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Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

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Module N Module N ° 8 – SMS ° 8 – SMS planning planning Safety Management Systems Safety Management Systems (SMS) Course (SMS) Course
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Page 1: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8 – SMS ° 8 – SMS planningplanning

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

Page 2: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 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

Page 3: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 3

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

planning of an SMSplanning of an SMS, and , and

explain the structure of an SMS explain the structure of an SMS

implementation planimplementation plan..

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

planning of an SMSplanning of an SMS, and , and

explain the structure of an SMS explain the structure of an SMS

implementation planimplementation plan..

Page 4: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 4

Outline

The components of SMSThe components of SMS The elements of SMSThe elements of SMSSafety policy and objectives Safety policy and objectives Questions and answersQuestions and answersPoints to rememberPoints to rememberExercise 08/01 – Cuzco International Airport operation Exercise 08/01 – Cuzco International Airport operation

(See Handout N° 5)(See Handout N° 5)

The components of SMSThe components of SMS The elements of SMSThe elements of SMSSafety policy and objectives Safety policy and objectives Questions and answersQuestions and answersPoints to rememberPoints to rememberExercise 08/01 – Cuzco International Airport operation Exercise 08/01 – Cuzco International Airport operation

(See Handout N° 5)(See Handout N° 5)

Page 5: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 5

The components of SMS

Safety policy and objectivesSafety policy and objectives

Safety hazard identification and risk managementSafety hazard identification and risk management

Safety assuranceSafety assurance

Safety promotionSafety promotion

Emergency response planningEmergency response planning

Safety policy and objectivesSafety policy and objectives

Safety hazard identification and risk managementSafety hazard identification and risk management

Safety assuranceSafety assurance

Safety promotionSafety promotion

Emergency response planningEmergency response planning

Page 6: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 6

The elements of SMS

Safety policy and objectives

1.1 – Management commitment and responsibility1.2 – Safety accountabilities of managers1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan1.5 – Documentation

Safety hazard identification and risk management

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

Safety policy and objectives

1.1 – Management commitment and responsibility1.2 – Safety accountabilities of managers1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan1.5 – Documentation

Safety hazard identification and risk management

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

Page 7: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 7

The elements of SMS

Safety assuranceSafety assurance3.1 – Safety performance monitoring and measurement3.2 – Audits and surveys3.3 – The management of change3.4 – Continuous improvement of the safety system

Safety promotionSafety promotion4.1 – Training and education4.2 – Safety communication

Emergency response planningEmergency response planning5.1 – Development of an emergency response plan5.1 – Development of an emergency response plan

Safety assuranceSafety assurance3.1 – Safety performance monitoring and measurement3.2 – Audits and surveys3.3 – The management of change3.4 – Continuous improvement of the safety system

Safety promotionSafety promotion4.1 – Training and education4.2 – Safety communication

Emergency response planningEmergency response planning5.1 – Development of an emergency response plan5.1 – Development of an emergency response plan

Page 8: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 8

Safety policy and objectivesSafety policy and objectives

1.1 – Management commitment and responsibility

1.2 – Safety accountabilities of managers1.2 – Safety accountabilities of managers

1.3 – Appointment of key safety personnel 1.3 – Appointment of key safety personnel

1.4 – SMS implementation plan1.4 – SMS implementation plan

1.5 – Documentation1.5 – Documentation

Reference: Doc 9859, Chapter 2 and 12

1.1 – Management commitment and responsibility

1.2 – Safety accountabilities of managers1.2 – Safety accountabilities of managers

1.3 – Appointment of key safety personnel 1.3 – Appointment of key safety personnel

1.4 – SMS implementation plan1.4 – SMS implementation plan

1.5 – Documentation1.5 – Documentation

Reference: Doc 9859, Chapter 2 and 12

Page 9: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 9

Safety policy and objectivesSafety policy and objectives

1.1 – Management commitment and responsibility1.1 – Management commitment and responsibility Senior management must:

Develop the safety policy, signed by the Chief Executive Officer.

Establish the safety policy, objectives and performance standards in accordance to national and international standards and organizational priorities.

Communicate, with visible endorsement, the safety policy, objectives and performance standards to all staff.

Provide necessary human and financial resources.

1.1 – Management commitment and responsibility1.1 – Management commitment and responsibility Senior management must:

Develop the safety policy, signed by the Chief Executive Officer.

Establish the safety policy, objectives and performance standards in accordance to national and international standards and organizational priorities.

Communicate, with visible endorsement, the safety policy, objectives and performance standards to all staff.

Provide necessary human and financial resources.

Page 10: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 10

Safety policy and objectivesSafety policy and objectives

1.1 – Management commitment and responsibility1.1 – Management commitment and responsibility

Identify the accountable executive

Single, identifiable person.

Full responsibility for the organization’s SMSCEO/Chairman Board of DirectorsA partnerThe proprietor

1.1 – Management commitment and responsibility1.1 – Management commitment and responsibility

Identify the accountable executive

Single, identifiable person.

Full responsibility for the organization’s SMSCEO/Chairman Board of DirectorsA partnerThe proprietor

Page 11: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 11

Safety policy and objectivesSafety policy and objectives

1.1 – Management commitment and responsibility1.1 – Management commitment and responsibility

Accountable executive must have:

Full authority for human resources issues.

Authority for major financial issues.

Direct responsibility for the conduct of the organization‘s affairs.

Final authority over operations under certificate.

Final responsibility for all safety issues.

1.1 – Management commitment and responsibility1.1 – Management commitment and responsibility

Accountable executive must have:

Full authority for human resources issues.

Authority for major financial issues.

Direct responsibility for the conduct of the organization‘s affairs.

Final authority over operations under certificate.

Final responsibility for all safety issues.

Page 12: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 12

Safety policy and objectivesSafety policy and objectives

1.1 – Management commitment and responsibility

1.2 – Safety accountabilities of managers

1.3 – Appointment of key safety personnel

1.4 – SMS implementation planSMS implementation plan

1.5 – Documentation

Reference: Doc 9859, Chapter 12

1.1 – Management commitment and responsibility

1.2 – Safety accountabilities of managers

1.3 – Appointment of key safety personnel

1.4 – SMS implementation planSMS implementation plan

1.5 – Documentation

Reference: Doc 9859, Chapter 12

Page 13: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 13

1.2 – Safety accountabilities of managers1.2 – Safety accountabilities of managers

SMS organization

Safety responsibilities of key personnel

1.2 – Safety accountabilities of managers1.2 – Safety accountabilities of managers

SMS organization

Safety responsibilities of key personnel

Safety policy and objectivesSafety policy and objectives

Page 14: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 14

Safety responsibilities – An example

Accountable executive

Flight safety officer

Maintenance safety officer

Safety Action Group (s)

(SAG)

Safety Review Board (SRB)

Director of operations

Director of maintenance

Other directorates

Safety office

Page 15: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 15

Safety policy and objectivesSafety policy and objectives

1.1 – Management commitment and responsibility

1.2 – Safety accountabilities of managers

1.31.3 – – Appointment of key safety personnel

1.4 – SMS implementation planSMS implementation plan

1.5 – Documentation

Reference: Doc 9859, Chapter 15

1.1 – Management commitment and responsibility

1.2 – Safety accountabilities of managers

1.31.3 – – Appointment of key safety personnel

1.4 – SMS implementation planSMS implementation plan

1.5 – Documentation

Reference: Doc 9859, Chapter 15

Page 16: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 16

Safety responsibilities

Accountable executive

Flight safety officer

Maintenance safety officer

Safety Action Group (s)

(SAG)

Safety Review Board (SRB)

Director of operations

Director of maintenance

Other directorates

Safety office

Page 17: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 17

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnel

The safety office – Corporate functions

Advising senior management on safety matters.

Assisting line managers.

Overseeing hazard identification systems.

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnel

The safety office – Corporate functions

Advising senior management on safety matters.

Assisting line managers.

Overseeing hazard identification systems.

Safety policy and objectivesSafety policy and objectives

Page 18: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 18

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnelThe safety manager – Responsibilities

Accountable individual and focal point for the development and maintenance of an effective safety management system: Reports to the CEO. Facilitates SAG.Sits on SRB.

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnelThe safety manager – Responsibilities

Accountable individual and focal point for the development and maintenance of an effective safety management system: Reports to the CEO. Facilitates SAG.Sits on SRB.

Safety policy and objectivesSafety policy and objectives

Page 19: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 19

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnelThe safety manager – Responsibilities

Manages of the SMS implementation plan.Facilitates hazard identification and risk analysis

and management. Monitors the effectiveness of corrective actions. Provides periodic reports on safety performance.Maintains safety documentation. Plans and organizes staff safety training.Provides independent advice on safety matters.

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnelThe safety manager – Responsibilities

Manages of the SMS implementation plan.Facilitates hazard identification and risk analysis

and management. Monitors the effectiveness of corrective actions. Provides periodic reports on safety performance.Maintains safety documentation. Plans and organizes staff safety training.Provides independent advice on safety matters.

Safety policy and objectivesSafety policy and objectives

Page 20: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 20

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnelThe safety manager – Selection criteria

Operational management experience and technical background to understand the systems that support operations.

People skills.Analytical and problem-solving skills.Project management skills.Oral and written communications skills.

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnelThe safety manager – Selection criteria

Operational management experience and technical background to understand the systems that support operations.

People skills.Analytical and problem-solving skills.Project management skills.Oral and written communications skills.

Safety policy and objectivesSafety policy and objectives

Page 21: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 21

Safety responsibilities

Accountable executive

Flight safety officer

Maintenance safety officer

Safety Action Group (s)

(SAG)

Safety Review Board (SRB)

Director of operations

Director of maintenance

Other directorates

Safety office

Page 22: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 22

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnel

The Safety Review Board (SRB):

High level committee

Strategic safety functionsChaired by CEO. It may include the Board of Directors.Composed of heads of functional areas.

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnel

The Safety Review Board (SRB):

High level committee

Strategic safety functionsChaired by CEO. It may include the Board of Directors.Composed of heads of functional areas.

Safety policy and objectivesSafety policy and objectives

Page 23: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 23

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnelSRB monitors :

Safety performance against the safety policy and objectives.

Effectiveness of the SMS implementation plan.Effectiveness of the safety supervision of sub-

contracted operations. Ensure that appropriate resources are allocated to

achieve the established safety performance.Gives strategic direction to the SAG

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnelSRB monitors :

Safety performance against the safety policy and objectives.

Effectiveness of the SMS implementation plan.Effectiveness of the safety supervision of sub-

contracted operations. Ensure that appropriate resources are allocated to

achieve the established safety performance.Gives strategic direction to the SAG

Safety policy and objectivesSafety policy and objectives

Page 24: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 24

Safety responsibilities

Accountable executive

Flight safety officer

Maintenance safety officer

Safety Action Group (s)

(SAG)

Safety Review Board (SRB)

Director of operations

Director of maintenance

Other directorates

Safety office

Page 25: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 25

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnel

Safety Action Group(s) (SAG):Reports to SRB and takes strategicstrategic direction

from SRB.Members:

Managers and supervisors from functional areas.

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnel

Safety Action Group(s) (SAG):Reports to SRB and takes strategicstrategic direction

from SRB.Members:

Managers and supervisors from functional areas.

Safety policy and objectivesSafety policy and objectives

Page 26: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 26

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnelSAG:

Oversees operational safety within the functional area.Resolves identified risks. Assesses the impact on safety of operational changes.Implements corrective action plans.Ensures that corrective action is taken in a timely

manner. Review the effectiveness of previous safety

recommendations. Safety promotion.

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnelSAG:

Oversees operational safety within the functional area.Resolves identified risks. Assesses the impact on safety of operational changes.Implements corrective action plans.Ensures that corrective action is taken in a timely

manner. Review the effectiveness of previous safety

recommendations. Safety promotion.

Safety policy and objectivesSafety policy and objectives

Page 27: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 27

Safety policy and objectivesSafety policy and objectives

1.1 – Management commitment and responsibility

1.2 – Safety accountabilities of managers

1.3 – Appointment of key safety personnel

1.4 – SMS implementation plan1.4 – SMS implementation plan

1.5 – Documentation

Reference: Doc 9859, Chapter 12

1.1 – Management commitment and responsibility

1.2 – Safety accountabilities of managers

1.3 – Appointment of key safety personnel

1.4 – SMS implementation plan1.4 – SMS implementation plan

1.5 – Documentation

Reference: Doc 9859, Chapter 12

Page 28: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 28

1.4 – SMS implementation plan1.4 – SMS implementation plan Developed by a planning group, which:Developed by a planning group, which:

Comprises an appropriate experience base.Comprises an appropriate experience base. Meets regularly with senior management.Meets regularly with senior management. Receives resources (including time for Receives resources (including time for

meetings).meetings). A A realisticrealistic strategy for the implementation of an strategy for the implementation of an

SMS that will meet the organization’s safety needs.SMS that will meet the organization’s safety needs. A definition of the approach the organization will A definition of the approach the organization will

adopt for managing safety.adopt for managing safety.

1.4 – SMS implementation plan1.4 – SMS implementation plan Developed by a planning group, which:Developed by a planning group, which:

Comprises an appropriate experience base.Comprises an appropriate experience base. Meets regularly with senior management.Meets regularly with senior management. Receives resources (including time for Receives resources (including time for

meetings).meetings). A A realisticrealistic strategy for the implementation of an strategy for the implementation of an

SMS that will meet the organization’s safety needs.SMS that will meet the organization’s safety needs. A definition of the approach the organization will A definition of the approach the organization will

adopt for managing safety.adopt for managing safety.

Safety policy and objectivesSafety policy and objectives

Page 29: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 29

1.4 1.4 – – SMS implementation plan – ContentsSMS implementation plan – Contents 1) Safety policy2) Safety planning, objectives and goals3) System description4) Gap analysis5) SMS components6) Safety roles and responsibilities 7) Non-punitive safety reporting policy 8) Means of employee involvement9) Safety communication10) Safety performance measurement11) Management review (of safety performance)

1.4 1.4 – – SMS implementation plan – ContentsSMS implementation plan – Contents 1) Safety policy2) Safety planning, objectives and goals3) System description4) Gap analysis5) SMS components6) Safety roles and responsibilities 7) Non-punitive safety reporting policy 8) Means of employee involvement9) Safety communication10) Safety performance measurement11) Management review (of safety performance)

Safety policy and objectivesSafety policy and objectives

Page 30: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 30

1.4 – SMS implementation plan1.4 – SMS implementation plan

Senior management endorses the plan.Senior management endorses the plan.

Typical implementation time frame will be one to four Typical implementation time frame will be one to four years ahead (Phased approach).years ahead (Phased approach).

1.4 – SMS implementation plan1.4 – SMS implementation plan

Senior management endorses the plan.Senior management endorses the plan.

Typical implementation time frame will be one to four Typical implementation time frame will be one to four years ahead (Phased approach).years ahead (Phased approach).

Safety policy and objectivesSafety policy and objectives

Page 31: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 31

Safety policy and objectivesSafety policy and objectives

1.1 – Management commitment and responsibility1.1 – Management commitment and responsibility

1.2 – Safety accountabilities of managers1.2 – Safety accountabilities of managers

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnel

1.4 – SMS implementation plan1.4 – SMS implementation plan

1.5 – Documentation

Reference: Doc 9859, Chapter 12

1.1 – Management commitment and responsibility1.1 – Management commitment and responsibility

1.2 – Safety accountabilities of managers1.2 – Safety accountabilities of managers

1.3 – Appointment of key safety personnel1.3 – Appointment of key safety personnel

1.4 – SMS implementation plan1.4 – SMS implementation plan

1.5 – Documentation

Reference: Doc 9859, Chapter 12

Page 32: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 32

1.5 – Documentation1.5 – Documentation

Applicable regulations

SMS records and documentation

Records management

The Safety Management Manual (SMM)

1.5 – Documentation1.5 – Documentation

Applicable regulations

SMS records and documentation

Records management

The Safety Management Manual (SMM)

Safety policy and objectivesSafety policy and objectives

Page 33: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 33

1.5 – Documentation – Safety policy and objectives1.5 – Documentation – Safety policy and objectivesDefine, document and endorse a safety policy confirming Define, document and endorse a safety policy confirming

the objectives identified during the planning phase.the objectives identified during the planning phase.Safety policy must include a commitment to:Safety policy must include a commitment to:

Achieve the highest safety standards. Achieve the highest safety standards. Observe all applicable legal requirements and Observe all applicable legal requirements and

international standards, and best effective practices. international standards, and best effective practices. Provide appropriate resources.Provide appropriate resources. Enforce safety as one primary responsibility of all Enforce safety as one primary responsibility of all

managers.managers. Ensure that the policy is understood, implemented and Ensure that the policy is understood, implemented and

maintained at all levels.maintained at all levels.

1.5 – Documentation – Safety policy and objectives1.5 – Documentation – Safety policy and objectivesDefine, document and endorse a safety policy confirming Define, document and endorse a safety policy confirming

the objectives identified during the planning phase.the objectives identified during the planning phase.Safety policy must include a commitment to:Safety policy must include a commitment to:

Achieve the highest safety standards. Achieve the highest safety standards. Observe all applicable legal requirements and Observe all applicable legal requirements and

international standards, and best effective practices. international standards, and best effective practices. Provide appropriate resources.Provide appropriate resources. Enforce safety as one primary responsibility of all Enforce safety as one primary responsibility of all

managers.managers. Ensure that the policy is understood, implemented and Ensure that the policy is understood, implemented and

maintained at all levels.maintained at all levels.

Safety policy and objectivesSafety policy and objectives

Page 34: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 34

1.5 – Documentation – Safety management manual (SMM)1.5 – Documentation – Safety management manual (SMM)

Key instrument for communicating the organization’s approach to safety to the whole organization.

Documents all aspects of the SMS, including the safety policy, objectives, procedures and individual safety accountabilities.

1.5 – Documentation – Safety management manual (SMM)1.5 – Documentation – Safety management manual (SMM)

Key instrument for communicating the organization’s approach to safety to the whole organization.

Documents all aspects of the SMS, including the safety policy, objectives, procedures and individual safety accountabilities.

Safety policy and objectivesSafety policy and objectives

Page 35: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 35

Safety policy and objectivesSafety policy and objectives

1. Scope of the safety management system.

2. The safety policy and objectives.

3. Safety accountabilities.

4. Key safety personnel.

5. Documentation control procedures.

1. Scope of the safety management system.

2. The safety policy and objectives.

3. Safety accountabilities.

4. Key safety personnel.

5. Documentation control procedures.

6.6. Hazard identification and risk Hazard identification and risk management schemes. management schemes.

7.7. Safety performance Safety performance monitoring.monitoring.

8.8. Emergency response planning.Emergency response planning.9.9. Management of change.Management of change.10.10. Safety auditing.Safety auditing.11.11. Safety promotion.Safety promotion.

6.6. Hazard identification and risk Hazard identification and risk management schemes. management schemes.

7.7. Safety performance Safety performance monitoring.monitoring.

8.8. Emergency response planning.Emergency response planning.9.9. Management of change.Management of change.10.10. Safety auditing.Safety auditing.11.11. Safety promotion.Safety promotion.

1.5 – Documentation – SMM1.5 – Documentation – SMM contentscontents

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Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 36

Conclusion

The successful management of safety is a functional The successful management of safety is a functional responsibility that requires the participation of all responsibility that requires the participation of all operational personnel and the supervision of the operational personnel and the supervision of the organization organization (Systematic)(Systematic). .

This principle must be reflected in the structure of the This principle must be reflected in the structure of the organization organization (Explicit)(Explicit). .

The successful management of safety is a functional The successful management of safety is a functional responsibility that requires the participation of all responsibility that requires the participation of all operational personnel and the supervision of the operational personnel and the supervision of the organization organization (Systematic)(Systematic). .

This principle must be reflected in the structure of the This principle must be reflected in the structure of the organization organization (Explicit)(Explicit). .

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Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 37

Conclusion

The organization must define, document and The organization must define, document and communicate individual lines of responsibility and communicate individual lines of responsibility and authority in regard to the management of operational authority in regard to the management of operational safety safety (Explicit)(Explicit)..

The means to manage safety within the organization The means to manage safety within the organization include hazard identification, risk management, safety include hazard identification, risk management, safety assurance and safety promotion assurance and safety promotion (Proactive)(Proactive)..

The organization must define, document and The organization must define, document and communicate individual lines of responsibility and communicate individual lines of responsibility and authority in regard to the management of operational authority in regard to the management of operational safety safety (Explicit)(Explicit)..

The means to manage safety within the organization The means to manage safety within the organization include hazard identification, risk management, safety include hazard identification, risk management, safety assurance and safety promotion assurance and safety promotion (Proactive)(Proactive)..

Page 38: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.
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Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 39

Q&A

Q:Q: What are the elements of the SMS component What are the elements of the SMS component hazard identification and risk management?

A:A: ?

Q:Q: What are the elements of the SMS component What are the elements of the SMS component hazard identification and risk management?

A:A: ?

Slide number:

Page 40: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 40

Q&A

Q:Q: What does the SMS element What does the SMS element safety accountabilities safety accountabilities

of managersof managers comprise? comprise?

A: ?A: ?

Q:Q: What does the SMS element What does the SMS element safety accountabilities safety accountabilities

of managersof managers comprise? comprise?

A: ?A: ?

Slide number:

Page 41: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 41

Q&A

Q: Q: What is the safety manager selection criteria? A: ?A: ?

Q: Q: What is the safety manager selection criteria? A: ?A: ?

Slide number:

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Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 42

Q&A

Q: Q: List five subjects that should be included in the contentsList five subjects that should be included in the contentsof the safety management manual (SMM).of the safety management manual (SMM).A:A:

Slide number:

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Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 43

Points to remember

1.1. The five components of an SMS.The five components of an SMS.

2.2. The elements of an SMS.The elements of an SMS.

3.3. The SMS implementation plan.The SMS implementation plan.

4.4. The importance of documenting safety responsibilities.The importance of documenting safety responsibilities.

5.5. The SMM.The SMM.

6.6. SRB, SAG and the safety manager.SRB, SAG and the safety manager.

7.7. Safety responsibilities.Safety responsibilities.

1.1. The five components of an SMS.The five components of an SMS.

2.2. The elements of an SMS.The elements of an SMS.

3.3. The SMS implementation plan.The SMS implementation plan.

4.4. The importance of documenting safety responsibilities.The importance of documenting safety responsibilities.

5.5. The SMM.The SMM.

6.6. SRB, SAG and the safety manager.SRB, SAG and the safety manager.

7.7. Safety responsibilities.Safety responsibilities.

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Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 45

Exercise 08/01 – Cuzco International Airport operation

Group activity:

A facilitator will be appointed, who will coordinate the A facilitator will be appointed, who will coordinate the discussion. 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.

Group activity:

A facilitator will be appointed, who will coordinate the A facilitator will be appointed, who will coordinate the discussion. 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.

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Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 46

Velazco Astete AirportElevation 10.656 ft

+ 15.000 ft

+ 15.000 ft

+ 15.000 ft

+ 15.000 ft

+ 15.000 ft

Hazard assessment of the operation. Control and/or mitigation of the risks

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Threshold 27

Velazco Astete AirportElevation 10.656 ft

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+ 16.000 ft

City of CuzcoCity of Cuzco

Threshold 27

Threshold 09

Velazco Astete Airport

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Threshold 27

Threshold 09

+ 16.000 ft

City of CuzcoCity of Cuzco

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Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 50

Threshold 09

Threshold 27

+ 16.000 ft

Velazco Astete AirportVelazco Astete Airport

City of CuzcoCity of Cuzco

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Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 51

Cuzco Airport characteristics and operation

VMC operation and VFR rules apply.

Landing on runway 27 only.

Take-off on runway 09 only.

Day-light aircraft operation.

VMC operation and VFR rules apply.

Landing on runway 27 only.

Take-off on runway 09 only.

Day-light aircraft operation.

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In case of engine fire, engine-out or emergency condition return to airport is mandatory, except if the aircraft’s weight and performance allow the aircraft to comply with obstacle clearance net trajectory.

No ILS approach is available.

VOR used for instrument letdown (URCOS) not located at the aerodrome.

In case of engine fire, engine-out or emergency condition return to airport is mandatory, except if the aircraft’s weight and performance allow the aircraft to comply with obstacle clearance net trajectory.

No ILS approach is available.

VOR used for instrument letdown (URCOS) not located at the aerodrome.

Cuzco Airport characteristics and operation

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Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 53

What is the safety concern?

Issues to be considered:

Aerodrome infrastructure.

Navigational radio aids.

Weather conditions.

Aircraft performance.

Issues to be considered:

Aerodrome infrastructure.

Navigational radio aids.

Weather conditions.

Aircraft performance.

In-flight procedures.

Documentation

Training:

Pilots and cabin crew

Flight dispatchers

Safety ground crew

In-flight procedures.

Documentation

Training:

Pilots and cabin crew

Flight dispatchers

Safety ground crew

Page 54: Module N° 8 – SMS planning Safety Management Systems (SMS) Course.

Module NModule N° 8° 8 ICAO Safety Management Systems (SMS) Course 54

Cuzco International Airport operation

Your task:Your task: List the generic risk(s) and current risk(s) index

(Probability/severity). Describe the risk(s). Define current measures to reduce risk(s). Define further actions to reduce the risk and resulting

risk(s) index (Probability/severity). Establish individual responsibility to implement the

risk mitigation. Complete the log below (Table 08/01).

Your task:Your task: List the generic risk(s) and current risk(s) index

(Probability/severity). Describe the risk(s). Define current measures to reduce risk(s). Define further actions to reduce the risk and resulting

risk(s) index (Probability/severity). Establish individual responsibility to implement the

risk mitigation. Complete the log below (Table 08/01).

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Table 08/01 – Risk control/mitigation log

Riskreference

Generic risk and current risk index Risk description Current measures

to reduce risk Further actions to reduce

risk and resulting risk index Responsibility

Probability: ____Severity:_______Risk index:_____

Probability: ____Severity:_______Risk index:_____

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Module NModule N° 8 – SMS ° 8 – SMS planningplanning

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


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