Safety Management System SMS SMS framework ANNEX 19

Safety Management System (SMS) SMS framework ANNEX 19

Objective v Participants will be familiar with components and elements of an SMS Module N° 8 2

Outline v The components of SMS v The elements of SMS v Questions and answers Module N° 8 3

The components of SMS Safety policy and objectives Safety risk management Safety assurance Safety promotion Module N° 8 4

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 – Safety 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 5

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 – Safety 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 6

Safety policy and objectives 1. 1 – Management commitment and responsibility v The service provider shall define the safety policy of the organization which shall: 1) be in accordance with international and national requirements 2) reflect organizational commitments regarding safety 3) include a clear statement about the provision of the necessary resources for the implementation of the safety policy 4) be signed by the Accountable Executive of the organization ……. Module N° 8 7

Safety policy and objectives 5) include the safety reporting procedures 6) clearly indicate which types of operational behaviours are unacceptable 7) be communicated, with visible endorsement, throughout the organization 8) include the conditions under which exemptions from disciplinary action would be applicable. . . Module N° 8 8

Safety policy and objectives 9) be periodically reviewed to ensure it remains relevant and appropriate to the organization 10)ensure the implementation of remedial action necessary to maintain agreed safety performance 11)provide for continuous monitoring and regular assessment of the safety performance 12)aim at a continuous improvement to the overall performance of the SMS Module N° 8 9

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 – Safety 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 10

Safety policy and objectives 1. 2 – Safety accountabilities v The organization shall identify Øthe 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 Øthe accountabilities of all members of management, irrespective of other functions, as well as of employees, with respect to the safety Module N° 8 11

Safety policy and objectives 1. 2 – Safety accountabilities v The Accountable Executive shall Øbe a single and identifiable person üCEO/Chairman Board of Directors üa partner üthe proprietor ü. . . Module N° 8 12

Safety policy and objectives 1. 2 – Safety accountabilities v The Accountable Executive must have Øfull authority for human resources issues Øauthority for major financial issues Ødirect responsibility for the conduct of the organization’s affairs Øfinal authority over operations under certificate Øfinal responsibility for all safety issues Module N° 8 13

Safety policy and objectives 1. 2 – Safety accountabilities v Safety responsibilities, accountabilities and authorities shall Øbe documented Øbe communicated throughout the organization Øinclude a definition of the levels of management with authority to make decisions regarding safety risks tolerability Module N° 8 14

Safety policy and objectives 1. 2 – Safety accountabilities v 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 Øthe safety accountabilities Øthe responsibilities regarding the operation of the SMS Module N° 8 15

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 – Safety 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 16

Safety policy and objectives 1. 3 – Appointment of key safety personnel v 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 17

Safety responsibilities Safety Review Board (SRB) Safety Action Group(s) (SAG) Module N° 8 Accountable Executive Head of operations Head of maintenance Operations safety officer Maintenance safety officer Heads of other areas Safety Services Office 18

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 – Safety 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 19

Safety policy and objectives 1. 4 – Coordination of emergency response planning v 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 Module N° 8 20

Safety policy and objectives 1. 4 – Coordination of emergency response planning v Emergency response planning outlines in writing what should be done after an accident, and who is responsible for each action. ØAirport Emergency Plan (AEP) ØContingency Plans (ATC) ØEmergency Response Plan (Operators) v The coordination of the Module N° 8 21

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 – Safety 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 22

Safety policy and objectives 1. 5 – SMS documentation v The organization shall develop and maintain SMS documentation to describe Øthe safety policy and objectives Øthe SMS requirements Øthe SMS processes and procedures Øthe accountabilities, responsibilities and authorities for processes and procedures Øthe SMS outputs Module N° 8 23

Safety policy and objectives 1. 5 – SMS documentation v 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 Module N° 8 24

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 – Safety 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 25

Safety risk management 2. 1 – Hazard identification (Module 4) v The organization shall develop and maintain a formal process that ensures that hazards in operations are identified v Hazard identification shall be based on a Proactive Reactive method combination of reactive, proactive predictive method and Predictive The reactive method The proactive methods of safety data collection method collects The predictive method data from events actively looks for method captures that have already data that identifies safety data through happened, such as the analysis of theand eliminates or accidents and organization’s mitigates future incidents problems activities Module N° 8 26

Protecting sources of safety information v Annex 19 Legal guidance in Attachment B: ØIntroduction General principles ØPrinciples of protection ØPrinciples of exceptions ØPublic Disclosure ØResponsibilities of the custodian of safety information ØProtection of recorded information Module N° 8 27

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 – Safety 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 28

Safety risk management 2. 2 – Safety risk assessment and mitigation (Module 5) v The organization shall develop and maintain a formal process that ensures Ø analysis (probability and severity of occurrence) Øassessment (tolerability) Øcontrol (mitigation) of the safety risks assessed to the consequences of hazards in operations to ALARP Module N° 8 Intolerable region A L A R P Tolerable region Acceptable region 29

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 – Safety 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 30

Safety assurance 3. 1 – Safety performance monitoring and measurement v The organization shall develop and maintain the means to verify the safety performance of the SMS and to validate the effectiveness of safety risks controls ØSafety performance indicators ØSafety performance targets Module N° 8 31

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 – Safety 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 32

Safety assurance – The management of change 3. 2 – The management of change v Aviation organizations experience changes due to expansion, introduction of new equipment or procedures. v Changes can Øintroduce new hazards Øimpact the appropriateness of safety risk mitigation Øimpact the effectiveness of safety risk mitigation Module N° 8 33

Safety assurance – The management of change 3. 2 – The management of change v The organization shall develop and maintain a formal process to identify changes within the organization which may affect established processes and services, in order to Ødescribe the arrangements to ensure safety performance before implementing changes Øeliminate or modify safety risk controls that are no longer needed or effective due to changes in the operational environment Module N° 8 34

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 – Safety 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 35

Safety assurance – Continuous improvement of the SMS 3. 3 – Continuous improvement of the SMS v The organization shall Ødevelop and maintain a formal process to identify the causes of sub-standard performance of the SMS Ødetermine the implications of sub‑standard performance of the SMS in operations Øeliminate or mitigate such causes Module N° 8 36

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 – Safety 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 37

Safety promotion – Training and education 4. 1 – Training and education v The organization shall develop and maintain a safety training programme that ensures that personnel are trained and competent to perform the SMS duties v The scope of the safety training shall be appropriate to each individual’s involvement in the SMS Module N° 8 38

Safety promotion 4. 1 – Training and education v 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 Module N° 8 39

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 – Safety 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 40

Safety promotion 4. 2 – Safety communication v The organization shall develop and maintain formal means for safety communication that Øensures that all personnel are fully aware of the SMS Øconveys safety-critical information Øexplains why particular safety actions are taken Øexplains why safety procedures are introduced or changed Module N° 8 41

Safety promotion 4. 2 – Safety communication v The means to communicate may include Øsafety policies and procedures Ønewsletters Øbulletins Øwebsite v Safety communication is an essential foundation for the development and maintenance of an SMS Module N° 8 42