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Bringing an SMS Manual to Life


Bringing an SMS Manual to Life Simon Roberts SMS Programme Lead UK CAA – PowerPoint PPT presentation

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Title: Bringing an SMS Manual to Life

Bringing an SMS Manual to Life
  • Simon Roberts
  • SMS Programme Lead
  • UK CAA

What is an SMS?
  • Its how we stay safe
  • Needs to go beyond prescriptive rules
  • It recognises human and organisational factors
  • Its more than a manual
  • Its what you do

Through safety management systems, we can shape
aviations future by continuing to drive down
safety risk. John Hickey, FAA
Prescriptive Rules are not a Complete Solution
  • Aviation is diverse
  • Regulations alone do not ensure safety
  • Differing operating models and environments
  • Large and Small
  • Complex and Non-complex
  • High Risk and Low Risk

The Big Picture
  • Aviation is a complex system with lots of
    components and players
  • Safety Improvements need to recognise the total
  • The sum of the parts dont necessarily equal the
  • The aircraft and system design needs to continue
    to adapt to the environment they are operated in.
  • it needs collaboration and the sharing of safety

The Total Aviation System
International Safety Management Requirements
Annexes 1, 6, 8, 11, 13 14
ICAO Doc 9859 (SMM)
Annex 19
The EASA Management SystemSMS in European Rules
So how do we bring an SMS Manual to life?
  • Keep it simple
  • Make it integrated
  • Recognise human and organisational factors
  • Establish the right organisational culture
  • Assure yourself it is working
  • Increase your corporate knowledge
  • Know your biggest risks

Keep It Simple
  • SMS does not have to be complicated
  • Its more than a manual
  • It should help you make the right decisions with
    the right information
  • Make it work for you
  • It should add safety value
  • The Regulator plays a role in helping you to
    achieve this

SMS in its simplest form
  • Actively look for safety issues in your
    operations, products or services
  • Take action to reduce the risks of those safety
    issues becoming unwanted events
  • Monitor your activities to be sure that you have
    appropriately controlled those risks.
  • An SMS does not have to be complicated to be

Keeping it simple
  • Dont reinvent the wheel
  • We have all been doing Safety Management
  • Enhance existing operational processes and
  • Utilise your own expert judgement
  • Involve your own people

SMS Integration
  • It should be integrated across the organisation
    and with other systems
  • Collaboration and information sharing with other
  • Your contracted organisations
  • Organisations you interact with
  • Your customers and end users
  • The Regulator
  • Regulatory oversight needs to be integrated
  • Manage your contractors

Management of Contractors
  • Your contractors generate risks to your
  • You need to know what they are
  • Have a look at their risk register
  • What is their reporting culture like?
  • Your contractors also protect you
  • Are they applying the risk mitigations you want
    them to?
  • How are you assessing how effective they are
    applying your risk mitigations?
  • Assurance of your contractors
  • Compliance and Safety Risk Assurance

Collaborate with your Contractors
  • For Safety Critical contractors
  • Are they invited to your safety meetings?
  • Are you able to attend their safety meetings?
  • Do you share data?
  • Training and Promotion
  • Consider providing training or workshops for
    safety critical contractors
  • Share safety information with your contractors

System Design and human factors
  • We need to improve how we design systems to
    reflect the way humans operate them and the
    environment they are operated in.
  • What can designers do to reduce maintenance
  • Improve designs
  • Improve maintenance instructions
  • Identify error traps
  • Identify critical systems with high error rates

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Safety Culture
  • The effectiveness of an SMS hinges on your
    organisations safety culture
  • A positive safety culture is the result of safety
    leadership, effective Human Factors programmes,
    decision making and accountabilities at all
  • A safety culture that includes a just culture
    promotes open reporting
  • Safety management has to be a shared

Safety management feeds the safety culture of an
organisation, which in turn feeds the data bases
that give us insight into the risks our
organisation faces.
How would your organisation answer the following
  • Is there managerial encouragement towards
    excessive risk taking?
  • Are operational staff incentivized to bend rules
    to get the job done
  • Are workarounds and excessive risk taking
  • Are senior management making reasonable efforts
    to improve safety culture?
  • Are safety risks being managed to an acceptable
  • Are employee attitudes to safety compatible with
    corporate policy?

Can you senior management answer the following
  • How safe is your operation? (What worries you the
  • How do you know? (How are you measuring and
    monitoring it?)
  • What are your biggest business and safety risks?
  • What are you doing about them?
  • How do you know you are taking the right actions
    in managing your risks?
  • What are you doing about the CAAs Significant 7?
  • What are you getting from your SMS?

Regulatory Oversight of SMS
  • Our oversight will be joined up
  • Oversight of the parts does not equal the
    oversight of the whole system
  • We will assess the compliance and performance of
    the SMS
  • We are moving towards performance based oversight
  • Requires a different regulatory approach with new
  • We are on our own journey

Significant Seven Bow Tie Project
  • Templates focused on relevant risks to each
    Significant Seven
  • Created by multi-disciplined CAA/Industry Subject
    Matter Experts
  • Focused on Large Fixed Wing Commercial Air
    Transport FW Operations
  • Total System Approach (Third Party Risks)
  • Freely available for UK industry to tailor to
    their operation and use within SMS
  • No specific software required (PDF/ Visio/
    Images/ BowTieXP)
  • For the Regulator State Safety Programme (SSP)
  • Performance Based Oversight
  • Data collection and Monitoring
  • Influencing Europe

Materials Available Template Project
  • Core Significant 7 bowties
  • Prominent precursor events (identified through
    CAA intelligence)
  • Fully completed with all elements and additional
  • 13 Supplementary bowties
  • Other precursor events
  • 3 Contributory 3 bowtie
  • Human performance, environment and technical
    aspects of operations
  • Guidance Material to assist tailoring

The Global Challenge
  • When Safety Management is what you do and is part
    of your day to day activities you will get a
    return on your investment.
  • An SMS manual that sits on a shelf wont!
  • We want risk management to be at the centre of
    your future activities (and ours).
  • Keep it as simple as you can!
  • SMS is collaborative and should be integrated