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draft SMS SOW by 40w5eK8


									                         CORRECTED DRAFT
                              STATEMENT OF WORK
 Technical Assistance to the Federal Aviation Administration (FAA) Office of Airports
   (ARP) to develop and implement Safety Management System (SMS) within ARP


In November 2005, the International Civil Aviation Organization (ICAO) amended
Annex 14, Volume I (Aerodrome Design and Operations), to require member states to
have certificated international airports establish a Safety Management System (SMS).
The FAA supports harmonization of international standards and has worked to make U.S.
aviation safety regulations consistent with ICAO standards and recommended practices.
The FAA is committed to implementing SMS throughout the agency. The Air Traffic
Organization (ATO) was the first FAA line of business (LOB) to implement SMS
throughout its organization. ARP needs to develop an SMS system for its organization.
The ARP SMS must:

         a. Integrate core SMS components and elements throughout the ARP line of
         business including Headquarters, Regional offices, Airport
         District offices and thoroughly address items delineated in this SOW.
         b. Apply and integrate a formalized safety risk management process into federal
         actions under the purview of ARP.
         c. Integrate with SMS processes developed under other FAA Lines of Business
         including Air Traffic (ATO) and Aviation Safety (AVS).

      Elements of SMS.
      The four elements of an SMS are safety policy, safety risk management, safety
      assurance, and safety promotion. The elements of each are detailed below.

         1. Safety Policy –
               a. Sets out what the organization is trying to achieve through its SMS.
               b. Outlines the requirements, methods and processes the organization
                   will use to achieve the desired safety outcomes.
               c. Establishes senior management’s commitment and expectations that
                   the organization will incorporate and continually improve safety in all
                   aspects of the business and business processes. The safety policy
                   further establishes senior management’s expectation of high safety
               d. Reflects management’s commitment to implementation procedures
                   and processes for establishing and meeting safety objective that are
                   measurable and attainable, and support promotion of a safety culture.
         2. Safety Risk Management –
               a. Safety risk management is used to assess system design and verify that
                   it adequately controls, risk; safety risk management is integrated into
                   applicable processes. Validation of system performance and
          effectiveness of implemented risk controls and risk management
          strategies occurs under the safety assurance element, discussed below.
          A formal safety risk management process –
                i. Describes the system of interest.
               ii. Identifies the hazards.
              iii. Analyzes the risk.
              iv. Mitigates the risk to an acceptable level.
      b. Safety risk management provides for initial and continuing
          identification of hazards and the analysis and assessment of risk.
          Appropriate risk controls or other risk management responses are
          developed and implemented.
      c. FAA provides risk controls through activities such as the promulgation
          of regulations, standards, orders, directives, and policies.
3. Safety Assurance –
      a. The safety assurance process continually ensures risk controls achieve
          their intended objectives and assesses activity to identify new hazards
          throughout the system life cycle. New hazards may be those not
          identified during the Safety Risk Management process or those
          introduced by the risk controls. This includes assessment of the need
          for new risk controls or to eliminate or modify risk controls that are
          ineffective or are no longer needed due to changes in the operational
          environment. Every SMS includes a process for continuously
          monitoring systems of interest to assure that risk controls are being
          applied and working as intended as well as to identify new hazards or
          the need to change risk controls or other risk management responses.
          These monitoring activities apply to an SMS whether the operations
          are accomplished internally or outsourced.
      b. The safety assurance processes include –
                i. Information acquisition.
               ii. Analysis.
              iii. System assessment.
              iv. Development of preventative/corrective action for
4. Safety Promotion –
      a. Safety promotion includes the actions taken to create an environment
          where safety objectives can be achieved. The key objective is a
          positive safety culture, characterized by an adequate knowledge base,
          competency, tools, communications, training, decision making, and
          information sharing. All levels of management will actively promote,
          and provide the leadership to ensure a positive safety culture.
      b. A safety culture is the product of individual and group values,
          attitudes, competencies, and patterns of behavior that determine the
          commitment to, and the style and proficiency of, an organization’s
          safety programs. In the desired safety culture, people acknowledge
          their accountability and act on their individual responsibility for safety.
          They trust, use, and rely on the organization’s processes for managing
                 safety. The environment is characterized by good communication
                 between management and personnel, and people continue to learn and
                 develop through training and coaching.
              c. Attributes of a positive safety culture are –
                       i. Competent personnel who understand hazards and associated
                          safety risk, are properly trained, and have the skill and
                          experience to ensure safe products/services are produced.
                      ii. Individual opinion is valued within the organization and
                          personnel are encouraged to identify threats to safety and to
                          seek the changes necessary to overcome them.
                    iii. An environment where people are encouraged to develop and
                          apply their skill and knowledge to enhance safety.
                     iv. Processes to analyze information from employees’ reports,
                          assess their content, develop actions as necessary and
                          communicate results to the workforce and the public.
                      v. Effective communications, including a non-punitive
                          environment for reporting safety concerns.
                     vi. There are clear standards of behavior where there is a
                          commonly understood difference between acceptable and
                          unacceptable actions.
                    vii. Adequate resources to support the commitment to safety.
                   viii. A process for sharing safety information to develop and apply
                          lessons learned with regard to hazard identification, safety risk
                          analysis and assessment, safety risk controls, and other safety
                          risk management responses. Sharing of information related to
                          corrective actions, and results of management reviews is
                     ix. Safety is a core value of the organization that endures over
                          time, even in the face of significant personnel changes at any
                      x. Willingness to recognize when basic assumptions should be
                          challenged and changes are warranted – an adaptive and agile
                     xi. Decisions are made based on knowing the risk involved in the
                          consequences of the decision.


The Contractor Officer’s Technical Representative (COTR) is formally designated this
responsibility by the Contracting Officer to provide technical direction and Government
oversight to the contractor on matters related to this contract.

The COTR is: TBD
Technical assistance support contract services are required by the Associate
Administrator for Airports (ARP) to establish a SMS within its organization. SMS is an
integrated collection of processes, procedures, and programs that ensures a formalized
and proactive approach to system safety through risk management. SMS provides for a
closed-loop system, ensuring that all changes are documented and all safety related
problems or issues are tracked to conclusion. When properly implemented, an SMS
establishes a safety philosophy or culture that permeates through the entire organization
as it monitors and continuously improves operational safety.


The contractor shall review other FAA lines of business’ efforts to integrate SMS into
their organizational structures and processes including AVS and ATO. Provide technical
assistance for development and implementation of the ARP SMS in accordance with the
four elements of SMS defined in paragraph 1.0 as safety policy, safety risk management,
safety assurance and safety promotion. The contractor may also be required to interface
with various FAA, U.S. Government and International Organizations, the aerospace
community, airport sponsors, the public and other Government contractors.

3.1 Labor Categories and Skill Sets: It is anticipated that this contract will require
   various personnel to meet specific labor categories described as follows:

       2.1   Senior Program Manager
       2.2   Documentation/Technical Operations Specialist
       2.3   Safety Management Specialist (2)
       2.4   Airport Management Specialist (2)
       2.5   Safety Engineer Sr.
       2.6   Airport Planner
       2.7   Training Specialist
       2.8   Communication Specialist

3.2    Documentation: The contractor shall update and maintain all pertinent
       Government documentation as described herein and all other documentation
       required by FAA government personnel. Documentation should be available in
       hard copy and electronic format.

3.3    TASK 1
       The contractor shall develop processes and procedures to ensure integration of
       SMS within the airport line of business.

3.4     TASK 2
        The contractor shall prepare an ARP SMS Implementation Plan: The plan shall
include        as a minimum.
3.4.1 Descriptions and illustrations of the functions ARP must perform to implement
      SMS at all levels including Headquarters, Regional offices, and airport District
      Offices. Identify and discuss how the SMS process applies to ARP functions
      including what requirements under the safety risk management component apply
      to key functions such as development of new Advisory Circulars, generation of
      Modification to Standards, and development of airport projects under AIP or other
      like/equivalent federal programs comparable to AIP. This should include a
      discussion of when in the process the Safety Risk Management Document
      (SRMD) is completed, who holds responsibility for completing the document,
      how should analysis and documentation is coordinated with other FAA Lines of
      Business, and the process for SRMD review and approval.

3.4.2    Identification of the new staffing resources throughout the organization,
        including Headquarters, Regional Offices and Airport District Offices, that will be
        required to effectively implement requirements under the ARP SMS.

3.4.3 Prepare an SMS training plan and schedule to train the necessary people required
      to know, understand, and apply requirements under the ARP SMS. The training
      plan should identify:

               a. Who should be trained
               b. What training is required
               c. How SMS training curriculum and lessons plan can be incorporated
                  into the FAA training program at the FAA Academy in Oklahoma City
               d. A training schedule
               e. Reoccurring training methods and tools
               f. Training documentation

3.5     TASK 3.
        The contractor shall develop an ARP SMS Order that fully explains policies,
        procedures, and requirements under ARP SMS. The SMS Order should be
        consistent with the Implementation Plan developed under Task 2. The Order shall
        clearly describe the SMS system, who is responsible for SMS actions,
        requirements for creating SMS documents including SRMDs, approval of
        documents, required under the SMS, and when SRM analyses must be conducted.

3.6     TASK 4.
        The contractor shall develop an SMS Manual. The ARP SMS Manual should
        provide more detail into process and procedure requirements that would be found
        in the ARP SMS Order. For example, the ARP SMS Manual should clearly
        describe how to write a SRMD or how to conduct SRM on given ARP processes.
        It should include templates of typical SRM documents such as SRMDs, and
        include enough detail so the ARP personnel will understand the purpose of the
        document, what needs to be included in the documents.

3.7     TASK 5.
       The contractor shall develop an Advisory Circular (AC) to explain how to
       develop an SRMD for airport development projects. The AC should clearly
       explain what type of AIP projects require completion of an SRMD, when in the
       project process a safety risk analysis must begin and when an SRMD should be
       completed, and what SRMD should contain. The AC should include a template
       for airports and their consultants to use in completing the SRMD.

3.8    TASK 6.
       The contractor shall support ARP SRM processes during initial integration of
       SRM into ARP’s processes. This includes providing logistic support before and
       after SRM panel meetings and documenting the processes followed and decisions
       made by the panel.

3.8.1 The contractor will develop best practices for SRM facilitation that may be
      integrated into an Advisory Circular issued at a later date. To develop these best
      practices, the contractor will review previously approved SRMDs, interview ARP
      personnel who have participated in SRM panels, and observe current/ongoing
      SRM panels.

3.9    TASK 7.
       The contractor shall submit monthly status reports no later than 2nd Friday of each
       month to the COTR. The reports shall be prepared in letter format, shall highlight
       the work performance from each task and subtask listed in paragraphs 3.3 – 3.9
       along with related activities accomplished during the month and the
       planned/expected activities for the next month. The report must include financial
       report of status of the current funding levels and shall include current labor hours
       and dollars.

4.0 DELIVERABLES : The contractor shall provide electronic version of each
   deliverable listed in Table 4-1. If required by the COTR, the contractor shall furnish
   electronic version on CD ROM. All deliverables unless otherwise specified and/or
   agreed to shall be produced using standard MS Office applications (i.e. Word, Excel,
   PowerPoint, Project, Access). Table 4-1 below lists the specific deliverables and
   work products anticipated to be prepared, maintained, and delivered by the contractor
   at this time. The table indicates the item to be delivered, whether a draft is required,
   acceptance criteria, due date, and special comments.

                             Table 4-1 Special Deliverables

      TASK             ACCEPTANCE               DESCRIPTION               DUE DATE
 Para 3.4 (Task 2)    AAS/ARP Program         SMS Implementation       Draft NLT 60 days
                      Manager Approval        Plan in accordance       ARO
                                              with language            Final NLT 15 days
                                              referenced in the task   after receipt of ARP
                                              identification           review and
                                         paragraph              comments
Para 3.4.3 (Task 2)   AAS/ARP Program    SMS Training Plan      Draft NLT 120
                      Manager Approval   in accordance with     days ARO
                                         language referenced    Final NLT 15 days
                                         in the task            after receipt of ARP
                                         identification         review and
                                         paragraph              comments
 Para 3.5 (Task 3)    AAS/ARP Program    SMS Order in           Draft NLT 90 days
                      Manager Approval   accordance with        ARO
                                         language referenced    Final NLT 30 days
                                         in the task            after receipt of ARP
                                         identification         review and
                                         paragraph              comments
 Para 3.6 (Task 4)    AAS/ARP Program    SMS Manual in          Draft NLT 90 days
                      Manager Approval   accordance with        ARO
                                         language referenced    Final NLT 30 days
                                         in the task            after receipt of ARP
                                         identification         review and
                                         paragraph              comments
 Para 3.7 (Task 5)    AAS/ARP Program    SMS Advisory           Draft NLT 90 days
                      Manager Approval   Circular in            ARO
                                         accordance with        Final NLT 30 days
                                         language referenced    after receipt of ARP
                                         in the task            review and
                                         identification         comments. Final
                                         paragraph              Draft AC ready for
                                                                industry comments
                                                                30 days after
                                                                receipt. Review
                                                                and resolve industry
                                                                comments 30 days
                                                                after receipt of
                                                                comments. Final
                                                                AC ready for
                                                                General Counsel
                                                                review 60 days after
                                                                receipt of

Para 3.8   (Task 6) AAS/ARP Program      Continuing technical   As needed for 1
                    Manager Approval     support for SRM        year from ARO and
                                         panel meetings         up to 2 options
The positions and the minimum qualifications considered necessary for performance of
the work are listed below: (Labor category identified with an asterisk * denotes resumes
are required for the evaluation process.)
Senior Program Manager (*)      The Senior Program Manager will oversee and
                                coordinate all efforts for constructing and implementing
                                SMS for airports and work directly with the contracting
                                officer and the contracting officer technical
                                representative and other government management
                                personnel and customers. Manage and direct the daily
                                execution of program and contractual requirements so
                                that program cost and schedule goals are met.
                                Responsible for executing program management
                                processes and procedures in order to meet contract
                                milestones and timelines.
                                The Senior Program Manager must have a minimum of
                                (12) years experience.
                                Education: Masters Degree in technical or management
Sr. Safety Engineer (*)         The Safety Engineer Sr. role is to be the primary
                                contributor to identifying methods to oversee
                                implementation of the SMS pillars, e.g. Safety Policy,
                                Safety Assurance, Safety Risk Management, and Safety
                                Promotion for airports. The principle engineer shall be
                                responsible for ensuring the SMS aspects of each pillar is
                                addressed appropriately in accordance with SOW
                                requirements. Additionally, the Safety Engineer Sr. shall
                                be the primary subject matter expert for addressing
                                overall training requirements, hazards, risks and safety
                                mitigations procedures, processes and hazard tracking
                                systems as it relates to SMS implementations across
                                The Safety Engineer Sr. must have a minimum of five
                                (5) years experience.
                                Education: Bachelor Degree in Safety
                                Management/Engineering or equivalent safety field or
Airport Planner (*)             The Airport Planner role shall be the primary consultant
                                and subject matter expert for processes and procedures
                                related to airport planning. This would include
                              integrating SMS processes and procedures relating to
                              advance planning and programming of airport projects.
                              Responsibilities will involve reviewing project under
                              development and any future project for conformation or
                              reconciliation with Airport Master Plans to ensure they
                              meet requirements based on introduction of SMS.
                               The Airport Planner must have a minimum of five (5)
                              years experience.
                              Education: Bachelor Degree in Aviation/Airport
                              Management, Civil Engineering or directly related
Safety Management             Safety Management Specialist will be responsible for
Specialist(*)                 applying safety management principles to investigate,
                              analyze, plan, design, develop, test, evaluate and
                              implement SMS across the airport line of business.
                              Applying expertise to perform functions related to SMS
                              integration, management, promotion and quality
                              assurance. Developing SMS training material and
                              packages and safety awareness material for airports.
                              Safety Management Specialist may be called to teach
                              SMS training to various airport audiences.
                              The Safety Management Specialist shall have five (5)
                              years of experience in aviation/airport safety
                              management or related discipline.
                              Education: BS in Aviation/Airport Safety or
Training Specialist(*)        Training Specialist shall be responsible for SMS training
                              from inception to completion. They will be required to
                              consult and collaborate with the Safety Engineer and all
                              personnel in the airport line of business in order to
                              analyze and establish training needs for implementing
                              SMS. Responsible for researching, collecting and
                              analyzing training data in order to fulfill training needs
                              based on classroom, self-study and electronic means of
                              training transfer.
                              Training Specialist shall have five (5) years of
                              experience developing and administering training
                              preferably in the aviation/airport environment.
                              Education: BS in Adult Education, Training or
                              Organization Development.
Communication Specialist(*)   The Communication Specialist shall be responsible for
                              management and integration of the marketing campaign
                           to ensure the safety promotion aspects of SMS is
                           accomplished. They shall work closely with the program
                           manager and safety engineer to achieve highly effective
                           marketing campaign to ensure the safety promotion pillar
                           of SMS is thoroughly addressed. Responsible for
                           developing and supervising the outreach efforts to
                           targeted audience to effectively address SMS in specific
                           organization among the airport line of business.
                            The Communication Specialist shall have five (5) years
                           of experience promoting or advocating communication
                           practices in industry, preferably in the aviation/airport
                           Education: BS from an accredited college or university
                           with major work in English, Journalism, Public or
                           Business Administration or other closely related field.
Airport Management         The Airport Management Specialist shall be subject
Specialist (*)             matter experts from the standpoint of addressing
                           integration of SMS activities related to airport
                           operations, safety, and management of airfield and
                           landslide environments. Understand the application of
                           FAA guidance such as advisory circulars, handbooks,
                           orders and related aviation/airport regulatory guidance.
                           The Airport Management Specialist shall have 5 years
                           experience working in airports as an airport manager,
                           operations officer or equivalent areas in the
                           aviation/airport industry.
                           Bachelor of Science in Aviation/Airport Management or
                           equivalent aviation/airport discipline.
Documentation/Technical    The Documentation/Technical Operations Specialist will
Operations Specialist(*)   be responsible for coordinating and preparing SMS
                           document packages for submission based on SOW
                           guidelines. They shall be responsible for retrieving,
                           organizing, analyzing and synthesizing complex subject
                           matter and transforming SMS information into easy to
                           understand public releasable guidance for specific
                           audiences. Responsible for constructing documents, both
                           technical and general, that clearly conveys information
                           The Documentation/Technical Operations Specialist
                           shall have three (3) to five (5) years experience in
                           documentation, quality control, or quality assurance.
                           Education: Bachelor’s Degree in Business or
                                Management or equivalent course of study.

The government will provide access to the FAA computer network as required. On an as
needed and when available basis, office/work space will be provided.

Period of Performance is effective the date of this award and continues for 365 days.


Support facility operations shall be maintained and be consistent with Government
personnel working hours Monday through Friday (excluding holidays) unless otherwise
specified. Primary hours of performance for contractor personnel, unless otherwise
specified, are between the hours of 8:00am to 5:00pm.

Government Facility Closure: In the event the government facility at any identified
location is closed due to a federal government directive (such as OPM, FAA, other), the
COTR may recommend to the CO – on a case-by-case basis – approval of contractor
charges for work based on the pre-existing work schedule for contractor employees at
that location.

The support services desired by FAA/AAS will be performed in Washington, DC, at the
regions, and at airports. The FAA will not provide office space for the contractor in FAA
facilities. All work should be done at the contractor’s facility.

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