Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09
Module N° 9 – SMS operation
Module N° 9 ICAO Safety Management Systems (SMS) Course 2
Course structure
Module 1SMS course introduction
Module 2Basic safety
concepts
Module 3 Introduction
to safety management
Module 4Hazards
Module 5Risks
Module 6SMS regulation
Module 7Introduction to SMS
Module 8SMS planning
Module 9SMS operation
Module 10Phased approach to
SSP and SMS Implementation
SafetyManagementSystem
Module 6SMS regulation
Module 7Introduction to SMS
Module 8SMS planning
Module 9SMS operation
Module 10Phased approach to
SSP and SMS Implementation
Module N° 9 ICAO Safety Management Systems (SMS) Course 3
Objective
When completing the module the participants will be able to
describe the requirements associated with the operation of
an SMS
Module N° 9 ICAO Safety Management Systems (SMS) Course 4
Outline
Safety risk management
Safety assurance
Safety promotion
Questions and answers
Points to remember
Module N° 9 ICAO Safety Management Systems (SMS) Course 5
ICAO SMS framework
Safety policy and objectives1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
Module N° 9 ICAO Safety Management Systems (SMS) Course 6
Safety risk management
2.1 – Hazard identification (Module 4)The organization shall develop and maintain a formal
process that ensures that hazards in operations are identified
Hazard identification shall be based on a combination of reactive, proactive and predictive methods of safety data collection
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2.1 – Hazard identification
Safety reporting systems – A special mention
Nobody knows better actual system performance than operational personnelMandatory reporting systemVoluntary reporting systemsConfidential reporting systems
The requirements of safety reporting systems may vary among States
Safety risk management
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2.1 – Hazard identification
Reporting systems People are reluctant to reportWhy?
RetaliationSelf-incriminationEmbarrassment
Safety risk management
Module N° 9 ICAO Safety Management Systems (SMS) Course 9
Protecting sources of safety information
Assembly Resolution A35/17Legal guidance in Annex 13, Attachment ESafety information must not be used for purposes other than
the purposes for which it was collectedIntroduction and definitionsGeneral principlesPrinciples of protectionPrinciples of exceptionsResponsibilities of the custodian of safety informationProtection of recorded information
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2.1 – Hazard identification
Typical qualities of successful safety reporting systems:
Reports easy to make
No disciplinary actions as result of reports
Reports are confidential
Feedback is rapid, accessible and informative
Safety risk management
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2.1 – Hazard identification
Four steps for action:
1. Reporting hazards, events or safety concerns
2. Collecting and storing the data
3. Analyzing reports
4. Distributing the information distilled from the analysis
Safety risk management
Module N° 9 ICAO Safety Management Systems (SMS) Course 12
ICAO SMS framework
Safety policy and objectives1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
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2.2 – Risk assessment and mitigation (Module 5)
The organization shall develop and maintain a formal process that ensures:
analysis (probability and severity of occurrence)
assessment (tolerability) control (mitigation) of the
safety risks assessed to the consequences of hazards in operations to ALARP
Tolerable region
Acceptable
region
ALARP
Safety risk management
Module N° 9 ICAO Safety Management Systems (SMS) Course 14
ICAO SMS framework
Safety policy and objectives1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
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Safety assurance
3.1 – Safety performance monitoring and measurement
The organization shall develop and maintain the means to verify the safety performance of the organization, and to validate the effectiveness of safety risks controls
Safety requirements
1. Training course for drivers / installation of specific signage.
2. Thrice-daily walk-in ramp inspection programme.
3. …
Safety performance targets
1. Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations.
2. By January 2009 reduce to 8 FOD events on the apron per 10,000 operations.
3. …
Safety performance indicators
1. 20 events of unauthorized vehicles on the taxiways per 10,000 operations.
2. 15 FOD events on the apron per 10,000 operations.
3. ...
Service providerWill comply all applicable national and international standards.
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3.1 – Safety performance monitoring and measurementThe safety performance of the organization is verified
throughout the following tools:Safety reporting systemsSafety studiesSafety reviewsSafety auditsSafety surveysInternal safety investigations…
Safety assurance
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3.1 – Safety performance monitoring and measurement
Safety audits are used to ensure that the structure of the SMS is sound in terms of:Levels of staffCompliance with approved procedures and instructionsLevel of competency and training to:
operate equipment and facilitiesmaintain their levels of performance
Safety assurance
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3.1 – Safety performance monitoring and measurement
Safety surveys examine particular elements or processes
of a specific operation
Problem areas or bottlenecks in daily operations
Perceptions and opinions of operational personnel
Areas of dissent or confusion
Safety assurance
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3.1 – Safety performance monitoring and measurementSafety surveys may involve the use of:
ChecklistsQuestionnairesInformal confidential interviews
Since surveys information is subjective, verification may be needed before corrective action
Surveys may provide an inexpensive source of significant safety information
Safety assurance
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3.1 – Safety performance monitoring and measurement
Internal safety investigations include occurrences or events 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)
Safety assurance
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ICAO SMS framework Safety policy and objectives
1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
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3.2 – The management of change
The organization shall develop and maintain a formal process to identify changes within the organization which may affect established processes and services, in order to:
describe the arrangements to ensure safety performance before implementing changes
to eliminate or modify safety risk controls that are no longer needed or effective due to changes in the operational environment
Safety assurance
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3.2 – The management of change
Aviation organizations experience permanent changes 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
Safety assurance
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3.2 – The management of changeExternal changes
Change of regulatory requirements SecurityReorganization of air traffic control…
Internal changesManagement changesNew equipmentNew procedures…
Safety assurance
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ICAO SMS framework Safety policy and objectives
1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
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3.3 – Continuous improvement of the SMS
The organization shall:develop and maintain a formal process to identify the
causes of sub-standard performance of the SMSdetermine the implications of sub‑standard performance
of the SMS in operationseliminate or mitigate such causes
Safety assurance
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3.3 – Continuous improvement of the SMS
Continuing improvement is achieved through:
Proactive evaluation of facilities, equipment, documentation and procedures through safety studies, reviews, audits and surveys
Proactive evaluation of the individuals’ performance, to verify the fulfilment of their safety responsibilities and accountabilities
Safety assurance
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Safety assurance
3.3 – Continuous improvement of the SMS
Continuing improvement is achieved through:
Reactive evaluations in order to verify the effectiveness of the system for control and mitigation of risks, for example through information obtained from:
Accidents, incidents and major events investigations
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Safety Risk Management (SRM) and Safety Assurance (SA) – Summary
System description/gap
analysis
SRM
Hazard identification
Safety risks assessment
Safety risks mitigation
Safety risks
System operation
SA
Safety performance monitoring and measurement
Continuous improvement
Corrective action
Mgt. of change
Description and context
Specificinformation
Analysis
Assessment
Problem resolution
Design Operation
Module N° 9 ICAO Safety Management Systems (SMS) Course 30
ICAO SMS framework
Safety policy and objectives1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
Module N° 9 ICAO Safety Management Systems (SMS) Course 31
Safety promotion
4.1 – Training and education
The organization shall develop and maintain a safety
training programme that ensures that personnel are trained
and competent to perform the SMS duties
The scope of the safety training shall be appropriate to each
individual’s involvement in the SMS
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4.1 – 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
Safety promotion
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4.1 – Training and education
Operational personnel
Managers and supervisors
Senior managersAccountable
executive
To ensure that personnel are trained and competent to perform the SMS duties
Appropriate to the individual’s involvement in the SMS
Safety promotion
Module N° 9 ICAO Safety Management Systems (SMS) Course 34
4.1 – Training and education – A building block approach
1) Organization safety policy
2) SMS fundamentals and overview
3) The safety process
4) Hazard identification and risk management
5) The management of change
6) Organizational safety standards and national regulations
7) Safety assurance
Safety promotion
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4.1 – Training and education
Accountable executive – A special mention
A briefing on:Safety policy and objectivesSMS roles and responsibilitiesSafety risk managementSafety assurance
Somewhere between two hours and half a day
Safety promotion
Module N° 9 ICAO Safety Management Systems (SMS) Course 36
ICAO SMS framework
Safety policy and objectives1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
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4.2 – Safety communication
The organization shall develop and maintain formal means for safety communication that:ensures that all personnel are fully aware of the SMSconveys safety critical informationexplains why particular safety actions are takenexplains why safety procedures are introduced or
changed
Safety promotion
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4.2 – Safety communicationThe means to communicate may include:
Safety policies and proceduresNews lettersBulletinsWebsite
Safety communication is an essential foundation for the development and maintenance of an SMS
Safety promotion
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Questions and answersSMS operation
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Questions and answers
Q: Name four qualities of successful confidential reporting systems.
A: Reports easy to make. No disciplinary actions as result of reports. Reports are confidential. Feedback is rapid, accessible and informative.
Slide number: 10
Module N° 9 ICAO Safety Management Systems (SMS) Course 41
Questions and answers
Q: What are the tools used for the safety performance monitoring and measurement?
A: The safety performance of the organization is verified
throughout the following tools:Safety reporting systemsSafety studiesSafety reviewsSafety auditsSafety surveysInternal safety investigations
Slide number: 16
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Questions and answers
Q: What is the objective of a formal management of change process?
A:
describe the arrangements to ensure safety performance before implementing changes
to eliminate or modify safety risk controls that are no longer needed or effective due to changes in the operational environment
Slide number: 22
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Points to remember
1. Key ingredients for successful reporting
2. The importance of a formal management of change
3. Safety training – Who, why and how much
4. Safety communication
Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09
Module N° 9 – SMS operation