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  It’s more than a manual  Its what you do “Through safety management systems, we can shape aviation’s 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 system  The sum of the parts don’t necessarily equal the whole  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 information.

The Total Aviation System

ICAO Requirements States to develop a State Safety Programme (SSP) Service providers to develop Safety Management Systems (SMS) Annexes 1, 6, 8, 11, 13 & 14ICAO Doc 9859 (SMM)Annex 19 International Safety Management Requirements

The EASA Management System SMS in European Rules EASA Management System Safety Management Compliance Monitoring (Quality) Resource Management Marketing and Commercial Facilities Contractors and Sub- contractors Finance & Budget

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 effective.

Keeping it simple  Don’t reinvent the wheel  We have all been ‘doing’ Safety Management  Enhance existing operational processes and procedures  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 organisations  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 organisation  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 error? Improve designs Improve maintenance instructions Identify error traps Identify critical systems with high error rates

Safety Culture  The effectiveness of an SMS hinges on your organisation’s safety culture  A positive safety culture is the result of safety leadership, effective Human Factors programmes, decision making and accountabilities at all levels  A safety culture that includes a just culture promotes open reporting  Safety management has to be a shared responsibility 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 questions?  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 discouraged  Are senior management making reasonable efforts to improve safety culture?  Are safety risks being managed to an acceptable level?  Are employee attitudes to safety compatible with corporate policy?

Can you senior management answer the following questions?  How safe is your operation? (What worries you the most?)  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 CAA’s 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 tools  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

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

The Global Challenge

Summary  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 won’t!  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

1. Loss of Control 2. Runway Excursion 3. Controlled Flight into Terrain 4. Runway Incursion 5. Airborne Conflict 6. Ground Handling SIGNIFICANT SEVEN Questions?