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Session No. 4 Implementing the States Safety Programme Implementing Service Providers SMS.

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Presentation on theme: "Session No. 4 Implementing the States Safety Programme Implementing Service Providers SMS."— Presentation transcript:

1 Session No. 4 Implementing the States Safety Programme Implementing Service Providers SMS

2 The Bridge Civil Aviation Authority Civil Aviation Authority Service Providers SMS Service Providers SMS States safety programme

3 States Safety Programme An integrated set of regulations and activities aimed at improving safety An integrated set of regulations and activities aimed at improving safety States safety programme components States safety programme components 1. States safety policy and objectives 2. States safety risk management 3. States safety assurance 4. States safety promotion

4 States Safety Programme Framework 1.States safety policy and objectives 1.1 CAA safety standards 1.2 CAA safety responsibilities and accountabilities 1.3Accident and incident investigation 1.4 Enforcement policy 2.States safety risk management 2.1 Safety requirements for service providers SMS 2.2 Approval of service providers acceptable levels of safety 3.States safety assurance 3.1 Safety oversight (Inspections, audits and surveys) 3.2 Safety data collection, analysis and exchange 3.3 Safety data driven targeting of oversight on areas of greater concern or need 4.States safety promotion 4.1 Internal training, communication and dissemination of safety information 4.2 External training, communication and dissemination of safety information

5 States Safety Programme Components States safety policy and objectives How the CAA will oversee the management of safety in the State A definition of CAA requirements, responsibilities and accountabilities regarding the States safety programme A definition of CAA requirements, responsibilities and accountabilities regarding the States safety programme

6 States Safety Programme Components States safety risk management States safety risk management Establishment of controls for the management of safety in the State Hazard identification and risk management Hazard identification and risk management Outputs Outputs Rules and regulations Rules and regulations New/modified rules and/or regulations New/modified rules and/or regulations

7 States Safety Programme Components States safety assurance Ensuring that the operations of service providers follow established controls (standards/ requirements) Oversight, inspections and audits Oversight, inspections and audits Data tracking and analysis Data tracking and analysis Data driven targeting of oversight on areas of greater concern/need Data driven targeting of oversight on areas of greater concern/need

8 States Safety Programme Components States safety promotion Support the integration of the State safety programme activities with the operation of service providers SMS Training, communication and dissemination of safety information Training, communication and dissemination of safety information Dual-track promotion Dual-track promotion Within the CAA Within the CAA Among service providers it oversees Among service providers it oversees

9 Four Steps to Support SMS Implementation STEP 1 – States safety programme gap analysis 1.States safety policy and objectives 1.1 CAA safety standards 1.2 CAA safety responsibilities and accountabilities 1.3Accident and incident investigation 1.4 Enforcement policy 2.States safety risk management 2.1 Safety requirements for service providers SMS 2.2 Approval of service providers acceptable levels of safety 3.States safety assurance 3.1 Safety oversight (Inspections, audits and surveys) 3.2 Safety data collection, analysis and exchange 3.3 Safety data driven targeting of oversight on areas of greater concern or need 4.States safety promotion 4.1 Internal training, communication and dissemination of safety information 4.2 External training, communication and dissemination of safety information

10 STEP 2 – CAA training programme Develop a training programme for CAA officers to: Develop a training programme for CAA officers to: provide knowledge of safety management concepts and ICAO SARPs on safety management in Annexes 6, 11 and 14, and related guidance material; and provide knowledge of safety management concepts and ICAO SARPs on safety management in Annexes 6, 11 and 14, and related guidance material; and develop knowledge to certify and oversee the implementation of key components of an SMS, in compliance with the national regulations and relevant ICAO SARPs. develop knowledge to certify and oversee the implementation of key components of an SMS, in compliance with the national regulations and relevant ICAO SARPs. Four steps to support SMS implementation

11 STEP 3 – Implementation SMS SARPs Develop SMS regulations for operators/service providers Develop SMS regulations for operators/service providers Refer to the SMS components and elements as per the ICAO SMS training course Refer to the SMS components and elements as per the ICAO SMS training course Prepare guidance material for the implementation of SMS Prepare guidance material for the implementation of SMS Refer to ICAO Doc 9859 and the ICAO SMS training course Refer to ICAO Doc 9859 and the ICAO SMS training course Four steps to support SMS implementation

12 STEP 4 – CAA enforcement policy As part of the States safety programme, revise the CAAs enforcement policy As part of the States safety programme, revise the CAAs enforcement policy Operators/service providers allowed to deal with deviations/minor violations internally, within the context of the SMS, to the satisfaction of the authority Operators/service providers allowed to deal with deviations/minor violations internally, within the context of the SMS, to the satisfaction of the authority Gross negligence, willful deviation and so forth to be dealt through established enforcement procedures Gross negligence, willful deviation and so forth to be dealt through established enforcement procedures Four steps to support SMS implementation

13 Safety policy and objectives Safety policy and objectives 1.1 – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan 1.5 – Coordination of emergency response planning 1.6 – Documentation Safety risk management Safety risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes Safety assurance Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – The management of change 3.3 – Continuous improvement of the SMS Safety promotion Safety promotion 4.1 – Training and education 4.2 – Safety communication ICAO SMS FRAMEWORK 13

14 Safety Policy and Objectives Safety Policy and Objectives 1.1 – Management commitment and responsibility Identify the accountable executive Single, identifiable person Full responsibility for the organizations SMS CEO/Chairman Board of Directors A partner The proprietor Develop and communicate, with visible endorsement, the safety policy, signed by the accountable executive 1.1 – Management commitment and responsibility Identify the accountable executive Single, identifiable person Full responsibility for the organizations SMS CEO/Chairman Board of Directors A partner The proprietor Develop and communicate, with visible endorsement, the safety policy, signed by the accountable executive

15 1.2 – Safety Accountabilities Accountable executive Flight safety officer Maintenance safety officer Safety Action Group (s) (SAG) Safety Review Board (SRB) Director of operations Director of maintenance Other directorates Safety services office

16 1.3 – Appointment of key safety personnel The safety office – Corporate functions Advising senior management on safety matters Assisting line managers Overseeing hazard identification systems The safety manager Responsible individual and focal point for the development and maintenance of an effective safety management system 1.3 – Appointment of key safety personnel The safety office – Corporate functions Advising senior management on safety matters Assisting line managers Overseeing hazard identification systems The safety manager Responsible individual and focal point for the development and maintenance of an effective safety management system Safety Policy and Objectives Safety Policy and Objectives

17 1.4 – SMS implementation plan Developed by a planning group Developed by a planning group A realistic implementation strategy for the SMS A realistic implementation strategy for the SMS Senior management endorses the plan Senior management endorses the plan Typical implementation time frame: one to four years (Phased approach) Typical implementation time frame: one to four years (Phased approach) 1.4 – SMS implementation plan Developed by a planning group Developed by a planning group A realistic implementation strategy for the SMS A realistic implementation strategy for the SMS Senior management endorses the plan Senior management endorses the plan Typical implementation time frame: one to four years (Phased approach) Typical implementation time frame: one to four years (Phased approach) Safety Policy and Objectives Safety Policy and Objectives

18 1.4 – SMS implementation plan – Contents 1)Safety policy 2)Safety planning, objectives and goals 3)System description 4)Gap analysis 5)SMS components 6)Safety roles and responsibilities 7)Safety reporting policy 8)Means of employee involvement 9)Safety communication 10)Safety performance measurement 11)Management review of the safety performance 1.4 – SMS implementation plan – Contents 1)Safety policy 2)Safety planning, objectives and goals 3)System description 4)Gap analysis 5)SMS components 6)Safety roles and responsibilities 7)Safety reporting policy 8)Means of employee involvement 9)Safety communication 10)Safety performance measurement 11)Management review of the safety performance Safety Policy and Objectives Safety Policy and Objectives

19 1.6 – Documentation – Safety management system manual (SMSM) Key instrument for communicating the organizations approach to safety to the whole organization Documents all aspects of the SMS, including the safety policy, objectives, procedures and individual safety accountabilities 1.6 – Documentation – Safety management system manual (SMSM) Key instrument for communicating the organizations approach to safety to the whole organization Documents all aspects of the SMS, including the safety policy, objectives, procedures and individual safety accountabilities Safety policy and objectives Safety policy and objectives

20 1.Scope of the safety management system 2.The safety policy and objectives 3.Safety accountabilities 4.Key safety personnel 5.Documentation control procedures 6.Hazard identification and risk management schemes 1.Scope of the safety management system 2.The safety policy and objectives 3.Safety accountabilities 4.Key safety personnel 5.Documentation control procedures 6.Hazard identification and risk management schemes 7.Safety performance monitoring 8.Emergency response planning 9.Management of change 10.Safety auditing 11.Safety promotion 12.Contracted activities 1.6 – Documentation – SMSM contents

21 2.1 – Hazard identification processes – 2.1 – Hazard identification processes – A formal means of collecting, recording, acting on and generating feedback about hazards in operations Reactive Proactive Predictive 2.2 – Risk assessment and mitigation processes – 2.2 – Risk assessment and mitigation processes – The analysis and elimination, and/or mitigation to an acceptable level of risks that threaten the capabilities of an organization The risk tolerability matrix 2.1 – Hazard identification processes – 2.1 – Hazard identification processes – A formal means of collecting, recording, acting on and generating feedback about hazards in operations Reactive Proactive Predictive 2.2 – Risk assessment and mitigation processes – 2.2 – Risk assessment and mitigation processes – The analysis and elimination, and/or mitigation to an acceptable level of risks that threaten the capabilities of an organization The risk tolerability matrix Safety Risk Management Safety Risk Management

22 3.1 – Safety performance monitoring and measurement The process by which the safety performance of the organization is verified in comparison to the approved safety policies and objectives. Safety reporting Safety reporting Safety studies Safety studies Safety reviews Safety reviews Audits Audits Surveys Surveys Internal investigations … 3.1 – Safety performance monitoring and measurement The process by which the safety performance of the organization is verified in comparison to the approved safety policies and objectives. Safety reporting Safety reporting Safety studies Safety studies Safety reviews Safety reviews Audits Audits Surveys Surveys Internal investigations … Safety assurance Safety assurance

23 3.2 – The management of change Identify changes within the organization which may affect established processes and services Prior to implementing changes describe the arrangements to ensure safety performance 3.3 – Continuous improvement of the safety system Determine causes of sub-standard performance and their implications in the operation of the SMS Rectify sub-standard performance identified through safety assurance activities 3.2 – The management of change Identify changes within the organization which may affect established processes and services Prior to implementing changes describe the arrangements to ensure safety performance 3.3 – Continuous improvement of the safety system Determine causes of sub-standard performance and their implications in the operation of the SMS Rectify sub-standard performance identified through safety assurance activities Safety assurance Safety assurance

24 4.1 – Training and education – To ensure that personnel are trained and competent to perform the SMS duties Who? Who? Operational personnel Operational personnel Managers and supervisors Managers and supervisors Senior managers Senior managers Accountable executive Accountable executive How much? How much? Appropriate to the individuals involvement in the SMS Appropriate to the individuals involvement in the SMS 4.1 – Training and education – To ensure that personnel are trained and competent to perform the SMS duties Who? Who? Operational personnel Operational personnel Managers and supervisors Managers and supervisors Senior managers Senior managers Accountable executive Accountable executive How much? How much? Appropriate to the individuals involvement in the SMS Appropriate to the individuals involvement in the SMS Safety Promotion Safety Promotion

25 4.2 – Safety communication An essential foundation for the development and maintenance of a positive culture The means to communicate may include Safety policies and procedures News letters Bulletins Website 4.2 – Safety communication An essential foundation for the development and maintenance of a positive culture The means to communicate may include Safety policies and procedures News letters Bulletins Website Safety Promotion Safety Promotion

26 Why a Phased Approach to SMS? To provide a manageable series of steps to follow in implementing an SMS To provide a manageable series of steps to follow in implementing an SMS To effectively manage the workload associated with SMS implementation To effectively manage the workload associated with SMS implementation To pre-empt a ticking boxes exercise To pre-empt a ticking boxes exercise Four implementation phases are proposed Four implementation phases are proposed Each phase is based upon the introduction of specific SMS elements Each phase is based upon the introduction of specific SMS elements To provide a manageable series of steps to follow in implementing an SMS To provide a manageable series of steps to follow in implementing an SMS To effectively manage the workload associated with SMS implementation To effectively manage the workload associated with SMS implementation To pre-empt a ticking boxes exercise To pre-empt a ticking boxes exercise Four implementation phases are proposed Four implementation phases are proposed Each phase is based upon the introduction of specific SMS elements Each phase is based upon the introduction of specific SMS elements

27 Phase 1 1.Identify the accountable executive and the safety accountabilities of managers Elements 1.1 and Identify the person (or planning group) within the organization responsible for implementing the SMS Element Describe the system (Air operator, ATC services provider, approved maintenance organization, certified aerodrome operator) Element Identify the accountable executive and the safety accountabilities of managers Elements 1.1 and Identify the person (or planning group) within the organization responsible for implementing the SMS Element Describe the system (Air operator, ATC services provider, approved maintenance organization, certified aerodrome operator) Element Conduct gap analysis of the organizations resources compared with the SMS requirements Element Develop SMS implementation plan based on national and international requirements, the system description and the gap analysis Element Develop documentation relevant to safety policy and objectives Element Develop and establish means for safety communication Element Conduct gap analysis of the organizations resources compared with the SMS requirements Element Develop SMS implementation plan based on national and international requirements, the system description and the gap analysis Element Develop documentation relevant to safety policy and objectives Element Develop and establish means for safety communication Element 4.2

28 Phase 2 1.Safety risk management component – Reactive processes Elements 2.1, 2.2 and Training relevant to reactive processes Element Documentation relevant to reactive processes Elements 1.4 and Safety risk management component – Reactive processes Elements 2.1, 2.2 and Training relevant to reactive processes Element Documentation relevant to reactive processes Elements 1.4 and 1.6

29 Phase 3 1.Safety risk management component – Proactive and predictive processes Elements 2.1, 2.2 and Training relevant to proactive and predictive processes. Element Documentation relevant to proactive and predictive processes. Elements 1.4 and Safety risk management component – Proactive and predictive processes Elements 2.1, 2.2 and Training relevant to proactive and predictive processes. Element Documentation relevant to proactive and predictive processes. Elements 1.4 and 1.6

30 Phase 4 1.Operational safety assurance Development of acceptable level (s) of safety Development of acceptable level (s) of safety Development of safety indicators and targets Development of safety indicators and targets SMS continuous improvement. SMS continuous improvement. Elements 3.1, 3.2, and Training relevant to operational safety assurance Element Documentation relevant to operational safety assurance. Element Operational safety assurance Development of acceptable level (s) of safety Development of acceptable level (s) of safety Development of safety indicators and targets Development of safety indicators and targets SMS continuous improvement. SMS continuous improvement. Elements 3.1, 3.2, and Training relevant to operational safety assurance Element Documentation relevant to operational safety assurance. Element 1.6

31 State safety programme Organizations safety management system (SMS) Organizations production processes Objective: Public safety Objective: Manage and control safety risk Acceptance Oversight Objective: Achieve commercial goals and customer satisfaction Risk management Safety assuranceProtectionProduction Oversight A Vision of the Future – Integration Safety programme + SMS = States integrated safety system


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