8900.1 CHG 742
NOTE: During this phase, the Certification Project Team (CPT) reviews the applicant’s Safety Management System (SMS) for acceptance using SMS Design Demonstration Custom Data Collection Tools (C DCT).
• Safety Communications Design Demonstration,
• Safety Risk Management (SRM) (Process/Department Owner) Design Demonstration,
• SRM (Organizational) Design Demonstration, and
• Continual Improvement Process (CIP) Design Demonstration.
Figure 2-101. Phase 4 Safety Management System Demonstration Guide
PHASE 4SMS DESIGN DEMONSTRATION GUIDE
1. Planning SMS Design Demonstration C DCTs.
To ensure that an applicant has an acceptable SMS, the CPM needs to ensure the applicant adequately performs certain design demonstrations. Below is a description of key SAS SMS Design Demonstration DCTs.
2. Key SAS SMS Design Demonstration C DCTs.
a. Safety Policy.
1) SMS Safety Communications Design Demonstration.
This is a supplemental assessment to any technical process inspection. During these evaluations, the CPT will be able to observe how the applicant communicates safety information and determine if the employees are aware of the company’s safety policies and hazard reporting procedures. By examining the organizational chart, the CPM should ensure that the CPT samples each area. This C DCT must be thought of in a “group perspective.” That means, did the organization do a good job of communicating the safety policy, and are the majority of the employees able to submit hazard reports per the company approved process?
b. Safety Risk Management (SRM).
1) SRM (Organizational) Design Demonstration.
2) SRM (Process/Department Owner) Design Demonstration.
Ensure that all the departments on the organizational chart are included in these assessments. Identify all process owners (those who are developing or revising guidance documents) for each department and make sure that they have demonstrated their ability to assess risk according to the company’s SRM process. Much of this work is accomplished during the natural course of the Design Assessment (DA) phase. However, as design failures are identified in Phase 4, a process owner will be demonstrating their ability to evaluate risk using the company’s SRM process. The CPT should document the process owner’s ability to assess risk using the SAS SMS Design Demonstration C DCT. The CPM will need to identify those departments that might have made it through the DA phase without having to perform a manual revision, and only test process owners from those departments. The CPT should be highly confident in the applicant’s ability to use the company’s SRM process to analyze risk whenever design changes occur. Design change includes any documents employees use to perform their technical process work (not limited to approved/accepted manuals). All employee guidance documents in use must have some type of version control for the applicant to do SRM appropriately.
c. Safety Assurance (SA).
1) CIP Design Demonstration.
This is the corrective action process C DCT. Departments will demonstrate this capability if they failed any of the proving test scenarios or tabletops. Normally, in the course of the certification process, discrepancies will be observed and documented. The CPM should ensure that those areas missed during the normal course of the certification process are tested either through scenarios or tabletops.
2) Accountable Executive Review Design Demonstration.
The Accountable Executive review is built into the SMS process toward the end of the certification process after proving tests. This demonstrates the applicant’s ability to analyze and assess data, and to take action on that information. It demonstrates the Accountable Executive’s oversight of safety. During the certification, the company should have set objectives and gathered information on their company’s operations. This is the point where the company assesses the operations and builds a plan of action. The CPT should be assured that the applicant will follow their Accountable Executive review process and that the appropriate action will be taken to correct deficiencies. This action will set a baseline date for future assessments, as required by 14 CFR part 5, § 5.73.
NOTE: The CPM must ensure that the applicant provides an aircraft lease or proof of ownership, if not previously submitted in the formal application package.
• An emergency evacuation plan,
• A ditching plan, and
• A proving test plan.
NOTE: Early completion of proving tests should be coordinated and approved according to Volume 3, Chapter 29, Section 7, Table 3-109, Coordination Requirements and Approval Authority for Proving Run Flight Hour Reductions.
NOTE: Section 119.39(b)(1) states, “An application for a certificate may be denied if ‘[t]he Administrator finds that the applicant is not properly or adequately equipped or is not able to conduct safe operations under this subchapter.’” In addition, the applicant must maintain an active project. The CEPO and ACSA must evaluate an inactive period that exceeds 90 calendar‑days. Inactivity of greater than 90 calendar-days may be cause to terminate the certification process. The FAA may also terminate the process when it is clear that continuing will not result in approval or acceptance (i.e., multiple failures of the applicant’s submissions or performance). If there is a change to the aircraft make/model during the certification process, the project must start over at the beginning of Phase 2 or reviewed for possible termination.
Figure 2-102. Phases and Gates for Initial Certification
RESERVED. Paragraphs 2-324 through 2-329.