Thai: :MS GM 6 October 2008 DEPARTMENT OF CIVIL AVIATION THAILAND GUIDANCE DOCUMENT REF: DCA-SMS AC 120-92 SMS GUIDANCE MATERIAL SAFETY MANAGEMENT SYSTEMS (AOe HOLDERS & AM Os ) General 1 Purpose 1 Applicability 1 Cancellation 1 Effective date 1 References 1 Introduction 2 Safety Management System (SMS) 2 Benefits of SMS 3 SMS Implementation Schedule 3 SMS Regulatory Requirements 3 Senior Management's Accountability for Aviation Salety.4 Implementing a Safety Management System.4 Safety Policy and Objectives a) Management commitment and re::'ponsibility 5 b) Safety accountabilities of manage:rs 6 c) Appointment of key safety person lel 7 d) Emergency response planning 8 e) Documentation and records 9 Safety Risk Management f) Hazard identif;cation processes 10 g) Risk assessment and mitigation p 'ocesses 11 Safety Assurance h) Safety performance monitoring ar:d measurement.. 16 i) Management of change 17 j) Continuous improvement and auclit 17 Safety Promotion k) Training and education 18 I) Safety Communication 19 SMS Integration 19 Gap Analysis and Implementation Plan 20 Definitions 20 Appendix 1 : Sample Hazard Management Flowchar 21 Appendix 2: Sample Risk Management Process Flo,vchart 22 Appendix 3: Example of a Risk Mitigation Process 23 Appendix 4: Guidance for the Development of a SM:, Manual 24 Appendix 5: Frequently Asked Questions : 32 1. GENERAL. Advisory Circulars (ACs) are issued by the THAI DCA and contain information about standards, practices and recommendations acceptable to the Authority. The -evision number of the AC is indicated in parenthesis in the suffix of the AC number. 2. PURPOSE. This AC is issued to provide general guidance and principles to i nplement a Safety Management System (SMS). 3. APPLICABILITY. This AC applies to all THAI DCA Air Operator Certificate (l\oc) Holders and Approved Maintenance Organisations (except MD rating organisations). Thai DCA SMS Guidance - 1-8 October 2008
4. CANCELLATION.- 5. EFFECTIVE DATE. This Advisory Circular is effective on 31 October 2008. 6. REFERENCES. ICAO Annex 6, ICAO Safety Management Manual (Doc 9859: 7. INTRODUCTION. Safety has always been the overriding consideration in the conduct of all aviation activities. Safety is the state in which the risk of harm to persons or property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of t azard identification and risk management. Due to the nature of the aviation industry, the total elimination of accidents or serious incidents is unachievable. No human endeavour or human-made system can be free from risk and error, and failures will be expected to occur in spite of the most accomplished prev9ntion efforts. The system must, however, seek to understand and control such risks and errors. Traditional approaches to accident prevention have focused primarily on outcomes (probable cause) and unsafe acts by operational personnel. Safety improvement moasures introduced usually address the identified safety concern exclusively. The 'what', 'who', 'wt en' and 'how' were often identified but not the 'why'. As such, the organisational, human factor and environmental contexts in which errors were made were often neglected, and measures adollted therefore often addressed only symptoms. In the 1950s, accident prevention concentrated primarily on technical factor 5. Recognition that human performance issues (human factor) played a part gained momentum i 1 the 1970s. In the 1990s, safety thinking has evolved to the point of widespread acknowledgement that organisational factors play a significant role in the performance of human beings and therefore is an important issue in risk and error management. The study of accident causiltion today focuses on organisational processes, latent conditions, workplace conditions, human fclctors, adequacy of defenses as well as active failures. ICAO has established a harmonized framework for SMS regulation. Gu idance material is available from ICAO and all aviation SMS regulations should share these C Jmmon framework elements. The SMS regulations which will be adopted by THAI DCA from January 2009 will encapsulate these elements. The regulations will require the establishment of the basic components of a safety management system, starting with a safety )olicy and senior management commitment. To be effective, these components must be integrated into a coherent management system and not exist as independent elements. Today, aviation safety management systems seek to enhance the organiscltional approach to managing a safe and successful aviation operation. It focuses on a systerr atic and proactive discipline of performing hazard identification and risk assessment on an orgimisation's aviation safety related operations and processes. 8. SAFETY MANAGEMENT SYSTEM (SMS) Safety cannot be achieved by simply introducing rules or directives concernin~1 the procedures to be followed by operational employees; it encompasses most of the activities et the organisation. For this reason, safety management must start from senior management, Clnd the effects on safety must be examined at all levels of the organisation. Thai DCA SMS Guidance - 2-8 October 2008
A Safety Management System (SMS) is a systematic, explicit and pro 3ctive process for managing safety that integrates operations and technical systems with fir ancial and human resource management to achieve safe operations with as low as reasonably pllacticable risk. It is systematic in that safety management activities are carried out in accc rdance with a predetermined plan, and applied in a consistent manner throughout the organise Ition. It is proactive by taking an approach that emphasizes prevention, through hazards identifica ion and risk control and mitigation measures, before events that affect safety occur. It is also expl,icit, in that all safety management activities are documented, visible and performed as an esse ntial component of management activities. People, procedures, practices and technology neec ed to monitor and improve the safety of the aviation transportation system. Safety management may be also described as the systematic application of Sf ecific technical and managerial skills to identify and control hazards and related risks. By identif). ing, assessing and eliminating or controlling safety-related hazards and risks, acceptable leve s of safety will be achieved. 9. BENEFITS OF SMS The primary reason for the introduction of SMS is to improve existing levels 01 aviation safety, Le. reduction in aviation accidents and incidents, through a systematic process of hazard and risk management. An effective safety management system may also enable orgar isations to reap the following additional benefits: Minimise direct and indirect costs resulting from accidents and incident!, Gain safety recognition from customers and traveling public Create a positive, reliable and generative organisational culture Reduction in insurance rate Exceed regulatory requirements with simultaneous bottom line and pro<luctivity gains Proof of due diligence in event of legal or regulatory safety enquiries Improved working environment resulting in better productivity and mora e Synergy in the safety related processes and functions within the organi:;ation 10. SMS IMPLEMENTATION SCHEDULE AND MANDATORY DEADLINE Annex 6 to the Convention on International Civil Aviation requires Status to mandate the implementation of safety management systems by air operators and mainter lance organisations by January 2009. To allow sufficient time for AOC Holders and AMOs to develop and implem 3nt their own SMS, THAI DCA has adopted a two-stage SMS implementation plan. All AOC Holders and AMOs are encouraged to initiate the implementation of their Safety Management Systel n from present until December 2008. During this period, THAI DCA will continue to provide guidnnce and facilitation where appropriate. SMS will be mandated on 1 January 2009. Upon the commencement of this rnandatory stage, all AOC Holders and AMOs must (by then) have in place a THAI DCA accepted SMS implementation plan. Such plan shall include having a THAI DCA accepted SII1S manual not later than 30 June 2009. Notwithstanding the approach or timeframe intended in such a plan, the organisation must be able to meet the progressive minimum performance I;riteria during THAI DCA's SMS assessment. Details of the minimum performance criteria are co ntained in the THAI DCA SMS assessment checklist Ref DCA-SMS. THAI DCA will commellce the mandatory assessment of all applicable AOC holders and AMOs' SMS from July 21109 (based on this checklist). New AOC/ AMO applications from 1 January 2009 will have to submit a SMS manual at the time of application together with all other required manuals. Minimum performcmce criteria of new applicant's SMS (during AOC/ AMO applicant's approval process) shall bu the same as that which is applicable for existing organisations for that year. Thai DCA SMS Guidance - 3-8 October 2008