Safety Management Systems (SMS) Fundamentals: Safety Assurance

Federal AviationAdministration

SL-1

Safety AssuranceComponent


SMS Details:

Policy (Structure)

Risk Management

Safety Assurance

Safety Promotion


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


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


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


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


SL-6

Data Acquisition and Processing

1. Continuous Monitoring2. Internal Audits3. Internal Evaluation4. External Audits5. Investigations6. Employee Reporting Systems

SystemOperation

Analysis



Action

SystemAssmt

Types of Data Sources

SMS Framework Elements 3.1.1 through 3.1.6


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



Action

SystemAssmt


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


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



Action

SystemAssmt


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



Action

SystemAssmt


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



Action

SystemAssmt


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



Action

SystemAssmt


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



Action

SystemAssmt


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



Action

SystemAssmt


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



Action

SystemAssmt


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



Action

SystemAssmt


SL-18

Preventive/Corrective Actions

• Increased supervision

• Emphasized procedures

• Equipment maintenance

• Remedial training

• Schedule changes

• Personnel assignments

• Health and wellness

SystemOperation

Analysis



Action

SystemAssmt


SL-19

Management Review

• The outputs of SRM & SA

• Lessons learned

• Need for changes

Top management must conduct regular reviews of the SMS, including:


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


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

Education

Safety Management Systems (SMS) Fundamentals: Safety Assurance