SMS - Safety Management Systems
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Aviation Technology Solutions
Safety Management System
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Aviation Technology Solutions
Agenda
1. SMS
• Defined
• Purpose
• What it is and what it isn’t
2. Case for SMS
3. SMS Fundamentals
4. Guidance, Tools & Implementation
5. Recommended way to Implement SMS
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Aviation Technology Solutions
FAA Definition
“an SMS is a formalized
approach to managing safety by developing an
organization-wide safety policy, developing formal
methods of identifying hazards, analyzing and
mitigating risk, developing methods for ensuring
continuous safety improvement, and creating
organization-wide safety promotion strategies.”
“SMS”
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Aviation Technology Solutions
Systematic and comprehensive process for the
proactive management of safety risks that
integrates operations, technical services
with financial and human resource
management.
“SMS”
Better Definition?
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Aviation Technology Solutions
SMS Purpose
• Systems approach to control risk
• More effective assurance controls
• Meet statutory safety requirements (title 49)
• FAA means to evaluate management capability
• Proactive application of technical and management
skills to identify and control hazards
o Traditional approach concentrates on technical
o SMS adds emphasis on management elements
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Aviation Technology Solutions
What SMS is and is not…
What SMS is: What SMS is not:
Compliance is integral to safety
management
Substitute for compliance
Effective interface for safety
management
Substitute for oversight
Systems approach
Replacement for system safety
Decision making processes for senior
and line management
Requirement for a new department
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Aviation Technology Solutions
ICAO Annex 6 and 14
• States shall establish State safety
program to achieve acceptable
level of safety in civil aviation.
• Framework for implementation
and maintenance contained in
Safety Management Manual
(SMM) (Doc 9859).
• Acceptable level of safety
established by State.
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Aviation Technology Solutions
FAA SMS for Air Carriers
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Aviation Technology Solutions
FAA SMS for Airports
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Aviation Technology Solutions
Case for SMS
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Aviation Technology Solutions
Safety Management System
• Infuse safety into entire system
People
Tools
Procedures
Materials
Equipment
Software
• Maintain balance of production and protection
Management levels
Protection Production
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Aviation Technology Solutions
Bankruptcy
Catastrophe
Protection
Production
un-rocked
boat
Safety vs. Production
Financial
Management
Safety
Management
Life of system
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Aviation Technology Solutions
8
Radome $19,712
Main Entry Door
$171,220
Cargo Door $58,327
Inlet Cowl $329,203
Inlet Cowl Segment $5,151
Aileron & Tab Assembly $183,545 Outboard Flap Assembly
$255,845
Inboard Flap
Assembly $224,872
Elevator
Assembly
$264,708
L.E. Slat Assembly
$52,863
Wingtip Assembly $28,872
Ramp Damage - Big $$$ For Operators
TAT Probe
$6,583
Pitot Static Probe
$5,157
AOA Vane
$4,300
Side cowl
$161,407
Parts prices only
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Aviation Technology Solutions
Accident and Incident Cost!
Direct costs
• Loss of aircraft
• Injuries/death of flight crew & passengers
• Insurance deductibles
• Costs not covered by insurance
Indirect costs
• Loss use of equipment
• Loss of staff Involved in accident issues
Lower productivity
• Investigation & clean-up
• Legal claims
• Fines
• Misplaced/stranded passengers
• Negative media exposure
"Airfield incidents/accidents represent ~$ 3.5 B annual cost to industry."
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Aviation Technology Solutions
Income lost
Event Direct Indirect
Catering truck hits airplane $17,000 $230,000
Jet way hits airplane $50,000 $600,000
Landing event $1,900,000 $4,800,000
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Aviation Technology Solutions
Accidents Cost Small Operators, Too
Claim Flight Training
Operation
Fixed Wing Air
Taxi Operation
Helicopter
Air Taxi
Forced landing
(aircraft destroyed)
$150,000 $300,000 $900,000
Propeller makes
contact with object
on ground
$20,000 $30,000 $150,000
Hangar Rash $5,000 $10,000 $35,000
Flight cancellation
per day
$500-1,400 $3-5,000 $8-10,000
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Aviation Technology Solutions
Aviation Drove Down Accident Rate
• Regulations, Policies and Programs
• Aircraft and System Design
• Crew Resource Management
• Human Factors
• Data Collection, Analysis and Corrective Action
• Safety Culture and Risk Management
• Training
• Safety Management System – SMS
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Aviation Technology Solutions
Where Aviation Accidents Take Place
Annual worldwide ramp accidents and incidents 1 per 1,000 departures.
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Aviation Technology Solutions
Human Error and Operations
• 75% mishaps due to human error
• Type of Errors Vary
Perception
Memory Lapses
Slips
Wrong Assumption
Technical Misunderstandings
Procedure Violations
• Safety Culture
• Decision Making
• Latent Conditions
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Aviation Technology Solutions
Human Error
Personal Factors
Heinrich Safety Triangle
Culture Organizational Procedures Training Equipment
Design
Causal Factors and Latent Conditions
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Aviation Technology Solutions
WHAT?
Traditional approach – Preventing accidents
Focus on outcomes (causes)
Unsafe acts by operational personnel
Attach blame/punish for failures to “perform safely”
Address identified safety concern exclusively
Identifies:
WHO? WHEN?
WHY? HOW?
But not always discloses:
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Aviation Technology Solutions
SMS Strategies
Reactive
(Past)
Respond to
Incidents and
accidents that have
already
happened
Proactive
(Present)
Actively seek
identification of
hazardous
conditions
through analysis
of organization’s
processes
Predictive
(Future)
Analyze
system
processes and
environment to
identify potential
future problems
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Aviation Technology Solutions
SMS Fundamentals
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Aviation Technology Solutions
SMS Components
1. Policy & Objectives
2. Risk Management
3. Safety Assurance
4. Promotion
Safety Promotion
Risk
Management
Safety
Assurance
Policy
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Aviation Technology Solutions
SMS Design Attributes
• Responsibility: accountable activities + quality
• Authority: power to accomplish activities
• Procedures: clear instructions for employees
• Controls: ensure activities produce correct outputs
• Process Measures: measure processes & results
• Interfaces: Manage processes & relationships between
employees, organization and with contractors, vendors,
customers, other organizations
Processes must have attributes built in
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Aviation Technology Solutions
SMS Attributes and Management
• SMS attributes align with management process:
Planning: Procedures
Organizing: Procedures, Responsibilities & Interfaces
Directing: Responsibilities & Authority
Controlling: Process Measures & Controls
• Documented in SMM
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Aviation Technology Solutions
SMS Component 1 Policy
• Management safety commitment and strategy.
• Framework to put organization & responsibility in place.
• Objectives:
Leadership
Training
Measurable Safety Targets
Lessons Learned
Non-Punitive Reporting System
• Manage safety same way as other areas.
• Judgment, assessing priorities, and making decisions.
Like all management decision making
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Aviation Technology Solutions
• Organization’s DNA
• Ingrained in operating norms
• Resources to maintain safe
and efficient operations
• Acknowledge safety concerns
and suggestions:
Give feedback on decisions
If no action contemplated,
decision is explained
Feedback is timely, relevant
and clear
Safety Culture
Policy
(Structure)
Safety Assurance
Risk
Management
Safety
Promotion
Corporate Safety Culture
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Aviation Technology Solutions
SMS Component 2 Safety Risk Management (SRM)
Risk Matrix Model
• Systematic, explicit, &
comprehensive approach for
managing risk throughout
organization.
• Five Phases
1. Describe System
2. Identify Hazards
3. Determine Risk
4. Assess & Analyze Risk
5. Treat Risk - Mitigate
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Aviation Technology Solutions
SMS Component 3 Safety Assurance
• Collect and analyze information to determine that
process requirements are continuously being met.
• Assess performance and Risk controls effectiveness
• Works in partnership with Risk Management.
• Program audits Internal
External
• Lessons learned
• Adequate resources
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Aviation Technology Solutions
SMS Component 4 Safety Promotion
• Training & education
• Safety competency &
continuous improvement
• Safety communication
• Safety culture – core value
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Aviation Technology Solutions
Management Employees
Informed: People understand hazards & risks
Learning: Company learns from mistakes. Staff
updated on safety issues by management.
Reporting: All personnel freely share critical safety
information.
Just: Employees know what is acceptable
& unacceptable behavior.
Culture
Communication
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Aviation Technology Solutions
Positive Safety Culture
1. Senior management commitment
2. Senior management visibility
3. Safety accountability framework
4. Safety policy, goals, objectives, standards, and performance
5. Effective employee safety reporting system
6. Safety information system
7. Resource commitment
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Aviation Technology Solutions
Commitment to SMS
• Documents alone will not guarantee development of
positive safety culture.
• Employees must see evidence of management
commitment.
Management Attitudes & Actions = most important factor.
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Aviation Technology Solutions
SMS Depends on Data Quality
• Reports/Facts - what exists or happening now
• Inferences (Interpretations)
What’s likely to happen in future,
based on what’s happening now
Conclusions based on facts
• Judgments
Value
Quality assessments
Good, bad, acceptable, unacceptable
of what is or will exist or happen
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Aviation Technology Solutions
Continuous Improvement
• Safety and Quality Policies
• Safety Objectives
• Audit & Evaluations
• Analysis of Data
• Corrective and Preventive Actions
• Management Reviews
SMS continuous improvement through
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Aviation Technology Solutions
Management Review
• Outputs of SRM & SA
• Lessons learned
• Need for changes
Top management conduct regular reviews of SMS
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Aviation Technology Solutions
SMS Guidance, Tools and Implementation
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Aviation Technology Solutions
SMS Guidance and Tools
• ICAO Doc 9859: Safety Management Manual (SMM)
• FAA Order 8000.369: FAA SMS Guidance
• FAA AC 120-92A (Air Carriers)
• FAA Order 5200.11 FAA Airports SMS
• FAA AC 150-5200/37 (Airports)
• TRB Airport Cooperative Research Board
• Voluntary Implementation Guidance (Multiple Docs)
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Aviation Technology Solutions
SMS Implementation Process
0 Orientation &
Commitment
2 Reactive
Processes
3 Proactive
Processes
4 Continuous
Improvement
1 Planning &
Organization
Processes
Readiness
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Aviation Technology Solutions
First Steps
Safety Culture & Gap Analysis
• Assess Culture Surveys and Observations
Organizational Interviews
Review of Policies, Procedures,
Processes & Data
Analysis & Assessment
• Safety Gap Analysis Compare with SMS Principles
Compare Baseline with
Requirements
Document Results
• Plan Survey Example
Good gauge of safety culture is "How we do things around here.”
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Aviation Technology Solutions
2nd Step
Three Simultaneous Activities
Implement SMS
Policies
Objectives
Procedures
SRM
SA
Promotion
SMS Manual
Standalone
ACM
Attributes Responsibility
Authority
Procedures
Process
Measures
Interfaces
Hazard Reporting & SMS Manager
S/W App
Web Based
Collect Safety Data
Manage Events
Assess Risk
Mitigate
Document
Promote
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Aviation Technology Solutions
When Completed O
RG
AN
IZA
TIO
NA
L S
AF
ET
Y C
ULT
UR
E O
RG
AN
IZA
TIO
NA
L S
AF
ET
Y C
ULT
UR
E
SRM Identify hazards
Analyze, assess,
knowingly accept,
and mitigate risk
Monitoring plans
Safety Assurance
Monitor NAS &
mitigations through: Audits & Evals
Trends Analyses
Data Tracking
Safety Communications
Safety Promotion
SMS Implementation Plan
Safety Policy
Identified New Hazards
Safety Risk
Mitigations
Monitoring
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Aviation Technology Solutions
SMS Will…
• Establish meaningful safety policies, goals and objectives • Create individual accountability for safety • Demonstrate leadership regarding safety principles • Launch processes for risk measurement, hazard
identification and mitigation • Develop collegial interactive teams & improved
communications process • Implement non-punitive reporting; encourage “lessons
learned” • Fewer accidents and incidents • Reduce injury and damage claims costs; better productivity • Lower Operating Costs
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Aviation Technology Solutions
Documented SMS Success Stories
• Conair - Occupational Health and Safety costs:
Went from +30% to –30% of industry average
Saved $1,000 per employee year one
Insurance Premiums stayed constant did not rise like their
competition
• Air Transat saving over $1 million per month
• Skyservice saved $5 million in 1st year
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Aviation Technology Solutions
4720 Montgomery Lane Suite 950
Bethesda, MD 20814 www.jdasolutions.aero
301-941-1460