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Revision N° 13ICAO Safety Management Systems (SMS) Course06/05/09 Module N° 8 – SMS planning.

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Presentation on theme: "Revision N° 13ICAO Safety Management Systems (SMS) Course06/05/09 Module N° 8 – SMS planning."— Presentation transcript:

1 Revision N° 13ICAO Safety Management Systems (SMS) Course06/05/09 Module N° 8 – SMS planning

2 Module N° 8ICAO Safety Management Systems (SMS) Course 2 Course structure Module 1 SMS course introduction Module 1 SMS course introduction Module 2 Basic safety concepts Module 2 Basic safety concepts Module 3 Introduction to safety management Module 4 Hazards Module 4 Hazards Module 5 Risks Module 5 Risks Module 6 SMS regulation Module 6 SMS regulation Module 7 Introduction to SMS Module 7 Introduction to SMS Module 8 SMS planning Module 8 SMS planning Module 9 SMS operation Module 9 SMS operation Module 10 Phased approach to SSP and SMS Implementation Module 10 Phased approach to SSP and SMS Implementation Safety Management System Module 6 SMS regulation Module 6 SMS regulation Module 7 Introduction to SMS Module 7 Introduction to SMS Module 8 SMS planning Module 8 SMS planning Module 9 SMS operation Module 9 SMS operation Module 10 Phased approach to SSP and SMS Implementation Module 10 Phased approach to SSP and SMS Implementation

3 Module N° 8ICAO Safety Management Systems (SMS) Course 3 Objective When completing the module the participants will be able to describe the requirements associated to the planning of an SMS, and explain the structure of an SMS implementation plan and the contents of the safety management system manual (SMSM)

4 Module N° 8ICAO Safety Management Systems (SMS) Course 4 Outline The components of SMS The elements of SMS Safety policy and objectives Questions and answers Points to remember Exercise 08/01 – Cuzco International Airport operation (See Handout N° 5)

5 Module N° 8ICAO Safety Management Systems (SMS) Course 5 The components of SMS Safety policy and objectives Safety risk management Safety assurance Safety promotion

6 Module N° 8ICAO Safety Management Systems (SMS) Course 6 The elements of SMS 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

7 Module N° 8ICAO Safety Management Systems (SMS) Course 7 The elements of SMS 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

8 Module N° 8ICAO Safety Management Systems (SMS) Course 8 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

9 Module N° 8ICAO Safety Management Systems (SMS) Course 9 Safety policy and objectives 1.1 – Management commitment and responsibility The service provider shall define the safety policy of the organization which shall: 1)Be in accordance with international and national requirements ; 2)Be signed by the Accountable executive of the organization; 3)Reflect organizational commitments regarding safety; 4)Include a clear statement about the provision of the necessary resources for the implementation of the safety policy;...

10 Module N° 8ICAO Safety Management Systems (SMS) Course 10 Safety policy and objectives 1.1 – Management commitment and responsibility... safety policy of the organization shall (contd): 5)Be communicated, with visible endorsement, throughout the organization; 6)Include the safety reporting procedures ; 7)Clearly indicate which types of operational behaviours are unacceptable ; 8)Include the conditions under which exemptions from disciplinary action would be applicable;...

11 Module N° 8ICAO Safety Management Systems (SMS) Course 11 Safety policy and objectives 1.1 – Management commitment and responsibility... safety policy of the organization shall (contd): 9)Be periodically reviewed to ensure it remains relevant and appropriate to the organization; 10)Ensure the implementation of remedial action necessary to maintain agreed safety performance; 11)Provide for continuous monitoring and regular assessment of the safety performance; 12)Aim at a continuous improvement to the overall performance of the SMS

12 Module N° 8ICAO Safety Management Systems (SMS) Course 12 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

13 Module N° 8ICAO Safety Management Systems (SMS) Course 13 Safety policy and objectives 1.2 – Safety accountabilities The organization shall identify: the Accountable Executive who, irrespective of other functions, shall have ultimate responsibility and accountability, on behalf of the organization, for the implementation and maintenance of the SMS the accountabilities of all members of management, irrespective of other functions, as well as of employees, with respect to the safety performance of the SMS

14 Module N° 8ICAO Safety Management Systems (SMS) Course 14 Safety policy and objectives 1.2 – Safety accountabilities The Accountable Executive shall: Be a single and identifiable person CEO/Chairman Board of Directors A partner The proprietor...

15 Module N° 8ICAO Safety Management Systems (SMS) Course 15 Safety policy and objectives 1.2 – Safety accountabilities The Accountable Executive must have: full authority for human resources issues authority for major financial issues direct responsibility for the conduct of the organizations affairs final authority over operations under certificate final responsibility for all safety issues

16 Module N° 8ICAO Safety Management Systems (SMS) Course 16 Safety policy and objectives 1.2 – Safety accountabilities Safety responsibilities, accountabilities and authorities shall: be documented be communicated throughout the organization include a definition of the levels of management with authority to make decisions regarding safety risks tolerability

17 Module N° 8ICAO Safety Management Systems (SMS) Course 17 Safety policy and objectives 1.2 – Safety accountabilities The job description of each senior manager (departmental head or responsible for a functional unit) should include, to the appropriate extent, and in addition to the specific responsibilities for the department/functional unit operation the safety accountabilities the responsibilities regarding the operation of the SMS

18 Module N° 8ICAO Safety Management Systems (SMS) Course 18 Safety responsibilities – An example Heads of other areas Head of operations Head of maintenance Head of maintenance Safety Services Office Safety Services Office Safety Review Board (SRB) Safety Review Board (SRB) Safety Action Group(s) (SAG) Safety Action Group(s) (SAG) Accountable Executive Operations safety officer Operations safety officer Maintenance safety officer Maintenance safety officer

19 Module N° 8ICAO Safety Management Systems (SMS) Course 19 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

20 Module N° 8ICAO Safety Management Systems (SMS) Course 20 Safety policy and objectives 1.3 – Appointment of key safety personnel The organization shall identify a safety manager to be the responsible individual and focal point for the implementation and maintenance of an effective SMS

21 Module N° 8ICAO Safety Management Systems (SMS) Course 21 Safety responsibilities Heads of other areas Head of operations Head of maintenance Head of maintenance Safety Services Office Safety Services Office Safety Review Board (SRB) Safety Review Board (SRB) Safety Action Group(s) (SAG) Safety Action Group(s) (SAG) Accountable Executive Operations safety officer Operations safety officer Maintenance safety officer Maintenance safety officer

22 Module N° 8ICAO Safety Management Systems (SMS) Course 22 Safety policy and objectives 1.3 – Appointment of key safety personnel The Safety services office – Corporate functions Advising senior management on safety matters Assisting line managers Overseeing hazard identification systems

23 Module N° 8ICAO Safety Management Systems (SMS) Course 23 Safety policy and objectives 1.3 – Appointment of key safety personnel The safety manager – Functions Manages the SMS implementation plan on behalf of the accountable executive Facilitates hazard identification and risk analysis and management Monitors corrective actions to ensure their accomplishment Provides periodic reports on safety performance. Maintains safety documentation Plans and organizes staff safety training Provides independent advice on safety matters

24 Module N° 8ICAO Safety Management Systems (SMS) Course 24 Safety policy and objectives 1.3 – Appointment of key safety personnel The safety manager – Selection criteria Operational management experience and technical background to understand the systems that support operations People skills Analytical and problem-solving skills Project management skills Oral and written communications skills

25 Module N° 8ICAO Safety Management Systems (SMS) Course 25 Heads of other areas Head of operations Head of maintenance Head of maintenance Safety Services Office Safety Services Office Safety Review Board (SRB) Safety Review Board (SRB) Safety Action Group(s) (SAG) Safety Action Group(s) (SAG) Accountable Executive Operations safety officer Operations safety officer Maintenance safety officer Maintenance safety officer Safety responsibilities

26 Module N° 8ICAO Safety Management Systems (SMS) Course 26 Safety policy and objectives 1.3 – Appointment of key safety personnel The Safety Review Board (SRB): High level committee Strategic safety functions Chaired by the accountable executive It may include the Board of Directors Composed of heads of functional areas

27 Module N° 8ICAO Safety Management Systems (SMS) Course 27 Safety policy and objectives 1.3 – Appointment of key safety personnel SRB monitors: safety performance against the safety policy and objectives effectiveness of the SMS implementation plan effectiveness of the safety supervision of sub-contracted operations SRB ensures that appropriate resources are allocated to achieve the established safety performance SRB gives strategic direction to the SAG

28 Module N° 8ICAO Safety Management Systems (SMS) Course 28 Heads of other areas Head of operations Head of maintenance Head of maintenance Safety Services Office Safety Services Office Safety Review Board (SRB) Safety Review Board (SRB) Safety Action Group(s) (SAG) Safety Action Group(s) (SAG) Accountable Executive Operations safety officer Operations safety officer Maintenance safety officer Maintenance safety officer Safety responsibilities

29 Module N° 8ICAO Safety Management Systems (SMS) Course 29 Safety policy and objectives 1.3 – Appointment of key safety personnel Safety Action Group(s) (SAG): Reports to SRB and takes strategic direction from SRB. Members: Managers and supervisors from functional areas Front-line personnel

30 Module N° 8ICAO Safety Management Systems (SMS) Course 30 Safety policy and objectives 1.3 – Appointment of key safety personnel SAG: Oversees operational safety within the functional area Resolves identified risks Assesses the impact on safety of operational changes. Implements corrective action plans Ensures that corrective action is taken in a timely manner Review the effectiveness of previous safety recommendations Safety promotion

31 Module N° 8ICAO Safety Management Systems (SMS) Course 31 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

32 Module N° 8ICAO Safety Management Systems (SMS) Course 32 Safety policy and objectives 1.4 – Coordination of emergency response planning The organization shall ensure that an emergency response plan that provides for the orderly and efficient transition from normal to emergency operations, and the return to normal operations is properly coordinated with the emergency response plans of those organizations it must interface with during the provision of its services

33 Module N° 8ICAO Safety Management Systems (SMS) Course 33 Safety policy and objectives 1.4 – Coordination of emergency response planning Emergency response planning outlines in writing what should be done after an accident, and who is responsible for each action. Airport Emergency Plan (AEP) Contingency Plans (ATC) Emergency Response Plan (Operators) The coordination of the different plans should be described in the SMS Manual

34 Module N° 8ICAO Safety Management Systems (SMS) Course 34 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

35 Module N° 8ICAO Safety Management Systems (SMS) Course 35 Safety policy and objectives 1.5 – SMS documentation The organization shall develop and maintain SMS documentation to describe: the safety policy and objectives the SMS requirements the SMS processes and procedures the accountabilities, responsibilities and authorities for processes and procedures the SMS outputs

36 Module N° 8ICAO Safety Management Systems (SMS) Course 36 Safety policy and objectives 1.5 – SMS documentation As part of the SMS documentation, the organization shall: 1)develop an SMS implementation plan, endorsed by senior management of the organization that defines the organizations approach to the management of safety in a manner that meets the organizations safety objectives 2)develop and maintain a safety management system manual (SMSM), to communicate its approach to the management of safety throughout the organization

37 Module N° 8ICAO Safety Management Systems (SMS) Course 37 Safety policy and objectives – SMS implementation plan Developed by a planning group, which: comprises an appropriate experience base meets regularly with senior management receives resources (including time for meetings) A realistic strategy for the implementation of an SMS that will meet the organizations safety performance needs A definition of the approach the organization will adopt for managing safety

38 Module N° 8ICAO Safety Management Systems (SMS) Course 38 Safety policy and objectives – SMS implementation plan Senior management endorses the plan. Typical implementation time frame will be one to four years ahead See Module 10 – Phased approach to SSP and SMS implementation.

39 Module N° 8ICAO Safety Management Systems (SMS) Course 39 Safety policy and objectives – SMS implementation plan – Contents 1)Safety policy and objectives 2)System description 3)Gap analysis 4)SMS components 5)Safety roles and responsibilities 6)Safety reporting policy 7)Means of employee involvement 8)Safety performance measurement 9)Safety training 10)Safety communication 11)Management review (of safety performance)

40 Module N° 8ICAO Safety Management Systems (SMS) Course 40 Safety policy and objectives – Safety Management System Manual (SMSM) Key instrument for communicating the organizations approach to safety to the whole organization Documents all aspects of the SMS, including the safety policy, objectives, procedures and individual safety responsibilities and accountabilities

41 Module N° 8ICAO Safety Management Systems (SMS) Course 41 Safety policy and objectives – SMSM contents 1.Scope of the safety management system 2.The safety policy and objectives 3.Safety accountabilities 4.Key safety personnel 5.Documentation control procedures 6.Coordination of the emergency response planning 7.Hazard identification and risk management schemes 8.Safety assurance 9.Safety performance monitoring 10.Safety auditing 11.Management of change 12.Safety promotion 13.Contracted activities

42 Module N° 8ICAO Safety Management Systems (SMS) Course 42 Conclusion The successful management of safety is a functional responsibility that requires the participation of all operational personnel and the supervision of the organization (Systematic) This principle must be reflected in the structure of the organization (Explicit)

43 Module N° 8ICAO Safety Management Systems (SMS) Course 43 Conclusion The organization must define, document and communicate individual lines of responsibility and authority in regard to the management of operational safety (Explicit) The means to manage safety within the organization include hazard identification, risk management, safety assurance and safety promotion (Proactive)

44 Module N° 8ICAO Safety Management Systems (SMS) Course 44 Questions and answers SMS planning

45 Module N° 8ICAO Safety Management Systems (SMS) Course 45 Questions and answers Q: What kind of authority, responsibilities and accountabilities are required for the accountable executive? A: The Accountable Executive must have: full authority for human resources issues authority for major financial issues direct responsibility for the conduct of the organizations affairs final authority over operations under certificate final responsibility for all safety issues Slide number: 15

46 Module N° 8ICAO Safety Management Systems (SMS) Course 46 Questions and answers Q: What is the safety manager selection criteria? A: Operational management experience and technical background to understand the systems that support operations People skills Analytical and problem-solving skills Project management skills Oral and written communications skills Slide number: 24

47 Module N° 8ICAO Safety Management Systems (SMS) Course 47 Questions and answers Q: List five subjects that should be included in the contents of the Safety Management System Manual (SMSM). A: 1.Scope of the safety management system. 2.The safety policy and objectives. 3.Safety accountabilities. 4.Key safety personnel. 5.Documentation control procedures. 6.Coordination of the emergency response planning. 7.Hazard identification and risk management schemes. 8.Safety assurance. 9.Safety performance monitoring. Slide number: 41

48 Module N° 8ICAO Safety Management Systems (SMS) Course 48 Points to remember 1.The four components of an SMS 2.The elements of an SMS 3.The importance of documenting safety responsibilities 4.SRB, SAG and the safety services office 5.The SMS implementation plan 6.The SMSM

49 Module N° 8ICAO Safety Management Systems (SMS) Course 49 Exercise 08/01 – Cuzco International Airport operation (Handout N° 5) SMS planning

50 Module N° 8ICAO Safety Management Systems (SMS) Course 50 Cuzco International Airport operation Group activity: A facilitator will be appointed, who will coordinate the discussion A 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 Scenario This is a proposed airline operation with a commercial twin-engine jet aircraft (e.g. B-737, MD-80, A-320, etc.) at Cuzco International Airport

51 Module N° 8ICAO Safety Management Systems (SMS) Course 51 Velazco Astete Airport Elevation ft ft Hazard assessment of the operation. Control and/or mitigation of the risks Cuzco International Airport operation

52 Module N° 8ICAO Safety Management Systems (SMS) Course 52 Threshold 28 Velazco Astete Airport Elevation ft Cuzco International Airport operation

53 Module N° 8ICAO Safety Management Systems (SMS) Course ft City of Cuzco Threshold 28 Threshold 10 Velazco Astete Airport Elevation ft Cuzco International Airport operation

54 Module N° 8ICAO Safety Management Systems (SMS) Course 54 Threshold 28 Threshold ft Cuzco International Airport operation

55 Module N° 8ICAO Safety Management Systems (SMS) Course 55 Threshold 10 Threshold ft Velazco Astete Airport City of Cuzco Cuzco International Airport operation

56 Module N° 8ICAO Safety Management Systems (SMS) Course 56 Cuzco Airport characteristics and operation VMC and day-light aircraft operation Landing on runway 28 only Take-off on runway 10 only

57 Module N° 8ICAO Safety Management Systems (SMS) Course 57 Cuzco Airport characteristics and operation In case of engine fire, engine-out or emergency condition return to airport is mandatory, except if the aircrafts weight and performance allow the aircraft to comply with obstacle clearance net trajectory Katabatic wind forces tailwind take offs from approximately 16:00 hours daily No ILS approach is available VOR used for instrument letdown (URCOS) not located at the aerodrome

58 Module N° 8ICAO Safety Management Systems (SMS) Course 58 Cuzco Airport characteristics and operation

59 Module N° 8ICAO Safety Management Systems (SMS) Course 59 What is the safety concern? Issues to be considered: Aerodrome infrastructure Navigational radio aids Weather conditions Aircraft performance Take-off obstacle clearance net path En-route obstacle clearance net path (trajectory) In-flight procedures Documentation Training: Pilots and cabin crew Flight dispatchers Safety ground crew

60 Module N° 8ICAO Safety Management Systems (SMS) Course 60 Your task: List the type of operation or activity State the generic hazard(s) State the specific components of the hazard(s) State the hazard-related consequences and assess the risk(s) Assess existing defences to control the risk(s) and resulting risk index Propose further action to reduce the risk(s) and resulting risk index Establish individual responsibility to implement the risk mitigation Complete the attached log (Table 08/01) Cuzco International Airport operation

61 Module N° 8ICAO Safety Management Systems (SMS) Course 61 Table 08/01 – Hazard identification and risk management Existing defences to control risk(s) and risk index Further action to reduce risk(s) and resulting risk index Generic hazard Type of operation or activity Nº Hazard-related consequences Risk index: Risk tolerability: Risk index: Risk tolerability: Risk index: Risk tolerability: Risk index: Risk tolerability: Risk index: Risk tolerability: Risk index: Risk tolerability: Risk index: Risk tolerability: Risk index: Risk tolerability: Risk index: Risk tolerability: Risk index: Risk tolerability: Specific components of the hazard Responsible person

62 Revision N° 13ICAO Safety Management Systems (SMS) Course06/05/09 Module N° 8 – SMS planning


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