performance objectives and design expectations: 1) Performance Objectives. Performance Objectives are the desired outcomes of the particular element or process. 2) Design Expectations. Design Expectations are the characteristics of the element or process Page 16 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL that, if properly implemented, should provide the outcomes identified in the performance objectives. B. The Performance Objectives and Design Expectations for the entire SMS Framework are found in Appendix A below. Page 17 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL CHAPTER 2. SAFETY MANAGEMENT SYSTEM (SMS) FRAMEWORK APPENDIX A. SMS PERFORMANCE OBJECTIVES AND DESIGN EXPECTATIONS COMPONENT 1.0 – SAFETY POLICY AND OBJECTIVES Component Performance Objectives The organization will develop and implement an integrated, comprehensive SMS for its organization and will incorporate a procedure to identify and maintain compliance with all applicable regulatory requirements. Component General Design Expectations: A. Safety management will be included in the complete scope and life cycle of the organization's systems including: 1) For air operators: - Flight operations - Operational control (dispatch/flight following) - Maintenance and inspection - Cabin safety • Ground handling and servicing - Cargo handling - Training 2) For separate aviation maintenance organizations: - Parts/materials - Resource management (tools and equipment, personnel, and facilities) Page 18 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL - Technical data - Maintenance and inspection - Quality control - Records management - Contract maintenance - Training 3) For flight training organizations: - Flight operations • Operational control (dispatch/flight following) - Maintenance and inspection - Training 4) For aerodromes: - Operations including all weather operations - Runway safety • Ground handling and servicing - Maintenance and inspection - Construction 5) For air traffic services providers: • Air traffic control and separation - Airspace design - New or changed ATS procedures Page 19 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL - Training B. SMS processes will be: - Documented - Monitored - Measured - Analyzed C. SMS outputs will be: - Recorded - Monitored - Measured - Analyzed D. It is expected that: - The organization will promote the growth of a positive safety culture (described under Component 4.0, B) - If the organization has a quality policy, top management will ensure that the quality policy is consistent with the SMS - The SMS will include a means to comply with all applicable GACA regulatory requirements. - The organization will establish and maintain a procedure to identify all applicable current and forthcoming GACA regulatory requirements applicable to the organization - The organization will establish and maintain procedures with measurable criteria to accomplish the objectives of the safety policy - The organization will establish and maintain supervisory and operational controls to ensure procedures are followed for safety-related operations and activities Page 20 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL - The organization will establish and maintain a safety management plan to describe how it will achieve its safety objectives ELEMENT 1.1 - SAFETY POLICY Performance Objective Top management will define the organization's safety policy and convey its expectations and objectives to its employees. Design Expectations: A. Top management will define the organization's safety policy. B. The safety policy will: - Include a commitment to implement an SMS - Include a commitment to continual improvement in the level of safety - Include a commitment to the management of safety risk - Include a commitment to comply with applicable regulatory requirements - Include a commitment to encourage employees to report safety issues without reprisal (as per Process 3.1.6) - Establish clear standards for acceptable behavior - Provide management guidance for setting safety objectives - Provide management guidance for reviewing safety objectives - Be documented - Be communicated with visible management endorsement to all employees and responsible parties - Be reviewed periodically to ensure it remains relevant and appropriate to the organization - Identify responsibility and accountability of management and employees with respect to safety Page 21 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL performance ELEMENT 1.2 - MANAGEMENT COMMITMENT AND SAFETY ACCOUNTABILITIES Performance Objective The organization will define, document, and communicate the safety roles, responsibilities, and authorities throughout its organization. Design Expectations: A. Top management will have the ultimate responsibility for the SMS. B. Top management will provide resources essential to implement and maintain the SMS. C. Aviation safety-related positions, responsibilities, and authorities will be: - Defined - Documented - Communicated throughout the organization D. The organization will define levels of management that can make safety risk acceptance decisions. ELEMENT 1.3 - KEY SAFETY PERSONNEL Performance Objective The organization will appoint a safety manager to manage, monitor, and coordinate the SMS processes. Design Expectations: A. Top management will appoint a member of management who, irrespective of other responsibilities, will have responsibilities and authority that includes: - Ensuring that processes needed for the SMS are established, implemented, and maintained • Report to top management on the performance of the SMS and the need for improvement - Ensure the promotion of awareness of safety expectations throughout the organization Page 22 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL B. The appointed Safety Manager shall not hold any operational responsibilities to avoid any potential conflict of interest. ELEMENT 1.4 - EMERGENCY PREPAREDNESS AND RESPONSE Performance Objective The organization will develop and implement procedures that it will follow in the event of an accident or incident to mitigate the effects of these events. Design Expectations: A. The organization will establish procedures to: - Identify hazards that have potential for accidents and incidents - Coordinate and plan the organization’s response to accidents and incidents - Execute periodic exercises of the organization’s response ELEMENT 1.5 - SMS DOCUMENTATION AND RECORDS Performance Objectives The organization will have documented safety policies; objectives, procedures, a document/record management process, and a safety management plan that meet organizational safety expectations and objectives. Design Expectations: A. The organization will establish and maintain information, in paper or electronic form, to describe: - Safety policies - Safety objectives - SMS expectations • The Scope of SMS requirements. Page 23 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL - Accountability, responsibilities, and authorities of Accountable Executive and safety personnel. - Safety procedures and processes - Interactions/interfaces between the safety-related procedures and processes - SMS outputs B. The organization will maintain their safety management plan in accordance with the objectives and expectations contained within this element (1.5). C. Documentation Management. 1) Documentation will be: - Legible - Dated (with dates of revisions) - Readily identifiable - Maintained in an orderly manner - Retained for a specified period of time as determined by the organization 2) The organization will establish and maintain procedures for controlling all documents required by this Framework to ensure that: • They can be located • They are periodically: o Reviewed o Revised as needed o Approved for adequacy by authorized personnel 3) The current versions of relevant documents are available at all locations where essential SMS Page 24 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL operations are performed. 4) Obsolete documents are promptly removed from all points of use or otherwise assured against unintended use. D. Records Management. 1) The organization will establish and maintain procedures to: - Identify - Maintain - Dispose of their SMS records 2) SMS records will be: - Legible - Identifiable - Traceable to the activity involved 3) SMS records will be maintained in such a way that they are: - Readily retrievable - Protected against: o Damage o Deterioration o Loss 4) Records retention times will be documented. COMPONENT 2.0 - SAFETY RISK MANAGEMENT (SRM) Component Performance Objective The organization will develop processes to understand the critical characteristics of its systems and Page 25 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED VERSION 17.0 Consult the GACA website for current version GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL operational environment and apply this knowledge to identify hazards, analyze and assess risk, and design risk controls. Component General Design Expectations: A. Safety Risk Management (SRM) will, at a minimum, include the following processes: - System and task analysis - Hazard identification - Safety risk analysis - Safety risk assessment - Safety risk control and mitigation B. The SRM process will be applied to: - Initial designs of systems, organizations, and/or products • The development of operational procedures - Hazards that are identified in the safety assurance functions (described in Component 3.0, B) - Planned changes to operational processes C. The organization will establish feedback loops between assurance functions described in Component 3.0 to evaluate the effectiveness of safety risk controls. D. The organization will define a risk acceptance process that: - Defines acceptable and unacceptable levels of safety risk. - Describes: o Severity levels o Likelihood levels - Defines specific levels of management that can make safety risk acceptance decisions Page 26 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL - Defines acceptable risk for hazards that will exist in the short-term while safety risk control/mitigation plans are developed and executed ELEMENT 2.1 - HAZARD IDENTIFICATION AND ANALYSIS Process 2.1.1 - System Description and Task Analysis Performance Objective The organization will analyze its systems, operations, and operational environment to gain an understanding of critical design and performance factors, processes, and activities to identify hazards. Design Expectations: A. System descriptions and task analysis will be developed to the level of detail necessary to: - Identify hazards • Develop operational procedures • Develop and implement risk controls ELEMENT 2.1 - HAZARD IDENTIFICATION AND ANALYSIS PROCESS 2.1.2 - IDENTIFY HAZARDS Performance Objective The 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 Expectations: A. Hazards will be: - Identified for the entire scope of the system, as defined in the system description - Identified based on reactive and proactive methods. - Documented Page 27 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL B. Hazard information will be: - Tracked - Managed through the entire SRM process ELEMENT 2.2 - RISK ASSESSMENT AND CONTROL Process 2.2.1 - Analyze Safety Risk Performance Objective The organization will determine and analyze the severity and likelihood of potential events associated with identified hazards, and will identify factors associated with unacceptable levels of severity or likelihood. Design Expectations: A. The safety risk analysis process will include: • Existing safety risk controls - Triggering mechanisms - Safety risk of reasonably likely outcomes from the existence of a hazard, to include estimation of the: o Likelihood o Severity ELEMENT 2.2 - RISK ASSESSMENT AND CONTROL Process 2.2.2 - Assess Safety Risk Performance Objective The organization will assess risk associated with each identified hazard and define risk acceptance procedures and levels of management that can make safety risk acceptance decisions. Design Expectations Page 28 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL Each hazard will be assessed for its safety risk acceptability using the safety risk acceptance process described in Component 2.0 B). ELEMENT 2.2 - RISK ASSESSMENT AND CONTROL Process 2.2.3 - Control/Mitigate Safety Risk Performance Objective The organization will design and implement a risk control for each identified hazard for which there is an unacceptable risk, to reduce to acceptable levels the potential for death, serious physical harm, or damage to equipment or property. The residual or substitute risk will be analyzed before implementing any risk control. Design Expectations: A. Safety control/mitigation plans will be defined for each hazard with unacceptable risk. B. Safety risk controls will be: - Clearly described - Evaluated to ensure that the expectations have been met - Ready to be used in their intended operational environment - Documented C. Substitute risk will be evaluated when creating safety risk controls/mitigations. COMPONENT 3.0 - SAFETY ASSURANCE Component Performance Objective The organization will monitor, measure, and evaluate the performance and effectiveness of risk controls. Component General Design Expectations: A. The organization will monitor their systems and operations to: - Identify new hazards Page 29 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA اللهميه العامه للطيران المدني General Authority of Civil Aviation EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL - Measure the effectiveness of safety risk controls - Ensure compliance with regulatory requirements applicable to the SMS - Ensure that the safety assurance function is based upon a comprehensive system description as described in Process 2.1.1 B. The organization will collect the data necessary to demonstrate the effectiveness of it's: - Operational processes • SMS ELEMENT 3.1 - SAFETY PERFORMANCE MONITORING AND MEASUREMENT Process 3.1.1 - Continuous Monitoring Performance Objective The organization will monitor operational data, including products and services received from contractors, to identify hazards, measure the effectiveness of safety risk controls, and assess system performance. Design Expectations: A. The organization will monitor operational data (e.g., duty logs, crew reports, work cards, process sheets, and reports from the employee safety feedback system specified in Process 3.1.6) to: - Determine conformity to safety risk controls (described in Process 2.2.3) - Measure the effectiveness of safety risk controls (described in Process 2.2.3) • Assess SMS system performance - Identify hazards B. The organization will monitor products and services received from subcontractors. ELEMENT 3.1 - SAFETY PERFORMANCE MONITORING AND MEASUREMENT Process 3.1.2 - Internal Audits by Operational Departments Page 30 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA الهييه العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL Performance Objective The organization will perform regularly scheduled internal audits of its operational processes, including those performed by contractors, to determine the performance and effectiveness of risk controls. Design Expectations: A. Line management of operational departments will conduct regular internal audits of safety-related functions of the organization's operational processes (production system). These audits will include any subcontractors who perform those functions. NOTE: The internal audit is a primary means of output measurement under Component 1.0, C). B. Line management will ensure that regular audits are conducted to: • Determine conformity with safety risk controls • Assess performance of safety risk controls C. Planning of the audits program will take into account: - Safety criticality of the processes to be audited • The results of previous audits D. The organization will define: - Audits, including: o Criteria o Scope o Frequency o Methods • How they will select the auditors - The requirement that auditors will not audit their own work Page 31 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL E. The organization will document audit procedures, to include: • The responsibilities - Expectations for: o Planning audits o Conducting audits o Reporting results o Maintaining records o Auditing contractors and vendors ELEMENT 3.1 - SAFETY PERFORMANCE MONITORING AND MEASUREMENT Process 3.1.3 - Internal Evaluation Performance Objective The organization will conduct internal evaluations of the SMS and operational processes at planned intervals to determine that the SMS conforms to its objectives and expectations. Design Expectations: A. The organization will conduct internal evaluations of the operational processes and the SMS at planned intervals to determine that the SMS conforms to objectives and expectations NOTE: Sampling of SMS output measurement is a primary control under Component 1.0, C). B. Planning of the evaluation program will take into account: - Safety criticality of the processes being evaluated • The results of previous evaluations C. The organization will define: - Evaluations, including: Page 32 EBOOK VOLUME 2 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 17.0 GACA المجله العامه للطيران المدني General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 2. SAFETY MANAGEMENT SYSTEMS - GENERAL o Criteria o Scope o Frequency o Methods • The processes used to select the evaluators D. Documented procedures, which include: • The responsibilities - Requirements for: o Planning evaluations o Conducting evaluations o Reporting results o Maintaining records o Evaluating contractors and vendors E. The program will include an evaluation of the programs described in Component 1.0, B). F. The person or organization performing evaluations of operational processes must be independent of the process being evaluated. ELEMENT 3.1 - SAFETY PERFORMANCE MONITORING AND MEASUREMENT Process 3.1.4 - External Auditing of the SMS Performance Objecti …(790,942 more chars)