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Building an SMS

Safety Module 10
Phased approach to
Management SMS Implementation

System
Module N 9 SMS Module 9 Module 8
SMS operation SMS planning
operation
Module 5 Module 6 Module 7
Risks SMS regulation Introduction to SMS

Module 1 Module 2 Module 3


Introduction Module 4
SMS course Basic safety to safety
introduction concepts Hazards
management

Revision N 11 ICAO Safety Management Systems (SMS) Course 03/10/08 Module N 9 ICAO Safety Management Systems (SMS) Course 2

Objective Outline

When completing the module the participants will be able to Safety risk management

describe the requirements associated to the operation of an Safety assurance

SMS. Safety promotion


Questions and answers
Points to remember

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ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation
ICAO SMS framework oSafety risk management
n Safety policy and objectives 2.1 Hazard identification processes (Module 4)
1.1 Management commitment and responsibility
1.2 Safety accountabilities of managers A formal means of collecting, recording, acting on and
1.3 Appointment of key safety personnel
1.4 SMS implementation plan generating feedback about hazards and risks in operations.
1.5 Coordination of emergency response planning
1.6 Documentation Three methods:
o Safety risk management
2.1 Hazard identification processes Reactive
2.2 Risk assessment and mitigation processes
p Safety assurance Proactive
3.1 Safety performance monitoring and measurement
3.2 The management of change Predictive
3.3 Continuous improvement of the SMS
q Safety promotion
4.1 Training and education
4.2 Safety communication
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oSafety risk management oSafety risk management


2.1 Hazard identification processes 2.1 Hazard identification processes
Reporting systems A special mention Reporting systems
Nobody knows better actual system performance than People are reluctant to report.
operational personnel. Why?
Mandatory reporting system. Retaliation.
Voluntary reporting systems. Self-incrimination.
Confidential reporting systems. Embarrassment.
The reporting requirements may vary among States.

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ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation
oSafety risk management oSafety risk management
2.1 Hazard identification processes 2.1 Hazard identification processes
Typical qualities of successful confidential reporting Four steps for action:
systems: 1. Reporting hazards, events or safety concerns.
Reports easy to make. 2. Collecting and storing the data.
No disciplinary actions as result of reports. 3. Analyzing reports.
Reports are confidential. 4. Distributing the information distilled from the analysis.
Feedback is rapid, accessible and informative.

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ICAO SMS framework oSafety risk management


n Safety policy and objectives 2.2 Risk assessment and mitigation processes
1.1 Management commitment and responsibility
1.2 Safety accountabilities of managers (Module 5)
1.3 Appointment of key safety personnel
1.4 SMS implementation plan The analysis and elimination, and/or mitigation to an
1.5 Coordination of emergency response planning
1.6 Documentation acceptable level of risks that threaten the capabilities of
o Safety risk management an organization.
2.1 Hazard identification processes
2.2 Risk assessment and mitigation processes
p Safety assurance To remember The risk tolerability matrix
3.1 Safety performance monitoring and measurement
3.2 The management of change
3.3 Continuous improvement of the SMS
q Safety promotion
4.1 Training and education
4.2 Safety communication
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ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation
ICAO SMS framework pSafety assurance
n Safety policy and objectives 3.1 Safety performance monitoring and measurement
1.1 Management commitment and responsibility
1.2 Safety accountabilities of managers The process by which the safety performance of the
1.3 Appointment of key safety personnel organization is verified in comparison to the approved
1.4 SMS implementation plan
1.5 Coordination of emergency response planning safety policies and objectives.
1.6 Documentation Safety reporting
o Safety risk management
2.1 Hazard identification processes Safety studies
2.2 Risk assessment and mitigation processes Safety reviews
p Safety assurance
Audits
3.1 Safety performance monitoring and measurement
3.2 The management of change Surveys
3.3 Continuous improvement of the SMS
q Safety promotion
Internal safety investigations
4.1 Training and education
4.2 Safety communication
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pSafety assurance pSafety assurance


3.1 Safety performance monitoring and measurement 3.1 Safety performance monitoring and measurement
Safety audits are used to ensure that the structure of the
SMS is sound in terms of: Safety surveys examine particular elements or processes
Levels of staff; of a specific operation.
Compliance with approved procedures and instructions; Problem areas or bottlenecks in daily operations.
Level of competency and training to:
Perceptions and opinions of operational personnel.
Operate equipment and facilities; and
Areas of dissent or confusion.
Maintain their levels of performance.

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ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation
pSafety assurance pSafety assurance
3.1 Safety performance monitoring and measurement 3.1 Safety performance monitoring and measurement
Safety surveys may involve the use of: Internal safety investigations include occurrences or
Checklists events that are not required to be investigated or reported
Questionnaires. to State.
Informal confidential interviews. In-flight turbulence (flight operations)
Since surveys information is subjective, verification may be Frequency congestion (ATC)
needed before corrective action.
Surveys may provide an inexpensive source of significant Material failure (maintenance)
safety information. Ramp vehicle operations (aerodrome)

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ICAO SMS framework pSafety assurance


n Safety policy and objectives 3.2 The management of change
1.1 Management commitment and responsibility
1.2 Safety accountabilities of managers
1.3 Appointment of key safety personnel Aviation organizations experience permanent change due
1.4 SMS implementation plan to expansion, introduction of new equipment or procedures.
1.5 Coordination of emergency response planning
1.6 Documentation Changes can:
o Safety risk management
2.1 Hazard identification processes
2.2 Risk assessment and mitigation processes
Introduce new hazards.
p Safety assurance
3.1 Safety performance monitoring and measurement Impact the appropriateness of risk mitigation.
3.2 The management of change
3.3 Continuous improvement of the SMS Impact the effectiveness of risk mitigation.
q Safety promotion
4.1 Training and education
4.2 Safety communication
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ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation
pSafety assurance pSafety assurance
3.2 The management of change 3.2 The management of change
External changes
A formal management of change process should:
Change of regulatory requirements.
Security. identify changes within the organization which may
Reorganization of air traffic control. affect established processes and services.

Internal changes prior to implementing changes describe the
Management changes arrangements to ensure safety performance.
New equipment.
New procedures.

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ICAO SMS framework pSafety assurance


n Safety policy and objectives 3.3 Continuous improvement of the SMS
1.1 Management commitment and responsibility
1.2 Safety accountabilities of managers Continuing improvement aims at:
1.3 Appointment of key safety personnel
1.4 SMS implementation plan Determining the immediate causes of below standard
1.5 Coordination of emergency response planning
1.6 Documentation performance and their implications in the operation of
o Safety risk management the SMS.
2.1 Hazard identification processes
2.2 Risk assessment and mitigation processes Rectifying situations involving below standard
p Safety assurance
3.1 Safety performance monitoring and measurement performance identified through safety assurance
3.2 The management of change activities.
3.3 Continuous improvement of the SMS
q Safety promotion
4.1 Training and education
4.2 Safety communication
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ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation
pSafety assurance pSafety assurance
3.3 Continuous improvement of the SMS 3.3 Continuous improvement of the SMS
Continuing improvement is achieved through: Continuing improvement is achieved through:
Proactive evaluation of facilities, equipment, Reactive evaluations in order to verify the effectiveness
documentation and procedures through audits and of the system for control and mitigation of risks, for
surveys. example: accidents, incidents and major events
Proactive evaluation of the individuals performance, to investigations.
verify the fulfilment of their safety responsibilities.

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ICAO SMS framework qSafety promotion


n Safety policy and objectives
1.1 Management commitment and responsibility 4.1 Training and education
1.2 Safety accountabilities of managers
1.3 Appointment of key safety personnel
1.4 SMS implementation plan The safety manager should, in conjunction with the
1.5 Coordination of emergency response planning
1.6 Documentation personnel department, review the job descriptions of all
o Safety risk management
2.1 Hazard identification processes staff, and identify those positions that have safety
2.2 Risk assessment and mitigation processes
p Safety assurance
responsibilities.
3.1 Safety performance monitoring and measurement
3.2 The management of change
3.3 Continuous improvement of the SMS
q Safety promotion
4.1 Training and education
4.2 Safety communication
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ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation
qSafety promotion qSafety promotion
4.1 Training and education 4.1 Training and education
Who? A building block approach
Operational personnel Operational personnel
Managers and supervisors Organization safety policy
SMS fundamentals and overview
Senior managers
Managers and supervisors
Accountable executive The safety process
Why? Hazard identification and risk management
To ensure that personnel are trained and competent to The management of change
perform the SMS duties. Senior managers
How much? Organizational safety standards and national
Appropriate to the individuals involvement in the SMS. regulations
Safety assurance
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qSafety promotion ICAO SMS framework


4.1 Training and education n Safety policy and objectives
1.1 Management commitment and responsibility
Accountable executive A special mention 1.2 Safety accountabilities of managers
1.3 Appointment of key safety personnel
Awareness of: 1.4 SMS implementation plan
1.5 Coordination of emergency response planning
SMS roles and responsibilities 1.6 Documentation
o Safety risk management
Safety policy 2.1 Hazard identification processes
2.2 Risk assessment and mitigation processes
SMS Standards p Safety assurance
3.1 Safety performance monitoring and measurement
Safety assurance 3.2 The management of change
3.3 Continuous improvement of the SMS
q Safety promotion
4.1 Training and education
4.2 Safety communication
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ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation
qSafety promotion qSafety promotion
4.2 Safety communication 4.2 Safety communication
Safety communication aims to: The means to communicate may include:
Ensure that all staff are fully aware of the SMS. Safety policies and procedures
News letters.
Convey safety critical information.
Bulletins.
Explain why particular actions are taken.
Website.
Explain why safety procedures are introduced or Safety communication is an essential foundation for the
changed. development and maintenance of a positive culture.
Convey nice-to-know information.

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SMS at a glance

Safety
Safety policy Safety risk
and objectives management

Safety Management Safety


assurance commitment promotion
SMS operation

Effectiveness Efficiency Questions and answers


Aviation
community
stakeholders

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ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation
Questions and answers Questions and answers
Q: Name four qualities of successful confidential reporting Q: What is safety performance monitoring and
systems. measurement?
A: A:
Reports easy to make. The process by which the safety performance of the
No disciplinary actions as result of reports. organization is verified in comparison to the approved
Reports are confidential. safety policies and objectives.

Feedback is rapid, accessible and informative

Slide number: 9 Slide number: 14


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Questions and answers Points to remember


Q: What is the objective of a formal management of change 1. Key ingredients for successful reporting
process?
A: 2. The importance of a formal management of change
A formal management of change process should: 3. Safety training Who, why and how much
identify changes within the organization which may
affect established processes and services.
describe the arrangements to ensure safety
performance prior to implementing changes.

Slide number: 22
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ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation
Module N 9 SMS
operation

Revision N 11 ICAO Safety Management Systems (SMS) Course 03/10/08

ICAO Safety Management Systems (SMS) Course


Module N 9 SMS operation