Welcome to the Safety Management System (SMS) Partners' newsletter! This month's newsletter includes the following articles:

• Selling SMS
• Safety Management Systems will Play a Key Role
• Feedback is Key to a Robust SMS
• Safety Assurance

If there is a specific SMS topic that you would like to read about, or if you have any questions, please send us an e-mail. And of course, if you like what you are reading, please forward this e-mail to a friend!

SELLING SMS

An important component of a good Safety Management System (SMS) program is the safety assurance program. After a safety hazard has been reported or identified, the associated risk assessed and the hazard mitigated, it is critical to ensure that the solution that was implemented is assessed to ascertain that the safety hazard has been properly addressed. A functional safety assurance program should also identify non-compliance with your processes and procedures as well as safety related regulatory requirements. There are several programs or "tools" the SMS/safety manager can use to perform the SMS safety assurance function.

1. Employ continuous monitoring of your SMS reporting system to determine if safety events and hazards are being repeated. If you have an SMS application like SMS Proô, you can use the features and functions within the application to perform continuous monitoring. If you do not have an SMS reporting application, you can monitor and analyze operational data such as flight logs, maintenance logs, flight crew reports, unusual occurrence reports, time cards, process sheets and voluntary reporting reports.

2. Conduct internal audits and self audits. Develop a comprehensive audit program and procedures to be conducted on a periodic basis. The audits can be completed by an operational department audit team or line managers. Self audits can be completed by shop supervisors. Line managers and supervisors have first-hand knowledge of specific processes and procedures involved, making it easier to identify a safety issue. If you have a web-based SMS application, you should consider adding the audit results to the lessons learned or a safety library section to benefit other company personnel.

3. Implement an internal evaluation program (IEP). The FAA has an excellent Advisory Circular (AC) (#120-59A) that provides a detailed outline of an IEP for a Part 121 air carrier. The AC IEP framework would also serve as a model for other operators; just tailor it to your size organization. Accordingly, the SMS or safety manager should design an IEP to refine the SMS by continually monitoring the effectiveness and efficiency of SMS processes and systems. The IEP should identify and communicate a specific standard(s) against which each functional area will be evaluated. A specific internal standard can be developed as a composite of multiple sources including, but not limited to:

• External regulations (Title 14 CFR, Occupational Safety & Health Administration (OSHA), etc.)
• Internal company operating policies and procedures
• IOSA standards and recommended practices (ISARP)
• Department of Defense (DOD) quality and safety requirements (QSR)
• International Civil Aviation Organization (ICAO) requirements
• International Organization for Standardization (ISO)
• International Standard for Business Aircraft Operations (IS-BAO)

IEPs should be conducted by someone that is independent of the process being evaluated. This provides a double check of the system. Have the line manager or supervisor checking the system via internal or self audit, and then have another company staff trained as an IEP auditor checking the system to ensure that every possible safety issue is found and addressed.

4. Contract and complete external audits of your SMS. This could be a formal external audit by an outside firm or the FAA when they evaluate the operation. It would be prudent to hire an outside contractor to conduct an external audit in lieu of the FAA. If the FAA discovers a non-compliant program, you will likely see a Letter of Intent (LOI) or worse get a violation and fined.

5. Investigation. All safety events should be investigated, not only to determine the root cause, but also to identify how the system can be improved to preclude similar future events. Reports of non-compliance with processes and procedures and regulatory non-compliance should be investigated and analyzed as well.

6. Employee reporting. Implement an easy to use web-based SMS application that allows employees to report any safety issue or hazard. The application should allow anonymous reporting and be able to be accessed via the Internet using a PC and mobile devices. The organization should promote the system so that the employees feel comfortable making reports and know that they will not be punished in any way for submitting safety hazard reports, which is a key element of a positive safety culture.

Safety assurance functions provide confidence that the organization is meeting or exceeding its safety objectives. The safety assurance component provides feedback on the performance of the organization, as well as the effectiveness of the SMS and is part of the proactive approach to managing safety that focuses on processes rather than reactive and remedial actions.