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Safety Management Systems Trial Assessment
Background
The recent introduction of Safety Management Systems (SMS) into all areas of the aviation industry has been undertaken with the objective of improving both the safety performance and the effectiveness of safety management practices. In accordance with international standards, an SMS must:
a) identify safety hazards;
b) ensure that remedial action necessary to maintain an acceptable level of safety is implemented;
c) provide for continuous monitoring and regular assessment of the safety level achieved;
and
d) aim to make continuous improvement to the overall level of safety.
Implementing organizations such as air operators, aerodrome operators and air traffic control organizations, as well as civil aviation authorities who are responsible to conduct safety
oversight of the aviation industry, recognize that the traditional methods of inspection and audit must be supplemented by new techniques in order to determine that SMS processes and procedures have been implemented and, most importantly, that they are effective.
Traditional methods of inspection and audit are generally able to determine whether or not there has been compliance with operating requirements such as training programmes, aircraft
maintenance procedures and operational requirements, etc., and usually involve an extensive review of operator records. While such approaches can determine the degree of compliance with requirements, they are not well suited to assess the effectiveness of the underlying safety management practices.
Objective
The objective of this trial is to use a new methodology to assess the degree of implementation of ICAO SMS attributes and their effectiveness.
Methodology
The methodology has been derived from the ICAO Safety Management Manual (DOC 9859).
In addition to other detailed information, this manual includes a table containing specific
information that should be included in an SMS, presented in the form of a gap analysis. That is, the table is designed to be used by an organization undertaking to implement an SMS, to assist it to identify the aspects of an SMS that it already has in place and also those that remain to be completed. In this way, the organization can focus its SMS implementation project on the needed elements of an SMS.
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The Assessment Protocol developed by COSCAP is based on that gap analysis, but presented in a series of expectations. For example, a generic SMS would be expected to include a Safety Policy which, among other things:
• reflects organizational commitments regarding safety management;
• includes a clear statement about the provision of the necessary resources for the implementation of the safety policy;
• clearly indicates which types of operational behaviours are unacceptable; and,
• is signed by the Accountable Executive.
To assist the assessment of the state of implementation of the SMS, the Protocol then provides a series of questions designed for different levels of the organization: Accountable Executive;
Management; and, non-management. Through structured interviews with a sample of personnel from the organization the Assessors will be able to determine the degree of
implementation as well as reach conclusions regarding the effectiveness of the organization’s practices and procedures.
Team Members
Team members for the trial assessment will be drawn from the COSCAP programme, the State of Operator CAA, international organizations and other experts having experience in safety management.
Reports
An Assessment Report will be strictly confidential to the organization, provided for its use as it deems appropriate. It is anticipated that the organization will use the report to assist it in strengthening its SMS.
An Evaluation Report will be prepared for the purpose of evaluating the assessment methodology in order to assist the COSCAP programmes improve the SMS assessment methodology and thereafter provide guidance to Member Administrations. The evaluation report will not identify the subject of the trial assessment.
Confidentiality
The contents of the Assessment Report will be confidential to the organization.
Members of the Assessment Team will undertake to not disclose any identifiable information related to the organization.
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