SMS - Safety Management Systems

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SMS - Safety Management Systems

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SMS - Safety Management Systems

  1. 1. Safety Management SystemAviation Technology Solutions
  2. 2. Agenda 1. SMS • Defined • Purpose • What it is and what it isn’t 2. Case for SMS 3. SMS Fundamentals 4. Guidance, Tools & Implementation 5. Recommended way to Implement SMSAviation Technology Solutions
  3. 3. FAA Definition “SMS” “an SMS is a formalized approach to managing safety by developing an organization-wide safety policy, developing formal methods of identifying hazards, analyzing and mitigating risk, developing methods for ensuring continuous safety improvement, and creating organization-wide safety promotion strategies.”Aviation Technology Solutions
  4. 4. Better Definition? “SMS” Systematic and comprehensive process for the proactive management of safety risks that integrates operations, technical services with financial and human resource management.Aviation Technology Solutions
  5. 5. SMS Purpose • Systems approach to control risk • More effective assurance controls • Meet statutory safety requirements (title 49) • FAA means to evaluate management capability • Proactive application of technical and management skills to identify and control hazards o Traditional approach concentrates on technical o SMS adds emphasis on management elementsAviation Technology Solutions
  6. 6. What SMS is and is not… What SMS is: What SMS is not: Compliance is integral to safety Substitute for compliance management Effective interface for safety Substitute for oversight management Systems approach Replacement for system safety Decision making processes for senior Requirement for a new department and line managementAviation Technology Solutions
  7. 7. ICAO Annex 6 and 14 • States shall establish State safety program to achieve acceptable level of safety in civil aviation. • Framework for implementation and maintenance contained in Safety Management Manual (SMM) (Doc 9859). • Acceptable level of safety established by State.Aviation Technology Solutions
  8. 8. FAA SMS for Air CarriersAviation Technology Solutions
  9. 9. FAA SMS for AirportsAviation Technology Solutions
  10. 10. Case for SMSAviation Technology Solutions
  11. 11. Safety Management System • Infuse safety into entire system  People  Tools Management levels  Procedures  Materials  Equipment  Software Protection Production • Maintain balance of production and protectionAviation Technology Solutions
  12. 12. Safety vs. Production Financial Bankruptcy Management Protection un-rocked boat Safety Catastrophe Management ProductionLife of systemAviation Technology Solutions
  13. 13. Ramp Damage - Big $$$ For Operators Aileron & Tab Assembly $183,545 Outboard Flap Assembly $255,845Parts prices only Elevator Inboard Flap Assembly Assembly $224,872 $264,708 Cargo Door $58,327 Main Entry Door $171,220 L.E. Slat Assembly $52,863Radome $19,712 Wingtip Assembly $28,872 TAT Probe Side cowl $6,583 $161,407 AOA Vane Pitot Static Probe Inlet Cowl $329,203 8 $4,300 $5,157 Inlet Cowl Segment $5,151 Aviation Technology Solutions
  14. 14. Accident and Incident Cost! Direct costs Indirect costs • Loss of aircraft • Loss use of equipment • Injuries/death of flight • Loss of staff crew & passengers  Involved in accident issues • Insurance deductibles  Lower productivity • Costs not covered by • Investigation & clean-up insurance • Legal claims • Fines • Misplaced/stranded passengers • Negative media exposure "Airfield incidents/accidents represent ~$ 3.5 B annual cost to industry."Aviation Technology Solutions
  15. 15. Income lost Event Direct Indirect Catering truck hits airplane $17,000 $230,000 Jet way hits airplane $50,000 $600,000 Landing event $1,900,000 $4,800,000Aviation Technology Solutions
  16. 16. Accidents Cost Small Operators, Too Claim Flight Training Fixed Wing Air Helicopter Operation Taxi Operation Air Taxi Forced landing $150,000 $300,000 $900,000 (aircraft destroyed) Propeller makes $20,000 $30,000 $150,000 contact with object on ground Hangar Rash $5,000 $10,000 $35,000 Flight cancellation $500-1,400 $3-5,000 $8-10,000 per dayAviation Technology Solutions
  17. 17. Aviation Drove Down Accident Rate • Regulations, Policies and Programs • Aircraft and System Design • Crew Resource Management • Human Factors • Data Collection, Analysis and Corrective Action • Safety Culture and Risk Management • Training • Safety Management System – SMSAviation Technology Solutions
  18. 18. Where Aviation Accidents Take Place Annual worldwide ramp accidents and incidents 1 per 1,000 departures.Aviation Technology Solutions
  19. 19. Human Error and Operations• 75% mishaps due to human error• Type of Errors Vary  Perception  Memory Lapses  Slips  Wrong Assumption  Technical Misunderstandings  Procedure Violations• Safety Culture• Decision Making• Latent ConditionsAviation Technology Solutions
  20. 20. Heinrich Safety Triangle Human Error Causal Factors and Latent Conditions Personal Equipment Training Culture Procedures Organizational Factors DesignAviation Technology Solutions
  21. 21. Traditional approach – Preventing accidents Focus on outcomes (causes) Unsafe acts by operational personnel Attach blame/punish for failures to “perform safely” Address identified safety concern exclusively Identifies: WHAT? WHO? WHEN? But not always discloses: WHY? HOW?Aviation Technology Solutions
  22. 22. SMS Strategies Reactive Proactive Predictive (Past) (Present) (Future) Actively seek Analyze Respond to identification of system Incidents and hazardous processes and accidents that have conditions environment to already through analysis identify potential happened of organization’s future problems processesAviation Technology Solutions
  23. 23. SMS FundamentalsAviation Technology Solutions
  24. 24. SMS Components 1. Policy & Objectives 2. Risk Management 3. Safety Assurance 4. Promotion Policy Risk Safety Management Assurance Safety PromotionAviation Technology Solutions
  25. 25. SMS Design Attributes Processes must have attributes built in • Responsibility: accountable activities + quality • Authority: power to accomplish activities • Procedures: clear instructions for employees • Controls: ensure activities produce correct outputs • Process Measures: measure processes & results • Interfaces: Manage processes & relationships between employees, organization and with contractors, vendors, customers, other organizationsAviation Technology Solutions
  26. 26. SMS Attributes and Management • SMS attributes align with management process:  Planning: Procedures  Organizing: Procedures, Responsibilities & Interfaces  Directing: Responsibilities & Authority  Controlling: Process Measures & Controls • Documented in SMMAviation Technology Solutions
  27. 27. SMS Component 1 Policy • Management safety commitment and strategy. • Framework to put organization & responsibility in place. • Objectives:  Leadership  Training  Measurable Safety Targets  Lessons Learned  Non-Punitive Reporting System • Manage safety same way as other areas. • Judgment, assessing priorities, and making decisions.  Like all management decision makingAviation Technology Solutions
  28. 28. Corporate Safety Culture Policy • Organization’s DNA (Structure) • Ingrained in operating norms • Resources to maintain safe and efficient operations • Acknowledge safety concerns Safety Safety Safety and suggestions: Assurance Promotion Culture  Give feedback on decisions  If no action contemplated, decision is explained  Feedback is timely, relevant Risk and clear ManagementAviation Technology Solutions
  29. 29. SMS Component 2 Safety Risk Management (SRM) Risk Matrix Model • Systematic, explicit, & comprehensive approach for managing risk throughout organization. • Five Phases 1. Describe System 2. Identify Hazards 3. Determine Risk 4. Assess & Analyze Risk 5. Treat Risk - MitigateAviation Technology Solutions
  30. 30. SMS Component 3 Safety Assurance • Collect and analyze information to determine that process requirements are continuously being met. • Assess performance and Risk controls effectiveness • Works in partnership with Risk Management. • Program audits  Internal  External • Lessons learned • Adequate resourcesAviation Technology Solutions
  31. 31. SMS Component 4 Safety Promotion • Training & education • Safety competency & continuous improvement • Safety communication • Safety culture – core valueAviation Technology Solutions
  32. 32. Culture Management Employees Communication Informed: People understand hazards & risks Learning: Company learns from mistakes. Staff updated on safety issues by management. Just: Employees know what is acceptable & unacceptable behavior. Reporting: All personnel freely share critical safety information.Aviation Technology Solutions
  33. 33. Positive Safety Culture 1. Senior management commitment 2. Senior management visibility 3. Safety accountability framework 4. Safety policy, goals, objectives, standards, and performance 5. Effective employee safety reporting system 6. Safety information system 7. Resource commitmentAviation Technology Solutions
  34. 34. Commitment to SMS • Documents alone will not guarantee development of positive safety culture. • Employees must see evidence of management commitment. Management Attitudes & Actions = most important factor.Aviation Technology Solutions
  35. 35. SMS Depends on Data Quality• Reports/Facts - what exists or happening now• Inferences (Interpretations)  What’s likely to happen in future, based on what’s happening now  Conclusions based on facts• Judgments  Value  Quality assessments  Good, bad, acceptable, unacceptable of what is or will exist or happenAviation Technology Solutions
  36. 36. Continuous Improvement SMS continuous improvement through • Safety and Quality Policies • Safety Objectives • Audit & Evaluations • Analysis of Data • Corrective and Preventive Actions • Management ReviewsAviation Technology Solutions
  37. 37. Management Review Top management conduct regular reviews of SMS • Outputs of SRM & SA • Lessons learned • Need for changesAviation Technology Solutions
  38. 38. SMS Guidance, Tools and ImplementationAviation Technology Solutions
  39. 39. SMS Guidance and Tools • ICAO Doc 9859: Safety Management Manual (SMM) • FAA Order 8000.369: FAA SMS Guidance • FAA AC 120-92A (Air Carriers) • FAA Order 5200.11 FAA Airports SMS • FAA AC 150-5200/37 (Airports) • TRB Airport Cooperative Research Board • Voluntary Implementation Guidance (Multiple Docs)Aviation Technology Solutions
  40. 40. SMS Implementation Process Continuous 4 Improvement Processes Proactive 3 Processes Reactive 2 Processes Planning & 1 Organization Readiness Orientation & 0 CommitmentAviation Technology Solutions
  41. 41. First Steps Safety Culture & Gap Analysis• Assess Culture  Surveys and Observations  Organizational Interviews  Review of Policies, Procedures, Processes & Data  Analysis & Assessment• Safety Gap Analysis  Compare with SMS Principles  Compare Baseline with Requirements Good gauge of safety culture is  Document Results "How we do things around here.”• Plan Survey ExampleAviation Technology Solutions
  42. 42. 2nd Step Three Simultaneous Activities Implement SMS SMS Manual Hazard Reporting & SMS Manager  Policies  Standalone  Objectives  ACM  S/W App  Procedures  Attributes  Web Based  SRM  Responsibility  Collect Safety  SA  Authority Data  Promotion  Procedures  Manage  Process Events Measures  Assess Risk  Interfaces  Mitigate  Document  PromoteAviation Technology Solutions
  43. 43. When Completed Safety Promotion ORGANIZATIONAL SAFETY CULTURE ORGANIZATIONAL SAFETY CULTURE Safety Policy Identified New Hazards SRM Safety Identify hazards Assurance Analyze, assess, Monitor NAS & knowingly accept, mitigations through: Audits & Evals and mitigate risk Trends Analyses Monitoring plans Data Tracking Safety Risk Mitigations Monitoring SMS Implementation Plan Safety CommunicationsAviation Technology Solutions
  44. 44. SMS Will… • Establish meaningful safety policies, goals and objectives • Create individual accountability for safety • Demonstrate leadership regarding safety principles • Launch processes for risk measurement, hazard identification and mitigation • Develop collegial interactive teams & improved communications process • Implement non-punitive reporting; encourage “lessons learned” • Fewer accidents and incidents • Reduce injury and damage claims costs; better productivity • Lower Operating CostsAviation Technology Solutions
  45. 45. Documented SMS Success Stories • Conair - Occupational Health and Safety costs:  Went from +30% to –30% of industry average  Saved $1,000 per employee year one  Insurance Premiums stayed constant did not rise like their competition • Air Transat saving over $1 million per month • Skyservice saved $5 million in 1st yearAviation Technology Solutions
  46. 46. 4720 Montgomery Lane Suite 950 Bethesda, MD 20814 www.jdasolutions.aero 301-941-1460Aviation Technology Solutions

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