VOLUME 17 Safety management system
CHAPTER 3 CONTINUOUS OVERSIGHT OF A CERTIFICATE HOLDER’S SMS
Section 1 Description and Methods
A. Purpose. This chapter provides guidance
for Federal Aviation Administration (FAA) Flight Standards Service (AFS) personnel
on the continuous oversight of a Title 14 of the Code of Federal Regulations
(14 CFR) part
121 certificate holder’s Safety Management System (SMS). Volume 10, Air
Transportation Oversight System, provides primary guidance for part
121 certificate holder oversight. This chapter, when used in conjunction
with Volume 10, provides guidance for SMS‑specific differences.
B. Scope. This chapter explains the “what”
and “how” a Certificate Management Team (CMT) should evaluate and record oversight
of a certificate holder’s SMS.
17-3-1-3 REGULATORY REQUIREMENT. Title 14 CFR
part 5, § 5.1(a) requires a certificate holder authorized to conduct
operations in accordance with the requirements of part
121 to have an SMS by March 9, 2018 that meets the requirements
of part 5 and is acceptable to the Administrator.
17-3-1-5 SMS OVERSIGHT TOOLS AND UTILIZATION.
A. SMS Oversight.
1) SMS oversight will be integrated into Air
Transportation Oversight System (ATOS)
oversight activities upon acceptance of the certificate holder’s SMS. All ATOS
modules and risk management (RM) will be applied to the certificate holder’s
SMS per Volume 10.
2) The Design Assessment Supplement (DAS)
Constructed Dynamic Observation Report (ConDOR) will be used to evaluate the
certificate holder’s Safety Risk Management (SRM) process as applied to elements
of the air carrier’s system. They will be used in conjunction with appropriate
SAIs for Design Assessments (DA) of these elements for those instances where
SRM is required (§ 5.51). The SRM process is a certificate holder’s responsibility;
CMT evaluation should focus on utilization of the SRM process.
3) The Performance Assessment Supplement (PAS)
ConDOR will be used to evaluate the air carrier’s Safety Assurance (SA) practices
as applied to elements of the air carrier’s systems. They will be used in conjunction
with appropriate EPIs in Performance Assessments (PA) of elements of the air
B. SMS Safety Attribute Inspections (SAI).
Once the certificate holder’s SMS is implemented, ATOS System 8 SAIs will
function in the same way as current ATOS element SAIs do. There is no change
to present ATOS SAI utilization.
C. SMS Element Performance Inspections (EPI).
Currently, there are no plans to develop specific SMS EPIs as stand‑alone
PAs. Rather, SMS performance questions will be added to most of the current
EPIs as those EPIs are updated, changed, or modified. In the interim, a PAS
ConDOR may be used to supplement current EPIs. For further PAS ConDOR discussion,
see subparagraph 17‑3‑1‑5E, below.
D. DAS ConDOR.
1) SRM and the DAS ConDOR. In accordance with
§ 5.51, when a certificate holder proposes a new system or a revision to
an existing system, or develops operational procedures that directly impact
aviation safety, they must assess the new or changed system or procedure for
potential hazards and associated risk up front. In other words, while they are
developing the change, they must perform SRM and design appropriate controls
for unacceptable risk. To ascertain whether the SRM process was accomplished
by the certificate holder prior to implementation of a proposed change, the
DAS ConDOR may be used to assist the principal inspector (PI) by asking questions
about the certificate holder’s use of the SRM process (e.g., did they do it,
and was it complete?).
2) Special-Use Optional Tool. The DAS ConDOR
is a special-use optional tool which will assist the CMT in evaluations of the
certificate holder’s SRM processes. This should ensure that the certificate
holder is applying SRM principles effectively. It should be remembered that
the SRM process is a certificate holder’s responsibility. Inspector evaluation
should focus on the utilization of the SRM process. There is no need to conduct
a DAS ConDOR for every event the carrier engages in.
3) Records. Certificate holders must maintain
records showing that the SRM process has been completed on new or changed systems
or procedures (per §5.97 (a)). SRM records do not need to be submitted to the
CMT but must be available for inspection. It should be remembered that the SRM
process is a certificate holder’s responsibility; CMT evaluation should focus
on accomplishment and completion of the SRM process.
4) ATOS Processes. The DAS ConDOR may be selected
by PIs whenever ATOS DAs are being planned and resourced in Modules 2 and 3
of the ATOS business process. They should be considered when the CMT is involved
with Comprehensive Assessment Plan (CAP) assessments (ATOS Module 2) or
assigning actions during Assessment Determination and Implementation (ADI) (ATOS
Modules 7 and 8). Further information on the DAS ConDOR may be found
in Volume 10 and in the ATOS automation under “specific instructions” for the
E. PAS ConDOR.
1) The PAS ConDOR augments appropriate ATOS
Element PAs or EPIs, or it may be used as a standalone tool. Part of a complete
systematic evaluation of an operational element is determining if the certificate
holder is properly conducting SMS SA activities; the PAS ConDOR is an aid in
conducting such evaluations.
2) PIs may utilize the PAS ConDOR whenever
ATOS PAs are being planned and resourced in Modules 2 and 3 of the
ATOS business process. They should be considered when the CMT is involved with
CAP assessments (ATOS Module 2) or assigning actions during ADI (ATOS Modules 7
and 8). Additionally, the PAS ConDOR may be used when the FAA identifies
any regulatory nonconformance.
17-3-1-7 through 17-3-1-21 RESERVED.