Principles of an Air Safety Management System

| Principles of an Air Safety Management System

© Atkins 2021

Principles of an Air Safety

Management System


© Atkins 2021

Introduction

• Air Safety Management Systems (ASMS)

• Purpose

• Organisation, responsibilities, policies and procedures

• Implementation of an ASMS

• Air Safety Management Plan (ASMP)

• Purpose

• Content.

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Learning Objectives

• To understand the purpose of an Air Safety Management

System (ASMS)

• To understand the purpose of an Air Safety Management

Plan (ASMP)

• To get an appreciation of the typical contents of an ASMS

and ASMP.


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What is Safety Management

Safety Management:

“The application of organizational, management and engineering principles in order to achieve safety”

Air Safety Management System (ASMS):

“An SMS specific to aviation, including activities such as the operation, control and Maintenance of Aircraft, Air Systems and pan-DLoD and addresses a combination of the physical

components, procedures, controls and human resources organized to deliver safety within an organization”.

[MAS]

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What is an ASMS?

DH

Eng Ops ATM

Safety Mgr

Safety

Processes

Safety

Procedures

Safety

Methodologies

Safety

Performance

Requirements

Safety Policy

ObjectivesADH

To Direct &

Control

Activities

It is: That allows: To meet:

TAA

Accountable

Manager

All ADHs, AMs and ADH Facing Organizations directly or indirectly involved in Defence Aviation shall establish,

maintain & assure the effectiveness of an ASMS. [RA1200]


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What is SMS?

• A systematic and proactive approach to managing safety risk

• To be effective must have:

• Objectives/Goals set

• Planned activities

• Performance measured

• Should go beyond compliance with regulation

• Systematic approach to safety risk:

• Identification/Management/Mitigation (to ALARP)

• Top down driven – ADH/TAA/AM responsible for

implementation & compliance:

• Not supported SMS will fail!!

• Can only be effective if ALL staff involved!

ASMS development- Ask:

• What keeps us safe?

• How do we know we are safe?

[MAS]

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Structure of ASMS

Safety Policy & Objectives

Safety Risk Management

Safety Assurance

Safety Promotion

Continuous

Improvement

Loop

Plan

DoCheck

Act

Sources: Deming’s Model

RA 1200

Manual of Air Safety

Def Stan 00-056

Audit


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The 4 Components (Pillars) of ASMS

Sa

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Po

lic

y &

Ob

jec

tive

s

Sa

fety

Ris

k

Ma

na

ge

me

nt

Sa

fety

As

su

ran

ce

Sa

fety

Pro

mo

tio

n

ASMS

Engaged/Positive Safety Culture

The ASMS should be proportional to the size, complexity and function of the organization and appropriately

address the following 16 Auditable Facets [RA1200.]

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ASMS - Safety Policy & Objectives

• A1 – Leadership Commitment,

Accountability, & Responsibilities.

Source: Manual of Air Safety & CAP 795

1st of the 16 Auditable

Facets [RA1200]

• Plan – Element of PDCA.


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Accountability, &

Responsibilities

• A2 – Engaged Safety Culture

“An Engaged Air Safety Culture is an

essential, enabling characteristic of an

effective ASMS”. [MAS]

Source: Manual of Air Safety

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Accountability, & Responsibilities


• A3 – Air Safety Priority, Objectives &

Targets


• What is the aim of the ASMS?

• Set Safety Performance Indicators (SPIs) &

Safety Performance Targets (SPTs) to align

with objectives

• How do we find out if aim is being

achieved?

• Audit/review SPIs and SPTs

• How do we find out how well it is being

achieved?

• Have we met SPIs & SPTs?


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Targets

• A4 – Organisation, Key Personnel & Air

Safety Competencies.

Source MAA – DSA01.1

Trained ExperiencedProfessional

Registration SQEP

Organisation:

• Scope

• Roles/Responsibilities

• Structure

• Air Safety Meetings

• Personnel

• Separation & Independence

of Safety Mgt

Senior Operator CAE/TAA Safety Mgr

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ASMS - Safety Policy

& Objectives• A1 – Leadership Commitment,



• A3 – Air Safety Priority Objectives &

Targets


Safety Competencies

• A5 – Defined Interfaces with Adjacent SMS.

Source: MAS

Aviation Safety Hierarchy

Command

ASMS

Group

ASMS

Station

ASMS

MAA Regulation

Interfaces: Define who

does, what, why,

where and when?


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Targets


Safety Competencies

• A5 – Defined Interfaces with Adjacent SMS

• A6 – Emergency Response Planning.


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What are Emergency and Contingency

Arrangements?

• It is impracticable to remove all risk identified with a system

• System can be ALARP & Tolerable, but risk of occurrence still exists

• Residual risk

• Written Emergency and Contingency

Procedures are designed to manage all

credible risk scenarios should they be

realised.


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ADH/TAA Responsibility

• ADHs/TAA, on the advice of Operating and Training Authorities, should

ensure that all personnel are aware of emergency & contingency

arrangements and are regularly trained in their operation

• Communicate emergency arrangements to their staff

• Report incidents and feedback lessons learned

• Delivery Teams need to have plans in place to

support emergency arrangements (Emergency

Response Plan).

• Guidance provided in ASPIRE process 14.L

TAA Post Accident Actions Tools

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Targets


Safety Competencies

• A5 – Defined Interfaces with Adjacent SMS

• A6 – Emergency Response Planning

• A7 – ASMS Documentation – SMP, WI etc

Source: MAS

• Consider producing precis with

key Air Safety priorities,

message and themes.


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Safety Risk Management - Context

• Governance, organizational structure, roles and

accountabilities

• Policies, objectives, and the strategies that are in place to

achieve them

• Capabilities (e.g. finance, time, people, processes, systems,

communications, information systems and technologies)

• The relationships with and perceptions and values of internal

stakeholders (e.g. the Tri-Service community)

• The organization's culture

• Information systems, information flows and decision-making

processes (both formal and informal)

• Standards, guidelines and models adopted by the organization

• The form and extent of contractual relationships

• Do – Element of PDCA.

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ASMS - Safety Risk Management

• B1 – Reporting & Investigation:

Sourc

es: R

A 1

200 &

Manual of A

ir S

afe

ty

Safety

Notice

Safety

Directive Occurrence

Safety

Investigation(Was MEDA)

Investigation:


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Safety Risk Management – Lagging/Leading

• Lagging:

• Accident/Incident Reports

• Leading:

• Error/Near Miss Event Reports

AccidentSMS

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ASMS - Safety Risk Management

• B1 – Reporting & Investigation

• B2 – Hazard Identification

• Reactive, Proactive & Predictive

• B3 – Safety Risk Assessment

& Mitigation.

Sourc

es: R

A 1

200 &

Manual of A

ir S

afe

ty


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ASMS - Safety Assurance - Context

• Safety assurance is the sum of those processes and

activities that are undertaken to establish whether the

ASMS is functioning as intended and to confirm that

safety requirements are being met

• Capturing the auditable evidence necessary to prove

whether the organizational arrangements & activities

are achieving the organization’s safety policy and

objective

Sources: MAS

• Check – Element of PDCA.

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ASMS - Safety Assurance

• C1 – Safety Performance Measurement and

Compliance Monitoring:

• Can be 1st party done internally – are we doing what we said we would iaw

Priorities, Objectives, Targets?

• Or 2nd party done by ISA – keeping us on track

• Or 3rd party done by MAA.

Sources: RA 1200 & MAS


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ASMS - Safety Assurance• C1 – Safety Performance Measurement and

• Compliance Monitoring

• C2 – Management of Change.

e.g. Type design/Ops/Office move etc..

Sources: RA 1200, MAS & DSA 01.1 Chapter 4 and DSA 01.2

Chapter 7

Frequent Short Notice

Unwanted Consequences

Org Safety Assessment

(DSA01.1)

Before Change – Ask:

• What keeps us safe?

• How do we know we are safe?

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• C2 – Management of Change

• C3 – Continuous Improvement of the ASMS.



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• C2 – Management of Change

• C3 – Continuous Improvement of the ASMS

• C4 – Retention, Evaluation & Feedback of Information.


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ASMS – Safety Promotion - Context

Safety Promotion:

• The means and measures by which personnel are prepared

and trained to perform their Safety management roles and

duties and by which safety issues are widely and effectively

communicated

• Sets the tone for individual and organization behaviours and

policies

• ASMS requires properly trained and experienced personnel

to ‘operate’ it

• ASMS requires the effective promulgation of the relevant Air

Safety ‘message’ across the organization.



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ASMS - Promotion

• D1 – Training & Education

• D2 – Safety Communication.


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What is an Air SMP?

• An ASMP has two key functions:

• It should describe the means by

which the safety management

regime will be or has been

developed, managed and

resourced (i.e. the ASMS)

• And it should include the

project’s safety related

timescales, milestones, targets

and other relevant data in the

form of a safety programme.


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Observations

• Ultimately, Safety is achieved by people

• The way they work, and the culture in which they work, are

key.

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SMS and SMP ReferencesSMS References:

• MAA-Manual of Air Safety, Issue 6 (Feb 19)

• ICAO Safety Management Manual 4th Ed, Doc 9859 (2018)

• Def Stan 00-056, Issue 7 (Feb 17)

• POSMS SMP 13 In-Service SMS

• CAA SMS-Guidance to Organisations CAP 795 (Feb 15)

• HSG65 Managing for Health and Safety (Dec 13)

• Air Operating Centres’ SEMS, Issue 5.1 (Jun 17)

• Occupational Health & Safety Standard OHSAS18001

• POSMS SMP 03/G/01 Template for SMP

• http://www.skybrary.aero/index.php/Main_Page.


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DAT - Air Safety Portal

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Principles of an Air Safety Management System