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CORRECTED DRAFT STATEMENT OF WORK FOR Technical Assistance to the Federal Aviation Administration (FAA) Office of Airports (ARP) to develop and implement Safety Management System (SMS) within ARP 1.0 BACKGROUND 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 performance. 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 nonconformance. 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 encouraged. ix. Safety is a core value of the organization that endures over time, even in the face of significant personnel changes at any level. x. Willingness to recognize when basic assumptions should be challenged and changes are warranted – an adaptive and agile organization. xi. Decisions are made based on knowing the risk involved in the consequences of the decision. 1.1 CONTRACTING OFFICER’S TECHNICAL REPRESENTATIVE (COTR): 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 2.0 SCOPE OF WORK 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. 3.0 REQUIREMENTS 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 CRITERIA 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 comments. 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 years 5.0 KEY PERSONNEL AND QUALIFICATION REQUIREMENTS 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.) LABOR CATEGORY QUALIFICATION REQUIREMENTS 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 field. 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 airports. 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 discipline. 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 discipline. 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 Management. 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 sector. 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 effectively. 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. 6.0 GOVERNMENT FURNISHED EQUIPMENT (GFE) 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. 7.0 PERIOD OF PERFORMANCE Period of Performance is effective the date of this award and continues for 365 days. 8.0 HOURS OF PERFORMANCE 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. 9.0 PLACE OF PERFORMANCE 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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