Safety Management Systems (SMS) Fundamentals: Basics


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Welcome to the SMS Fundamentals presentation.
The core processes, elements and components that comprise a functional and robust Safety Management System will be explained.
These lessons will provide you a general understanding of the principles of a Safety Management System (SMS). Also it will provide you an understanding of the components, elements, and core processes that comprise a functional SMS.

Each organization must determine their safety needs and scale their SMS to meet those needs.

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Safety Management Systems (SMS) Fundamentals: Basics

  1. 1. Safety Management System (SMS) Fundamentals Federal Aviation Administration The Core Processes, Elements and Components of a Robust SMS Presented By: Flight Standards Version Date: Apr 1, 2012 Federal Aviation Administration SL-1
  2. 2. Subjects Covered: • Why SMS? • Case for SMS & Safety Fundamentals • SMS Fundamentals – Overview • SMS Details: • Policy Component • Safety Risk Management Component • Safety Assurance Component • Safety Promotion Component • SMS Guidance, Tools and Implementation Overview Federal Aviation Administration SL-2
  3. 3. What SMS is not and what it is… What it isn’t: What it is: A substitute for compliance Compliance is integral to safety management A substitute for oversight An effective interface for safety management A replacement for system safety SMS completes the systems approach A requirement for a new department A set of decision making processes for senior and line management Federal Aviation Administration SL-3
  4. 4. SMS, ATOS/NPG, SAS and QMS SMS • • Management System Only service provider can manage ATOS/NPG • • Oversight System Used to meet regulator responsibilities SAS • Safety Assurance System • FAA Future State System Safety Oversight across 14 CFR parts (121, 135, 145) Does SMS = QMS? • Same principles but different objectives • QMS Objective – Management driven – Customer satisfaction • SMS Objective – Management driven – Aviation safety focused Federal Aviation Administration SL-4
  5. 5. Federal Aviation Administration Why SMS? Federal Aviation Administration SL-5
  6. 6. Safety in aviation GA ACCIDENT RATE PER 100KHR 1927 - 1999 250 200 What we understand: 150 100 50 19 30 19 34 19 38 19 43 19 47 19 51 19 55 19 59 19 63 19 67 19 71 19 75 19 79 19 83 19 87 19 91 19 95 19 99 0 – Our record is a good one. – Why Change? Federal Aviation Administration SL-6
  7. 7. Attributed to Dr. Malcolm Sparrow Things that are illegal Things that cause harm Federal Aviation Administration SL-7
  8. 8. What is safety? • Freedom from harm (Dictionary) • Safety is not equivalent to risk free (U.S. Supreme Court, 1980) • “Risk management” is a more practical term than “safety.” (Jerome Lederer ,1928) • “Carelessness and overconfidence are more dangerous than deliberately accepted risk”. (Wilbur Wright, 1901) • Practical safety is risk management Federal Aviation Administration SL-8
  9. 9. Definition of Safety “Safety is the state in which the risk of harm to persons or property is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and risk management” ICAO Doc 9859 Federal Aviation Administration SL-9
  10. 10. Safety Management Systems “A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures”. ICAO Doc 9859 Federal Aviation Administration SL-10
  11. 11. SMS Purpose and Methods Provides: – A systematic way to identify and control risk. – Assurance that risk controls remain effective. – A formal means of meeting Statutory requirements (Title 14) – The FAA a means of evaluating an organization’s safety management capability Federal Aviation Administration SL-11
  12. 12. System Safety • "The application of special technical and managerial skills in a systematic, forward looking manner to identify and control hazards throughout the life cycle of a project, program, or activity" (Roland & Moriarty, 1990) • Traditional approach concentrates on technical • SMS adds emphasis on management elements Federal Aviation Administration SL-12
  13. 13. ICAO Annex 6, Part I, International Commercial Air Transport • “From 1 January, 2009, States shall require, as part of their safety programme, that an operator implement a safety management system acceptable to the State of the Operator…” • FAA filed a difference with ICAO • Currently no FAA procedures to approve or accept an SMS Federal Aviation Administration SL-13
  14. 14. ICAO Annex 6, Part 1 (Amendment 33) Amendment 33 “… which will become applicable 18 November 2010” Note - The framework for a Safety Management System is contained in Appendix 7. • • • • 1. Safety policy and objectives 2. Safety risk management 3. Safety assurance 4. Safety promotion Applies to International Commercial Air Transport only Federal Aviation Administration SL-14
  15. 15. ICAO Annex 6, Part II, International General Aviation Section 3 Large Reciprocating and Turbo Prop airplanes, and all aircraft with one or more turbo jet engines (Over 5700kg [12566#] or Jet) • “An operator shall establish and maintain a safety management system that is appropriate to the size and complexity of the operation.” • “Recommendation – …SMS Minimum:” – ID Hazards, assess risk – Develop & imp remedial action [to] acceptable level of safety – Monitor & assess SM activities Federal Aviation Administration SL-15
  16. 16. ICAO State Safety Programme (SSP) • Annex 6 • ICAO Doc 9859, SMM AVS FAA Aviation Safety Office Safety Program = AVS SMS AVS LOB’s AFS Flight Standards • Order 8000.369; FAA SMS Guidance • Order VS8000.367; AVS SMS Requirements • Order 8000.368 FS Service Oversight • AC 120-92A; SMS for Avn. Svc. Providers • AFS Developmental Guidance Service Providers SMS • Safety Management System Federal Aviation Administration SL-16
  17. 17. Clarifying the “3 R’s” FAA’s Safety Management (Oversight) (SAS) Operator’s Safety Management System (External SMS) Roles, Responsibilities and Relationships: • FAA • Service Providers Operators Operational Processes Services Provided Federal Aviation Administration SL-17
  18. 18. Federal Aviation Administration Case for SMS & Safety Fundamentals Federal Aviation Administration SL-18
  19. 19. What is your company’s #1 objective? Achieve its production objectives! Federal Aviation Administration SL-19
  20. 20. Protection and Production • Safety Requirements – Title 49 USC 44702 “…the duty of an air carrier to provide service at the highest level of safety in the public interest” • Economic Authority – [Proposed operation must be] “…consistent with public convenience and necessity” – [Company must be] “…fit, willing and able to provide the service proposed” Federal Aviation Administration SL-20
  21. 21. Safety Management System • Infuses safety into all parts of the system – – – – – – People Tools Procedures Materials Equipment Software Management levels Protection Production • To maintain the balance of production and protection Federal Aviation Administration SL-21
  22. 22. U.S. and Canadian Operators Accident Rate by Year Fatal Accidents-Commercial Jet Fleet – 1959 Through 2007 50 … 40 Annual fatal accident rate (accidents per million departures) Technical Factors 30 Human Factors British Comet 1949 20 10 Organizational Factors 1954 Boeing 0 59 60 62 64 66 68 70 72 74 76 78 80 82 84 86 88 90 92 94 96 98 00 02 04 06 07 Adapted from Boeing (2008) Year Federal Aviation Administration SL-22
  23. 23. Organizational Culture Values Professional Norms National Culture Psychological Decision-making •Laws/Regulations •Industry Standards System/ Environment •Industry Norms •Business Relations •Markets Behavioral Performance Practices Federal Aviation Administration SL-23
  24. 24. Informed Decision Making Management and employees understanding hazards & risks Reporting: All personnel freely share critical safety information. Just: Employees must know what is acceptable & unacceptable behavior. Learning: The company learns from mistakes. Staff are updated on safety issues by management. Flexible: Organizational willingness to change. AC 120-92 Federal Aviation Administration SL-24
  25. 25. To Support a Sound Safety Culture: 1. Senior management commitment 2. Senior management visibility 3. Safety accountability framework 4. Safety policy, goals, objectives, standards, and performance 5. Resource commitment 6. Effective employee safety reporting system 7. Safety information system Federal Aviation Administration SL-25
  26. 26. Safety Management Strategies Reactive (Past) Proactive (Present) Predictive (Future) Responds to events that have already happened, such as incidents and accidents Actively identifies hazards through the analysis of the organization’s processes Analyzes system processes and environment to identify potential future problems SMS Federal Aviation Administration SL-26