Module N° 9 – SMS operation

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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 …

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

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

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

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)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

SMS operation Questions and answers

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

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

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

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

Module N° 9 – SMS operation