Attachment 2_SMS Questionnaire Accident History.docx

ATTACHMENT 2 - SAFETY MANAGEMENT SYSTEM (SMS) COMPONENTS QUESTIONAIRE AND ACCIDENT HISTORY

The USFS aviation program views Safety Management Systems (SMS) as a critical element for contract evaluation. This attachment seeks to identify effective and safe aviation operations of an Offeror that include implemented policies and practices that support the Offeror’s SMS. These components should be fully integrated into the daily activities of an Offeror. A complete response is required to accurately assess the Offeror’s level of implementation and effectiveness and Contractor’s will be held to these standards during contract performance.

Safety Management System (SMS) Components

The USFS uses a SMS approach to aviation operations which includes safety management policy, safety risk management, safety assurance and safety promotion. The Offeror must provide sufficient evidence of implementation for each SMS element listed (below). Include both evidence of implemented SMS policies and records that indicate the SMS is actively functioning “i.e. recently completed FRATs, audit findings including action items, hazard reports, etc.”. Proposals are evaluated based on the evidence provided and the results that were achieved from the SMS activities that were performed. Responses shall include the attachment reference number. Blank forms do not suffice as evidence of policy or records of practice.

Companies of different sizes and complexities may approach a SMS in a variety of ways. As such there may be many significant differences among various operators. Each Offeror should address each of the Safety Policies and Objectives below by providing evidence showing how they define and address the key safety objectives.

Example: For reference number 1, “Provide Evidence that there is an appointed safety manager that is responsible for the effective administration of the SMS” a submission could include a copy of the Offeror’s policy appointing a safety manager and defined duties for the administration of the SMS, a letter or record showing the individual appointed.

Example: For reference number 2 “Provide evidence that the Offeror clearly defines key duties, authorities and accountabilities” a submission could include Offeror policies identifying the key duties, authorities and accountabilities of key Offeror positions and copies of letters or records assigning individuals in those duties.

The Federal Aviation Administration (FAA) AC120-92A along with the International Standard for Business Aircraft Operations (IS-BAO) can provide expanded explanations and examples of the standards (below).

Component Number

IS-BAO

Element

Requirements

Key Safety Personnel and Commitment

the provision of necessary resources for the SMS.

Evidence in items 1-3 might consist of duty appointment letters, key safety personnel, duties, position descriptions, organizational structures, and policy that demonstrates that the accountable executive has identified or appointed the structure and key safety personnel and that they are actively involved in the SMS program.

Offeror Operations Manual

accountable executive.

Evidence in this section might include documented Operations Manual(s), revision and/or approval pages, SOPs, and procedures that describe how flight crews and maintenance personnel conduct flight and maintenance activities meet organizational expectations and objectives.

Operations Manual contains internal instructions to employees and should not be confused with Operations Specifications (Ops Spec) as approved by the FAA.

Emergency Response Plan

Evidence in this section might consist of documented and implemented plan that the Offeror will follow in the event of an accident, incident or operational emergency to mitigate the effects, of these events. Provide training records on the plan, how it was exercised, and updated it based on recorded results of using or exercising the plan.

Safety Risk Management

3.2.2.1

3.2.1.1 - Provide evidence that the Offeror developed and maintains a formal process to identify and track hazards including risk Analysis (Exposure), Risk Assessment (Severity and likelihood), Decision Making (Mitigations).

3.2.2.1 - Has the Offer developed and maintained a formal process that ensures analysis, assessment and control of the safety risks associated with identified records.

Component Number

IS-BAO

their operation.

Evidence in this section will demonstrate the developed processes to understand the critical characteristics of the Offeror systems and operational environment and apply this knowledge to identify hazards, analyze and assess risk, and design risk controls. Process should include: System description and task analysis, Hazard identification, Safety risk analysis, Safety risk assessment, and Safety risk control and mitigation. Mitigation and control processes might include a hazard/threat safety reporting system, a flight risk assessment tool and a documented method to for management to approve risk assessments that reach a predetermined level.

Safety Assurance

3.3

SMS.

Evidence in this section will show documented processes that establish benchmarks and safety measurement, identifying risks to organizational changes or new systems and the process of management of change, and how safety risk controls are effective.

Examples may include: mishap rates, reporting rates, risk management trends, audit trends and risk mitigations.

Compliance Monitoring

Evidence in this section will demonstrate that the organization has a process to perform regularly scheduled audits, internal or externally conducted, that they are documented, and that audit findings are analyzed and included in an action plan.

Safety Promotion

internal safety communication that promotes the SMS and conveys safety-critical information such as safety bulletins or lessons learned.

Component Number

IS-BAO

Evidence provided for this section will included a documented process to communicate safety critical outputs of the SMS, rationale behind controls, preventative or corrective actions, and ensure company awareness of the SMS objective to its employees. Items might include lessons learned, impact and safety awards and other programs to provide safety promotion.

Training Programs

SMS training.

Evidence in this section will consist of documented process and or controls to ensure employees are trained and competent to perform their assigned duties.

Training programs should ensure that each employee is trained on the SMS program and their responsibilities (e.g., a completed training plan).

Air Crew Member Qualifications

member records for required certificates, medical category, required training, and proficiency checks.

Evidence in this section will show a process to ensure that crew members and other personnel are current on their required certificates, medical exams, training, and proficiency checks.

Maintenance Personnel Qualifications (Will also be evaluated by Airworthiness)

maintenance/servicing personnel meet all contractual requirements to be a Carded Mechanic.

Evidence in this section will show a process to ensure that mechanics and other maintenance personnel are current on their required FAA certificates, training, and that they are trained to conduct specific maintenance on the aircraft offered and perform as a Carded Mechanic.

Maintenance Control System (Will also be evaluated by Airworthiness)

and qualify aircraft maintenance services when away from home base to ensure service is performed by qualified personnel while on contract.

Evidence in this section document a process on how the Offeror will conduct maintenance, manage aircraft records, preventative maintenance, deferred maintenance items or discrepancy management, technical dispatch, parts inventory and ordering, material control, tool calibration, maintenance arrangements, and maintenance safety programs.

Component Number

IS-BAO

Accident History and Hours

reported to the NTSB and it was downgraded to an incident, you must provide evidence from the NTSB.

Safety Management System Components and Accident History:

The Government will evaluate whether Offeror’s Safety Program/Culture is Acceptable or Unacceptable to the government using the SMS Components and Accident History information. The following SMS elements will be evaluated. The Government will evaluate your Safety Management System (SMS) by reviewing your response and the supporting documentation to the questions in Attachment 24 that are included in your company SMS.

(A) Key Safety Personnel and Commitment

(B) Offeror Operations Manual

(C) Emergency Response Plan

(D) Safety Risk Management

(E) Safety Assurance

(F) Compliance Monitoring

(G) Safety Promotion

(H) Training Programs

(I) Maintenance Personnel Qualifications

(J) Maintenance Control System

Each evaluator independently reviews and rates the materials provided by the vendor against Exhibit 6. The materials are evaluated against Parts. The Source Selection Board will generate consensus to derive acceptability determination. To be considered acceptable in SMS, no more than a third of the reference numbers in Part 1 and Part 2 combined may be considered insufficient, no more than two thirds of them can be missing both reference and evidence, and the offeror must have a sufficient accident rating as described in Part 3.

Safety Management Systems (Part 1): The Government will validate responses to Attachment 24 to determine if both or either of the references and evidence are sufficient.

Safety Management Systems (Part 2): The Government will evaluate the references and evidence against the requirement description found in Attachment 24 to determine if they are sufficient.

Accident Rate (Part 3): The Government will convert the offeror’s number of accidents and hours flown in the last five years into an accident rate per 100,000 flight hours. The Offeror’s accident rate is compared to 1.25 times the overall USFS suppression aircraft accident rate for the previous five years, which equates to 2.93 accidents per 100,000 flight hours. Offerors with zero accident rates or an accident rate of 2.93 or less accidents per 100,000 flight hours will be considered sufficient for Part 3. Offerors having an accident rate greater than 2.93 accidents per 100,000 flight hours will undergo a review of the documentation the offeror provided regarding the circumstances around their accidents and a determination of if it is sufficient or insufficient to the government based off how the company addressed those accidents within their SMS program/processes (Did the Offeror utilize its SMS program as its SMS Manual describes and what were the results from utilizing its SMS program, i.e., developed lessons learned, implemented changes etc. in regards to those accidents). Additionally, for offers who have an accident rate greater than 2.93 accidents per 100,000 flight hours without providing documentation regarding the circumstances around your accidents and/or those accidents are not addressed within your SMS program/processes, will be determined insufficient for Part 3.