So what does that mean?EASA expects that you operate within a culture of safety. They expect that you will have both executive and employee buy-in, and that you actively promote safety for yourself and for your customers.They expect you to have an integrated management system that allows you to capture, analyze, act and report on ALL aspects of safety within your control.They expect you to effectively understand and manage the risks associated with being an AOC holder and to be reactive, proactive and predictive in managing that risk.And you have to be able to effectively communicate your policies, processes, actions and analysis to both regulator and customer alike.So now I’ll hand you over to my colleague Michael Stokes who will take you through the rest of the presentation.
What is an SMSThe ICAO define an SMS as; a systematic approach to managing safety, including the necessary organisational structures, accountabilities, policies and procedures where providers are responsible for establishing a SMS. Local authority states are responsible of the acceptance and oversight for providers SMS.This can be in the form of your local CAA or larger Agency such as EASA, FAA, CASA.EASA have an expected deadlinefor SMS compliance, these deadlines are specific to your operation whether you’re an Airline, MRO or Airport. These dates are defined on the next slide and this is something that all accountable managers should be aware of and make a priority for action.As an operator, you will have a safety management manual in place – how does this differ from an SMS.A safety management manual (SMM) is the guidelines from the ICAO authority of a generic basic safety structure for aviation. This outlines the processes and policies that need to be defined within your organisation.The change from SMM to Safety Management Systems is a more defined identification to your organisation as an individual operation. It’s all about enhancing your safety awareness and processes to move forward with pro-active identification.
Hazard ReportingHazard reporting is the key foundation to identifying and assessing potential risks and threats within the organisation. Identification at the stage of a hazard can prevent a serious or fatal injury later down the line. Hazard standards are not the same for every organisation and different levels of acceptance may apply. Risk ReportingRisk reporting is the second stage from hazard identification; from this risks have been identified in the business. Risk identification and reporting process is all about minimising the potential harm or threat to life, property and the environment. You can use a number of techniques to manage the level of risk with your operations. This can be seen in the form of a risk matrix which is derived from a hazard log in stage 1. From an operational view risk can also be identified from ASR, MOR and incident and occurrence reporting which may lead to root cause identification.The resultThis pro-active, systematic approach to safety which means that hazards and risks are pro-actively managed and identified before they occur further minimizing and controlling risk.
An SMS is structured upon 4 components of safety managementThe first of these four pillars, safety policy, enables aviation organisations to establish and implement a procedural framework in which roles, responsibilities, authority and accountability can be established in order to implement safety management at all levels and in all areas of the organisation.Safety risk management, enables aviation organisations to identify hazards in order to analyse, assess and control safety risk throughout. Meanwhile, safety assurance, allows you to establish and maintain systematic processes for managing safety which assure that goals and objectives can be achieved, and which contribute to the continual improvement.Finally, safety promotion, involves the implementation of a corporate culture that develops and encourages adherence to best practices and contributes to the continual improvement of safety and quality.
SMS AdoptionSMS adoption is only possible with effective leadership and showing a pro-active interest in safety and consequences of safety. If management don’t buy into the concept of the SMS and start to develop a safety culture then subordinates wont follow and a safety culture will not survive. A clear defined process and time line should be discussed at the beginning to ensure that adoption is fully understood and actioned. Safety Policy And ObjectivesThe safety policy and objectives should clearly outline the Management commitment and responsibility. It should identify the Accountable person who has overall responsibility for the SMS within the organisation. The accountable manager is also responsible for communicating the Safety objectives to all key personnel and department managers within the organisation and ensuring they understand there roles and responsibilities with the SMS.Safety and quality – SMS uses quality management principles but the requirements are based on assessment of safety risk rather than customer satisfaction. These requirements must be defined and integrated into the safety policy documentation, vision and mission statement. Roles responsibilities and relationships – SMS acknowledges and helps enforce shared responsibility. It defines roles and relationships between all stakeholders involved in maintaining safe operations. This factor encourages communication between departments as safety operations normally overlap from other areas of the business. Executive management involvement – The primary characteristic of a SMS is it clarity in defining top managements personal and material involvement in safety activities. While all members of the organisation must know there roles and responsibilities and be both empowered and involved with respect to safety and quality duties, The ultimate responsibility for the safety cannot be delegated down from top management. SMS identifies key behaviours that should demonstrate this involvement, such as inclusion of safety targets and strategic plans along with regular management or safety advice group reviews of the SMS. Executive management involvement is a key requirement for SMS policy documentation. Procedural framework – The SMS policy must include clear requirements for all operational staff to document their procedures, controls, training, process measurements, trends, analysis and change management systems. Safety Risk ManagementSafety Risk Management is the hazard identification process and expanding upon the hazards found. It involves formally collecting, recording, acting and generating feedback about hazards within your operation. This again all falls inline with your SMS, Safety policy and Procedures. System analysis – process requires a detailed understanding of operational systems. The system consists of the organisational structures, processes and procedures, people, equipment and facilities used to accomplish the organisational mission. System analysis will explain the interactions among hardware, software, people, and the environment that make up the system in sufficient detail to identify hazards and perform risk analysis. Hazard identification – Once processes are understood hazards in the system and its operational environment can be identified, documented and controlled. The first step on successful hazard identification is a thorough understanding of the system emphasising the importance of the previous steps concerning system description. Once the system is understood you can review the written system description and processes and workflow diagrams for each workflow component. You can now createthe hazard workflow such as questions “what if this component failed”, what if this process changed midway? As with all system task descriptions judgement is required to determine the level of detail and investigation required for the workflow process. While identifications of every conceivable hazard would be impractical, aviation service providers are expected to exercise due diligence in identifying significant and reasonably foreseeable hazards related to there operations. Risk analysis and assessment – SMS encourages risk analysis and assessment decision making through use of consistently applied processes, such as described in the ICAO Safety Management Manual. Risk acceptance – In aviation operations are never undertaken without an element of risk, the correct approach to risk management is the development of risk acceptance procedures, including acceptance criteria and designation of authority and responsibility for risk management decision making. Casual analysis – Risk analyses should inevitably lead to casual analyses, which in turn are provided to the operational management for process or modification. This can also be fed back into the safety assurance component of the SMS. Casual analysis provides the basis for continuous improvement. Controlling risk – Once the preceding steps have been completed, risk controls must be designed and implemented. These can be a mixture of additional or revised procedures and processes. These changes can include the following areas with changes to controls, changes to training, additional or modified equipment, changes to staff and roles and a number of other SMS system changes. SMS requires you to clearly define responsibility and authority that assign the task of controlling risk. System Operation – You risk management component of SMS should be designed to not only continuously monitor, assess, analyse and control risk, but also provide the next component which is safety assurance; an efficient means of auditing, analysing and reviewing the results of its efforts. Risk management works in unison with safety assurance to ensure effective function in the changed operational environment. There are three main outcomes from successful Safety Risk Management which will define how effective your SMS plan is. ReactiveProactivePredictiveReactivemeasures indicate that your are not doing enough and the safety culture is not working as reports are only being made when an incident happens. This method could be too late and could lead to a major incident that could have been avoided.Proactive measures indicate that your SMS and safety culture are working effectively. Staff feel comfortable reporting hazards and risk they identify and are building a register so that these areas can be monitored. This will lead to reduction in repetitive hazards and ultimately reduce the likely hood of a major incident.Predictive is a sensitive topic as from the old saying its always good to stay ahead of the aeroplane and not get caught out. This is true but being to predictive can also have a detrimental effect as you could miss the signs of what is happening here and now. You need to remain vigilant and take a proactive approach dealing with existing issues and increasing business continuity.Risk assessments can be created from your hazard identification tasks. Now you can start the mitigation process of analysis and elimination. This is the point were you can create a Hazard log or Risk matrix and analysis what is Suitable and Sufficient. Suitable being at the low end of the matrix as not posing a threat to your operation and Sufficient is a hazard that can not be removed from the operation but can be contained enough not to pose a risk. Determining how tolerable a risk is to your operation is again totally dependant on your specific Standard operating procedures and your Safety policy within the SMS. Safety AssuranceSafety assurance is the point at which you can measure how effective your detailed safety policy and SMS are. Safety assurance is the task of comparing your results from safety reporting, monitoring and identification against your original plan and objectives.The relationship between safety risk management and safety assurance – Within SMS, an organisations effectiveness in managing risk is derived from an objective assessment of risk in the organisations operation. Information for decision makers – Safety assurance Is gathering and using information from a number of sources such as audits, investigations of safety related events, monitoring of key process indicators in routine operations and information submitted by employees into employee reporting systems. A key concept in SMS is that these various oversight systems should feed into a system for management review. Internal audits- SMS assigns immediate responsibility for the safety of every aspect and process within an organisation to the owner of that process. Process owners in the SMS are the most knowledgeable and technical experts in their departments and understand the processes within their domain. Managers within operational departments are assigned the responsibility for monitoring their own processes through an internal auditing program. Internal evaluation – SMS also defines an additional audit function at the organisational level. This level provides a quality assurance function to assure that the more in-depth and technical reviews carried out by the departmental internal audits are aligned to organisational goals by assessing and mitigating risks. The internal evaluation process provides executive management the required information for decision making required for the overall evaluation of the SMS. External audits – SMS external audits provide yet another level of safety assurance. These audits may be required by the regulation, or may be third party audits initiated by the organisation to provide an objective evaluation of its processes and to enhance a pro-active approach. SMS does not suppress the need for external audits but this is another way for information to be reviewed by accountable managers and executive management. Analysis and assessment – One of the most important parts of any continuous improvement process is the consistent application of management review. If routine management review is not an important part of the organisations strategy then all other components of the SMS are useless and irrelevant. In addition to this management review must include well defined change management processes, so that intelligence gained from analysis and assessment can be applied to decrease overall operational risk.Safety assurance is a very similar stage to a GAP analysis but it against your own organisation. Safety assurance allows you to identify areas of change management that have worked and also failed; you can find out why they failed and determine cause of below standard performance possibly (A Reactive STATE). This process will allow situations to be rectified through Safety Assurance Activities. Safety PromotionSafety Promotion is the final stage after evaluating all the other three steps this is where it turns back to the Accountable manager for Safety. It is now the accountable manager’s responsibility to identify areas of training required for key personnel on SMS related activities. How much training is required is all dependant on the individual’s involvement with the SMS and to the discretion of the Accountable manager. Appropriate training and staff involvement can’t be stressed enough to create a successful SMS and safety culture. Safety cultures – One of the most challenging elements of the SMS is the nurturing and creation of a safety culture within the organisation. To create a safety culture every person from CEO, Accountable manager to new hires need to understand their role in maintaining a safe operation, and actively participates in controlling and minimising risk. Creating a successful safety culture begins at the top of the organisation, with the incorporation of policies and procedures that cultivate a reporting culture (where structures are in place that allow safety related information to flow from all levels of the organisation into a system empowered to correct problems). This reporting structure holds individuals accountable for their actions but also treats them fairly for reporting within the organisational structure. Maintaining a safety culture requires constant work and attention by every layer of management and every department involved in the process. A point to make is that SMS is a realisation and not owned by the safety department or accountable manager but every employee in the organisation.Safety communication – To support a reporting culture, the organisation must cultivate the willingness of its members to contribute to the organisations understanding of its operation. An SMS must have mechanisms to allow employees to submit reports on safety deficiencies without fear of reprisal. An SMS must also have features to send information to the organisations employees so they have access to timely safety related information and issues. Accountable managers and safety managers can filter this information further to ensure that departmental staff only receive what is need for their role within their department. Organisational learning – Information is useless unless the organisation learns from it and can change from past mistakes. Your SMS must incorporate controls to assure that lessons learned influence the design of its systems. An SMS must be a closed loop system, in which an audit trail exists to demonstrate that a discovery in the risk assessment and analysis process leads to casual analysis, which is then used in preventive and corrective action processes to modify and reduce risk within the operation. Organisation learning also provides a good basis for future employee training by capturing the data and information received over a period of time and adding key issues to training plans and manuals. As we discussed earlier the accountable manager is responsible for keeping everyone up to date with safety related issues and updates from regulators. Safety communication is a key part of a successful SMS it is also an essential foundation for the development and maintenance of a positive culture. Effective communication on safety related issues can include updates on the safety policy and procedures on an electronic SMS such as Q-Pulse.
Emergency Response Plan (ERP) Emergency response plan is a key part of the SMS The ICAO Safety Management Manual states that the purpose of an ERP is to ensure that there is: Orderly and efficient transition from normal ops to an emergency situationDelegation of emergency authorityAssignment of emergency responsibilitiesAuthorisation by key personnel for actions contained within the planCoordination of efforts to cope with the emergencySafe continuation of operations or normal operations as soon as possible The purpose of requiring that ERP be part of the SMS is ensure that a service provider has thought through each one of the items named earlier, and has established a plan of operations prior to the need to use the plan. This purpose is entirely the same motivation as SMS to minimise and control risk. In the case of ERP the risk being controlled is not specifically aimed at the circumstances that led to the emergency, rather the risk that is mitigated by having the ERP is that associated with handling the emergency itself. The importance of effective communication cannot be overstated it is the key to the effectiveness of an Aviation Emergency Response Planning.
Planning stage phase 1The planning stage is the preparation for things to come; this stage is for the creation of policies and procedure documentation. The planning stage should focus on vertical change management as this is the chance for the implementation team to design a safety council or air safety group processes that guarantees appropriate representation and empowerment surrounding the SMS. The existence of a health and safety culture is a necessary attribute of a fully developed SMS, part of the first phase of SMS development is the growth of a safety culture. A mature SMS has all the tools to develop and support a learning culture, Learning is a critical component of a larger safety concept. A learning culture is one that has the information necessary to manage risk at any time it is necessary. An informed and motivate member of staff can say that they know there job role and exactly what needs to be reported and how to report it. This is all learnt from a solid foundation within the SMS creating a learning culture.Identify the Accountable Executive and the safety accountabilities of managersIdentify the person (or planning group) within the organization responsible for implementing the SMS.Describe the systemConduct a GAP analysisDevelop an SMS implementation planDevelop documentation relevant to safety policy and objectives.Develop and establish means for safety communication.
Reactive Process Stage Phase 2 The objective of Phase 2 is to implement essential safety management processes, while at the same time correcting potential deficiencies in existing safety management processes and policies. Most organisations will have some basic safety management activities in place, at different levels of implementation and with different degrees of effectiveness. These activities may include inspections and audits reports, analysis of information from accident reports and incident investigations, and employee reports. Phase 2 aims at enforcing existing activities, and developing those which do not exist yet. As this phase is forward looking it is classed as a reactive state as systems are yet to be developed and implemented. Towards the end of Phase I, the organisation will be ready to perform coordinated safety analyses based on information obtained through reactive methods of safety data collection. At the completion of Phase 2, the following activities should be finalised in such a manner that meets the expectations of the EASA Requirements and civil aviation oversight authority as set forth in relevant requirements and guidance material from ICAO.Implement reactive risk management processesDeliver training relevant to reactive risk management processesMaintain documentation relevant to reactive risk managementMaintain means for safety communication
Proactive and Predictive Phase 3 The objective of Phase 3 is to structure forward looking safety management processes. Safety information management and analytical processes are refined. Towards the end of Phase 2, the organisation will be ready to perform coordinated safety analyses based on information obtained through reactive, proactive and predictive methods of safety data collection. Implement proactive and predictive risk management processesDeliver training relevant to proactive and predictive risk management processesMaintain documentation relevant to proactive and predictive risk management processesMaintain means for safety communication
Operational Safety Assurance Phase 4 Phase 4 is the final mature phase of the SMS. In this Phase operational safety assurance is assessed through the implementation of periodic auditing, feedback and continuous corrective action to maintain the effectiveness of safety risk controls under changing operational demands. At the end of Phase 4, safety information management and analytical processes ensure sustenance of safe organizational processes over time and changes in the operational environment. Development safety performance indicators, performance targets, and SMS continuous improvement.Develop training relevant to operational safety assuranceDevelop documentation relevant to operational safety assurance.Maintain means for safety communication
We all know the reproductions of not complying so we don’t need to look to far into this slide but you can see a list of some main reasons. The fundamental reasons that we should manage safety can be put as three simple points.Moral – you have a moral responsibility to your customers, staff, general public and the environment when operating any business to ensure all safety measures are met. Financial – You have a financial responsibility to your stakeholders and employees to ensure that you act in a responsible way to reduce the risk of financial loss through fines, bans, disasters etc. Legal – You have a legal right to comply with the laws and guidelines stated by the authorities and regulations to ensure efficient business continuity and freedom to operate globally.
Here is a list of just some of the main issues that can arise from non-compliance with EASA SMS rules. Please take note of the dates that are applicable to your operation and make sure you’re ready to comply. T/O and Landing Ban in EuropeDowngraded on IATA ListAdded to ICAO EU BlacklistLoss of ReputationLoss in RevenueTarnished Business ContinuityUnmotivated Subordinates Safety is about a proactive and motivated approach to making things happen we need to all move away from reactive stages waiting for things to happen. Effective communication and technology play a huge part in creating a sound safety department and culture within any organisation.
Benefits of a Electronic SMS VS Paper SMS SystemsTraditionally SMS has been created and monitored through paper based and Microsoft application such as word and excel. This approach may be ok at the beginning and you may be able to cope within a small operation. What this method creates is a lot of work and time spent having to monitor and manually update all sheets and data to compile reports. It also does not allow you to automatically assign responsibility and ownership to colleagues in different departments. Working from a paper based or basic Microsoft method only allows a reactive approach to safety which as we will discuss later is not the level you want to be aiming for to ensure a positive SMS.
So what you need – and what you must have - is the ability to bring together ALL aspects of safety – unique to you – into a common environment where the disparate information can be linked together for risk mitigationYou need it to develop the ability to have continuous improvement Your customers and partners demand it You need all the information in one place, constantly and immediately available, and distributable to all affected parties for action and safety assurance
If the engine shop had filed an incident report…If they had had a Safety culture…If they had evaluated the risk to the entire operation rather than just the repair…
… a full risk assessment would have been carried out and the consequence re-classified as “catastrophic”.Then the risk of the failure would have been managed and the part probably re-designed…At the onset of the problem identificationFurther investigation would have identified the recuring nature of this incident which would result in pro-active, corrective action been taken before further incidents occurred.The operator would have
An SMS is structured on 4 pillars of safety.Q-Pulse can help you control manage and distribute your policies electronically and with full accountability and visibilityIt can aggregate all safety events into one system so that hazards posing the greatest threat can be identifiedQ-Pulse can help you co-ordinate the full audit lifecycle including follow up and action tracking.Finally, Q-Pulse can you help you cultivate a culture of safety by managing staff training, managing workload and providing visibility of outstanding actions.
Time is running out easa sms implementation my finished one
Time is Running Out<br />EASA SMS Implementation<br />Hosted by Michael Flannigan<br />Presented by Michael Stokes<br />Tuesday 30th August 2011<br />
Introductions<br />Host<br />Michael Flannigan<br />Online Marketing Executive<br />Aviation, Gael Ltd<br />Presenter<br />Michael Stokes JAR ATPL – NEBOSH - CMIOSH<br />Business Development Manager<br />Aviation, Gael Ltd<br />
Questions are invited (and most welcome)<br />Use the chat window to ask questions<br />There will be breaks during the presentation at regular intervals to answer questions<br />Asking Questions<br />
Introduction to SMS<br />SMS Purpose<br />SMS Structure<br />SMS Implementation<br />Consequences of Non Compliance<br />How Q-Pulse Can Help?<br />Today’s Agenda<br />
Systematic Management of Quality & Safety<br />Executive Buy In and Safety promotion<br />Integrated Management System<br />Safety and Risk Management<br />EASA Expectations<br />
Definition:<br />A safety management system (SMS) is a systematic approach to managing safety, including the necessary organisational structures, accountabilities, policies and procedures.<br />What is an SMS?<br />
Moral<br />Financial<br />Legal<br />Your obligations as an operator…<br />
T/O and Landing Ban in Europe<br />Downgraded on IATA List<br />Added to ICAO EU Blacklist<br />Loss of Reputation<br />Loss in Revenue<br />Tarnished Business Continuity<br />Unmotivated Subordinates<br />Non-compliance<br />
Efficient Hazard/Risk Identification and Analysis<br />Assign Accountability<br />Create Trend Ownership<br />Integrate with existing processes<br />Control Multiple Sites and Operations<br />Manage Safety and Quality <br />Manage All Auditing and findings<br />How Can Q-Pulse Help?<br />
Occurrence report raised<br />Safety/quality manager alerted via email<br />Investigation initiated<br />How would an Electronic SMS help?<br />
Risk Assessment<br />Take immediate preventative action<br />Initial findings report<br />Investigation<br />Establish corrective action<br />Schedule audit to assure corrective actions are effective<br />Launch review of training and processes<br />
Occurrence report raised<br />Safety/quality manager alerted via email<br />Investigation initiated<br />All data related to the event is centrally managed…<br />…and accessible to relevant personnel<br />How would an Electronic SMS help?<br />
Centrally managed…<br />Ease of access to related reports or documents<br />Standard field descriptions ensures that incidents are correctly categorized<br />A workflow, consistent with your organisation’s processes can be followed<br />
Enhanced safety levels<br />Risks mitigated<br />Streamlined safety and quality processes <br />Safety culture adopted<br />Increase profitability and reduced cost of accidents <br />Outcomes<br />
We now invite any questions you may have thank you.<br />Questions<br />
Following the conclusion of this event, please take a minute to complete a quick exit survey<br />You can also contact us:<br />firstname.lastname@example.org<br />www.q-pulse.com<br />+44 1355 593400<br />Getting in touch…<br />