SAFETY MANAGEMENT SYSTEM

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SAFETY MANAGEMENT SYSTEM

• Systematic Approach to Managing Safety Risks

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Key Elements of an SMS

• Safety Policy
• Safety Risk Management
• Safety assurance and change management
• Safety promotion and training

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Key Elements of an SMS

• Safety Policy, objectives and planning to include

• Management commitment
• Safety accountabilities of managers
• Appointment of key personnel
• SMS implementation plan
• Documentation
• Measures for capturing human errors at all
  levels
• Emergency Response Planning

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Key Elements of an SMS

• Safety Risk Management
• Hazard / Risk identification processes
• Risk assessment and mitigation processes
• Internal safety analysis
• Safety occurrence and risk reporting

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Key Elements of an SMS

• Safety assurance and change management, to
  include
• Safety performance monitoring and measurement
• Audits and surveys
• Change management processes
• Continuous improvement processes

• Safety promotion and training, to include
• Training and education
• Safety Communication
• Operational human errors

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NTSB Reports Accident / Incident - Read /
Reviewed REACTIVE Least Efficient
Safety Program Safety Captain, Safety Meetings,
Safety News Letters PROACTIVE More Efficient
Safety Management System Data Gathering /
Analysis PREDICTIVE Most Efficient
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Getting More Information / Safety Culture

• Attitudes / Behaviors
• Constantly emphasize importance of safety
• Demonstrated, developed, and encouraged
• Training / Industry SMS workshops
• Stated Safety Performance goals (measurable)
• Regularly scheduled Safety Meetings
• Participation in the SMS (e.g., Safety Reporting,
  QMP)

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Ideal SMS

• Open communication
• Involvement from everyone
• Hazard / Incident Reporting System
• Ongoing internal self-monitoring system
• Induction / Recurrent Training in the SMS

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IS-BAO Audit

• Stage One / Stage Two / Stage Three

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Stage One
Documented
Resourced
Implemented

• Is conducted
• For Initial Applicants for IS-BAO Registration
• For Renewal audit (weakness in initial audit,
  certification has lapsed, etc.)
• At request of operator (e.g., change in
  ownership, etc.)
• Objectives confirm that
• Necessary SMS infrastructure is in place
• Past / Planned SMS Activities appropriately
  targeted

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Stage Two

• Is conducted
• For operators who have successfully completed
  Stage One / Stage Two
• Objectives confirm that
• SMS activities appropriately targeted
• Safety Risks are being effectively managed
• Note Stage Two renewal audit focuses on
  assessing the appropriateness and effectiveness
  of the SMS, and only samples indicators of SMS
  soundness.

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Stage Three

• Is conducted
• For operators who have successfully completed one
  renewal audit
• Objectives confirm that
• SMS activities are fully integrated into
  operators business
• A positive Safety Culture is being sustained
• Note Auditor should request previous audit
  results

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IS-BAO Stage One Evaluation
SMS is functioning and the results are being
measured
Concentrate on assessing appropriateness and
effectiveness of SMS activities

• Authorities, responsibilities, and
  accountabilities
• Involvement
• Training Program
• Operations Manual
• Active safety management and monitoring

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IS-BAO Stage One Evaluation

• 1. Policy
• Admin, Ops, Maintenance Positive Commitment /
  Awareness level
• Safety Performance Goals (Measurable)
• Management committed to enhancing safety
  performance

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IS-BAO Stage One Evaluation

• 2. Authorities, Responsibilities,
  Accountabilities
• Authorities, responsibilities and
  accountabilities formally described in work
  descriptions?
• Are they complete and unambiguous and understood?

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IS-BAO Stage One Evaluation

• 3. Safety Profile
• Does the operator have a Safety-Risk Profile
• Does the profile identify the major hazards and
  risks?
• - Does it provide sufficient detail to explain
  the mitigation?
• - Does the mitigation address the hazards and
  risks in accordance with their criticality?
• - Is the mitigation integrated into procedures,
  training, processes, etc., as stated in the
  profile?

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IS-BAO Stage One Evaluation

• 4. Proactive Risk Management Procedures
• Are the procedures used?
• Are the results reasonable documented, and
  tracked?
• 5. Management and Employee Involvement
• Are managers and employees encouraged to
  participate in proactive safety management (e.g.
  posters, communications)?

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IS-BAO Stage One Evaluation

• 6. Technical Document Controls
• Are procedures for ensuring current technical
  documents (e.g. manuals) consistently employed?
• Do staff always use up-to-date technical
  documents and procedures?

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IS-BAO Stage One Evaluation

• 7. Training
• - Does training highlight safety critical issues,
  and particularly those identified in the safety
  profile?
• 8. Operations Manual
• Does the Ops Manual highlight safety critical
  issues, in accordance with the Safety Profile?

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IS-BAO Stage One Evaluation

• 9. Safety Information
• During an Initial Evaluation, safety information
  is assessed only for soundness.
• 10. Occurrence reporting
• Are procedures for reporting occurrences clear
  and appropriately disseminated?
• Are managers and staff aware of their
  responsibilities?

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IS-BAO Stage One Evaluation

• 11. Safety Performance Evaluation
• During an Initial Evaluation, safety information
  is assessed only for soundness.
• 12. Active Safety Management Monitoring
• Are there systematic processes to ensure that the
  activity planned to modify procedures or
  practices is actually completed?

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IS-BAO Stage One Evaluation

• 13. SMS Documentation
• Is documentation complete?
• Is documentation clear, efficient, and used?

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Quality Monitoring Program

• QMP

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Terms /Definitions

• Audit a systematic and objective review of a
  flight departments operations and maintenance
  framework to verify conformity with written
  guidance.
• Auditor verifies through independent review,
  inspection, examination, measurement, checking,
  observation, and monitoring to document that
  processes, practices, procedures and documents
  (records) conform to written guidance.
• Co-Auditor Assists auditor, is being trained to
  perform the tasks of an auditor, or serves as a
  backup

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Terms / Definitions

• Administrator Person that oversees the SMS /
  QMP. Typically, Safety Manager, or Director, or
  both.
• Tasks are procedures assigned to auditors by
  which information is obtained to verify flight
  department is in conformity. Such activities may
  include, but are not limited to, interviews,
  observations, inspections, and the review of
  files and documents.
• QMP Audit Form printed checklist of audit tasks
• Discrepancy non-conformity to written guidance
  (IS-BAO approved)

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Gathering Data for Trend Analysis
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Mitigation
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Archived / Measured for Effectiveness /
Underlying Circumstances / Trend Analysis
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Thank you for the opportunity to present

• Quality Monitoring Program (QMP)

..an integral component to the Safety Management
System