A PATH TO SMS IMPLEMENTATION AND IMPROVEMENT An SMS Model

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A PATH TO SMS IMPLEMENTATION AND IMPROVEMENT-
An SMS Model -

• Dr Bernd Tiemeyer Dr Grant Foster
• - SSAP Regional Workshop Tallinn, 29-30th June
  2004 -

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A Path to SMS Implementation - Agenda -

• SESSION 3
• 15h15 A Path to SMS Implementation Improvement
• - The SMS Model How to get started
• - Discussion Where are your particular
  difficulties ?
• 16h15 Practical session Reviewing your SMS
• 17h30 Presentation from Practical session and
  Close
• SESSION 4
• 09h00 Practical session Identifying gaps in your
  SMS
• 10h30 Presentation from Practical session
  Discuss.
• 12h00 Planning SMS Implementation
• 12h30 Lunch

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Current Situation- High Priority Area 7 Safety
Awareness Matters -

• Implementation of ATM 2000 Strategy in respect
  to safety objective at early stage
• Some States have some way to go before their
  safety systems reach maximum efficiency
• Lack of properly qualified safety experts
• Insufficient opportunities for safety-related
  training
• Leadership in safety needs to be strengthened

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Action Required - High Priority Area 7 Safety
Awareness Matters -

• ANSPs shall ensure that SMS is in place (ESARR 3)
• EUROCONTROL shall provide adequate resources and
  guidance material to assist in implementing
  adequate framework
• EUROCONTROL Safety Team to oversee development of
  ATM safety management guidance material
• Campaign to heighten awareness of ATM safety
  related requirements should be launched

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Getting Started

• Implementing and improving a Safety Management
  System
• Lessons Learnt
• Why ?
• What ? A Model can be provided
• How ? Getting Started

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What Causes Accidents ?

• All basic and root causes of accidents can be
  linked back to inadequate management systems
• A systematic approach to manage safety is
  required
• To learn lessons
• To identify and mitigate risks

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Some Terminology
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ValuJet

• DC-9-32 crashed after takeoff from Miami, 11 May
  1996.
• 5 crew and all 105 passengers were killed.
• Accident resulted from fire in class D cargo
  compartment.
• Initiated by the actuation of oxygen generators
  being improperly carried as cargo.
• The probable causes were
• Failure of SabreTech to properly prepare, package
  and identify unexpended chemical oxygen
  generators before presenting them to ValuJet for
  carriage.
• Failure by the FAA to require smoke detection and
  fire suppression systems in class D cargo
  compartments.
• NTSB also identified a number of contributory
  factors and failures in SMSs of the respective
  organisations.

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Herald Of Free Enterprise

• Ferry Herald of Free Enterprise capsized at the
  entrance to Zeebrugge harbour on 6 March 1987. On
  leaving the harbour, water flowed onto the
  vehicle deck through the open bow doors.
• Accident led to at least 193 fatalities. There
  was no time to launch any lifeboats. The absence
  of an accurate passenger list and the difficulty
  of recovering bodies from the sea makes it
  impossible to be certain how many people died.
• The Inquiry Report concluded
• The Board of Directors did not appreciate their
  responsibility for the safe management of their
  ships.
• All concerned in management from the Board of
  Directors down to the junior superintendents,
  were guilty of fault

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Piper Alpha

• The oil rig Piper Alpha was destroyed by an
  explosion and fire on 6 July 1988. It was
  initiated by a leak in the gas compression
  module, which exploded, causing a fire that
  burned through the gas risers, enveloping the
  platform in a jet fire.
• The survivors jumped into the sea. 165 of the 226
  people on board died together with 2 rescuers.
• Likely cause Safety valve removed by contractor
  for overhaul, failure to pass on information
  between shifts, attempt to start respective pump,
  when adjacent pump tripped out, leak from the
  blank flange.
• Result of the Cullen inquiry current offshore
  safety case regime is now in UK legislation and
  regulations.
• The inquiry also made strong recommendations that
  Safety Management Systems should be in place.

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Are your services provided safely ?
Who is accountable for what?
How do your stakeholders know?
How does your CeO know?
?
How safe do you want to be?
How can you benchmark yourselves?
How do you learn to improve safety levels?
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Why have an SMS ?
To answer the previous questions !

• Provides framework for systematic approach to
  manage safety
• Embeds risk management into the organisation
• Improves communications and culture within the
  organisation
• Communication tool to external stakeholders
• Demonstrates compliance to legal obligations
• Makes economic sense, by reducing the direct and
  indirect costs of accidents
• Integrates safety into business planning to
  ensure adequate resource allocation

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Learning Lessons

• An SMS gives you a systematic method to
• Identify your risks
• Mitigate your risks
• Learn lessons from incidents
• Continuously reassess your risks

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What ?- Management System Models -
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What Does a typical SMS look like?
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EUROCONTROL SMS Model
SMH Annex B Rational for SMS Key Activities
and Elements
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EUROCONTROL SMS Model
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EUROCONTROL SMS Model
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EUROCONTROL SMS Model
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EUROCONTROL SMS Model
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EUROCONTROL SMS Model
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SMS ESARR 3
SMH Annex D Relationship to ESARRs
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Safety Management Handbook- Layout Part 3 SMS
Framework -
SMH Annex E Major Accidents and Findingson
SMSs
Guidelines,Tools,Methodologies,Examples
Notes for Annual Review Improvement
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3 Examples

• Policy
• Element 1 Policy
• Planning
• Element 2 Planning
• Achievement
• Element 5 Safety Assessment Risk Mitigation

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Policy- Element 1 Policy -
The Safety Policy establishes the commitment to
Safety and sets out the strategic aims.

• ESSENTIALS
• Commitment
• Policy Provision and Review
• Content
• Circulation and Use

• PRACTICES
• Keep policy memorable
• Demonstrate senior management commitment
• Make Policy known and visible

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Planning- Element 2 Planning -
Planning ensures visibility of the activities
related to the SMS At each level of the
organisation. Planning demonstrates how the aims
of the Safety Policy will be achieved and
outlines the resources required.

• ESSENTIALS
• Strategic Safety Plans
• Annual Safety Plans
• Plan development and Content
• Plan Monitoring

• PRACTICES
• Treat plans as living documents
• Develop leading and lagging indicators of plan
  performance

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Achievement- Element 5 Safety Assessment Risk
Assessment -
Safety Assessment Risk Mitigation form a
cornerstone of the SMS. Assessment of safety
determines the safety significance of changed/new
systems, services operations. Risk estimates
are assessed against targets and Safety
Policy objectives. Means to mitigate risk are
identified, validated implemented.

• ESSENTIALS
• Definition Scope
• Setting Safety Levels
• Conducting Safety Assessments
• Risk Mitigation
• Safety Case

• PRACTICES
• Involve all necessary disciplines stakeholders
• Assess safety before significant changes
• Use hazard logs/registers
• Use risk assessments at all levels in the
  organisation

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Now
enough theory lets get started !
any questions so far?