1. Session No. 4 Implementing the State’s Safety Programme Implementing Service Providers SMS1 1 1

2. The Bridge State’s safety programme Civil Aviation Authority Service
Providers
SMS
State’s safety programme

3. State’s Safety Programme
An integrated set of regulations and activities aimed at improving safety
State’s safety programme components
State’s safety policy and objectives
State’s safety risk management
State’s safety assurance
State’s safety promotion

4. State’s Safety Programme Framework
State’s safety policy and objectives
1.1 CAA safety standards
1.2 CAA safety responsibilities and accountabilities
1.3 Accident and incident investigation
1.4 Enforcement policy
State’s safety risk management
2.1 Safety requirements for service providers SMS
2.2 Approval of service providers acceptable levels of safety
State’s 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
State’s safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

5. State’s Safety Programme Components
State’s 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 State’s safety programme

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

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

8. State’s Safety Programme Components
State’s 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
Dual-track promotion
Within the CAA
Among service providers it oversees

9. Four Steps to Support SMS Implementation
STEP 1 – State’s safety programme gap analysis
1. State’s safety policy and objectives
1.1 CAA safety standards
1.2 CAA safety responsibilities and accountabilities
1.3 Accident and incident investigation
1.4 Enforcement policy
2. State’s safety risk management
2.1 Safety requirements for service providers SMS
2.2 Approval of service providers acceptable levels of safety
3. State’s 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. State’s safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

10. Four steps to support SMS implementation
STEP 2 – CAA training programme
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
develop knowledge to certify and oversee the implementation of key components of an SMS, in compliance with the national regulations and relevant ICAO SARPs.

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

12. Four steps to support SMS implementation
STEP 4 – CAA enforcement policy
As part of the State’s safety programme, revise the CAA’s 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
Gross negligence, willful deviation and so forth to be dealt through established enforcement procedures

13. ICAO SMS FRAMEWORK 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
2.1 – Hazard identification processes
2.2 – Risk assessment and mitigation processes
Safety assurance
3.1 – Safety performance monitoring and measurement
3.2 – The management of change
3.3 – Continuous improvement of the SMS
Safety promotion
4.1 – Training and education
4.2 – Safety communication 13

14. Safety Policy and Objectives
1.1 – Management commitment and responsibility
Identify the accountable executive
Single, identifiable person
Full responsibility for the organization’s 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 Action
Group (s)
(SAG)
Safety Review
Board (SRB)
Director of
operations
maintenance
Other directorates
Safety services
office

16. Safety Policy and Objectives
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

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

18. Safety Policy and Objectives
1.4 – SMS implementation plan – Contents
Safety policy
Safety planning, objectives and goals
System description
Gap analysis
SMS components
Safety roles and responsibilities
Safety reporting policy
Means of employee involvement
Safety communication
Safety performance measurement
Management review of the safety performance

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

20. Safety policy and objectives
1.6 – Documentation – SMSM contents
Scope of the safety management system
The safety policy and objectives
Safety accountabilities
Key safety personnel
Documentation control procedures
Hazard identification and risk management schemes
Safety performance monitoring
Emergency response planning
Management of change
Safety auditing
Safety promotion
Contracted activities

21. Safety Risk Management
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 – The analysis and elimination, and/or mitigation to an acceptable level of risks that threaten the capabilities of an organization
The risk tolerability matrix

22. Safety assurance 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 studies
Safety reviews
Audits
Surveys
Internal investigations …

23. Safety assurance 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

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

25. Safety Promotion 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

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

27. Phase 1
Conduct gap analysis of the organization’s resources compared with the SMS requirements
Element 1.4
Develop SMS implementation plan based on national and international requirements, the system description and the gap analysis
Develop documentation relevant to safety policy and objectives
Element 1.6
Develop and establish means for safety communication
Element 4.2
Identify the accountable executive and the safety accountabilities of managers
Elements 1.1 and 1.2
Identify the person (or planning group) within the organization responsible for implementing the SMS
Element 1.3
Describe the system (Air operator, ATC services provider, approved maintenance organization, certified aerodrome operator)
Element 1.4

28. Phase 2 Safety risk management component – Reactive processes
Elements 2.1, 2.2 and 2.3
Training relevant to reactive processes
Element 4.1
Documentation relevant to reactive processes
Elements 1.4 and 1.6

29. Phase 3
Safety risk management component – Proactive and predictive processes
Elements 2.1, 2.2 and 2.3
Training relevant to proactive and predictive processes.
Element 4.1
Documentation relevant to proactive and predictive processes.
Elements 1.4 and 1.6

30. Phase 4 Operational safety assurance
Development of acceptable level (s) of safety
Development of safety indicators and targets
SMS continuous improvement.
Elements 3.1, 3.2, and 3.3
Training relevant to operational safety assurance
Element 4.1
Documentation relevant to operational safety assurance.
Element 1.6

31. A Vision of the Future – Integration
Safety programme + SMS = State’s integrated safety
system
State
safety
programme
Organization’s
management
system (SMS)
production
processes
Objective:
Public
Manage and
control
safety risk
Acceptance
Oversight
Achieve
commercial
goals and
customer
satisfaction
Risk management
Safety assurance
Protection
Production