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Sms Large Operator 107 001 e

Sms Large Operator 107 001 e

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Published by: ford460 on Dec 08, 2009
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Advisory Circular
 
Subject:Guidance on Safety Management Systems Development
Issuing Office: Civil AviationActivity Area: Education AC No.: 107-001File No.: Z 5015-11-2 Issue No.: 01RDIMS No.: 3789918 Effective Date: 2008-01-01
TABLE OF CONTENTS1.0
 
INTRODUCTION..............................................................................................................................4
 
1.1
 
Purpose............................................................................................................................................4
 
1.2
 
Applicability......................................................................................................................................4
 
1.3
 
Description of Changes....................................................................................................................4
 
2.0
 
REFERENCES AND REQUIREMENTS.........................................................................................4
 
2.1
 
Reference Documents.....................................................................................................................4
 
2.2
 
Cancelled Documents......................................................................................................................4
 
2.3
 
Definitions and Abbreviations..........................................................................................................5
 
3.0
 
BACKGROUND...............................................................................................................................5
 
3.1
 
Who should use this guide and what is it about?.............................................................................5
 
3.2
 
What is a Safety Management System?..........................................................................................5
 
3.3
 
Key Generic Features of the SMS Approach...................................................................................5
 
3.4
 
Diagram One – Key Generic Features of an Effective SMS............................................................6
 
3.5
 
The Accountable Executive and Corporate Culture.........................................................................7
 
3.6
 
Diagram Two Elements of Safety Culture.....................................................................................8
 
3.7
 
Who is the accountable executive?.................................................................................................8
 
3.8
 
Continuous Improvement Cycle.......................................................................................................9
 
3.9
 
Table 1: Plan, Do, Check, Act: A Process for Improvement............................................................9
 
3.10
 
PLAN..............................................................................................................................................10
 
3.11
 
DO..................................................................................................................................................11
 
3.12
 
CHECK...........................................................................................................................................12
 
3.13
 
ACT................................................................................................................................................12
 
3.14
 
Advantages of Using PDCA Methodology.....................................................................................13
 
3.15
 
Why Bother Implementing a SMS?................................................................................................13
 
3.16
 
Integrating Other Legislative Requirements in your SMS..............................................................14
 
4.0
 
COMPONENT 1: SAFETY MANAGEMENT PLAN......................................................................15
 
4.1
 
Safety Policy..................................................................................................................................15
 
4.2
 
Building a Safety Policy..................................................................................................................15
 
4.3
 
Safety Planning, Objectives and Goals..........................................................................................17
 
4.4
 
Safety Performance Measurement................................................................................................18
 
4.5
 
Table 3...........................................................................................................................................18
 
 
 4.6
 
Safety Reporting Policy..................................................................................................................18
 
4.7
 
Roles and Responsibilities.............................................................................................................19
 
4.8
 
DIAGRAM 3 SMS Organization Chart........................................................................................20
 
4.9
 
Individual Roles and Responsibilities.............................................................................................20
 
4.10
 
Delegation of Tasks to Effectively Operate the Safety Management System...............................21
 
4.11
 
Safety Office...................................................................................................................................21
 
4.12
 
Safety Committee...........................................................................................................................22
 
4.13
 
Employee Involvement in SMS Development and Implementation...............................................22
 
4.14
 
Description of System Components...............................................................................................23
 
4.15
 
Diagram 4 Example Process Flow..............................................................................................23
 
4.16
 
Dealing with Third Party Service Providers....................................................................................23
 
4.17
 
Management Review of the Safety Management System.............................................................24
 
4.18
 
How do you know if your SMS is working?....................................................................................24
 
5.0
 
COMPONENT 2 - DOCUMENTATION.........................................................................................26
 
5.1
 
Identification and Maintenance of Applicable Regulations and Standards....................................26
 
5.2
 
SMS Documentation......................................................................................................................26
 
5.3
 
Records Management....................................................................................................................29
 
5.4
 
How do you know if your SMS is working?....................................................................................29
 
6.0
 
COMPONENT 3 SAFETY OVERSIGHT....................................................................................30
 
6.1
 
DIAGRAM 5 SMS Process Flow.................................................................................................30
 
6.2
 
Reactive Processes.......................................................................................................................31
 
6.3
 
Pro-Active Processes.....................................................................................................................36
 
7.0
 
COMMON REACTIVE/PROACTIVE ELEMENTS........................................................................42
 
7.1
 
Reporting Procedures....................................................................................................................42
 
7.2
 
Data Collection...............................................................................................................................42
 
7.3
 
Data Collection Systems................................................................................................................42
 
7.4
 
Risk Management..........................................................................................................................42
 
7.5
 
DIAGRAM 7 Risk Analysis Matrix...............................................................................................43
 
7.6
 
DIAGRAM 8 Risk Assessment Matrix.........................................................................................43
 
7.7
 
How do you know if your SMS is working?....................................................................................45
 
8.0
 
COMPONENT 4 - TRAINING........................................................................................................47
 
8.1
 
General Training Requirements.....................................................................................................47
 
8.2
 
How do you know if your SMS is working?....................................................................................47
 
9.0
 
COMPONENT 5 QUALITY ASSURANCE PROGRAM.............................................................48
 
9.1
 
Quality Assurance General............................................................................................................48
 
9.2
 
PDCA.............................................................................................................................................48
 
9.3
 
Focus on Process..........................................................................................................................49
 
9.4
 
Operational and System QA..........................................................................................................49
 
9.5
 
Audits.............................................................................................................................................49
 
 
 9.6
 
Establishing an Internal Audit Program..........................................................................................50
 
9.7
 
Process versus Results Auditing...................................................................................................50
 
9.8
 
Checklists.......................................................................................................................................50
 
9.9
 
On-Going Monitoring......................................................................................................................51
 
9.10
 
QA Personnel.................................................................................................................................51
 
9.11
 
Existing Systems............................................................................................................................51
 
9.12
 
Role of QA......................................................................................................................................51
 
9.13
 
How do you know if your SMS is working?....................................................................................52
 
10.0
 
COMPONENT 6 EMERGENCY RESPONSE PLAN.................................................................53
 
10.1
 
General..........................................................................................................................................53
 
10.2
 
How do you know if your SMS is working?....................................................................................57
 
11.0
 
CONCLUSION...............................................................................................................................58
 
12.0
 
CONTACT OFFICE.......................................................................................................................58
 

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