ICAO SMS M 09 - SMS Operation (R013) 09 (E)

 

Module N 9 SMS operation °

Revision N °  °  13

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ICAO Safety Management Systems (SMS) Course

06/05/09 

 

Course structure

Safety Management System Module 5 Risks

Module 10 Phased approach to SSP and SMS Implementation

Module 8 SMS planning

Module 9 SMS operation

Module 6 SMS regulation

Module 7 Introduction to SMS

Module 1 SMS course

Module 2 Basic safety

Module 3  3  Introduction to safety

introduction

concepts

management

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ICAO Safety Management Systems (SMS) Course 

Module 4 Hazards ‹#› 

 

Objective  When completing the module the participants will be able to

describe the requirements associated with the operation of  an SMS

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ICAO Safety Management Systems (SMS) Course 

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Outline Safety risk management  Safety assurance 



Safety promotion



Questions and answers



Points to remember 

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ICAO Safety Management Systems (SMS) Course 

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ICAO SMS framework 

Safety policy and 1.1 – Manageme Management nt objectives commitment and responsibility 1.2 – Safety accountabilities 1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning

 – SMS documentation  1.5 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 improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communica communication tion Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

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Safety risk management  –

2.1 Hazard identification (Module 4)  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

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ICAO Safety Management Systems (SMS) Course 

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Safety risk management 2.1 Hazard identification  identification   Safety reporting systems –  A A special mention  –

better actual system performance than Nobody knows better actual operational personnel Mandatory reporting system Voluntary reporting

systems

Confidential reporting systems The requirements of safety reporting systems may vary

among States Module N °  °  9

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Safety risk management 2.1 Hazard identification  identification   Reporting systems  –

People are reluctant to report Why? Retaliation 

Self-incrimination Embarrassment

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ICAO Safety Management Systems (SMS) Course 

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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

information  Protection of recorded information  Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

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Safety risk management 2.1 Hazard identification  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

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and informative

ICAO Safety Management Systems (SMS) Course 

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Safety risk management 2.1 Hazard identification  identification   Four steps for action:  –

1. Re Repo port rtin ingg haz hazar ards ds,, ev even ents ts or sa safe fety ty co conc ncer erns ns 2. Co Collllec ectiting ng an andd sto stori ring ng th thee da data ta 3. Analyzing reports 4. Di Dist stri ribu butiting ng the the info inform rmat atio ionn disti distilllled ed from from the the ana analy lysi siss

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

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ICAO SMS framework 

Safety policy and 1.1 – Manageme Management nt objectives 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 improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communica communication tion Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

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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

Intolerable region

A L A R P

safety risks assessed to the consequences of hazards in operations to ALARP Module N °  °  9

Tolerable region

ICAO Safety Management Systems (SMS) Course 

Acceptable region

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ICAO SMS framework 

Safety policy and 1.1 – Manageme Management nt objectives 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 measureme measurement nt 3.2 – The management of change 3.3 – Continuous improvement improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communica communication tion  –

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

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 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

Safety requirements

Safety performance targets

1.

Training Traini ng cou course rse for dri driver verss / inst install allati ation on of spec specifi ificc signage.

2.

Thric Th rice-d e-dail ailyy wa walklk-in in ram ramp p ins inspe pecti ction on pro progra gramme mme..

3.

…

1.

Mainta Mai ntain in no mo more re tha than n 20 20 eve events nts of una unauth uthori orize zed d

2.

vehicles on the taxiways per 10,000 operations. By Jan Janua uary ry 200 20099 redu reduce ce to 8 FO FOD D event eventss on on the the apro apron n per 10,000 operations.

3.

Safety performance indicators

Service provider 

 

…

1.

20 eve events nts of una unauth uthori orize zed d veh vehicl icles es on the the tax taxiwa iways ys per  per  10,000 operations.

2.

15 FO FOD D eve events nts on the ap apron ron per 10 10,00 ,0000 ope operat ration ions. s.

3.

...

Will comply all applicable national and international standards.

risks controls Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

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 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 …  Module N

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ICAO Safety Management Systems (SMS) Course 

 

 Safety assurance 3.1 Safety performance monitoring and measurement  Safety audits  audits are used to ensure that the structure of the SMS is sound in terms of:  –

Levels of staff  Compliance with approved procedures and Level of competency and training to: operate equipment and facilities maintain their levels of performance

instructions

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ICAO Safety Management Systems (SMS) Course 

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 Safety assurance 3.1 Safety performance monitoring and measurement  measurement   –

 Safety surveys  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

Module N    9

ICAO Safety Management Systems (SMS) Course 

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 Safety assurance 3.1 Safety performance monitoring and measurement  measurement   Safety surveys  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

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ICAO Safety Management Systems (SMS) Course 

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 Safety assurance 3.1 Safety performance monitoring and measurement  Internal safety investigations  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)

Module N    9

ICAO Safety Management Systems (SMS) Course 

 

ICAO SMS framework policy and  Safety 1.1 – Manageme Management nt objectives 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 improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communica communication tion  –

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ICAO Safety Management Systems (SMS) Course 

 

 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

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ICAO Safety Management Systems (SMS) Course 

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 Safety assurance 3.2 The management of change  –

permanent changes due  Aviation organizations experience permanent 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

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

 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 … 

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Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

ICAO SMS framework policy and  Safety 1.1 – Manageme Management nt objectives 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  SMS   Safety promotion 4.1 – Training and education 4.2 – Safety communica communication tion  –

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Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

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 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

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

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 Safety assurance 3.3 Continuous improvement of the SMS  –

 Continuing improvement is achieved through: 

Proactive evaluation of facilities,through equipment, documentation and procedures safety studies, reviews, audits and surveys

Proactive  evaluation of the individuals’ performance, to Proactive verify the fulfilment of their safety responsibilities and accountabilities

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

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 Safety assurance 3.3 Continuous improvement of the SMS  –

 Continuing improvement is achieved through:

Reactive  evaluations in order to verify Reactive

the effectiveness of the system for control and mitigation of risks, for  example through information obtained from: investigations  Accidents, incidents and major events investigations

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ICAO Safety Management Systems (SMS) Course 

 

Safety Risk Management (SRM) and Safety Assurance (SA) Summary  –

Design

Operation

System description/gap analysis

System operation

SRM

SA

Description and context

Safety performance Hazard identification

monitoring and measurement

Specific information

Safety risks assessment

Continuous improvement

 Analysis

Safety risks

Mgt. of  change

 Assessment

Safety risks mitigation

Corrective action

Problem resolution

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

ICAO SMS framework policy and objectives  Safety 1.1 – Manageme Management nt 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 improvement of the SMS  Safety promotion 4.1 Training and education 4.2 – Safety communica communication tion  –

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ICAO Safety Management Systems (SMS) Course 

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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’ss involvement in the SMS  individual’

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

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

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ICAO Safety Management Systems (SMS) Course 

 

Safety promotion 4.1 Training and education  –

Who?  Operational

personnel  Managers and supervisors  Senior managers  Accountable executive

Why? 

To ensure that personnel are trained and competent to perform the SMS duties

How much?   Appropriate

to the

individual’s involvementt in the involvemen SMS

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ICAO Safety Management Systems (SMS) Course 

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Safety promotion 4.1 Training and education A building block approach  –

Operational personnel 1) Organ Organizati ization on safety policy 2)SMS fundamentals and overview

 –

Managers and supervisors 3) The saf safety ety process 4) Ha Haza zard rd identification identifica tion and risk management 5)The management of  change

Senior managers 6) Organ Organizati izational onal safety standards and national regulations 7) Saf Safety ety assura assurance nce

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

Safety promotion education  4.1 Training and education   Accountable executive – A  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

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Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

ICAO SMS framework policy and objectives  Safety 1.1 – Manageme Management nt 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 improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 Safety communication  –

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Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

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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

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

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

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Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

SMS operation

Questions and answers

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Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

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Questions and answers 

Q:  Name four qualities of successful confidential reporting Q: systems.



A:   A: 

Reports easy to make.



No disciplinary actions as result of reports.



Reports are confidential.



Feedback is rapid, accessible and informative.

Slide number: 10

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

Questions and answers Q:  What are the tools used for the safety performance  Q: 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

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ICAO Safety Management Systems (SMS) Course 

 

Questions and answers Q:  What is the objective of a formal management of change  Q: process?

A:    A: describe the arrangements to ensure safety

before implementing changes

performance

to eliminate or modify safety risk controls that are no

longer needed or effective due to changes in the operational environment

Slide number: 22

Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

Points to remember  1. Ke Keyy ingr ingred edie ient ntss for for suc succe cess ssfu full rep repor ortiting  ng  2. Th Thee imp impor orta tanc ncee of of a fo form rmal al ma mana nage geme ment nt of ch chan ange ge 3. Safety training  – Who, why and how much 4. Safety communication

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Module N °  °  9

ICAO Safety Management Systems (SMS) Course 

 

Module N 9 SMS °

 –

operation

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