Safety management systems
Information for organisations regarding Safety Management Systems.
What is a Safety Management System?
An SMS is a systematic, proactive and integrated approach to managing safety including the necessary organisational structures, accountabilities, policies and procedures. It is more than a manual and a set of procedures. It requires safety management to be integrated into the day-to-day activities of the organisation.
At its foundation are the organisation’s people that contribute to, whilst being protected by, the SMS. A symbiotic relationship that can only thrive under a fully engaged organisational and safety culture. Led and promoted through high performing safety leadership. Ensuring people are trained to maintain their competence and confidence.
The critical output from the SMS is effective hazard identification and risk management. Remember, risk cannot be eliminated - unless an activity is stopped - but can be assessed and managed, with appropriate risk barriers and controls to reduce the risk to as low as reasonably practicable (ALARP).
The SMS must, as a minimum meet the regulations, so compliance monitoring is essential however, effective assurance of an e SMS must consider both compliance and performance. Using safety data and intelligence to measure how the SMS is performing against defined safety objectives and performance indicators. Generating safety actions to continually improve.
Remembering at all times that no aviation organisation operates in isolation but as part of system of systems that requires management of safety across these interfaces.
Evaluation tools
The SMS 'Umbrella'
Your SMS provides protection for your organisation so can be considered like an umbrella. Where each section’s performance is essential to maintaining the integrity and effect of the umbrella.
In this analogy, the spokes are represented by an entity’s people and safety culture, holding the umbrella up.
If any part of an umbrella fails, the whole structure collapses and people get wet. Similar, can be said of an SMS where, if any part of the SMS fails, the protections it provides can be weakened and people exposed to unnecessary harm.
SMS Evaluation Tool
The UK CAA SMS evaluation tool is designed to be used as a gap analysis tool for organisations as well as for the UK CAA to conduct initial SMS evaluations (Phase 1) through to confirming the SMS is fully operating (Phase 2). Ensuring that organisations achieve minimum regulatory compliance but also fosters increasing safety performance. Supporting the UK CAA’s Performance Based Regulation.
Management of Change Evaluation Guide
The Management of Change Evaluation Guide provides organisations with a framework/tool to review and self-assess their Management of Change within their governance structure and associated documentation. It is intended to be used to ensure that an organisation that is going through a change has considered all aspects that the CAA expect to be addressed and documented. It can also be used to check the quality and compliance of the change documentation before being presented to senior management and relevant stakeholders for their acceptance and, when required, submission to the CAA.
The previous Phase 1 SMS evaluation framework tools are still available to be used by organisations as a gap analysis tool.
- Phase 1 SMS gap analysis (evaluation framework) for complex organisations
- Phase 1 SMS gap analysis (evaluation framework) for non-complex organisations
Guidance and templates
- CAA Safety Management Systems Guidance Material(CAP 795)
- Safety Management Systems: Guidance for small non-complex organisations (CAP 1059)
- Safety performance indicator template
- Safety report form template
- Safety policy template
- Hazard log template
- SMS manual contents template
- Management of change guidance template
- SMICG Guidance for small organisation templates