Module N° 9 – SMS operation Safety Management Systems (SMS) Course

Module NModule N° 9 – SMS° 9 – SMSoperationoperation

Safety Management Systems (SMS) CourseSafety Management Systems (SMS) Course

Module NModule N° 9° 9 ICAO Safety Management Systems (SMS) Course 2

Building an SMS

Module 6SMS regulation

Module 7Introduction to SMS

Module 8SMS planning

Module 9SMS operation

Module10 Phased approach to SMS

implementation

Module 1SMS course introduction

Module 2Basic safety concepts

Module 3Introduction to safety

management

Module 4Hazards

Module 5Risks

Module 6SMS regulation

Module 7Introduction to SMS

Module 8SMS planning

Module 9SMS operation

Module10 Phased approach to SMS

implementation

SafetySafety

ManagementManagement

SystemSystem


Objective

When completing the module the participants will be When completing the module the participants will be

able to describe the requirements associated to the able to describe the requirements associated to the

operation of an SMS. operation of an SMS.

When completing the module the participants will be When completing the module the participants will be

able to describe the requirements associated to the able to describe the requirements associated to the

operation of an SMS. operation of an SMS.


Outline

Safety hazard identification and risk managementSafety assuranceSafety promotion Emergency response planningQuestions and answersPoints to remember

Safety hazard identification and risk managementSafety assuranceSafety promotion Emergency response planningQuestions and answersPoints to remember


Safety hazard identification and risk managementSafety hazard identification and risk management

2.1 – Hazard identification processes2.1 – Hazard identification processes

2.2 – Risk assessment and mitigation processes2.3 – Internal safety investigations

Reference: Doc 9859, Chapters 7 and 8


2.2 – Risk assessment and mitigation processes2.3 – Internal safety investigations



2.1 – Hazard identification processes 2.1 – Hazard identification processes (Module 4)(Module 4)A formal means of collecting, recording, acting on and

generating feedback about hazards and risks in operations.

Three methods:ReactiveProactivePredictive

2.1 – Hazard identification processes 2.1 – Hazard identification processes (Module 4)(Module 4)A formal means of collecting, recording, acting on and

generating feedback about hazards and risks in operations.

Three methods:ReactiveProactivePredictive



2.1 – Hazard identification processes2.1 – Hazard identification processesReporting systems – A special paragraph

Nobody knows better Nobody knows better actualactual system performance system performance than operational personnel.than operational personnel.Mandatory reporting system. Voluntary reporting systems. Confidential reporting systems.

The reporting requirements vary with the laws of the State where the incident occurred.

2.1 – Hazard identification processes2.1 – Hazard identification processesReporting systems – A special paragraph

Nobody knows better Nobody knows better actualactual system performance system performance than operational personnel.than operational personnel.Mandatory reporting system. Voluntary reporting systems. Confidential reporting systems.

The reporting requirements vary with the laws of the State where the incident occurred.



2.1 – Hazard identification processes2.1 – Hazard identification processesConfidential reporting systems

People are reluctant to report.Why?

Retaliation. Self-incrimination.Embarrassment.

2.1 – Hazard identification processes2.1 – Hazard identification processesConfidential reporting systems

People are reluctant to report.Why?

Retaliation. Self-incrimination.Embarrassment.




Typical qualities of successful confidential reporting systems:Reports easy to make.No disciplinary actions as result of reports.Reports are confidential.Feedback is rapid, accessible and informative.


Typical qualities of successful confidential reporting systems:Reports easy to make.No disciplinary actions as result of reports.Reports are confidential.Feedback is rapid, accessible and informative.



2.1 – Hazard identification processes2.1 – Hazard identification processesFour steps for action:

Reporting hazards, events or safety concerns.Collecting and storing the data.Analyzing reports. Distributing the information distilled from the

analysis.

2.1 – Hazard identification processes2.1 – Hazard identification processesFour steps for action:

Reporting hazards, events or safety concerns.Collecting and storing the data.Analyzing reports. Distributing the information distilled from the

analysis.




2.1 – Hazard identification processes2.1 – Hazard identification processes2.2 – Risk assessment and mitigation processes2.2 – Risk assessment and mitigation processes

2.3 – Internal safety investigations

Reference: Doc 9859, Chapter 8

2.1 – Hazard identification processes2.1 – Hazard identification processes2.2 – Risk assessment and mitigation processes2.2 – Risk assessment and mitigation processes

2.3 – Internal safety investigations



2.2 – Risk assessment and mitigation processes 2.2 – Risk assessment and mitigation processes

(Module 5)(Module 5)

The analysis and elimination, and/or mitigation to an acceptable level of risks that threaten the capabilities of an organization.

The risk assessment matrix

2.2 – Risk assessment and mitigation processes 2.2 – Risk assessment and mitigation processes

(Module 5)(Module 5)

The analysis and elimination, and/or mitigation to an acceptable level of risks that threaten the capabilities of an organization.

The risk assessment matrix




2.1 – Hazard identification processes2.1 – Hazard identification processes2.2 – Risk assessment and mitigation processes2.2 – Risk assessment and mitigation processes2.3 – Internal safety investigations2.3 – Internal safety investigations


2.1 – Hazard identification processes2.1 – Hazard identification processes2.2 – Risk assessment and mitigation processes2.2 – Risk assessment and mitigation processes2.3 – Internal safety investigations2.3 – Internal safety investigations



2.3 – Internal safety investigations2.3 – Internal safety investigations The scope includes occurrences that are not

required to be investigated or reported to State. In-flight turbulence (flight operations) Frequency congestion (ATC) Material failure (maintenance) Ramp vehicle operations (aerodrome)

The investigating team may integrate subject matter specialists depending on the nature of the occurrence being investigated.

2.3 – Internal safety investigations2.3 – Internal safety investigations The scope includes occurrences that are not

required to be investigated or reported to State. In-flight turbulence (flight operations) Frequency congestion (ATC) Material failure (maintenance) Ramp vehicle operations (aerodrome)

The investigating team may integrate subject matter specialists depending on the nature of the occurrence being investigated.



Safety assuranceSafety assurance

3.1 – Safety performance monitoring and measurement

3.2 – Audits and surveys

3.3 – The management of change

3.4 – Continuous improvement of the safety system








3.1 – Safety performance monitoring and measurement3.1 – Safety performance monitoring and measurementThe process by which the safety performance of the

organization is verified in comparison to the approved safety policies and objectives.Safety reportingSafety studiesSafety reviewsAuditsSurveys…

3.1 – Safety performance monitoring and measurement3.1 – Safety performance monitoring and measurementThe process by which the safety performance of the

organization is verified in comparison to the approved safety policies and objectives.Safety reportingSafety studiesSafety reviewsAuditsSurveys…















3.2 – Audits and surveys3.2 – Audits and surveysSafety audits are used to ensure that the structure of

the SMS is sound in terms of:levels of staff; compliance with approved procedures and

instructions;level of competency and training to:

operate equipment and facilities; and maintain their levels of performance.

3.2 – Audits and surveys3.2 – Audits and surveysSafety audits are used to ensure that the structure of

the SMS is sound in terms of:levels of staff; compliance with approved procedures and

instructions;level of competency and training to:

operate equipment and facilities; and maintain their levels of performance.



3.2 – Audits and surveys3.2 – Audits and surveys

The safety audit teamSafety audits may be undertaken by a single

individual or a team, depending on the scale of the audit.

Depending on the size of the organization and the availability of resources, experienced and trained individuals within the organization may perform safety audits or they may assist external auditors.

3.2 – Audits and surveys3.2 – Audits and surveys

The safety audit teamSafety audits may be undertaken by a single

individual or a team, depending on the scale of the audit.

Depending on the size of the organization and the availability of resources, experienced and trained individuals within the organization may perform safety audits or they may assist external auditors.



3.2 – Audits and surveys3.2 – Audits and surveysSafety surveys examine particular elements or

processes of a specific operation. Problem areas or bottlenecks in daily operations.Perceptions and opinions of operational

personnel.Teamwork and cooperation among employee

groups.Areas of dissent or confusion.

3.2 – Audits and surveys3.2 – Audits and surveysSafety surveys examine particular elements or

processes of a specific operation. Problem areas or bottlenecks in daily operations.Perceptions and opinions of operational

personnel.Teamwork and cooperation among employee

groups.Areas of dissent or confusion.



3.2 – Audits and surveys3.2 – Audits and surveysSafety surveysSafety surveys may involve the use of:

ChecklistsQuestionnaires.Informal confidential interviews.

Since surveys information is subjective, verification may be needed before corrective action.

Surveys may provide an inexpensive source of significant safety information.

3.2 – Audits and surveys3.2 – Audits and surveysSafety surveysSafety surveys may involve the use of:

ChecklistsQuestionnaires.Informal confidential interviews.

Since surveys information is subjective, verification may be needed before corrective action.

Surveys may provide an inexpensive source of significant safety information.















3.3 – The management of change3.3 – The management of change

Aviation organizations experience permanent change due to expansion, introduction of new equipment or procedures.

Changes can:

Introduce new hazards.

Impact the appropriateness of risk mitigation.

Impact the effectiveness of risk mitigation.


Aviation organizations experience permanent change due to expansion, introduction of new equipment or procedures.

Changes can:

Introduce new hazards.

Impact the appropriateness of risk mitigation.

Impact the effectiveness of risk mitigation.



3.3 – The management of change3.3 – The management of changeExternal changesExternal changes

Change of regulatory requirements. Security. Re-ordering air traffic control. …

Internal changesInternal changesManagement changesNew equipment. New procedures.…

3.3 – The management of change3.3 – The management of changeExternal changesExternal changes

Change of regulatory requirements. Security. Re-ordering air traffic control. …

Internal changesInternal changesManagement changesNew equipment. New procedures.…




A formal management of change process should:

identify changes within the organization which may affect established processes and services.

prior to implementing changes describe the arrangements to ensure safety performance.


A formal management of change process should:

identify changes within the organization which may affect established processes and services.

prior to implementing changes describe the arrangements to ensure safety performance.















3.4 – Continuous improvement of the safety system3.4 – Continuous improvement of the safety system

Continuing improvement aims at:

Determining the immediate the causes of performance under standard and their implications in the operation of the SMS.

Rectifying situations involving situations under standard identified through other safety assurance activities.


Continuing improvement aims at:

Determining the immediate the causes of performance under standard and their implications in the operation of the SMS.

Rectifying situations involving situations under standard identified through other safety assurance activities.




Continuing improvement is achieved through:

Proactive evaluation of facilities, equipment, documentation and procedures through audits and surveys.

ProactiveProactive evaluation of the individuals’ performance, to verify the fulfillment of their safety responsibilities.



Proactive evaluation of facilities, equipment, documentation and procedures through audits and surveys.

ProactiveProactive evaluation of the individuals’ performance, to verify the fulfillment of their safety responsibilities.





Reactive evaluations in order to verify the effectiveness of the system for control and mitigation of risks, for example: accidents, incidents and major events investigations.



Reactive evaluations in order to verify the effectiveness of the system for control and mitigation of risks, for example: accidents, incidents and major events investigations.



4.1 – Training and education

4.2 – Safety communication





Safety promotionSafety promotion


4.1 – Training and education4.1 – Training and education

The safety manager should, in conjunction with the personnel department, review the job descriptions of all staff, and identify those positions that have safety responsibilities.

4.1 – Training and education4.1 – Training and education

The safety manager should, in conjunction with the personnel department, review the job descriptions of all staff, and identify those positions that have safety responsibilities.



4.1 – Training and education4.1 – Training and educationWho?

Operational personnelManagers and supervisors Senior managersAccountable executive

Why?To ensure that personnel are trained and

competent to perform the SMS duties. How much?

Appropriate to the individual’s involvement in the SMS.

4.1 – Training and education4.1 – Training and educationWho?

Operational personnelManagers and supervisors Senior managersAccountable executive

Why?To ensure that personnel are trained and

competent to perform the SMS duties. How much?

Appropriate to the individual’s involvement in the SMS.



4.1 – Training and education4.1 – Training and educationOperational personnel

SMS fundamentalsOrganization safety policyOrganization SMS overviewManagement commitment and responsibilities

Manager and supervisorsThe safety processManagement commitment and responsibilitiesHazard identification and risk managementThe management of change

4.1 – Training and education4.1 – Training and educationOperational personnel

SMS fundamentalsOrganization safety policyOrganization SMS overviewManagement commitment and responsibilities

Manager and supervisorsThe safety processManagement commitment and responsibilitiesHazard identification and risk managementThe management of change



4.1 – Training and education4.1 – Training and educationSenior managers

Organizational safety standards and national regulations

Management commitment and responsibilitiesSafety assurance

Accountable executiveAwareness of:

SMS roles and responsibilitiesSafety policySMS StandardsSafety assurance

4.1 – Training and education4.1 – Training and educationSenior managers

Organizational safety standards and national regulations

Management commitment and responsibilitiesSafety assurance

Accountable executiveAwareness of:

SMS roles and responsibilitiesSafety policySMS StandardsSafety assurance











4.2 – Safety communication4.2 – Safety communication Safety communication aims to:

Ensure that all staff are fully aware of the SMS.Convey safety critical information.Explain why particular actions are taken.Explain why safety procedures are introduced or

changed.Convey “nice-to-know” information.

4.2 – Safety communication4.2 – Safety communication Safety communication aims to:

Ensure that all staff are fully aware of the SMS.Convey safety critical information.Explain why particular actions are taken.Explain why safety procedures are introduced or

changed.Convey “nice-to-know” information.



4.2 – Safety communication4.2 – Safety communicationThe means to communicate may include:

Safety policies and proceduresNews letters.Bulletins.

Safety communication is an essential foundation for the development and maintenance of a safety culture.

4.2 – Safety communication4.2 – Safety communicationThe means to communicate may include:

Safety policies and proceduresNews letters.Bulletins.

Safety communication is an essential foundation for the development and maintenance of a safety culture.



Emergency response planning

5.1 – Development of the emergency response plan


5.1 – Development of the emergency response plan



An emergency response plan (ERP) outlines in writing what should be done after an accident, and who is responsible for each action.

In aerodrome operations, such emergency planning is referred to as an Airport Emergency Plan (AEP).

An emergency response plan (ERP) outlines in writing what should be done after an accident, and who is responsible for each action.

In aerodrome operations, such emergency planning is referred to as an Airport Emergency Plan (AEP).

5.1 – 5.1 – Development of the emergency response plan



5.1 – 5.1 – Development of the ERPThe purpose of an ERP is to ensure that there is:

Orderly and efficient transition from normal to emergency operations.

Designation of emergency authority.Assignment of emergency responsibilities.Authorization by key personnel for actions

contained in the plan.Coordination of efforts to cope with the emergency.Safe continuation of operations, or return to normal

operations as soon as possible.

5.1 – 5.1 – Development of the ERPThe purpose of an ERP is to ensure that there is:

Orderly and efficient transition from normal to emergency operations.

Designation of emergency authority.Assignment of emergency responsibilities.Authorization by key personnel for actions

contained in the plan.Coordination of efforts to cope with the emergency.Safe continuation of operations, or return to normal

operations as soon as possible.



Plan contents:Plan contents:Governing policies. Organization. Notifications. Initial response. Additional assistance. Crisis Management

Centre (CMC).

Plan contents:Plan contents:Governing policies. Organization. Notifications. Initial response. Additional assistance. Crisis Management

Centre (CMC).

Plan contents:Plan contents: Records. Accident site. News media. Formal investigations. Family assistance. Post critical incident

stress counselling. Post occurrence review.

Plan contents:Plan contents: Records. Accident site. News media. Formal investigations. Family assistance. Post critical incident

stress counselling. Post occurrence review.

5.1 – 5.1 – Development of the ERP



SMS at a glance

Aviationcommunity

stakeholders

Effectiveness Efficiency

Safety

Management commitment

Safety policy and objectives

Hazard identification and risk management

Safety promotion

Safety assurance


Q&A

Q:Q: Name four qualities of successful confidential reporting systems.

A:A: ?

Q:Q: Name four qualities of successful confidential reporting systems.

A:A: ?

Slide number:


Q&A

Q: Q: What is safety performance monitoring and measurement?

A: ?A: ?

Q: Q: What is safety performance monitoring and measurement?

A: ?A: ?

Slide number:


Q&A

Q: Q: What is the objective of a formal management of change (also known as safety assessment) process?

A: ?A: ?

Q: Q: What is the objective of a formal management of change (also known as safety assessment) process?

A: ?A: ?

Slide number:


Points to remember

1.1. Key ingredients for successful reportingKey ingredients for successful reporting

2.2. The importance of a formal management of changeThe importance of a formal management of change

3.3. Safety training – Who, why and how muchSafety training – Who, why and how much

1.1. Key ingredients for successful reportingKey ingredients for successful reporting

2.2. The importance of a formal management of changeThe importance of a formal management of change

3.3. Safety training – Who, why and how muchSafety training – Who, why and how much

Module NModule N° 9 – SMS° 9 – SMSoperationoperation

Safety Management Systems (SMS) CourseSafety Management Systems (SMS) Course

Documents

Module N° 9 – SMS operation Safety Management Systems (SMS) Course