Safety Manager: SMS Administration — Gold Aviation SMS Training

1

Safety Report Processing

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

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Module 4 Overview Video

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

Report processing workflow in the Gold Safety SRP:

1

Acknowledge

Acknowledge receipt to the reporter. Same-day acknowledgment is the standard. This closes the loop for the reporter and reinforces the reporting culture.

2

Classify

Classify the report by hazard type (operational, maintenance, facilities, organizational) and apply the Risk Assessment Matrix to determine likelihood and severity. Assign a risk level: Low, Medium, or High.

3

Assess

Determine whether the report requires a CASS (corrective action), can be closed as informational, or requires immediate notification to the Accountable Executive or FAA.

4

Act or File

Open a CASS if corrective action is needed. File and close informational reports with documentation. Escalate High-risk items per the Safety Communication Decision Matrix.

5

SAG Review

Bring all reports to the next SAG meeting for group review. The SAG concurs with or adjusts the risk classification and corrective action approach.

Mandatory reporting distinction: Some occurrences require notification to the NTSB (49 CFR Part 830) and/or FAA in addition to internal SMS reporting. These include accidents, incidents requiring immediate notification, and certain airworthiness concerns. Voluntary SMS reporting and mandatory regulatory reporting are separate obligations that can both apply to the same event.

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

2

CASS — Corrective Action Management

Opening, investigating, assigning, tracking, and closing corrective actions

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The Corrective Action Safety Sheet (CASS) is the primary tool for managing corrective actions arising from safety reports, audit findings, NOTMX items, and investigations. Under 14 CFR §5.75, Gold Aviation Services must have a process to ensure that risk controls are implemented and verified as effective.

When to open a CASS:

A safety report identifies a hazard that requires corrective action to mitigate risk
An IEP audit finding identifies a gap in SMS implementation
An investigation determines that a systemic contributing factor must be addressed
A NOTMX item from maintenance requires follow-up beyond the immediate maintenance action
An SPI trend indicates a deteriorating safety performance area

CASS lifecycle in the Gold Safety platform:

1

Initiation

Open CASS in the platform. Assign a number, link to the originating report or finding, document the hazard description and risk level.

2

Root Cause Analysis

Identify the root cause and contributing factors. Document your analysis. The root cause determines the corrective action — treating a symptom without addressing the root cause produces recurring findings.

3

Corrective Action Assignment

Assign a specific, measurable corrective action to a responsible party with a defined due date. Vague actions ("improve communication") are not acceptable — actions must be verifiable.

4

Implementation Tracking

Monitor completion. Follow up with the responsible party before the due date. Open CASs are reviewed at every SAG meeting until closed.

5

Verification

Verify the action was completed and that it had the intended effect. This may require follow-up observation, re-inspection, or a re-assessment of the risk level.

6

Closure

Close the CASS with documentation of the action taken and effectiveness verification. SAG concurs with closure. Retain records per §5.97.

CASS → CAPA promotion: When a CASS identifies a systemic issue requiring more comprehensive corrective and preventive action, it can be promoted to a full CAPA in the Gold Safety platform. CAPAs include both corrective action (fixing the current problem) and preventive action (preventing recurrence).

14 CFR §5.75 14 CFR §5.77 Gold Aviation SMS Manual §5.9

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 that track safety performance over time. Under 14 CFR §5.73, Gold Aviation Services must monitor and measure the performance of its SMS. SPIs are how we do that.

Types of SPIs used at Gold Aviation Services:

Reactive indicators — measure outcomes after they occur: accident rate, incident rate, CASS open rate, overdue corrective actions
Proactive indicators — measure safety activities: safety report submission rate, training completion rate, FRAT completion rate, SAG meeting attendance
Predictive indicators — identify leading signals: High FRAT scores per month, repeat findings in audits, near-miss frequency by category

SPI management in the Gold Safety platform:

SPIs are recorded in the SPI module with values, trend direction, and target thresholds
SPIs are reviewed at every SAG meeting and presented to the Safety Board quarterly
When an SPI trends adverse (moving away from target), it triggers an assessment of whether a CASS is warranted
SPIs are a key data input for the annual Safety Board review and the Training Effectiveness Log

Regulatory basis: 14 CFR §5.73 requires monitoring and measurement of SMS performance. AC 120-92B §5.3 describes SPI development and use. SMICG Component 3 (Safety Assurance) evaluation criteria 3.1 through 3.4 specifically assess whether SPIs are defined, tracked, and acted upon.

14 CFR §5.73 AC 120-92B §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' systematic audit process for evaluating whether the SMS and operational programs are functioning as intended. Under 14 CFR §5.77, we must have a process to ensure our SMS is performing effectively. The IEP audit is how we provide that assurance.

IEP audit types in the Gold Safety platform:

SMS Element audits — evaluate specific SMS components against 14 CFR Part 5 and SMICG criteria
CASS audits — review the CASS process for completeness, timeliness, and effectiveness (AC 120-79A aligned)
Operations audits — evaluate flight operations procedures and compliance
Maintenance audits — evaluate maintenance program compliance
Full SMS self-evaluation — annual comprehensive review against SMICG evaluation criteria

Audit execution process:

1

Plan

Select audit type, assign auditor, set date, notify auditees. Prepare the checklist from the Gold Safety platform IEP module.

2

Execute

Complete checklist items. Document observations. Note findings (gaps, deficiencies) and positive practices. Gather objective evidence.

3

Document

Enter findings in the Gold Safety platform. Each finding gets a risk rating, description, and evidence reference.

4

Corrective Action

For each finding that requires action, open a CASS. Link the finding to the CASS in the platform.

5

Report & Review

Present audit results to the SAG. Track CASS items to closure. Document closure in the audit record.

14 CFR §5.77 AC 120-92B §5.4 AC 120-79A Gold Aviation SMS Manual §5.14

5

SMICG Compliance

The four components, evaluation criteria, and evidence documentation

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The SMICG (Safety Management International Collaboration Group) evaluation tool provides the criteria used to assess SMS maturity against ICAO Annex 19. It is the framework Gold Aviation Services uses to evaluate its own SMS and the standard against which external evaluators (including the FAA) assess compliance.

The SMICG tool is organized around the four ICAO Annex 19 SMS components:

Component 1

Safety Policy & Objectives

Safety policy, accountabilities, key safety personnel, emergency response planning, SMS documentation. Criteria 1.1.1–1.5.1.

Component 2

Safety Risk Management

Hazard identification, risk assessment, risk controls, Management of Change. Criteria 2.1.1–2.3.1.

Component 3

Safety Assurance

Safety performance monitoring, SPIs, internal audit, management of change. Criteria 3.1.1–3.4.1.

Component 4

Safety Promotion

Training program, effectiveness measurement, human factors, individual competence, trainer competence, safety communication. Criteria 4.1.1–4.2.1.

Evidence documentation: For each SMICG criterion, you need documented evidence that the process exists and is functioning. Common evidence types include:

Policy documents and signed safety policy
Training records and completion logs
Safety report logs and CASS records
SPI data and trend reports
Audit records and finding/closure documentation
SAG and Safety Board meeting minutes
SMS Manual (controlled, current revision)

Compliance deadline: Gold Aviation Services must achieve full 14 CFR Part 5 compliance by May 28, 2027. The SMICG evaluation tool provides the roadmap. Gaps identified through self-evaluation should be addressed through the CASS process with documented corrective actions and target closure dates before the deadline.

14 CFR Part 5 ICAO Annex 19 SMICG Evaluation Tool AC 120-92B FAA Part 5 Final Rule

6

The Annual SMS Cycle

Training dispatch, effectiveness review, and manual revision

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The annual SMS cycle is the recurring set of activities that keeps the SMS functioning, improving, and compliant. As Director of Safety, you own this cycle.

Annual cycle activities:

Training dispatch — dispatch all SMS training modules to eligible personnel. Track completion through the Gold Safety Training platform. Follow up on overdue assignments. Complete the Training Effectiveness Log.
Training effectiveness review — after each training cycle, review quiz performance by module and role group. Identify topics where aggregate scores fell below 80%. Update training content for the next cycle based on findings. Document in the Training Effectiveness Log.
SPI annual review — compile full-year SPI data for the annual Safety Board. Identify trends, compare against targets, identify areas for improvement.
Full SMICG self-evaluation — conduct the annual comprehensive SMS self-evaluation against the SMICG criteria. Document gaps as CASS items. Update the gap closure plan.
SMS Manual revision — review the SMS Manual for accuracy and currency. Initiate a formal revision if content changes are needed. Update the revision log and notify all personnel of changes.
Safety Board annual meeting — present the annual safety performance summary, training effectiveness results, SMICG compliance status, and priorities for the next year.

Record retention: All SMS records — safety reports, CASS, audit findings, training records, SPI data, SAG and Safety Board minutes — must be retained for a minimum of 24 consecutive calendar months per 14 CFR §5.97. The SMS Manual and policy documents are retained indefinitely as controlled documents.

14 CFR §5.91 14 CFR §5.93 14 CFR §5.97 SMICG 4.1.1–4.2.1 Gold Aviation SMS Manual §5.12

Safety Manager:SMS Administration

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Safety Manager:
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