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Module N 9 SMS operation

Revision N 13

ICAO Safety Management Systems (SMS) Course

06/05/09

Course structure

Safety Management System Module 8


Module 5 Risks Module 1 SMS course introduction
Module N 9

Module 10 Phased approach to SSP and SMS Implementation Module 9 SMS operation

SMS planning

Module 6 SMS regulation Module 2 Basic safety concepts

Module 7 Introduction to SMS

Module 3 Introduction to safety management

Module 4 Hazards
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ICAO Safety Management Systems (SMS) Course

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

Outline
Safety risk management

Safety assurance
Safety promotion Questions and answers Points to remember

Module N 9

ICAO Safety Management Systems (SMS) Course

ICAO SMS framework Safety policy and objectives

1.1 Management commitment and responsibility 1.2 Safety accountabilities 1.3 Appointment of key safety personnel 1.4 Coordination of emergency response planning 1.5 SMS documentation Safety risk management 2.1 Hazard identification 2.2 Risk assessment and mitigation Safety assurance 3.1 Safety performance monitoring and measurement 3.2 The management of change 3.3 Continuous improvement of the SMS Safety promotion 4.1 Training and education 4.2 Safety communication
Module N 9 ICAO Safety Management Systems (SMS) Course

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

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety risk management


2.1 Hazard identification

Safety reporting systems A special mention


Nobody knows better actual system performance than operational personnel Mandatory reporting system Voluntary reporting systems

Confidential reporting systems


The requirements of safety reporting systems may vary among States
Module N 9 ICAO Safety Management Systems (SMS) Course

Safety risk management


2.1 Hazard identification

Reporting systems
People are reluctant to report Why? Retaliation Self-incrimination

Embarrassment

Module N 9

ICAO Safety Management Systems (SMS) Course

Protecting sources of safety information


Assembly Resolution A35/17 Legal guidance in Annex 13, Attachment E Safety information must not be used for purposes other than the purposes for which it was collected Introduction and definitions General principles Principles of protection Principles of exceptions Responsibilities of the custodian of safety information Protection of recorded information
Module N 9 ICAO Safety Management Systems (SMS) Course

Safety risk management


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

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety risk management


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

Module N 9

ICAO Safety Management Systems (SMS) Course

ICAO SMS framework Safety policy and objectives

1.1 Management commitment and responsibility 1.2 Safety accountabilities 1.3 Appointment of key safety personnel 1.4 Coordination of emergency response planning 1.5 SMS documentation Safety risk management 2.1 Hazard identification 2.2 Risk assessment and mitigation Safety assurance 3.1 Safety performance monitoring and measurement 3.2 The management of change 3.3 Continuous improvement of the SMS Safety promotion 4.1 Training and education 4.2 Safety communication
Module N 9 ICAO Safety Management Systems (SMS) Course

Safety risk management


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
Module N 9

Intolerable region

A L A R P

Tolerable region

Acceptable region

ICAO Safety Management Systems (SMS) Course

ICAO SMS framework Safety policy and objectives

1.1 Management commitment and responsibility 1.2 Safety accountabilities 1.3 Appointment of key safety personnel 1.4 Coordination of emergency response planning 1.5 SMS documentation Safety risk management 2.1 Hazard identification 2.2 Risk assessment and mitigation Safety assurance 3.1 Safety performance monitoring and measurement 3.2 The management of change 3.3 Continuous improvement of the SMS Safety promotion 4.1 Training and education 4.2 Safety communication
Module N 9 ICAO Safety Management Systems (SMS) Course

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
Module N 9
1.
Safety requirements

Training course for drivers / installation of specific signage. Thrice-daily walk-in ramp inspection programme.

2. 3.

1.
Safety performance targets

Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations. By January 2009 reduce to 8 FOD events on the apron per 10,000 operations.

2. 3.

1.
Safety performance indicators

20 events of unauthorized vehicles on the taxiways per 10,000 operations. 15 FOD events on the apron per 10,000 operations. ...

2. 3.

Service provider

Will comply all applicable national and international standards.

ICAO Safety Management Systems (SMS) Course

Safety assurance
3.1 Safety performance monitoring and measurement The safety performance of the organization is verified throughout the following tools: Safety reporting systems Safety studies Safety reviews Safety audits Safety surveys Internal safety investigations
Module N 9 ICAO Safety Management Systems (SMS) Course

Safety assurance
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 staff Compliance with approved procedures and instructions Level of competency and training to:

operate equipment and facilities


maintain their levels of performance

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety assurance
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

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety assurance
3.1 Safety performance monitoring and measurement Safety surveys may involve the use of: Checklists Questionnaires Informal confidential interviews Since surveys information is subjective, verification may be needed before corrective action Surveys may provide an inexpensive source of significant safety information

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety assurance
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)

Module N 9

ICAO Safety Management Systems (SMS) Course

ICAO SMS framework Safety policy and objectives

1.1 Management commitment and responsibility 1.2 Safety accountabilities 1.3 Appointment of key safety personnel 1.4 Coordination of emergency response planning 1.5 SMS documentation Safety risk management 2.1 Hazard identification 2.2 Risk assessment and mitigation Safety assurance 3.1 Safety performance monitoring and measurement 3.2 The management of change 3.3 Continuous improvement of the SMS Safety promotion 4.1 Training and education 4.2 Safety communication
Module N 9 ICAO Safety Management Systems (SMS) Course

Safety assurance
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
Module N 9 ICAO Safety Management Systems (SMS) Course

Safety assurance
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

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety assurance
3.2 The management of change External changes Change of regulatory requirements Security Reorganization of air traffic control Internal changes Management changes New equipment New procedures
Module N 9 ICAO Safety Management Systems (SMS) Course

ICAO SMS framework Safety policy and objectives

1.1 Management commitment and responsibility 1.2 Safety accountabilities 1.3 Appointment of key safety personnel 1.4 Coordination of emergency response planning 1.5 SMS documentation Safety risk management 2.1 Hazard identification 2.2 Risk assessment and mitigation Safety assurance 3.1 Safety performance monitoring and measurement 3.2 The management of change 3.3 Continuous improvement of the SMS Safety promotion 4.1 Training and education 4.2 Safety communication
Module N 9 ICAO Safety Management Systems (SMS) Course

Safety assurance
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 SMS determine the implications of sub-standard performance of the SMS in operations eliminate or mitigate such causes

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety assurance
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

Module N 9

ICAO Safety Management Systems (SMS) Course

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

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety Risk Management (SRM) and Safety Assurance (SA) Summary


Design
SRM
System description/gap analysis

Operation
SA
System operation Description and context Specific information

Hazard identification

Safety performance monitoring and measurement Continuous improvement

Safety risks assessment

Analysis

Safety risks

Mgt. of change

Assessment

Safety risks mitigation

Corrective action

Problem resolution

Module N 9

ICAO Safety Management Systems (SMS) Course

ICAO SMS framework Safety policy and objectives

1.1 Management commitment and responsibility 1.2 Safety accountabilities 1.3 Appointment of key safety personnel 1.4 Coordination of emergency response planning 1.5 SMS documentation Safety risk management 2.1 Hazard identification 2.2 Risk assessment and mitigation Safety assurance 3.1 Safety performance monitoring and measurement 3.2 The management of change 3.3 Continuous improvement of the SMS Safety promotion 4.1 Training and education 4.2 Safety communication
Module N 9 ICAO Safety Management Systems (SMS) Course

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 individuals involvement in the SMS

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety promotion
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

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety promotion
4.1 Training and education Who?
Operational personnel Managers and supervisors Senior managers Accountable executive

Why?
To ensure that personnel are trained and competent to perform the SMS duties

How much?
Appropriate to the individuals involvement in the SMS

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety promotion
4.1 Training and education A building block approach
Operational personnel Managers and supervisors Senior managers

1) Organization safety policy 2) SMS fundamentals and overview

3) The safety process 4) Hazard identification and risk management 5) The management of change
ICAO Safety Management Systems (SMS) Course

6) Organizational safety standards and national regulations 7) Safety assurance

Module N 9

Safety promotion
4.1 Training and education

Accountable executive A special mention


A briefing on: Safety policy and objectives SMS roles and responsibilities Safety risk management

Safety assurance
Somewhere between two hours and half a day
Module N 9 ICAO Safety Management Systems (SMS) Course

ICAO SMS framework Safety policy and objectives

1.1 Management commitment and responsibility 1.2 Safety accountabilities 1.3 Appointment of key safety personnel 1.4 Coordination of emergency response planning 1.5 SMS documentation Safety risk management 2.1 Hazard identification 2.2 Risk assessment and mitigation Safety assurance 3.1 Safety performance monitoring and measurement 3.2 The management of change 3.3 Continuous improvement of the SMS Safety promotion 4.1 Training and education 4.2 Safety communication
Module N 9 ICAO Safety Management Systems (SMS) Course

Safety promotion
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 SMS conveys safety critical information explains why particular safety actions are taken

explains why safety procedures are introduced or changed

Module N 9

ICAO Safety Management Systems (SMS) Course

Safety promotion
4.2 Safety communication The means to communicate may include: Safety policies and procedures News letters Bulletins Website Safety communication is an essential foundation for the development and maintenance of an SMS

Module N 9

ICAO Safety Management Systems (SMS) Course

SMS operation

Questions and answers

Module N 9

ICAO Safety Management Systems (SMS) Course

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

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 systems Safety studies Safety reviews Safety audits Safety surveys Internal safety investigations
Slide number: 16
Module N 9 ICAO Safety Management Systems (SMS) Course

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
Module N 9 ICAO Safety Management Systems (SMS) Course

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

Module N 9

ICAO Safety Management Systems (SMS) Course

Module N 9 SMS operation

Revision N 13

ICAO Safety Management Systems (SMS) Course

06/05/09

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