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					                 Module N° 9 – SMS
                    operation



Revision N° 13    ICAO Safety Management Systems (SMS) Course   06/05/09
Course structure

Safety                                 Module 10
                                   Phased approach to
                                      SSP and SMS
Management                           Implementation

System   Module 8                                       Module 9
                         SMS planning                 SMS operation


              Module 5                  Module 6                       Module 7
               Risks                  SMS regulation              Introduction to SMS


    Module 1                Module 2                  Module 3
                                                     Introduction               Module 4
   SMS course              Basic safety                to safety                Hazards
   introduction             concepts                 management

Module N° 9               ICAO Safety Management Systems (SMS) Course                   2
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   3
Outline
 Safety risk management
 Safety assurance
 Safety promotion
 Questions and answers
 Points to remember




Module N° 9    ICAO Safety Management Systems (SMS) Course   4
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   5
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   6
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   7
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   8
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   9
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   10
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   11
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   12
Safety risk management
2.2 – Risk assessment and
      mitigation (Module 5)
The organization shall develop
   and maintain a formal process
                                                            Intolerable region
   that ensures:
     analysis (probability and
                                                   A
      severity of occurrence)                      L
    assessment (tolerability)                     A
                                                   R
                                                                Tolerable region

    control (mitigation) of the                   P

      safety risks assessed to the                                 Acceptable
                                                                     region
      consequences of hazards in
      operations to ALARP
Module N° 9       ICAO Safety Management Systems (SMS) Course                      13
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   14
Safety assurance
3.1 – Safety performance                             1.    Training course for drivers / installation of specific

      monitoring and
                                                           signage.
                                  Safety
                                  requirements       2.    Thrice-daily walk-in ramp inspection programme.

      measurement                                    3.    …




The organization shall           Safety
                                                     1.    Maintain no more than 20 events of unauthorized
                                                           vehicles on the taxiways per 10,000 operations.


 develop and maintain             performance
                                  targets
                                                     2.    By January 2009 reduce to 8 FOD events on the apron
                                                           per 10,000 operations.


 the means to verify the
                                                     3.    …



 safety performance of            Safety
                                                     1.    20 events of unauthorized vehicles on the taxiways per
                                                           10,000 operations.

 the organization, and to         performance
                                  indicators
                                                     2.    15 FOD events on the apron per 10,000 operations.
                                                     3.    ...
 validate the
 effectiveness of safety          Service provider
                                                     Will comply all applicable national and international
                                                     standards.
 risks controls
Module N° 9      ICAO Safety Management Systems (SMS) Course                                                    15
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   16
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   17
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   18
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   19
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   20
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   21
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   22
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   23
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   24
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   25
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   26
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   27
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   28
Safety Risk Management (SRM) and Safety Assurance
(SA) – Summary
                    Design                           Operation
                     SRM                                  SA
                    System
                 description/gap                   System operation       Description
                    analysis                                              and context

                                                  Safety performance
              Hazard identification                 monitoring and          Specific
                                                    measurement           information


                   Safety risks                       Continuous
                   assessment                        improvement           Analysis



                      Safety                            Mgt. of
                       risks                            change            Assessment



              Safety risks mitigation               Corrective action       Problem
                                                                           resolution



Module N° 9                 ICAO Safety Management Systems (SMS) Course                 29
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   30
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


Module N° 9        ICAO Safety Management Systems (SMS) Course   31
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   32
Safety promotion
4.1 – Training and education

              Who?                    Why?                         How much?
 Operational                To ensure that                   Appropriate to the
  personnel                   personnel are                     individual’s
 Managers and                trained and                       involvement in the
  supervisors                 competent to                      SMS
 Senior managers             perform the SMS
 Accountable                 duties
  executive


Module N° 9          ICAO Safety Management Systems (SMS) Course               33
Safety promotion
4.1 – Training and education – A building block approach
      Operational              Managers and
                                                                  Senior managers
       personnel                supervisors

 1) Organization            3) The safety                         6) Organizational
    safety policy              process                               safety standards
 2) SMS                     4) Hazard                                and national
    fundamentals               identification and                    regulations
    and overview               risk management                    7) Safety assurance
                            5) The
                               management of
                               change

Module N° 9         ICAO Safety Management Systems (SMS) Course                  34
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   35
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   36
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   37
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   38
   SMS operation
   Questions and answers



Module N° 9        ICAO Safety Management Systems (SMS) Course   39
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   40
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   41
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   42
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   43
                 Module N° 9 – SMS
                    operation


Revision N° 13    ICAO Safety Management Systems (SMS) Course   06/05/09

				
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