Session No. 4Session No. 4Implementing Service Providers SMSImplementing Service Providers SMS

Implementing the State’s Safety Implementing the State’s Safety ProgrammeProgramme

SMS Senior Management WorkshopSMS Senior Management WorkshopRome, 21 May 2007Rome, 21 May 2007

Why a Phased Approach to SMS?Why a Phased Approach to SMS?

To provide a manageable series of steps to To provide a manageable series of steps to follow in implementing an SMSfollow in implementing an SMS

To effectively manage the workload associated To effectively manage the workload associated with SMS implementationwith SMS implementation

To pre-empt a “ticking boxes” exerciseTo pre-empt a “ticking boxes” exerciseFour implementation phases are proposedFour implementation phases are proposedEach phase is based upon the introduction of Each phase is based upon the introduction of

specific SMS elementsspecific SMS elements

To provide a manageable series of steps to To provide a manageable series of steps to follow in implementing an SMSfollow in implementing an SMS

To effectively manage the workload associated To effectively manage the workload associated with SMS implementationwith SMS implementation

To pre-empt a “ticking boxes” exerciseTo pre-empt a “ticking boxes” exerciseFour implementation phases are proposedFour implementation phases are proposedEach phase is based upon the introduction of Each phase is based upon the introduction of

specific SMS elementsspecific SMS elements

Phase 1Phase 1Provides a blueprint on how the SMS Provides a blueprint on how the SMS

requirements will be met and integrated to the requirements will be met and integrated to the organization’s work activitiesorganization’s work activities

Provides an accountabilityProvides an accountability framework for the framework for the implementation of the SMSimplementation of the SMS

Provides a blueprint on how the SMS Provides a blueprint on how the SMS requirements will be met and integrated to the requirements will be met and integrated to the organization’s work activitiesorganization’s work activities

Provides an accountabilityProvides an accountability framework for the framework for the implementation of the SMSimplementation of the SMS

Phase 1Phase 11. Identify the accountable executive and the safety

accountabilities of managers Elements 1.1 and 1.2

2. Identify the person (or planning group) within the organization responsible for implementing the SMS Element 1.3

3. Describe the system (Air operator, ATC services provider, approved maintenance organization, certified aerodrome operator) Element 1.4

1. Identify the accountable executive and the safety accountabilities of managers Elements 1.1 and 1.2

2. Identify the person (or planning group) within the organization responsible for implementing the SMS Element 1.3

3. Describe the system (Air operator, ATC services provider, approved maintenance organization, certified aerodrome operator) Element 1.4

Phase 1Phase 1

4.4. Conduct a gap analysis of the organization’s existing resources Conduct a gap analysis of the organization’s existing resources compared with the requirements for establishing a SMS.compared with the requirements for establishing a SMS.Element 1.4Element 1.4

5.5. Develop an SMS implementation plan on the basis of national Develop an SMS implementation plan on the basis of national requirements and international SARPs, the system description requirements and international SARPs, the system description and the results of the gap analysis. and the results of the gap analysis. Element 1.4Element 1.4

6.6. Develop documentation relevant to safety policy and objectivesDevelop documentation relevant to safety policy and objectives Element 1.6Element 1.6

7.7. Develop and establish means for safety communicationDevelop and establish means for safety communication Element 4.2Element 4.2

4.4. Conduct a gap analysis of the organization’s existing resources Conduct a gap analysis of the organization’s existing resources compared with the requirements for establishing a SMS.compared with the requirements for establishing a SMS.Element 1.4Element 1.4

5.5. Develop an SMS implementation plan on the basis of national Develop an SMS implementation plan on the basis of national requirements and international SARPs, the system description requirements and international SARPs, the system description and the results of the gap analysis. and the results of the gap analysis. Element 1.4Element 1.4

6.6. Develop documentation relevant to safety policy and objectivesDevelop documentation relevant to safety policy and objectives Element 1.6Element 1.6

7.7. Develop and establish means for safety communicationDevelop and establish means for safety communication Element 4.2Element 4.2

Phase 2Phase 2

Puts into practice those elements of the SMS Puts into practice those elements of the SMS implementation plan that refer to:implementation plan that refer to:

1.1. Safety risk management component – Reactive Safety risk management component – Reactive processesprocesses

Elements 2.1, 2.2 and 2.3Elements 2.1, 2.2 and 2.3

Puts into practice those elements of the SMS Puts into practice those elements of the SMS implementation plan that refer to:implementation plan that refer to:

1.1. Safety risk management component – Reactive Safety risk management component – Reactive processesprocesses

Elements 2.1, 2.2 and 2.3Elements 2.1, 2.2 and 2.3

Phase 2Phase 22.2. Training relevant to:Training relevant to:

The SMS implementation plan components The SMS implementation plan components The safety risk management component (Reactive The safety risk management component (Reactive

processes)processes) Element 4.1

3.3. Documentation relevant to:Documentation relevant to: The SMS implementation plan components The SMS implementation plan components The safety risk management component (Reactive The safety risk management component (Reactive

processes)processes) Elements 1.4 and 1.6

2.2. Training relevant to:Training relevant to: The SMS implementation plan components The SMS implementation plan components The safety risk management component (Reactive The safety risk management component (Reactive

processes)processes) Element 4.1

3.3. Documentation relevant to:Documentation relevant to: The SMS implementation plan components The SMS implementation plan components The safety risk management component (Reactive The safety risk management component (Reactive

processes)processes) Elements 1.4 and 1.6

Phase 3Phase 3Puts into practice those elements of the SMS

implementation plan that refer to: 1. Safety risk management component – Proactive

and predictive processesElements 2.1, 2.2 and 2.3

2. Training relevant to proactive and predictive processes.

Element 4.13. Documentation relevant to proactive and

predictive processes.Elements 1.4 and 1.6

Puts into practice those elements of the SMS implementation plan that refer to:

1. Safety risk management component – Proactive and predictive processesElements 2.1, 2.2 and 2.3

2. Training relevant to proactive and predictive processes.

Element 4.13. Documentation relevant to proactive and

predictive processes.Elements 1.4 and 1.6

Phase 4Phase 4

1.1. Operational safety assuranceOperational safety assurance Development of acceptable level (s) of safetyDevelopment of acceptable level (s) of safety Development of safety indicators and targetsDevelopment of safety indicators and targets SMS continuous improvement.SMS continuous improvement.

Elements 3.1, 3.2, and 3.3Elements 3.1, 3.2, and 3.32.2. Training relevant to operational safety assuranceTraining relevant to operational safety assurance

Element 4.1Element 4.13.3. Documentation relevant to operational safety Documentation relevant to operational safety

assurance.assurance. Element 1.6Element 1.6

1.1. Operational safety assuranceOperational safety assurance Development of acceptable level (s) of safetyDevelopment of acceptable level (s) of safety Development of safety indicators and targetsDevelopment of safety indicators and targets SMS continuous improvement.SMS continuous improvement.

Elements 3.1, 3.2, and 3.3Elements 3.1, 3.2, and 3.32.2. Training relevant to operational safety assuranceTraining relevant to operational safety assurance

Element 4.1Element 4.13.3. Documentation relevant to operational safety Documentation relevant to operational safety

assurance.assurance. Element 1.6Element 1.6

CAAs – Four Steps for SMS ImplementationCAAs – Four Steps for SMS ImplementationSTEP 1STEP 1State’s safety programmeState’s safety programmeConduct a gap analysis vis-à-vis the current status in Conduct a gap analysis vis-à-vis the current status in

the State of the following:the State of the following:Safety regulationSafety regulationSafety oversight (capabilities and planning)Safety oversight (capabilities and planning)Accident/incident investigationAccident/incident investigationMandatory/voluntary/confidential reporting systemsMandatory/voluntary/confidential reporting systemsSafety data analysisSafety data analysisSafety promotionSafety promotion

Develop the State safety programme around four Develop the State safety programme around four components of the ICAO SMS frameworkcomponents of the ICAO SMS framework

STEP 1STEP 1State’s safety programmeState’s safety programmeConduct a gap analysis vis-à-vis the current status in Conduct a gap analysis vis-à-vis the current status in

the State of the following:the State of the following:Safety regulationSafety regulationSafety oversight (capabilities and planning)Safety oversight (capabilities and planning)Accident/incident investigationAccident/incident investigationMandatory/voluntary/confidential reporting systemsMandatory/voluntary/confidential reporting systemsSafety data analysisSafety data analysisSafety promotionSafety promotion

Develop the State safety programme around four Develop the State safety programme around four components of the ICAO SMS frameworkcomponents of the ICAO SMS framework

STEP 2STEP 2Implementation SMS SARPsImplementation SMS SARPsDevelop SMS regulations for service providersDevelop SMS regulations for service providers

Refer to the SMS components and elements as Refer to the SMS components and elements as per the ICAO SMS training courseper the ICAO SMS training course

Prepare guidance material for SMS implementation Prepare guidance material for SMS implementation Refer to ICAO Doc 9859 and the ICAO SMS Refer to ICAO Doc 9859 and the ICAO SMS

training coursetraining courseOperators/service providers may need to use third Operators/service providers may need to use third

party assistance to implement their SMSparty assistance to implement their SMS

STEP 2STEP 2Implementation SMS SARPsImplementation SMS SARPsDevelop SMS regulations for service providersDevelop SMS regulations for service providers

Refer to the SMS components and elements as Refer to the SMS components and elements as per the ICAO SMS training courseper the ICAO SMS training course

Prepare guidance material for SMS implementation Prepare guidance material for SMS implementation Refer to ICAO Doc 9859 and the ICAO SMS Refer to ICAO Doc 9859 and the ICAO SMS

training coursetraining courseOperators/service providers may need to use third Operators/service providers may need to use third

party assistance to implement their SMSparty assistance to implement their SMS

CAAs – Four Steps for SMS ImplementationCAAs – Four Steps for SMS Implementation

STEP 3CAA training programmeDevelop 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

STEP 3CAA training programmeDevelop 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

CAAsCAAs – – Four Steps for SMS ImplementationFour Steps for SMS Implementation

STEP 4CAA enforcement policyRevision of 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

STEP 4CAA enforcement policyRevision of 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

CAAsCAAs – – Four Steps for SMS ImplementationFour Steps for SMS Implementation

SafetySafety Programme – SMS HarmonizationProgramme – SMS Harmonization

State’s safety programme componentsState’s safety programme components

1.1. Safety policy and objectivesSafety policy and objectives

2.2. Safety risk managementSafety risk management

3.3. Safety assuranceSafety assurance

4.4. Safety promotionSafety promotion

State’s safety programme componentsState’s safety programme components

1.1. Safety policy and objectivesSafety policy and objectives

2.2. Safety risk managementSafety risk management

3.3. Safety assuranceSafety assurance

4.4. Safety promotionSafety promotion

StateState Safety Programme ComponentsSafety Programme Components1. Safety policy and objectives 1. Safety policy and objectives How the CAA will oversee the management of safety in the StateHow the CAA will oversee the management of safety in the State

A definition of CAA requirements, responsibilities and A definition of CAA requirements, responsibilities and accountabilities regarding the State safety programmeaccountabilities regarding the State safety programme

Similar to the equivalent SMS componentSimilar to the equivalent SMS component

1. Safety policy and objectives 1. Safety policy and objectives How the CAA will oversee the management of safety in the StateHow the CAA will oversee the management of safety in the State

A definition of CAA requirements, responsibilities and A definition of CAA requirements, responsibilities and accountabilities regarding the State safety programmeaccountabilities regarding the State safety programme

Similar to the equivalent SMS componentSimilar to the equivalent SMS component

StateState Safety Programme ComponentsSafety Programme Components2. 2. Safety risk management Safety risk management Establishment of controls which govern how Establishment of controls which govern how

service providers SMS will operateservice providers SMS will operateRequirements for service providers SMS Requirements for service providers SMS Same processes as SMS (Hazard Same processes as SMS (Hazard

identification and risk management)identification and risk management)Different outputsDifferent outputs

New/modified rules and/or regulations New/modified rules and/or regulations (i.e., controls) which govern how service (i.e., controls) which govern how service providers SMS operateproviders SMS operate..

2. 2. Safety risk management Safety risk management Establishment of controls which govern how Establishment of controls which govern how

service providers SMS will operateservice providers SMS will operateRequirements for service providers SMS Requirements for service providers SMS Same processes as SMS (Hazard Same processes as SMS (Hazard

identification and risk management)identification and risk management)Different outputsDifferent outputs

New/modified rules and/or regulations New/modified rules and/or regulations (i.e., controls) which govern how service (i.e., controls) which govern how service providers SMS operateproviders SMS operate..

State Safety Programme ComponentsState Safety Programme Components

3. 3. Safety assurance Safety assurance Ensuring that the operation of service providers Ensuring that the operation of service providers

SMS follows established controls (requirements)SMS follows established controls (requirements)Oversight, inspections and auditsOversight, inspections and auditsData tracking and analysisData tracking and analysis

Data driven targeting of oversight on areas Data driven targeting of oversight on areas of greater concern/needof greater concern/need

3. 3. Safety assurance Safety assurance Ensuring that the operation of service providers Ensuring that the operation of service providers

SMS follows established controls (requirements)SMS follows established controls (requirements)Oversight, inspections and auditsOversight, inspections and auditsData tracking and analysisData tracking and analysis

Data driven targeting of oversight on areas Data driven targeting of oversight on areas of greater concern/needof greater concern/need

State Safety Programme ComponentsState Safety Programme Components

4. Safety promotion 4. Safety promotion Support the integration of the State safety Support the integration of the State safety

programme with the operation of service providers programme with the operation of service providers SMSSMSTraining, communication and dissemination of Training, communication and dissemination of

safety informationsafety informationDual-track promotionDual-track promotion

Within the CAAWithin the CAAAmong service providers it overseesAmong service providers it oversees

4. Safety promotion 4. Safety promotion Support the integration of the State safety Support the integration of the State safety

programme with the operation of service providers programme with the operation of service providers SMSSMSTraining, communication and dissemination of Training, communication and dissemination of

safety informationsafety informationDual-track promotionDual-track promotion

Within the CAAWithin the CAAAmong service providers it overseesAmong service providers it oversees

Statesafety

programme

Organization’ssafety

management system (SMS)

Organization’sproductionprocesses

Objective:Publicsafety

Objective:Manage and controlsafety risk

AcceptanceOversight

Objective:Achieve commercialgoals andcustomer satisfaction

Risk managementSafety assurance

ProtectionProtection ProductionProduction

Oversight

TheThe Final Objective – IntegrationFinal Objective – Integration

Safety programme + SMS = Safety programme + SMS = State integrated safety State integrated safety management system management system