Simon Roberts

Roberts,
SMS Programme Manager, CAA
Jon Walker,
Walker
Flight Operations Inspector, CAA

It s an approach to managing safety

Its
safety.
Its not a manual sitting on the shelf gathering
dust.
dust
Its not a dark art.
It can be
b kept
k t simple.
i l
Avoid the big bang theory!
It will be a new challenge for the regulator and the
regulated.

Identifying and understanding risks

risks.
Managing those risks to a reasonable level.
M
Measuring
i th
the effectiveness
ff ti
off the
th risk
i k controls.
t l
Monitoring safety performance.
Assuring the effectiveness of the system
enabled by having a good safety culture.

Safety Accountabilities throughout organsiation

Safety policy
Hazard identification and Risk management
Trained and competent personnel
Reporting system
Organisation
g
manual
Compliance monitoring system
The managementt system
Th
t
shall
h ll correspond
d to
t the
th size,
i
nature
t
and complexity of the activities, and the hazards and
associated risks inherent in these activities

Safety Accountabilities throughout organsiation

Safety
The policy
identification of aviation safety hazards
Hazard identification and Risk management
entailed by the activities of the operator, their
Trained and competent personnel
evaluation and management of associated risks,
Reporting system
including
the actions to mitigate the risk and
Organisation
g
manual
verify the
effectiveness
Compliance monitoring
system

The managementt system

Th
t
shall
h ll correspond
d to
t the
th size,
i
nature
t
and complexity of the activities, and the hazards and
associated risks inherent in these activities

The management system shall correspond to the

size, nature and complexity of the activities, and
the hazards and associated risks inherent in these
activities.
SMS and our oversight needs to be proportionate.
We have developed guidance material for smaller
non-complex organisations. See CAA website.

Still need an Accountable Manager.

Still need a SMS Manual (or be part of Ops Manual).
Individual as focal point for SMS
SMS.
This could be the Accountable Manager.

Simplified Hazard Analysis and Risk Assessment

Process.
Safety training still required but focus on your policies
policies,
principles and philosophies.
Safety communication through informal discussions
Working in partnerships.

SMS requirements entry into force 8 April 2012 for

Operators and Flight Training Organisations.
2 year transitional period to achieve an effective
SMS.
Transitional period will
ill be used
sed to ssupport,
pport
influence and guide implementation.

Sep
2011

April
2012

April
2013

Phase 1
Ph
assessments
Phase 1
d fi i
deficiency
closure
l

Phase 2
Internal training

Phase 2 assessments

April
2014

UK CAA guidance material reflects ICAO

requirements and EASA Implementing Rules
(IRs).
(IRs)
CAA SMS assessment tools are based on the
ICAO framework and the CAA Guidance Material
Material.
CAA Guidance Material will become UK means of
compliance for EASA IRs
IRs.

Moves beyond compliance with prescriptive

requirements.
Assesses the effectiveness and performance of
your SMS.
It will
ill foc
focus
s on ho
how you
o manage your
o r safet
safety risks
risks.

Infinity

Ph
hase 2

Best Practice and

towards excellence

Operating and Effective

Phase 1
P
A

Point B An effective SMS

Present and Suitable

Phase 1 will be assessment against the CAA

guidance Document (compliance based).

Framework of questions.
Completed by the organisation.
Assessed by CAA staff.
Establishes all the key elements are in place.

It also works as a gap analysis tool.

All AOCs to be assessed by 8 April 2012.

2 Safety Risk management

21H
2.1
Hazard
d Id
Identification
tifi ti
2.1.2 Is there a process for
establishing how hazards are
id tifi d and
identified
d ffrom what
h t sources?
?
2.1.3 Is there a confidential safety
reporting scheme that encourages
errors hazards and near misses to
errors,
be reported by staff?
2.1.4 Is there feedback to the
reporter and the rest of the
organisation?
2.1.5 Does Hazard identification
include reactive, proactive and
predictive schemes?
2.1.6 Have the major hazards and
risks been identified and assessed
f the
for
th organisation
i ti and
d it
its currentt
activities?

IIn
place

Documented
D
d
Reference

How it is achieved

CAA assessment remarks

Phase 2 will be assessing the effectiveness of the

SMS.
Compliance + Performance.
Performance

Based on a series of markers and word pictures.

All AOC holders
h ld
will
ill need
d tto h
have b
been assessed
d
as effective by 8 April 2014.

COMPLIANCE + PERFORMANCE MARKERS

2.1.1
2.1.2
213
2.1.3

214
2.1.4
2.1.5
2.1.6
2.1.7
2.1.8
2.1.9

The organisation has a reporting system to captures errors, hazards

and near misses that is simple to use and accessible to all staff
staff.
The organisation has proactively identified all the major hazards and
assessed the risks related to its current activities.
The safety reporting system provides feedback to the reporter of any
actions taken (or not taken) and, where appropriate, to the rest of the
organisation.
Safety investigations are carried out to identify underlying causes
and potential hazards.
Safety reports are acted on in a timely manner.
Hazard identification is an ongoing process and involves all key
personnel and appropriate stakeholders.
for investigating
are trained in
Personnel responsible
p
g
g reports
p
investigation techniques.
Investigations establish causal/contributing factors (why it happened,
pp
)
not jjust what happened)
Personnel express confidence and trust in the organisations
reporting policy and process.

O E

Safety Risk Management

2.1 Hazard Identification
EFFECTIVENESS is achieved when aviation safety
h
hazards
d are b
being
i id
identified
tifi d and
d reported
t d th
throughout
h t th
the
organization. Hazards are captured in a hazard register
and assessed in a systematic and timely manner.
2.2 Risk Assessment and Mitigation
EFFECTIVENESS is achieved when the organisation
understands and is managing its most significant safety
risks through a formal process that ensures analysis,
d control
t l off the
th safety
f t risks
i k in
i operations
ti
t
assessmentt and
to
an acceptable level.

Effectiveness
Achieved
Signs of
Excellence
Excellence

Effectiveness
Achieved

Signs of
Excellence
Excellence

Effectiveness Index
The Overall SMS

Initiating
The SMS is still at the
implementation stage

Safety Policy and

Objectives

The SMS is still at the

implementation stage

Safety Risk
Management

The SMS is still at the

implementation stage

Safety Assurance

The SMS is still at the

implementation stage

Safety Promotion

The SMS is still at the

implementation stage

Present and suitable

There is a documented SMS
that is appropriate to the size
nature
t
and
d complexity
l it off th
the
organisation.
Safety Policy and Objectives
have been defined and
published

Operating
The systems and processes of
the SMS are operating.

Effective
The SMS is working in an
effective way and is striving for
continuous
ti
i
improvement
t

Excellence
The organisation is an
industry leader and
embraces
b
and
d shares
h
itits
best practice
There is a safety policy in place Senior Management are clearly The organisation is an
and Senior Management are
involved in the SMS and the
industry leader and
Safety Policy sets out the
embraces best practice
committed to making the SMS
work and is providing appropriate organisations intent to manage
resources to safety management safety and is clearly evident in
.
the day to day operations

There is a process in place to

identify hazards and manage
risks

The hazard and risk registers are

being built up and risks are
starting
g to be managed
g in
proactive manner.

The organisation is continuously

identifying hazards and
understands it biggest
gg
risks and
is actively managing them and
this can be seen in their safety
performance. Safety Risk
management is proactive and
predictive.
The organisation assures itself
that is has an effective SMS and
is managing its risk through
audit, assessment and
monitoring of its safety
performance
performance.

Key Personnel throughout

the organisation are aware
and understand the risks
relative to their
responsibilities and are
continuously searching out
new hazards and risks and
re-evaluating existing risks
SPIs have been identified and a The Organisation has
The organisation is
plan is in place to assess the
established SPIs that it is
continuously assessing it
SMS for effectiveness.
monitoring and is auditing and
approach to safety
assessing its SMS and its
management and is
outputs
continuously improving its
safety performance and
seeking out and embracing
best practice
All staff have been trained as
The organisation has trained its The organisation puts a
In addition the organisation
appropriate to their roles and
people and has several mediums considerable resource and effort provides training and safety
safety responsibilities and
for safety promotion that it uses into training its people and
promotion to its contracted
accountabilities
for passing on safety information publicising its safety culture and service providers and
other safety information and
assesses the effectiveness
monitors the effectiveness of its of its safety promotion
safety promotion

Health and Safety / Flight Operations focused.

The transition from the required reactive Accident
Prevention/Flight Safety Program to a proactive
approach
h needs
d more ffocus.
The role of the Safety Manager as the co-ordinator
and not the owner
owner of risks
risks needs more direction.
direction
The Post Holders need to ensure they have structure
to identifying
identifying, owning and managing the risks
risks.
Unclear what SMS training is required and provided to
staff.
staff
More staff communication required to achieve maturity
with reporting
p
g hazards.

Inconsistency with risk assessments (severity and

probability).
Safety Cases being written by the Safety
Department alone, and not joined up within the
organisations.
organisations
Weak or unrealistic mitigation controls.
Thi d party
Third
t risks
i k and
d contracted
t t d and
d un-contracted
t t d
organisations have not been considered.
B t we also
But
l ffound
d greatt ideas,
id
b
bestt practices
ti
and
d
examples of effective SMS application.

Safety and business risks use the same matrices

and processes.
Business Area Heads and the Board own the risks
not the safetyy manager.
g
Sharing of hazards, incidents and events with
other organisations.
g
Looking for hazards from external and future
events.
Contracted organisations participate in the primary
organisations
SMS.
g
Using leading indicators to manage and measure
your sa
you
safety
e y pe
performance.
o a ce

CAA website www.caa.co.uk

www caa co uk

SMS Guidance Material

(Small) Non-complex organisation guidance
Framework of questions / Gap analysis
SMS
S
Se
effectivity
ec
y da
dates
es
safetymanagement@caa.co.uk

Skybrary
y
y www.skybrary.aero
y
y

Compliance on its own does not assure safety

safety.
SMS oversight is more subjective.
It is
i about
b t measuring
i effectiveness
ff ti
and
d the
th safety
f t
performance.
It is
i a different
diff
t approach
h needing
di diff
differentt skills.
kill
It will play a major part in our move towards risk
based oversight.
SMS is still evolving.
It requires collaboration and a close partnership
with our industry.