1. IMPLEMENTATION OF SAFETY SYSTEMS
Almaty, 5 to 9 September 2005

2. OVERVIEW System safety Safety system process
Strategies for implementation
Implementation of proactive safety strategies
Safety management systems
Defining elements
System process
Implementation and operation
Organizing for system safety
Organization structure
Commitment to safety
Almaty, 5 – 9 September 2005

3. SYSTEM SAFETY Safety and cost
Active management of all factors affecting safety
System safety as continuous process
Identification of safety issues
Analysis of risk
Corrective actions
Evaluation of results
Effectiveness of an entity
In view of the total costs of a major accident, aviation authorities (operators, service providers) need to conserve the organisation's assets and minimize its exposure to losses. Effective minimization of losses requires the prudent management of all the factors which can impact on safety. Today's airline or service provider executives should appreciate that sound safety management is as much an essential component of the entity's viability as is sound financial management.
The effective management of safety requires a realistic balance between safety and costs. A systemic approach, in which all aspects of the entity's goal and resources are analysed, offers the best option for ensuring that decisions concerning safety are realistic. The finite limits of financing and operational performance are well accepted in any industry. However, defining acceptable and unacceptable risk is as important for cost effective safety system as is specifying cost and performance factors. The process for achieving this balance is system safety.
System safety is a continuous process, involving identification of safety issues, analysis of associated risks, selection and implementation of appropriate corrective actions, and evaluation of results.
Properly implemented, system safety measures should not only increase safety levels but also improve the operational effectiveness of an entity (organisation).
Almaty, 5 – 9 September 2005

4. SAFETY SYSTEM PROCESS The system safety process involves:
Clear definition of the systems under review
hazard identification
Analysis, assessment and prioritisation of risks
Development of an action plan to mitigate these risk
Evaluation of the effectiveness of risk control measures taken 
System safety is a formal and flexible process. It requires pro-actively searching for opportunities to improve the operational process at every step of the operation, not simply identifying deficiencies after undesired events
This is a continuous loop process which confirms the validity of safety actions taken and identifies any need for further action
Almaty, 5 – 9 September 2005

5. STRATEGIES FOR IMPLEMENTATION
Reactive approach
Entity's safety focus being on compliance with minimum requirements specified by regulatory authorities
Safety measurement being based on reportable accidents/incidents
Proactive approach
Hazard and incident reporting system (including voluntary, confidential and non-punitive)
Safety surveys
Data analysis
Internal inspections and audits
Implementation of safety systems begins with the setting of an organisational strategy for safety. The strategy may range from purely reactive, for example, responding only to accidents and incidents, through to strategies that are highly proactive in their search for safety problems.
Reactive approach to safety tends to be marked by:
-                     entity's safety focus being on compliance with minimum requirements specified by regulatory authorities
-                     safety measurement being based on reportable accidents/incidents
Proactive approach by seeking information from a variety of sources which may be indicative of emerging safety problems through:
-                     hazard and incident reporting system (preferably voluntary, confidential and non-punitive)
-                     safety surveys
-                     flight data recorder analysis
-                     operational inspections or audits
Almaty, 5 – 9 September 2005

6. IMPLEMENTATION OF PROACTIVE SAFETY STRATEGIES (1 of 3)
Safety management system to incorporate comprehensive database of safety information
Analysis to identify root cause of errors
Training
Systematic monitoring and improvement of operational safety
In organisations (entities) with proactive safety strategies it is important to implement:
Safety management system to incorporate:
comprehensive database of safety information
analysis to identify the "root causes" of errors
training
systematic monitoring and improvement of operational safety
Almaty, 5 – 9 September 2005

7. IMPLEMENTATION OF PROACTIVE SAFETY STRATEGIES (2 of 3)
Requirements to reduce the risk of errors, including:
Accurate assessment of current methods of training and levels of safety
Identification of emerging potential for errors
Adjustment of error management strategies to meet changing needs
Almaty, 5 – 9 September 2005

8. IMPLEMENTATION OF PROACTIVE SAFETY STRATEGIES (3 of 3)
Maintain an effective system of safety measurement, including:
Comprehensive safety records compiled in a common database
Standardized classification scheme for coding occurrences
Periodic reports of "top" safety problems to target interventions
Trend analyses of safety levels to show safety performance and identify areas for improvement
Almaty, 5 – 9 September 2005

9. SAFETY MANAGEMENT SYSTEMS (SMS)
Organisation's safety policy
SMS application
Corporate culture
SMS is an element of corporate management responsibility which sets our the organisation's safety policy and defines how it intends to manage safety as an integral part of its overall business. Whether a small operator or service provider or a major one, an effective SMS is becoming as vital to business survival as is an effective financial management system.
SMS has application in organisations devoted to flight operations, aircraft engineering and maintenance, air and ground operations, air traffic services and aerodrome operations. Consistent with a systems approach to safety, an SMS must include accountability for those suppliers, sub-contractors and business partners with the potential to affect the company's safety performance.
SMS creates the corporate culture in which all employees at all levels practice safety in their assigned responsibilities. SMS makes safety "everybody's business". albeit with explicit objectives and lines of accountability.
Almaty, 5 – 9 September 2005

10. EFFECTIVE SMS DEFINING ELEMENTS
Corporate approach
Organisational tools
Safety monitoring
Effective SMS comprise three defining elements:
1.                   A comprehensive and systematic corporate approach sets the tone for the management of safety. The corporate approach builds upon the safety culture of the organisation and embraces the organisation's safety strategy and policies, its safety objectives and goals, and often most important, senior management's commitment to safety.
2.                   Effective organisational tools are needed to deliver the necessary activities and programmes to advance safety. It includes how the organisation arranges its affairs to fulfil its safety policies, objectives and goals, how it establishes standards and allocates resources, etc. The principal focus is on hazards and their potential effects on safety-critical activities; and
3.                   A formal system for safety oversight confirms the organisation's continuing fulfilment of its corporate safety policy, objectives, goals and standards. Feedback mechanisms are in place to facilitate continuous improvement. This include such activities as monitoring and analysis of flight data, safety audits and performance analysis, identification and adoption of the best industry practices, etc.
Almaty, 5 – 9 September 2005

11. SAFETY SYSTEM PROCESS Analysis of actual data to identify hazards
Set of priorities
Clearly established accountabilities
Situation reassessment on a recurrent basis
Safety systems are evidence-based, requiring the analysis of actual data to identify hazards. Using risk assessment techniques, priorities should be set for reducing the potential consequences of these hazards.
Strategies to reduce or eliminate these hazards should be developed and implemented with clearly established accountabilities. The situation should be reassessed on a recurrent basis and additional measures should be implemented as required.
Almaty, 5 – 9 September 2005

12. SAFETY PROCESS STEPS Data collection Analyse data
Assess the level of risk
Develop mitigating strategies
Implement mitigating strategies
Re-evaluate situation
Speaker’s notes on a separate word file
SPEAKER’S NOTES, presentation 5, slide 11
Almaty, 5 – 9 September 2005

13. SAFETY SYSTEM IMPLEMENTATION AND OPERATION
Implementing and operating require extensive skills in safety analysis
Key feature of the safety systems implementation and operation is that it is a closed loop process
Safety systems implementation and operation
Clearly, implementing and operating the safety systems require extensive skills in safety analysis, skills not often practiced by management. The more complex the analysis, the more important is the need for competent application of the most appropriate analytical tools.
Key feature of the safety systems implementation and operation is that it is a closed loop process. It requires feedback to ensure that management can test the validity of their decisions and assess the effectiveness of their implementation
Almaty, 5 – 9 September 2005

14. ORGANISING FOR SYSTEM SAFETY
Recruitment of suitably qualified personnel
Safety awareness training for the staff
Define standards and expectations for all operations and services
Hazard identification and risk assessment methods
Monitoring performance of safety significant services, systems and equipment (including internal audits)
Emergency response planning and testing
etc
Safety management is not a discrete function to be assigned to particular organizational element. It is a "modus operandi" which must permeate all aspects of the operation. It is a shared responsibility involving many organisational elements.
Within the framework for safety established by a State, "safe" organisations should make provision for several activities essential for effective safety system. Some of these include:
-                     arrangements for recruitment of suitably qualified personnel
-                     safety awareness training for the staff
-                     defined standards and auditing of all operations and services
-                     monitoring performance of safety significant services, systems and equipment
-                     hazard identification and risk assessment methods
-                     emergency response planning and testing, etc.
Almaty, 5 – 9 September 2005

15. ORGANISATION STRUCTURE
Complexity
Standardisation
Centralisation
Adaptability to change
Organisation structure
An organisation's structure play an important part in its safety performance. Organisation can be simple and complex. They can centralise decision-making authority or they can delegate it widely throughout the organisation. Several aspects of the organisational structure can facilitate or hinder effective safety management:
-                     Complexity is the product of several factors such as the number of management levels
- Standardization defines the extent to which the organisation is uniformly structured to meet its objectives
-                     Centralisation refers to the formal decision-making process (e.g. a centralised decision-making process is often most effective in a stable environment; however, in an unpredictable environment requiring rapid on-the-spot decisions, a decentralised process may be more appropriate)
-                     Adaptability to change can be the key to success of the organisation. Organisations must be able to adapt quickly and effectively to external changes.
There is no single "ideal" organisational structure. What works for one organisation at a specific time may be totally unsuited for another.
Similarly, there is no single solution as to how best to structure the organisation's safety management functions. However, one key characteristic marks successful safety management organisations. The person in charge of safety (senior safety officer)reports directly to the most senior level of organisation. This helps to avoid a potential conflict of interest
Almaty, 5 – 9 September 2005

16. COMMITMENT TO SAFETY
Increasing commitment to aviation safety because of:
Involvement of a wide range of sectors
Globalisation of civil aviation
Increasing pressure on aviation
Contribution to socio-economic developments
 Safety requires resources
Commitment to safety
 increasing commitment to aviation safety because of:
 involvement of non-traditional sectors
globalisation of civil aviation
intense pressures on aviation
contribution to socio-economic developments
  - safety requires recourses
Finally, safety is the common commitment of States and all organisations involved. Through the years, however, the challenges faced by State civil aviation authorities have increased in number and complexity. This has in turn required the State commitment to aviation safety increase at the same rate.
There are a number of forces at work which underline the importance of a renewed commitment and political will on part of States:
                     there is an increased involvement of non-traditional sectors in civil aviation
there is increasing globalisation of civil aviation itself
-                     there are increasingly intense economic, political, environmental and other pressures on civil aviation policy
-                     in many States, civil aviation is considered an essential public service, making a fundamental contribution to socio-economic developments
Responding to these pressures and to the increased complexity and cost of aviation systems place significant financial constraint on civil aviation authorities. In this respect that States authorities responsible for safety should be provided with the necessary recourses, both human and financial, to be able to effectively carry out their safety obligations. Without such a commitment on the part of the State, efforts put into resolving difficulties experienced will remain simply efforts, with no significant positive effect.
Almaty, 5 – 9 September 2005

17. SUMMARY System safety Safety system process
Strategies for implementation
Implementation of proactive safety strategies
Safety management systems
Defining elements
System process
Implementation and operation
Organizing for system safety
Organization structure
Commitment to safety
Almaty, 5 – 9 September 2005

18. Questions/Comments? ?
Almaty, 5 – 9 September 2005

19. IMPLEMENTATION OF SAFETY SYSTEMS
Almaty, 5 to 9 September 2005
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