International Helicopter Safety Team Safety Management System Toolkit

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SAFETY POLICY: GENERAL EXPECTATIONS TABLE cont. Procedure: Quality Policy Does top management ensure that the organization’s quality policy, if present, is consistent with (or not in conflict with) it’s SMS? SMS Framework: 1.0 B) 4) b) Old – SMS Standard 4.3 (P) Procedure: Safety Management Planning Does the organization establish and maintain measurable criteria that accomplish the objectives of its safety policy? SMS Framework: 1.0 B) 4) e) Old – SMS Standard 4.7 A (PM) Does the organization establish and maintain a safety management plan to describe methods for achieving the safety objectives laid down in its safety policy? SMS Framework: 1.0 B) 4) g) Old – SMS Standard 4.7 B (PM) Procedure: Regulatory Compliance Does the organization identify current FAA policy, legal, regulatory and statutory requirements applicable to the SMS? SMS Framework: 1.0 B) 4) d) Old – SMS Standard 4.6.B (P)) Does the organization ensure the SMS complies with legal and regulatory requirements? SMS Framework: 1.0 B) 4) c) Old – SMS Standard 4.6.A (P) Outputs and Measures Does the organization ensure all SMS outputs are - Recorded? Monitored? Measured? SMS Framework: 1.0 B) 3) a) Old – SMS Standard 4.1.C)1 (I/P) SMS Framework: 1.0 B) 3) b) Old – SMS Standard 4.1.C)2 (I/P) SMS Framework: 1.0 B) 3) c) Old – SMS Standard 4.1.C)3 (I/P) Analyzed? SMS Framework: 1.0 B) 3) d) Old – SMS Standard 4.1.C)4 (I/P) Does the organization periodically measure performance objectives and design expectations of the general policy? See note at 3.1.3 & SMS Framework 1.0 B) 2) (c) and 3) (c); 3.1.3 B) 1) Old – SMS Standard 4.1 B) 3 & C) 3; 6.3.2 A & 6.3.3 (PM/I) Bottom Line Assessment Has the organization developed and implemented an integrated, comprehensive SMS for its entire organization and incorporated a procedure to identify and maintain compliance with current safety-related, regulatory, and other requirements? Management Commitment & Safety Accountabilities One person must have the responsibility to oversee SMS development, implementation and operation. This person must be the “champion” for the SMS program. However, this person does not bear the principal responsibility for safety management. The managers of the “line” operational functions, from middle management to front-line managers and supervisors, manage the operations in which risk is incurred. These managers and supervisors are the “owners” of the SMS.* For each process, the element that defines responsibilities for definition, and documentation of aviation safety responsibilities, applies to all components, elements and processes. * Safety Management Systems in Aviation, Stolzer, Halford & Goglia Documentation of Roles & Responsibilities: The following guidelines highlight some of the key areas that should be documented: The safety responsibilities for each position and task. The competencies required for each position. The line of responsibility for ensuring all staff are competent and trained for their duties and for ensuring that training takes place. The responsibilities of the manager responsible for externally supplied services. All unapproved contracting companies should meet the organization’s own SMS standards or an equivalent to them. 18 SMS Toolkit
Performance Objective: Management will define the organization’s safety policy and convey its expectations and objectives to its employees. SAFETY POLICY TABLE The following table is extracted from the FAA SMS Program Office Assurance Guide. Management Accountability Does top management define the organization’s safety policy? SMS Framework 1.1 B) 1) Old – SMS Standard 4.2 A) (P/R/A) Procedure Does the organization’s safety policy include the following - A commitment to implement SMS? SMS Framework 1.1 B) 2) a) Old – SMS Standard 4.2 B) 1 (P) A commitment to continually improving the level of safety? SMS Framework 1.1 B) 2) b) Old – SMS Standard 4.2 B) 2 (P) A commitment to managing safety risk? SMS Framework 1.1 B) 2) c) Old – SMS Standard 4.2 B) 3 (P) A commitment to comply with all applicable regulatory requirements? SMS Framework 1.1 B) 2) d) Old – SMS Standard 4.2 B) 4 (P) A commitment to encourage employees to report safety issues without reprisal, as per SMS Framework Process 3.1.6? SMS Framework 1.1 B) 2) e) Old – SMS Standard 4.2 B) 5 (P) Clear standards for acceptable behavior? SMS Framework 1.1 B) 2) f) Old – SMS Standard 4.2 B) 6 (P) Is the safety policy documented? SMS Framework 1.1 B) 2) j) Old – SMS Standard 4.2 B) 9 (P) Outputs and Measures Does the Safety Policy provide guidance to management on setting safety objectives? SMS Framework 1.1 B) 2) g) Old – SMS Standard 4.2 B) 7 (I) Does the Safety Policy provide guidance to management on reviewing safety objectives? SMS Framework 1.1 B) 2) h) Old – SMS Standard 4.2 B) 8 (I) Does the organization ensure the safety policy is communicated, with visible management endorsement, to all employees and responsible parties? SMS Framework 1.1 B) 2) j) Old – SMS Standard 4.2 B) 10 (I) Does the organization identify and communicate management and individuals’ safety performance responsibilities? SMS Framework 1.1 B) 2) l) Old – SMS Standard 4.2 B) 12 (I/R) Does the organization have methods to periodically measure performance objectives and design expectations of the safety policy? See note at 3.1.3 & SMS Framework 1.0 B) 2) c) and 3) c); 3.1.3 B) 1) Old – SMS Standard 4.1 B) & C); 6.3.2 A) and 6.3.3 (PM/I) Bottom Line Assessment Has top management defined the safety policy and conveyed the expectations and objectives of that policy to its employees? The illustration on page 20 shows one possible organizational scenario. In many organizations, the safety office is considered to be a stand-alone entity. In a small organization, there probably is no safety office. The functions specific to the SMS are concentrated within this element, and are not distributed throughout the organization. Safety management is a function comparable to any other function in the operation. In the same way that financial considerations are integrated into the organization, so should safety management considerations. In SMS, safety is considered to be everyone’s responsibility and is not unique to the safety office. Individual Roles & Responsibilities: The effective management of safety requires a clear delineation of all lines of authority within the organization. There should be a clear understand- SMS Toolkit 19
Page 3 and 4: International Helicopter Safety Tea
Page 5: EXECUTIVE SUMMARY Based on the find
Page 9 and 10: INTRODUCTION The implementation of
Page 11 and 12: All information in this toolkit is
Page 13 and 14: Members of the JHSIT were provided
Page 15 and 16: SMS Components (“Four Pillars”)
Page 17 and 18: CHAPTER 1: ORGANIZATION & HUMAN REQ
Page 19 and 20: In the past, safety goal setting wa
Page 21 and 22: Objectives: As your plan develops,
Page 23 and 24: CHAPTER 2: SAFETY MANAGEMENT SYSTEM
Page 25: Performance Objective: An organizat
Page 29 and 30: MANAGEMENT & SUPERVISON Hazard/ Ris
Page 31 and 32: Relevant and useful to people on du
Page 33 and 34: Documentation & Records The expecta
Page 35 and 36: Reactive (Past) Responds to events
Page 37 and 38: SAFETY ASSURANCE (SA) System operat
Page 39 and 40: SAFETY RISK MANAGEMENT: GENERAL EXP
Page 41 and 42: z z z REPORTING SYSTEMS Keep it sim
Page 43 and 44: Hazard Analysis Hazard identificati
Page 45 and 46: LIKELIHOOD S E V E R I T Y FREQUENT
Page 47 and 48: Performance Objective: The organiza
Page 49 and 50: Performance measurements are a requ
Page 51 and 52: INTERNAL AUDITS BY OPERATIONAL DEPA
Page 55 and 56: ASSESSING YOUR AVIATION SAFETY PROG
Page 57 and 58: 12. INFORMATION: Our organization p
Page 59 and 60: Investigation Occurrence, incident
Page 63 and 64: employee is essential to making the
Page 65 and 66: AN ORGANIZATION’S REPUTATION •
Page 67 and 68: EXPECTED Normal Behaviour “I did
Page 69 and 70: Management of Change Change is the
Page 71 and 72: Once the need for change has been i
Page 73 and 74: Continual Improvement Much has been
Page 75 and 76: It is recommended that a training f
Page 77 and 78:
sense of belonging. They are influe
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Performance Objective: Management w
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CHAPTER 3: GUIDELINES TO SMS IMPLEM
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Gap Analysis The first step in deve
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Hazard Identification & Risk Manage
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SMS Development Chart Components, e
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CHAPTER 4: SAMPLE SMS MANUAL SMS To
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SAFETY MANAGEMENT SYSTEM FOR ______
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SAFETY MANAGEMENT SYSTEM MANUAL Thi
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Intentional non-compliance with sta
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EXPECTED Normal Behaviour “I did
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Description Occurs in order to cr
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Terms & Acronyms Accident - an unpl
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Likelihood - the estimated probabil
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REFERENCES FAA AC 120-92, Introduct
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International Helicopter Safety Team Safety Management System Toolkit

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