APPENDIX 7
FRAMEWORK FOR SAFETY MANAGEMENT
SYSTEMS (SMS)
(See SUBPART D, 139.305 (d))
Introduction
This appendix introduces a framework for the
implementation and maintenance of a safety management
system (SMS) by an aerodrome. The framework includes four
components and twelve elements, representing the minimum requirements for SMS
implementation. The implementation of the framework shall be commensurate with
the size of the organization and the complexity of the services provided. This
appendix also includes a brief description of each element of the framework.
1. Safety policy and objectives
1.1 – Management commitment and responsibility
1.2 – Safety accountabilities of managers
1.3 – Appointment of key safety personnel
1.4 – Coordination of emergency response planning
1.5 – SMS Documentation
2. Safety risk management
2.1 – Hazard identification process
2.2 – Safety Risk assessment and mitigation process
3. Safety assurance
3.1 – Safety performance monitoring and measurement
3.2 – The management of change
3.3 – Continuous improvement of the SMS
4. Safety promotion
4.1 – Training and education
4.2 – Safety communication
1.1 Management commitment and responsibility
The aerodrome shall define the organization’s safety
policy which shall be in accordance with international and national
requirements, and which shall be signed by the accountable executive of the
organization. The safety policy shall reflect organizational commitments
regarding safety; shall include a clear statement about the provision of the
necessary resources for the implementation of the safety policy; and shall be
communicated, with visible endorsement, throughout the organization. The safety
policy shall include the safety reporting procedures; shall clearly indicate
which types of operational behaviours are unacceptable; and shall include the
conditions under which disciplinary action would not apply. The safety policy
shall be periodically reviewed to ensure it remains relevant and appropriate to
the organization.
1.2 Safety accountabilities of managers
The aerodrome shall identify an accountable executive
who, irrespective of other functions, shall have ultimate responsibility and
accountability, on behalf of the aerodrome, for the implementation and maintenance
of the SMS. The aerodrome shall also identify the safety accountabilities of
all members of management, irrespective of other functions as well as of
employees, with respect to the safety performance of the SMS. Safety
responsibilities, accountabilities and authorities shall be documented and
communicated throughout the organization , and shall include a definition of
the levels of management with authority to make decisions regarding safety risk
tolerability.
1.3 Appointment of key safety personnel
The aerodrome shall identify a safety manager to be the
responsible individual and focal point for the implementation and maintenance
of an effective SMS.
1.4 Coordination of emergency response planning
The aerodrome shall ensure that an emergency response
plan that provides for the orderly and efficient transition from normal to
emergency operations, and the return to normal operations,is properly
coordinated with the emergency response plans of those organizations it must
interface with during the provision of its services.
1.5 SMS Documentation
The aerodrome shall develop an SMS implementation plan, endorsed by senior management of the
organization, that defines the organization’s approach to the management of
safety in a manner that meets the organization’s safety objectives. The
organization shall develop and maintain
SMS documentation to describe the safety policy and objectives, the SMS
requirements, the SMS procedures and processes, the accountabilities,
responsibilities and authorities for procedures and processes, and the SMS
outputs. Also part of the SMS documentation, the aerodrome shall develop and
maintain a safety management systems manual
(SMSM), to communicate its approach to the management of safety throughout the organization.
2. Safety risk management
2.1 – Hazard identification
The aerodrome shall develop and maintain a formal process that ensures that hazards in operations are identified.
Hazard identification shall be based on a
combination of reactive and predictive methods of safety data collection.
2.2 Safety Risk assessment and mitigation process
The aerodrome shall develop and maintain a formal process that ensures
analysis, assessment and control of the
safety risks in aerodrome operations.
3. Safety assurance
3.1 Safety performance monitoring and measurement
The aerodrome shall develop
and maintain the means to verify the safety performance of the organization and
to validate the effectiveness of safety risks controls.
The safety performance of the organization shall be verified
in reference to the safety performance indicators and safety performance
targets of the SMS.
3.2 The management of change
The aerodrome shall develop and maintain a formal
process to identify changes within the
organization which may affect established processes and services; to
describe the arrangements to ensure safety performance before implementing changes; and to eliminate or
modify safety risk controls that are no longer needed or effective due to
changes in the operational environment.
3.3 Continuous improvement of the SMS
The aerodrome shall develop
and maintain a formal process to identify the causes of sub-standard
performance of the SMS, determine the implications of sub-standard performance of
the SMS in operations,
and eliminate or mitigate such causes.
4. Safety promotion
4.1 Training and education
The aerodrome shall develop and maintain a safety
training programme that ensures that personnel are trained and competent to
perform the SMS duties. The scope of the safety training shall be appropriate
to each individual’s involvement in the SMS.
4.2 Safety communication
The aerodrome shall develop and maintain formal means
for safety communication, that ensures that all personnel are fully aware of
the SMS; conveys safety critical information; and explains why particular
safety actions are taken and why safety procedures are introduced or changed.