1. Module N° 9 – SMS operation

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

3. Objective
When completing the module the participants will be able to describe the requirements associated with the operation of an SMS

4. Outline Safety risk management Safety assurance Safety promotion
Questions and answers
Points to remember

5. 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

6. 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
Reactive method
The reactive method responds to the events that already happened, such as incidents and accidents
Proactive method
The proactive method
looks actively for the
identification of
safety risks
through the analysis
of the organization’s
activities
Predictive method
The predictive
method captures
system
performance as
it happens in
real-time
normal operations

7. 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

8. Safety risk management
2.1 – Hazard identification
Reporting systems
People are reluctant to report
Why?
Retaliation
Self-incrimination
Embarrassment

9. 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

10. 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

11. Safety risk management
2.1 – Hazard identification
Four steps for action:
Reporting hazards, events or safety concerns
Collecting and storing the data
Analyzing reports
Distributing the information distilled from the analysis

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. 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
Intolerable region
Tolerable region
Acceptable
region A L R P

14. 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

15. Performance Prescription 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
Safety requirements
Training course for drivers / installation of specific signage.
Thrice-daily walk-in ramp inspection programme. …
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.
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.
...
Service provider
Will comply all applicable national and international standards.
Performance
Prescription

16. 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 …

17. 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

18. 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

19. 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

20. 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)

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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

27. 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

28. 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

29. Safety Risk Management (SRM) and Safety Assurance (SA) – Summary
Design
Operation
SRM SA
System description/gap analysis
System operation
Description
and context
Hazard identification
Safety performance monitoring and measurement
Specific
information
Safety risks assessment
Continuous improvement
Analysis
Safety risks
Mgt. of change
Assessment
Safety risks mitigation
Corrective action
Problem
resolution

30. 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

31. 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

32. 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

33. Safety promotion 4.1 – Training and education Who? Why? How much?
Operational personnel
Managers and supervisors
Senior managers
Accountable executive
To ensure that personnel are trained and competent to perform the SMS duties
Appropriate to the individual’s involvement in the SMS

34. Operational personnel Managers and supervisors
Safety promotion
4.1 – Training and education – A building block approach
Operational personnel
Managers and supervisors
Senior managers
Organization safety policy
SMS fundamentals and overview
The safety process
Hazard identification and risk management
The management of change
Organizational safety standards and national regulations
Safety assurance

35. 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

36. 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

37. 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

38. 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

39. SMS operation
Questions and answers

40. 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

41. 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

42. 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

43. Points to remember Key ingredients for successful reporting
The importance of a formal management of change
Safety training – Who, why and how much
Safety communication

44. Module N° 9 – SMS operation