Chapter 8. SMS Planning 8-3
a training and education; and b
safety communication.
8.3 THE ICAO SMS FRAMEWORK
Note.— Details of the ICAO SMS framework are contained in Appendix 1 to this chapter. The four components, combined with the twelve elements discussed in section 8.2, comprise the ICAO SMS framework,
intended as a principled guide for the development and implementation of a service provider’s SMS, as follows:
1. Safety policy and objectives 1.1 Management commitment and responsibility
1.2 Safety accountabilities 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
2.2 Risk assessment and mitigation 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.
8.4 MANAGEMENT COMMITMENT AND RESPONSIBILITY 8.4.1
In any organization, management is in control of the activities of personnel and of the use of resources that are directly related to, or necessary for, the delivery of services. The organization’s exposure to safety hazards is a
consequence of the activities directly related to the delivery of services. Through specific activities by personnel and the use of resources, management can actively control the safety risks related to the consequences of hazards. As
examples of these activities, management hires, trains and supervises employees, and procures equipment to support the service-delivery activities. Management must assure that the employees adhere to organizational safety directives
and controls and that their equipment remains in serviceable condition. Management’s primary responsibly for managing safety is thus obvious, and this responsibility is discharged through the operation of a dedicated organizational system
that incorporates the necessary safety risk controls. The service provider’s SMS is management’s means of fulfilling these responsibilities. An SMS is a management system for ensuring safe and efficient operations.
8-4 Safety Management Manual SMM
8.4.2 The starting point to ensure efficacy and efficiency of the organization’s SMS is the safety policy of the
organization. Senior management must develop the safety policy of the organization, signed by the Accountable Executive. An example of a safety policy is included in Figure 8-1. In general terms, the safety policy must include a
commitment to:
a achieve the highest safety standards; b observe all applicable legal requirements and international standards, and best effective practices;
c provide all appropriate resources; d enforce safety as a primary responsibility of all managers; and
e ensure that the policy is understood, implemented and maintained at all levels. 8.4.3
Once developed, senior management must communicate the safety policy, with visible endorsement, to all staff. 8.4.4
Senior management must also establish safety objectives, as well as the standards of safety performance for the SMS and, therefore, for the organization as a whole. The safety objectives must identify what the organization
wants to achieve, in terms of the management of safety, and lay out the steps the organization needs to take to achieve the objectives. The standards of safety performance allow organizational behaviour to be measured vis-à-vis safety
performance and therefore vis-à-vis the management of safety. Both safety objectives and the standards of safety performance must be linked to the safety performance indicators, safety performance targets and action plans of the
SMS, discussed in Chapter 6. 8.4.5
The organization must identify the Accountable Executive, who must be a single, identifiable person having final responsibility for the effective and efficient performance of the organization’s SMS. Depending on the size and
complexity of the organization, the Accountable Executive may be: a the chief executive officer CEO;
b the chairperson of the board of directors; c a partner; or
d the
proprietor. 8.4.6.
There is a tendency to identify who the Accountable Executive should be, from the perspective of the function assigned to the person within the organization. However, more important than who the Accountable Executive
should be are what authorities and responsibilities the Accountable Executive should have in order to properly account for the safety performance of the SMS. These authorities and responsibilities include, but are not limited to:
a full authority for human resources issues; b authority for major financial issues;
c direct responsibility for the conduct of the organization’s affairs; d final authority over operations under certificate; and
e final responsibility for all safety issues.
Chapter 8. SMS Planning 8-5
SAFETY POLICY STATEMENT
Safety is one of our core business functions. We are committed to developing, implementing, maintaining and constantly improving strategies and processes to ensure that all our aviation activities take place under a
balanced allocation of organizational resources, aimed at achieving the highest level of safety performance and meeting national and international standards, while delivering our services.
All levels of management and all employees are accountable for the delivery of this highest level of safety performance, starting with the [chief executive officer CEOmanaging directoror as appropriate to the
organization]. Our commitment is to:
•
Support the management of safety through the provision of all appropriate resources, that will result in an organizational culture that fosters safe practices, encourages effective safety reporting and communication,
and actively manages safety with the same attention to results as the attention to the results of the other management systems of the organization;
•
Enforce the management of safety as a primary responsibility of all managers and employees;
•
Clearly define for all staff, managers and employees alike, their accountabilities and responsibilities for the delivery of the organization’s safety performance and the performance of our safety management system;
•
Establish and operate hazard identification and risk management processes, including a hazard reporting system, in order to eliminate or mitigate the safety risks of the consequences of hazards resulting from our
operations or activities to a point which is as low as reasonably practicable ALARP; •
Ensure that no action will be taken against any employee who discloses a safety concern through the hazard reporting system, unless such disclosure indicates, beyond any reasonable doubt, an illegal act,
gross negligence, or a deliberate or wilful disregard of regulations or procedures; •
Comply with and, wherever possible, exceed, legislative and regulatory requirements and standards;
•
Ensure that sufficient skilled and trained human resources are available to implement safety strategies and processes;
•
Ensure that all staff are provided with adequate and appropriate aviation safety information and training, are competent in safety matters, and are allocated only tasks commensurate with their skills;
•
Establish and measure our safety performance against realistic safety performance indicators and safety performance targets;
•
Continually improve our safety performance through management processes that ensure that relevant safety action is taken and is effective; and
•
Ensure externally supplied systems and services to support our operations are delivered meeting our safety performance standards.
Signed ___________________________________
CEOManaging Directoror as appropriate
Figure 8-1. Example of a safety policy
8-6 Safety Management Manual SMM
8.4.7 Chapter 2 discusses the allocation of resources as a fundamental organizational process. Allocation of
resources is therefore one of the primordial functions of management. Paragraph 8.4.1 further discusses the management function as one of control of the activities of personnel and of the use of resources that are directly related to the delivery of
services, as a consequence of which the organization is exposed to safety hazards. The fore-mentioned underlies the justification for the responsibilities and authorities of the Accountable Executive in 8.4.6: such responsibilities and
authorities refer to either allocation of resources or control of activities, exclusively. An organization that appoints an Accountable Executive who does not have these authorities and responsibilities places the designated person in a position
in which the person does not have the essential attributes to fulfil such a role. 8.4.8
The Accountable Executive may assign the management of the SMS to another person, provided that such assignment is properly documented and described in the organization’s safety management systems manual SMSM
discussed later in this chapter. The accountability of the Accountable Executive is not, however, affected by the assignment of the management of the SMS to another person: the Accountable Executive retains final accountability for
the performance of the organization’s SMS.
8.5 SAFETY ACCOUNTABILITIES 8.5.1
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