ICAO SMS Module N° 8 – Managing the SMS PDF

Module N° 8 – Managing the SMS Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09 Objective When completing the module the participants will be able to describe the requirements associated to the planning of an SMS, and exp...

Module N° 8 – Managing the SMS Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09 Objective 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 and the contents of the safety management system manual (SMSM) Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Outline  The components of SMS  The elements of SMS  Safety policy and objectives  Questions and answers  Points to remember  Exercise 08/01 – Cuzco International Airport operation (See Handout N° 5) Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› The components of SMS  Safety policy and objectives  Safety risk management  Safety assurance  Safety promotion Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› The elements of SMS  Safety policy and objectives 1.1 – Management 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 Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› The elements of SMS  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 Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› ICAO SMS framework  Safety policy and objectives 1.1 – Management 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  Safety promotion 4.1 – Training and education 4.2 – Safety communication Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.1 – Management commitment and responsibility The service provider shall define the safety policy of the organization which shall: 1) Be in accordance with international and national requirements; 2) Be signed by the Accountable executive of the organization; 3) Reflect organizational commitments regarding safety; 4) Include a clear statement about the provision of the necessary resources for the implementation of the safety policy;... Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.1 – Management commitment and responsibility ... safety policy of the organization shall (cont’d): 5) Be communicated, with visible endorsement, throughout the organization; 6) Include the safety reporting procedures; 7) Include the conditions under which exemptions from disciplinary action would be applicable;... Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.1 – Management commitment and responsibility ... safety policy of the organization shall (cont’d): 8) Be periodically reviewed to ensure it remains relevant and appropriate to the organization; 9) Ensure the implementation of remedial action necessary to maintain agreed safety performance; 10) Provide for continuous monitoring and regular assessment of the safety performance; 11) Aim at a continuous improvement to the overall performance of the SMS Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› ICAO SMS framework  Safety policy and objectives 1.1 – Management 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  Safety promotion 4.1 – Training and education 4.2 – Safety communication Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.2 – Safety accountabilities The organization shall identify: the Accountable Executive who, irrespective of other functions, shall have ultimate responsibility and accountability, on behalf of the organization, for the implementation and maintenance of the SMS the accountabilities of all members of management, irrespective of other functions, as well as of employees, with respect to the safety performance of the SMS Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.2 – Safety accountabilities The Accountable Executive shall: Be a single and identifiable person CEO/Chairman Board of Directors A partner The proprietor ... Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.2 – Safety accountabilities The Accountable Executive must have: full authority for human resources issues authority for major financial issues direct responsibility for the conduct of the organization’s affairs final responsibility for all safety issues Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.2 – Safety accountabilities Safety responsibilities, accountabilities and authorities shall: be documented be communicated throughout the organization include a definition of the levels of management with authority to make decisions regarding safety risks tolerability Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.2 – Safety accountabilities The job description of each senior manager (departmental head or responsible for a functional unit) should include, to the appropriate extent, and in addition to the specific responsibilities for the department/functional unit operation the safety accountabilities the responsibilities regarding the operation of the SMS Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety responsibilities – An example Safety Accountable Executive Review Board (SRB) Head of Head of Heads of operations maintenance other areas Operations Maintenance safety officer safety officer Safety Action Safety Services Group(s) (SAG) Office Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› ICAO SMS framework  Safety policy and objectives 1.1 – Management 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  Safety promotion 4.1 – Training and education 4.2 – Safety communication Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.3 – Appointment of key safety personnel The organization shall identify a safety manager to be the responsible individual and focal point for the implementation and maintenance of an effective SMS Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety responsibilities Safety Accountable Executive Review Board (SRB) Head of Head of Heads of operations maintenance other areas Operations Maintenance safety officer safety officer Safety Action Safety Services Group(s) (SAG) Office Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.3 – Appointment of key safety personnel The Safety services office – Corporate functions Advising senior management on safety matters(fcm,scm,shm, MRM,MCM)) Assisting line managers(1A,follow up visits) Overseeing hazard identification systems)(vhir) Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.3 – Appointment of key safety personnel The safety manager – Functions Manages the SMS implementation plan on behalf of the accountable executive Facilitates hazard identification and risk analysis and management Monitors corrective actions to ensure their accomplishment Provides periodic reports on safety performance. Maintains safety documentation Plans and organizes staff safety training Provides independent advice on safety matters Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.3 – Appointment of key safety personnel The safety manager – Selection criteria Operational management experience and technical background to understand the systems that support operations People skills Analytical and problem-solving skills Project management skills Oral and written communications skills Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety responsibilities Safety Accountable Executive Review Board (SRB) Head of Head of Heads of operations maintenance other areas Operations Maintenance safety officer safety officer Safety Action Safety Services Group(s) (SAG) Office Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.3 – Appointment of key safety personnel The Safety Review Board (SRB): High level committee Strategic safety functions Chaired by the accountable executive It may include the Board of Directors Composed of heads of functional areas Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.3 – Appointment of key safety personnel SRB monitors: safety performance against the safety policy and objectives effectiveness of the SMS implementation plan effectiveness of the safety supervision of sub-contracted operations SRB ensures that appropriate resources are allocated to achieve the established safety performance SRB gives strategic direction to the SAG Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety responsibilities Safety Accountable Executive Review Board (SRB) Head of Head of Heads of operations maintenance other areas Operations Maintenance safety officer safety officer Safety Action Safety Services Group(s) (SAG) Office Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.3 – Appointment of key safety personnel Safety Action Group(s) (SAG): Reports to SRB and takes strategic direction from SRB. Members: Managers and supervisors from functional areas Front-line personnel Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.3 – Appointment of key safety personnel SAG: Oversees operational safety within the functional area Resolves identified risks Assesses the impact on safety of operational changes. Implements corrective action plans Ensures that corrective action is taken in a timely manner Review the effectiveness of previous safety recommendations Safety promotion Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› ICAO SMS framework  Safety policy and objectives 1.1 – Management 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  Safety promotion 4.1 – Training and education 4.2 – Safety communication Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.4 – Coordination of emergency response planning The organization shall ensure that an emergency response plan that provides for the orderly and efficient transition from normal to emergency operations, and the return to normal operations is properly coordinated with the emergency response plans of those organizations it must interface with during the provision of its services Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.4 – Coordination of emergency response planning Emergency response planning outlines in writing what should be done after an accident, and who is responsible for each action. Airport Emergency Plan (AEP) Contingency Plans (ATC) Emergency Response Plan (Operators) The coordination of the different plans should be described in the SMS Manual Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› ICAO SMS framework  Safety policy and objectives 1.1 – Management 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  Safety promotion 4.1 – Training and education 4.2 – Safety communication Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.5 – SMS documentation The organization shall develop and maintain SMS documentation to describe: the safety policy and objectives the SMS requirements the SMS processes and procedures the accountabilities, responsibilities and authorities for processes and procedures the SMS outputs Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.5 – SMS documentation As part of the SMS documentation, the organization shall: 1) develop an SMS implementation plan, endorsed by senior management of the organization that defines the organization’s approach to the management of safety in a manner that meets the organization’s safety objectives 2) develop and maintain a safety management system manual (SMSM), to communicate its approach to the management of safety throughout the organization Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.5.1 – SMS implementation plan  Developed by a planning group, which:  comprises an appropriate experience base  meets regularly with senior management  receives resources (including time for meetings)  A realistic strategy for the implementation of an SMS that will meet the organization’s safety performance needs  A definition of the approach the organization will adopt for managing safety Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.5.1 – SMS implementation plan Senior management endorses the plan. Typical implementation time frame will be one to four years ahead See Module 10 – Phased approach to SSP and SMS implementation. Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.5.1 – SMS implementation plan – Contents 1) Safety policy and objectives 2) System description 3) Gap analysis 4) SMS components 5) Safety roles and responsibilities 6) Safety reporting policy 7) Means of employee involvement 8) Safety performance measurement 9) Safety training 10) Safety communication 11) Management review (of safety performance) Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.5.2 – Safety Management System Manual (SMSM) Key instrument for communicating the organization’s approach to safety to the whole organization Documents all aspects of the SMS, including the safety policy, objectives, procedures and individual safety responsibilities and accountabilities Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Safety policy and objectives 1.5.2 – SMSM contents 1. Scope of the safety 7. Hazard identification and management system risk management 2. The safety policy and schemes objectives 8. Safety assurance 3. Safety accountabilities 9. Safety performance 4. Key safety personnel monitoring 5. Documentation control 10. Safety auditing procedures 11. Management of change 6. Coordination of the 12. Safety promotion emergency response 13. Contracted activities planning Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Conclusion The successful management of safety is a functional responsibility that requires the participation of all operational personnel and the supervision of the organization (Systematic) This principle must be reflected in the structure of the organization (Explicit) Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Conclusion The organization must define, document and communicate individual lines of responsibility and authority in regard to the management of operational safety (Explicit) The 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 ‹#›  SMS planning Questions and answers Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Questions and answers  Q: What kind of authority, responsibilities and accountabilities are required for the accountable executive?  A: The Accountable Executive must have: full authority for human resources issues authority for major financial issues direct responsibility for the conduct of the organization’s affairs final authority over operations under certificate final responsibility for all safety issues Slide number: 15 Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Questions and answers  Q: What is the safety manager selection criteria?  A: Operational management experience and technical background to understand the systems that support operations People skills Analytical and problem-solving skills Project management skills Oral and written communications skills Slide number: 24 Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Questions and answers  Q: List five subjects that should be included in the contents of the Safety Management System Manual (SMSM).  A: 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. Coordination of the emergency response planning. 7. Hazard identification and risk management schemes. 8. Safety assurance. 9. Safety performance monitoring. Slide number: 41 Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Points to remember 1. The four components of an SMS 2. The elements of an SMS 3. The importance of documenting safety responsibilities 4. SRB, SAG and the safety services office 5. The SMS implementation plan 6. The SMSM Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#›  SMS planning Exercise 08/01 – Cuzco International Airport operation (Handout N° 5) Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Cuzco International Airport operation Group activity: A facilitator will be appointed, who will coordinate the discussion A 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 Scenario This is a proposed airline operation with a commercial twin-engine jet aircraft (e.g. B-737, MD-80, A-320, etc.) at Cuzco International Airport Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Cuzco International Airport operation + 15.000 ft Hazard assessment of the operation. Control and/or mitigation of the risks + 15.000 ft + 15.000 ft Velazco Astete Airport Elevation 10.656 ft + 15.000 ft + 15.000 ft Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Cuzco International Airport operation Velazco Astete Airport Elevation 10.656 ft Threshold 28 Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Cuzco International Airport operation + 16.000 ft Threshold 10 City of Cuzco Velazco Astete Airport Elevation 10.656 ft Threshold 28 Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Cuzco International Airport operation Threshold 28 Threshold 10 + 16.000 ft Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Cuzco International Airport operation + 16.000 ft Threshold 28 City of Cuzco Velazco Astete Airport Threshold 10 Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Cuzco Airport characteristics and operation VMC and day-light aircraft operation Landing on runway 28 only Take-off on runway 10 only Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Cuzco Airport characteristics and operation In 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 Katabatic wind forces tailwind take offs from approximately 16:00 hours daily No ILS approach is available VOR used for instrument letdown (URCOS) not located at the aerodrome Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Cuzco Airport characteristics and operation Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› What is the safety concern? Issues to be considered: Aerodrome infrastructure In-flight procedures Navigational radio aids Documentation Weather conditions Training: Aircraft performance Take-off obstacle clearance Pilots and cabin net path crew En-route obstacle clearance Flight dispatchers net path (trajectory) Safety ground crew Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Cuzco International Airport operation Your task: List the type of operation or activity State the generic hazard(s) State the specific components of the hazard(s) State the hazard-related consequences and assess the risk(s) Assess existing defences to control the risk(s) and resulting risk index Propose further action to reduce the risk(s) and resulting risk index Establish individual responsibility to implement the risk mitigation Complete the attached log (Table 08/01) Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#› Table 08/01 – Hazard identification and risk management Type of Specific Existing defences Further action to Generic Hazard-related Nº operation components to control risk(s) reduce risk(s) and Responsible hazard of the hazard consequences person or activity and risk index resulting risk index 1 Risk index: Risk index: Risk tolerability: Risk tolerability: 2 Risk index: Risk index: Risk tolerability: Risk tolerability: 3 Risk index: Risk index: Risk tolerability: Risk tolerability: 4 Risk index: Risk index: Risk tolerability: Risk tolerability: 5 Risk index: Risk index: Risk tolerability: Risk tolerability: Module N° 8 ICAO Safety Management Systems (SMS) Course ‹#›  Module N° 8 – SMS Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09