1. Revision N° 11ICAO Safety Management Systems (SMS) Course01/01/08 Module N° 9 – SMS operation

2. ICAO Safety Management Systems (SMS) Course 2 Module N° 9 Building an SMS Module 1 SMS course introduction Module 2 Basic safety concepts Module 3 Introduction to safety management Module 4 Hazards Module 5 Risks Module 6 SMS regulation Module 7 Introduction to SMS Module 9 SMS operation Module 8 SMS planning Module 10 Phased approach to SMS Implementation Safety Management System Module 6 SMS regulation Module 7 Introduction to SMS Module 9 SMS operation Module 8 SMS planning Module 10 Phased approach to SMS Implementation

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

4. Module N° 9ICAO Safety Management Systems (SMS) Course 4 Outline  Safety risk management  Safety assurance  Safety promotion  Questions and answers  Points to remember

5. Module N° 9ICAO Safety Management Systems (SMS) Course 5 ICAO SMS framework  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 – Coordination of emergency response planning 1.6 – Documentation  Safety risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – The management of change 3.3 – Continuous improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communication

6. Module N° 9ICAO Safety Management Systems (SMS) Course 6  Safety risk management 2.1 – Hazard identification processes (Module 4)  A formal means of collecting, recording, acting on and generating feedback about hazards and risks in operations.  Three methods:  Reactive  Proactive  Predictive

7. Module N° 9ICAO Safety Management Systems (SMS) Course 7 2.1 – Hazard identification processes  Reporting systems – A special mention  Nobody knows better actual system performance than operational personnel.  Mandatory reporting system.  Voluntary reporting systems.  Confidential reporting systems.  The reporting requirements may vary among States.  Safety risk management

8. Module N° 9ICAO Safety Management Systems (SMS) Course 8 2.1 – Hazard identification processes  Reporting systems  People are reluctant to report.  Why?  Retaliation.  Self-incrimination.  Embarrassment.  Safety risk management

9. Module N° 9ICAO Safety Management Systems (SMS) Course 9 2.1 – Hazard identification processes  Typical qualities of successful confidential reporting systems:  Reports easy to make.  No disciplinary actions as result of reports.  Reports are confidential.  Feedback is rapid, accessible and informative.  Safety risk management

10. Module N° 9ICAO Safety Management Systems (SMS) Course 10 2.1 – Hazard identification processes  Four steps for action: 1.Reporting hazards, events or safety concerns. 2.Collecting and storing the data. 3.Analyzing reports. 4.Distributing the information distilled from the analysis.  Safety risk management

11. Module N° 9ICAO Safety Management Systems (SMS) Course 11 ICAO SMS framework  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 – Coordination of emergency response planning 1.6 – Documentation  Safety risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – The management of change 3.3 – Continuous improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communication

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

13. Module N° 9ICAO Safety Management Systems (SMS) Course 13 ICAO SMS framework  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 – Coordination of emergency response planning 1.6 – Documentation  Safety risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – The management of change 3.3 – Continuous improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communication

14. Module N° 9ICAO Safety Management Systems (SMS) Course 14  Safety assurance 3.1 – Safety performance monitoring and measurement  The process by which the safety performance of the organization is verified in comparison to the approved safety policies and objectives.  Safety reporting  Safety studies  Safety reviews  Audits  Surveys  Internal safety investigations ……

15. Module N° 9ICAO Safety Management Systems (SMS) Course 15 3.1 – Safety performance monitoring and measurement  Safety audits are used to ensure that the structure of the SMS is sound in terms of:  Levels of staff;  Compliance with approved procedures and instructions;  Level of competency and training to:  Operate equipment and facilities; and  Maintain their levels of performance.  Safety assurance

16. Module N° 9ICAO Safety Management Systems (SMS) Course 16 3.1 – Safety performance monitoring and measurement  Safety 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.  Safety assurance

17. Module N° 9ICAO Safety Management Systems (SMS) Course 17 3.1 – Safety performance monitoring and measurement  Safety 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.  Safety assurance

18. Module N° 9ICAO Safety Management Systems (SMS) Course 18 3.1 – Safety performance monitoring and measurement  Internal safety 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)  Safety assurance

19. Module N° 9ICAO Safety Management Systems (SMS) Course 19 ICAO SMS framework  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 – Coordination of emergency response planning 1.6 – Documentation  Safety risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – The management of change 3.3 – Continuous improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communication

20. Module N° 9ICAO Safety Management Systems (SMS) Course 20 3.2 – The management of change  Aviation organizations experience permanent change due 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.  Safety assurance

21. Module N° 9ICAO Safety Management Systems (SMS) Course 21 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. ……  Safety assurance

22. Module N° 9ICAO Safety Management Systems (SMS) Course 22 3.2 – The management of change  A formal management of change process should:  identify changes within the organization which may affect established processes and services.  prior to implementing changes describe the arrangements to ensure safety performance.  Safety assurance

23. Module N° 9ICAO Safety Management Systems (SMS) Course 23 ICAO SMS framework  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 – Coordination of emergency response planning 1.6 – Documentation  Safety risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – The management of change 3.3 – Continuous improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communication

24. Module N° 9ICAO Safety Management Systems (SMS) Course 24 3.3 – Continuous improvement of the SMS  Continuing improvement aims at:  Determining the immediate causes of below standard performance and their implications in the operation of the SMS.  Rectifying situations involving below standard performance identified through safety assurance activities.  Safety assurance

25. Module N° 9ICAO Safety Management Systems (SMS) Course 25 3.3 – Continuous improvement of the SMS  Continuing improvement is achieved through:  Proactive evaluation of facilities, equipment, documentation and procedures through audits and surveys.  Proactive evaluation of the individuals’ performance, to verify the fulfilment of their safety responsibilities.  Safety assurance

26. Module N° 9ICAO Safety Management Systems (SMS) Course 26 3.3 – Continuous improvement of the SMS  Continuing improvement is achieved through:  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

27. Module N° 9ICAO Safety Management Systems (SMS) Course 27 ICAO SMS framework  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 – Coordination of emergency response planning 1.6 – Documentation  Safety risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – The management of change 3.3 – Continuous improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communication

28. Module N° 9ICAO Safety Management Systems (SMS) Course 28  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.

29. Module N° 9ICAO Safety Management Systems (SMS) Course 29 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 involvement in the SMS.  Safety promotion

30. Module N° 9ICAO Safety Management Systems (SMS) Course 30 4.1 – Training and education  A building block approach  Operational personnel  Organization safety policy  SMS fundamentals and overview  Managers and supervisors  The safety process  Hazard identification and risk management  The management of change  Senior managers  Organizational safety standards and national regulations  Safety assurance  Safety promotion

31. Module N° 9ICAO Safety Management Systems (SMS) Course 31 4.1 – Training and education  Accountable executive – A special mention  Awareness of:  SMS roles and responsibilities  Safety policy  SMS Standards  Safety assurance  Safety promotion

32. Module N° 9ICAO Safety Management Systems (SMS) Course 32 ICAO SMS framework  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 – Coordination of emergency response planning 1.6 – Documentation  Safety risk management 2.1 – Hazard identification processes 2.2 – Risk assessment and mitigation processes  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – The management of change 3.3 – Continuous improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communication

33. Module N° 9ICAO Safety Management Systems (SMS) Course 33 4.2 – Safety communication  Safety communication aims to:  Ensure that all staff are fully aware of the SMS.  Convey safety critical information.  Explain why particular actions are taken.  Explain why safety procedures are introduced or changed.  Convey “nice-to-know” information.  Safety promotion

34. Module N° 9ICAO Safety Management Systems (SMS) Course 34 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 a positive culture.  Safety promotion

35. ICAO Safety Management Systems (SMS) Course 35 Module N° 9 Management commitment SMS at a glance Aviation community stakeholders Effectiveness Efficiency Safety Safety policy and objectives Safety risk management Safety promotion Safety assurance

36. ICAO Safety Management Systems (SMS) Course 36 Module N° 9 Questions and answers SMS operation

37. Module N° 9ICAO Safety Management Systems (SMS) Course 37 Questions and answers  Q: Name four qualities of successful confidential reporting systems.  A:  Reports easy to make.  No disciplinary actions as result of reports.  Reports are confidential.  Feedback is rapid, accessible and informative Slide number: 9

38. Module N° 9ICAO Safety Management Systems (SMS) Course 38 Questions and answers  Q: What is safety performance monitoring and measurement?  A:  The process by which the safety performance of the organization is verified in comparison to the approved safety policies and objectives. Slide number: 14

39. Module N° 9ICAO Safety Management Systems (SMS) Course 39 Questions and answers  Q: What is the objective of a formal management of change process?  A:  A formal management of change process should:  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

40. Module N° 9ICAO Safety Management Systems (SMS) Course 40 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

41. Revision N° 11ICAO Safety Management Systems (SMS) Course01/01/08 Module N° 9 – SMS operation