George Firican ICAO EUR/NAT Regional Officer Almaty, 5 to 9 September 2005 SAFETY MANAGEMENT SYSTEMS

2 Almaty, 5 – 9 September 2005 SUMMARY  What is SMS?  Why SMS?  Definitions  Systems approach  SMS Strategy  SMS principles  Building an SMS  Safety culture  Safety versus efficiency  Safety through SMS  Basic safety process  Traditional versus current  Safety management

3 Almaty, 5 – 9 September 2005 SAFETY MANAGEMENT SYSTEM  Businesslike approach to safety  Managing safety risks  Setting goals  Planning  Measuring performance  Integral part of an organization  Organizational culture  Way people work

4 Almaty, 5 – 9 September 2005 WHY SMS?  Accident causes  Human errors?  Causal factors  Chain links  Organizational issues  Making the system safer  Actions by an organization  Systems approach to safety management  Address latent failures  ICAO requirements

5 Almaty, 5 – 9 September 2005 NOTIONS  Failure - system  Fault - equipment  Error - human  Active failures – can be observed  Latent failures – (hidden) hazards, unsafe conditions ERROR and/or FAULT = FAILURE

6 Almaty, 5 – 9 September 2005 SYSTEMS APPROACH  System includes  People  Procedures  Technology  Role of organization  Prevention of  Accidents  Incidents  Safety management includes:  whole range of activities  all levels of organization

7 Almaty, 5 – 9 September 2005 SMS STRATEGIES (1/2) Reactive strategy – investigate accidents and incidents  Focused on compliance  Measured on accidents and incidents limited by:  Actual failures  Insufficient data  “root causes”unknown  Constant catching up required to match human inventiveness for new errors

8 Almaty, 5 – 9 September 2005 SMS STRATEGIES (2/2) Proactive strategy - constant and aggressive seek for information through:  Reporting systems  Identifying latent conditions  Safety surveys  Data analysis  Operational inspections  Operational audits

9 Almaty, 5 – 9 September 2005  Organization  Safety assessments  Occurrence reporting  Hazard identification  Investigation & analysis  Performance monitoring  Safety promotion  Safety monitoring KEY SAFETY MANAGEMENT ACTIVITIES

10 Almaty, 5 – 9 September 2005 SMS PRINCIPLES The Four Principles (4 Ps) of Safety Management:  Philosophy  Policy  Procedure  Practices

11 Almaty, 5 – 9 September 2005 SMS PHILOSOPHY Safety management starts with Management Philosophy:  recognizing that there will always be threats to safety;  setting the organization's standards; and  confirming that safety is everyone's responsibility.

12 Almaty, 5 – 9 September 2005 SMS POLICY Specify how safety will be achieved:  clear statements of responsibility, authority, and accountability;  development of organizational processes and structures to incorporate safety goals into every aspect of the operation; and  development of the skills and knowledge necessary to do the job.

13 Almaty, 5 – 9 September 2005 SMS PROCEDURES What management wants people to do to execute the policy:  clear direction to all staff;  means for planning, organizing, and controlling; and  means for monitoring and assessing safety status and processes (e.g. reporting and communication)

14 Almaty, 5 – 9 September 2005 SMS PRACTICES What really happens on the job:  following well designed, effective procedures;  avoiding the shortcuts that can detract from safety; and  taking appropriate action when a safety concern is identified.

15 Almaty, 5 – 9 September 2005 BUILDING A SMS  Good ideas do not guarantee success  Resistance to change  Three critical elements to success:  Commitment  Cognizance  Competence

16 Almaty, 5 – 9 September 2005 SAFETY CULTURE Organisation’s culture is defined by: “… what people do” “… how we do things around here” Safety culture is:  “Informed” culture  “Just” culture  “Reporting” culture  “Learning” culture

17 Almaty, 5 – 9 September 2005 INFORMED CULTURE  People understand  Hazards  Risks  Staff work continuously to  Identify  Overcome threats to safety

18 Almaty, 5 – 9 September 2005 JUST CULTURE  Errors  Human factors understood  Willful violations  Not tolerated  Everyone agrees on  Acceptable  Unacceptable

19 Almaty, 5 – 9 September 2005 REPORTING CULTURE  People encouraged to voice safety concerns  Safety concerns  Reported  Analyzed  Action taken  Feed-back

20 Almaty, 5 – 9 September 2005 LEARNING CULTURE  People encouraged to develop and apply  Skills  Knowledge  Staff updated and informed on safety issues  Safety reports are fed back to staff

21 Almaty, 5 – 9 September 2005 ENCOURAGING SAFETY CULTURE Management:  Practices what it preaches  Allocates adequate resources  Acknowledges safety concerns and suggestions  Gives feedback on decisions  Feedbacks are timely, relevant and clear  “Do nothing” decisions - explained

22 Almaty, 5 – 9 September 2005 SAFETY VERSUS EFFICIENCY  Traditional thinking:  Avoid costs  Cost of occurrences  Cost of accidents  Current (modern) thinking:  Safety and efficiency linked:  Safety reduces losses  Safety enhances productivity  Safety is good for business

23 Almaty, 5 – 9 September 2005 SAFETY THROUGH SMS SMS approach:  Proactive  Anticipates and addresses issues (e.g. latent failures)  Deals effectively with incidents and accidents  Applies lessons learned to improve safety  Reduces losses  Improves productivity

24 Almaty, 5 – 9 September 2005 BASIC SAFETY PROCESS REPORT: safety concern problem hazard occurrence ANALYSEANALYSE CORRECTCORRECT Evaluate Resolved Not resolved

25 Almaty, 5 – 9 September 2005 TRADITIONAL VERSUS CURRENT (1/2) Traditional approach  Independent safety officer  Reporting to head of organization  No authority  Results achieved  Ability to persuade management

26 Almaty, 5 – 9 September 2005 TRADITIONAL VERSUS CURRENT (2/2) Current Approach  SMS basic safety process  Part of organization’s management  No additional regulations  No additional safety oversight  Managers accountable  Safety-related actions  No action

27 Almaty, 5 – 9 September 2005 SAFETY MANAGEMENT  Management of organisation is  Responsible  Accountable  Authority and accountability co-exist

28 Almaty, 5 – 9 September 2005 Review  What is SMS?  Why SMS?  Definitions  Systems approach  SMS Strategy  SMS principles  Building an SMS  Safety culture  Safety versus efficiency  Safety through SMS  Basic safety process  Traditional versus current  Safety management

29 Almaty, 5 – 9 September 2005 QUESTIONS, COMMENTS ?

George Firican ICAO EUR/NAT Regional Officer Almaty, 5 to 9 September 2005 SAFETY MANAGEMENT SYSTEMS - END -