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Fundamentals of a Safety Framework

Fundamentals of a Safety Framework. Dr. Erik Merckx EUROCONTROL Head of Safety Enhancement Business Division. Safety Framework : Separation. Safety Management. Contents of this Presentation. What is a Safety Management System (SMS) all about and what does it do for me

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Fundamentals of a Safety Framework

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  1. Fundamentals of aSafety Framework Dr. Erik Merckx EUROCONTROL Head of Safety Enhancement Business Division

  2. Safety Framework : Separation

  3. Safety Management

  4. Contents of this Presentation • What is a Safety Management System (SMS) all about and what does it do for me • The maturity of SMS in Eurocontrol member States • Cost of Safety • Cost of lack of Safety • The need for European wide reporting of incidents • The European Strategic Safety Action Plan (SSAP)

  5. What is a Safety Management System (SMS) all about and what does it do for me Safety from the CEO/DG Perspective • The CEO or DG wants to be sure that the: • Services given to the Airlines are safe • Government is satisfied with the safety levels of his organisation • Regulator is satisfied with the safety levels of his organisation • General Public believes that his organisation is safe • Media are confident that the organisation is safe

  6. What is a Safety Management System (SMS) all about and what does it do for me Safety from the CEO/DG Perspective • The CEO or DG does not want : Linate, 8 October 2001 Überlingen, 1 July 2002

  7. What is a Safety Management System (SMS) all about and what does it do for me Safety from the CEO/DG Perspective • How does the CEO or DG know that the …. • Services given to the Airlines are safe • Government is satisfied with the safety levels of his organisation • Regulator is satisfied with the safety levels of his organisation • …… • …...

  8. What is a Safety Management System (SMS) all about and what does it do for me Safety from the CEO/DG Perspective • How does the CEO or DG know that …. • The risk of an accident is as low as he wants it to be ( even if there has not been an accident for the last 25 years ) ? • The risk of a serious incident is as low as he wants it to be ? • He is being given the correct information about how safe his organisation is ? • His organisation is getting better or worse in terms of safety ?

  9. What is a Safety Management System (SMS) all about and what does it do for me Safety from the CEO/DG Perspective • How does the CEO or DG know …. • What the most important investments are to continue to provide safe services, or to improve safe services ? • Whether his organisation has the right quantity and quality of people ? • Whether people need training, advanced training, refresher training … ?

  10. What is a Safety Management System (SMS) all about and what does it do for me Safety from the CEO/DG Perspective • The CEO or DG therefore needs …. • A reliable information system on safety, the standards of which being as high as an accounting system • A system that covers all the work in his organisation that has an impact on safety • A system that he can fully trust • A system that allows him to make correct decisions for the future of safety in his organisation

  11. What is a Safety Management System (SMS) all about and what does it do for me Safety from the CEO Perspective Safety Management System • The CEO therefore needs a …. • A reliable information system on safety, the standards of which being as high as an accounting system • A system that covers all the work in his organisation that has an impact on safety • A system that he can fully trust • A system that allows him to make correct decisions for the future of safety in his organisation

  12. What is a Safety Management System (SMS) all about and what does it do for me What is aSafety Management System ?

  13. What is a Safety Management System (SMS) all about and what does it do for me What is aSafety Management System ? 95 %

  14. What is a Safety Management System (SMS) all about and what does it do for me What is aSafety Management System 5%

  15. What is a Safety Management System (SMS) all about and what does it do for me What is aSafety Management System • Safety Culture • Leadership • Commitment to resources • Balanced decisions • People Management • Willingness to learn • Willingness to share expertise • ……………….

  16. What is a Safety Management System (SMS) all about and what does it do for me What is aSafety Management System • Methodology • Documentation • Regulatory Compliance • Traceability • Performance Indicators • Measuring Progress • Reviewing Processes • ……………….

  17. What is a Safety Management System (SMS) all about and what does it do for me What is aSafety Management System • Safety Culture • Leadership • Commitment to resources • Balanced decisions • People Management • Willingness to learn • Willingness to share expertise • ……………….

  18. Resources: Corporate Safety Management Function What is a Safety Management System (SMS) all about and what does it do for me Examples of“Safety Management System” Topics Average of 3.5 - 4.5 FTE per 1000 Source: Study by BELGOCONTROL, early 2002

  19. Resources: Corporate Safety Management Function What is a Safety Management System (SMS) all about and what does it do for me Examples of“Safety Management System” Topics CEO Average of 3.5 - 4.5 FTE per 1000 Operations Corporate Engineering Safety Admin / Finance Source: Study by BELGOCONTROL, early 2002

  20. Safety Culture and Leadership : Promoting an non-punitive and open incident reporting culture : the Danisch example What is a Safety Management System (SMS) all about and what does it do for me Examples of“Safety Management System” Topics

  21. Safety Culture and Leadership : Airport hot spots in the AIP : the Belgian example What is a Safety Management System (SMS) all about and what does it do for me Examples of“Safety Management System” Topics

  22. Safety Culture and Leadership : Learning organisation: willingness to monitor safety performance and to discuss openly within the organisation, for the sake of lessons learnt and prevention purposes : Willingness to share lessons learnt with other ANSP’s : What is a Safety Management System (SMS) all about and what does it do for me Examples of“Safety Management System” Topics The French example: SCTA, “Bulletin Securite”

  23. Safety Culture and Leadership : ANSP’s work together to audit eachother’s safety activities and learn from eachother for safety improvement What is a Safety Management System (SMS) all about and what does it do for me Examples of“Safety Management System” Topics The German (DFS), Austrian (Austrocontrol) and Swiss (Skyguide) example

  24. What is aSafety Management System What is a Safety Management System (SMS) all about and what does it do for me • Methodology • Documentation • Regulatory Compliance • Traceability • Performance Indicators • Measuring Progress • Reviewing Processes • ……………….

  25. What is a Safety Management System (SMS) all about and what does it do for me Examples of“Safety Management System” Topics • Safety Performance Indicators and Measuring Progress: there is more to measure than “Airprox” : • Safety discussions and actions at senior management and directors’ meetings • Follow up of corrective actions coming from safety surveys • Voluntary safety occurrence reporting schemes • Interviews with ATCO’s and Maintenance Engineers on their work and the issues as they see them

  26. What is a Safety Management System (SMS) all about and what does it do for me Examples of“Safety Management System” Topics • Safety Performance Indicators and Measuring Progress: there is more to measure than “Airprox” : • Measuring the participation to, quality of and effectiveness of Refresher Courses ( vs. number and type of incidents) • Measuring the involvement from all stakeholders in safety cases (engineers, ATCO’s, airport, airline, …) • Measurement of the systematic use of safety cases in all ANSP activities: hardware changes, software changes, changes in airspace design, changes in SID’s, changes in ATCO manning, ….

  27. What is aSafety Management System What is a Safety Management System (SMS) all about and what does it do for me • Methodology • Documentation • Regulatory Compliance • Traceability • Performance Indicators • Measuring Progress • Reviewing Processes • ……………….

  28. What is a Safety Management System (SMS) all about and what does it do for me Examples of“Safety Management System” Topics • The methodology of an SMS can be based on a Quality Management System (QMS ) • An SMS can, together with a QMS, be part of an overall Management System • In a number of countries, the ISO 9001 model is used as the basis for an SMS But a QMS is not a SMS!!

  29. What is a Safety Management System (SMS) all about and what does it do for me Examples of“Safety Management System” Topics • Using an ISO 9001 model for an SMS, one would start by making an inventory of: 1. All the key processes in the company that have an effect on the quality of the services that are given ( example: one of the key processes is how to do ATS without traffic delays ) 2. Identify from above all the key processes in the company that have an impact on the safety of the services that are given (example: one of the key processes is how to do ATS without risk of incidents and accidents )

  30. What is a Safety Management System (SMS) all about and what does it do for me Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Examples of“Safety Management System” Topics • Examples of Key Processes with impact on safety: Risk Assessment New Systems Procedures Operational Processes Incident Reporting Safety Surveys and Follow-up Risk Assessment New ATC Procedures Incident Investigation Interfaces ATS and CNS Lessons Learnt CNS Maintenance Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Emergency Procedures All elements of the SMS described in policies, well documented, communicated, updated, data recorded

  31. What is a Safety Management System (SMS) all about and what does it do for me Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Examples of“Safety Management System” Topics • Means of Compliance with ESARR’s Risk Assessment New Systems Procedures Operational Processes Incident Reporting Safety Surveys and Follow-up Risk Assessment New ATC Procedures Incident Investigation Interfaces ATS and CNS Lessons Learnt CNS Maintenance Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Emergency Procedures ESARR 3 All elements of the SMS described in policies, well documented, communicated, updated, data recorded

  32. What is a Safety Management System (SMS) all about and what does it do for me Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Examples of“Safety Management System” Topics • Means of Compliance with ESARR’s Risk Assessment New Systems Procedures Operational Processes Incident Reporting Safety Surveys and Follow-up Risk Assessment New ATC Procedures Incident Investigation Interfaces ATS and CNS ESARR 5 Lessons Learnt CNS Maintenance Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Emergency Procedures All elements of the SMS described in policies, well documented, communicated, updated, data recorded

  33. What is a Safety Management System (SMS) all about and what does it do for me Risk Assessment New Systems Recruitment/ Selection Risk Assessment New ATC Procedures Training Competency Checks Risk Assessment Airspace Changes Refresher/ Advanced Training Risk Assessment Software Changes Examples of“Safety Management System” Topics • Means of Compliance with ESARR’s Procedures Operational Processes Incident Reporting Safety Surveys and Follow-up Incident Investigation Interfaces ATS and CNS Lessons Learnt CNS Maintenance Procedures ESARR 4 Emergency Procedures All elements of the SMS described in policies, well documented, communicated, updated, data recorded

  34. What is a Safety Management System (SMS) all about and what does it do for me Risk Assessment New Systems Incident Reporting Recruitment/ Selection Risk Assessment New ATC Procedures Incident Investigation Training Lessons Learnt Competency Checks Risk Assessment Airspace Changes Refresher/ Advanced Training Risk Assessment Software Changes Examples of“Safety Management System” Topics • Means of Compliance with ESARR’s Procedures Operational Processes Safety Surveys and Follow-up Interfaces ATS and CNS ESARR 2 CNS Maintenance Procedures Emergency Procedures All elements of the SMS described in policies, well documented, communicated, updated, data recorded

  35. The maturity of SMS in EUROCONTROL member States, beginning 2003 Maturity of SMS Implementation in EUROCONTROL ANSPs Source: Study by AEA for EUROCONTROL, early 2003

  36. The maturity of SMS in EUROCONTROL member States, beginning 2003 Maturity of SMS Implementation in EUROCONTROL ANSPs 70% 35% Source: Study by AEA for EUROCONTROL, early 2003

  37. The maturity of SMS in EUROCONTROL member States, beginning 2003 Maturity of SMS Implementation in EUROCONTROL ANSPs High Traffic Growth Source: Study by AEA for EUROCONTROL, early 2003

  38. The maturity of SMS in EUROCONTROL member States, beginning 2003 Observations on SMS Implementation • Two Major Conclusions • Implementation of Safety Management System (SMS) in most ECAC States still has a long way to go • A number of ANSP’s with low SMS maturity will have an increased safety risk due to high traffic growth Source: Study by AEA for EUROCONTROL, early 2003

  39. The maturity of SMS in EUROCONTROL member States, beginning 2003 Observations on SMS Implementation • Two Major Concerns – key inhibitors • Leadership & Commitment • Resources • Solving these issues is essential in making progress Source: Study by AEA for EUROCONTROL, early 2003

  40. The maturity of SMS in EUROCONTROL member States, beginning 2003 Observations on SMS Implementation • Other Issues • Data reporting and sharing: Yes, but…… • Needs of Individual States are different • Access to training in Safety Management is lacking • Technical Safety Issues confuse even the experts • Effectiveness & Appropriateness: small organisations struggle with one size fits all approach Source: Study by AEA for EUROCONTROL, early 2003

  41. The maturity of SMS in EUROCONTROL member States, beginning 2003 Observations on SMS Implementation • The following features appear to have helped progress: • Starting early. At least 3-5 years are required for a mature SMS • An organisational culture that embraces proactive leadership of Safety/Quality • The discipline of an ISO 9000 certified organisation. Source: Study by AEA for EUROCONTROL, early 2003

  42. The maturity of SMS in EUROCONTROL member States, beginning 2003 Observations on SMS Implementation • The following features appear to have helped progress (Cont’d): • Regional or peer groups that share information and provide mutual assistance. • Being close to EUROCONTROL Source: Study by AEA for EUROCONTROL, early 2003

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