EGSMM Draft v0!1!23 July 09

EUROPEAN ORGANISATION FOR THE SAFETY OF AIR NAVIGATIONEUROCONTROL

EUROCONTROL GENERIC SAFETY MANAGEMENT MANUAL (EGSMM)

Edition Number Edition Date Status Intended for

: : : :

1.23 27 July 2009 Proposed Issue General Public

EUROCONTROL

EGSMMEUROCONTROL GENERIC SAFETY MANAGEMENT MANUAL

DOCUMENT CHARACTERISTICSTITLE EGSMM EUROCONTROL GENERIC SAFETY MANAGEMENT MANUALCND/ND ref: Document Identifier Edition Number: Edition Date:0.1 23/03/2009

Abstract The EGSMM is meant to provide a basis for ANSPs to develop their own Safety Management Manual in compliance with regulations applicable in the ECAC area. It therefore aims at providing: ANSPs with practical guidance as to what should be in a Safety Management Manual; and example and illustrative material which could readily be adapted for use in an ANSPs Safety Management Manual. KeywordsSafety Management Competency assurance Safety Management Manual Safety Responsibilities Safety organisation Safety manager Emergency planning Safety surveys Safety monitoring Safety documentation Safety records Safety targets Risk management Change management Safety occurrence reporting Safety occurrence investigation SMS implementation plan Safety policy Safety assessment External services

Contact Person(s) Tony LICU Gilles LE GALO

Tel +32 2 729 34 80 +32 2 729 51 94

e-mail [email protected] [email protected]

STATUS, AUDIENCE AND ACCESSIBILITYStatus Intended for

Accessible via Intranet Extranet Internet (www.eurocontrol.int)

Working Draft Draft Proposed Issue Released Issue

General Public EATMP Stakeholders Restricted Audience

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DOCUMENT APPROVALThe following table identifies all management authorities who have successively approved the present issue of this document.

AUTHORITY

NAME AND SIGNATURE

DATE

Co-Author Bernard LUCAT

Co-Author Frdric LIEUTAUD

Lead Author Gilles LE GALO ESP Programme Manager & Sponsor

Tony LICU

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DOCUMENT CHANGE RECORDThe following table records the complete history of the successive editions of the present document.

EDITION NUMBER

EDITION DATE

REASON FOR CHANGE

PAGES AFFECTED

V0.1 V1.23

23/03/09 27/07/09

Released Issue Revised Proposed Issue SASI consultation

All All

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CONTENTSCHAPTER 1 INTRODUCTION ..................................................................................151.1 1.2 1.3 1.4 1.5 Overview ................................................................................................................. 16 Aim of EGSMM ....................................................................................................... 17 Note for the attention of National Supervisory Authorities...................................... 17 Manual Structure..................................................................................................... 18 How to use the EGSMM. ........................................................................................ 19 1.5.1 Practical use............................................................................................... 19 1.5.2 Legal requirements references .................................................................. 19 How to write a SMS procedure ............................................................................... 19 Procedure development checklist........................................................................... 20 The place of the Safety Management Manual in the SMS ..................................... 21 Chapters contents................................................................................................... 21 1.9.1 Key issues.................................................................................................. 21 1.9.2 Legal requirements .................................................................................... 21 1.9.3 Examples ................................................................................................... 21 1.9.4 Human factors............................................................................................ 21 1.9.5 Safety activities and safety deliverables .................................................... 22 1.9.6 Useful sources for reference...................................................................... 22 1.9.7 Reference to guidance material ................................................................. 22

1.6 1.7 1.8 1.9

CHAPTER 2 SAFETY POLICY .................................................................................242.1 Key Issues .............................................................................................................. 24 2.1.1 Purpose of Safety Policy............................................................................ 24 2.1.2 Different Forms of Policy and its Content .................................................. 24 2.1.3 How to Communicate Policy ...................................................................... 25 Legal Requirements................................................................................................ 25 2.2.1 EU States ................................................................................................... 25 2.2.2 ECAC States .............................................................................................. 25 Examples of Policies............................................................................................... 26 Human factors......................................................................................................... 28 Safety activities and Safety Deliverable(s) ............................................................. 28 Useful sources for reference................................................................................... 28

2.2

2.3 2.4 2.5 2.6

CHAPTER 3 SAFETY ORGANISATION ..................................................................303.1 Key Issues .............................................................................................................. 30 3.1.1 Purpose of Safety Organisation ................................................................. 30 3.1.2 Different sizes/ type of organisation........................................................... 31 3.1.3 Structures and roles................................................................................... 31 3.1.4 Cost of an SMS .......................................................................................... 32 Legal requirements ................................................................................................. 33 3.2.1 EU States ................................................................................................... 33 3.2.2 ECAC States .............................................................................................. 33 Example TORs for Positions and Units & Organograms........................................ 33 3.3.1 Safety Manager.......................................................................................... 33 3.3.2 Safety Review Board (SRB)....................................................................... 34 3.3.3 Safety Committee (SC) .............................................................................. 34 3.3.4 Example Organograms .............................................................................. 35

3.2

3.3

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3.4 3.5

Safety activities and Safety Deliverable(s) ............................................................. 36 Useful sources for reference................................................................................... 36

CHAPTER 4 SAFETY RESPONSIBILITIES & ACCOUNTABILITIES .....................384.1 Key Issues .............................................................................................................. 38 4.1.1 Purpose of job descriptions........................................................................ 38 How to develop job descriptions ................................................................ 38 Easy start ................................................................................................... 39 Training requirements............................................................................................. 43 Legal requirements ................................................................................................. 45 4.3.1 EU States ................................................................................................... 45 4.3.2 ECAC ......................................................................................................... 45 Example Roles and Responsibilities....................................................................... 46 4.4.1 EATM Safety Management Handbook ...................................................... 46 Human factors......................................................................................................... 48 Safety activities and Safety Deliverable(s) ............................................................. 48 Useful sources for reference................................................................................... 48

4.2 4.3

4.4 4.5 4.6 4.7

CHAPTER 5 EXTERNAL SERVICES .......................................................................505.1 Key Issues .............................................................................................................. 50 5.1.1 Purpose of special controls on External Services...................................... 50 5.1.2 Overall Process for Management of External Services ............................. 50 5.1.3 Policy.......................................................................................................... 51 5.1.4 Identification of External Services.............................................................. 51 5.1.5 Assessment of External Suppliers ............................................................. 52 5.1.6 Business/ Contractual Arrangements ........................................................ 52 5.1.7 Implementation of Mitigation Measures ..................................................... 53 5.1.8 Staff responsible for identifying and managing external services.............. 53 Legal requirements ................................................................................................. 53 5.2.1 EU .............................................................................................................. 53 5.2.2 ECAC ......................................................................................................... 53 Examples ................................................................................................................ 53 5.3.1 Policy.......................................................................................................... 53 5.3.2 SLA ............................................................................................................ 54 Human factors......................................................................................................... 55 Safety activities and Safety Deliverable(s) ............................................................. 55 References to Guidance Material ........................................................................... 56

5.2

5.3

5.4 5.5 5.6

CHAPTER 6 COMPETENCY ASSURANCE ............................................................586.1 Key Issues .............................................................................................................. 58 6.1.1 Purpose of Competency Assurance .......................................................... 58 6.1.2 Overall Organisation of Competency Assurance....................................... 58 6.1.3 Training Needs Analysis ............................................................................ 59 6.1.4 Training and Assessment Schemes for each staff position....................... 59 6.1.5 Safety management training ...................................................................... 60 6.1.6 Monitoring .................................................................................................. 60 6.1.7 Extended Absence..................................................................................... 60 6.1.8 Medicals and Substance Abuse................................................................. 61 6.1.9 Language Proficiency ................................................................................ 61 6.1.10 Records...................................................................................................... 62 Legal and regulatory requirements ......................................................................... 63 6.2.1 ICAO SARPS ............................................................................................. 63 6.2.2 EU requirements ........................................................................................ 63

6.2

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6.3

6.4 6.5 6.6

6.2.3 EUROCONTROL requirements ................................................................. 63 Examples ................................................................................................................ 64 6.3.1 ATSEP safety critical tasks (imported from a draft from SATTA) .............. 64 6.3.2 Example table of staff covered by a competency scheme ........................ 65 Human factors......................................................................................................... 66 Safety activities and Safety Deliverable(s) ............................................................. 66 References to Guidance Material ........................................................................... 66

CHAPTER 7 SAFETY OCCURRENCE REPORTING ..............................................697.1 Key Issues .............................................................................................................. 69 7.1.1 Purpose of Safety Occurrence Reporting .................................................. 69 7.1.2 Definition of what should be reported ........................................................ 69 7.1.3 Systems / channels available for reporting ................................................ 71 7.1.4 Types of reporting systems and confidentiality levels implemented at XXXCONTROL .......................................................................................... 72 7.1.5 Written reports............................................................................................ 72 7.1.6 Definition of responsibilities ....................................................................... 74 7.1.7 Automatic reporting mechanisms............................................................... 74 7.1.8 Obligation of reporting................................................................................ 76 7.1.9 Confidentiality............................................................................................. 76 7.1.10 Just Culture ................................................................................................ 76 7.1.11 Training requirements ................................................................................ 77 Legal requirements ................................................................................................. 78 7.2.1 EU .............................................................................................................. 78 7.2.2 ECAC ......................................................................................................... 78 7.2.3 ICAO .......................................................................................................... 79 Examples ................................................................................................................ 80 7.3.1 APDSG form (paper).................................................................................. 80 7.3.2 APDSG reporting form (electronic) ............................................................ 81 7.3.3 Example of an ATC Technical Occurrence report form ............................. 84 7.3.4 TOKAI ........................................................................................................ 85 7.3.5 Automatic Safety data Gathering Tools ASDG.......................................... 85 Human factors......................................................................................................... 86 Safety activities and Safety Deliverable(s) ............................................................. 86 Useful sources for reference................................................................................... 86 Guidance Material................................................................................................... 87

7.2

7.3

7.4 7.5 7.6 7.7

CHAPTER 8 SAFETY OCCURRENCE INVESTIGATION........................................898.1 Key Issues .............................................................................................................. 89 8.1.1 Purpose of investigation............................................................................. 89 8.1.2 Definition of Investigation (ICAO Annex 13) .............................................. 89 8.1.3 Decision to carry out an Investigation........................................................ 89 8.1.4 Key roles and responsibilities .................................................................... 90 8.1.5 Data gathering............................................................................................ 91 8.1.6 Interviewing procedure............................................................................... 93 8.1.7 Preliminary report....................................................................................... 94 8.1.8 Safety occurrence analysis ........................................................................ 94 8.1.9 Findings and causes .................................................................................. 95 8.1.10 Safety occurrence risk assessment ........................................................... 95 8.1.11 Recommendations ................................................................................... 100 8.1.12 Remedial actions ..................................................................................... 101 8.1.13 Follow-up recommendations.................................................................... 101 8.1.14 Process verification.................................................................................. 102 8.1.15 Final report ............................................................................................... 102 8.1.16 Lesson dissemination .............................................................................. 102

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8.2

8.3

8.4 8.5 8.6 8.7

8.1.17 Safety data exchange .............................................................................. 102 8.1.18 Use of recordings and related material for occurrence reconstruction by the investigator in charge .................................................................... 103 8.1.19 Use of radar simulations .......................................................................... 103 8.1.20 Disciplinary/Ethics/professional commission or committee ..................... 103 8.1.21 Use of safety concerns detected during an investigation that have no linkage with the occurrence ..................................................................... 105 8.1.22 Human factors in investigation................................................................. 105 8.1.23 Assistance to persons concerned ............................................................ 105 8.1.24 Policy for operational voice and surveillance recording........................... 106 8.1.25 Records and archiving ............................................................................. 108 8.1.26 Decision to halt the investigation ............................................................. 108 8.1.27 Use of safety nets and monitoring tools................................................... 108 Legal Requirements.............................................................................................. 109 8.2.1 EU ............................................................................................................ 109 8.2.2 ESSAR 2 .................................................................................................. 109 8.2.3 ICAO ........................................................................................................ 109 Examples .............................................................................................................. 110 8.3.1 Data gathering checklist........................................................................... 110 8.3.2 Records and storage of occurrence investigation:................................... 111 8.3.3 SOFIA methodology:................................................................................ 111 8.3.4 SOAM methodology................................................................................. 112 8.3.5 Tools ........................................................................................................ 112 Human Factors ..................................................................................................... 113 Safety activities and Safety Deliverable(s) ........................................................... 114 Useful sources for reference................................................................................. 114 Reference to guidance material............................................................................ 115

CHAPTER 9 CRISIS MANAGEMENT ....................................................................1179.2 9.1.1 117 Key Issues ............................................................................................................ 117 9.2.1 Crisis Management Plan.......................................................................... 117 9.2.2 The initial call ........................................................................................... 118 9.2.3 Initial response ......................................................................................... 118 Legal requirements ............................................................................................... 119 Example ................................................................................................................ 119 9.4.1 The Six Actions for Managing Crisis ........................................................ 119 9.4.2 Roles and Responsibilities in a Crisis ...................................................... 120 9.4.3 Crisis Log Book ........................................................................................ 121 9.4.4 Communicating during a crisis................................................................. 121 Human factors....................................................................................................... 124

9.3 9.4

9.5

CHAPTER 10 SAFETY ASSESSMENTS ...............................................................12610.1 Key Issues ............................................................................................................ 126 10.1.1 Purpose and objectives of safety assessments....................................... 126 10.1.2 Scope of safety assessments .................................................................. 126 10.2 Legal requirements ............................................................................................... 126 10.2.1 ESSAR 2 safety regulatory requirement.................................................. 126 10.2.2 ESSAR 3 safety regulatory requirement.................................................. 127 10.2.3 ESSAR 4 safety regulatory requirement.................................................. 127 10.2.4 ICAO ........................................................................................................ 127 10.3 Examples .............................................................................................................. 128 10.3.1 EUROCONTROL EATM safety assessment process ............................. 128 10.3.2 Determination of the need for safety assessment ................................... 129

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10.4

10.5 10.6 10.7 10.8

10.3.3 Initial safety argument.............................................................................. 141 10.3.4 Safety plan ............................................................................................... 141 10.3.5 Safety assessment activities.................................................................... 141 Risk classification system (RCS) .......................................................................... 142 10.4.1 Safety cases............................................................................................. 142 10.4.2 Example Safety Argument ....................................................................... 143 10.4.3 Documenting safety assessments ........................................................... 143 10.4.4 Safety assessment of organisational changes ........................................ 144 10.4.5 Training and competency......................................................................... 144 10.4.6 Interface with the NSA ............................................................................. 147 10.4.7 Endorsement procedures......................................................................... 147 10.4.8 Signatory concept .................................................................................... 148 10.4.9 Project tracking database ........................................................................ 150 Human Factors ..................................................................................................... 151 Safety activities and safety deliverable(s) ............................................................ 152 Useful sources for reference................................................................................. 152 Reference to guidance material............................................................................ 153

CHAPTER 11 SAFETY SURVEYS .........................................................................15511.1 Key Issues ............................................................................................................ 155 11.1.1 Purpose and objectives of surveys .......................................................... 155 11.1.2 Responsibilities and roles ........................................................................ 157 11.1.3 Scope and conduct of safety surveys ...................................................... 157 11.1.4 Types of survey / techniques ................................................................... 161 11.1.5 Selection and training of surveyors.......................................................... 162 11.1.6 Confidentiality........................................................................................... 163 11.2 Legal Requirements.............................................................................................. 163 11.2.1 ICAO ........................................................................................................ 163 11.2.2 EU ............................................................................................................ 164 11.2.3 ECAC ....................................................................................................... 164 11.3 Examples .............................................................................................................. 164 11.4 Human factors....................................................................................................... 165 11.5 Safety activities and safety deliverables............................................................... 165 11.6 Useful sources for reference................................................................................. 166 11.7 References to Guidance Material ......................................................................... 166

CHAPTER 12 SAFETY MONITORING & SAFETY TARGETS ..............................16812.1 Key Issues ............................................................................................................ 168 12.1.1 Purpose and objectives of monitoring...................................................... 168 12.1.2 Requirements at international level.......................................................... 169 12.1.3 Key Performance Indicators KPIs in the Aviation Community context .... 170 12.1.4 Scope of safety monitoring at the level of the organisation ..................... 171 12.2 Safety targets........................................................................................................ 176 12.2.1 Purpose and objectives of targets............................................................ 176 12.2.2 Responsibilities and roles ........................................................................ 176 12.2.3 Identification of targets............................................................................. 176 12.2.4 Target setting ........................................................................................... 178 12.2.5 KPIs for the organisation.......................................................................... 180 12.2.6 Responsibilities and roles ........................................................................ 185 12.2.7 Monitoring techniques and data sources ................................................. 185 12.2.8 Reporting for safety monitoring purposes................................................ 187 12.2.9 Verification of results................................................................................ 187 12.2.10 Feedback to planning............................................................................... 188 12.2.11 Targets for reporting ................................................................................ 188

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12.3 Legal Requirements.............................................................................................. 189 12.3.1 EU ............................................................................................................ 189 12.3.2 ECAC ....................................................................................................... 189 12.3.3 ICAO ........................................................................................................ 189 12.4 Examples .............................................................................................................. 189 12.5 Human factors....................................................................................................... 192 12.6 Safety activities and safety deliverable(s) ............................................................ 193 12.7 Useful sources for reference................................................................................. 193 12.8 References to Guidance Material ......................................................................... 193

CHAPTER 13 SAFETY RECOMMENDATIONS & CORRECTIVE ACTIONS MANAGEMENT......................................................................................19513.1 13.2 13.3 13.4 13.5 13.6 13.7 13.8 Key issues............................................................................................................. 195 Roles and responsibilities ..................................................................................... 196 Legal requirements ............................................................................................... 198 Examples .............................................................................................................. 198 Human factors....................................................................................................... 198 Safety activities and safety deliverables............................................................... 199 Useful sources for information .............................................................................. 199 Reference to guidance material............................................................................ 199

CHAPTER 14 SAFETY DOCUMENTATION ..........................................................20114.1 Key Issues ............................................................................................................ 201 14.1.1 Purpose and objectives of records and other documentation ................. 201 14.1.2 Responsibilities and roles ........................................................................ 202 14.1.3 Signatory concept .................................................................................... 203 14.1.4 Identification of records and key documentation ..................................... 205 14.1.5 Data storage, access, maintenance and archive..................................... 206 14.1.6 Document configuration ........................................................................... 208 14.1.7 Link to QMS ............................................................................................. 215 14.2 Legal Requirements.............................................................................................. 215 14.2.1 EU ............................................................................................................ 215 14.2.2 ECAC ....................................................................................................... 216 14.3 Human factors....................................................................................................... 216 14.4 Safety activities and safety deliverable(s) ............................................................ 216 14.5 Useful sources for reference................................................................................. 216 14.6 References to Guidance Material ......................................................................... 216

CHAPTER 15 SMS ENABLERS .............................................................................21815.1 15.2 15.3 15.4 15.5 15.6 15.7 15.8 15.9 15.10 15.11 Key issues............................................................................................................. 218 Safety culture ........................................................................................................ 219 Lets check your safety culture level ..................................................................... 222 Code of ethics ....................................................................................................... 224 Measuring the safety culture of operational staff.................................................. 225 Just culture............................................................................................................ 225 Legal requirements ............................................................................................... 228 Examples .............................................................................................................. 228 Human factors....................................................................................................... 228 Safety activities and safety deliverables............................................................... 228 Useful sources for information .............................................................................. 228

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15.12 Reference to guidance material............................................................................ 229

CHAPTER 16 SMS IMPLEMENTATION PLANNING.............................................23116.1 Key Issues ............................................................................................................ 231 16.1.1 Establish regulatory requirements and organisations ambition .............. 231 16.1.2 Baseline survey........................................................................................ 232 16.1.3 Gap analysis ............................................................................................ 233 16.1.4 Implementation planning.......................................................................... 234 16.1.5 Implementation execution ........................................................................ 235 16.2 Legal requirements ............................................................................................... 236 16.2.1 EU ............................................................................................................ 236 16.2.2 ECAC ....................................................................................................... 236 16.3 Examples .............................................................................................................. 236 16.3.1 Audit protocol ........................................................................................... 236 16.3.2 River diagram (EUROCONTROL example) ............................................ 236 16.3.3 Gap analysis form (example from Transport Canada)............................. 237 16.3.4 Sample Implementation Project Plan from Transport Canada (Safety Policy) ...................................................................................................... 238 16.4 Human factors....................................................................................................... 239 16.5 Safety activities and safety deliverables............................................................... 239 16.6 Useful sources for reference................................................................................. 239 16.7 References to guidance material .......................................................................... 239

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COPYRIGHT & DISCLAIMER 2008 The European Organisation for the Safety of Air Navigation (EUROCONTROL). This document is published by EUROCONTROL for information purposes. It may be copied in whole or in part, provided that EUROCONTROL is mentioned as the source and to the extent justified by the non-commercial use (not for sale). The information in this document may not be modified without prior written permission from EUROCONTROL.

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PREFACEThe EGSMM was developed in the context of the Support to ANSPs for SMS Implementation- SASI Project which started late 2005. The EGSMM is therefore the result of a collective effort of EUROCONTROL experts and ANSPs participating to the SASI Project, for this reason EUROCONTROL experts and Management express their gratitude to ANSPs concerned. The SASI project can be found at: http://www.eurocontrol.be/safety/public/standard_page/sasi.html Whereas it intends to be as comprehensive and informative as could be, comments from the ATM community are encouraged and should be addressed to [email protected]. Note1: all chapters provide information on useful sources of information as relevant, however the reader may like to note that a large amount of information can be found at the EUROCONTROL/ICAO/FSF portal: http://www.skybrary.aero Note 2: Most Chapters comprise a paragraph on Human Factors issues pertinent to the chapter. By no means is this to be considered as an exhaustive description of human factors issues. The human factors elements provided are only some hints based on experience as to how human factors issues may hinder (or foster) the SMS processes and procedures. These human factors provisions are rather meant to raise some awareness and trigger further internal discussions between safety specialists and human factor specialists.

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CHAPTER 1 INTRODUCTION

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1.1

Overview

In the recent years the regulatory environment as well as the safety culture in the ATM community has dramatically evolved leading ATM to adopt a more formalised approach to safety management. This has been driven by regulations and international guidelines, including: ICAO SARPS: ICAO Doc 4444 PANS-ATM ICAO Annex 11 ICAO Doc 9859 Safety Management Manual

EU requirements: Commission Regulation EC No. 2096/ 2005 which lays down common requirements for the provision of air navigation services states has a large section (Annex II, section 3) on SMS and risk assessment. These can be found at: http://ec.europa.eu/transport/air_portal/traffic_management/ses/implementing_rules_en.htm Council Directive 94/56/EC of 21 November 1994 establishing the fundamental principles governing the investigation of civil aviation accidents and incidents This can be found at: http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:31994L0056:EN:HTML Council Directive 2003/42/Econ occurrence reporting in avaiation http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2003:167:0023:0036:EN:PDF

EUROCONTROL Requirements: ESARR1 ESARR2 ESARR3 ESARR4 ESARR5 ESARR6 These can be found at: http://www.eurocontrol.be/src/public/standard_page/src_deliverables.html

Important note: Potential users of the EGSMM must refer to their National Laws when considering regulatory aspects to elaborate their Safety Management Manual/Systems. National Laws, although possibly largely based on some or all the references mentioned above, are the only reference against which an SMS and its relevant material must be developed in a given State.

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1.2

Aim of EGSMM

The EUROCONTROL Generic Safety Manual is intended for ANSPs that wish to refer to an example of such a document in order to develop their own Safety Management Manual. Whilst it attempts to be exhaustive; it is restricted by local peculiarities such as institutional arrangements or national legislative framework that cannot be envisaged in a generic document. On the other hand depending on the size of the ANSP it may be largely oversized. Therefore ANSPs willing to use this material as a basis for their Safety Management Manual will need to take their local environment (legislative in particular but also size of their organsiation) into account to develop their SMM. This will ensure ANSPs take ownership of their SMM. In practical terms the EGSMM aims at providing ANSPs with: practical guidance as to what should form part of a Safety Management Manual; and examples and illustrative material which could readily be adapted for use in an ANSPs Safety Management Manual.

1.3 Note for the attention of National Supervisory AuthoritiesAs the following paragraphs concerning the use of the EGSMM highlight, the EGSMM cannot be taken as it stands by an ANSP to make it its own Safety Management Manual. It must be noted that in some areas the EGSMM goes beyond the requirements applicable (ESARRs, EC Regulations and Directives and ICAO), therefore these provisions shall not be mandated. Secondly the overall structure and content of an SMM is intimately dependent on the Safety Management Organisation that is in place at a given ANSP since the SMM is basically a collection of processes (who does what and using which methods or tools) together with the requirements for data flow (from come inputs of processes and where should they go). Additionally it must be stressed that SMS and SMM must be proportionate to the size and complexity of each ANSP. NSAs are therefore urged to exercise caution when expressing their requirements for a SMM and only use the EGSMM as a reference which should be superseded in all aspects by ANSPs SMM.

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1.4

Manual Structure

The structure of this document is based broadly around the continual improvement loop recommended in management system texts and implied in ESARR3.

PROMOTION

POLICY

ASSURANCE

PLAN/ ORGANISE

ACHIEVEMENT Policy is covered in Chapter 2. Planning and Organisation is covered in Chapters 3, 4 and 15 under: o Safety Organisation o Safety Responsibilities & Accountabilities o SMS Implementation Planning Achievement is covered in Chapters 5-10 and 13-14 under: o External Services o Competency Assurance o Safety Occurrence Reporting o Safety Occurrence Investigation o Emergency Planning o Safety Assessment o Safety Targets o Safety Documentation Assurance is covered in Chapters 11-12 and 14 under: o Safety Surveys o Safety Monitoring o Safety Documentation (safety records and safety assessment documentation) Promotion is implicitly included under Chapter 2 on Policy, and in many of the other Chapters where lesson dissemination and safety improvement are central to effective fulfilment of the SMS element.

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1.51.5.1

How to use the EGSMM.Practical use

EGSMM is nota set of guidelines to be applied as they stand. The EGSMM is generic in other words it will only meet the needs of ANSPs to a given extent , it will never be directly transposable as it is. EGSMM is therefore meant to serve as a basis for the development of Safety Management Manuals customised to the specifics of each ANSP and the State of these ANSPs. The steps to be followed could be: 1. Identification of customisation requirement i.e. deletions-additions-modifications required to meet: - National requirements both laws and NSA requirements; - Local culture - ANSPs own goals and ambitions; 2. Drafting-redrafting of the procedures; 3. Internal review including where required/desired consultation of staff representatives; 4. Consultation with the NSA as required; 5. Formal adoption by top management; 6. Publication; 7. Communication; 8. Training; 9. Implementation through required Plans to be elaborated by the Safety Manager/safety department; and 10. Verification by means of safety surveys (internal process). 1.5.2 Legal requirements references

ICAO, EU and EUROCONTROL are listed whenever existing and relevant. It is up to each users to relate these requirements to its own situation with regards to applicable legal requirements.

1.6

How to write a SMS procedure

From the requirement: 1. identify the core process e.g. ESARR4: risk assessment and mitigation; 2. identify possible requirements (to apply later at given stages of development) to consult staff and/or seek approval from the NSA; 3. decompose the core requirement in sub-processes; 4. identify pre-required processes; 5. define/identify who is responsible and accountable for: - making sure the process(es) is/are carried out; - actually carrying out this/these process(es); - verifying that the process(es) is/are carried out as per this procedure; 6. define type/format of the procedure output 7. define archiving requirements (who looks after archived output, in what format, how long, what access rights to be granted) 8. establish what are the pre-requisites for applying the procedure e.g. training wrt competency 9. identify requirements for confidentiality/protection of staff; 10. establish the internal approval procedure i.e. who is empowered to approve the results/recommendations of the end result(s);

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11. identify whether output of this procedure is an input to other SMS procedure or vice versa; 12. verify that the procedure covers all requirements; and 13. submit the procedure for approval (after conducting the check described below).

1.71. 2. 3. 4. 5.

Procedure development checklist

Each SMS procedure should be checked out against the following item list. Legal requirements claimed to be compliant with; Overall objectives of the procedure in relation with safety performance; Scope of application (what and/or whom); Interaction with NSA (required/not required/desirable->status); Consultation with staff representatives (required/not required/desirable->done not done); 6. Who is responsible/accountable for ensuring that the procedure is applied?; 7. Who is responsible/accountable for the correct application of the procedure?; 8. Which techniques/methodologies should be used?; 9. Roles responsibilities/accountabilities of staff applying the procedure; 10. Human factors aspects; 11. Relationship with other SMS procedures/processes; 12. To whom should the outcome/results be sent to?; 13. Quality assurance process; 14. Provisions ensuring a just culture in the context of the procedure; 15. Protection of individuals; 16. Confidentiality aspects; 17. Archiving/records (incl. evidence for safety NSAy oversight purposes); 18. Employees own responsibilities/accountabilities wrt to the procedure; 19. Training requirements; and 20. Safety activities and deliverables associated to a procedure.

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1.8 The place of the Safety Management Manual in the SMS

As can be seen on the diagram above the SMM plays a key role in the implementation of the SMS.

1.91.9.1

Chapters contentsKey issues

List the issues related to the SMS process direct or indirect, regulatory or safety management related. 1.9.2 Legal requirements emanating from ICAO, EU legislation,

Provides for the legal requirements EUROCONTROL ESARRs. 1.9.3 Examples

Wherever possible provides examples of procedures or processes. 1.9.4 Human factors

Provides some tips based on experience on how Human Factors may hinder or foster SMS activities and how these various human reaction smay dealt with. It is by no means comprehensive.

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1.9.5

Safety activities and safety deliverables

Presents a non exhaustive table summarising the whole process, roles and responsibilities, interactions, deliverables etc 1.9.6 Useful sources for reference

Provides links to useful reading references. 1.9.7 Reference to guidance material

Provides links to guidance material.

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CHAPTER 2 SAFETY POLICY

2.12.1.1

Key IssuesPurpose of Safety Policy

The Safety Policy gives the overall intention and direction as formally expressed by management . The Safety Policy conveys the commitment of all managers to achieving acceptable safety performance. Managers demonstrate this commitment through visible actions (e.g. participation in safety surveys, rewarding safe decisions in the face of commercial pressures, etc.). 2.1.2 Different Forms of Policy and its Content

The Safety Policy is typically a short document or poster. The contents of a good policy should: Be memorable few people are going to read and remember a 30 page Policy Document. Be clear and meaningful think about your audience, avoid strings of abstract words. Demonstrate senior management commitment emphasise that senior managers are ultimately accountable and show that this is taken seriously by signing the policy and stressing the priority of improving safety and minimising safety risks. Recognise safetys value to the business well managed safety is a very good investment, show this is recognised in the policy. Note use of a formal management system mention that a formal systematic approach to safety is to be used (i.e. not all warm words, we are going to do this properly). Show we will be compliant with regulations - ensure that this is highlighted.

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Be consistent with other policies and external parties content should not contradict other policies that may be hanging on a wall right next to the Safety Policy.

Unfortunately it is often easier to recognise a bad policy than specify what makes up a good one. Common problems in setting policies are: Trying to put too much in, e.g. describing organisational structures and details of the rest of the management system. This produces documents that are not useful. Use of abstract language try to avoid management system speak. Some policies talk a lot about staff responsibilities which is valid, but can read as if senior managers are delegating their accountabilities. Contradictions in policies e.g. Safety is our top priority, Environment is our top priority. This will look muddled and lead to cynicism. 2.1.3 How to Communicate Policy

Writing a policy is only one part of this element (arguably not the most important part!). How should the policy be used? It should not be confined to a dusty shelf or remote part of the intranet. We need to: Publicise it e.g. have a launch event for it. Senior managers get behind it use it in presentations. Use it in inductions/ training. Update it regularly and if something changes e.g. signatory. Support it through actions all the effort in preparing this policy will be wasted if one decision is made which directly contradicts what is written. If that happens then staff will conclude that it is all warm words.

2.22.2.1

Legal RequirementsEU States

Commission Regulation EC No. 2096/ 2005 which lays down common requirements for the provision of air navigation services states (Annex II, Section 3.1.1) that: A provider of air traffic services shall, as an integral part of the management of its services, have in place a safety management system (SMS) which .. includes, as its foundation, a statement of safety policy defining the organisations fundamental approach to managing safety (safety management) In Annex II, Section 3.1.2, EC No. 2096/2005 goes on to say that: Within the operation of the SMS, a provider of air traffic services shall: .ensure that the SMS is systematically documented in a manner, which provides a clear linkage to the organisations safety policy (SMS documentation). 2.2.2 ECAC States

These almost identical statements are found in ESARR 3 Use of Safety Management Systems by ATM Service Providers in paragraphs 5.1.1 c) and 5.2.5.

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2.3

Examples of Policies

The EUROCONTROL Agency Safety Policy has the following text:

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2.4

Human factors

The main difficulty that may be encountered with regards Human Factors is a lack of interest due to some kind of distrust about safety policies. Staff may react somehow by saying nice words but nothing will change as staffs often have difficulties to relate high level statements with their own safety responsibilities. This only highlights the importance of the Management Commitment from DG/CEO but equally middle management who must give tangible signs of their commitment rather than restating the safety policy whenever there is an opportunity.

2.5Safety activities/ deliverable(s) Safety Policy Production and signing Posters Communication initiatives

Safety activities and Safety Deliverable(s)Person responsible for initiative/ production Top Management Safety Manager Top management ,Safety Manager Safety department involvement Support Addressee(s) Records Relationship with other safety deliverables Drives the whole SMS II N/A Endorsement approval

All staff

SMM

CEO

Dissemination Support

All staff All staff

N/A Activity report

N/A Safety Department

2.6

Useful sources for reference

EATM Safety Policy (http://www.eurocontrol.int/safety/gallery/content/public/EATMP%20Safety%20Policy%20%20Edition%2021.pdf)

ICAO Safety Management Manual Doc 9859 Chapter 12, section 2a and Appendix I to Chapter 12

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CHAPTER 3 SAFETY ORGANISATION

3.13.1.1

Key IssuesPurpose of Safety Organisation

The purpose of the ANSPs overall organisation is to support the safe, efficient and continuous provision of services. The safety management function has responsibility for development and maintenance of the safety management system and will support line management in fulfilling their safety responsibilities. In addition the safety organization is meant to ensure that the two communication channels (reference and measurement) work as shown in the diagram below.

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Investment/Planning

MEASURING

REFERENCE

CHANNEL

Reporting system Results of safety activities Surveys Safety Committee Safety promotion

Operations

3.1.2

Different sizes/ type of organisation

Note: depending on the size of the organization, some organisational positions may not be practicable to fill. Positions that need to be present in any organization (be it part time posts and/or merged functions for smaller organizations) include: safety manager; safety committee; and safety specialist(s) 3.1.3 Structures and roles

Safety Director Safety Directors are required in large organisations e.g. when several safety managers are appointed in large ATS Units. Broadly their role is to: Advise the CEO on the safety performance of the organisation as a whole; Chair or provide the secretariat function to the Safety Review Board (see below); Analyse Key Risk Areas KRA and trends; Act as a focal point for dealing with the regulator; Develop safety management awareness throughout the organisation; Develop and revise the Safety Management System of the Organisation.

Safety Manager For an organisation that does have a Safety Director the Safety Managers role is broadly: Ensure that the day to day Safety Management within large ATS units is performed; Chair the Safety Committee;

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CHANNEL

Safety Policy Safety Objectives Safety Principles Processes Procedures Responsibilities

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Prepare safety reports and analysis of trends and KRA for the Unit they assigned to; Advise the Safety Director as to possible solutions/improvements. For organisations that do not have a Safety Director the Safety Manager will in addition take on the relevant roles of the Safety Director above. Safety Department Larger organization may require a dedicated safety department. This department ensures the overall administration of the SMS and often deals with resource intensive activities such as Safety Surveys. Safety Review Board (SRB) In many organisations the Safety Review Board is a sub-committee of the main Board and is either chaired by the CEO or the Director of Safety. An example Terms of Reference for a SRB is given in section 3.3 below. Safety Committees (SC) Safety Committees are useful at working level as they involve the staff in the safety management activities. Safety Committees are consultative/advisory bodies composed of representatives of the management and the staff. They provide expert advice at the operational management level and support the work of the Safety Manager. An example Terms of Reference for a SC is given in section 3.3 below. The objective of the safety committee is to provide a forum to discuss issues related to the safety performance of the organization and the health of the Safety Management System. The safety committee makes recommendations concerning safety policy decisions, and reviews safety performance results. During the initial implementation phase of an SMS, the safety committee would also review progress of the implementation process. The terms of reference for the safety committee should be documented in the organizations safety management manual. A safety committee would typically be established at the senior management level and should include the Safety Manager as well as other senior managers. Safety Representatives Smaller organisations who cannot afford establishing a Safety Committee will nevertheless require safety representatives to provide expert advice from the staff.

Safety Coordinators In small units Safety coordinators are points of contact for the Safety Managers for Safety Management issues. 3.1.4 Cost of an SMS

The cost of your SMS can be roughly evaluated by using the excel sheet below. It generally sums-up to approximately 2% of the route charges revenues.

Cost SMS

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Broad distribution of SMS Costssafety assessments reporting & investigation safety surveys external services competency safety committee safety monitoring lesson dissemination safety promotion

3.23.2.1

Legal requirementsEU States

Commission Regulation EC No. 2096/ 2005 which lays down common requirements for the provision of air navigation services (Annex I) para. 2.1 and 2.2 and Annex II, Section 3.1. 3.2.2 ECAC States

The equivalent of Annex II, Section 3.1 from EC No. 2096/2005 is found in ESARR 3 Use of Safety Management Systems by ATM Service Providers in paragraph 5.2.2.

3.3 Example TORs for Positions and Units & Organograms3.3.1 Safety Manager The Safety Managers sole responsibility should be to ensure the safe operation of the Air Traffic Service provider. However, in smaller organizations, safety management may have to be the responsibility of a manager who also has other duties. He/she should be suitably qualified and equipped so to be able to communicate directly with the senior managers within the organisations. The Safety Manager should be responsible for managing all aspects of the operation of the SMS. These will include the review and monitoring of safety documentation, effectiveness of corrective actions, provision of safety performance reports and independent advice and support to senior management within the organisation. Here are some of the tasks that the ATS Safety Manager would be expected to carry out:

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to develop, maintain and promote an effective SMS; to monitor the operation of the SMS and to report to the Chief Executive Officer on the performance and effectiveness of the system; to bring to senior managements attention any identified changes needed to maintain or improve safety; to act as the focal point for dealings with the safety regulatory authority; to provide specialist advice and assistance regarding safety issues; to develop a safety management awareness and understanding throughout the entire organization; to act as a proactive focal point for safety issues. Safety Review Board (SRB)

3.3.2

From a European National Regulator the TORs of a SRB: monitoring the organisations operational safety performance against the Operational Safety Programme monitoring that any necessary corrective action is being taken in a timely manner monitoring the effectiveness of the organisations safety management processes which give effect to the declared corporate priority of business management for operational safety monitoring the effectiveness of the corporate oversight processes which independently validate the organisations safety performance ensuring that appropriate resources are allocated to meet agreed actions which enhance safety performance beyond that required by regulatory compliance alone monitoring the effectiveness of safety oversight of sub-contracted operations carried out on behalf of the organisation giving strategic direction to the organisations Safety Committees/ Action Groups. Safety Committee (SC)

3.3.3

(From the EUROCONTROL SMS) The SCs main roles will be to guide the ongoing development of the Safety Management System (SMS) and to monitor SMS performance. The proposed Terms of Reference for this group are as follows: Develop the Safety Policy and review it annually (provide proposals to Director(s) if changes are required). Enhance and approve the current SMS development plans. Regularly review these development plans. Prioritise SMS initiatives. Provide support and resources to these initiatives where necessary. Review and approve key SMS deliverables (e.g. Safety Management Handbook, safety processes). Monitor and review the operation of the SMS based on survey/audit reports as well as reports from the Safety Manager. Provide a regular assurance report to the Director(s) and recommended actions on any aspect as necessary. Provide an additional communication channel to personnel on safety matters.

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3.3.4

Example Organograms

Example for a large organization(e.g. >500 staff)Director GeneralSafety Review Board

SC

Directorate ENG

SC

Directorate OPS

Directorate Safety

Directorate Finance

Directorate HRSC

Directorate External relations

Safety Committee

ProjectsSSur SSS

Central Maint.SSur SM

Ext.Maint Unit 1 Ext.Maint Unit 2SR

ACC1

Safety Projects SurveysSSS SSur

SM SSur SI SM

SM

Safety Manager Safety Specialist Investigation Safety Specialist Safety Assessment Safety Specialist Safety Surveys/audits Safety Coordinator

NavaidsSCr

ACC2SI SM

Safety Monitoring

SI

SSS

ComSCr

APT1SCr

SSur SCr

SurSC

APT2SR

SR

Safety representative

To actually fit the size and complexity of an organization, ANSPs will carefully consider which functions require full time or part time safety specialists. Note that Local competence safety assessors are depicted on the organogramme above as they are generally in the OPS department. For an organization of around 500 staff the split between full time and part time could be as shown in the table below. Full time Director Safety Safety Managers Specialist investigation (at ACC) One safety assessment expert Part time Safety specialists Surveys/audits (1 month/year) Safety Assessment specialists (as required by workload) Safety coordinators Safety representatives

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Example for a small organization (e.g.

EGSMM Draft v0!1!23 July 09

Documents

Transcript of EGSMM Draft v0!1!23 July 09