Preparing the Aviation Safety Policy Statement

Preparing Your Airline/Airport Safety Policy Statement

Management supports aviation safety management systems (SMS) by establishing safety standards and policies for their respective airline or airport. To be effective, top management must encourage participation in the entire SMS process and strive to instill a sense of ownership within the rest of the management team. To instill this sense of ownership and lower resistance to change, top management must facilitate the flow of safety information. Furthermore, top management support encompasses supporting safety objectives by allocating required resources to those responsible for implementing the aviation safety management program.

After acquiring top management support, the airline or airport's SMS champion will begin drafting a safety policy statement that must be accepted by upper management.

Safety Policy Statement

What is a safety policy statement? Your airline or airport's safety policy establishes a unified direction for the organization. An effective safety policy statement outlines the course of action within the airline or airport regarding all safety matters. Safety policy statements coherently express the vision of how your airline or airport reacts to safety related events.

What Should the Safety Policy Statement Achieve? 

Every safety policy should be viewed as a management tool to communicate to all stakeholders top management's commitment to safe operations and continuous improvement. All staff and stakeholders should be able to easily understand that safety remains a management priority and is expected to be a priority for everyone interacting with the airline or airport. Safety policies should not be long laborious documents that require a college education to understand. The most effective safety policy should be written in a manner that a middle-school student can easily understand the content and intentions.

How Are Safety Policy Statements Drafted? 

Your airline or airport should have a safety policy illustrating how safety is viewed and managed within your organization., and how it is considered as part of operations. To obtain regulatory approval of your aviation safety management system, every airline or airport will need to have their safety policies and objectives approved. This exercise if normally conducted (review of safety policy) after the airline or airport finishes the initial SMS documentation. Don't worry about making your SMS documentation perfect, as your SMS documentation should remain flexible and easily modifiable as regulatory requirements and the environmental influences induce change.

Every safety policy statement must be approved by the Accountable Executive or upper management. This approval process helps to document top management support for the commitment to safety management principles and the subsequent implementation. As stated earlier, the safety policy statement is normally developed during the intitial preparation of the SMS documentation.

Developing the Aviation Safety Policy Statement

Safety policy statements address high-level concepts. Perhaps the easiest way to draft the safety policy statement is by acquiring a safety policy template to use as an example. The safety policy template can be used in a brain storming session during a management meeting. In every case, keep the safety policy as simple as possible and limit to one page if possible.

Shallow empty platitudes, such as management's commitment to "make safety their highest priority" are not realistic. Many safety policies make these empty promises with little effect. Effective safety policies should consider:

• Top management commitment to implement the aviation SMS
• Top management commitment to devote necessary resources to the safety program
• Organizational commitment to achieve continuous safety improvement
• Non-punitive reporting statement to encourage reporting safety issues

This list is not exhaustive and every airline or airport will have a unique safety policy that outlines what is important to the operation.

After top management has an acceptable safety policy, the policy must signed and dated. Disseminate the safety policy statement to all employees and contractors. The safety policy should be reviewed on a regular basis. In most cases, this exercise is performed annually.

Examples of Safety Policy Statements & Other Aviation Policies

• Safety Policy Statement Example
• Non-punitive Reporting Policy Statement Example
• CEO Commitment to Safety Template
• SMS Induction Policy Statement Sample
• Quality Policy Statement Example
• Hazard Reporting Policy Statement Template
• Job Description Template for Aviation Safety Manager

How to best help your
Aviation Safety Management System

Become an SMS PRO

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About NWDS - founded in 2003 by six software engineers, NorthWest Data Solutions (NWDS) provides custom computer programming and systems design services. NWDS creates many types of software, including e-commerce, financial, defense, engineering, logistics, aviation and more. In 2007, NWDS developed SMS Pro™ a web based SMS application that supports an organization's overall SMS through safety reporting, safety documentation, safety risk management and safety assurance. SMS Pro™ is currently used by aviation organizations in the U.S., Canada, Asia, Latin America, Africa and the Middle East to help manage their SMS programs. NWDS continues to support SMS Pro™ and add new functionality. NWDS offers custom contract programming services in the U.S. and Canada and is managed by Chris Howell, one of the founders. Their headquarters is in Anchorage, Alaska. For information on NWDS visit their website at www.nwds-ak.com and www.asms-pro.com to learn more about SMS Pro™.

Safety Policy Statement Example Template

Every safety management system requires a safety policy statement. For most safety managers, coming up with a safety policy statement out of the blue is very hard to do. What does one look like? Where should I begin. Most of us find that a sample safety policy statement is the best way to begin writing your company's safety policy. SMS Pro™ (popular Web based safety management software) has a module to manage all policies and procedures. We also provide many examples of safety policy statements to our users when they setup their aviation safety management software.  Here is a sample safety policy statement you can use as a template for your airline, airport, MRO or flight school.

Typically, the safety policy statement is written by the CEO (or accountable executive), but you may want to give your manager a helping hand. Without a doubt, the safety policy statement should be signed by the accountable executive.

Sample Safety Policy Statement Template for Airlines, Airports and Others

To prevent aviation accidents and incidents our organization will maintain an active safety management system. I support the open sharing of information on all safety issues and encourage all employees to report significant errors, safety hazards or concerns. I pledge that no staff member will be asked to compromise our safety standards to “get the job done”.

Safety is a corporate value of this company, and we believe in providing our employees and customers with a safe environment. All employees must comply with this policy.

Our overall safety objective is the proactive management of identifiable hazards and their associated risks with the intent to eliminate their potential for affecting aviation safety, and for injury to people and damage to equipment or the environment. To that end, we will continuously examine our operation for these hazards and find ways to minimize them. We will encourage hazards and incident reporting, train staff on safety management, document our findings and mitigation actions and strive for continuous improvement.

Ultimate responsibility for aviation safety in the company rests with me as the Chief Executive Officer/Accountable Manager. Responsibility for making our operations safer for everyone lies with each one of us – from managers to front-line employees. Each manager is responsible for implementing the safety management system in his or her area of responsibility, and will be held accountable to ensure that all reasonable steps are taken.

See: http://www.caas.gov.sg/caasWeb/export/sites/caas/en/Regulations_And_Guidelines/Guidelines_and_Manuals/AFO/Advisory_Circulars/download/AC_1-3_2_08.pdf

More Information About Managing Safety Policy Statements

All policies and procedures need to be reviewed on a regular basis. You will receive an audit finding when you do not have a mechanism in place that ensures your policies and procedures are reviewed, by whom, and the date they were last reviewed.

In SMS Pro's Policies & Procedures module, functionality exists to send notifications to managers when particular policies and procedures require review. The Policies & Procedures module is designed not for only safety and quality policies, but for all your policies and procedures to be visible by all employees.

You can easily see the review status of all policies and procedures. There is also a tab for you to show the civil aviation authority (CAA) auditors when they come to visit. This tab lists all your policies and procedures, the date last reviewed and who reviewed the safety policy or procedure. For more information about aviation safety management software and the Policy & Procedures module, see http://www.asms-pro.com/Modules/Policy/PolicyManager.aspx.

How to best help your
Aviation Safety Management System

Become an SMS PRO

---

About NWDS - founded in 2003 by six software engineers, NorthWest Data Solutions (NWDS) provides custom computer programming and systems design services. NWDS creates many types of software, including e-commerce, financial, defense, engineering, logistics, aviation and more. In 2007, NWDS developed SMS Pro™ a web based SMS application that supports an organization's overall SMS through safety reporting, safety documentation, safety risk management and safety assurance. SMS Pro™ is currently used by aviation organizations in the U.S., Canada, Asia, Latin America, Africa and the Middle East to help manage their SMS programs. NWDS continues to support SMS Pro™ and add new functionality. NWDS offers custom contract programming services in the U.S. and Canada and is managed by Chris Howell, one of the founders. Their headquarters is in Anchorage, Alaska. For information on NWDS visit their website at www.nwds-ak.com and www.asms-pro.com to learn more about SMS Pro™.

Policy & Audit Elements of Effective Risk Management Programs

Aviation SMS Safety Policy & Audits

Without a doubt, every aviation service provider is different. Airline and airport aviation safety management systems (SMS) should be designed to address the specific needs of individual airlines and airports. All formal SMS programs will have these two common elements:

1. SMS policy statement describing the goals and objectives of the aviation risk management program and the responsibilities for safety, security, quality and compliance
2. Regularly scheduled airline or airport audits and inspections of premises, equipment, and work practices

In this short article, we will discuss SMS Policy and Audits elements of an effective ICAO SMS Program.

Aviation Safety Policies Come from the Top

Airline & Airport Safety Policy

Every basic aviation risk management program, whether it is for an airport, airline, charter operator, aviation maintenance organization (AMO or MRO), requires a statement of the operator's objectives and the responsibilities of the company, top management, line staff managers, and workers. This statement, typically called an aviation safety policy, typically states:

• The CEO, top management commitment to the SMS program
• Airline/Airport commitment to protect the safety of workers and all stakeholders
• The objectives and priorities of the operator's SMS program
• The safety duties and responsibilities of the top management, line supervisors, and workers

Effective aviation safety policies should be simply written and easy to understand. They do not need to be long, drawn out novels. After all, the aviation safety policy is not designed for "show," but to be actually read and understood by all employees. Therefore, keep it simple, clear and concise.

The written aviation SMS policy should be signed by the CEO or the most senior manager, whatever his title may be. It should be dated and reviewed annually. All workers should be made aware of the policy and its importance. For example, it could be given to all new workers and posted in the workplace, or on the aviation service provider's Web site. Some modern Web based aviation safety management systems have polices and procedures integrated into the aviation risk management software.

Regular Safety Audits and Inspections

Regular audits and inspections of the workplace are intended to:

• Identify conditions and unsafe acts with the potential to cause injury or damage to equipment
• Determine necessary corrective measures
• Prevent unsafe operating conditions from developing
• Ensure industry standards and best practices are being followed

Three different kinds of audits and inspections are described below:

• Regular, planned workplace audits and inspections: Inspect buildings, structures, grounds, aircraft, tools, equipment, machinery, and work methods and practices for hazards that might cause injury or damage to aircraft or the environment. Schedule these audits and inspections at appropriate intervals to prevent unsafe conditions developing. Depending on the aviation service provider and the type of hazards that might develop, audits and inspections may be scheduled daily, weekly, or monthly.
• Equipment audits and inspections: Workers should be trained to inspect their machinery, tools, and equipment regularly, following the manufacturer’s minimum recommendations. National regulatory agencies may also have specific requirements. 
• Special audits and inspections: National civil aviation regulatory agencies typically require special inspections or audits after certain types of events to ensure that operations do not resume until it is safe to do so.

Airline & Airport Audits and Inspections

SMS inspection teams typically include both worker and management representatives. Very often, a third-party auditor regularly conducts these audits and inspections. SMS auditing teams should be familiar with the work flow process and, whenever possible, include members of the joint safety committee or the company's safety representative.

Aviation Safety Audit Checklists

Safety Audits Serve Serveral Purposes

Inspection checklists can help ensure that audits and inspections are thorough, results are recorded, and the inspection process is standardized. A checklist is particularly useful in guiding those unfamiliar with the

inspection process. Checklists should be adapted to suit the needs of each aviation service provider's unique operations.

Safety audit checklists can also be used as a guide for the airline and airport to prepare for the audit or inspection. The audit and inspection should never be a "surprise," and advance warning of audits are almost always provided in advance. Therefore, using auditors' checklists as "pre-audit checklists" offers several benefits to the airline or airport, including training, convenience and time and cost savings.

Managing Safety Audit Findings and Concerns

Any unsafe or harmful conditions found during a regular inspection or audit should be reported immediately to the supervisor or employer and remedied without delay. This is commonly done through the airline or airport's hazard reporting system. When auditing processes are well-integrated into an operator's risk management processes, the work flow is seamless and saves considerable time and money in labor savings to manage these findings and concerns.

Document and communicate all significant findings and concerns for future reference. Each hazard or inconsistency identified should be recorded and the corrective actions taken to eliminate or control each item. Ensure to communicate this information to the joint safety committee for their review and approval.

Auditing is an iterative process when you consider the work flow over the course of several years. Audits and inspections offer airlines and airports an opportunity to improve operations and serve as an effective tool to educate managers and employees alike on the safe business practices. With this in mind, one should not always view safety audits as a waste of time, but as an opportunity.

How to best help your
Aviation Safety Management System

Become an SMS PRO

---

About NWDS - founded in 2003 by six software engineers, NorthWest Data Solutions (NWDS) provides custom computer programming and systems design services. NWDS creates many types of software, including e-commerce, financial, defense, engineering, logistics, aviation and more. In 2007, NWDS developed SMS Pro™ a web based SMS application that supports an organization's overall SMS through safety reporting, safety documentation, safety risk management and safety assurance. SMS Pro™ is currently used by aviation organizations in the U.S., Canada, Asia, Latin America, Africa and the Middle East to help manage their SMS programs. NWDS continues to support SMS Pro™ and add new functionality. NWDS offers custom contract programming services in the U.S. and Canada and is managed by Chris Howell, one of the founders. Their headquarters is in Anchorage, Alaska. For information on NWDS visit their website at www.nwds-ak.com and www.asms-pro.com to learn more about SMS Pro™.

Safety Non-Punitive Reporting Policy Statement Sample

Safety Policy Statement Sample - Non-Punitive Reporting Policy

Safety Policies Guide Organizations to Act as One

SMS Policies are an important part of every effective aviation safety management system. Without understanding the "purpose" of an effective aviation organization, one won't be able to realize the importance of policies. An essential component of every aviation safety management system remains the safety reporting policy. Every aviation safety reporting policy should be non-punitive within reasonable limits. This builds confidence and removes skepticism in your aviation SMS program and also provides a clear understanding to all employees of what behaviors can be tolerated by management. For example, coming to work drunk or breaking local, state and federal laws would not allow employees to report airline/airport accidents or incidents with impunity.

Many younger folks in your organization may see policies as a way for management to "control behavior." However, it is generally understood that effective aviation SMS programs will fail unless they are based on a written non-punitive reporting policy. "Show it to me in writing!"

Purpose of Aviation Safety Policies

Purpose and policies of airlines and airports are the basic foundation for progress and usefulness of the operator's existence. Purpose, or rationale is vision of the goal to be attained; policies are the plan of action or ways for the airline/airport by which visions are to evolve into accomplishments. SMS Pro has a Policies and Procedures module for managers to edit policies online. These policies can then be accessed by the entire organization. Safety policies often appear in context of the aviation safety management software program. For example, the Safety/Hazard Reporting Policy appears where users are most likely to need it.

Aviation Safety Software Must Be User Friendly and Relevant

NWDS believe that if aviation safety management software is not user-friendly and easy to use, it will not be used! With this in mind, SMS Pro places aviation SMS policies where they do the most good--right in the application where they are most visible and relevant. As another example  the "Non-Punitive Reporting Policy" is the first screen users see when the enter SMS Pro's aviation Hazard Reporting System. In addition, if you belong to the Safety Manager Role, you will be able to edit the template in place without hunting for the non-punitive reporting policy in your manuals. SMS Pro is EASY to use, very user-friendly and complete aviation safety management software.

When airlines and airports don't have a current "Non-Punitive Reporting Policy," NWDS provides a free template for the asking. Pretty cool, eh? Our sample non-punitive reporting policy template was created by the FAA, ICAO or Transport Canada. It has been with us for so many years that I've forgotten the source. If you belong to the FAA, ICAO or Transport Canada, (or even CASA), please don't be disturbed if you recognize your Non-Punitive Reporting Policy Template below. Of course, we encourage our clients to put their own name in the template.

Sample Non-Punitive Reporting Policy Template for Aviation Safety Program

Below is what we provide in SMS Pro as our non-punitive reporting policy template:

Non-Punitive Reporting Policy Sample Template

At World Aviation, our objective is to cultivate and foster a generative safety culture in which employees and customers are comfortable and encouraged to bring safety concerns to the attention of management.

No person will be penalized or retaliated against for bringing safety issues to the attention of management.
Safe flight operations are World Aviation’s most important commitment. To ensure this commitment, it is imperative that we have uninhibited reporting of all incidents and occurrences that compromise the safety of our operations.

We ask that each employee accept the responsibility to communicate any information that may affect the integrity of flight safety. Employees must be assured that this communication will never result in reprisal, thus allowing a timely, uninhibited flow of information to occur.

All employees are advised that World Aviation will not initiate disciplinary action against an employee who discloses an incident or occurrence involving flight safety. This policy cannot apply to criminal, international or regulatory infractions.

World Aviation has developed safety reports to be used by all employees for reporting information concerning flight safety. They are designed to protect the identity of the employee who provides information. These forms are readily available in your work area.

We urge all employees to use this program to help World Aviation continue its leadership in providing our customers and employees with the highest level of flight safety.

More Templates - Aviation Safety Policy Samples

Many safety policy template sample available at this link

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• Safety Non-Punitive Reporting Policy Statement Sample
• How to Increase Airline/Airport Hazard Reporting
• Reporting Airline Airport Hazards Using IPad & IPhone
• How to Encourage Employees to Use SMS Hazard Reporting Tools
• Hazard Reporting for Airlines/Airports SMS for All Stakeholders
• Hazard Reporting for Effective Aviation SMS Management Systems

How to best help your
Aviation Safety Management System

Become an SMS PRO

---

About NWDS - founded in 2003 by six software engineers, NorthWest Data Solutions (NWDS) provides custom computer programming and systems design services. NWDS creates many types of software, including e-commerce, financial, defense, engineering, logistics, aviation and more. In 2007, NWDS developed SMS Pro™ a web based SMS application that supports an organization's overall SMS through safety reporting, safety documentation, safety risk management and safety assurance. SMS Pro™ is currently used by aviation organizations in the U.S., Canada, Asia, Latin America, Africa and the Middle East to help manage their SMS programs. NWDS continues to support SMS Pro™ and add new functionality. NWDS offers custom contract programming services in the U.S. and Canada and is managed by Chris Howell, one of the founders. Their headquarters is in Anchorage, Alaska. For information on NWDS visit their website at www.nwds-ak.com and www.asms-pro.com to learn more about SMS Pro™.