SMS ‘The regulator’s perspective’ Simon Roberts SMS programme Lead UK Civil Aviation Authority

SMS in its simplest form Actively look for safety issues in your operations, products or services Take action to reduce the risks of those safety issues becoming unwanted events Monitor your activities to be sure that you have appropriately controlled those risks. An SMS does not have to be complicated to be effective. An accident is normally the result of an unmanaged risk (the hazard wasn’t identified or the risk mitigation was not effective)

Why do we need SMS? Its how we stay safe It helps us recognise and manage our own specific risks It helps us make better risk decisions It helps us recognises human and organisational factors We can use it to improve our business It’s has to be more than a manual Its what you do

So when do you need an SMS? Some of your customers may require it now We know that the current NPA 2013-01 is frozen New EASA rulemaking task to put SMS into Part 145 and Part 21 We expect an entry into force in 2019 2 to 3 year transition period Will it apply to all Part 145 Organisations? What will the rule look like? Lets not forget you are not starting from scratch

An integrated Management System EASA Management System Safety Management Compliance Monitoring (Quality) Resource Management Marketing and Commercial Error management system Contractors and Sub-contractors and suppliers Finance & Budget Creating Internal pressures Conflicting demands Risk Transfer SMS is full of interaction and interdependencies. You can’t look at risk in isolation or just transfer the risk so its someone else’s problem EASA use the term Management system to emphasise it needs to be an integrated approach EASA promotes “Integrated management” [Note this is a slide adapted from EASA] Integrated management enables managers to recognise and take into account all significant influences on their organisation, such as: the strategic direction of their business, relevant legislation and standards, internal policies and culture, risks and hazards, resource requirements And ideally also the needs of those who may be affected by any aspect of the organisation’s operation. SMS and QMS (Compliance Monitoring) needs a close relationship The interfaces with your sub-contractors and suppliers are crucial….Gulf of mexico oil spill, B787 Batteries, Horsemeat in burgers are all examples where the suppliers and contractors have damaged the primary organisation. Legally you are accountable for your sub-contractors ! How often do Commercial decisions drive the wrong behaviours, impose time and resource pressures, and drive the wrong risk management actions that result in poor decision making in the operation Isolated Decision Making

Regulatory Oversight of SMS Our oversight needs to be joined up We need to assess the compliance and performance of the SMS An effective SMS is the key input into our performance based oversight It requires a different regulatory approach It requires the inspector to look beyond the manual We are on our own journey

Implementing an effective SMS When Safety Management is what you do and is part of your day to day activities you will get a return on your investment. An SMS manual that sits on a shelf won’t! We want risk management to be at the centre of your future activities (and ours). Communication, Communication, Communication Keep it as simple as you can! SMS is collaborative and needs to be integrated We all share Aviation Safety Risks

Useful Resources CAA Guidance for small, non-complex Organisations SMICG SMS For Small Organizations

Questions?