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SAFETY MANAGEMENT

SAFETY MANAGEMENT. EDGARS GINDRA 20.09.2007 LV CAA AOD. SMS regulation. Operation of aircraft Maintenance of aircraft Air traffic services Aerodromes Two audience groups States Service providers Three distinct requirements Safety programme SMS Management accountability.

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SAFETY MANAGEMENT

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  1. SAFETY MANAGEMENT EDGARS GINDRA 20.09.2007 LV CAA AOD

  2. SMS regulation • Operation of aircraft • Maintenance of aircraft • Air traffic services • Aerodromes • Two audience groups • States • Service providers • Three distinct requirements • Safety programme • SMS • Management accountability 20.09.2007 SMS LV CAA AOD

  3. The amendment 30 to ICAO Annex 6 Part I • 3.2.1 States shall establish a safety programme in order to achieve an acceptable level of safety in the operation of aircraft. • 3.2.4 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 that, as a minimum: 20.09.2007 SMS LV CAA AOD

  4. The amendment 30 to ICAO Annex 6 Part I • Identifies safety hazards; • Ensures that remedial action necessary to maintain an acceptable level of safety is implemented; • Provides for continuous monitoring and regular assessment of the safety level achieved; and • Aims to make continuousimprovement to the overall level of safety. 20.09.2007 SMS LV CAA AOD

  5. The amendment 30 to ICAO Annex 6 Part I • 3.2.5 A safety management system shall clearly define lines of safety accountability throughout the operator’s organization, including a direct accountability for safety on the part of senior management. • 3.2.9 An operator shall establish a flight safety documents system, for the use and guidance of operational personnel, as part of its safety management system. 20.09.2007 SMS LV CAA AOD

  6. What is a safety programme? • An integrated set of regulations and activities aimed at improving safety. • States are responsible for establishing a safety programme: • Safety regulation • Safety oversight • Accident/incident investigation • Mandatory/voluntary reporting systems • Safety data analysis • Safety promotion 20.09.2007 SMS LV CAA AOD

  7. Clarifying the use of terms • Safety oversight – Is what the CAA performs with regard to the operators/service providers SMS. • Safety assurance – Is what the operators/service providers do with regard to safety performance monitoring and measurement • Safety audit – Is what the CAA performs with regard to its safety programme and the operators/service providers perform with regard to the SMS. 20.09.2007 SMS LV CAA AOD

  8. Acceptable level of safety – a concept • High level safety management goals of an oversight authority (or a service provider) • Minimum safety performance that service providers should achieve while conducting their core business functions • A reference against which one can measure safety performance 20.09.2007 SMS LV CAA AOD

  9. What is an SMS? • A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures. • Providers are responsible for establishing an SMS. • States are responsible of the acceptance and oversight for providers’ SMS. 20.09.2007 SMS LV CAA AOD

  10. In summary • Safety – The state in which the risk of harm to persons or property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and risk management. • Management – Allocation of resources. • System – Organized set of processes and procedures. 20.09.2007 SMS LV CAA AOD

  11. Protection Production State safety programme Objective: Public safety Oversight Acceptance Oversight Objective: Achieve commercial goals and customer satisfaction Organization’s safety management system (SMS) Organization’s production processes Objective: Manage and control safety risk Risk management Safety assurance Safety programme – SMS relationships 20.09.2007 SMS LV CAA AOD

  12. ESARR ADVISORY MATERIAL • Annex 14 establishes that, as of 24 November 2005, certified aerodromes shall have in operation a safety management system. • ESARR 3 can be used by aerodrome operators to implement the SMS required in the SARPs contained in ICAO Annex 14. 20.09.2007 SMS LV CAA AOD

  13. ESARR ADVISORY MATERIAL • As a result, Safety Management Systems (SMS) will have to be implemented, not only in the provision of ATM service associated to aerodromes but also as regards the complete operation of the certified aerodromes at which those services are provided. 20.09.2007 SMS LV CAA AOD

  14. ESARR ADVISORY MATERIAL • ESARR 3 addresses the management of safety in any ATM service provided without confining the SMS scope to ATS as Annex 11 wherever it appears necessary. 20.09.2007 SMS LV CAA AOD

  15. INTER-RELATIONSHIP BETWEEN SMS IN ATM AND AERODROMES • A single organization is involved. That means that the organization will have to implement: • SMS compliant with ESARR 3 (and ICAO Annex 11) in its ATM services; • SMS compliant with ICAO Annex 14 in its aerodrome operations. 20.09.2007 SMS LV CAA AOD

  16. INTER-RELATIONSHIP BETWEEN SMS IN ATM AND AERODROMES • Two different organizations are involved. Two basic alternatives may be considered: • Two separate SMS. Each organization implements its own SMS (one according to ESARR 3 to cover the ATM services, and one according to ICAO Annex 14 and specific national regulations. 20.09.2007 SMS LV CAA AOD

  17. INTER-RELATIONSHIP BETWEEN SMS IN ATM AND AERODROMES - A common SMS. The ATM and aerodrome safety regulator(s) could accept a set of arrangements proposed by both organizations to establish a “common SMS”. 20.09.2007 SMS LV CAA AOD

  18. Regulation (EC) 2096/2005laying down common requirements for the provision of air navigation services Article 3 Granting of certificates Shall comply with the specific additional requirements set in Annex II 3. Safety of services • Safety management system • Safety requirements for risk assessment and mitigation with regard to changes • Safety requirements for engineering and technical personnel undertaking operational safety related tasks 20.09.2007 SMS LV CAA AOD

  19. SMS – Introductory concepts • The scope of SMS encompasses most of the activities of the organization. • SMS must start from senior management, and safety must be considered at all levels of the organization. • SMS aims to make continuous improvement to the overall level of safety. • All aviation stakeholders have a role to play in SMS. 20.09.2007 SMS LV CAA AOD

  20. Identifying aviation system stakeholders • It is important to identify aviation system stakeholders to ensure that stakeholders relevant to risk decision are taken into consideration and contribute with their knowledge before the decision is taken. 20.09.2007 SMS LV CAA AOD

  21. Aviation system stakeholders • Aviation professionals • Aircraft owners and operators • Manufactures • Aviation regulatory authorities • Industry trade associations • Regional air traffic service providers • Professional associations and federations • International aviation organizations • Investigative agencies • The flying public 20.09.2007 SMS LV CAA AOD

  22. First fundamental – System description • Most hazards are generated by operational interactions among different system components. It is therefore essential to describe the system in terms of its components as one of the first activities when planning an SMS. 20.09.2007 SMS LV CAA AOD

  23. System description • The system interactions with other systems in the air transportation system. • The system functions. • Required Human Factors considerations of the system operation. • Hardware components of the system. • Software components of the system. • Related procedures that define guidance for the operation and use of the system. • Operational environment. • Contracted and purchased products and services. 20.09.2007 SMS LV CAA AOD

  24. Second fundamental – Gap analysis • An analysis of safety arrangements existing within the organization. • The organizational structures necessary for an SMS may be found throughout an organization. • Various activities of an SMS are probably already in place and are working. • SMS development should build upon existing organizational structures. • Conduct the gap analysis against the components and elements of the SMS. • Once completed and documented the gap analysis forms the basis of the implementation plan. 20.09.2007 SMS LV CAA AOD

  25. Third fundamental – SMS and QMS • SMS differs from quality systems in that:  SMS focuses on the safety, human and organizational aspects of an operation (i.e., safety satisfaction)  QMS focus the product (s) of an operation (i.e., customer satisfaction) • SMS results in the design and implementation of organizational processes and procedures to identify hazards and control/mitigate risks in aviation operation. • QMS techniques provide a structured process for ensuring that these processes and procedures achieve their intended objectives and, where they fall short, to improve them. • SMS builds partly upon QMS principles. • SMS should include both safety and quality policies. • The coverage of quality policies should be limited to quality in support of safety. • Safety objectives should receive primacy where conflicts are identified. 20.09.2007 SMS LV CAA AOD

  26. SMS planning The components of SMS • Safety policy and objectives • Safety risk management • Safety assurance • Safety promotion 20.09.2007 SMS LV CAA AOD

  27. The elements of SMS 1. Safety policy and objectives 1.1 Management commitment and responsibility 1.2 Safety accountabilities of managers 1.3 Appointment of key safety personnel 1.4 SMS implementation plan 1.5 Coordination of the emergency response plan 1.6 Documentation 20.09.2007 SMS LV CAA AOD

  28. The elements of SMS 2. Safety risk management 2.1 Hazard identification process 2.2 Risk assessment and mitigation processes 2.3 Internal safety investigations 20.09.2007 SMS LV CAA AOD

  29. The elements of SMS 3. Safety assurance 3.1 Safety performance monitoring and measurement 3.2 The management of change 3.3 Continuous improvement of the safety system 20.09.2007 SMS LV CAA AOD

  30. The elements of SMS 4. Safety promotion 4.1 Training and education 4.2 Safety communication 20.09.2007 SMS LV CAA AOD

  31. Safety Review Board (SRB) Accountable executive Director of operations Director of maintenance Other directorates Safety services office Flight safety officer Maintenance safety officer Safety Action Group (s) (SAG) Safety responsibilities 20.09.2007 SMS LV CAA AOD

  32. Appointment of key safety personnel • The safety office – Corporate functions  Advising senior management on safety matters  Assisting line managers  Overseeing hazard identification systems • The safety manager – Responsibilities Responsible individual and focal point for the development and maintenance of an effective safety management system 20.09.2007 SMS LV CAA AOD

  33. Appointment of key safety personnel • The safety manager – Functions  Manages the SMS implementation plan on behalf of the accountable executive  Facilitates hazard identification and risk analysis and management  Monitors corrective actions to ensure their accomplishment  Provides periodic reports on safety performance  Maintains safety documentation  Plans and organizes staff safety training  Provides independent advice on safety matters 20.09.2007 SMS LV CAA AOD

  34. Appointment of key safety personnel • The Safety Review Board (SRB)  High level committee  Strategic safety functions • Chaired by the accountable executive • It may include the Board of Directors • Composed of heads of functional areas • SRB monitors:  Safety performance against the safety policy and objectives  Effectiveness of the SMS implementation plan  Effectiveness of the safety supervision of subcontracted operations 20.09.2007 SMS LV CAA AOD

  35. Appointment of key safety personnel • SRB ensures that appropriate resources are allocated to achieve the established safety performance • SRB gives strategic direction to the SAG • Safety Action Group (SAG):  Reports to SRB and takes strategic direction from SRB  Members: • Managers and supervisors from functional areas • Front-line personnel 20.09.2007 SMS LV CAA AOD

  36. Appointment of key safety personnel • SAG:  Oversees operational safety within the functional area  Resolves identified risks  Assesses the impact on safety of operational changes  Implements corrective action plans  Ensures that corrective action is taken in a timely manner  Review the effectiveness of previous safety recommendations  Safety promotion 20.09.2007 SMS LV CAA AOD

  37. SMS implementation plan • Contents • Safety policy • Safety planning, objectives and goals • System description • Gap analysis • SMS components • Safety roles and responsibilities • Safety reporting policy • Means of employee involvement • Safety communication • Safety performance measurement • Management review (of safety performance) 20.09.2007 SMS LV CAA AOD

  38. PHASED APPROACH TO SMS IMPLEMENTATION • Phase 1 - Provides a blueprint on how the SMS requirements will be met and integrated to the organization’s work activities - Provides an accountability framework for the implementation of the SMS = 1) Identify the accountable executive and the safety accountabilities of managers Elements 1.1 and 1.2 2) Identify the person or planning group within the organization responsible for implementing the SMS Element 1.3 3) Describe the system (Air operator, ATC services provider, approved maintenance organization, certified aerodrome operator) Element 1.4 20.09.2007 SMS LV CAA AOD

  39. PHASED APPROACH TO SMS IMPLEMENTATION • Phase 2 - Puts into practice those elements of the SMS implementation plan that refer to: 1) Safety risk management component • Reactive processes • Investigation and analysis • Hazard identification and risk management Elements 2.1, 2.2 and 2.3 2) Training relevant to: • The SMS implementation plan components • The safety risk management component (Reactive processes) Element 4.1 3) Documentation relevant to: • The SMS implementation plan components • The safety risk management component (Reactive processes) Elements 1.4 and 1.6 20.09.2007 SMS LV CAA AOD

  40. PHASED APPROACH TO SMS IMPLEMENTATION • Phase 3 - Puts into practice those elements of the SMS implementation plan that refer to: 1) Safety risk management component • Proactive and predictive processes • Investigation and analysis • Hazard identification and risk management Elements 2.1, 2.2 and 2.3 2) Training relevant to proactive and predictive processes Element 4.1 3) Documentation relevant to proactive and predictive processes Elements 1.4 and 1.6 20.09.2007 SMS LV CAA AOD

  41. PHASED APPROACH TO SMS IMPLEMENTATION • Phase 4 1) Operational safety assurance Development of acceptable level (s) of safety Development of safety indicators and targets SMS continuous improvement Elements 3.1, 3.2 and 3.3 2) Training relevant to operational safety assurance Element 4.1 3) Documentation relevant to operational safety assurance Element 1.6 20.09.2007 SMS LV CAA AOD

  42. CAA - Four steps for SMS implementation • Step 1 State’s safety programme Conduct a gap analysis vis-à-vis the current status in the State of the following: • Safety regulation • Safety oversight (capabilities and planning) • Accident/incident investigation • Mandatory/voluntary/confidential reporting systems • Safety data analysis • Safety promotion  Develop the State safety programme around four components of the ICAO SMS framework 20.09.2007 SMS LV CAA AOD

  43. Safety analysis and safety studies • Analytical methods and tools: • Statistical analysis (to quantify situations); • Trend analysis (predictions may be made, and to trigger “alarms”); • Normative comparisons (to sample real world experience under similar operating conditions); 20.09.2007 SMS LV CAA AOD

  44. Safety analysis and safety studies • Simulation and testing (simulation in the field under actual operating conditions); • Expert panel ( to evaluate evidence of an unsafe condition and evaluating the best course for corrective action); • Cost-benefit analysis (the costs of implementing the proposed measures are weighed against the expected benefits over time). 20.09.2007 SMS LV CAA AOD

  45. Safety analysis and safety studies • Safety studies require data, appropriate analysis and effective communication. • Safety studies conducted by State authorities, airlines, manufactures, and professional and industry associations. • Safety recommendations may arise from the investigation of accidents and serious incidents and also from safety studies. • Safety studies have application to hazard identification and analysis in flight operations, maintenance, cabin safety, air traffic control, airport operations, etc. 20.09.2007 SMS LV CAA AOD

  46. Safety analysis and safety studies • Selecting study issues • Significant safety issues lists (SIL) based on the accident and incident record in such areas as runway incursions, ground proximity warnings, TCAS, and prioritized in terms of the risks to the organization or the industry; • Support among participants and contributors. 20.09.2007 SMS LV CAA AOD

  47. Safety analysis and safety studies • SIL should be reviewed and updated annually, adding new high-risk issues and deleting lesser-risk issues: • Frequency of GPWS warnings; • Frequency of TCAS advisories; • Runway incursions; • Altitude deviations (busts); • Call sign confusion; • Un-stabilised approaches; and • Air proximities (near misses) at selected aerodromes. 20.09.2007 SMS LV CAA AOD

  48. CAA - Four steps for SMS implementation • Step 2 Implementation SMS SARPs Develop SMS regulations for operators/service providers • Refer to the SMS components and elements  Prepare guidance material for the implementation of SMS • Refer to ICAO Doc 9859  Operators/service providers may need to use third party assistance to implement their SMS 20.09.2007 SMS LV CAA AOD

  49. CAA - Four steps for SMS implementation • Step 3 CAA training programme  Develop a training programme for CAA officers to: • Provide knowledge of safety management concepts and ICAO SARPs on safety management in Annexes 6, 11 and 14, and related guidance material; and • Develop knowledge to certify and oversee the implementation of key components of an SMS, in compliance with the national regulations and relevant ICAO SARPs 20.09.2007 SMS LV CAA AOD

  50. CAA - Four steps for SMS implementation • Step 4 CAA enforcement policy  Revision of enforcement policy • Operators/service providers allowed to deal with deviations/minor violations internally, within the context of the SMS, to the satisfaction of the authority • Gross negligence, willful deviation and so forth to be dealt through established enforcement procedures 20.09.2007 SMS LV CAA AOD

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