Aviation Safety Management Systems (SMS): sample policy statement

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Saturday, February 16, 2013

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:

SMS policy statement describing the goals and objectives of the aviation risk management program and the responsibilities for safety, security, quality and compliance
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

aviation SMS safety audits and inspections

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™.

Monday, February 11, 2013

Safety Non-Punitive Reporting Policy Statement Sample

Safety Policy Statement Sample - Non-Punitive Reporting Policy

Sample Aviation Safety Policy Statement Templates

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

airline airport aviation safety management software

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.