2009 SMS Pilot Project (SMSPP) Analysis - FAA

Figure 6-2: Detailed Gap Analysis (continued)
Detailed Gap Analysis Results NP P DOC I DEM
Component 3.0 Safety Assurance
The organization monitors, measures, and evaluates the
performance of risk controls.
Element 3.1 Safety performance monitoring and measurement
The organization monitors systems and operations to identify
new hazards
Sub-Element 3.1.1 Continuous Monitoring
The organization monitor data throughout the lifecycle,
including those associated with components and services
received from suppliers and contractors, to identify hazards,
measure the effectiveness of safety risk controls, and assess
system performance.
Sub-Element 3.1.2 Internal Audit
The organization will conduct internal audits of the SMS at
planned intervals, to determine if the SMS conforms to the
organization’s processes and procedures.
Sub-Element 3.1.3 Internal Evaluation
The organization will perform regularly scheduled internal
evaluations of its systems and operations to determine the
performance and effectiveness of risk controls.
Sub-Element 3.1.4 Investigation
The organization has procedures to collect data to investigate
instances of potential regulatory non-compliance and to
identify potential new hazards or risk control failures.
Sub-Element 3.1.5 Employee Reporting and Feedback System
The organization actively uses an employee safety reporting
and feedback system
Sub-Element 3.1.6 Analysis of Data
The organization analyzes the data acquired in Sub-Elements
3.1.1 through 3.1.5 to assess the performance and effectiveness
of risk controls in the organization’s systems and operations
Sub-Element 3.1.7 System Assessment
The organization will assess the safety performance and
effectiveness of risk controls, conformance to SMS
expectations as stated herein, and the objectives of the safety
policy.
Sub-Element 3.1.8 Management Review
As part of their commitment to continual improvement, top
management will conduct annual reviews of the SMS, at a
minimum. Management reviews will include assessing the
performance and effectiveness of the organization’s systems
and operations and the new
Element 3.2 Management of Change
The organization will identify and assess safety risk for
changes arising within or external to the organization that may
affect established systems or operations. These changes may
be to existing system designs, new system designs, or
new/modified operations
62% 38%
50% 38% 12%
38% 25% 38%
38% 38% 12% 12%
38% 38% 12% 12%
12% 25% 12% 12% 38%
38% 50% 12%
38% 38% 25%
38% 50% 12%
50% 25% 25%
38% 25% 12% 12% 12%
31