Practical Safety Management Systems

R. Snyder Paul, M. Ullrich Gary

Description

The practical guide to transforming your safety program into a functioning safety management systemThe advent of the safety management system (SMS) has affected all aviation sectors worldwide, and is now required for most domestic and international air operations, through either regulatory (14 CFR Parts 5, 119, or 121) or voluntary compliance. It's easy to be intimidated by the scope and complexity of SMS, but Practical Safety Management Systems distills the concepts and principles into a practical working format. Universities and training organizations will find guidance and resources to create, implement, and maintain a functioning SMS.An SMS must be adapted and continuously improved to meet an organization's mission while reducing risk to the lowest viable level for flight departments, independent contractors servicing the aviation industry, air traffic services, and more. Beyond mere theory, this book encourages hands-on exercise and practical application of SMS concepts and principles to varied industry areas such as flight crews, maintenance, air traffic control, airports, and unmanned aircraft systems (UAS).Beginning with an overview and history of SMS, chapters cover SMS components, costs and development process, approaches to safety culture, human factors, audits and evaluations, and more. Each chapter concludes with review questions. Extensive case studies and references are provided throughout, with additional resources supplied in a "Reader Resources" webpage. Practical Safety Management Systems is a useful guide for transforming your safety program into an up-to-date and beneficial safety management system.

Informations

• Publié par: Aviation Supplies & Academics, Inc.
• Date de parution: 15 septembre 2019
• Nombre de lectures: 0
• EAN13: 9781619548879
• Langue: English
• Poids de l'ouvrage: 13 Mo

Extrait

PRACTICAL SAFETY MANAGEMENT SYSTEMS

SECOND EDITION

The practical guide to transforming your safety program into a functioning safety management system

PAUL R. SNYDER & GARY M. ULLRICH

AVIATION SUPPLIES & ACADEMICS NEWCASTLE, WASHINGTON

Practical Saety Management Systems Second Edition by Paul R. Snyder and Gary M. Ullrich

Avîatîon Supplîes & Academîcs, Inc. 7005 132nd Place SE Newcastle, Washîngton 98059-3153 asa@asa2fly.com | www.asa2fly.com

© 2019 Avîatîon Supplîes & Academîcs, Inc.

All Rîghts Reserved. No part o thîs publîcatîon may be reproduced, stored în a retrîeval system, or transmîtted în any orm or by any means, electronîc, mechanîcal, photocopy, recordîng, or otherwîse, wîthout the prîor wrîtten permîssîon o the copyrîght holder. Whîle every precautîon has been taken în the preparatîon o thîs book, the publîsher and the authors assume no responsîbîlîty or damages resultîng rom the use o the înormatîon contaîned hereîn.

Publîshed 2019 by Avîatîon Supplîes & Academîcs, Inc. Front cover photos:(top)©huseyîntuncer (îStock);(bottom, from left) ©Konstantîn Tronîn (Shutterstock), ©Angelo Gîampîccolo (Shutterstock), ©Chalabala (îStock), ©B&M Noskowskî (îStock) Back cover photos:(from left)©JuNîArt (îStock), ©FatCamera (îStock), ©uatp2 (îStock)

Addîtîonal înormatîon and resources to support your studîes can be ound on the “Reader Resources” page or thîs book by vîsîtîng www.asa2fly.com/reader/SMS

ASA-SMS-2-PD eBook ISBN978-1-61954-887-9 Print ISBN 978-1-61954-884-8

CONTENTS

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .v

CHAPTER 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Overview and History o Saety Management Systems

CHAPTER 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Understanding the Components o an SMS

CHAPTER 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 SMS Costs Versus Benefits

CHAPTER 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Saety Management Systems Versus Saety Programs

CHAPTER 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .57 Scalability o SMS

CHAPTER 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 Basic Saety Concepts

CHAPTER 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 SMS Planning and Process

CHAPTER 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 Transitioning Your Saety Program to a Saety Management System

CHAPTER 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 Developing a Saety Policy or Your Organization

CHAPTER 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131 Saety Risk Management

CHAPTER 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151 Saety Assurance and Continuous Monitoring

CHAPTER 12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 Saety Assurance: Audits and Evaluations

CHAPTER 13. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 SMS and Your Saety Culture

CHAPTER 14. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 Creating Your SMS Manual

GLOSSARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195

INDEX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205

îîî

PRACTICAL SAFETY MANAGEMENT SYSTEMS

iv

INTRODUCTION

PRACTICAL SAFETY MANAGEMENT SYSTEMS provîdes an up-o-dae pracîca guîde o ransorm your saey program, regardess o sîze and scope, îno a uncîonîng saey manage- men sysem (SMS). hîs book moves beyond e eoreîca dîscussîon and engages you roug ands-on exercîses desîgned o appy SMS conceps and prîncîpes o your organîzaîon. he ïnernaîona Cîvî Avîaîon Organîzaîon (ïCAO) requîres a an SMS address saey rîsk în aîr operaîons, maînenance, aîr raIc servîces, and aîrpors. hese ïCAO requîremens ave been expanded o încude lîg raînîng and e desîgn and producîon o aîrcrat. SMS as îeray afeced a areas o e avîaîon îndusry wordwîde, încudîng îndependen con- racors wo provîde servîces o e avîaîon îndusry. he FAA pubîsed e ong awaîed 14 CFR Par 5 “Saey Managemen Sysems” on January 8, 2015. he rue wen îno efec on Marc 9, 2015, requîrîng a Par 121 cerîicae oders o deveop and împemen an SMS wîîn eîr organîzaîons. Addîîonay, e new Par 5 can- ceed e SMS Pîo Projec and creaed e SMS Vounary Program (SMSVP), based on e SMSVP Sandard. he SMSVP mees “sae” recognîîon requîremens as deined în ïCAO An- nex 6. Any organîzaîon a wans o vounarîy împemen a program mus mee e SMSVP Sandard î ey wan o împemen an SMS acceped by e FAA. hîs exbook covers e requîremens or bo Par 5 and e SMSVP Sandard. Many proess o ave an undersandîng o SMS, ye very ew organîzaîons ave pracîca ands-on experîence în appyîng SMS conceps or eîr parîcuar organîzaîon. he SMS mus be aîored o mee e sîze and scope o eac organîzaîon. An SMS îs a sysemaîc ap- proac o managîng saey, încudîng e necessary organîzaîona srucure, accounabîîîes, poîcîes, and processes o eac organîzaîon. ï canno be purcased rom an ousîde vendor and paced on a se, bu mus be adaped o eac organîzaîon and conînuousy împroved o mee e mîssîon o e organîzaîon wîe reducîng rîsk o e owes pracîca eve.

v

PRACTICAL SAFETY MANAGEMENT SYSTEMS

ABOUT THE AUTHORS

Paul R. Snyder

Proessor Snyder îs an assîsan proessor or e Jon D. Odegard Scoo o Aerospace Scîences a e Unîversîy o Nor Dakoa (UND). He conînues o be acîve în avîaîon educaîon wî prevîous experîence as an FAA Desîgnaed Pîo and ïnsrucor Examîner, an OEM cerîied ïnsîu ScanEage UAS pîo, and UND Cîe Fîg ïnsrucor. As a DOT-cerîied SMS raîner, Proessor Snyder îs an acîve member o UND Execuîve SMS Commîee and Evens Revîew Team (ERT), anayzîng lîg daa and conducîng saey rîsk assessmens o reduce rîsk wîîn e organîzaîon. He as been a eader în workîng wî e FAA o be recognîzed as meeîng acîve conormance or UND’s Par 141 Pîo Scoo and Par 145 Maînenance Repaîr Saîon under e FAA SMS Vounary Program. Proessor Snyder aso acîvey eaces saey managemen sysems, avîaîon saey, un- manned aîrcrat sysems, and varîous advanced lîg courses or e UND. Reaed researc acîvîîes încude FAA ïndusry Traînîng Sandards (FïTS) scenarîo-based raînîng, uman acors consîderaîons o UAS procedures and conro saîons, UAS beyond vîsua îne o sîg, UAS es sîe coecîon and anaysîs, UAS parameers, exceedance, and recordîng raes or ASïAS. He ods a degree în Aeronauîca Sudîes and Maser o Scîence în Educaîona Lead- ersîp.

Gary M. Ullrich Beore joînîng e Unîversîy o Nor Dakoa, Proessor Urîc was a es group pîo or FîgSaey, adjunc assîsan proessor or Embry Rîdde Aeronauîca Unîversîy, and Cîe o Saey/ïnsrucor/Evauaor Pîo wî e Unîed Saes Aîr Force. Wîe a FîgSaey, e eped o creae eîr ïSO 9001 program. Proessor Urîc joîned UND Aerospace în 2006. ïn 2014, e eped UND Aerospace acîeve eîr FAA-recognîzed SMS Leve 3 saus. He curreny eaces avîaîon saey, saey managemen sysems, aîrcrat accîden învesîgaîon, advanced aerodynamîcs, and ong range navîgaîon and înernaîona procedures. He îs a commercîa pîo wî muî-engîne, însru- men, and Boeîng 720/707 ype raîngs.

Bo Pau R. Snyder and Gary M. Urîc were co-recîpîens o e Unîversîy Avîaîon Assocîaîon’s2017 John K. Lauber Saey Awardîn recognîîon o ousandîng acîevemen o avîaîon saey.

vi

CHAPTER 1

Overview and History o Saety Management Systems

OBJECTIVES •Define the definîtîon o Saety Management System (SMS). •Recall the hîstory whîch led to the înternatîonal requîrement or an SMS Program. •Descrîbe the Unîted States statuary requîrement to establîsh an SMS Program. •Explaîn the hîstory o the SMS Pîlot Programs. •Summarîze the împortant parts o 14 CFR Part 5. •Lîst and define the three levels o the SMS Voluntary Program (SMSVP). •Recall the our components o SMS.

KEY TERMS •14 CFR Part 5 •FAA Certîficate Management Team (CMT) •ICAO Annex •ICAO Standards and Recommended Practîces (SARPs) •Internatîonal Cîvîl Avîatîon Organîzatîon (ICAO) •Saety Assurance (SA) •Saety Management System (SMS) •Saety Polîcy •Saety Promotîon •Saety Rîsk Management (SRM) •SMS Pîlot Project •SMS Voluntary Program (SMSVP) •SMSVP Actîve Applîcant •SMSVP Actîve Conormance •SMSVP Actîve Partîcîpant

PRACTICAL SAFETY MANAGEMENT SYSTEMS

WHAT IS SMS? Asaey managemen sysem (SMS)îs e orma, op-down, busîness-îke approac o man- agîng saey rîsk, wîc încudes a sysemîc approac o managîng saey, încudîng e neces- sary organîzaîona srucures, accounabîîîes, poîcîes, and procedures. Saey managemen sysems are becomîng a sandard rougou e avîaîon îndusry wordwîde. SMS îs recognîzed by eïnernaîonal Cîvîl Avîaîon Organîzaîon (ïCAO), e Cîvî Avîaîon Auorîy (CAA), e ïneragency Pannîng OIce (ïPO), and many produc and servîce provîders as e nex sep în e evouîon avîaîon saey. SMS îs aso becomîng a sandard or e managemen o saey beyond avîaîon. Sîmîar sysems are used în e man- agemen o oer crîîca areas suc as quaîy, occupaîona saey and ea, securîy, and envîronmen. Saey managemen sysems or produc/servîce provîders (cerîicae oders) and regua- ors înegraes modern saey rîsk managemen and saey assurance conceps îno repeaabe, proacîve sysems. SMS empasîzes saey managemen as a undamena busîness process o be consîdered în e same manner as oer aspecs o busîness managemen. By recognîzîng e organîzaîon’s roe în accîden prevenîon, an SMS provîdes: • A srucured means o saey rîsk managemendecîsîon-makîng. • A means o demonsraîng saeymanagemen capabîlîybeore sysem aîures occur. • ïncreased conidence înrîsk conrolsoug srucured saey assurance processes. • An efecîve înerace orknowledge sarîngbeween reguaor and cerîicae oder. • A saey promoîon ramework o suppor a soundsaey culure.

Tecnoogy and sysem împrovemens ave made grea conrîbuîons o saey. Par o beîng sae îs abou aîudes and payîng aenîon o wa your surroundîngs are eîng you. Weer roug daa or roug e înpu o empoyees and oers, recognîzîng a many opporunî- îes exîs o sop an accîden îs e irs sep în movîng rom reacîve o predîcîve înkîng. Saey begîns rom bo e op down and e boom up. Everyone rom e recepîonîs, ramp worker, pîo, supervîsors, managers, e cîe execuîve oIcer, and FAA ïnspecor as a roe o perorm. SMS îs a abou saey-reaed decîsîon-makîng rougou e enîre organîzaîon. hus î îs a decîsîon-maker’s oo, no a radîîona saey program separae and dîsînc rom busîness and operaîona decîsîon-makîng. ï can be a compex opîc wî many aspecs o consîder, bu îs deinîng caracerîsîc îs a î îs a decîsîon-makîng sysem. An SMS does no ave o be an exensîve, expensîve, or sopîsîcaed array o ecnîques în order o do wa î îs supposed o do. Raer, an SMS îs buî by srucurîng saey managemen around our componens: •Saey polîcy; •Saey rîsk managemen (SRM); •Saey assurance (SA); and •Saey promoîon.

2

Saety Policy

CHAPTER 1Overview and History o Saety Management Systems

Saey poîcy consîss o seîng objecîves, sandards, and assîgnîng responsîbîîîes. ï îs aso were managemen conveys îs commîmen o e saey perormance o e organîzaîon o îs empoyees. As SRM and SA processes are deveoped, e organîzaîon soud come back o e saey poîcy o ensure a e commîmens în e poîcy are beîng reaîzed and a e sandards are beîng uped.

Saety Risk Management he SRM componen provîdes a decîsîon-makîng process or îdenîyîng azards and mîîga- îng rîsk based on a oroug undersandîng o e organîzaîon’s sysems and eîr opera- îng envîronmen. SRM încudes decîsîon makîng regardîng managemen accepance o rîsk o operaîons. he SRM componen îs e organîzaîon’s way o uiîng îs commîmen o consîder rîsk în eîr operaîons and o reduce î o as ow a eve as possîbe. ïn a sense, SRM îs a desîgn process, a way o încorporae rîsk conros îno processes, producs, and servîces, or o redesîgn conros were exîsîng ones are no meeîng e organîzaîon’s needs.

Saety Assurance SA provîdes e organîzaîon wî e necessary processes o gîve conidence a e sysems mee e organîzaîon’s saey objecîves and a mîîgaîons or rîsk conros deveoped under SRM are workîng. ïn SA, e goa îs o wac wa îs goîng on and revîew wa as appened o ensure a objecîves are beîng me. hus, SA requîres monîorîng and measurîng saey perormance o operaîona processes and conînuousy împrovîng e eve o saey peror- mance. Srong SA and saey daa anaysîs processes yîed înormaîon used o maînaîn e înegrîy o rîsk conros. SA processes are us a means o ensurîng e saey perormance o e organîzaîon, keepîng î on rack, correcîng î were necessary, and îdenîyîng needs or reînkîng exîsîng processes.

Saety Promotion

he as componen, saey promoîon, îs desîgned o ensure a an organîzaîon’s empoyees ave a soîd oundaîon regardîng eîr saey responsîbîîîes, e organîzaîon’s saey poî- cîes and expecaîons, reporîng procedures, and a amîîarîy wî rîsk conros. Traînîng and communîcaîon are e wo key areas o saey promoîon. An SMS does no ave o be arge, compex, or expensîve în order o add vaue. ï ere îs acîve învovemen by e operaîona eaders, open înes o communîcaîon up and down e organîzaîon and among peers, vîgîance and assurance a empoyees know a saey îs an essenîa par o eîr job perormance, e organîzaîon wî ave an efecîve SMS a eps decîsîon makers a a eves.

3