09 SMS Standard v3a

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09 SMS Standard v3a Powered By Docstoc
					                                                                            Federal Aviation
                                                                            Administration

           Safety
         Management
          Systems

                                                                     SMS Standard:
                                                                    Overview of SMS
                                                                     Requirements


Safety Management Systems (SMS)   2000 The MITRE Corporation. All     Federal Aviation   1 1
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 U.S. FAA SMS Framework
 • The first version of the FAA’s standards was published
   in AC 120-92, Appendix 1

 • Each element in the U.S. standard has an associated
   functional objective – a performance expectation of
   each process

 • AVS is publishing a similar set of standards for both
   internal and external SMSs




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                  Organization of the SMS Standard
   Policy
   Cl. 4

                        Safety
                                                  Safety                           Safety
    Mgmt                 Risk
                                                Assurance                        Promotion
   Structure          Management
                                                (SA) Cl. 6                       (SP) Cl. 7
                      (SRM) Cl. 5

  Procedures               System
                           Descrip                  Data            •Audits         Comm
                                                                    •Invest.
   Process                 Hazard                                   •Reports
   Controls                 Ident                 Analysis                         Training
                           Risk
                          Analysis
                                                   Assmt
                            Risk
                           Assmt
                                                 Prev/Corr
                            Risk                  Action
                           Control


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 SMS System Elements (“System 8”)
 8.1 Organizational Management                     8.3 Safety Assurance
    (Policy)                                       • 8.3.1 Information
 • 8.1.1 Organizational                               Management
    Management                                     • 8.3.2 System Analysis/
 • 8.1.2 Document & Records                        • Assessment
    Management                                     • 8.3.3 Preventive/Corrective
 • 8.1.3 Emergency Response                           Action

 8.2 Safety Risk Management                        8.4 Safety promotion
 • 8.2.1 System/Task Analysis                      • 8.4.1 Preventive/Corrective
 • 8.2.2 Hazard Identification                        Action
 • 8.2.3 Risk Analysis/                            • 8.4.2 Process Qualification &
    Assessment                                        Training
 • 8.2.4 Risk Control


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 Safety Policy

                                          Policy:
                                        (Structure)


                          Risk                                Safety
                         Mgmt.                              Assurance

                                    Safety Promotion:
                                        (Culture)



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                                      Policy

• Objective: Develop an integrated, comprehensive
  SMS for the entire organization

• Top Management must define safety policy and
  convey the expectations and objectives to the
  employees.


• Policy leads the organization to obtain its goals
  and objectives

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 Scope of the SMS
• Included in the complete scope of the operator’s
  systems (e.g. for air operators):
      •   Flight Operations
      •   Dispatch/flight following
      •   Maintenance and inspection
      •   Cabin safety
      •   Ground handling and servicing
      •   Cargo Handling
      •   Training

• Frameworks for repair stations and training
  organizations under development
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 Safety Policy (Element 8.1.1)

• Top Management’s commitment to Safety
• Establish standards of behavior
• Guidance for setting and reviewing safety
  objectives
• Commitment to encourage employee reporting
• Defined management and employee safety
  responsibilities



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 Safety Planning
 •   Plan to meet the safety objectives
 •   Plan for implementation of SMS
 •   Short/Long term planning
 •   Management Functions (“Fayol’s four”)
      • Planning (What to do, when, by whom, with what)
      • Organizing (Who does what, who are the bosses)
      • Directing (Assignment of work)
      • Controlling (Monitoring & Measuring)




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 Organizational Structure & Responsibility
 (Element 8.1.1)
• Top Management has ultimate responsibility
• Line Management chain has primary safety responsibility
     • Authority to direct activity
     • Authority to allocate resources
• Management official to be assigned to oversee SMS (e.g.
  DOS)
     • Organization’s technical expert
     • Process facilitator
• Safety Manager is NOT the “accountable executive”

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 Procedures and Controls
• Top management outlines high level goals and
  objectives (Policy)

• Objectives are translated into processes

• Processes are sets of activities (things people do)

• Procedures provide employees with management
  expectations for method of performance

• Controls include documents and supervisory practices
  to assure desired performance

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 Emergency Preparedness & Response
 (Element 8.1.3)
 • Establish procedures to:
      1) Identify the potential for accidents and incidents
      2) Coordinate and plan organization’s response to
        accidents and incidents
      3) Periodic exercises of the organization’s response

 • Documented Emergency Response Plan
 • Periodic exercises to assure effectiveness and
   efficiency
 • This is not the investigation function

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 Safety Risk Management

                                          Policy:
                                        (Structure)


                          Risk                                Safety
                         Mgmt.                              Assurance

                                    Safety Promotion:
                                        (Culture)



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                    Safety Risk Management
• Understand the critical characteristics of your systems
  and operational environment and apply this knowledge to
  the identification of hazards, risk decision making, and
  the design of risk controls.

• Apply Safety risk management to initial system design
  and review as changes occur to your operational
  environment to maintain safe operations.




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Safety Risk Management (Elements
8.2.x)
• The SRM process shall be applied to:
   1) initial designs of systems, organizations, and/or
     products
   2) development of operational procedures
   3) hazards identified in the safety assurance functions
   4) planned changes to the operational processes to
     identify associated hazards
• Define acceptable levels of risk
• Proactive and reactive aspects to Safety Risk
  Management


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              System
             Analysis             System and Task Analysis
             (Design)
                                   • All systems in cl. 4.1
              Hazard
               Ident               • Sufficient detail for hazard
                                     identification
              Risk
             Analysis              • Analysis of tasks for procedure
                                     development
              Risk
             Assmt                 • A Generic system structure is
                                     under development
               Risk
              Control




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  If you can’t describe what you’re doing as
  a process, you don’t know what you’re
  doing.
                                                 W. Edwards Deming




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               System
              Analysis
                                  5.2 Identify Hazards
              (Design)
                                  • Hazard – Condition, with the
               Hazard
                Ident
                                    potential of causing injuries to
                                    personnel, damage to equipment
                                    or structures, loss of material, or
               Risk
              Analysis              reduction of ability to perform a
                                    prescribed function.
                Risk
               Assmt
                                  • Commonly confused with:
                                     • Events
                Risk
               Control
                                     • Triggering or initiating failures
                                     • Consequences



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 Hazard Identification

 • Formal and informal means of identification
    • System/task analysis (formal, proactive)
    • Audits (formal, reactive)
    • Employee reporting (informal, proactive/reactive)

 • Be careful with overuse of the SRM process




Safety Management Systems (SMS)   2000 The MITRE Corporation. All   Federal Aviation   19 19
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               System
              Analysis
                                  Analyze Safety Risk
              (Design)
                                  • Risk analysis includes:
              Hazard
               Ident                 • Existing risk controls
                                     • Triggering mechanisms
               Risk                  • Outcomes of hazards
              Analysis
                                  • May use risk matrix but not
               Risk
                                    required to determine
              Assmt                  • Severity
                                     • Likelihood
               Risk
              Control




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I’ve got my facts pretty clear…
       …all I want now it to know what they all mean.
                                                        Arthur Conan Doyle, 1904




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              System
             Analysis             Assess Safety Risk
             (Design)

                                   • Assess risk for acceptability
              Hazard
               Ident               • Organization must define:
                                        • Method of determining
              Risk
             Analysis
                                          acceptability (Procedures)
                                        • Criteria for acceptance
               Risk
              Assmt
                                        • Who is authorized to accept
                                          (Authority/Responsibility)
               Risk
              Control




Safety Management Systems (SMS)   2000 The MITRE Corporation. All   Federal Aviation   22 22
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 5.4 Assess Safety Risk (Element 8.2.3)


• Assess risk for acceptability
• Organization must define:
      • Method of determining acceptability (Procedures)
      • Criteria for acceptance
      • Who is authorized to accept (Authority/Responsibility)




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              System               Control Safety Risk
             Analysis
             (Design)
                                  • Risk controls are actions, equipment,
             Hazard                 instructions to control risk to
              Ident
                                    acceptable levels

              Risk
                                  • Hierarchy of controls (AC 120-92 or
             Analysis               ANSI Z-10):
                                      • Design
              Risk
             Assmt                    • Guards and barriers
                                      • Warnings, advisories, signals
              Risk
             Control
                                      • Procedures
                                      • Training

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 5.5 Control Safety Risk (Element 8.2.4)

• Risk controls are actions, equipment, instructions to control
  risk to acceptable levels
• Hierarchy of controls (AC 120-92 or ANSI Z-10):
    • Design
    • Guards and barriers
    • Warnings, advisories, signals
    • Procedures
    • Training



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 Management of Change (New)
            (Element 8.2.6)

 •     Hazard identification, risk assessment for:
      • new system designs
      • changes to existing system design;
      • new operations/procedures
      • modified operations/procedures
 •     Controls as necessary
 •     Special consideration is given to identifying latent
       conditions associated with the change




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 Safety Assurance

                                          Policy:
                                        (Structure)


                          Risk                                Safety
                         Mgmt.                              Assurance

                                    Safety Promotion:
                                        (Culture)



Safety Management Systems (SMS)   2000 The MITRE Corporation. All   Federal Aviation   27 27
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 Safety Assurance

• Assurance: “Something that gives confidence” (Black’s
  Law Dictionary)
• Monitor, measure, and evaluate performance and
  effectiveness of risk controls
• Internal audits and evaluation of safety-related
  operational processes
• Includes processes performed by contractors
• Regular reviews by Top Management




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 System Operation                                                    System
                                                                    Operation


• Safety Assurance activities are
                                                                      Data
  based on a comprehensive                                          Acquisition
                                                                    & Process
  system description

                                                                     Analysis
• Same as developed in the                                           Analysis
                                                                      (RCA)

  System and Task Analysis
  section of the SRM process.                                        System
                                                                     Assmt



                                                                    Corrective
                                                                     Action




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 Continuous Monitoring                                               System
                                                                    Operation



• Organization will monitor                                           Data
                                                                    Acquisition
  operational data, to:                                             & Process
    identify hazards,
    measure the effectiveness of                                    Analysis
                                                                     Analysis
                                                                      (RCA)
     safety risk controls, and
    assess system performance.
                                                                     System
                                                                     Assmt
• Includes products and services
  received from contractors and
  vendors                                                           Corrective
                                                                     Action




Safety Management Systems (SMS)   2000 The MITRE Corporation. All         Federal Aviation   30 30
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 Continuous Monitoring
            (Element 8.3.1)

• Changes in the operating environment and other
  sources can induce new hazards

• Uses data acquired for business and process
  control purposes such as:
     • Crew duty logs
     • Aircraft logbooks
     • Warranty records


• Also provides a check on performance
Safety Management Systems (SMS)   2000 The MITRE Corporation. All   Federal Aviation   31 31
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    Data Acquisition                                                 System
                                                                    Operation



•   Operational Data                                                  Data
                                                                    Acquisition
•   Audits (Internal/External)                                      & Process

•   Evaluations
•   Employee reports                                                 Analysis
                                                                     Analysis
                                                                      (RCA)
•   Investigations
                                                                     System
                                                                     Assmt



                                                                    Corrective
                                                                     Action




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     Data is like garbage. You’d better know
     what you’re going to do with it before
     you collect it.
                                                              Mark Twain




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 6.3.2 Internal Audits by Operational Departments
 (Element 8.3.1)

 • (OBJ) The expectation of this process is that the
   organization will perform regularly scheduled
   internal audits of operational [and SMS] processes,
   including those performed by contractors, to
   determine the performance and effectiveness of
   risk controls.




Safety Management Systems (SMS)   2000 The MITRE Corporation. All   Federal Aviation   34 34
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  6.4. Analysis of Data                                               System
                                                                     Operation

• Processes must be measurable
• Quantitative and qualitative information                             Data
                                                                     Acquisition
• All data sources:                                                  & Process

   • Operational data
   • Audits                                                           Analysis
                                                                      Analysis
                                                                       (RCA)
   • Employee reports
   • Investigation
• Used to assess performance and                                      System
                                                                      Assmt
  effectiveness of:
   • Operational processes (including
      risk controls)                                                 Corrective
                                                                      Action
   • SMS
• Root cause analysis (RCA) of non-
  conformances
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                                                                     System
 6.5 System Assessment                                              Operation

 • A decision process
    • Measures must have                                              Data
                                                                    Acquisition
      criteria (when is                                             & Process
      performance “good
      enough?”)                                                      Analysis
 • Outcomes:                                                          (RCA)

    • Satisfactory performance
      and effectiveness (meets                                       System
      objectives)                                                    Assmt

    • Non-conformance
      (Corrective/preventive                                        Corrective
      action required)                                               Action

    • Process failure

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 Management Reviews (Element 8.3.2)

 • Covers outputs of:
    • Safety Risk Management (Section 5);
    • Safety Assurance (Section 6); and
    • Lessons Learned (Section 7.5)

 • Top Management should use this information to correct
   the organization’s processes

 • The Management Review process is crucial in
   demonstrating management commitment and ensuring
   the effectiveness of the SMS

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Preventive/ Corrective Action                                        System
                                                                    Operation


• Action to eliminate                                                 Data
  nonconformances identified                                        Acquisition
                                                                    & Process
  during analysis to prevent
  recurrence.
                                                                     Analysis
                                                                      (RCA)

• Failed controls must be
  reengineered through the                                           System
                                                                     Assmt
  SRM process.

                                                                    Corrective
                                                                     Action




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 Safety Promotion

                                          Policy:
                                        (Structure)


                          Risk                                Safety
                         Mgmt.                              Assurance

                                    Safety Promotion:
                                        (Culture)



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                            Safety Promotion
  • Communicate the safety related responsibilities for the
    organization’s personnel


  • Developing and documenting competency
    requirements for those positions identified as safety
    related and assuring that employees receive initial and
    recurrent training commensurate with their positions.


  • Promote continuous improvement of its SMS by using
    safety lessons learned and communicating them to all
    personnel.

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 Personnel Requirements (Competence)
 • Develop minimum qualification standards for
   safety-related personnel Should include:
       Hiring criteria
       Training standards
       Personnel evaluation systems

 • Reduces risk of error in performance of its
   safety-related functions




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 Training (Element 8.4.2)
 • Initial and recurrent training used to:
       provide common philosophy, direction, expectations,
       skills necessary for the SMS to be effective


 • Commensurate with safety responsibilities

 • Periodically reviewed and updated




Safety Management Systems (SMS)   2000 The MITRE Corporation. All   Federal Aviation   42 42
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                                                                          Federal Aviation
                                                                          Administration
      FAA Academy
  International Training


            Safety
          Management
           Systems
                                                                      The End



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