Edited SMS Implementation Bongi Mtlokwa Seminars and Presentations/SMS Implementation.pdf · • Phased SMS implementation may be necessary only where the number of outstanding Gaps

SMS Implementation

Presented by: Bongekile Mtlokwa Date: 10 April 2017

SMS – managing safety in the interest of all…


Proposed implementation stepsAccountable executive/managerGap analysisSMS implementation planSMS integrationSMS manual and recordsSMS committee and administration

Outline


SMS Components and Elements

Safety policy and

objectives

Safety risk Management

Safety assurance

Safety promotion


Accountable Executive


Identify SMS Accountable executive (available TGM) AE authority

Ultimately responsible for SMSFull financial and safety accountabilityProvide resourcesOverall safety performance and take appropriate action to ensure SMS is effective

Who can be AECEOChairperson of board of directorsPartnerProprietor

AE responsibilities

Accountable Executive/Manager


Representative of all departmentsDrive SMS from planning to launch Coordinator: Safety manager/officer or project leaderTeam members: must be trained

TORsScope – implementation phase only – temporary structure Develop implementation planMonitor and report on implementation progress to the AE

SMS Implementation team and coordinator


• Define SMS applicability scope• See CAR Part 140

• Identify interfaces with existing systems and processes

• Identify external interfaces

Establish SMS applicability


Accountabilities and responsibilities of members of the teamDefine accountabilities and responsibilities in levels of managementWho can make decisions regarding SRM projectsOrganogram

Define positions and responsibilities /functions/roles

Documented in SMS manual

Define responsibilities and accountabilities of sub-contractorsInterfaces (customers, subcontractors, tenants, etc.)Collaborative HIRM processes

Safety management accountabilities and responsibilities


Differentiate between OHSE and SMS Manager

Responsibilities• Effective implementation and operation of SMS office• This function may be integrated with quality (see CAR

Part 140)• Advises AE and line managers on safety management

matters• Coordinates and communicates safety issues within the

organisation and external organisations (see SACATS 140)• Qualifications and experience (see SACATS 140)

Identify SMS/Safety Manager


Gap analysis


Identify gaps in relation to regulatory framework (CAR Part 140)Missing processes will form basis for implementation

Gap analysis templateCAA website

Perform gap analysis


Implementation committee• Transfer all gaps with “partial/No” responses to task list• Accurately identify gaps and what is required to close gaps• Transfer to project management

Review organisational structure and processes• Use outcomes of gap analysis to review organisational

structure, safety and quality procedures• Do necessary modifications on structure,

accountabilities and processes to facilitate SMS implementation

Identification of action items


Implementation plan


Project management• Assign tasks to departments/individuals or subgroups• Define milestones• Use any PM tool

Phased implementation• Phased SMS implementation may be necessary only

where the number of outstanding Gaps/ Tasks is very substantial and which would need such as a few years for full implementation

Convert SMS gap analysis doc into implementation plan


4-phased implementationTable 5-2. Four phases of SMS implementation

Phase 1 (12 months*) Phase 2 (12 months) Phase 3 (18 months) Phase 4 (18 months)

1. SMS Element 1.1 (i): a) identify the SMS accountable

executive; b) establish an SMS

implementation team; c) define the scope of the SMS; d) perform an SMS gap

analysis. 2. SMS Element 1.5 (i): a) develop an SMS

implementation plan. 3. SMS Element 1.3: a) establish a key person/office

responsible for the administration and maintenance of the SMS.

4. SMS Element 4.1 (i): a) establish an SMS training

programme for personnel, with priority for the SMS implementation team.

5. SMS Element 4.2 (i):

1. SMS Element 1.1 (ii): a) establish the safety policy and

objectives, 2. SMS Element 1.2: a) define safety management

responsibilities and accountabilities across relevant departments of the organisation;

b) establish an SMS/safety

coordination mechanism/ committee;

c) establish departmental/

divisional SAGs where applicable.

3. SMS Element 1.4: a) establish an emergency

response plan. 4. SMS Element 1.5 (ii): a) initiate progressive

development of an SMS document/manual and other supporting documentation.

1. SMS Element 2.1 (i): a) establish a voluntary hazard

reporting procedure. 2. SMS Element 2.2: a) establish safety risk

management procedures. 3. SMS Element 3.1 (i): a) establish occurrence

reporting and investigation procedures;

b) establish a safety data

collection and processing system for high-consequence outcomes;

c) develop high-consequence

SPIs and associated targets and alert settings.

4. SMS Element 3.2: a) establish a management of

change procedure that includes safety risk assessment.

5. SMS Element 3.3 (i):

1. SMS Element 1.1 (iii): a) enhance the existing

disciplinary procedure/ policy with due consideration of unintentional errors or mistakes from deliberate or gross violations.

2. SMS Element 2.1 (ii): a) integrate hazards identified

from occurrence investigation reports with the voluntary hazard reporting system;

b) integrate hazard identification

and risk management procedures with the subcontractor’s or customer’s SMS where applicable.

3. SMS Element 3.1 (ii): a) enhance the safety data

collection and processing system to include lower-consequence events;

b) develop lower-consequence

SPIs and associated targets/alert settings.

4. SMS Element 3.3 (ii):


• Distribute implementation tasks to assigned individuals/departments or subgroups • Line managers accountable for all actions related to their

departments

• Monitor progress of all action tasks• Coordinate with implementation team to monitor the

progress• Regular updates• Adjust timelines where necessary

Implementation and progress monitoring


SMS Integration


• SMS and QMS goals: provide safe and reliable products and services

• SMS and QMS - complementary• QMS foundation of SMS• QMS – compliance to standards and specifications

SMS and QMS integration


QMS and SMS Comparisons Table 5-1. Summary comparison of QMS and SMS


Consider SMS integration with other management systems, suchas security, workplace safety and environmental managementsystems; particularly in those areas where hazards or risks mayrequire cross-functional or integrated mitigating actions.

Integration of SMS with other relevant management systems


• A service provider is responsible for the safety performanceof products or services provided by subcontractors that donot require their own regulatory certification or approval.

• Integration between the organisation’s SMS and that of thesub-contractors should, as a minimum, address safetyreporting, identification of hazards and collaborative safetyrisk assessment where applicable.

Define any SMS integration with external organisations


• Must establish safety accountability between the service provider and the subcontractor;

• Ensure that the subcontractor has a safety reporting system commensurate with its size and complexity that facilitates the identification of hazards and systemic failures of concern to the service provider;

• Ensure that its safety/ SMS committee does include subcontractor representation, where appropriate;

• Ensure that safety/quality indicators are established to monitor subcontractor performance, where appropriate;

• Ensure that the service provider’s safety promotion process ensures that subcontractor employees are provided with the organisation’s applicable safety communications; and

§ any subcontractor roles, responsibilities and functions relevant to the service provider’s emergency response plan are addressed.

External integrationresponsibilities of approval holder:


SMS manual and records


Can be stand-alone or part of ops manualDifferentiate between top-level SMS manual and operational records and documentationPlease see TGM on SMS Manual development

Approval of SMS manualMust be approved by accountable executiveSubmitted to the CAA as per CAR Part 140

Establish SMS RecordsEvidence of SMS operationHave a documentation systemExamples of SMS documents (hazard register, completed safety assessments, SPIs and safety objectives, internal audit reports, committee meeting minutes, original SMS implementation plan, SRM reports, etc.)

SMS documentation development


SMS Committee and administration


• To monitor safety performance and effectiveness of SMS• Chaired by the accountable executive• Composition: operational managers including SMS/Safety Manager

Functions:• Monitors effectiveness of SMS• Ensures that necessary corrective actions are taken timeously• Monitors safety performance, safety policy and objectives• Monitors safety performance processes and audit outcomes• Monitors subcontractors’ supervision• Ensure allocation of resources to achieve acceptable level of safety

performance

SMS/Safety Committee


• Develop TORs• Decide on meeting intervals• Decide on agenda items depending on the implementation phase

Establish permanent SMS administration office• Provides secretariat support to safety/SMS Committee• SMS administration function may be incorporated into an existing

Safety/ Quality department or section where appropriate• This SMS administration office will be responsible to administrate the

SMS after its implementation phase has been completed by the SMS project implementation team

• An SMS administration office can be a new function or be incorporated within the TOR of an existing safety/ quality office, as deemed appropriate

TORs and agenda


• Establish SAGs where necessary• SAGs may not be necessary for very small service provider organisations

• SAGs functions • HIRM projects• Participates in management of change related to HIRM exercises

pertinent to their operational area• Coordinate implementation of CAP for their areas • Perform periodic review of effectiveness of pervious SRM projects• Oversee safety promotion activities in their area to increase

colleagues' awareness of safety issues • Ensure that colleagues are provided opportunities to participate in

safety management activities

Safety Action Groups


SourcesICAO Annex 19 (1st edition)ICAO Doc 9859 (3rd edition)

SACAR Part 140SACATS 140

CAAS

End

Documents

Edited SMS Implementation Bongi Mtlokwa Seminars and Presentations/SMS Implementation.pdf · • Phased SMS implementation may be necessary only where the number of outstanding Gaps