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    Six key attributes should be addressed in SMS documentation: responsibility, authority, procedures, controls, interfaces, and process measures. The document provides examples of how each attribute can be described for an SMS, such as defining the accountable executive and their authority over the SMS, how manuals should be updated, risk assessment procedures, and using audits and safety reports to measure safety performance. Addressing these six attributes will help ensure SMS documentation accurately reflects the company's operations and is a functional system used by all employees.

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    SixAttributesforYourSMS

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    Six key attributes should be addressed in SMS documentation: responsibility, authority, procedures, controls, interfaces, and process measures. The document provides examples of how each attribute can be described for an SMS, such as defining the accountable executive and their authority over the SMS, how manuals should be updated, risk assessment procedures, and using audits and safety reports to measure safety performance. Addressing these six attributes will help ensure SMS documentation accurately reflects the company's operations and is a functional system used by all employees.

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    43 views2 pages

    Six Attributes For Your SMS: Watch

    Uploaded by

    Andrea A
    Six key attributes should be addressed in SMS documentation: responsibility, authority, procedures, controls, interfaces, and process measures. The document provides examples of how each attribute can be described for an SMS, such as defining the accountable executive and their authority over the SMS, how manuals should be updated, risk assessment procedures, and using audits and safety reports to measure safety performance. Addressing these six attributes will help ensure SMS documentation accurately reflects the company's operations and is a functional system used by all employees.

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    WATCH

    Six Attributes for Your SMS


    By Russ Lawton

    D
    eveloping the documentation for your • Process Measures—These are means of provid-
    Safety Management System (SMS) ing feedback to responsible parties that required
    requires considerable sweat equity to actions are taking place, required outputs are
    ensure it meets the SMS standard in FAA being produced, and expected outcomes are being
    Advisory Circular (AC) 120-92 and that achieved.
    the documentation accurately reflects
    Next we discuss how each attribute fits into your
    your company’s way of doing business. Your SMS
    SMS program.
    documentation must provide enough detail so ev-
    ery employee understands how safety is managed
    in your company and what is expected of them. Responsibility and Authority
    How much detail should your documentation Management and individual employee accountabil-
    include? There are six specific areas, or attributes, ity, responsibility, and authority are fundamental to
    that form the basis for the expectations of your safety management. These concepts must be inte-
    SMS program. These attributes, which are derived grated into your SMS program. The SMS standard in
    from the FAA’s Air Transportation Oversight System AC120-92 establishes expectations for top manage-
    (ATOS), should also be applied to your company’s ment, other company managers, and all employees
    manuals and other documents. Let’s start by defin- of the organization.
    ing the six attributes, and then we’ll briefly discuss The SMS standard requires a person of respon-
    their role in your SMS program documentation. sibility to oversee SMS development, implementa-
    • Responsibility—Who is accountable for manage- tion, and operation. The following is an example of
    ment of the process (planning, organizing, direct- an accountability statement for a senior executive:
    ing, controlling) and its ultimate accomplish- “The president/CEO, as the accountable executive,
    ment? has the authority and responsibility to ensure the
    • Authority—Who can direct, control, or change the development, implementation, and operation of a
    process, and who can make key decisions, such as viable safety management program.”
    risk acceptance? This attribute also includes the Note that the president does not bear the prin-
    concept of empowerment. cipal responsibility for safety management. The
    • Procedures—As specified ways to carry out an managers of the line operational functions (e.g.,
    activity or a process, procedures translate the top, middle, and frontline managers) are the ones
    “what” in goals and objectives into “how” in prac- who actually manage the operations in which risk
    tical activities. is incurred. As a result, these managers are the
    • Controls—These are elements of the system that “owners” of the SMS.
    include hardware, software, special procedures The documentation must specify those people or
    or procedural steps, and supervisory practices levels of management that can make safety risk ac-
    designed to keep processes on track. ceptance decisions.
    • Interfaces—Examples include items such as
    lines of authority between departments, lines of Procedures
    communication between employees, consistency Procedures are instructions that provide a clear
    of procedures, and clear delineation of respon- understanding of how to perform a process or task.
    sibility between organizations, work units, and A well-written procedure should include the four
    employees. “Ws” (who, what, when, where) plus “H” (how). The

    14 Aviation Business Journal | 1st Quarter 2009


    following procedure for updating a manual incorpo- Process Measures
    rates the four Ws plus H:
    “What gets measured gets done” is the favorite ex-
    • Each person that has been issued a manual (who)
    pression of a long-time colleague of mine in system
    shall complete the following steps whenever a
    safety. If you don’t track events and activities, how
    revision (what) to that manual is issued:
    will you know how well things are working? You
    • Remove existing pages listed on the revision no-
    have financial measures of success in your compa-
    tice (how and where).
    ny, and similar measures should apply to safety. It’s
    • Insert new pages listed on the revision notice
    not good enough to say, “We must be safe because
    (how and where).
    we haven’t had an accident lately.”
    • Log the revision on the Record of Revision Page,
    An active safety committee and reporting pro-
    reflecting the revision number and effective date
    gram will help get feedback from employees as to
    (how and where).
    how they view safety throughout the company.
    • Sign and return the revision acknowledgement
    Internal and external audits also provide valuable
    form to the director of operations (how and
    feedback.
    where).
    While we haven’t been able to go into great detail
    • The revision should be made as soon as practical
    in each area, you can see how incorporating each
    after receipt, but in no case later than the effec-
    attribute into your documentation will make it
    tive date (when).”
    sound like a working document that people actually
    use and not a bunch of policy statements that look
    Controls impressive but can’t be put into practice.
    Organizational process controls usually consist of
    special procedures and supervisory and manage-
    ment practices and processes. For example, an
    FBO might require a line service supervisor to be
    present whenever an aircraft above a certain size is
    moved, or it might have procedures that designate
    specific tug operators who have been trained and
    certified to conduct the towing.
    In another example, a charter operator uses a risk
    assessment tool before each flight. When the risk
    exceeds a predetermined value, either the chief
    pilot or the director of operations must review and
    either accept or mitigate the risk before the flight
    is released. This example illustrates a process that
    specifies those people or levels of management
    that can make safety risk acceptance decisions and
    specifies a threshold for when this must be accom-
    plished.
    Practices such as continuous monitoring, inter-
    nal audits, internal evaluations, and management
    reviews (which are all parts of the safety assurance
    process) are also considered forms of control.

    Interfaces
    This can be as simple as providing each employee
    with an organizational diagram that depicts the
    company reporting structure. It should include the
    safety manager and safety committee shown as
    independent functions that report directly to top
    management.

    Aviation Business Journal | 1st Quarter 2009 15

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