Director of Safety: SMS Administration — Gold Aviation Safety Training

1

Safety Report Processing

Receiving, acknowledging, and classifying reports in the Gold Safety SRP

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Module 5 Overview Video

Video coming soon

The safety report processing workflow is the most frequent operational task in the Director of Safety role. Under 14 CFR §5.71, Gold Aviation Services (Gold Aviation Services) must maintain a process for employees to report hazards, incidents, and occurrences. Under §5.75, you must respond to and act on those reports.

Report processing workflow in FOS:

1

Acknowledge

Acknowledge receipt to the reporter. Same-day acknowledgment is ideal.

2

Classify

Classify the report by hazard type and apply the risk matrix to determine likelihood and severity.

3

Assess

Determine whether the report requires a corrective action, can be closed as informational, or requires immediate escalation.

4

Act or File

Open a CAPA if corrective action is needed. File and close informational reports with documentation.

5

SAG Review

Bring reports to the next SAG meeting for group review as appropriate.

14 CFR §5.71 14 CFR §5.75 49 CFR Part 830 AC 120-92D §7

2

CAPA and Management of Change

Corrective action lifecycle, MoC triggers, and the DOS's role in both

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The Corrective and Preventive Action (CAPA) module in FOS is the primary tool for managing corrective actions arising from safety reports, audit findings, and investigations.

When to open a CAPA:

A safety report identifies a hazard that requires documented mitigation.
An IEP audit finding identifies a gap.
An investigation determines a systemic issue.
An SPI trend shows deteriorating performance.

CAPA lifecycle:

1

Initiate

Open and link to the originating report.

2

Root Cause Analysis

Conduct root cause analysis.

3

Assign

Assign a specific, measurable action with a due date.

4

Track

Track implementation.

5

Verify

Verify effectiveness.

6

Close

Close with documentation and SAG concurrence.

Management of Change (MoC) is a parallel process you own. It applies before any significant change is implemented that could introduce new hazards [14 CFR §5.51–§5.55, SMS Manual §5.8]. Common triggers include new aircraft types, changes to maintenance providers, organizational structure changes, and staffing adjustments.

14 CFR §5.75 14 CFR §5.51 14 CFR §5.53 14 CFR §5.55 SMS Manual §5.8 SMICG 2.3.1

3

Safety Performance Indicators

Tracking SPIs, identifying trends, and reporting to the Safety Board

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Safety Performance Indicators (SPIs) are quantitative metrics used to track the effectiveness of the SMS over time [14 CFR §5.73]. They provide objective data that allow the Director of Safety to detect trends, measure progress toward safety objectives, and identify areas requiring intervention before they become larger problems.

Gold Aviation Services (Gold Aviation Services) uses three categories of SPIs:

Proactive / Leading

Measure preventive activities: safety report submission rate per 1,000 flight hours, FRAT completion rate, SMS training completion percentage, MoC reviews completed before change implementation.

Reactive / Lagging

Measure outcomes after events occur: open corrective action rate, overdue CAPA percentage, repeat audit findings, incident/accident rates.

Predictive

Signal emerging risks: percentage of High FRAT scores, frequency of specific hazard categories, near-miss trends by operation type.

All SPIs are recorded and tracked in the FOS SPI module. Each indicator includes a defined target, current value, trend direction (improving / stable / degrading), and review cadence. SPIs are reviewed at every SAG meeting and presented with analysis and recommended actions at quarterly Safety Board meetings. When an SPI shows an adverse trend, the Director of Safety initiates an assessment to determine whether a corrective action or Management of Change review is required.

SPIs are a key input for the annual SMS effectiveness review, the Training Effectiveness Log, and the SMICG self-evaluation. They provide the measurable evidence required to demonstrate that the SMS is not only documented but actively functioning and improving [14 CFR §5.73, AC 120-92D §5.3, SMICG Component 3].

14 CFR §5.73 AC 120-92D §5.3 AC 120-92D §5.3 SMICG 3.1–3.4

4

Audit Preparation & Execution

IEP audit process, checklist use, and finding documentation

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The Internal Evaluation Program (IEP) is Gold Aviation Services' formal process for evaluating whether SMS processes and operational controls are functioning as intended . The IEP complements the maintenance-specific CASS program and provides the primary internal verification mechanism for SMS compliance.

Types of IEP audits:

SMS element audits (focused on individual Part 5 components).
CAPA effectiveness audits.
Operational and maintenance program audits.
Full annual SMS self-evaluation against SMICG criteria.

Audit execution process:

1

Planning

Define scope, assign trained auditors, develop or select checklist, notify auditees, and schedule.

2

Execution

Gather objective evidence through interviews, record reviews, and direct observation using standardized checklists in FOS.

3

Documentation

Record findings with supporting evidence. Classify each finding by risk level using the likelihood × severity matrix.

4

Corrective Action

For every finding that requires action, open a linked CAPA in FOS. Assign responsibility, due date, and verification method.

5

Closure & Verification

Track actions to completion. Verify effectiveness before closure. SAG reviews significant findings.

6

Reporting

Present audit results and trends to the SAG and Safety Board. Update the IEP annual plan based on lessons learned.

All IEP records — checklists, findings, and CAPA linkages — are retained in FOS for a minimum of 24 months [14 CFR §5.97]. The IEP process directly supports SMICG Component 3 (Safety Assurance) and provides the evidence needed for FAA compliance demonstrations.

14 CFR §5.97 AC 120-92D §5.4 SMICG Component 3

5

SMICG Compliance

The four components, evaluation criteria, and evidence documentation

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The SMICG (Safety Management International Collaboration Group) evaluation tool is the internationally recognized framework used to assess SMS maturity against ICAO Annex 19. Gold Aviation Services uses this tool for annual self-evaluations and to prepare for the FAA's 14 CFR Part 5 compliance deadline of May 28, 2027.

The tool organizes requirements into four components with detailed criteria:

Component 1

Safety Policy & Objectives

Policy, accountabilities, key personnel, emergency response planning, and documentation.

Component 2

Safety Risk Management

Hazard identification, risk assessment, risk controls, and Management of Change.

Component 3

Safety Assurance

Safety performance monitoring (SPIs), audits (IEP), management of change follow-up, and continuous improvement.

Component 4

Safety Promotion

Training, communication, and safety culture.

For each criterion you must maintain documented evidence that the process exists, is implemented, and is effective. Examples of acceptable evidence include current SMS Manual revisions, training records, safety report and CAPA logs, SPI trend charts, audit reports with closure verification, SAG/Safety Board minutes, and MoC records.

Gaps identified during self-evaluation are documented as CAPAs with assigned owners and target closure dates. The Director of Safety maintains a rolling SMICG compliance tracker in FOS that maps current status against all criteria. This tracker is reviewed quarterly by the Safety Board and updated before the May 28, 2027 declaration of compliance.

14 CFR Part 5 ICAO Annex 19 SMICG Evaluation Tool AC 120-92D

6

The Annual SMS Cycle

Training dispatch, effectiveness review, and manual revision

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The annual SMS cycle is the recurring sequence of activities that keeps the SMS current, effective, and compliant. As Director of Safety you own and document this cycle.

Key annual activities:

Dispatch and track completion of all required SMS training modules.
Review training effectiveness (quiz scores, knowledge gaps, operational events linked to training) and update content as needed. Document results in the Training Effectiveness Log.
Compile and analyze full-year SPI data. Identify adverse trends and initiate corrective actions.
Conduct the full annual SMICG self-evaluation. Document gaps and link them to CAPAs.
Review the year's Management of Change log for completeness and post-implementation verification.
Review and revise the SMS Manual as needed. Issue a formal revision with updated List of Effective Pages.
Prepare and present the annual safety performance summary to the Safety Board, including training results, SPI trends, IEP findings, SMICG status, and priorities for the coming year.

This cycle ensures the SMS remains a living system rather than a static set of documents. All activities and supporting records are maintained in FOS to demonstrate ongoing compliance with 14 CFR Part 5.

14 CFR §5.91 14 CFR §5.93 14 CFR §5.97 AC 120-92D §7

SMICG 4.1.1–4.2.1 SMS Manual §5.9 SMS Manual §5.12

Director of Safety:SMS Administration

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Director of Safety:
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