Transcript Fundamentals of a Safety Framework
Fundamentals of a Safety Framework
© 2004 EUROCONTROL
Dr. Erik Merckx EUROCONTROL Head of Safety Enhancement Business Division
TUNIS, 3-4 June 2004
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Safety Framework : Separation
Pan European National
© 2004 EUROCONTROL Safety Regulation -
ATM regulation - Independent view - Establish rules - Monitor !
Safety Regulation Commission Civil Aviation Authority (MoT)
Safety Management
- Achieve - Assure - Promote EUROCONTROL Agency Air Navigation Service Provider
JAA/EASA co-ordination for Airborne regulations TUNIS, 3-4 June 2004
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Safety Management
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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Contents of this Presentation
What is a Safety Management System (SMS) all about and what does it do for me The maturity of SMS in Eurocontrol member States Cost of Safety Cost of lack of Safety The need for European wide reporting of incidents The European Strategic Safety Action Plan (SSAP)
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Safety from the CEO/DG Perspective
The CEO or DG wants to be sure that the: Services given to the Airlines are safe Government is satisfied with the safety levels of his organisation Regulator is satisfied with the safety levels of his organisation General Public believes that his organisation is safe Media are confident that the organisation is safe
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Safety from the CEO/DG Perspective
The CEO or DG does not want :
Linate, 8 October 2001 © 2004 EUROCONTROL TUNIS, 3-4 June 2004 Überlingen, 1 July 2002
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What is a Safety Management System (SMS) all about and what does it do for me
Safety from the CEO/DG Perspective
How does the CEO or DG know that the …. Services given to the Airlines are safe Government is satisfied with the safety levels of his organisation Regulator is satisfied with the safety levels of his organisation …… …...
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Safety from the CEO/DG Perspective
How does the CEO or DG know that …. The risk of an accident is as low as he wants it to be ( even if there has not been an accident for the last 25 years ) ?
The risk of a serious incident is as low as he wants it to be ?
He is being given the correct information about how safe his organisation is ? His organisation is getting better or worse in terms of safety ?
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Safety from the CEO/DG Perspective
How does the CEO or DG know …. What the most important investments are to continue to provide safe services, or to improve safe services ?
Whether his organisation has the right quantity and quality of people ?
Whether people need training, advanced training, refresher training … ?
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Safety from the CEO/DG Perspective
The CEO or DG therefore needs …. A reliable information system on safety, the standards of which being as high as an accounting system A system that covers all the work in his organisation that has an impact on safety A system that he can fully trust A system that allows him to make correct decisions for the future of safety in his organisation
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Safety from the CEO Perspective
The CEO therefore needs a …. A reliable information system on safety, the standards of which being as high as an accounting system A system that covers all the work in his organisation that has an impact on safety A system that he can fully trust A system that allows him to make correct decisions for the future of safety in his organisation
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
What is a Safety Management System ?
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
What is a Safety
Management
System ?
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
What is a Safety Management
System
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
What is a Safety Management System
© 2004 EUROCONTROL
Safety Culture Leadership Commitment to resources Balanced decisions People Management Willingness to learn Willingness to share expertise ……………….
TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
What is a Safety Management System
Methodology Documentation Regulatory Compliance Traceability Performance Indicators Measuring Progress Reviewing Processes ……………….
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© 2004 EUROCONTROL TUNIS, 3-4 June 2004
What is a Safety Management System (SMS) all about and what does it do for me
What is a Safety Management System
© 2004 EUROCONTROL
Safety Culture Leadership Commitment to resources Balanced decisions People Management Willingness to learn Willingness to share expertise ……………….
TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Resources: Corporate Safety Management Function Resources for a Corporate Safety Function as a % of total personnel 3,5% 3,0% 2,5% 3,2% Average of 3.5 - 4.5 FTE per 1000 2,0% 1,5% 1,2% 1,0% 0,5% 0,3%0,2% 0,4% 0,6% 0,2% 0,5% 0,8% 0,0% A B C D E F G H I
Source: Study by BELGOCONTROL, early 2002 © 2004 EUROCONTROL TUNIS, 3-4 June 2004
0,4%0,3% 0,5% J K L 1,5% M 18
What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Resources: Corporate Safety Management Function CEO Operations Engineering Admin / Finance Corporate Safety Average of 3.5 - 4.5 FTE per 1000
Source: Study by BELGOCONTROL, early 2002 © 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Safety Culture and Leadership : Promoting an non-punitive and open incident reporting culture : the Danisch example
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Safety Culture and Leadership : Airport hot spots in the AIP : the Belgian example
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Safety Culture and Leadership : Learning organisation: willingness to monitor safety performance and to discuss openly within the organisation, for the sake of lessons learnt and prevention purposes : Willingness to share lessons learnt with other ANSP’s : The French example: SCTA, “Bulletin Securite”
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Safety Culture and Leadership : ANSP’s work together to audit eachother’s safety activities and learn from eachother for safety improvement The German (DFS), Austrian (Austrocontrol) and Swiss (Skyguide) example
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
What is a Safety Management System
Methodology Documentation Regulatory Compliance Traceability Performance Indicators Measuring Progress Reviewing Processes ……………….
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© 2004 EUROCONTROL TUNIS, 3-4 June 2004
What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Safety Performance Indicators and Measuring Progress: there is more to measure than “Airprox” : Safety discussions and actions at senior management and directors’ meetings Follow up of corrective actions coming from safety surveys Voluntary safety occurrence reporting schemes Interviews with ATCO’s and Maintenance Engineers on their work and the issues as they see them 25
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Safety Performance Indicators and Measuring Progress: there is more to measure than “Airprox” : Measuring the participation to, quality of and effectiveness of Refresher Courses ( vs. number and type of incidents) Measuring the involvement from all stakeholders in safety cases (engineers, ATCO’s, airport, airline, …) Measurement of the systematic use of safety cases in all ANSP activities: hardware changes, software changes, changes in airspace design, changes in SID’s, changes in ATCO manning, ….
© 2004 EUROCONTROL
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TUNIS, 3-4 June 2004
What is a Safety Management System (SMS) all about and what does it do for me
What is a Safety Management System
Methodology Documentation Regulatory Compliance Traceability Performance Indicators Measuring Progress Reviewing Processes ……………….
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© 2004 EUROCONTROL TUNIS, 3-4 June 2004
What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
The methodology of an SMS can be based on a Quality Management System (QMS ) An SMS can, together with a QMS, be part of an overall Management System In a number of countries, the ISO 9001 model is used as the basis for an SMS
But a QMS is not a SMS!!
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© 2004 EUROCONTROL TUNIS, 3-4 June 2004
What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Using an ISO 9001 model for an SMS, one would start by making an inventory of: 1. All the key processes in the company that have an effect on the quality of the services that are given ( example: one of the key processes is how to do ATS without traffic delays ) 2. Identify from above all the key processes in the company that have an impact on the safety of the services that are given (example: one of the key processes is how to do ATS without risk of incidents and accidents )
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Examples of Key Processes with impact on safety: Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Procedures Operational Processes Interfaces ATS and CNS CNS Maintenance Procedures Emergency Procedures Risk Assessment New Systems Risk Assessment New ATC Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Incident Reporting Incident Investigation Lessons Learnt Safety Surveys and Follow-up All elements of the SMS described in policies, well documented, communicated, updated, data recorded
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Means of Compliance with ESARR’s Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Procedures Operational Processes Interfaces ATS and CNS CNS Maintenance Procedures Emergency Procedures Risk Assessment New Systems Risk Assessment New ATC Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Incident Reporting Incident Investigation Lessons Learnt Safety Surveys and Follow-up
ESARR 3
All elements of the SMS described in policies, well documented, communicated, updated, data recorded
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Means of Compliance with ESARR’s Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Procedures Operational Processes Interfaces ATS CNS Maintenance Procedures Emergency Procedures Risk Assessment New Systems Risk Assessment New ATC Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Incident Reporting Incident Investigation Lessons Learnt Safety Surveys and Follow-up All elements of the SMS described in policies, well documented, communicated, updated, data recorded
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Means of Compliance with ESARR’s Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Procedures Operational Processes Interfaces ATS and CNS Maintenance Procedures Emergency Procedures Risk Assessment New Systems Risk Assessment New ATC Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Incident Reporting Incident Investigation Lessons Learnt Safety Surveys and Follow-up All elements of the SMS described in policies, well documented, communicated, updated, data recorded
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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What is a Safety Management System (SMS) all about and what does it do for me
Examples of “Safety Management System” Topics
Means of Compliance with ESARR’s Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Procedures Operational Processes Interfaces ATS and CNS CNS Maintenance Procedures Emergency Procedures Risk Assessment New Systems Risk Assessment
ESARR 2
Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Incident Reporting Incident Investigation Lessons Learnt Safety Surveys and Follow-up All elements of the SMS described in policies, well documented, communicated, updated, data recorded
© 2004 EUROCONTROL TUNIS, 3-4 June 2004
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The maturity of SMS in EUROCONTROL member States, beginning 2003
Maturity of SMS Implementation in EUROCONTROL ANSPs Maturity Scores of ANSPs, January 2003
100 80 60 40 20 0 1 2 3 4 5 6 7 8 9 10111213141516171819202122232425262728293031323334353637
Air Navigation Service Providers Source: Study by AEA for EUROCONTROL, early 2003 © 2004 EUROCONTROL TUNIS, 3-4 June 2004
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The maturity of SMS in EUROCONTROL member States, beginning 2003
Maturity of SMS Implementation in EUROCONTROL ANSPs Maturity Scores of ANSPs, January 2003
100 80 60 40 20 0 70% 35% 1 2 3 4 5 6 7 8 9 10111213141516171819202122232425262728293031323334353637
Air Navigation Service Providers Source: Study by AEA for EUROCONTROL, early 2003 © 2004 EUROCONTROL TUNIS, 3-4 June 2004
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The maturity of SMS in EUROCONTROL member States, beginning 2003
Maturity of SMS Implementation in EUROCONTROL ANSPs Maturity Scores of ANSPs, January 2003
100 80 60 40 20 0
High Traffic Growth
1 2 3 4 5 6 7 8 9 10111213141516171819202122232425262728293031323334353637
Air Navigation Service Providers Source: Study by AEA for EUROCONTROL, early 2003 © 2004 EUROCONTROL TUNIS, 3-4 June 2004
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The maturity of SMS in EUROCONTROL member States, beginning 2003
Observations on SMS Implementation
Two Major Conclusions Implementation of Safety Management System (SMS) in most ECAC States still has a long way to go A number of ANSP’s with low SMS maturity will have an increased safety risk due to high traffic growth
Source: Study by AEA for EUROCONTROL, early 2003 © 2004 EUROCONTROL TUNIS, 3-4 June 2004
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The maturity of SMS in EUROCONTROL member States, beginning 2003
Observations on SMS Implementation
Two Major Concerns – key inhibitors Leadership & Commitment Resources Solving these issues is essential in making progress
Source: Study by AEA for EUROCONTROL, early 2003 © 2004 EUROCONTROL TUNIS, 3-4 June 2004
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The maturity of SMS in EUROCONTROL member States, beginning 2003
Observations on SMS Implementation
Other Issues Data reporting and sharing: Yes, but…… Needs of Individual States are different Access to training in Safety Management is lacking Technical Safety Issues confuse even the experts Effectiveness & Appropriateness: small organisations struggle with one size fits all approach
Source: Study by AEA for EUROCONTROL, early 2003 © 2004 EUROCONTROL TUNIS, 3-4 June 2004
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The maturity of SMS in EUROCONTROL member States, beginning 2003
Observations on SMS Implementation
The following features appear to have helped progress: Starting early. At least 3-5 years are required for a mature SMS An organisational culture that embraces proactive leadership of Safety/Quality The discipline of an ISO 9000 certified organisation.
Source: Study by AEA for EUROCONTROL, early 2003 © 2004 EUROCONTROL TUNIS, 3-4 June 2004
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The maturity of SMS in EUROCONTROL member States, beginning 2003
Observations on SMS Implementation
The following features appear to have helped progress (Cont’d): Regional or peer groups that share information and provide mutual assistance.
Being close to EUROCONTROL
Source: Study by AEA for EUROCONTROL, early 2003 © 2004 EUROCONTROL TUNIS, 3-4 June 2004
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