2. Module N° 4 – Hazards Safety Management Systems (SMS) Course

3. Module N° 4 ICAO Safety Management Systems (SMS) Course 2 Building an SMS Module 1 SMS course introduction 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 implementation Module 2 Basic safety conceptsSafetyManagementSystem Module 3 Introduction to safety management Module 4 Hazards Module 5 Risks

4. Module N° 4 ICAO Safety Management Systems (SMS) Course 3 Objective à At the end of this module, participants will be able to apply the fundamentals of hazard identification and management through a case study.

5. Module N° 4 ICAO Safety Management Systems (SMS) Course 4 Outline àTwo definitions àFirst fundamental – Understanding hazards àSecond fundamental – Hazard identification àThird fundamental – Hazard management àFourth fundamental – Documentation of hazards àQuestions and answers àPoints to remember àExercise 04/01 – International airport construction project (See Handout N° 3) àTwo definitions àFirst fundamental – Understanding hazards àSecond fundamental – Hazard identification àThird fundamental – Hazard management àFourth fundamental – Documentation of hazards àQuestions and answers àPoints to remember àExercise 04/01 – International airport construction project (See Handout N° 3)

6. Module N° 4 ICAO Safety Management Systems (SMS) Course 5 Two definitions à Hazard – Condition, object or activity with the potential of causing injuries to personnel, damage to equipment or structures, loss of material, or reduction of ability to perform a prescribed function. à Risk – The chance of a loss or injury, measured in terms of severity and probability. The chance that something is going to happen, and the consequences if it does. ä A wind of 15 knots blowing directly across the runway is a hazard. The possibility that a pilot may not be able to control the aircraft during take off or landing, resulting in an accident, is one risk. à Hazard – Condition, object or activity with the potential of causing injuries to personnel, damage to equipment or structures, loss of material, or reduction of ability to perform a prescribed function. à Risk – The chance of a loss or injury, measured in terms of severity and probability. The chance that something is going to happen, and the consequences if it does. ä A wind of 15 knots blowing directly across the runway is a hazard. The possibility that a pilot may not be able to control the aircraft during take off or landing, resulting in an accident, is one risk.

7. Module N° 4 ICAO Safety Management Systems (SMS) Course 6 First fundamental – Understanding hazards àNatural tendency to describe the hazards as an outcome ä“Runway incursion” vs. “ Unclear aerodrome signage” àStating hazards as outcomes disguise their nature and interfere with identifying other important outcomes. àWell-named hazards allowed to infer the sources or mechanisms and loss outcome(s). àNatural tendency to describe the hazards as an outcome ä“Runway incursion” vs. “ Unclear aerodrome signage” àStating hazards as outcomes disguise their nature and interfere with identifying other important outcomes. àWell-named hazards allowed to infer the sources or mechanisms and loss outcome(s).

8. Module N° 4 ICAO Safety Management Systems (SMS) Course 7 Examples of hazards Similarcallsigns Similar call signs Flightdiversions Flight diversions Missedapproaches Missed approaches System malfunctions Unfamiliar phraseology ATC procedures Terrain Automationevents Automation eventsWeather Heavytraffic Heavy traffic Unfamiliarairports Unfamiliar airports

9. Module N° 4 ICAO Safety Management Systems (SMS) Course 8 Examples of hazards Similarcallsigns Similar call signs Reduced separation minima minima Airspace restrictions Runway crossings System malfunctions Missedapproaches Missed approaches Communication failure Runway inspections LAHSO Noise restrictions Weather SIRO Heavytraffic Heavy traffic Airspace reclassification

10. Module N° 4 ICAO Safety Management Systems (SMS) Course 9 Examples of hazards Security issues Non standard procedures Noise restrictions Runway crossings WildlifeConstructions Vehicles in apron Runway inspections FO(D)Weather Obstacles Heavytraffic Heavy traffic Built-up areas

11. Module N° 4 ICAO Safety Management Systems (SMS) Course 10 Second fundamental – Hazard identification àThe scope for hazards in aviation is wide, and may be related to: ä Design factors, ä Design factors, including equipment and task design. ä Procedures and operating practices, ä Procedures and operating practices, including documentation and checklists. ä Communications, ä Communications, including means, terminology and language. àThe scope for hazards in aviation is wide, and may be related to: ä Design factors, ä Design factors, including equipment and task design. ä Procedures and operating practices, ä Procedures and operating practices, including documentation and checklists. ä Communications, ä Communications, including means, terminology and language.

12. Module N° 4 ICAO Safety Management Systems (SMS) Course 11 Second fundamental – Hazard identification à … for example: ä Organizational factors, ä Organizational factors, such as company policies for recruitment, training, remuneration and allocation of resources. ä Work environment factors, ä Work environment factors, such as ambient noise and vibration, temperature, lighting and protective equipment and clothing. à … for example: ä Organizational factors, ä Organizational factors, such as company policies for recruitment, training, remuneration and allocation of resources. ä Work environment factors, ä Work environment factors, such as ambient noise and vibration, temperature, lighting and protective equipment and clothing.

13. Module N° 4 ICAO Safety Management Systems (SMS) Course 12 Second fundamental – Hazard identification à …for example: ä Regulatory factors, ä Regulatory factors, including the applicability and enforceability of regulations; certification of equipment, personnel and procedures; and the adequacy of resilient. ä Defences ä Defences including detection and warning systems, and the extent to which the equipment is resilient against errors and failures. ä Human performance, including medical conditions and physical limitations. à …for example: ä Regulatory factors, ä Regulatory factors, including the applicability and enforceability of regulations; certification of equipment, personnel and procedures; and the adequacy of resilient. ä Defences ä Defences including detection and warning systems, and the extent to which the equipment is resilient against errors and failures. ä Human performance, including medical conditions and physical limitations.

14. Module N° 4 ICAO Safety Management Systems (SMS) Course 13 Sources of hazard identification àPredictive àProactive àReactive äInternal æCompany voluntary reporting system æAudits and surveys äExternal æAccident reports æState mandatory occurrence system àPredictive àProactive àReactive äInternal æCompany voluntary reporting system æAudits and surveys äExternal æAccident reports æState mandatory occurrence system

15. Module N° 4 ICAO Safety Management Systems (SMS) Course 14 Hazard identification à By whom? äBy anybody äBy designated personnel à How? äThrough formal processes äDepends on the organization à When? äAnytime äUnder specific conditions à By whom? äBy anybody äBy designated personnel à How? äThrough formal processes äDepends on the organization à When? äAnytime äUnder specific conditions

16. Module N° 4 ICAO Safety Management Systems (SMS) Course 15 Hazard identification à Specific conditions äUnexplained increase in safety-related events or infractions. äMajor operational changes are planned. äPeriods of significant organizational change. à Specific conditions äUnexplained increase in safety-related events or infractions. äMajor operational changes are planned. äPeriods of significant organizational change.

17. Module N° 4 ICAO Safety Management Systems (SMS) Course 16 Third fundamental – Hazard management àEfficient and safe operations or provision of service require a constant balance between production goals (maintaining regular aerodrome operations during a runway construction project) and safety goals (maintaining existing margins of safety in aerodrome operations during runway construction project). àAviation workplaces contain hazardous conditions which may not be cost-effective to eliminate even when operations must continue. àEfficient and safe operations or provision of service require a constant balance between production goals (maintaining regular aerodrome operations during a runway construction project) and safety goals (maintaining existing margins of safety in aerodrome operations during runway construction project). àAviation workplaces contain hazardous conditions which may not be cost-effective to eliminate even when operations must continue.

18. Module N° 4 ICAO Safety Management Systems (SMS) Course 17 Third fundamental – Hazard management à ABC of hazard management A – State the generic hazard (hazard statement) æ Airport construction B – Identify specific components of the hazard æ Construction equipment æ Closed taxiways æ … C – Naturally leading to specific risk(s) æ Aircraft colliding with construction equipment æ Aircraft taking wrong taxiway æ … à ABC of hazard management A – State the generic hazard (hazard statement) æ Airport construction B – Identify specific components of the hazard æ Construction equipment æ Closed taxiways æ … C – Naturally leading to specific risk(s) æ Aircraft colliding with construction equipment æ Aircraft taking wrong taxiway æ …

19. Module N° 4 ICAO Safety Management Systems (SMS) Course 18 Third fundamental – Hazard management àAt the intersection of protection and production ALARP as low as reasonably practicable äThe acronym ALARP is used to describe a safety risk which has been reduced to a level that is as low as reasonably practicable. reasonably practicable äIn determining what is reasonably practicable consideration is given to both the technical feasibility and the cost of further reducing the safety risk. äThis includes a cost/benefit study. àAt the intersection of protection and production ALARP as low as reasonably practicable äThe acronym ALARP is used to describe a safety risk which has been reduced to a level that is as low as reasonably practicable. reasonably practicable äIn determining what is reasonably practicable consideration is given to both the technical feasibility and the cost of further reducing the safety risk. äThis includes a cost/benefit study.

20. Module N° 4 ICAO Safety Management Systems (SMS) Course 19 Third fundamental – Hazard management à Direct costs äThe obvious costs, which are easily determined. The high costs of exposure of hazards can be reduced by insurance coverage. æPurchasing insurance only transfers monetary risk à Indirect costs äThe uninsured costs. An understanding of these uninsured costs (or indirect costs) is fundamental to understanding the economics of safety. à Direct costs äThe obvious costs, which are easily determined. The high costs of exposure of hazards can be reduced by insurance coverage. æPurchasing insurance only transfers monetary risk à Indirect costs äThe uninsured costs. An understanding of these uninsured costs (or indirect costs) is fundamental to understanding the economics of safety.

21. Module N° 4 ICAO Safety Management Systems (SMS) Course 20 Third fundamental – Hazard management àUsually they amount more than the direct costs resulting from exposure to hazards: äLoss of business äDamage to the reputation äLoss of use of equipment äLoss of staff productivity äLegal actions and claims äFines and citations äInsurance deductibles àUsually they amount more than the direct costs resulting from exposure to hazards: äLoss of business äDamage to the reputation äLoss of use of equipment äLoss of staff productivity äLegal actions and claims äFines and citations äInsurance deductibles

22. Module N° 4 ICAO Safety Management Systems (SMS) Course 21 Fourth fundamental – Documentation of hazards àThe fundamental importance of appropriate documentation management: äA formal procedure to translate operational safety data into hazard-related information. ä The “safety library” of an organization. àThe fundamental importance of appropriate documentation management: äA formal procedure to translate operational safety data into hazard-related information. ä The “safety library” of an organization.

23. Module N° 4 ICAO Safety Management Systems (SMS) Course 22 Fourth fundamental – Documentation of hazards àThe need for standardization: facilitating tracking and analysis of hazards by common: äDefinitions äUnderstanding äValidation äReporting äMeasurement äManagement àThe need for standardization: facilitating tracking and analysis of hazards by common: äDefinitions äUnderstanding äValidation äReporting äMeasurement äManagement

24. Module N° 4 ICAO Safety Management Systems (SMS) Course 23 The focus of hazard identification àHazard identification is a wasted effort if restricted to the aftermath of rare occurrences where there is serious injury, or significant damage. 1 – 5 Accidents 30 – 100 Serious incidents 100 – 1000 Incidents 1000 – 4000 Latent conditions

25. Module N° 4 ICAO Safety Management Systems (SMS) Course 24 In summary à Hazard à Hazard : an existing condition à Risk à Risk : an event that can happen à Hazard à Hazard : an existing condition à Risk à Risk : an event that can happen

26. Module N° 4 ICAO Safety Management Systems (SMS) Course 25 Assess and prioritize risks Develop control and mitigation strategies Inform person(s) responsible for implementing strategies Reactive method ASR MOR Incident reports Accident reports Proactive method ASR Surveys Audits Predictive method FOQA LOSA NOSS ASAP Assign responsibilities Implement strategies Re-evaluate strategies and processes HAZARDS HAZARDS SAFETYLIBRARYSAFETYLIBRARY Feedback Safety management information Trend analysis Safety bulletins Report distribution Seminars and workshops METHOD IDENTIFICATION MANAGEMENTINFORMATION DOCUMENTATION

28. Module N° 4 ICAO Safety Management Systems (SMS) Course 27 Q&A à Q: à Q: Define the concepts of hazard and risk. à A: ? à Q: à Q: Define the concepts of hazard and risk. à A: ? Slide number:

29. Module N° 4 ICAO Safety Management Systems (SMS) Course 28 Q&A à Q: à Q: Provide three examples of scope of hazards. à A: ? à Q: à Q: Provide three examples of scope of hazards. à A: ? Slide number:

30. Module N° 4 ICAO Safety Management Systems (SMS) Course 29 Q&A à Q: à Q: Name three specific circumstances when hazard identification is essential. à A: ? à Q: à Q: Name three specific circumstances when hazard identification is essential. à A: ? Slide number:

31. Module N° 4 ICAO Safety Management Systems (SMS) Course 30 Q&A à Q: à Q: Explain indirect costs. à A: ? à Q: à Q: Explain indirect costs. à A: ? Slide number:

32. Module N° 4 ICAO Safety Management Systems (SMS) Course 31 Q&A à Q: à Q: Summarize the differences between hazard and risk? à A: ? à Q: à Q: Summarize the differences between hazard and risk? à A: ? Slide number:

33. Module N° 4 ICAO Safety Management Systems (SMS) Course 32 Points to remember 1.Hazard, risk and consequence. 2.ABC of hazard management. 3.The ALARP notion. 4.Hazard management: direct and indirect costs 5.Hazard documentation: the “safety library” of an organization. Reference: Doc 9859, Chapter 6 1.Hazard, risk and consequence. 2.ABC of hazard management. 3.The ALARP notion. 4.Hazard management: direct and indirect costs 5.Hazard documentation: the “safety library” of an organization. Reference: Doc 9859, Chapter 6

35. Module N° 4 ICAO Safety Management Systems (SMS) Course 34 Exercise 04/01 – International airport construction project : à Group activity: äA facilitator will be appointed, who will coordinate the discussion. äA summary of the discussion will be written on flip charts, and a member of the group will brief on their findings in a plenary session. à Scenario: äConstruction project to extend and repave one of the two crossing runways at an international airport (100,000 movements a year). : à Group activity: äA facilitator will be appointed, who will coordinate the discussion. äA summary of the discussion will be written on flip charts, and a member of the group will brief on their findings in a plenary session. à Scenario: äConstruction project to extend and repave one of the two crossing runways at an international airport (100,000 movements a year).

36. Module N° 4 ICAO Safety Management Systems (SMS) Course 35 Aerodrome layout

37. Module N° 4 ICAO Safety Management Systems (SMS) Course 36 Three-phase construction project

38. Module N° 4 ICAO Safety Management Systems (SMS) Course 37 Scope of the work  PHASE 1: äExtend the length of RWY 09-27 by 900 meters westward and width from 30 to 45 meters from intersection with RWY 18-36, and strengthen the runway extension (from asphalt to concrete) to increase its Pavement Classification Number (PCN). äExtend the length of TWY Delta by 900 meters westward. äEstimated time to complete the work: seven (7) months.  PHASE 1: äExtend the length of RWY 09-27 by 900 meters westward and width from 30 to 45 meters from intersection with RWY 18-36, and strengthen the runway extension (from asphalt to concrete) to increase its Pavement Classification Number (PCN). äExtend the length of TWY Delta by 900 meters westward. äEstimated time to complete the work: seven (7) months.

39. Module N° 4 ICAO Safety Management Systems (SMS) Course 38 Scope of the work  PHASE 2: æConstruct and enlarge new threshold entrance and holding zone at TWY Charlie. æExtend the width of RWY 09-27 from 30 to 45 meters and strengthen (from asphalt to concrete) this part of the runway up to a point 200 m before intersection TWY A-B to increase its PCN. æEstimated time to complete the work: five (5) months.  PHASE 2: æConstruct and enlarge new threshold entrance and holding zone at TWY Charlie. æExtend the width of RWY 09-27 from 30 to 45 meters and strengthen (from asphalt to concrete) this part of the runway up to a point 200 m before intersection TWY A-B to increase its PCN. æEstimated time to complete the work: five (5) months.

40. Module N° 4 ICAO Safety Management Systems (SMS) Course 39 Scope of the work  PHASE 3: æComplete the construction work of RWY 09-27 for the central area of the last 350 m at the intersection of RWY 09-27 and RWY 18-36 (from asphalt to concrete), increase its width from 30 to 45 meters and its PCN. æEstimated time to complete the work: two (2) months.  PHASE 3: æComplete the construction work of RWY 09-27 for the central area of the last 350 m at the intersection of RWY 09-27 and RWY 18-36 (from asphalt to concrete), increase its width from 30 to 45 meters and its PCN. æEstimated time to complete the work: two (2) months.

41. Module N° 4 ICAO Safety Management Systems (SMS) Course 40 Scope of the work à Runway 18-36 utilization during the construction work RWY äContinuous utilization of RWY 18-36 during the three- phase construction project. äRWY RWY RWY äRWY 18-36 length is 3.850 m and the distance available from threshold RWY 18 to intersection RWY 09-27 is 2.600 m. äInformation must be provided to airport users. à Runway 18-36 utilization during the construction work RWY äContinuous utilization of RWY 18-36 during the three- phase construction project. äRWY RWY RWY äRWY 18-36 length is 3.850 m and the distance available from threshold RWY 18 to intersection RWY 09-27 is 2.600 m. äInformation must be provided to airport users.

42. Module N° 4 ICAO Safety Management Systems (SMS) Course 41 Identify and control hazards à Your task äIdentify the hazards using brainstorming techniques and propose control strategies. æBrainstorm a list of possible hazards (use a flip chart). æMake sure they are hazards, not risks. à Your task äIdentify the hazards using brainstorming techniques and propose control strategies. æBrainstorm a list of possible hazards (use a flip chart). æMake sure they are hazards, not risks.

43. Module N° 4 ICAO Safety Management Systems (SMS) Course 42 Identify and control hazards à … your task äComplete the log below as follows: æList type of operation or activity æIdentify hazards æList analyzed hazards æList hazard control strategies äIt is recommended to conduct the analysis per phase of construction. äA member of the group will brief on their findings in a plenary session. à … your task äComplete the log below as follows: æList type of operation or activity æIdentify hazards æList analyzed hazards æList hazard control strategies äIt is recommended to conduct the analysis per phase of construction. äA member of the group will brief on their findings in a plenary session.

44. Module N° 4 ICAO Safety Management Systems (SMS) Course 43 Table 04/01 – Hazard identification and control NºNºIdentified hazard Hazard analysis (Cause and effect) Hazard control strategies Type of operation or activity 1 2 3 4 5

45. Module N° 4 – Hazards Safety Management Systems (SMS) Course