safety management systems (sms) fundamentals: safety assurance
Post on 08-May-2015
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Federal AviationAdministration
SL-1
Safety AssuranceComponent
Federal AviationAdministration
SMS Details:
Policy (Structure)
Risk Management
Safety Assurance
Safety Promotion
Federal AviationAdministration
SL-2
Objective of Safety Assurance
• Assurance: “something that gives confidence”1
• Safety Assurance: “something that gives confidence in safety risk controls.”
1 Black’s Law Dictionary
Federal AviationAdministration
SL-3
• Collect and analyze information to determine that process requirements are continuously being met.
• Assess performance and effectiveness of risk controls.
• Works in partnership with Safety Risk Management (SRM).
Safety Assurance Functions:
AC 120-92
Federal AviationAdministration
SL-4
S.A. is similar to Q.A.
• QA focuses on product conformity & customer satisfaction on a continuous basis.
• SA ensures that risk controls, once designed and put to place, perform in a way that continue to meet their safety objectives.
• Integration of management systems may be beneficial.
AC 120-92
Federal AviationAdministration
SL-5
System Monitoring
The system monitoring includes:
1) System description, including risk controls added during SRM. This forms the basis for SA functions such as audits and analysis.
2) Monitoring of risk controls during operations,
AC 120-92
Written documentation to describe:
Who, What, When, Where, Why, How
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-6
Data Acquisition and Processing
1. Continuous Monitoring2. Internal Audits3. Internal Evaluation4. External Audits5. Investigations6. Employee Reporting Systems
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Types of Data Sources
SMS Framework Elements 3.1.1 through 3.1.6
Federal AviationAdministration
SL-7
Continuous Monitoring
• Accomplish continuous monitoring of day-to-day activities & processes
• Have direct responsibility for process control
• Must ensure that processes in their areas function as designed.
Where SRM and SA interface - risk controls
Line managers of operational departments:
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-8
Continuous Monitoring
• Flight dispatch records
• Flight schedules
• Financial data
• Crew schedules and records
• Warranty return reports
• Aircraft discrepancy reports
• Flight cancellation and delay reports
- Operational Data Sources
Federal AviationAdministration
SL-9
Internal Audits
This is where:• Deficiencies in processes contribute to
risk
• Audits provide feedback to process owners
• Direct supervisory control and resource allocation can help to maintain effectiveness of risk controls
The day-to-day responsibility for safety management rests with those who “own” the technical processes.
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-10
Internal Audit Design• Performed by each department.
• Department Director/Manager is responsible.
• Regularly scheduled
• Include contractors & vendors
• Determine:– Conformity with safety risk controls
– Performance of safety risk controls
– Performance to meet safety objectives
• Deficiencies always get action! AC 120-92
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-11
Internal Evaluation
• Performed by a functionally independent person or organization (e.g. QA, Safety)
• A process-oriented control function
• Backs up the internal audit function
• Uses sampling to validate SA processes
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-12
External Audits
Conducted by:
• Code-share partners
• Industry organizations (e.g. C.A.S.E.)
• Third parties: consultants
• The regulator (FAA) = “Safety Oversight”
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-13
Safety investigations
• Traditional Approach – put the event behind us (everything is okay):
– To reassert trust and faith in the system (as is)– To resume normal activities– To fulfil political purposes
• SMS Approach - Improved system reliability:– To learn about system vulnerability– To develop strategies for change– To prioritize investment of resources
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-14
Employee Reporting
• Employee safety reporting is required & a feedback system is encouraged.
• Must provide confidentiality.
• Employees must be encouraged to use the system.
• Data may identify emerging hazards.
• Data must be included in analysis.
AC 120-92, App. 1
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-16
Types of analysis• Against criteria/objectives
• Compared to “norms”
• Patterns from multiple data points
• Trends over time
– “Trends” is one of the most misused term in analysis
– Must have stable, reliable measures at each time sample for a valid trend
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-17
System Assessment• Are objectives being met? (“Happy loop”)• Risk controls failing due to:
– Lack of supervision– Lack of resources– Lack of training– Poor job aids
• New Hazard/failed Risk Controls (Redesign - back to SRM)
• Prioritize according to safety criticality (triage)
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-18
Preventive/Corrective Actions
• Increased supervision
• Emphasized procedures
• Equipment maintenance
• Remedial training
• Schedule changes
• Personnel assignments
• Health and wellness
SystemOperation
Analysis
DataAcquisition& Process
Preventive/Corrective
Action
SystemAssmt
Federal AviationAdministration
SL-19
Management Review
• The outputs of SRM & SA
• Lessons learned
• Need for changes
Top management must conduct regular reviews of the SMS, including:
Federal AviationAdministration
SL-20
Continuous Improvement
• Safety and Quality Policies
• Safety Objectives
• Audit & Evaluations
• Analysis of Data
• Corrective and Preventive Actions
• Management Reviews
The organization shall continuously improve the effectiveness of the SMS through:
AC 120-92
Federal AviationAdministration
SL-21
Internal Evaluation
SA Process Circle Diagram
Analysis,Assessment, &
Decision
Continuous Monitoring:Day to day, flight by flightJob by job – supervise!
Internal/External Audits: Go out and look
Employee Reporting:Listen the front line
Investigation:Learn from error
Preventive/Corrective Action:
Getting back on track
Design/Re-design• Changes• Failures
Back to SRM
Affirmed:Expectations met
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