SMS - Safety Management Systems

Safety Management System

Aviation Technology Solutions

Agenda

1. SMS
• Defined
• Purpose
• What it is and what it isn’t
2. Case for SMS
3. SMS Fundamentals
4. Guidance, Tools & Implementation
5. Recommended way to Implement SMS


FAA Definition

“SMS”
“an SMS is a formalized
approach to managing safety by developing an
organization-wide safety policy, developing formal
methods of identifying hazards, analyzing and
mitigating risk, developing methods for ensuring
continuous safety improvement, and creating
organization-wide safety promotion strategies.”


Better Definition?

“SMS”
Systematic and comprehensive process for the
proactive management of safety risks that
integrates operations, technical services
with financial and human resource
management.


SMS Purpose

• Systems approach to control risk
• More effective assurance controls
• Meet statutory safety requirements (title 49)
• FAA means to evaluate management capability
• Proactive application of technical and management
skills to identify and control hazards
o Traditional approach concentrates on technical
o SMS adds emphasis on management elements


What SMS is and is not…

What SMS is: What SMS is not:
Compliance is integral to safety Substitute for compliance
management
Effective interface for safety Substitute for oversight
management
Systems approach Replacement for system safety

Decision making processes for senior Requirement for a new department
and line management


ICAO Annex 6 and 14

• States shall establish State safety
program to achieve acceptable
level of safety in civil aviation.

• Framework for implementation
and maintenance contained in
Safety Management Manual
(SMM) (Doc 9859).

• Acceptable level of safety
established by State.


FAA SMS for Air Carriers


FAA SMS for Airports


Case for SMS


Safety Management System

• Infuse safety into entire system
 People
 Tools Management levels
 Procedures
 Materials
 Equipment
 Software

Protection Production

• Maintain balance of production and protection


Safety vs. Production
Financial
Bankruptcy Management
Protection
un-rocked
boat

Safety Catastrophe
Management

Production
Life of system


Ramp Damage - Big $$$ For Operators
Aileron & Tab Assembly $183,545
Outboard Flap Assembly
$255,845

Parts prices only
Elevator
Inboard Flap
Assembly
Assembly $224,872
$264,708
Cargo Door $58,327

Main Entry Door
$171,220
L.E. Slat Assembly
$52,863
Radome $19,712

Wingtip Assembly $28,872
TAT Probe Side cowl
$6,583 $161,407
AOA Vane Pitot Static Probe Inlet Cowl $329,203 8
$4,300 $5,157 Inlet Cowl Segment $5,151


Accident and Incident Cost!
Direct costs Indirect costs
• Loss of aircraft • Loss use of equipment
• Injuries/death of flight • Loss of staff
crew & passengers  Involved in accident issues
• Insurance deductibles  Lower productivity

• Costs not covered by • Investigation & clean-up
insurance • Legal claims
• Fines
• Misplaced/stranded
passengers
• Negative media exposure
"Airfield incidents/accidents represent ~$ 3.5 B annual cost to industry."


Income lost

Event Direct Indirect
Catering truck hits airplane $17,000 $230,000

Jet way hits airplane $50,000 $600,000

Landing event $1,900,000 $4,800,000


Accidents Cost Small Operators, Too

Claim Flight Training Fixed Wing Air Helicopter
Operation Taxi Operation Air Taxi
Forced landing $150,000 $300,000 $900,000
(aircraft destroyed)

Propeller makes $20,000 $30,000 $150,000
contact with object
on ground
Hangar Rash $5,000 $10,000 $35,000

Flight cancellation $500-1,400 $3-5,000 $8-10,000
per day


Aviation Drove Down Accident Rate

• Regulations,
Policies and
Programs
• Aircraft and
System
Design
• Crew
Resource
Management
• Human
Factors
• Data
Collection,
Analysis and
Corrective
Action
• Safety Culture
and Risk
Management
• Training
• Safety
Management
System –
SMS


Where Aviation Accidents Take Place

Annual worldwide ramp accidents and incidents 1 per 1,000 departures.


Human Error and Operations
• 75% mishaps due to human error
• Type of Errors Vary
 Perception
 Memory Lapses
 Slips
 Wrong Assumption
 Technical Misunderstandings
 Procedure Violations
• Safety Culture
• Decision Making
• Latent Conditions


Heinrich Safety Triangle

Human Error

Causal Factors and Latent Conditions
Personal Equipment
Training Culture Procedures Organizational
Factors Design


Traditional approach – Preventing accidents
Focus on outcomes (causes)
Unsafe acts by operational personnel
Attach blame/punish for failures to “perform safely”
Address identified safety concern exclusively

Identifies:

WHAT? WHO? WHEN?

But not always discloses:
WHY? HOW?


SMS Strategies
Reactive Proactive Predictive
(Past) (Present) (Future)

Actively seek
Analyze
Respond to identification of
system
Incidents and hazardous
processes and
accidents that have conditions
environment to
already through analysis
identify potential
happened of organization’s
future problems
processes


SMS Fundamentals


SMS Components

1. Policy & Objectives
2. Risk Management
3. Safety Assurance
4. Promotion Policy

Risk Safety
Management Assurance

Safety Promotion


SMS Design Attributes
Processes must have attributes built in

• Responsibility: accountable activities + quality
• Authority: power to accomplish activities
• Procedures: clear instructions for employees
• Controls: ensure activities produce correct outputs
• Process Measures: measure processes & results
• Interfaces: Manage processes & relationships between
employees, organization and with contractors, vendors,
customers, other organizations


SMS Attributes and Management

• SMS attributes align with management process:
 Planning: Procedures
 Organizing: Procedures, Responsibilities & Interfaces
 Directing: Responsibilities & Authority
 Controlling: Process Measures & Controls

• Documented in SMM


SMS Component 1
Policy
• Management safety commitment and strategy.
• Framework to put organization & responsibility in place.
• Objectives:
 Leadership
 Training
 Measurable Safety Targets
 Lessons Learned
 Non-Punitive Reporting System
• Manage safety same way as other areas.
• Judgment, assessing priorities, and making decisions.
 Like all management decision making


Corporate Safety Culture
Policy
• Organization’s DNA
(Structure)
• Ingrained in operating norms
• Resources to maintain safe
and efficient operations
• Acknowledge safety concerns Safety Safety Safety
and suggestions: Assurance
Promotion Culture
 Give feedback on decisions
 If no action contemplated,
decision is explained
 Feedback is timely, relevant Risk
and clear Management


SMS Component 2
Safety Risk Management (SRM)
Risk Matrix Model
• Systematic, explicit, &
comprehensive approach for
managing risk throughout
organization.
• Five Phases
1. Describe System
2. Identify Hazards
3. Determine Risk
4. Assess & Analyze Risk
5. Treat Risk - Mitigate


SMS Component 3
Safety Assurance

• Collect and analyze information to determine that
process requirements are continuously being met.
• Assess performance and Risk controls effectiveness
• Works in partnership with Risk Management.
• Program audits
 Internal
 External
• Lessons learned
• Adequate resources


SMS Component 4
Safety Promotion

• Training & education

• Safety competency &
continuous improvement

• Safety communication

• Safety culture – core value


Culture
Management Employees

Communication

Informed: People understand hazards & risks

Learning: Company learns from mistakes. Staff
updated on safety issues by management.

Just: Employees know what is acceptable
& unacceptable behavior.

Reporting: All personnel freely share critical safety
information.


Positive Safety Culture

1. Senior management commitment
2. Senior management visibility
3. Safety accountability framework
4. Safety policy, goals, objectives, standards, and performance
5. Effective employee safety reporting system
6. Safety information system
7. Resource commitment


Commitment to SMS

• Documents alone will not guarantee development of
positive safety culture.
• Employees must see evidence of management
commitment.

Management Attitudes & Actions = most important factor.


SMS Depends on Data Quality

• Reports/Facts - what exists or happening now
• Inferences (Interpretations)
 What’s likely to happen in future,
based on what’s happening now
 Conclusions based on facts
• Judgments
 Value
 Quality assessments
 Good, bad, acceptable, unacceptable
of what is or will exist or happen


Continuous Improvement

SMS continuous improvement through
• Safety and Quality Policies
• Safety Objectives
• Audit & Evaluations
• Analysis of Data
• Corrective and Preventive Actions
• Management Reviews


Management Review

Top management conduct regular reviews of SMS

• Outputs of SRM & SA

• Lessons learned

• Need for changes


SMS
Guidance, Tools and Implementation


SMS Guidance and Tools

• ICAO Doc 9859: Safety Management Manual (SMM)
• FAA Order 8000.369: FAA SMS Guidance
• FAA AC 120-92A (Air Carriers)
• FAA Order 5200.11 FAA Airports SMS
• FAA AC 150-5200/37 (Airports)
• TRB Airport Cooperative Research Board
• Voluntary Implementation Guidance (Multiple Docs)


SMS Implementation Process
Continuous
4 Improvement
Processes
Proactive
3 Processes

Reactive
2 Processes

Planning &
1 Organization
Readiness
Orientation &
0 Commitment


First Steps
Safety Culture & Gap Analysis

• Assess Culture
 Surveys and Observations
 Organizational Interviews
 Review of Policies, Procedures,
Processes & Data
 Analysis & Assessment
• Safety Gap Analysis
 Compare with SMS Principles
 Compare Baseline with
Requirements Good gauge of safety culture is
 Document Results "How we do things around here.”
• Plan Survey Example


2nd Step
Three Simultaneous Activities
Implement SMS SMS Manual Hazard Reporting &
SMS Manager
 Policies  Standalone
 Objectives  ACM  S/W App
 Procedures  Attributes  Web Based
 SRM  Responsibility  Collect Safety
 SA  Authority Data
 Promotion  Procedures  Manage
 Process Events
Measures  Assess Risk
 Interfaces  Mitigate
 Document
 Promote


When Completed
Safety Promotion
ORGANIZATIONAL SAFETY CULTURE

ORGANIZATIONAL SAFETY CULTURE
Safety Policy
Identified New Hazards

SRM Safety
Identify hazards
Assurance
Analyze, assess, Monitor NAS &
knowingly accept, mitigations through:
Audits & Evals
and mitigate risk Trends Analyses
Monitoring plans Data Tracking

Safety Risk
Mitigations

Monitoring

SMS Implementation Plan

Safety Communications


SMS Will…
• Establish meaningful safety policies, goals and objectives
• Create individual accountability for safety
• Demonstrate leadership regarding safety principles
• Launch processes for risk measurement, hazard
identification and mitigation
• Develop collegial interactive teams & improved
communications process
• Implement non-punitive reporting; encourage “lessons
learned”
• Fewer accidents and incidents
• Reduce injury and damage claims costs; better productivity
• Lower Operating Costs


Documented SMS Success Stories

• Conair - Occupational Health and Safety costs:
 Went from +30% to –30% of industry average
 Saved $1,000 per employee year one
 Insurance Premiums stayed constant did not rise like their
competition

• Air Transat saving over $1 million per month
• Skyservice saved $5 million in 1st year


4720 Montgomery Lane
Suite 950
Bethesda, MD 20814
www.jdasolutions.aero
301-941-1460


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