1. Module N° 7 – Introduction to SMS Safety Management Systems (SMS) Course

2. Module N° 7 ICAO Safety Management Systems (SMS) Course 2 Building an SMS Module6 SMS regulation Module7 Introduction to SMS Module8 SMS planning Module9 SMS operation Module10 Phased approach to SMS implementation Module 1 SMS course introduction Module 2 Basic safety concepts Module 3 Introduction to safety management Module 4 Hazards Module 5 Risks Module6 SMS regulation Module7 Introduction to SMS Module8 SMS planning Module9 SMS operation Module10 Phased approach to SMS implementationSafetyManagementSystem

3. Module N° 7 ICAO Safety Management Systems (SMS) Course 3 Objective à At the end of this module, participants will be able to describe the features of an SMS explain the importance of system description and gap analysis and the relationship between SMS and QMS. relationship between SMS and QMS. à At the end of this module, participants will be able to describe the features of an SMS explain the importance of system description and gap analysis and the relationship between SMS and QMS. relationship between SMS and QMS.

4. Module N° 7 ICAO Safety Management Systems (SMS) Course 4 Outline àICAO requirements àSMS – Introductory concepts àSMS features àFirst fundamental – System description àSecond fundamental – Gap analysis àThird fundamental – SMS and QMS àClarifying terms àQuestions and answers àPoints to remember àICAO requirements àSMS – Introductory concepts àSMS features àFirst fundamental – System description àSecond fundamental – Gap analysis àThird fundamental – SMS and QMS àClarifying terms àQuestions and answers àPoints to remember

5. Module N° 7 ICAO Safety Management Systems (SMS) Course 5 ICAO requirements àCompliance with all relevant regulations and ICAO standards, other than those SMS-related, is a key component of an SMS. àMany of these regulations and standards, including the operational provisions, will form part of the SMS. àCompliance with all relevant regulations and ICAO standards, other than those SMS-related, is a key component of an SMS. àMany of these regulations and standards, including the operational provisions, will form part of the SMS.

6. Module N° 7 ICAO Safety Management Systems (SMS) Course 6 SMS – Introductory concepts àA toolkit äThescopeof SMS encompasses most of the activities of the organization. äThe scope of SMS encompasses most of the activities of the organization. äSMS must start fromsenior managementand safety must be considered atall levels of the organization äSMS must start from senior management, and safety must be considered at all levels of the organization. äSMS aims to make continuous improvement to the overall level of safety. äAll aviation stakeholders have a role to play in SMS. àA toolkit äThescopeof SMS encompasses most of the activities of the organization. äThe scope of SMS encompasses most of the activities of the organization. äSMS must start fromsenior managementand safety must be considered atall levels of the organization äSMS must start from senior management, and safety must be considered at all levels of the organization. äSMS aims to make continuous improvement to the overall level of safety. äAll aviation stakeholders have a role to play in SMS.

7. Module N° 7 ICAO Safety Management Systems (SMS) Course 7 Identifying aviation system stakeholders àAviation professionals àAircraft owners and operators àManufacturers àAviation regulatory authorities àIndustry trade associations àRegional air traffic service providers àProfessional associations and federations àInternational aviation organizations àInvestigative agencies àThe flying public àAviation professionals àAircraft owners and operators àManufacturers àAviation regulatory authorities àIndustry trade associations àRegional air traffic service providers àProfessional associations and federations àInternational aviation organizations àInvestigative agencies àThe flying public

8. Module N° 7 ICAO Safety Management Systems (SMS) Course 8 Identifying aviation system stakeholders àWhy is it important to identify aviation system stakeholders? äTo ensure that stake holders relevant to risk decision are taken into consideration and contribute with their knowledge before the decision is taken. àWhy is it important to identify aviation system stakeholders? äTo ensure that stake holders relevant to risk decision are taken into consideration and contribute with their knowledge before the decision is taken.

9. Module N° 7 ICAO Safety Management Systems (SMS) Course 9 SMS features à Systematic – Safety management activities are in accordance with a pre-determined plan, and applied in a consistent manner throughout the organization. à Proactive – An approach that emphasizes prevention, through hazards identification and risk control and mitigation measures, before events that affect safety occur. à Explicit – All safety management activities are documented, visible and performed independently from other management activities. à Systematic – Safety management activities are in accordance with a pre-determined plan, and applied in a consistent manner throughout the organization. à Proactive – An approach that emphasizes prevention, through hazards identification and risk control and mitigation measures, before events that affect safety occur. à Explicit – All safety management activities are documented, visible and performed independently from other management activities.

10. Module N° 7 ICAO Safety Management Systems (SMS) Course 10 First fundamental – System description à System description ä Most hazards are generated by operational interactions among different system components. It is therefore essential to describe the system in terms of its components as one of the first activities when planning an SMS. à System description ä Most hazards are generated by operational interactions among different system components. It is therefore essential to describe the system in terms of its components as one of the first activities when planning an SMS.

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12. Module N° 7 ICAO Safety Management Systems (SMS) Course 12 System description 1.The system interactions with other systems in the air transportation system. 2.The system functions. 3.Required Human Factors considerations of the system operation. 4.Hardware components of the system. 5.Software components of the system. 6.Related procedures that define guidance for the operation and use of the system. 7.Operational environment 8.Contracted and purchased products and services. 1.The system interactions with other systems in the air transportation system. 2.The system functions. 3.Required Human Factors considerations of the system operation. 4.Hardware components of the system. 5.Software components of the system. 6.Related procedures that define guidance for the operation and use of the system. 7.Operational environment 8.Contracted and purchased products and services.

13. Module N° 7 ICAO Safety Management Systems (SMS) Course 13 Second fundamental – Gap analysis àAn analysis of safety arrangements existing within the organization. àThe organizational structures necessary for an SMS may be found throughout an organization. àVarious activities of an SMS are probably already in place and are working. àSMS development should build upon existing organizational structures. àAn analysis of safety arrangements existing within the organization. àThe organizational structures necessary for an SMS may be found throughout an organization. àVarious activities of an SMS are probably already in place and are working. àSMS development should build upon existing organizational structures.

14. Module N° 7 ICAO Safety Management Systems (SMS) Course 14 Second fundamental – Gap analysis àConduct the gap analysis against the components and elements of the SMS (Presented in Module 8). àOnce completed and documented the gap analysis forms the basis of the SMS implementation plan. àConduct the gap analysis against the components and elements of the SMS (Presented in Module 8). àOnce completed and documented the gap analysis forms the basis of the SMS implementation plan.

15. Module N° 7 ICAO Safety Management Systems (SMS) Course 15 Third fundamental – SMS and QMS àSMS differs from quality systems in that: safety satisfaction äSMS focuses on the safety, human and organizational aspects of an operation (i.e., safety satisfaction ) customer satisfaction äQMS focus the product (s) of an operation (i.e., customer satisfaction ) àSMS differs from quality systems in that: safety satisfaction äSMS focuses on the safety, human and organizational aspects of an operation (i.e., safety satisfaction ) customer satisfaction äQMS focus the product (s) of an operation (i.e., customer satisfaction )

16. Module N° 7 ICAO Safety Management Systems (SMS) Course 16 SMS and QMS àSMS results in the design and implementation of organizational processes and procedures to identify hazards and control/mitigate risks in aviation operation. àQMS techniques provide a structured process for ensuring that these processes and procedures achieve their intended objectives and, where they fall short, to improve them. àSMS results in the design and implementation of organizational processes and procedures to identify hazards and control/mitigate risks in aviation operation. àQMS techniques provide a structured process for ensuring that these processes and procedures achieve their intended objectives and, where they fall short, to improve them.

17. Module N° 7 ICAO Safety Management Systems (SMS) Course 17 SMS and QMS – Striking a balance àSMS builds partly upon QMS principles. àSMS should include both safety and quality policies. àThe coverage of quality policies should be limited to quality in support of safety. àSafety objectives should receive primacy where conflicts are identified. àSMS builds partly upon QMS principles. àSMS should include both safety and quality policies. àThe coverage of quality policies should be limited to quality in support of safety. àSafety objectives should receive primacy where conflicts are identified.

18. Module N° 7 ICAO Safety Management Systems (SMS) Course 18 Systems integration àThere is a tendency in civil aviation to integrate the different systems of management: äQuality management system (QMS). äEnvironment management system (EMS). äOccupational health and safety management system (OHSMS). äSafety management system (SMS). äSecurity management system àThere is a tendency in civil aviation to integrate the different systems of management: äQuality management system (QMS). äEnvironment management system (EMS). äOccupational health and safety management system (OHSMS). äSafety management system (SMS). äSecurity management system

19. Module N° 7 ICAO Safety Management Systems (SMS) Course 19 Systems integration benefits àReduce duplication and therefore costs. àReduce risks and increase profitability. àBalance potentially conflicting objectives. àEliminate potentially conflicting responsibilities and relationships. àDiffuse the power system. àReduce duplication and therefore costs. àReduce risks and increase profitability. àBalance potentially conflicting objectives. àEliminate potentially conflicting responsibilities and relationships. àDiffuse the power system.

20. Module N° 7 ICAO Safety Management Systems (SMS) Course 20 Systems integration considerations àThere are different ways integrate a safety management system in the operation of the organization. àAviation organizations should be encouraged to integrate their management system for quality, safety, security, occupational health and safety, and environmental protection management. àThis integration, however, is presently beyond the scope of the harmonized ICAO safety management requirements and of this training course. àThere are different ways integrate a safety management system in the operation of the organization. àAviation organizations should be encouraged to integrate their management system for quality, safety, security, occupational health and safety, and environmental protection management. àThis integration, however, is presently beyond the scope of the harmonized ICAO safety management requirements and of this training course.

21. Module N° 7 ICAO Safety Management Systems (SMS) Course 21 Clarifying the use of terms à Safety oversight à Safety oversight – Is what the CAA performs with regard to the operators/service providers SMS. à Safety assurance à Safety assurance – Is what the operators/service providers do with regard to safety performance monitoring and measurement à Safety audit – Is what the CAA performs with regard to its safety programme and the operators/service providers perform with regard to the SMS. à Safety oversight à Safety oversight – Is what the CAA performs with regard to the operators/service providers SMS. à Safety assurance à Safety assurance – Is what the operators/service providers do with regard to safety performance monitoring and measurement à Safety audit – Is what the CAA performs with regard to its safety programme and the operators/service providers perform with regard to the SMS.

22. Module N° 7 ICAO Safety Management Systems (SMS) Course 22 SMS – Nothing new? à Rounding up the usual suspects. äIn aviation, safety is first. äSafety is everybody’s responsibility. äIf ain’t broke, why fix it? äIf you believe safety is expensive, try an accident. ä70% accidents are due to human error. à SMS sets forth to destroy all these misperceptions. à Rounding up the usual suspects. äIn aviation, safety is first. äSafety is everybody’s responsibility. äIf ain’t broke, why fix it? äIf you believe safety is expensive, try an accident. ä70% accidents are due to human error. à SMS sets forth to destroy all these misperceptions.

23. Module N° 7 ICAO Safety Management Systems (SMS) Course 23 In summary à S afety – The state in which the risk of harm to persons or property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and risk management. à M anagement – Allocation of resources. à S ystem – Organized set of processes and procedures. à S afety – The state in which the risk of harm to persons or property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and risk management. à M anagement – Allocation of resources. à S ystem – Organized set of processes and procedures.

25. Module N° 7 ICAO Safety Management Systems (SMS) Course 25 Q&A à Q: à Q: Why is it important to SMS development to involve stakeholders? à A: ? à Q: à Q: Why is it important to SMS development to involve stakeholders? à A: ? Slide number: 8

26. Module N° 7 ICAO Safety Management Systems (SMS) Course 26 Q&A à Q: à Q: One of the three main characteristic features of SMS is that it is systematic. Explain?(9) à A: ? à Q: à Q: One of the three main characteristic features of SMS is that it is systematic. Explain?(9) à A: ? Slide number:

27. Module N° 7 ICAO Safety Management Systems (SMS) Course 27 Q&A à Q: à Q: Explain the importance of gap analysis. (13) à A: ? à Q: à Q: Explain the importance of gap analysis. (13) à A: ? Slide number:

28. Module N° 7 ICAO Safety Management Systems (SMS) Course 28 Q&A à Q: à Q: Explain the difference between SMS and QMS.(15) à A: ? à Q: à Q: Explain the difference between SMS and QMS.(15) à A: ? Slide number:

29. Module N° 7 ICAO Safety Management Systems (SMS) Course 29 Points to remember 1.SMS main features 2.The importance of system description 3.The importance of gap analysis 4.The relationship between SMS and QMS Reference: Doc 9859, Chapter 12 1.SMS main features 2.The importance of system description 3.The importance of gap analysis 4.The relationship between SMS and QMS Reference: Doc 9859, Chapter 12

30. Module N° 7 – Introduction to SMS Safety Management Systems (SMS) Course