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

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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

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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

Module N° 9 ICAO Safety Management Systems (SMS) Course 35

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

Module N° 9 ICAO Safety Management Systems (SMS) Course 40

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

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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