1. Module N° 9 – SMS operation Safety Management Systems (SMS) Course

2. Module N° 9 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° 9 ICAO Safety Management Systems (SMS) Course 3 Objective à When completing the module the participants will be able to describe the requirements associated to the operation of an SMS.

4. Module N° 9 ICAO Safety Management Systems (SMS) Course 4 Outline àSafety hazard identification and risk management àSafety assurance àSafety promotion àEmergency response planning àQuestions and answers àPoints to remember àSafety hazard identification and risk management àSafety assurance àSafety promotion àEmergency response planning àQuestions and answers àPoints to remember

5. Module N° 9 ICAO Safety Management Systems (SMS) Course 5  Safety hazard identification and risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes 2.3 – Internal safety investigations Reference: Doc 9859, Chapters 7 and 8 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes 2.3 – Internal safety investigations Reference: Doc 9859, Chapters 7 and 8

6. Module N° 9 ICAO Safety Management Systems (SMS) Course 6 2.1 – Hazard identification processes (Module 4) äA formal means of collecting, recording, acting on and generating feedback about hazards and risks in operations. äThree methods: æReactive æProactive æPredictive 2.1 – Hazard identification processes (Module 4) äA formal means of collecting, recording, acting on and generating feedback about hazards and risks in operations. äThree methods: æReactive æProactive æPredictive  Safety hazard identification and risk management

7. Module N° 9 ICAO Safety Management Systems (SMS) Course 7 2.1 – Hazard identification processes äReporting systems – A special paragraph æNobody knows better actual system performance than operational personnel. « Mandatory reporting system. « Voluntary reporting systems. « Confidential reporting systems. æThe reporting requirements vary with the laws of the State where the incident occurred. 2.1 – Hazard identification processes äReporting systems – A special paragraph æNobody knows better actual system performance than operational personnel. « Mandatory reporting system. « Voluntary reporting systems. « Confidential reporting systems. æThe reporting requirements vary with the laws of the State where the incident occurred.  Safety hazard identification and risk management

8. Module N° 9 ICAO Safety Management Systems (SMS) Course 8 2.1 – Hazard identification processes äConfidential reporting systems æPeople are reluctant to report. äWhy? æRetaliation. æSelf-incrimination. æEmbarrassment. 2.1 – Hazard identification processes äConfidential reporting systems æPeople are reluctant to report. äWhy? æRetaliation. æSelf-incrimination. æEmbarrassment.  Safety hazard identification and risk management

9. Module N° 9 ICAO Safety Management Systems (SMS) Course 9 2.1 – Hazard identification processes äTypical qualities of successful confidential reporting systems: æReports easy to make. æNo disciplinary actions as result of reports. æReports are confidential. æFeedback is rapid, accessible and informative. 2.1 – Hazard identification processes äTypical qualities of successful confidential reporting systems: æReports easy to make. æNo disciplinary actions as result of reports. æReports are confidential. æFeedback is rapid, accessible and informative.  Safety hazard identification and risk management

10. Module N° 9 ICAO Safety Management Systems (SMS) Course 10 2.1 – Hazard identification processes äFour steps for action: æReporting hazards, events or safety concerns. æCollecting and storing the data. æAnalyzing reports. æDistributing the information distilled from the analysis. 2.1 – Hazard identification processes äFour steps for action: æReporting hazards, events or safety concerns. æCollecting and storing the data. æAnalyzing reports. æDistributing the information distilled from the analysis.  Safety hazard identification and risk management

11. Module N° 9 ICAO Safety Management Systems (SMS) Course 11  Safety hazard identification and risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes 2.3 – Internal safety investigations Reference: Doc 9859, Chapter 8 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes 2.3 – Internal safety investigations Reference: Doc 9859, Chapter 8

12. Module N° 9 ICAO Safety Management Systems (SMS) Course 12 2.2 – Risk assessment and mitigation processes (Module 5) äThe analysis and elimination, and/or mitigation to an acceptable level of risks that threaten the capabilities of an organization. äThe risk assessment matrix 2.2 – Risk assessment and mitigation processes (Module 5) äThe analysis and elimination, and/or mitigation to an acceptable level of risks that threaten the capabilities of an organization. äThe risk assessment matrix  Safety hazard identification and risk management

13. Module N° 9 ICAO Safety Management Systems (SMS) Course 13  Safety hazard identification and risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes 2.3 – Internal safety investigations Reference: Doc 9859, Chapter 8 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes 2.3 – Internal safety investigations Reference: Doc 9859, Chapter 8

14. Module N° 9 ICAO Safety Management Systems (SMS) Course 14 2.3 – Internal safety investigations äThe scope includes occurrences that are not required to be investigated or reported to State. æIn-flight turbulence (flight operations) æFrequency congestion (ATC) æMaterial failure (maintenance) æRamp vehicle operations (aerodrome) äThe investigating team may integrate subject matter specialists depending on the nature of the occurrence being investigated. 2.3 – Internal safety investigations äThe scope includes occurrences that are not required to be investigated or reported to State. æIn-flight turbulence (flight operations) æFrequency congestion (ATC) æMaterial failure (maintenance) æRamp vehicle operations (aerodrome) äThe investigating team may integrate subject matter specialists depending on the nature of the occurrence being investigated.  Safety hazard identification and risk management

15. Module N° 9 ICAO Safety Management Systems (SMS) Course 15  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – Audits and surveys 3.3 – The management of change 3.4 – Continuous improvement of the safety system Reference: Doc 9859, Chapters 9 and 10 3.1 – Safety performance monitoring and measurement 3.2 – Audits and surveys 3.3 – The management of change 3.4 – Continuous improvement of the safety system Reference: Doc 9859, Chapters 9 and 10

16. Module N° 9 ICAO Safety Management Systems (SMS) Course 16 3.1 – Safety performance monitoring and measurement äThe process by which the safety performance of the organization is verified in comparison to the approved safety policies and objectives. æSafety reporting æSafety studies æSafety reviews æAudits æSurveys æ… 3.1 – Safety performance monitoring and measurement äThe process by which the safety performance of the organization is verified in comparison to the approved safety policies and objectives. æSafety reporting æSafety studies æSafety reviews æAudits æSurveys æ…  Safety assurance

17. Module N° 9 ICAO Safety Management Systems (SMS) Course 17  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – Audits and surveys 3.3 – The management of change 3.4 – Continuous improvement of the safety system Reference: Doc 9859, Chapter 14 3.1 – Safety performance monitoring and measurement 3.2 – Audits and surveys 3.3 – The management of change 3.4 – Continuous improvement of the safety system Reference: Doc 9859, Chapter 14

18. Module N° 9 ICAO Safety Management Systems (SMS) Course 18 3.2 – Audits and surveys ä Safety audits are used to ensure that the structure of the SMS is sound in terms of: ælevels of staff; æcompliance with approved procedures and instructions; ælevel of competency and training to: « operate equipment and facilities; and « maintain their levels of performance. 3.2 – Audits and surveys ä Safety audits are used to ensure that the structure of the SMS is sound in terms of: ælevels of staff; æcompliance with approved procedures and instructions; ælevel of competency and training to: « operate equipment and facilities; and « maintain their levels of performance.  Safety assurance

19. Module N° 9 ICAO Safety Management Systems (SMS) Course 19 3.2 – Audits and surveys äThe safety audit team æSafety audits may be undertaken by a single individual or a team, depending on the scale of the audit. æDepending on the size of the organization and the availability of resources, experienced and trained individuals within the organization may perform safety audits or they may assist external auditors. 3.2 – Audits and surveys äThe safety audit team æSafety audits may be undertaken by a single individual or a team, depending on the scale of the audit. æDepending on the size of the organization and the availability of resources, experienced and trained individuals within the organization may perform safety audits or they may assist external auditors.  Safety assurance

20. Module N° 9 ICAO Safety Management Systems (SMS) Course 20 3.2 – Audits and surveys ä Safety surveys examine particular elements or processes of a specific operation. æProblem areas or bottlenecks in daily operations. æPerceptions and opinions of operational personnel. æTeamwork and cooperation among employee groups. æAreas of dissent or confusion. 3.2 – Audits and surveys ä Safety surveys examine particular elements or processes of a specific operation. æProblem areas or bottlenecks in daily operations. æPerceptions and opinions of operational personnel. æTeamwork and cooperation among employee groups. æAreas of dissent or confusion.  Safety assurance

21. Module N° 9 ICAO Safety Management Systems (SMS) Course 21 3.2 – Audits and surveys ä Safety surveys ä Safety surveys may involve the use of: æChecklists æQuestionnaires. æInformal confidential interviews. äSince surveys information is subjective, verification may be needed before corrective action. äSurveys may provide an inexpensive source of significant safety information. 3.2 – Audits and surveys ä Safety surveys ä Safety surveys may involve the use of: æChecklists æQuestionnaires. æInformal confidential interviews. äSince surveys information is subjective, verification may be needed before corrective action. äSurveys may provide an inexpensive source of significant safety information.  Safety assurance

22. Module N° 9 ICAO Safety Management Systems (SMS) Course 22  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – Audits and surveys 3.3 – The management of change 3.4 – Continuous improvement of the safety system Reference: Doc 9859, Chapter 13 3.1 – Safety performance monitoring and measurement 3.2 – Audits and surveys 3.3 – The management of change 3.4 – Continuous improvement of the safety system Reference: Doc 9859, Chapter 13

23. Module N° 9 ICAO Safety Management Systems (SMS) Course 23 3.3 – The management of change äAviation organizations experience permanent change due to expansion, introduction of new equipment or procedures. äChanges can: æIntroduce new hazards. æImpact the appropriateness of risk mitigation. æImpact the effectiveness of risk mitigation. 3.3 – The management of change äAviation organizations experience permanent change due to expansion, introduction of new equipment or procedures. äChanges can: æIntroduce new hazards. æImpact the appropriateness of risk mitigation. æImpact the effectiveness of risk mitigation.  Safety assurance

24. Module N° 9 ICAO Safety Management Systems (SMS) Course 24 3.3 – The management of change ä External changes æChange of regulatory requirements. æSecurity. æRe-ordering air traffic control. æ… ä Internal changes æManagement changes æNew equipment. æNew procedures. æ… 3.3 – The management of change ä External changes æChange of regulatory requirements. æSecurity. æRe-ordering air traffic control. æ… ä Internal changes æManagement changes æNew equipment. æNew procedures. æ…  Safety assurance

25. Module N° 9 ICAO Safety Management Systems (SMS) Course 25 3.3 – The management of change äA formal management of change process should: æidentify changes within the organization which may affect established processes and services. æprior to implementing changes describe the arrangements to ensure safety performance. 3.3 – The management of change äA formal management of change process should: æidentify changes within the organization which may affect established processes and services. æprior to implementing changes describe the arrangements to ensure safety performance.  Safety assurance

26. Module N° 9 ICAO Safety Management Systems (SMS) Course 26  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – Audits and surveys 3.3 – The management of change 3.4 – Continuous improvement of the safety system Reference: Doc 9859, Chapter 14 3.1 – Safety performance monitoring and measurement 3.2 – Audits and surveys 3.3 – The management of change 3.4 – Continuous improvement of the safety system Reference: Doc 9859, Chapter 14

27. Module N° 9 ICAO Safety Management Systems (SMS) Course 27 3.4 – Continuous improvement of the safety system äContinuing improvement aims at: æDetermining the immediate the causes of performance under standard and their implications in the operation of the SMS. æRectifying situations involving situations under standard identified through other safety assurance activities. 3.4 – Continuous improvement of the safety system äContinuing improvement aims at: æDetermining the immediate the causes of performance under standard and their implications in the operation of the SMS. æRectifying situations involving situations under standard identified through other safety assurance activities.  Safety assurance

28. Module N° 9 ICAO Safety Management Systems (SMS) Course 28 3.4 – Continuous improvement of the safety system äContinuing improvement is achieved through: æ Proactive evaluation of facilities, equipment, documentation and procedures through audits and surveys. æ Proactive æ Proactive evaluation of the individuals’ performance, to verify the fulfillment of their safety responsibilities. 3.4 – Continuous improvement of the safety system äContinuing improvement is achieved through: æ Proactive evaluation of facilities, equipment, documentation and procedures through audits and surveys. æ Proactive æ Proactive evaluation of the individuals’ performance, to verify the fulfillment of their safety responsibilities.  Safety assurance

29. Module N° 9 ICAO Safety Management Systems (SMS) Course 29 3.4 – Continuous improvement of the safety system äContinuing improvement is achieved through: æ Reactive evaluations in order to verify the effectiveness of the system for control and mitigation of risks, for example: accidents, incidents and major events investigations. 3.4 – Continuous improvement of the safety system äContinuing improvement is achieved through: æ Reactive evaluations in order to verify the effectiveness of the system for control and mitigation of risks, for example: accidents, incidents and major events investigations.  Safety assurance

30. Module N° 9 ICAO Safety Management Systems (SMS) Course 30 4.1 – Training and education 4.2 – Safety communication Reference: Doc 9859, Chapter 15 4.1 – Training and education 4.2 – Safety communication Reference: Doc 9859, Chapter 15  Safety promotion

31. Module N° 9 ICAO Safety Management Systems (SMS) Course 31 4.1 – Training and education äThe safety manager should, in conjunction with the personnel department, review the job descriptions of all staff, and identify those positions that have safety responsibilities. 4.1 – Training and education äThe 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

32. Module N° 9 ICAO Safety Management Systems (SMS) Course 32 4.1 – Training and education äWho? æOperational personnel æManagers and supervisors æSenior managers æAccountable executive äWhy? æTo ensure that personnel are trained and competent to perform the SMS duties. ä How much? æAppropriate to the individual’s involvement in the SMS. 4.1 – Training and education äWho? æOperational personnel æManagers and supervisors æSenior managers æAccountable executive äWhy? æTo ensure that personnel are trained and competent to perform the SMS duties. ä How much? æAppropriate to the individual’s involvement in the SMS.  Safety promotion

33. Module N° 9 ICAO Safety Management Systems (SMS) Course 33 4.1 – Training and education äOperational personnel æSMS fundamentals æOrganization safety policy æOrganization SMS overview æManagement commitment and responsibilities äManager and supervisors æThe safety process æManagement commitment and responsibilities æHazard identification and risk management æThe management of change 4.1 – Training and education äOperational personnel æSMS fundamentals æOrganization safety policy æOrganization SMS overview æManagement commitment and responsibilities äManager and supervisors æThe safety process æManagement commitment and responsibilities æHazard identification and risk management æThe management of change  Safety promotion

34. Module N° 9 ICAO Safety Management Systems (SMS) Course 34 4.1 – Training and education äSenior managers æOrganizational safety standards and national regulations æManagement commitment and responsibilities æSafety assurance äAccountable executive æAwareness of: « SMS roles and responsibilities « Safety policy « SMS Standards « Safety assurance 4.1 – Training and education äSenior managers æOrganizational safety standards and national regulations æManagement commitment and responsibilities æSafety assurance äAccountable executive æAwareness of: « SMS roles and responsibilities « Safety policy « SMS Standards « Safety assurance  Safety promotion

35. Module N° 9 ICAO Safety Management Systems (SMS) Course 35 4.1 – Training and education 4.2 – Safety communication Reference: Doc 9859, Chapter 15 4.1 – Training and education 4.2 – Safety communication Reference: Doc 9859, Chapter 15  Safety promotion

36. Module N° 9 ICAO Safety Management Systems (SMS) Course 36 4.2 – Safety communication ä ä Safety communication aims to: æEnsure that all staff are fully aware of the SMS. æConvey safety critical information. æExplain why particular actions are taken. æExplain why safety procedures are introduced or changed. æConvey “nice-to-know” information. 4.2 – Safety communication ä ä Safety communication aims to: æEnsure that all staff are fully aware of the SMS. æConvey safety critical information. æExplain why particular actions are taken. æExplain why safety procedures are introduced or changed. æConvey “nice-to-know” information.  Safety promotion

37. Module N° 9 ICAO Safety Management Systems (SMS) Course 37 4.2 – Safety communication äThe means to communicate may include: æSafety policies and procedures æNews letters. æBulletins. äSafety communication is an essential foundation for the development and maintenance of a safety culture. 4.2 – Safety communication äThe means to communicate may include: æSafety policies and procedures æNews letters. æBulletins. äSafety communication is an essential foundation for the development and maintenance of a safety culture.  Safety promotion

38. Module N° 9 ICAO Safety Management Systems (SMS) Course 38  Emergency response planning 5.1 – Development of the emergency response plan Reference: Doc 9859, Chapter 11 5.1 – Development of the emergency response plan Reference: Doc 9859, Chapter 11

39. Module N° 9 ICAO Safety Management Systems (SMS) Course 39 à An emergency response plan (ERP) outlines in writing what should be done after an accident, and who is responsible for each action. àIn aerodrome operations, such emergency planning is referred to as an Airport Emergency Plan (AEP). à An emergency response plan (ERP) outlines in writing what should be done after an accident, and who is responsible for each action. àIn aerodrome operations, such emergency planning is referred to as an Airport Emergency Plan (AEP). 5.1 – 5.1 – Development of the emergency response plan  Emergency response planning

40. Module N° 9 ICAO Safety Management Systems (SMS) Course 40 5.1 – 5.1 – Development of the ERP äThe purpose of an ERP is to ensure that there is: æOrderly and efficient transition from normal to emergency operations. æDesignation of emergency authority. æAssignment of emergency responsibilities. æAuthorization by key personnel for actions contained in the plan. æCoordination of efforts to cope with the emergency. æSafe continuation of operations, or return to normal operations as soon as possible. 5.1 – 5.1 – Development of the ERP äThe purpose of an ERP is to ensure that there is: æOrderly and efficient transition from normal to emergency operations. æDesignation of emergency authority. æAssignment of emergency responsibilities. æAuthorization by key personnel for actions contained in the plan. æCoordination of efforts to cope with the emergency. æSafe continuation of operations, or return to normal operations as soon as possible.  Emergency response planning

41. Module N° 9 ICAO Safety Management Systems (SMS) Course 41 à Plan contents: äGoverning policies. äOrganization. äNotifications. äInitial response. äAdditional assistance. äCrisis Management Centre (CMC). à Plan contents: äGoverning policies. äOrganization. äNotifications. äInitial response. äAdditional assistance. äCrisis Management Centre (CMC). à Plan contents: äRecords. äAccident site. äNews media. äFormal investigations. äFamily assistance. äPost critical incident stress counselling. äPost occurrence review. 5.1 – 5.1 – Development of the ERP  Emergency response planning

42. Module N° 9 ICAO Safety Management Systems (SMS) Course 42 SMS at a glance Aviation community stakeholders Effectiveness Efficiency Safety Management commitment Safety policy and objectives Hazard identification and risk management Safety promotion Safety assurance

44. Module N° 9 ICAO Safety Management Systems (SMS) Course 44 Q&A à Q: à Q: Name four qualities of successful confidential reporting systems. à A: à A: ? à Q: à Q: Name four qualities of successful confidential reporting systems. à A: à A: ? Slide number:

45. Module N° 9 ICAO Safety Management Systems (SMS) Course 45 Q&A à Q: à Q: What is safety performance monitoring and measurement? à A: ? à Q: à Q: What is safety performance monitoring and measurement? à A: ? Slide number:

46. Module N° 9 ICAO Safety Management Systems (SMS) Course 46 Q&A à Q: à Q: What is the objective of a formal management of change (also known as safety assessment) process? à A: ? à Q: à Q: What is the objective of a formal management of change (also known as safety assessment) process? à A: ? Slide number:

47. Module N° 9 ICAO Safety Management Systems (SMS) Course 47 Points to remember 1.Key ingredients for successful reporting 2.The importance of a formal management of change 3.Safety training – Who, why and how much 1.Key ingredients for successful reporting 2.The importance of a formal management of change 3.Safety training – Who, why and how much

48. Module N° 9 – SMS operation Safety Management Systems (SMS) Course