Compliance Auditing of ATS.OR.200 Safety Management System
Sofema Online (SOL) www.sofemaonline.com considers the process by which to audit ATM/ANS Safety Management Systems - Regulation (EU) 2017/373
Why perform a compliance audit of SMS?
It is necessary to carry out compliance audits to ensure that the organisation remains in compliance with both EASA regulations for example - Regulation (EU) 2017/373 as well as internally documented processes & Procedures – The safety Management System like all other organisational elements should be “independently audited”.
Note that a compliant audit is specific and does not typically address subjective or performance aspects of the business process – rather the focus is on ensuring the visibility of all compliance elements.
Safety System Introduction
An air traffic services provider shall have in place a safety management system (SMS), which may be an integral part of the management system required in point ATM/ANS.OR.B.005, that includes the following components:
Safety policy and objectives
>> Management commitment and responsibility
>> Safety Accountabilities
>> SM Competence
>> Coordination of an emergency response planning
>> SMS documentation that describes all elements, processes and outputs.
Safety risk management
>> A process to identify hazards (reactive, proactive and predictive)
>> A process that ensures analysis, assessment and control of the safety risks associated with identified hazards.
>> A process to ensure that its contribution to the risk of aircraft accidents is minimised as far as is reasonably practicable.
Safety assurance
>> Safety performance monitoring and measurement
>> Verify and Validate the effectiveness of the safety risk controls.
>> Change Risk Management
>> Assessment of effectiveness and continuous improvement
Safety promotion
>> Training programme personnel are trained and competent.
>> Safety communication - ensures personnel are aware of the SMS implementation.
AMC1 ATS.OR.200(1); (2); (3) Safety management system ED Decision 2017/001/R
General — Non-Complex ATS Providers
The safety policy should include a commitment to
>> Highest safety standards,
>> Comply with all the applicable legal requirements,
>> Meet all the applicable standards,
>> Consider the best practices and provide the appropriate resources
Develop, coordinate and maintain an emergency response plan (ERP) that ensures
>> Transition from normal to emergency operations and return to normal operations;
>> ERP to determine the actions to be taken by the air traffic services provider.
o Reflect the size, nature and complexity of the activities;
o Safety risk management using hazard checklists, which are integrated into the activities of the air traffic services provider.
An air traffic services provider should manage the following
>> Safety risks related to changes;
>> Management of changes should be a documented process to identify external and internal changes that may have an adverse effect on safety;
>> It should make use of the air traffic services provider’s existing hazard identification, risk assessment and mitigation processes.
ATS to identify persons who fulfil the role of safety managers and who are responsible for coordinating the safety management system (SMS)
May be accountable managers or individuals with an operational role in the air traffic services provider.
Within the air traffic services provider, responsibilities should be identified for hazard identification, risk assessment and mitigation.
AMC1 ATS.OR.200(1)(i) Safety management system ED Decision 2017/001/R
SAFETY POLICY — COMPLEX ATS PROVIDERS
The safety policy should:
>> Be signed by the accountable manager;
>> Reflect organisational commitments regarding safety;
>> Be communicated, with visible endorsement, throughout the air traffic services provider;
>> Include safety reporting principles.
Include a commitment to:
>> Improve towards the highest safety standards;
>> Comply with all the applicable legal requirements, meet all the applicable standards and consider the best practices;
>> Provide appropriate resources; and
>> Enforce safety as one primary responsibility of all managers and staff.
Include the safety reporting procedures:
>> Identify behaviours that are unacceptable, and include the conditions under which disciplinary action would not apply; and
>> Be periodically reviewed to ensure it remains relevant and appropriate.
Senior management should:
(1) continually promote the safety policy to all personnel and demonstrate their commitment to it;
(2) provide necessary human and financial resources for its implementation; and
(3) establish safety objectives and performance standards.
Next Steps
Sofema Aviation Services (www.sassofia.com) offers the following course: EASA Quality Assurance Auditing Introduction for Air Navigation Services (ANS) – 3 Days. Visit our websites www.sassofia.com and www.sofemaonline.com or email team@sassofia.com
