Module N° 8 – SMS planning Safety Management Systems (SMS) Course

Module N° 8 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

Module N° 8 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 planning of an SMS, and explain the structure of an SMS implementation plan. à When completing the module the participants will be able to describe the requirements associated to the planning of an SMS, and explain the structure of an SMS implementation plan.

Module N° 8 ICAO Safety Management Systems (SMS) Course 4 Outline àThe components of SMS à The elements of SMS àSafety policy and objectives àQuestions and answers àPoints to remember àExercise 08/01 – Cuzco International Airport operation (See Handout N° 5) àThe components of SMS à The elements of SMS àSafety policy and objectives àQuestions and answers àPoints to remember àExercise 08/01 – Cuzco International Airport operation (See Handout N° 5)

Module N° 8 ICAO Safety Management Systems (SMS) Course 5 The components of SMS  Safety policy and objectives  Safety hazard identification and risk management  Safety assurance  Safety promotion  Emergency response planning  Safety policy and objectives  Safety hazard identification and risk management  Safety assurance  Safety promotion  Emergency response planning

Module N° 8 ICAO Safety Management Systems (SMS) Course 6 The elements of SMS  Safety policy and objectives 1.1 – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan 1.5 – Documentation  Safety hazard identification and risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes 2.3 – Internal safety investigations  Safety policy and objectives 1.1 – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan 1.5 – Documentation  Safety hazard identification and risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes 2.3 – Internal safety investigations

Module N° 8 ICAO Safety Management Systems (SMS) Course 7 The elements of SMS  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  Safety promotion 4.1 – Training and education 4.2 – Safety communication  Emergency response planning 5.1 – Development of an emergency response plan  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  Safety promotion 4.1 – Training and education 4.2 – Safety communication  Emergency response planning 5.1 – Development of an emergency response plan

Module N° 8 ICAO Safety Management Systems (SMS) Course 8  Safety policy and objectives 1.1 – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan 1.5 – Documentation Reference: Doc 9859, Chapter 2 and – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan 1.5 – Documentation Reference: Doc 9859, Chapter 2 and 12

Module N° 8 ICAO Safety Management Systems (SMS) Course 9  Safety policy and objectives 1.1 – Management commitment and responsibility äSenior management must: æDevelop the safety policy, signed by the Chief Executive Officer. æEstablish the safety policy, objectives and performance standards in accordance to national and international standards and organizational priorities. æCommunicate, with visible endorsement, the safety policy, objectives and performance standards to all staff. æProvide necessary human and financial resources. 1.1 – Management commitment and responsibility äSenior management must: æDevelop the safety policy, signed by the Chief Executive Officer. æEstablish the safety policy, objectives and performance standards in accordance to national and international standards and organizational priorities. æCommunicate, with visible endorsement, the safety policy, objectives and performance standards to all staff. æProvide necessary human and financial resources.

Module N° 8 ICAO Safety Management Systems (SMS) Course 10  Safety policy and objectives 1.1 – Management commitment and responsibility äIdentify the accountable executive æSingle, identifiable person. æFull responsibility for the organization’s SMS « CEO/Chairman Board of Directors « A partner « The proprietor 1.1 – Management commitment and responsibility äIdentify the accountable executive æSingle, identifiable person. æFull responsibility for the organization’s SMS « CEO/Chairman Board of Directors « A partner « The proprietor

Module N° 8 ICAO Safety Management Systems (SMS) Course 11  Safety policy and objectives 1.1 – Management commitment and responsibility äAccountable executive must have: æFull authority for human resources issues. æAuthority for major financial issues. æDirect responsibility for the conduct of the organization‘s affairs. æFinal authority over operations under certificate. æFinal responsibility for all safety issues. 1.1 – Management commitment and responsibility äAccountable executive must have: æFull authority for human resources issues. æAuthority for major financial issues. æDirect responsibility for the conduct of the organization‘s affairs. æFinal authority over operations under certificate. æFinal responsibility for all safety issues.

Module N° 8 ICAO Safety Management Systems (SMS) Course 12  Safety policy and objectives 1.1 – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel SMS implementation plan 1.4 – SMS implementation plan 1.5 – Documentation Reference: Doc 9859, Chapter – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel SMS implementation plan 1.4 – SMS implementation plan 1.5 – Documentation Reference: Doc 9859, Chapter 12

Module N° 8 ICAO Safety Management Systems (SMS) Course – Safety accountabilities of managers äSMS organization äSafety responsibilities of key personnel 1.2 – Safety accountabilities of managers äSMS organization äSafety responsibilities of key personnel  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course 14 Safety responsibilities – An example Accountable executive Flight safety officer Maintenance safety officer Safety Action Group (s) (SAG) Safety Review Board (SRB) Director of operations Director of maintenance Other directorates Safety office

Module N° 8 ICAO Safety Management Systems (SMS) Course 15  Safety policy and objectives 1.1 – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – 1.3 – Appointment of key safety personnel SMS implementation plan 1.4 – SMS implementation plan 1.5 – Documentation Reference: Doc 9859, Chapter – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – 1.3 – Appointment of key safety personnel SMS implementation plan 1.4 – SMS implementation plan 1.5 – Documentation Reference: Doc 9859, Chapter 15

Module N° 8 ICAO Safety Management Systems (SMS) Course 16 Safety responsibilities Accountable executive Flight safety officer Maintenance safety officer Safety Action Group (s) (SAG) Safety Review Board (SRB) Director of operations Director of maintenance Other directorates Safety office

Module N° 8 ICAO Safety Management Systems (SMS) Course – Appointment of key safety personnel äThe safety office – Corporate functions æAdvising senior management on safety matters. æAssisting line managers. æOverseeing hazard identification systems. 1.3 – Appointment of key safety personnel äThe safety office – Corporate functions æAdvising senior management on safety matters. æAssisting line managers. æOverseeing hazard identification systems.  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course – Appointment of key safety personnel äThe safety manager – Responsibilities æAccountable individual and focal point for the development and maintenance of an effective safety management system: « Reports to the CEO. « Facilitates SAG. « Sits on SRB. 1.3 – Appointment of key safety personnel äThe safety manager – Responsibilities æAccountable individual and focal point for the development and maintenance of an effective safety management system: « Reports to the CEO. « Facilitates SAG. « Sits on SRB.  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course – Appointment of key safety personnel äThe safety manager – Responsibilities æ Manages of the SMS implementation plan. æFacilitates hazard identification and risk analysis and management. æMonitors the effectiveness of corrective actions. æProvides periodic reports on safety performance. æMaintains safety documentation. æPlans and organizes staff safety training. æProvides independent advice on safety matters. 1.3 – Appointment of key safety personnel äThe safety manager – Responsibilities æ Manages of the SMS implementation plan. æFacilitates hazard identification and risk analysis and management. æMonitors the effectiveness of corrective actions. æProvides periodic reports on safety performance. æMaintains safety documentation. æPlans and organizes staff safety training. æProvides independent advice on safety matters.  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course – Appointment of key safety personnel äThe safety manager – Selection criteria æOperational management experience and technical background to understand the systems that support operations. æPeople skills. æAnalytical and problem-solving skills. æProject management skills. æOral and written communications skills. 1.3 – Appointment of key safety personnel äThe safety manager – Selection criteria æOperational management experience and technical background to understand the systems that support operations. æPeople skills. æAnalytical and problem-solving skills. æProject management skills. æOral and written communications skills.  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course 21 Safety responsibilities Accountable executive Flight safety officer Maintenance safety officer Safety Action Group (s) (SAG) Safety Review Board (SRB) Director of operations Director of maintenance Other directorates Safety office

Module N° 8 ICAO Safety Management Systems (SMS) Course – Appointment of key safety personnel äThe Safety Review Board (SRB): æHigh level committee æStrategic safety functions « Chaired by CEO. « It may include the Board of Directors. « Composed of heads of functional areas. 1.3 – Appointment of key safety personnel äThe Safety Review Board (SRB): æHigh level committee æStrategic safety functions « Chaired by CEO. « It may include the Board of Directors. « Composed of heads of functional areas.  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course – Appointment of key safety personnel äSRB monitors : æSafety performance against the safety policy and objectives. æEffectiveness of the SMS implementation plan. æEffectiveness of the safety supervision of sub- contracted operations. äEnsure that appropriate resources are allocated to achieve the established safety performance. äGives strategic direction to the SAG 1.3 – Appointment of key safety personnel äSRB monitors : æSafety performance against the safety policy and objectives. æEffectiveness of the SMS implementation plan. æEffectiveness of the safety supervision of sub- contracted operations. äEnsure that appropriate resources are allocated to achieve the established safety performance. äGives strategic direction to the SAG  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course 24 Safety responsibilities Accountable executive Flight safety officer Maintenance safety officer Safety Action Group (s) (SAG) Safety Review Board (SRB) Director of operations Director of maintenance Other directorates Safety office

Module N° 8 ICAO Safety Management Systems (SMS) Course – Appointment of key safety personnel äSafety Action Group(s) (SAG): strategic æReports to SRB and takes strategic direction from SRB. æMembers: « Managers and supervisors from functional areas. 1.3 – Appointment of key safety personnel äSafety Action Group(s) (SAG): strategic æReports to SRB and takes strategic direction from SRB. æMembers: « Managers and supervisors from functional areas.  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course – Appointment of key safety personnel äSAG: æOversees operational safety within the functional area. æResolves identified risks. æAssesses the impact on safety of operational changes. æ Implements corrective action plans. æEnsures that corrective action is taken in a timely manner. æ Review the effectiveness of previous safety recommendations. æ Safety promotion. 1.3 – Appointment of key safety personnel äSAG: æOversees operational safety within the functional area. æResolves identified risks. æAssesses the impact on safety of operational changes. æ Implements corrective action plans. æEnsures that corrective action is taken in a timely manner. æ Review the effectiveness of previous safety recommendations. æ Safety promotion.  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course 27  Safety policy and objectives 1.1 – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan 1.5 – Documentation Reference: Doc 9859, Chapter – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan 1.5 – Documentation Reference: Doc 9859, Chapter 12

Module N° 8 ICAO Safety Management Systems (SMS) Course – SMS implementation plan äDeveloped by a planning group, which: æComprises an appropriate experience base. æMeets regularly with senior management. æReceives resources (including time for meetings). äA realistic strategy for the implementation of an SMS that will meet the organization’s safety needs. äA definition of the approach the organization will adopt for managing safety. 1.4 – SMS implementation plan äDeveloped by a planning group, which: æComprises an appropriate experience base. æMeets regularly with senior management. æReceives resources (including time for meetings). äA realistic strategy for the implementation of an SMS that will meet the organization’s safety needs. äA definition of the approach the organization will adopt for managing safety.  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course – SMS implementation plan – Contents 1)Safety policy 2)Safety planning, objectives and goals 3)System description 4)Gap analysis 5)SMS components 6)Safety roles and responsibilities 7)Non-punitive safety reporting policy 8)Means of employee involvement 9)Safety communication 10)Safety performance measurement 11)Management review (of safety performance) 1.4 – SMS implementation plan – Contents 1)Safety policy 2)Safety planning, objectives and goals 3)System description 4)Gap analysis 5)SMS components 6)Safety roles and responsibilities 7)Non-punitive safety reporting policy 8)Means of employee involvement 9)Safety communication 10)Safety performance measurement 11)Management review (of safety performance)  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course – SMS implementation plan äSenior management endorses the plan. äTypical implementation time frame will be one to four years ahead (Phased approach). 1.4 – SMS implementation plan äSenior management endorses the plan. äTypical implementation time frame will be one to four years ahead (Phased approach).  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course 31  Safety policy and objectives 1.1 – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan 1.5 – Documentation Reference: Doc 9859, Chapter – Management commitment and responsibility 1.2 – Safety accountabilities of managers 1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan 1.5 – Documentation Reference: Doc 9859, Chapter 12

Module N° 8 ICAO Safety Management Systems (SMS) Course – Documentation äApplicable regulations äSMS records and documentation äRecords management äThe Safety Management Manual (SMM) 1.5 – Documentation äApplicable regulations äSMS records and documentation äRecords management äThe Safety Management Manual (SMM)  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course – Documentation – Safety policy and objectives àDefine, document and endorse a safety policy confirming the objectives identified during the planning phase. àSafety policy must include a commitment to: äAchieve the highest safety standards. äObserve all applicable legal requirements and international standards, and best effective practices. äProvide appropriate resources. äEnforce safety as one primary responsibility of all managers. äEnsure that the policy is understood, implemented and maintained at all levels. 1.5 – Documentation – Safety policy and objectives àDefine, document and endorse a safety policy confirming the objectives identified during the planning phase. àSafety policy must include a commitment to: äAchieve the highest safety standards. äObserve all applicable legal requirements and international standards, and best effective practices. äProvide appropriate resources. äEnforce safety as one primary responsibility of all managers. äEnsure that the policy is understood, implemented and maintained at all levels.  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course – Documentation – Safety management manual (SMM) äKey instrument for communicating the organization’s approach to safety to the whole organization. äDocuments all aspects of the SMS, including the safety policy, objectives, procedures and individual safety accountabilities. 1.5 – Documentation – Safety management manual (SMM) äKey instrument for communicating the organization’s approach to safety to the whole organization. äDocuments all aspects of the SMS, including the safety policy, objectives, procedures and individual safety accountabilities.  Safety policy and objectives

Module N° 8 ICAO Safety Management Systems (SMS) Course 35  Safety policy and objectives 1.Scope of the safety management system. 2.The safety policy and objectives. 3.Safety accountabilities. 4.Key safety personnel. 5.Documentation control procedures. 1.Scope of the safety management system. 2.The safety policy and objectives. 3.Safety accountabilities. 4.Key safety personnel. 5.Documentation control procedures. 6.Hazard identification and risk management schemes. 7.Safety performance monitoring. 8.Emergency response planning. 9.Management of change. 10.Safety auditing. 11.Safety promotion. 1.5 – Documentation – SMMcontents 1.5 – Documentation – SMM contents

Module N° 8 ICAO Safety Management Systems (SMS) Course 36 Conclusion àThe successful management of safety is a functional responsibility that requires the participation of all operational personnel and the supervision of the organization (Systematic). àThis principle must be reflected in the structure of the organization (Explicit). àThe successful management of safety is a functional responsibility that requires the participation of all operational personnel and the supervision of the organization (Systematic). àThis principle must be reflected in the structure of the organization (Explicit).

Module N° 8 ICAO Safety Management Systems (SMS) Course 37 Conclusion àThe organization must define, document and communicate individual lines of responsibility and authority in regard to the management of operational safety (Explicit). àThe means to manage safety within the organization include hazard identification, risk management, safety assurance and safety promotion (Proactive). àThe organization must define, document and communicate individual lines of responsibility and authority in regard to the management of operational safety (Explicit). àThe means to manage safety within the organization include hazard identification, risk management, safety assurance and safety promotion (Proactive).

Module N° 8 ICAO Safety Management Systems (SMS) Course 39 Q&A à Q: What are the elements of the SMS component à Q: What are the elements of the SMS component hazard identification and risk management ? à A: à A: ? à Q: What are the elements of the SMS component à Q: What are the elements of the SMS component hazard identification and risk management ? à A: à A: ? Slide number:

Module N° 8 ICAO Safety Management Systems (SMS) Course 40 Q&A à Q: What does the SMS element safety accountabilities of managers comprise? à A: ? à Q: What does the SMS element safety accountabilities of managers comprise? à A: ? Slide number:

Module N° 8 ICAO Safety Management Systems (SMS) Course 41 Q&A à Q: à Q: What is the safety manager selection criteria? à A: ? à Q: à Q: What is the safety manager selection criteria? à A: ? Slide number:

Module N° 8 ICAO Safety Management Systems (SMS) Course 42 Q&A Q: List five subjects that should be included in the contents of the safety management manual (SMM). A: Slide number:

Module N° 8 ICAO Safety Management Systems (SMS) Course 43 Points to remember 1.The five components of an SMS. 2.The elements of an SMS. 3.The SMS implementation plan. 4.The importance of documenting safety responsibilities. 5.The SMM. 6.SRB, SAG and the safety manager. 7. Safety responsibilities. 1.The five components of an SMS. 2.The elements of an SMS. 3.The SMS implementation plan. 4.The importance of documenting safety responsibilities. 5.The SMM. 6.SRB, SAG and the safety manager. 7. Safety responsibilities.

Module N° 8 ICAO Safety Management Systems (SMS) Course 45 Exercise 08/01 – Cuzco International Airport operation à Group activity: äA facilitator will be appointed, who will coordinate the discussion. äA summary of the discussion will be written on flip charts, and a member of the group will brief on their findings in a plenary session. à Group activity: äA facilitator will be appointed, who will coordinate the discussion. äA summary of the discussion will be written on flip charts, and a member of the group will brief on their findings in a plenary session.

Module N° 8 ICAO Safety Management Systems (SMS) Course 46 Velazco Astete Airport Elevation ft ft Hazard assessment of the operation. Control and/or mitigation of the risks

Module N° 8 ICAO Safety Management Systems (SMS) Course 47 Threshold 27 Velazco Astete Airport Elevation ft

Module N° 8 ICAO Safety Management Systems (SMS) Course ft City of Cuzco Threshold 27 Threshold 09 Velazco Astete Airport

Module N° 8 ICAO Safety Management Systems (SMS) Course 49 Threshold 27 Threshold ft City of Cuzco

Module N° 8 ICAO Safety Management Systems (SMS) Course 50 Threshold 09 Threshold ft Velazco Astete Airport City of Cuzco

Module N° 8 ICAO Safety Management Systems (SMS) Course 51 Cuzco Airport characteristics and operation àVMC operation and VFR rules apply. àLanding on runway 27 only. àTake-off on runway 09 only. à Day-light aircraft operation. àVMC operation and VFR rules apply. àLanding on runway 27 only. àTake-off on runway 09 only. à Day-light aircraft operation.

Module N° 8 ICAO Safety Management Systems (SMS) Course 52 àIn case of engine fire, engine-out or emergency condition return to airport is mandatory, except if the aircraft’s weight and performance allow the aircraft to comply with obstacle clearance net trajectory. à No ILS approach is available. àVOR used for instrument letdown (URCOS) not located at the aerodrome. àIn case of engine fire, engine-out or emergency condition return to airport is mandatory, except if the aircraft’s weight and performance allow the aircraft to comply with obstacle clearance net trajectory. à No ILS approach is available. àVOR used for instrument letdown (URCOS) not located at the aerodrome. Cuzco Airport characteristics and operation

Module N° 8 ICAO Safety Management Systems (SMS) Course 53 What is the safety concern? à Issues to be considered: äAerodrome infrastructure. äNavigational radio aids. äWeather conditions. äAircraft performance. à Issues to be considered: äAerodrome infrastructure. äNavigational radio aids. äWeather conditions. äAircraft performance. äIn-flight procedures. äDocumentation äTraining: æPilots and cabin crew æFlight dispatchers æSafety ground crew

Module N° 8 ICAO Safety Management Systems (SMS) Course 54 Cuzco International Airport operation à Your task: äList the generic risk(s) and current risk(s) index (Probability/severity). äDescribe the risk(s). äDefine current measures to reduce risk(s). äDefine further actions to reduce the risk and resulting risk(s) index (Probability/severity). äEstablish individual responsibility to implement the risk mitigation. äComplete the log below (Table 08/01). à Your task: äList the generic risk(s) and current risk(s) index (Probability/severity). äDescribe the risk(s). äDefine current measures to reduce risk(s). äDefine further actions to reduce the risk and resulting risk(s) index (Probability/severity). äEstablish individual responsibility to implement the risk mitigation. äComplete the log below (Table 08/01).

Module N° 8 ICAO Safety Management Systems (SMS) Course 55 Table 08/01 – Risk control/mitigation log Risk reference Generic risk and current risk index Risk description Current measures to reduce risk Further actions to reduce risk and resulting risk index Responsibility Probability: ____ Severity:_______ Risk index:_____ Probability: ____ Severity:_______ Risk index:_____

Module N° 8 – SMS planning Safety Management Systems (SMS) Course