Module N° 4 – Hazards Safety Management Systems (SMS) Course.

Module NModule N° 4 – Hazards ° 4 – Hazards

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

Module NModule N° 4° 4 ICAO Safety Management Systems (SMS) Course 2

Building an SMS

Module 1SMS course introduction

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

Module 2Basic safety concepts

SafetySafety

ManagementManagement

SystemSystem

Module 3Introduction to safety

management

Module 4Hazards

Module 5Risks


Objective

At the end of this module, participants will be able to At the end of this module, participants will be able to

apply the fundamentals of hazard identification and apply the fundamentals of hazard identification and

management through a case study.management through a case study.

At the end of this module, participants will be able to At the end of this module, participants will be able to

apply the fundamentals of hazard identification and apply the fundamentals of hazard identification and

management through a case study.management through a case study.


Outline

Two definitionsTwo definitions First fundamental – Understanding hazards First fundamental – Understanding hazards Second fundamental – Hazard identificationSecond fundamental – Hazard identification Third fundamental – Hazard management Third fundamental – Hazard management Fourth fundamental – Documentation of hazardsFourth fundamental – Documentation of hazardsQuestions and answersQuestions and answersPoints to rememberPoints to rememberExercise 04/01 – Exercise 04/01 – International airport construction International airport construction

projectproject (See Handout N° 3)(See Handout N° 3)

Two definitionsTwo definitions First fundamental – Understanding hazards First fundamental – Understanding hazards Second fundamental – Hazard identificationSecond fundamental – Hazard identification Third fundamental – Hazard management Third fundamental – Hazard management Fourth fundamental – Documentation of hazardsFourth fundamental – Documentation of hazardsQuestions and answersQuestions and answersPoints to rememberPoints to rememberExercise 04/01 – Exercise 04/01 – International airport construction International airport construction

projectproject (See Handout N° 3)(See Handout N° 3)


Two definitionsHazardHazard – Condition, object or activity with the potential – Condition, object or activity with the potential

of causing injuries to personnel, damage to equipment or of causing injuries to personnel, damage to equipment or structures, loss of material, or reduction of ability to structures, loss of material, or reduction of ability to perform a prescribed function.perform a prescribed function.

Risk Risk – The chance of a loss or injury, measured in terms – The chance of a loss or injury, measured in terms of severity and probability. The chance that something is of severity and probability. The chance that something is going to happen, and the consequences if it does.going to happen, and the consequences if it does.A wind of 15 knots blowing directly across the runway A wind of 15 knots blowing directly across the runway

is a is a hazardhazard.. The possibility that a pilot may not be The possibility that a pilot may not be able to control the aircraft during take off or landing, able to control the aircraft during take off or landing, resulting in an accident, is one resulting in an accident, is one riskrisk . .

HazardHazard – Condition, object or activity with the potential – Condition, object or activity with the potential of causing injuries to personnel, damage to equipment or of causing injuries to personnel, damage to equipment or structures, loss of material, or reduction of ability to structures, loss of material, or reduction of ability to perform a prescribed function.perform a prescribed function.

Risk Risk – The chance of a loss or injury, measured in terms – The chance of a loss or injury, measured in terms of severity and probability. The chance that something is of severity and probability. The chance that something is going to happen, and the consequences if it does.going to happen, and the consequences if it does.A wind of 15 knots blowing directly across the runway A wind of 15 knots blowing directly across the runway

is a is a hazardhazard.. The possibility that a pilot may not be The possibility that a pilot may not be able to control the aircraft during take off or landing, able to control the aircraft during take off or landing, resulting in an accident, is one resulting in an accident, is one riskrisk . .


First fundamental – Understanding hazards

Natural tendency to describe the hazards as an outcome

“Runway incursion” vs. “Unclear aerodrome signage”

Stating hazards as outcomes disguise their nature and interfere with identifying other important outcomes.

Well-named hazards allowed to infer the sources or mechanisms and loss outcome(s).

Natural tendency to describe the hazards as an outcome

“Runway incursion” vs. “Unclear aerodrome signage”

Stating hazards as outcomes disguise their nature and interfere with identifying other important outcomes.

Well-named hazards allowed to infer the sources or mechanisms and loss outcome(s).


Examples of hazards

SimilarSimilar callcall signssigns

FlightFlight diversionsdiversions

MissedMissed approachesapproaches

System malfunctionsSystem malfunctions

Unfamiliar phraseologyUnfamiliar phraseology

ATC proceduresATC procedures

TerrainTerrain

AutomationAutomation eventsevents

WeatherWeather

HeavyHeavy traffictraffic

UnfamiliarUnfamiliar airportsairports


Examples of hazards

SimilarSimilar callcall signssigns

Reduced separationReduced separation minimaminima

Airspace restrictionsAirspace restrictions

Runway crossingsRunway crossings

System malfunctionsSystem malfunctions

MissedMissed approachesapproaches

Communication failureCommunication failure

Runway inspectionsRunway inspections

LAHSOLAHSO

Noise restrictionsNoise restrictions

WeatherWeather

SIROSIRO


Airspacereclassification


Examples of hazards

Security issuesSecurity issues

Non standardNon standardproceduresprocedures

Noise restrictionsNoise restrictions

Runway crossingsRunway crossings

WildlifeWildlife

ConstructionsConstructions

Vehicles in apronVehicles in apron

Runway inspectionsRunway inspections

FO(D)FO(D)

WeatherWeather

ObstaclesObstacles


Built-up areas


Second fundamental – Hazard identification

The scope for hazards in aviation is wide, and may be related to:

Design factors,Design factors, including equipment and task design.

Procedures and operating practices,Procedures and operating practices, including documentation and checklists.

Communications,Communications, including means, terminology and language.

The scope for hazards in aviation is wide, and may be related to:

Design factors,Design factors, including equipment and task design.

Procedures and operating practices,Procedures and operating practices, including documentation and checklists.

Communications,Communications, including means, terminology and language.



… … for example:for example:

Organizational factors,Organizational factors, such as company policies for recruitment, training, remuneration and allocation of resources.

Work environment factors,Work environment factors, such as ambient noise and vibration, temperature, lighting and protective equipment and clothing.

… … for example:for example:

Organizational factors,Organizational factors, such as company policies for recruitment, training, remuneration and allocation of resources.

Work environment factors,Work environment factors, such as ambient noise and vibration, temperature, lighting and protective equipment and clothing.



……for example:for example: Regulatory factors,Regulatory factors, including the applicability and

enforceability of regulations; certification of equipment, personnel and procedures; and the adequacy of resilient .

DefencesDefences including detection and warning systems, and the extent to which the equipment is resilient against errors and failures.

Human performance, including medical conditions and physical limitations.

……for example:for example: Regulatory factors,Regulatory factors, including the applicability and

enforceability of regulations; certification of equipment, personnel and procedures; and the adequacy of resilient .

DefencesDefences including detection and warning systems, and the extent to which the equipment is resilient against errors and failures.

Human performance, including medical conditions and physical limitations.


Sources of hazard identification

PredictivePredictiveProactiveProactiveReactiveReactive

InternalInternalCompany voluntary Company voluntary

reporting systemreporting systemAudits and surveysAudits and surveys

ExternalExternalAccident reportsAccident reportsState mandatory State mandatory

occurrence systemoccurrence system

PredictivePredictiveProactiveProactiveReactiveReactive

InternalInternalCompany voluntary Company voluntary

reporting systemreporting systemAudits and surveysAudits and surveys

ExternalExternalAccident reportsAccident reportsState mandatory State mandatory

occurrence systemoccurrence system


Hazard identification

By whom?By anybody By designated personnel

How?Through formal processesDepends on the organization

When?AnytimeUnder specific conditions

By whom?By anybody By designated personnel

How?Through formal processesDepends on the organization

When?AnytimeUnder specific conditions


Hazard identification

Specific conditions

Unexplained increase in safety-related events or infractions.

Major operational changes are planned.

Periods of significant organizational change.

Specific conditions

Unexplained increase in safety-related events or infractions.

Major operational changes are planned.

Periods of significant organizational change.


Third fundamental – Hazard management

Efficient and safe operations or provision of service Efficient and safe operations or provision of service require a constant balance between production goals require a constant balance between production goals (maintaining regular aerodrome operations during a (maintaining regular aerodrome operations during a runway construction project)runway construction project) and safety goals and safety goals (maintaining existing margins of safety in aerodrome (maintaining existing margins of safety in aerodrome operations during runway construction project).operations during runway construction project).

Aviation workplaces contain hazardous conditions which Aviation workplaces contain hazardous conditions which may not be cost-effective to eliminate even when may not be cost-effective to eliminate even when operations must continue. operations must continue.

Efficient and safe operations or provision of service Efficient and safe operations or provision of service require a constant balance between production goals require a constant balance between production goals (maintaining regular aerodrome operations during a (maintaining regular aerodrome operations during a runway construction project)runway construction project) and safety goals and safety goals (maintaining existing margins of safety in aerodrome (maintaining existing margins of safety in aerodrome operations during runway construction project).operations during runway construction project).

Aviation workplaces contain hazardous conditions which Aviation workplaces contain hazardous conditions which may not be cost-effective to eliminate even when may not be cost-effective to eliminate even when operations must continue. operations must continue.



ABCABC of hazard management of hazard management AA – State the generic hazard (hazard statement) – State the generic hazard (hazard statement)

Airport constructionAirport constructionBB – Identify specific components of the hazard – Identify specific components of the hazard

Construction equipmentConstruction equipment Closed taxiwaysClosed taxiways … …

CC – Naturally leading to specific risk(s) – Naturally leading to specific risk(s) Aircraft colliding with construction equipment Aircraft colliding with construction equipment Aircraft taking wrong taxiwayAircraft taking wrong taxiway … …

ABCABC of hazard management of hazard management AA – State the generic hazard (hazard statement) – State the generic hazard (hazard statement)

Airport constructionAirport constructionBB – Identify specific components of the hazard – Identify specific components of the hazard

Construction equipmentConstruction equipment Closed taxiwaysClosed taxiways … …

CC – Naturally leading to specific risk(s) – Naturally leading to specific risk(s) Aircraft colliding with construction equipment Aircraft colliding with construction equipment Aircraft taking wrong taxiwayAircraft taking wrong taxiway … …



At the intersection of protection and production

The acronym ALARPALARP is used to describe a safety risk which has been reduced to a level that is as low as low as reasonably practicableas reasonably practicable.

In determining what is reasonably practicablereasonably practicable consideration is given to both the technical feasibility and the cost of further reducing the safety risk.

This includes aThis includes a cost/benefit study. cost/benefit study.

At the intersection of protection and production

The acronym ALARPALARP is used to describe a safety risk which has been reduced to a level that is as low as low as reasonably practicableas reasonably practicable.

In determining what is reasonably practicablereasonably practicable consideration is given to both the technical feasibility and the cost of further reducing the safety risk.

This includes aThis includes a cost/benefit study. cost/benefit study.



Direct costsThe obvious costs, which are easily determined. The

high costs of exposure of hazards can be reduced by insurance coverage. Purchasing insurance only transfers monetary risk

Indirect costsThe uninsured costs. An understanding of these

uninsured costs (or indirect costs) is fundamental to understanding the economics of safety.

Direct costsThe obvious costs, which are easily determined. The

high costs of exposure of hazards can be reduced by insurance coverage. Purchasing insurance only transfers monetary risk

Indirect costsThe uninsured costs. An understanding of these

uninsured costs (or indirect costs) is fundamental to understanding the economics of safety.



Usually they amount more than the direct costs resulting from exposure to hazards: Loss of business Damage to the reputation Loss of use of equipmentLoss of staff productivityLegal actions and claimsFines and citationsInsurance deductibles

Usually they amount more than the direct costs resulting from exposure to hazards: Loss of business Damage to the reputation Loss of use of equipmentLoss of staff productivityLegal actions and claimsFines and citationsInsurance deductibles


Fourth fundamental – Documentation of hazards

The fundamental importance of appropriate documentation management:A formal procedure to

translate operational safety data into hazard-related information.

The “safety library” of an organization.

The fundamental importance of appropriate documentation management:A formal procedure to

translate operational safety data into hazard-related information.

The “safety library” of an organization.


Fourth fundamental – Documentation of hazards

The need for standardization: facilitating tracking and analysis of hazards by common:DefinitionsUnderstandingValidation Reporting MeasurementManagement

The need for standardization: facilitating tracking and analysis of hazards by common:DefinitionsUnderstandingValidation Reporting MeasurementManagement


The focus of hazard identification

Hazard identification is

a wasted effort if

restricted to the

aftermath of rare

occurrences where

there is serious injury,

or significant damage.

Hazard identification is

a wasted effort if

restricted to the

aftermath of rare

occurrences where

there is serious injury,

or significant damage.

1 – 5AccidentsAccidents

30 – 100Serious incidentsSerious incidents

100 – 1000IncidentsIncidents

1000 – 4000

Latent conditionsLatent conditions


In summary

HazardHazard: an existing condition

RiskRisk: an event that can happen

HazardHazard: an existing condition

RiskRisk: an event that can happen


Assess and prioritize risks

Develop control and mitigation strategies

Inform person(s)

responsible for implementing

strategies

Reactive method

ASRMORIncident reportsAccident reports

Proactive method

ASRSurveysAudits

Predictive method

FOQALOSANOSSASAP

Assignresponsibilities

Implement strategies

Re-evaluate strategies

and processes

HA

ZAR

DS

HA

ZAR

DS

HA

ZAR

DS S

AFETY

LIBRARY

Feedback

Safety managementinformation

Trend analysis

Safety bulletins

Report distribution

Seminars and workshops

METHOD IDENTIFICATION MANAGEMENT INFORMATIONDOCUMENTATION


Q&A

Q:Q: Define the concepts of hazard and risk. A: ?A: ?

Q:Q: Define the concepts of hazard and risk. A: ?A: ?

Slide number:


Q&A

Q:Q: Provide three examples of scope of hazards.

A: ?A: ?

Q:Q: Provide three examples of scope of hazards.

A: ?A: ?

Slide number:


Q&A

Q:Q: Name three specific circumstances when hazard identification is essential.

A: ?A: ?

Q:Q: Name three specific circumstances when hazard identification is essential.

A: ?A: ?

Slide number:


Q&A

Q:Q: Explain indirect costs.

A: ?A: ?

Q:Q: Explain indirect costs.

A: ?A: ?

Slide number:


Q&A

Q:Q: Summarize the differences between hazard and

risk?

A: ?A: ?

Q:Q: Summarize the differences between hazard and

risk?

A: ?A: ?

Slide number:


Points to remember

1. Hazard, risk and consequence.

2. ABC of hazard management.

3. The ALARP notion.

4. Hazard management: direct and indirect costs

5. Hazard documentation: the “safety library” of an

organization.

Reference: Doc 9859, Chapter 6

1. Hazard, risk and consequence.

2. ABC of hazard management.

3. The ALARP notion.

4. Hazard management: direct and indirect costs

5. Hazard documentation: the “safety library” of an

organization.

Reference: Doc 9859, Chapter 6


Exercise 04/01 – International airport construction project

Group activity::A facilitator will be appointed, who will coordinate A facilitator will be appointed, who will coordinate

the discussion. the discussion. A summary of the discussion will be written on flip A summary of the discussion will be written on flip

charts, and a member of the group will brief on their charts, and a member of the group will brief on their findings in a plenary session.findings in a plenary session.

Scenario:Scenario:Construction project to extend and repave one of

the two crossing runways at an international airport (100,000 movements a year).

Group activity::A facilitator will be appointed, who will coordinate A facilitator will be appointed, who will coordinate

the discussion. the discussion. A summary of the discussion will be written on flip A summary of the discussion will be written on flip

charts, and a member of the group will brief on their charts, and a member of the group will brief on their findings in a plenary session.findings in a plenary session.

Scenario:Scenario:Construction project to extend and repave one of

the two crossing runways at an international airport (100,000 movements a year).


Aerodrome layout


Three-phase construction project


Scope of the work

PHASE 1:PHASE 1: Extend the length of RWY 09-27 by 900 meters Extend the length of RWY 09-27 by 900 meters

westward and width from 30 to 45 meters from westward and width from 30 to 45 meters from intersection with RWY 18-36, and strengthen the intersection with RWY 18-36, and strengthen the runway extension (from asphalt to concrete) to runway extension (from asphalt to concrete) to increase its Pavement Classification Number (PCN). increase its Pavement Classification Number (PCN).

Extend the length of TWY Delta by 900 meters Extend the length of TWY Delta by 900 meters westward.westward.

Estimated time to complete the work: seven (7) Estimated time to complete the work: seven (7) months.months.

PHASE 1:PHASE 1: Extend the length of RWY 09-27 by 900 meters Extend the length of RWY 09-27 by 900 meters

westward and width from 30 to 45 meters from westward and width from 30 to 45 meters from intersection with RWY 18-36, and strengthen the intersection with RWY 18-36, and strengthen the runway extension (from asphalt to concrete) to runway extension (from asphalt to concrete) to increase its Pavement Classification Number (PCN). increase its Pavement Classification Number (PCN).

Extend the length of TWY Delta by 900 meters Extend the length of TWY Delta by 900 meters westward.westward.

Estimated time to complete the work: seven (7) Estimated time to complete the work: seven (7) months.months.


Scope of the work

PHASE 2:PHASE 2:

Construct and enlarge new threshold entrance Construct and enlarge new threshold entrance and holding zone at TWY Charlie. and holding zone at TWY Charlie.

Extend the width of RWY 09-27 from 30 to 45 Extend the width of RWY 09-27 from 30 to 45 meters and strengthen (from asphalt to concrete) meters and strengthen (from asphalt to concrete) this part of the runway up to a point 200 m before this part of the runway up to a point 200 m before intersection TWY A-B to increase its PCN.intersection TWY A-B to increase its PCN.

Estimated time to complete the work: five (5) Estimated time to complete the work: five (5) months.months.

PHASE 2:PHASE 2:

Construct and enlarge new threshold entrance Construct and enlarge new threshold entrance and holding zone at TWY Charlie. and holding zone at TWY Charlie.

Extend the width of RWY 09-27 from 30 to 45 Extend the width of RWY 09-27 from 30 to 45 meters and strengthen (from asphalt to concrete) meters and strengthen (from asphalt to concrete) this part of the runway up to a point 200 m before this part of the runway up to a point 200 m before intersection TWY A-B to increase its PCN.intersection TWY A-B to increase its PCN.

Estimated time to complete the work: five (5) Estimated time to complete the work: five (5) months.months.


Scope of the work

PHASE 3:PHASE 3:

Complete the construction work of RWY 09-27 for Complete the construction work of RWY 09-27 for the central area of the last 350 m at the the central area of the last 350 m at the intersection of RWY 09-27 and RWY 18-36 (from intersection of RWY 09-27 and RWY 18-36 (from asphalt to concrete), increase its width from 30 to asphalt to concrete), increase its width from 30 to 45 meters and its PCN.45 meters and its PCN.

Estimated time to complete the work: two (2) Estimated time to complete the work: two (2) months.months.

PHASE 3:PHASE 3:

Complete the construction work of RWY 09-27 for Complete the construction work of RWY 09-27 for the central area of the last 350 m at the the central area of the last 350 m at the intersection of RWY 09-27 and RWY 18-36 (from intersection of RWY 09-27 and RWY 18-36 (from asphalt to concrete), increase its width from 30 to asphalt to concrete), increase its width from 30 to 45 meters and its PCN.45 meters and its PCN.

Estimated time to complete the work: two (2) Estimated time to complete the work: two (2) months.months.


Scope of the work

Runway 18-36 utilization during the construction workRunway 18-36 utilization during the construction work

Continuous utilization of RWY RWY 18-36 during the three-phase construction project.

RWY RWY 18-36 length is 3.850 m and the distance available from threshold RWY RWY 18 to intersection RWY RWY 09-27 is 2.600 m.

Information must be provided to airport users.

Runway 18-36 utilization during the construction workRunway 18-36 utilization during the construction work

Continuous utilization of RWY RWY 18-36 during the three-phase construction project.

RWY RWY 18-36 length is 3.850 m and the distance available from threshold RWY RWY 18 to intersection RWY RWY 09-27 is 2.600 m.

Information must be provided to airport users.


Identify and control hazards

Your taskYour task

Identify the hazards using brainstorming techniques and propose control strategies.

Brainstorm a list of possible hazards (use a flip

chart).

Make sure they are hazards, not risks.

Your taskYour task

Identify the hazards using brainstorming techniques and propose control strategies.

Brainstorm a list of possible hazards (use a flip

chart).

Make sure they are hazards, not risks.


Identify and control hazards

… … your taskyour task

Complete the log below as follows:List type of operation or activityIdentify hazardsList analyzed hazards List hazard control strategies

It is recommended to conduct the analysis per phase of construction.

A member of the group will brief on their findings in a plenary session.

… … your taskyour task

Complete the log below as follows:List type of operation or activityIdentify hazardsList analyzed hazards List hazard control strategies

It is recommended to conduct the analysis per phase of construction.

A member of the group will brief on their findings in a plenary session.


Table 04/01 – Hazard identification and control

Nº Identified hazardHazard analysis

(Cause and effect) Hazard control strategiesType of operation

or activity

1

2

3

4

5

Module NModule N° 4 – Hazards ° 4 – Hazards

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

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Module N° 4 – Hazards Safety Management Systems (SMS) Course.

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