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Sms Booklet 1
Sms Booklet 1
Safety Management
Systems (sms)
an introduction
Civil Aviation Authority of New Zealand
BOOKLET ONE
Preface
The Civil Aviation Authority published Advisory Circular AC 00-4
‘Safety Management Systems’ in December 2012 to provide
comprehensive guidance material to support Part 119, 139, 145 and
172 organisations implement a safety management system (SMS).
SMS: An Introduction
• Booklet THREE – Implementing Safety Management
Systems: guidelines for small aviation organisations
• Booklet FOUR – Aviation Risk Management: an introduction.
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SMS: An Introduction
Table of Contents
Preface03
Element 2 Coordinated Emergency Response Planning 10 Element 9 Continual Improvement of the SMS 19
SMS: An Introduction
Element 6 Safety Investigation 15
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Building a safety
management system
an overview
What’s in it for us? The CAA has defined a SMS as ‘a systematic approach to
How can your organisation reduce the risk of an managing safety, including the necessary organisational
caa industry resource kit – booklet one
accident or incident? How can you prevent these structures, accountabilities, policies and procedures.’
types of occurrences happening in the future by
Implementing a SMS will provide your organisation with a simple
doing something about it now? Implementing a safety
and organised approach to preventing accidents or undesirable
management system (SMS) is a proven means to
incidents, and is considered smart business management.
achieving a safer workplace.
A successfully implemented SMS will drive better safety
SMS: An Introduction
SMS: An Introduction
Your organisation may already have some of the elements best-practice safety guiding principles, will reveal where
of an SMS in place. Whether you are a large or small aircraft your organisation stands and provide direction about what
operator, maintenance organisation, air traffic service provider you need to focus on. If you have answered ‘no’ to any of the
or aerodrome operator, your systems can be refined and above questions, make it a priority.
enhanced to complement and support any additional elements
that are required.
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The 13 elements
OF A SAFETY
MANAGEMENT SYSTEM
After reviewing your current practices the foundation of your SMS
will be clear. Let’s now consider what the structure or framework
would look like. The CAA has identified 13 distinct elements in the
structure of an SMS which are outlined below. Tailor your structure
to the size of your operations and remember to keep it simple.
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SMS: An Introduction
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Element 1 ip
P t Organisational charts and position descriptions work
Safety Policy and Accountability TO
well to depict clear lines of responsibility.
SMS: An Introduction
Appoint a qualified key safety management person: organisation-wide safe practices.
This role is to implement and manage the SMS, and may be
full-time or part-time depending on the size of your ip
organisation. Their safety responsibilities for managing the Pt Make sure everyone knows that the SMS will be
TO
adequately resourced. This can be done with regular,
safety systems must be documented.
appropriate and targeted communications from the top down.
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Element 2 Also incorporate the ERP training that will be provided, and your
review and documentation processes. Consider including post
Coordinated Emergency critical-incident stress debriefing.
Response Planning
ip Summarise the key steps and responsibilities in a
Having a SMS will minimise the risk of undesirable events, such as Pt
TO Quick Reference Guide. This may be laminated and
an accident occurring. However, it is not possible to eliminate the
possibility entirely. Proactive, coordinated emergency response and distributed to all staff. Consider a training session to educate
risk management plans can ensure that, in an emergency, your staff about the contents and their responsibilities. You may need
organisation is ready, and your staff are all ‘on the same page’. to coordinate and establish interfaces with external agencies.
SMS: An Introduction
Describe the activities, tasks and procedures used in your
organisation and how they operate systematically.
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SMS: An Introduction
SMS: An Introduction
electronic or both). You must ensure that confidentiality is
observed for reports. Actively encourage reporting as these ip Why not provide feedback to all staff? Consider
reports are essential to identifying emerging issues and risks. Pt
TO placing hazard-related information in safety emails or
Document all reported hazards: newsletters. This will encourage a willing and participative
safety culture. People love to know what is going on and how
Maintain records of formal or informal methods of collecting
the organisation is dealing with it.
hazard reports. 13
Element 5 Educate staff:
The more members of your staff that can be trained in risk
Risk Management management, the greater the benefit to your organisation. We
all manage risk on a daily basis in an intuitive manner; however
Risk management is defined as coordinated activities to direct
specific training will provide additional skills leading to
or control an organisation with regard to risk. It enables an
enhanced risk management.
organisation to ensure that risk remains at an acceptable level
through a consistent and proactive framework. Document your procedures:
Proactively identifying, assessing and controlling risk is the Record risk procedures and their development. Regularly
purpose of an SMS. However, this cannot occur entirely at an review and revise.
intuitive level. While managing risk is an everyday activity for
experienced professionals, there also needs to be more formal
Train your staff:
Identify decision makers and other appropriate staff and
levels of risk management.
provide them with qualifications related to risk management
Appoint a dedicated person: via training appropriate to their roles. There are different levels
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Assign a safety coordinator or manager to be responsible for of risk management, from dealing with operational risks to
risk-management processes. managing changes to the overall organisation or at a strategic
level. Risk management that is regularly used across these
Document your current and emerging risks: levels, if well documented, equates to best practice.
Maintain a register of risks and their assessment, controls or
treatments. Update this register frequently as other risks are ip
SMS: An Introduction
identified. Risks exist in your daily environment (at home and Pt There is an invaluable international standard for risk
TO
management called ISO 31000:2009 Risk Management
at work). They are real but do not always result in catastrophic
– Principles and guidelines. It is the basis for best-practice
accidents. Many of the risks you identify as an everyday part of
risk management processes and can easily be tailored to
your business activities will involve a low level of consequence, smaller organisations.
but addressing them can benefit the organisation immensely.
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Element 6 Investigate:
Safety Investigation Follow the steps for an effective safety investigation:
• Data collection: Gather evidence
Often when an incident or accident occurs, an investigation is • Undertake analysis of all information (with causal factor
needed to work out how to avoid it happening again. CAR Part theories in mind)
12 regulates the conduct of investigations and AC12-2 provides • Identify findings and recommendations
guidance on how to do this. • Record, distribute and present the report
• Close the loop by monitoring the outcomes of the
Develop your own internal criteria: investigation findings.
Determine the reasons requiring your organisation to investigate
an occurrence and record them. A reactive approach would be Document your process:
to investigate an accident, but there are other proactive reasons Record your process for conducting an internal safety
to commence an investigation – such as hazard-based trends, investigation.
certain identified risks and other instances that may require
complex examination.
SMS: An Introduction
ip
P t Specialised training is required for safety investigators,
TO
as investigations are activities that are particularly
susceptible to failure or success on the basis of their conduct.
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SMS: An Introduction
Element 7
Monitoring and
Measuring Performance
It is possible to proactively intervene in your organisation’s ip
activities to avoid accidents. By monitoring safety-related P t How about a staff survey? This can be simple and may
TO
systems and performance your organisation can continuously gather some excellent safety-performance information.
improve upon them.
SMS: An Introduction
faring. Make sure you consider all of them in order to make
completed risk-management training’.
good safety decisions.
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Element 9
Continual Improvement
of the SMS
An SMS is a dynamic system which will filter into all facets Document improvement plans:
of your organisation. As such, it needs to be continuously Detail an action plan to achieve any required improvements.
monitored and reviewed. You should set performance indicators Resourcing may be needed. Actions resulting from analysis
for your SMS and monitor whether they have been met. Review and review could include various initiatives such as:
of these and other feedback (such as surveys) will allow your • Organisation design
organisation to identify areas for improvement. Inputs relevant • Technology and personnel changes
to the effectiveness of your SMS may include: • Improved policies, processes and procedures
• Internal audit of the SMS • Better training
• External audit • Adjustments to the SMS.
• Management review of the SMS.
SMS: An Introduction
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SMS: An Introduction
Element 10
internal Audit Programme
Audit processes in a quality management system are already Appoint an auditor/s:
in place in your organisation. The SMS needs to be regularly They must be qualified to conduct an audit and independent of
audited too. The findings from internal and external audits can the area being audited.
be tracked in the same way.
Take actions:
Document your programme: Take appropriate preventive or corrective actions towards
Develop a risk-based audit programme (ie, prioritise the audits identified problems. Measure how effective they are. Track and
on higher risk areas of the organisation): monitor these actions and their timeframes.
• Conduct audits regularly
• Set audit objectives ip
P t Be sure to identify the right people to recommend actions
• Determine audit frequency TO
to – go with your decision makers to increase the likelihood
SMS: An Introduction
and procedures. Consider how effective they are, not just
their level of compliance.
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Element 11
Management Review
In addition to your existing management review processes, Organise meetings:
managers now need to know what is going on in the organisation Conduct regular safety meetings with management in
regarding SMS. To make timely and critical safety-related attendance to discuss operational safety with staff. It is
decisions they will need to be sure that the SMS is effective and essential that management get a holistic picture of the
know whether any changes, or more resources, are required. organisation’s safety performance and are fully aware of all
possible safety information.
Develop an escalation plan:
Have a process in place to pass critical safety information to
ip Invite decision makers to meetings. These people
management. Using risk-management principles works really Pt
TO have the ability to influence change and need to be
well here. For example, if you have identified something as ‘high
risk’, this may automatically need to be escalated. kept informed.
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Review findings:
SMS audit findings should provide feedback on how the system
is functioning. Consider assigning a ‘risk level’ to findings as
this will help to prioritise them.
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Element 12
Safety Training and
Education Programme
Staff need to be trained and educated about the SMS in order to Outline training content:
understand the organisation’s safety objectives and to acquire In line with the establishment of risk-management principles
the skills and knowledge to help achieve them. Achieving the following training topics are recommended: the use and
appropriate levels of competency for staff and enabling the application of SMS, risk management, change risk management
consistent application of their skills, is critical to an elevated and operational risk management.
standard of performance.
ip Hazard identification, incident reporting, risk
Identify training needs: Pt
TO management and personal safety responsibilities need
All staff require basic SMS training. Identify staff members who
may also require specialised training and qualifications. These to be the focus of training for all staff.
SMS: An Introduction
safety education for new staff.
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SMS: An Introduction
SMS: An Introduction
organisation can have a safety aspect included. TO
and posters are all ways to circulate safety information.
If you have more than one office or base, make sure safety
communications reach all of them.
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This booklet is based upon CAA Advisory Circular AC 00-4,
Safety Management Systems, Version 1.0, 19 December 2012.
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SMS: An Introduction
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SMS: An Introduction
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